`
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`______________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`______________________
`
`CATERPILLAR INC.
`Petitioner
`
`v.
`
`MILLER UK LIMITED.
`Patent Owner
`______________________
`
`Case Unassigned
`Patent No. 7,914,226
`______________________
`
`
`DECLARATION OF FRANK J. FRONCZAK, Dr. Eng., P.E.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Page 1 of 60
`
`CATERPILLAR EXHIBIT 1002
`
`

`

`Contents
`INTRODUCTION ........................................................................................... 1
`
`I.
`
`II. QUALIFICATIONS ........................................................................................ 1
`
`A.
`
`B.
`
`C.
`
`D.
`
`E.
`
`F.
`
`Education ............................................................................................... 1
`
`Professional Certification ...................................................................... 1
`
`Professional Experience ........................................................................ 2
`
`Professional Organizations and Societies ............................................. 2
`
`Honors and Awards ............................................................................... 3
`
`Patents.................................................................................................... 3
`
`III. MATERIALS CONSIDERED ........................................................................ 3
`
`IV. TECHNOLOGY BACKGROUND ................................................................. 4
`
`V. DEFINITION OF A PERSON OF ORDINARY SKILL IN THE ART ........ 5
`
`VI. THE ’226 PATENT ......................................................................................... 5
`
`A.
`
`Effective Filing Date of the Patent ........................................................ 5
`
`B. Disclosure and Claims of the ’226 Patent ............................................. 6
`
`C. Meaning of Certain Claim Terms .......................................................... 7
`
`“removable plate fixed” and “removable plate selectively fixed” ........ 8
`
`VII. SUMMARY OF OPINIONS ........................................................................... 9
`
`VIII. THE INVENTION OF THE ’226 PATENT CLAIMS IS OBVIOUS ......... 11
`
`To a Person of Ordinary Skill in the Art, Aker ’249 in view of
`Peterson ’260 teach each and every element of claims 1, 3, 4, 6,
`8, and 9 of the ’226 Patent ................................................................... 11
`
`1.
`
`2.
`
`Claim 1 ...................................................................................... 11
`
`Claim 3 ...................................................................................... 31
`
`
`
`i
`
`Page 2 of 60
`
`

`

`3.
`
`4.
`
`5.
`
`6.
`
`Claim 4 ...................................................................................... 33
`
`Claim 6 ...................................................................................... 34
`
`Claim 8 ...................................................................................... 54
`
`Claim 9 ...................................................................................... 55
`
`IX. CONCLUSION .............................................................................................. 57
`
`
`
`
`
`
`
`
`
`
`ii
`
`Page 3 of 60
`
`

`

`
`
`I.
`
`INTRODUCTION
`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`I, Frank J. Fronczak, have been retained by Finnegan, Henderson, Farabow,
`
`Garrett, & Dunner, LLP (“Finnegan”) on behalf of Caterpillar Inc. (“Caterpillar”)
`
`as an expert in the field of mechanical engineering, and in particular, design of
`
`mechanical tools and devices. My qualifications in this area, as well as other areas,
`
`are established by my curriculum vitae, attached as Appendix A. I am being
`
`compensated for my time in this matter. This compensation is not contingent upon
`
`my performance during this proceeding, the outcome of this proceeding, or any
`
`issues involved in or related to this proceeding.
`
`II. QUALIFICATIONS
`A. Education
`1.
`I obtained a Bachelor of Science in General Engineering in 1972 and a
`
`Master of Science in Theoretical & Applied Mechanics in 1974 from the
`
`University of Illinois (Urbana). I also obtained a Doctor of Engineering in
`
`Engineering Design from the University of Kansas in 1977. Beyond schooling, I
`
`have continued to educate myself through research and speaking engagements.
`
`B.
`2.
`
`Professional Certification
`
`I am a registered Professional Engineer in Wisconsin. My license
`
`number is 20680.
`
`
`
`
`
`1
`
`Page 4 of 60
`
`

`

`
`
`
`C.
`3.
`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`Professional Experience
`
`I began my professional career serving in various engineering roles.
`
`After receiving my Master’s degree, I worked at NASA Langley Research Center
`
`in 1974, where I served for nearly four years as a Project Engineer while obtaining
`
`my Doctor of Engineering degree from the University of Kansas. After NASA, I
`
`worked for over five years as a Research General Engineer for the U.S.
`
`Department of Agriculture (USDA) Forest Service.
`
`4.
`
`I then spent over thirty years teaching and conducting research at the
`
`University of Wisconsin before retiring in 2012. I started as a Lecturer and then
`
`became an Assistant Professor. I was granted tenure and promoted first to
`
`Associate Professor and then to Professor. I became an Emeritus Professor in the
`
`Mechanical Engineering Department in 2013.
`
`5.
`
`I am also currently the Principal Mechanical Engineering Design
`
`Advisor for Marvel Medtech, LLC, and I have served in this position since 2013.
`
`D.
`6.
`
`Professional Organizations and Societies
`
`I am a Fellow of the Society of Automotive Engineers (SAE). I am a
`
`former member of the American Society of Mechanical Engineers and the
`
`American Society for Engineering Education. I also served as a member and Vice
`
`Chairman of the State of Wisconsin Professional Engineering Licensing Board, as
`
`
`
`2
`
`Page 5 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`well as serving in various capacities on numerous other committees and
`
`organizations.
`
`E. Honors and Awards
`7.
`I received the Polygon Teaching Award at the University of
`
`Wisconsin three times and was twice the recipient of the Pi Tau Sigma
`
`Distinguished Teacher Award. I received a Certificate of Merit and the Superior
`
`Service Award from the USDA in 1981 and 1982, respectively. In 1985, I
`
`received the SAE Teetor Award, an honor for young educators who successfully
`
`prepare engineers for their future careers. Years later, in 1990, I received the SAE
`
`International Off-Highway & Powerplant Conference Paper Award. I was granted
`
`membership in the Wisconsin Teaching Academy in 2004, and in 2007, I received
`
`the University of Wisconsin-Madison, College of Engineering Benjamin Smith
`
`Reynolds Award as the faculty member who contributed the most to the design
`
`education of engineering students. Most recently, I was elected as an SAE Fellow
`
`in 2010.
`
`F.
`8.
`
`Patents
`
`I am an inventor on six utility patents for my work, all of which relate
`
`to mechanical devices.
`
`III. MATERIALS CONSIDERED
`9.
`In forming my opinions, I have reviewed and relied upon the materials
`
`cited in this report, the materials cited in Caterpillar’s petition, as well as those
`
`
`
`3
`
`Page 6 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`listed in the attached Appendix C. My opinions are also formed in view of the
`
`publications listed on my curriculum vitae, attached as Appendix A, and the
`
`patents listed in my curriculum vitae are attached as Appendix B. In addition to
`
`these materials, I may consider additional documents and information in forming
`
`any supplemental opinions. To the extent I am provided additional documents or
`
`information, including any expert declarations in this proceeding, I may offer
`
`further opinions.
`
`IV. TECHNOLOGY BACKGROUND
`10. U.S. Patent No. 7,914,226 (“the ’226 patent,” Ex. 1001), the patent at
`
`issue in this proceeding, relates generally to the field of couplers, and in particular,
`
`to a pin for securing elements in an accessory coupler for an excavator. (See, e.g.,
`
`Ex. 1001, 1:10-13.) Excavators typically include a digging tool (such as a bucket
`
`or shovel) or other accessory at the end of an excavator arm, which is often
`
`hydraulically-powered to manipulate and orientate the accessory. In some
`
`excavators, accessories are attached directly to the excavator arm via pins. Quick
`
`couplers were designed to avoid having to manually couple or decouple
`
`accessories directly to an excavator arm.
`
`11.
`
`Installed at the end of an excavator arm, couplers allow for a
`
`relatively quicker change of accessories on the excavator. Couplers typically have
`
`a pair of jaws for engaging respective pins on an accessory. By manipulating the
`
`
`
`4
`
`Page 7 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`excavator arm (and consequently the coupler) an operator can position a respective
`
`pin of an accessory into a respective jaw. While couplers can make attaching and
`
`detaching accessories relatively more convenient and efficient, their use has some
`
`risks. For example, when accessories are improperly engaged or hydraulics fail,
`
`accessories can partially detach and swing free from the coupler or fall from the
`
`excavator arm. This can lead to damage to a work site and can be dangerous for
`
`bystanders and other personnel. Safety has long been a focus for mechanical
`
`equipment and especially heavy-duty equipment operation. The safety drawbacks
`
`in some couplers led to the use of safety mechanisms to keep accessories attached
`
`to the couplers.
`
`V. DEFINITION OF A PERSON OF ORDINARY SKILL IN THE ART
`12.
`It is my opinion that a Person of Ordinary Skill in the Art (“POSA”) at
`
`the time of the of the ’226 patent in February 2006 would have at least a
`
`Bachelor’s Degree in Mechanical Engineering, or equivalent, and two to three
`
`years of experience designing mechanical devices comparable in complexity to the
`
`couplers disclosed in the ’226 patent. This level of skill is approximate and more
`
`industry experience could account for less formal education and vice versa.
`
`VI. THE ’226 PATENT
`A. Effective Filing Date of the Patent
`13. The ’226 patent was filed on February 7, 2006 and does not claim
`
`priority to any earlier U.S. applications. Thus, I understand its effective U.S. filing
`
`
`
`5
`
`Page 8 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`date to be February 7, 2006. I have been advised and further understand that
`
`references published before February 7, 2005 are prior art to the ’226 patent under
`
`at least pre-AIA 35 U.S.C. § 102(b). I have been advised and further understand
`
`that the ’226 patent claims priority to one foreign application—GB 3022197, filed
`
`on August 17, 2005—but I have neither reviewed nor otherwise considered this
`
`foreign application. I have been advised that the disclosure in this foreign
`
`application does not affect the effective U.S. filing date of the ’226 patent
`
`applicable under pre-AIA 35 U.S.C. § 102(b).
`
`B. Disclosure and Claims of the ’226 Patent
`14. The ’226 patent discloses a device for use with an accessory coupler
`
`attached to an excavator arm. (Ex. 1001 at 1:19-22.) More particularly, the ’226
`
`patent discloses a safety pin to secure the engagement of elements in the accessory
`
`coupler of the excavator. (See, e.g., id. at 1:10-13.) The pin comprises a head, a
`
`shaft, and a distal end. (Id. at 1:53-54, Fig. 2.) The ’226 patent discloses that the
`
`pin has a longitudinal axis that extends along the shaft from the head and
`
`terminates at the distal end. (Id. at 1:54-56, Fig. 2.) The ’226 patent discloses that
`
`an element may extend radially outward relative to a side of the shaft from the
`
`distal end in a direction that is generally perpendicularly to the longitudinal axis.
`
`(Id. at 1:56-60, Fig. 2.)
`
`
`
`6
`
`Page 9 of 60
`
`

`

`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`15. The ’226 patent also discloses that a side of the coupler includes a
`
`hole for receiving the pin. (Id. at 2:65-67, Fig. 1.) The hole is sized to allow the
`
`distal end of the pin to slide through the hole. (Id. at 3:1-4.) According to the ’226
`
`patent, a locking plate may cover a sector of the hole. (Id. at 3:36-43, Fig. 2.)
`
`While the locking plate may be welded in place to permanently lock the pin into
`
`the coupler, the plate may also be removably fastened to the coupler. (Id. at 4:20-
`
`23.) When the plate is attached, the pin will not pass through the hole because of
`
`the element on the distal end of the pin. (See id. at 5:53-64.) However, by
`
`removing the plate, the distal end of the pin may pass through the hole, which
`
`allows the pin to be removed for servicing. (Id. at 5:64-67.)
`
`16. The claims of the ’226 patent are directed to systems that include a
`
`coupler, a pin insertable into the coupler through an aperture in a sidewall of the
`
`coupler, and a plate fixed to the sidewall of the coupler that blocks a portion of the
`
`aperture. (See, e.g., id. at Claim 1.)
`
`C. Meaning of Certain Claim Terms
`17. There are two terms or phrases in the ’226 patent claims that require
`
`clarification. I have been informed that in this proceeding, before the U.S. Patent
`
`and Trademark Office, claim terms are given their broadest reasonable
`
`interpretation in light of the specification. That is, claim terms are given their
`
`ordinary and customary meaning as a POSA would understand them in view of the
`
`
`
`7
`
`Page 10 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`patent’s specification. I also understand that the construction of claim terms
`
`applied during this proceeding may differ from the construction used in a district
`
`court. I have followed these claim construction principles in my analysis. In
`
`addition, I have considered and agree with the Caterpillar’s proposed claim
`
`constructions set forth in its petition as part of my analysis in this Declaration. I
`
`reserve my right to amend or alter my analysis and opinions in view of the Patent
`
`Owner’s proposed claim constructions, if any.
`
`“removable plate fixed” and “removable plate selectively fixed”
`
`18.
`
` The ’226 patent recites these terms in independent claims 1 and 6,
`
`respectively. (Ex. 1001 at Claims 1 and 6.) Though the ’226 patent does not
`
`provide an explicit definition of these terms, it does provide guidance as to how
`
`these terms are used in the claims. It is my opinion that a POSA would understand
`
`that the phrases in the claims using these terms would include at least a
`
`connection—using mechanical fasteners, e.g., bolts or screws—between a plate
`
`and a sidewall of a coupler. Said another way, under the broadest reasonable
`
`interpretation, these terms include a plate that is connected by mechanical
`
`fasteners.
`
`19. This is consistent with the specific examples of the locking plate in
`
`the specification of the ’226 patent, at least with respect to the embodiments of
`
`FIGS. 1 and 2. For example, the ’226 patent explains that the plate may be
`
`
`
`8
`
`Page 11 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`removably fastened to the coupler, for example, by two bolts, which allows the
`
`plate to be removed. (Id. at 4:22-25.) This is also consistent with the portions of
`
`the ’226 patent describing that the plate is preferably screwed or bolted and
`
`because the plate may be “only bolted to the coupler, the [] plate 42 can be
`
`removed.” (Id. at 3:14-15, 5:64-65.)
`
`20. Accordingly, in the absence of explicit guidance in the ’226 patent, a
`
`POSA would recognize that the phrases in the claims using the terms “removable
`
`plate fixed” and “removable plate selectively fixed” include at least a connection
`
`using mechanical fasteners.
`
`VII. SUMMARY OF OPINIONS
`21.
`I have been asked by Finnegan on behalf of Caterpillar to consider the
`
`’226 patent and prior art related to it, and to offer my opinions on the effect of that
`
`art on the claims of the ’226 patent. In preparing this declaration, I have been
`
`educated generally on relevant patent law issues, including the standards for
`
`anticipation and obviousness. Specifically, I understand that for a patent claim to
`
`be anticipated (that is, to not be novel) a single prior art document must disclose,
`
`either expressly or inherently, each and every claim limitation. I further
`
`understand that to be inherently anticipated, a single prior art document must
`
`necessarily and inevitably disclose the claim limitation at issue. I also understand
`
`that, under the principles of inherency, if a prior art device (in its normal and usual
`
`
`
`9
`
`Page 12 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`operation) would necessarily perform a claimed method, then the method claimed
`
`will be considered to be anticipated by the prior art device. Likewise, I understand
`
`that when a prior art device is the same as a device described in the specification
`
`for carrying out the claimed method, it can be assumed the device will inherently
`
`perform the claimed process.
`
`22.
`
`I also understand that a claim is not patentable if, as a whole, it would
`
`have been obvious to a POSA when considering the prior art as a whole at the time
`
`of invention. I understand that a POSA is not a specific real individual, but rather
`
`is a hypothetical individual having the qualities reflected by the factors I describe
`
`above in paragraph ¶ 12.
`
`23. With this understanding and as clearly evidenced by the prior art
`
`discussed in this declaration, the ’226 patent merely claims a system that was
`
`already known in the art before the ’226 patent application was filed. In particular,
`
`U.S. Patent 3,985,249 to Aker et al. (“Aker ’249”) (Ex. 1003), expressly discloses
`
`and teaches almost every element of claims 1, 3, 4, 6, 8, and 9 of the ’226 patent.
`
`The missing elements are found in other art—namely, U.S. Patent 5,597,260 to
`
`Peterson (“Peterson ’260”) (Ex. 1004)—or are within the general knowledge of a
`
`POSA. Accordingly, as discussed in more detail below, it is my opinion that
`
`claims 1, 3, 4, 6, 8, and 9 of the ’226 patent are obvious combinations of elements
`
`disclosed and taught in Aker ’249 and Peterson ’260.
`
`
`
`10
`
`Page 13 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`VIII. THE INVENTION OF THE ’226 PATENT CLAIMS IS OBVIOUS
`To a Person of Ordinary Skill in the Art, Aker ’249 in view of Peterson
`’260 teach each and every element of claims 1, 3, 4, 6, 8, and 9 of the
`’226 Patent
`1.
`Claim 1
`24. Aker ’249 issued on October 12, 1976, and I understand Aker ’249 is
`
`prior art to the ’226 patent at least because Aker ’249 was published more than one
`
`year before the ’226 patent’s earliest effective U.S. filing date of February 7, 2006.
`
`Peterson ’260 issued on January 28, 1997, and I understand Peterson ’260 is prior
`
`art to the ’226 patent at least because Peterson ’260 was published more than one
`
`year before the ’226 patent’s earliest effective U.S. filing date.
`
`25. Throughout my declaration, I have interpreted the claims using the
`
`broadest reasonable interpretation from the viewpoint of a POSA, and I have also
`
`bolded the corresponding claim language. It is my opinion that Aker ’249
`
`expressly discloses all but one of the elements of claim 1 of the ’226 patent.
`
`Peterson ’260 expressly teaches the other element.
`
`26.
`
`In regard to claim 1, Aker ’249 discloses a system for retaining
`
`engagement of first and second elements (e.g., mounting pin 68 and slot 46)
`
`within a coupler (i.e., implement carrier frame 30). (Ex. 1003 at 3:23-29, 3:40-
`
`52, Figs. 1, 2, 5, and 6.) Aker ’249 discloses an implement carrier frame 30 (i.e.,
`
`coupler) that may be attached to an implement, such as bucket 60. (Id. at 3:23-26,
`
`Fig. 1.) Aker ’249 explains that bucket 60 has a mounting pin 68 that may be
`
`
`
`11
`
`Page 14 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`positioned to rest on a rear curved surface of a slot 46 in the implement carrier
`
`frame so that the pin 68 may be locked into place with a locking mechanism 80.
`
`(See id. at 3:40-52, Figs. 1 and 2.) A POSA would thus recognize that at least the
`
`mounting pin 68 and slot 46 are engaged and are retained within the implement
`
`carrier frame 30.
`
`27. Aker ’249 also discloses that the system compris[es] a coupler (i.e.,
`
`implement carrier frame 30). (Ex. 1003 at 3:3-26, 4:10-14, Figs. 1, 5-7.) Aker
`
`’249 discloses, as shown below in annotated FIG. 1, an implement carrier frame 30
`
`mounted on a boom assembly 10 of a loader tractor (not shown). (Id. at 2:66 - 3:5,
`
`Fig. 1) The implement carrier frame 30 may be attached to an implement, such as
`
`bucket 60. (Id. at 3:23-26, Fig. 1.) Because implement carrier frame 30 may be
`
`attached (i.e., coupled) to bucket 60, (id.), a POSA would recognize that
`
`implement carrier frame 30 is a coupler.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`12
`
`Page 15 of 60
`
`

`

`
`
`
`
`
`Boom assembly 10
`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`Implement (bucket 60)
`
`
`
`
`
`
`
`
`
`Implement
`carrier frame 30
`
`
`
`28. Aker ’249 also discloses the coupler (i.e., implement carrier frame 30)
`
`having a sidewall. (See id. at Figs. 5 and 7.) As shown in annotated FIGS. 5 and
`
`6 below, Aker ’249 discloses that the implement carrier frame 30 has an outboard
`
`wall 40, which fits into a mounting channel (e.g., channel 62) of the bucket 60.
`
`(Id. at 3:54-60, Figs. 5 and 6.) The implement carrier frame 30 also includes a
`
`mounting plate 90 that is fixedly attached to the outboard wall 40 and is offset
`
`away from the outboard wall 40. (Id. at 4:36-40, Fig. 5.) Aker ’249 also discloses
`
`a cylindrical container 86, which is mounted on the mounting plate 90. (See id. at
`
`4:19-20, 4:36-37, Figs. 5 and 7.) In my opinion, a POSA would understand that
`
`
`
`13
`
`Page 16 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`the outboard wall 40, the mounting plate 90, and the cylindrical container 86
`
`collectively are part of a sidewall of the implement carrier frame 30 (i.e., coupler).
`
`(See id. at Figs. 5 and 7.)
`
`29. This is at least consistent with the portion of the ’226 patent
`
`describing that “side plates of couplers are not necessarily flat, and are not
`
`necessarily formed from a plate.” (Ex. 1001 at 5:34-38.) This is also consistent
`
`with the embodiments shown in the ’226 patent, which include elements projecting
`
`from a sidewall. For example, a POSA would recognize that a side plate 38 of the
`
`coupler in FIG. 1 of the ’226 patent includes an outwardly projecting boss (not
`
`numbered) at pin-receiving hole 18 and a stepped-up portion (not numbered) near
`
`pivot pin 16. (See id. at 4:61-62, 5:34-38, Fig. 1.) Moreover, other embodiments
`
`disclosed in the ’226 patent also include elements projecting from a sidewall; for
`
`example, the embodiment shown in FIG. 4 includes a boss 54—which projects
`
`from an aperture through which pin 20 extends. (See id. at 6:30-36, Fig. 4.) Thus,
`
`in view of the disclosed embodiments in the ’226 patent, a POSA would recognize
`
`that a sidewall is not necessarily flat and includes projections and other features.
`
`
`
`14
`
`Page 17 of 60
`
`

`

`
`
`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`Mounting
`channel 62
`
`Inboard wall 38
`
`
`
`
`Cylindrical container 86
`
`Outboard wall 40
`
`Mounting plate 90
`
`
`30. Aker ’249 also discloses that the sidewall of the coupler (i.e.,
`
`implement carrier frame 30) has an aperture formed therethrough. (See Ex.
`
`1003 at Figs. 5 and 7.) Aker ’249 explains that a flange (e.g., flange 70) of the
`
`bucket 60 may fit between the outboard wall 40 and the mounting plate 90 to allow
`
`the bucket 60 to be locked to the implement carrier frame 30. (See id. at 4:1-3,
`
`
`
`15
`
`Page 18 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`4:46-43, Fig. 5.) As shown in annotated FIG. 7 below, Aker ’249 discloses a pin
`
`(e.g., automatic locking pin 84) that is carried in the cylindrical container 86. (Id.
`
`at 4:1-9, 4:19-20, Fig. 7.) To lock the bucket 60 to the implement carrier frame 30,
`
`the pin 84 may pass through the flange 70 of the bucket 60 and through the
`
`outboard wall 40 of the implement carrier frame 30, as shown by position “A.”
`
`(See id. at 4:9-14, 4:22-25, Fig. 7.) A POSA would recognize from viewing at
`
`least FIG. 7 that the pin 84 is positioned in and passes through an aperture formed
`
`through the sidewall (i.e., the outboard wall 40, mounting plate 90, and cylindrical
`
`container 86) of the implement carrier frame 30 (i.e., coupler). (See id. at Fig. 7.)
`
`Put differently, a POSA would recognize that Aker ’249 discloses an aperture that
`
`extends through outboard wall 40, mounting plate 90, and cylindrical container 86.
`
`As I discussed above in paragraph ¶ 29, a POSA would recognize that a sidewall in
`
`view of the disclosure of the ’226 patent includes projections, bosses, and other
`
`elements.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`16
`
`Page 19 of 60
`
`

`

`
`
`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`
`
`
`
`
`
`Outboard wall 40
`
`
`
`
`Pin 84
`
`Mounting
`plate 90
`
`Cylindrical
`container 86
`
`Aperture
`
`
`
`31. Aker ’249 also discloses a safety pin (i.e., pin 84) insertable into an1
`
`aperture formed through a2 sidewall (i.e., the outboard wall 40, mounting plate
`
`
`1 It is my opinion that a POSA would recognize that, in view of the specification,
`
`independent claim 1 includes an error. The term “an aperture” should be --the
`
`aperture-- as recited earlier in claim 1.
`
`2 It is my opinion that a POSA would recognize that, in view of the specification,
`
`independent claim 1 includes an error. The term “a sidewall” should be --the
`
`sidewall-- as recited earlier in claim 1.
`
`
`
`17
`
`Page 20 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`90, and cylindrical container 86) of the coupler (i.e., implement carrier frame 30).
`
`(See id. at 4:9-14, 4:22-26, Fig. 7.) According to Aker ’249, pin 84 enables a
`
`vehicle operator to lock the implement carrier frame 30 to the bucket 60 while
`
`minimizing exposure to safety hazards, and overcomes safety issues of previous
`
`coupling systems. (See id. at 1:26-42.) As shown for example in FIG. 7, Aker
`
`’249 discloses that the pin 84 is carried in cylindrical container 86 and may pass
`
`through the outboard wall 40 and mounting plate 90. (See id. at 4:9-14, Fig. 7.)
`
`Aker ’249 also explains that pin 84 may move between a restrained position “B”
`
`and a locked position “A.” (See id. at 4:22-26, Fig. 7.) A POSA would thus
`
`recognize, at least from viewing FIG. 7, that the pin 84 is insertable into the
`
`aperture formed through the sidewall (i.e., the outboard wall 40, mounting plate 90,
`
`and cylindrical container 86). (See id. at Fig. 7.)
`
`32. Aker ’249 also discloses that the safety pin (i.e., pin 84) compris[es]
`
`a head (i.e., handle collar 104). (See id. at 4:27-35, Fig. 7.) According to Aker
`
`’249, the pin 84 has a leading portion 96 and an aft section 98, as shown in
`
`annotated FIG. 7 below. (See id. at 4:27-28, Fig. 7.) The aft section 98 is attached
`
`to a handle collar 104 that prevents a biasing means 88 from urging the pin 84 out
`
`of the cylindrical container 86. (See id. at 4:31-35, Fig. 7.) A POSA would
`
`recognize that the handle collar 104 is the “head” of the pin. (See id. at Fig. 7.)
`
`
`
`
`
`18
`
`Page 21 of 60
`
`

`

`
`
`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`Head of
`pin 84
`
`Distal end
`of shaft
`
`Leading portion 96
`
`Shaft of pin 84
`
`Aft section 98
`
`
`
`
`
`
`
`33. Aker ’249 also discloses a shaft (i.e., shaft of pin 84) depending
`
`from the head (i.e., handle collar 104) along a longitudinal axis, a distal end of
`
`the shaft (i.e., the end at the juncture of leading portion 96 and aft section 98)
`
`opposite the head. (See id. at 4:27-28, Fig. 7.) As explained in the preceding
`
`paragraph, pin 84 has an aft section 98 and a leading portion 96. (Id.) As shown in
`
`annotated FIG. 7 directly above, Aker ’249 shows that the pin 84 has a shaft
`
`depending from the handle collar 104 of the pin 84 along a longitudinal axis
`
`toward leading portion 96, which is opposite handle collar 104. (See id. at Fig. 7.)
`
`A POSA would also recognize that the distal end of the shaft is the end of the shaft
`
`at the juncture between the aft section 98 and the leading portion 96. (See id.)
`
`
`
`19
`
`Page 22 of 60
`
`

`

`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`34. Aker ’249 also discloses an element (i.e., a portion of the pin 84 that
`
`is larger in diameter than the aft section 98) that extends radially outwardly
`
`from a portion of the shaft. (See id. at 4:27-31, Fig. 7.) According to Aker ’249,
`
`the leading portion 96 of the pin 84 is larger in diameter than the aft section 98.
`
`(Id.) The difference in diameter provides a space to hold biasing means 88 captive
`
`between surface 100 and a second surface 102 at one end of cylindrical container
`
`86. (See id. at 4:29-31, Fig. 7.) A POSA would recognize that the portion of the
`
`pin 84 that is larger in diameter than the aft section 98 (i.e., the element) extends
`
`radially outward from a portion of the shaft, as shown in annotated FIG. 7 below.
`
`
`
`
`
`Element (i.e., portion of the pin
`84 that is larger in diameter than
`the aft section 98)
`
`
`
`Leading portion 96
`
`Shaft of pin 84
`
`Aft section 98
`
`
`
`
`
`20
`
`Page 23 of 60
`
`

`

`
`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`35. Aker ’249 also discloses that the shaft, the distal end of the shaft
`
`and the element disposed in the aperture of the coupler. (See id. at Fig. 7.) As
`
`discussed in paragraph ¶ 30 above, a POSA would recognize that the aperture
`
`extends through outboard wall 40, mounting plate 90, and cylindrical container 86.
`
`According to Aker ’249, to lock the bucket 60 to the implement carrier frame 30,
`
`the pin 84 (which is positioned in cylindrical container 86) may be passed through
`
`outboard wall 40 and mounting plate 90 of the implement carrier frame 30 and
`
`through the outboard flange of the bucket 60. (See id. at 4:9-14, 4:22-26, Fig. 7.)
`
`As shown in annotated FIG. 7 below, locking may be accomplished by moving pin
`
`84 within the aperture between a restrained position (shown by position “B” in
`
`FIG. 7) and a locked position (shown by position “A” in FIG. 7). (See id. at 4:24-
`
`26, Fig. 7.) In my opinion, a POSA would recognize, that—whether in position
`
`“A” or position “B”—the shaft, the distal end of the shaft, and the element (i.e., the
`
`portion of the pin 84 that is larger in diameter than the aft section 98) are disposed
`
`in the aperture of the coupler.
`
`
`
`
`
`
`
`
`
`
`
`
`
`21
`
`Page 24 of 60
`
`

`

`
`
`U.S. Patent No. 7,914,226
`Petition for Inter Partes Review
`
`Element (i.e., portion of the pin
`
`84 that is larger in diameter than
`the aft section 98)
`
`Distal end
`of shaft
`
`Shaft of pin 84
`
`
`
`
`
`
`
`
`36. Aker ’249 also discloses a plate (i.e., the circular plate attached to the
`
`outer end of cylindrical container 86) fixed to the sidewall (i.e., the outboard wall
`
`40, mounting plate 90, and cylindrical container 86) of the coupler (i.e.,
`
`implement carrier frame 30). (See id. at Fig. 5 and 7.) As shown in annotated
`
`FIGS. 5 and 7 below, Aker ’249 shows a circular plate (not numbered) with a hole
`
`(not numbered) attached to an outer end of cylindrical container 86. (See id. at Fig.
`
`7 (showing the circular plate being a separate component from cylindrical
`
`container 86 at least because it is illustrated with different cross-hatching than the
`
`cylindrical container 86).) Accordingly, a POSA would recognize that the circular
`
`plate is attached to the sidewall (i.e., the outboard wall 40, mounting plate 90, and
`
`
`
`22
`
`Page 25 of 60
`
`

`

`U.S. Patent No. 7,914,226
`
`Petition for Inter Partes Review
`
`
`cylindrical container 86). Moreover, although Aker ’249 does not describe how the
`
`circular plate is attached to the sidewall, a POSA would recognize that the circular
`
`plate is fixed to cylindrical container 86, considering the operating conditions of

Accessing this document will incur an additional charge of $.

After purchase, you can access this document again without charge.

Accept $ Charge

This document could not be displayed.

We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.

Your account does not support viewing this document.

You need a Paid Account to view this document. Click here to change your account type.

Your account does not support viewing this document.

Set your membership status to view this document.

With a Docket Alarm membership, you'll get a whole lot more, including:

  • Up-to-date information for this case.
  • Email alerts whenever there is an update.
  • Full text search for other cases.
  • Get email alerts whenever a new case matches your search.

Become a Member

One Moment Please

The filing “” is large (MB) and is being downloaded.

Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.

Your document is on its way!

If you do not receive the document in five minutes, contact support at support@docketalarm.com.

Sealed Document

We are unable to display this document, it may be under a court ordered seal.

If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.


Access Government Site

We are redirecting you
to a mobile optimized page.

We are unable to display this document.

PTO Denying Access

Refresh this Document
Go to the Docket