`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`______________
`
`
`FORD MOTOR COMPANY
`
`Petitioner,
`
`v.
`
`PAICE LLC & ABELL FOUNDATION, INC.
`
`Patent Owner.
`
`______________
`
`
`U.S. Patent No. 7,237,634 to Severinsky et al.
`
`IPR Case No.: IPR2015-00801
`
`______________
`
`
`
`DECLARATION OF JEFFERY L. STEIN, Ph.D. IN SUPPORT
`OF INTER PARTES REVIEW UNDER 35 U.S.C. § 311 ET SEQ.
`AND 37 C.F.R. § 42.100 ET SEQ. (CLAIMS 80, 111, 114, 144, 241,
`264, 266, 267, 278-280, 282-291 OF U.S. PATENT NO. 7,237,634)
`
`PAGE 1 OF 372
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`Case No: IPR2015-00801
`Attorney Docket No. FPGP0104IPR8
`
`
`TABLE OF CONTENTS
`
`
`EXHIBIT LIST ...................................................................................................................... 6
`
`I.
`
`INTRODUCTION .................................................................................................. 12
`
`A.
`
`B.
`
`C.
`
`Engagement ................................................................................................... 12
`
`Background and Qualifications ................................................................... 12
`
`Compensation and Prior Testimony ........................................................... 15
`
`D. Materials and Information Considered ....................................................... 15
`
`II.
`
`RELEVANT LEGAL STANDARDS .................................................................. 16
`
`A. General............................................................................................................ 16
`
`B.
`
`C.
`
`Priority Dates for Claimed Subject Matter ................................................. 17
`
`Claim Construction Standard ....................................................................... 18
`
`D.
`
`Anticipation .................................................................................................... 19
`
`E. Obviousness ................................................................................................... 20
`
`III. THE PERSON OF ORDINARY SKILL IN THE RELEVANT
`FIELD AND IN THE RELEVANT TIMEFRAME ........................................ 23
`
`IV.
`
`STATE OF THE ART AS OF 1998 ..................................................................... 25
`
`A.
`
`B.
`
`C.
`
`Engine Fundamentals ................................................................................... 25
`
`Electric Motor Fundamentals ...................................................................... 29
`
`HEV Architecture ......................................................................................... 29
`
`1.
`
`2.
`
`3.
`
`Series HEVs ........................................................................................ 31
`
`Parallel HEVs ..................................................................................... 33
`
`Series-Parallel HEVs .......................................................................... 34
`
`D.
`
`Controls – HEV Mode Selection ................................................................ 36
`
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`Case No: IPR2015-00801
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`
`E.
`
`F.
`
`Emissions ....................................................................................................... 42
`
`Electrical Characteristics ............................................................................... 59
`
`G. Hysteresis Control ......................................................................................... 61
`
`H.
`
`Cruise Control ................................................................................................ 65
`
`V.
`
`THE ’634 PATENT ................................................................................................. 67
`
`A.
`
`B.
`
`C.
`
`Background of the ’634 Patent .................................................................... 67
`
`Construction of Terms in the Challenged Claims ..................................... 70
`
`Priority Claim ................................................................................................. 72
`
`VI.
`
`PATENTABILITY ANALYSIS OF THE CHALLENGED CLAIMS .......... 73
`
`A. Overview Of The Prior Art ......................................................................... 73
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`U.S. Patent No. 5,343,970 (“Severinsky ’970”) .............................. 73
`
`U.S. Patent No. 5,865,263 (“Yamaguchi”) ..................................... 74
`
`U.S. Patent No. 5,823,280 (“Lateur”) .............................................. 74
`
`U.S. Patent No. 5,623,104 (“Suga”) ................................................. 75
`
`Oreste Vittone et al., Fiat Conceptual Approach to Hybrid
`Cars Design, 12th International Electric Vehicle
`Symposium (1994) (“Vittone”) ........................................................ 75
`
`6.
`
`U.S. Patent No. 5,842,534 (“Frank”) ............................................... 76
`
`B.
`
`Ground 1: The Combination of Severinsky ’970 and Yamaguchi
`Teaches all of the Limitations of Claims 267, 278-280, 282, 284,
`285, 289 and 290 ............................................................................................ 76
`
`1.
`
`2.
`
`3.
`
`Independent Claim 267 ..................................................................... 76
`
`Dependent Claims 278-280, 282, 284, 285, 289 and 290 ............ 113
`
`Rationale for Combining Severinsky ’970 and Yamaguchi ......... 146
`
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`Case No: IPR2015-00801
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`C. Ground 2: The Combination of Severinsky ’970, Yamaguchi and
`Lateur Teaches all of the Limitations of Claims 283, 286, 287 and
`288 ................................................................................................................. 151
`
`1.
`
`2.
`
`Dependent Claims 283, 286, 287 and 288 .................................... 151
`
`Rationale for Combining Lateur with Severinsky ’970 and
`Yamaguchi ........................................................................................ 171
`
`a.
`
`b.
`
`Claims 283 and 286 - Controls ........................................... 171
`
`Claims 287 and 288 - Structure ........................................... 175
`
`D. Ground 3: The Combination of Severinsky ’970, Yamaguchi and
`Suga Teaches all of the Limitations of Claim 291 ................................... 179
`
`1.
`
`2.
`
`Dependent Claim 291 ...................................................................... 179
`
`Rationale for Combining Suga with Severinsky ’970 and
`Yamaguchi ........................................................................................ 187
`
`E. Ground 4: The Combination of Severinsky ’970 and Vittone
`Teaches all of the Limitations of Claim 241 ............................................ 190
`
`1.
`
`2.
`
`Independent Claim 241 ................................................................... 190
`
`Rationale for Combining Severinsky ’970 and Vittone ............... 241
`
`F.
`
`Ground 5: Claim 264 is Obvious Over Severinsky ’970, Vittone
`and Yamaguchi ............................................................................................ 248
`
`1.
`
`2.
`
`Dependent Claim 264 ...................................................................... 248
`
`Rationale for Combining Yamaguchi with Severinsky ’970
`and Vittone ....................................................................................... 253
`
`G. Ground 6: Claim 266 is Obvious Over Severinsky ‘970, Vittone
`and Suga ........................................................................................................ 258
`
`1.
`
`2.
`
`Dependent Claim 266 ...................................................................... 259
`
`Rationale for Combining Suga with Severinsky ’970 and
`Vittone ............................................................................................... 267
`
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`Case No: IPR2015-00801
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`H. Ground 7: Claims 80 and 114 Are Obvious Over Severinsky ’970
`in View of Frank .......................................................................................... 270
`
`1.
`
`2.
`
`3.
`
`Independent Claim 80 ..................................................................... 270
`
`Independent Claim 114 ................................................................... 313
`
`Rationale for Combining Severinsky ’970 and Frank .................. 353
`
`I.
`
`Ground 8: The Combination of Severinsky ’970, Frank and
`Yamaguchi Teaches all of the Limitations of Claims 111 and 144 ....... 356
`
`1.
`
`2.
`
`3.
`
`Dependent Claim 111 ...................................................................... 356
`
`Dependent Claim 144 ...................................................................... 361
`
`Rationale for Combining Yamaguchi with Severinsky ’970
`and Frank .......................................................................................... 366
`
`VII. OBJECTIVE EVIDENCE OF NONOBVIOUSNESS.................................. 372
`
`VIII. CONCLUSION ...................................................................................................... 372
`
`
`
`
`
`
`
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`
`
`Exhibit
`No.
`1851
`
`1852
`1853
`
`1854
`
`1855
`
`1856
`
`1857
`
`1858
`
`1859
`
`1860
`1861
`
`Case No: IPR2015-00801
`Attorney Docket No. FPGP0104IPR8
`
`
`EXHIBIT LIST
`
`Description
`
`Identifier
`
`U.S. Patent No. 7,237,634 issued to Severinsky et
`al. (July 3, 2007)
`Declaration of Jeffery L. Stein, Ph.D.
`Paice LLC v. Ford Motor Company, Case No.
`1:14-cv-00492, District of MD, Baltimore Div.,
`Complaint (Feb. 19, 2014) (Ex. 1853 at 2-51.)
`
`Service (Feb. 25, 2014) (Ex. 1853 at 1.)
`
`Letter from Ford to Paice (Sept. 22, 2014) (Ex.
`1853 at 52.)
`U.S. Patent No. 5,343,970 issued to Severinsky
`(Sept. 6, 1994)
`U.S. Patent No. 5,865,263 issued to Yamaguchi et
`al. (Feb. 2, 1999)
`U.S. Patent No. 5,823,280 issued to Lateur (Oct.
`20, 1998)
`U.S. Patent No. 5,623,104 issued to Suga (Apr. 22,
`1997)
`Oreste Vittone et al., FIAT Research Centre, Fiat
`Conceptual Approach to Hybrid Car Design, 12th
`International Electric Vehicle Symposium, Volume
`2 (1994), (available at
`https://www.worldcat.org/title/symposium-
`proceedings-12th-international-electric-vehicle-
`symposium-december-5-7-1994-disneyland-hotel-
`and-convention-center-anaheim-
`california/oclc/32209857&referer=brief_results.)
`U.S. Patent No. 5,842,534 issued to Frank (Dec. 1,
`1998)
`USPN 7,237,634 File History
`Toshifumi Takaoka et al., A High-Expansion Ratio
`Gasoline Engine for the Toyota Hybrid System,
`published as part of Toyota Technical Review,
`Prevention of Global Warming, Vol. 47, No. 2 (Toyota
`
`’634 Patent
`
`Stein
`Ford Litigation
`
`Severinsky ’970
`
`Yamaguchi
`
`Lateur
`
`Suga
`
`Vittone
`
`Frank
`
`’634 File History
`Takaoka
`
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`Motor Corporation, April 1998) (Ex. 1861 at 1-8.)
`(available at: https://www.worldcat.org/title/a-
`high-expansion-ratio-gasoline-engine-for-the-
`toyota-hybrid-
`system/oclc/205516653&referer=brief_results.)
`
`Declaration of Walt Johnson and Exhibit A (Dec.
`23, 2014) (Ex. 1861 at 9-19.)
`USPN 7,104,347 File History Excerpts
`Paice LLC v. Toyota Motor Corp. et al., Case No.
`2:04-cv-211, E.D. Texas, Paice Opening Claim
`Construction Brief (Mar. 8, 2005) (Ex. 1863 at 1-
`40.)
`
`Paice Claim Construction Reply Brief (Mar. 29,
`2005) (Ex. 1863 at 41-79.)
`
`Claim Construction Order (Sept. 28, 2005) (Ex.
`1863 at 80-130.)
`
`Paice LLC v. Toyota Motor Corp. et al., Case No.
`2:07-cv-180 (Paice Opening Claim Construction
`Brief (June 25, 2008) (Ex. 1863 at 131-165.)
`
`Paice Claim Construction Reply Brief (Aug. 1,
`2008) (Ex. 1863 at 166-191.)
`
`Claim Construction Order (Dec. 5, 2008) (Ex.
`1863 at 192-220.)
`Paice LLC v. Hyundai Motor Corp. et al., Case
`No. 1:12-cv-0499, District of MD, Baltimore Div.,
`Paice Opening Claim Construction Brief (Nov. 14,
`2013) (Ex. 1864 at 1-37.)
`
`Paice Responsive Brief on Claim Construction
`(Dec. 16, 2013) (Ex. 1864 at 38-81.)
`
`Claim Construction Order (Ex. 1864 at 82-122.)
`Decision of Institution, IPR2014-00570, Paper 10
`(Sept. 30, 2014) (Ex. 1865 at 1-13.)
`
`1862
`1863
`
`1864
`
`1865
`
`’347 File History
`Toyota Litigation
`
`Hyundai Litigation
`
`Ford IPRs
`
`PAGE 7 OF 372
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`Case No: IPR2015-00801
`Attorney Docket No. FPGP0104IPR8
`
`
`
`
`Excerpts from Public Patent Owner Preliminary
`Response, IPR2014-00571, Paper 11, (July 11,
`2014) (Ex. 1865 at 14-23.)
`
`Excerpts from Public Patent Owner Preliminary
`Response, IPR2014-00579, Paper 11, (July 11,
`2014) (Ex. 1865 at 24-33.)
`
`Decision of Institution, IPR2014-00571, Paper 12,
`(Sept. 30, 2014) (Ex. 1865 at 34-50.)
`
`Decision of Institution, IPR2014-00579, Paper 12,
`(Sept. 30, 2014) (Ex. 1865 at 51-64.)
`
`Decision of Institution, IPR2014-00904, Paper 13,
`(Dec. 12, 2014) (Ex. 1865 at 65-78.)
`
`Excerpts from Public Patent Owner Preliminary
`Response, IPR2014-01415, Paper 9, (Dec. 16,
`2014) (Ex. 1865 at 79-96.)
`
`Patent Owner Response, IPR2014-00571, Paper
`20 (January 21, 2015) (Ex. 1865 at 97-162.)
`
`Patent Owner Response, IPR2014-00579, Paper
`20 (January 21, 2015) (Ex. 1865 at 163-226.)
`
`Patent Owner Response, IPR2014-00570, Paper
`22 (January 21, 2015) (Ex. 1865 at 227-292.)
`U.S. Patent No. 7,104,347 issued to Severinsky et
`al. (Sep. 12, 2006)
`Curriculum Vitae of Jeffery L. Stein
`John B. Heywood, Internal Combustion Engine
`Fundamentals (McGraw-Hill 1988) (available at
`http://catalog.loc.gov/vwebv/holdingsInfo?searc
`hId=20946&recCount=25&recPointer=4&bibId=
`2421798.)
`Willard W. Pulkrabek, Engineering Fundamentals
`of the Internal Combustion Engine (Prentice Hall,
`
`1866
`
`1867
`1868
`
`1869
`
`’347 Patent
`
`Jeff Stein CV
`Heywood
`
`Pulkrabek
`
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`
`1870
`
`1871
`
`1872
`
`1873
`
`1874
`
`1875
`
`1997) (available at
`http://catalog.loc.gov/vwebv/holdingsInfo?searc
`hId=10003&recCount=25&recPointer=1&bibId=
`2109503.)
`Hawley, G.G., The Condensed Chemical
`Dictionary, Van Nostrand Reinhold Co., 9th ed.
`(1977) (available at
`http://catalog.loc.gov/vwebv/holdingsInfo?searc
`hId=21541&recCount=25&recPointer=14&bibId
`=1289584.)
`U.S. Patent No. 913,846 issued to Pieper (Mar. 2,
`1909)
`Michael Duoba, Ctr. for Transp. Research,
`Argonne Nat’l Lab., Challenges for the Vehicle Tester in
`Characterizing Hybrid Electric Vehicles, 7th CRC on
`Road Vehicle Emissions Workshop (April 1997)
`(available at
`http://www.osti.gov/scitech/biblio/516019.)
`Society of Automotive Engineers Special
`Publication, Technology for Electric and Hybrid Vehicles,
`SAE SP-1331 (February 1998) (available at
`http://www.worldcat.org/title/technology-for-
`electric-and-hybrid-vehicles/oclc/39802642.)
`Catherine Anderson & Erin Pettit, The Effects of
`APU Characteristics on the Design of Hybrid Control
`Strategies for Hybrid Electric Vehicles, SAE Technical
`Paper 950493, published as part of Society of
`Automotive Engineers Special Publication,
`DESIGN INNOVATIONS IN Electric AND
`Hybrid Electric Vehicles, SAE SP-1089 (February,
`1995) (available at
`http://papers.sae.org/950493/.)
`Yamaguchi et al., Development of a New Hybrid System
`– Dual System, SAE Technical Paper 960231,
`published as part of Society of Automotive
`Engineers Special Publication, Strategies in
`Electric and Hybrid Vehicle Design, SAE SP-1156,
`(February 1996) (available at
`http://www.worldcat.org/title/strategies-in-
`electric-and-hybrid-vehicle-design-sae-special-
`
`Hawley
`
`Pieper
`
`Duoba
`
`SP-1331
`
`Anderson
`
`Yamaguchi Paper
`
`PAGE 9 OF 372
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`
`publication-sp-1156-a-collection-of-papers-
`presented-for-sessions-at-the-1996-sae-
`international-congress-and-
`exposition/oclc/312822989?ht=edition&referer=
`di; and http://papers.sae.org/960231/.)
`U.S. Patent No. 3,888,325 issued to Reinbeck
`(June 10, 1975)
`U.S. Patent No. 4,335,429 issued to Kawakatsu
`(June 15, 1982)
`L. E. Unnewehr et al., Hybrid Vehicle for Fuel
`Economy, SAE Technical Paper 760121 (1976)
`(available at http://papers.sae.org/760121/.)
`Brown, T.L. et al., Chemistry, The Central Science,
`Third Edition (Prentice-Hall, 1985) (available at
`http://catalog.loc.gov/vwebv/holdingsInfo?searc
`hId=21829&recCount=25&recPointer=13&bibId
`=4259071.)
`Grunde T. Engh & Stephen Wallman, Development
`of the Volvo Lambda-Sond System, SAE Technical
`Paper 770295 (1977) (available at
`http://papers.sae.org/770295/.)
`A.G. Stefanopoulou et al., Engine Air-Fuel Ratio
`and Torque Control using Secondary Throttles,
`Proceedings of the 33rd IEEE Conference on
`Decision and Control, (December 1994) (available
`at
`http://ieeexplore.ieee.org/xpl/articleDetails.jsp?tp
`=&arnumber=411385&queryText%3DA.+G.+Ste
`fanopoulou+et+al.%2C+Engine+Air-
`Fuel+Ratio+and+Torque+Control+using+Secon
`dary+Throttles%2C+Proceedings+of+the+33rd+
`IEEE+Conference+on+Decision+and+Control+
`.LB.December+1994.RB.)
`General Electric Company, Corp. Research &
`Dev., Near-Term Hybrid Vehicle Program, Final
`Report - Phase 1 (October 1979) (available at
`http://ntrs.nasa.gov/search.jsp?R=19800017707.)
`William J. Palm III, Control Systems Engineering
`(John Wiley & Sons, 1986) (available at
`http://catalog.loc.gov/vwebv/holdingsInfo?searc
`
`Reinbeck
`
`Kawakatsu
`
`Unnewehr
`
`Brown
`
`Engh
`
`Stefanopoulou
`
`GE Final Report
`
`Palm III
`
`1876
`
`1877
`
`1878
`
`1879
`
`1880
`
`1881
`
`1882
`
`1883
`
`PAGE 10 OF 372
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`
`
`hId=10476&recCount=25&recPointer=0&bibId=
`3806292.)
`Ronald K. Jurgen, Automotive Electronics Handbook,
`(McGraw-Hill 1995) (available at
`http://catalog.loc.gov/vwebv/holdingsInfo?searc
`hId=10485&recCount=25&recPointer=1&bibId=
`1598658.)
`Ronald E. Kruse and Thomas A. Hulse,
`Development of the Federal Urban Driving
`Schedule, SAE Technical Paper 730553 (1973).
`Kruse is a true and accurate copy of a technical
`paper that I understand was published in 1973 by
`SAE. (Kruse, Ex. 1885 at 1-2) (available at
`http://papers.sae.org/730553/)
`Feng An and Matthew Barth, Critical Issues in
`Quantifying Hybrid Electric Vehicle Emissions and Fuel
`Consumption, SAE Technical Paper 981902,
`published as part of the Future Transportation
`Technology Conference & Exposition, (August
`11-13, 1998) (available at
`http://papers.sae.org/981902/)
`Mehrdad Ehsani et al., Propulsion System Design of
`Electric and Hybrid Vehicles, IEEE Transactions on
`Industrial Electronics, Vol. 44, No. 1 (February
`1997) (available at
`http://ieeexplore.ieee.org/xpl/articleDetails.jsp?tp
`=&arnumber=557495&queryText%3DMehrdad+
`Ehsani+et+al.%2C+Propulsion+System+Design
`+of+Electric+and+Hybrid+Vehicles%2C)
`U.S. Patent No. 5,479,898 issued to Cullen et al.
`(Jan. 2, 1996)
`
`Jurgen
`
`Kruse
`
`An
`
`Ehsani Paper
`
`Cullen
`
`
`
`1884
`
`1885
`
`1886
`
`1887
`
`1888
`
`
`
`
`
`
`
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`Case No: IPR2015-00801
`Attorney Docket No. FPGP0104IPR8
`
`
`I.
`
`INTRODUCTION
`
`A. Engagement
`
`
`
` My name is Jeffrey L. Stein. I have been retained by counsel for Ford 1.
`
`Motor Company (“Ford”) as an expert witness in the above-captioned proceeding. I
`
`have been asked to provide analysis and my opinion about the state of the art of the
`
`technology described in U.S. Patent No. 7,237,634 (“the ’634 Patent,” Ex. 1851) and
`
`on the patentability of claims 80, 111, 114, 144, 241, 264, 266, 267, 278-280, 282-291
`
`(“the challenged claims”) of the ’634 Patent.
`
`B.
`
`
`2.
`
`Background and Qualifications
`
`I am currently a Professor of Mechanical Engineering at the University
`
`of Michigan, Ann Arbor Campus, and the former Associate Director of the
`
`Automotive Research Center at the University of Michigan. I have studied, taught
`
`and/or practiced in the relevant hybrid electric vehicle (HEV) control technology for
`
`over 20 years.
`
`
`
`
`3.
`
`I received my Ph.D. degree
`
`in Mechanical Engineering from
`
`Massachusetts Institute of Technology in 1983. I received a Masters of Science degree
`
`in Mechanical Engineering and a Bachelors of Science degree in Mechanical
`
`Engineering from Massachusetts Institute of Technology in 1976.
`
`
`4.
`
`In my capacity as a Professor, I teach undergraduate and graduate
`
`courses in mechanical design, dynamics, systems and control engineering. In my
`
`capacity as a Professor, I also do research in the area of automotive system design and
`
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`Case No: IPR2015-00801
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`control as well as machine design and control. In several of my research projects, my
`
`students and I discovered unique ways to model, design and control automotive
`
`powertrains including hybrid powertrains.
`
`
`5.
`
` In addition to being the former Associate Director of the Automotive
`
`Research Center at the University of Michigan, I am also the former Principle
`
`Investigator (PI) of the project “A Multi-Scale Design and Control Framework for
`
`Dynamically Coupled Sustainable and Resilient Infrastructures, with Application to
`
`Vehicle-to-Grid Integration.” I am currently the PI of a project “Sustainable
`
`Transportation for a 3rd Century: An Interdisciplinary Approach to Addressing the
`
`Last Mile Problem for Enhanced Accessibility.” In my work at the Automotive
`
`Research Center, and on these projects, I have developed computer–based methods
`
`for facilitating the design evaluation of automotive powertrains including hybrid
`
`powertrains.
`
`
`6.
`
` From 1983 through 1987 and 1991 through the present, I have also
`
`worked as an Independent Consultant concentrating in the area of design and risk
`
`analysis of mechanical systems and manufacturing machines. Much of this work is
`
`particularly germane to the area of automotive powertrains. Some examples include:
`
`hybrid electric vehicles, automated mechanical transmissions and transfer cases for
`
`on-demand four-wheel drive.
`
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`From 1988 through 1991, I was also employed as an Independent
`
`
`7.
`
`Consultant for Failure Analysis Associates in San Francisco, California, focusing on
`
`the design and risk analysis of mechanical systems and manufacturing machines.
`
`
`8.
`
`I am a registered Professional Engineer in the State of Michigan, and am
`
`a member of several professional engineering organizations including the Society of
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`Automotive Engineers, National Society of Professional Engineers, the American
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`Society of Mechanical Engineers, the Society of Manufacturing Engineers, and the
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`American Society for Engineering Education.
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`9.
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`In my work, I have had a number of opportunities to deal with U.S.
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`Patents. This work has included infringement and validity analysis in the areas of
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`hybrid electric vehicle powertrain design, CNC machine tool control, automotive
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`transfer case design and control, automotive interior lighted mirror design, automated
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`mechanical transmissions, agricultural seed meters, automotive shipping containers,
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`medical beds and automated chemical immunoassay machines.
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`
`10.
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`I have authored over 65 journal articles, including at least 13 articles that
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`are related to hybrid electric vehicles. I have also contributed to over 115 refereed
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`conference papers, including at least 18 papers that are related to hybrid electric
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`vehicles.
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`
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` My Curriculum Vitae is submitted herewith as Exhibit 1867 (“Jeff Stein 11.
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`CV”), and provides a listing of all publications on which I am a named author.
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`Case No: IPR2015-00801
`Attorney Docket No. FPGP0104IPR8
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`
`C.
`
`
`12.
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`Compensation and Prior Testimony
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`I am being compensated at a rate of $425 per hour to provide analysis
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`and testimony in this inter partes review proceeding. My compensation is not
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`contingent on the outcome of any matter or the specifics of my testimony. I have no
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`financial interest in the Petition.
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`13.
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`I have previously provided expert testimony in over 15 patent-related
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`matters. My Curriculum Vitae identifies some of the areas in which I have previously
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`provided expert testimony. (Jeff Stein CV, Ex. 1867.)
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`D. Materials and Information Considered
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`
`
` My findings, as explained below, are based on my years of education, 14.
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`research, experience, and background in the fields discussed above, as well as my
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`investigation and study of relevant materials. In forming my opinions, I have studied
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`and considered the materials identified in the Exhibit List shown at the beginning of
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`my report. Each of the exhibits listed are true and accurate copies. The Exhibit List
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`includes citations for each exhibit I have reviewed including a weblink where
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`appropriate or applicable.
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`
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` Additionally, I am aware of information generally available to, and relied 15.
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`upon by, persons of ordinary skill in the art at the relevant times, including technical
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`dictionaries and technical reference materials (including textbooks, manuals, technical
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`papers and articles); some of my statements below are expressly based on such
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`awareness.
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` Due to procedural limitations for inter partes reviews, the grounds of 16.
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`unpatentability discussed herein are based solely on prior patents and other printed
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`publications. I understand that Petitioner reserves all rights to assert other grounds for
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`unpatentability or invalidity, not addressed herein, at a later time. Thus, the absence of
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`discussion of such matters here should not be taken as indicating that there are no
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`such additional grounds for unpatentability and invalidity of the ’634 Patent.
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`II. RELEVANT LEGAL STANDARDS
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`A. General
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`
`17.
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`In expressing my opinions and considering the subject matter of the
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`challenged claims of the ’634 Patent, I am relying upon certain basic legal principles
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`that have been provided and/or explained to me.
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`
`18.
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`I understand that in this proceeding Ford has the burden of proving that
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`the challenged claims of the ’634 Patent are unpatentable by a preponderance of the
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`evidence. I understand that under “a preponderance of the evidence” standard, Ford
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`must show that a fact is more likely true than it is not.
`
`
`19.
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` I understand that for an invention claimed in a patent to be found
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`patentable, it must be, among other things, new and not obvious from what was
`
`known before the invention was made.
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`20.
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`I understand the information that is used to evaluate whether a claimed
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`invention is patentable is generally referred to as “prior art” and includes patents and
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`printed publications (e.g., books, journal publications, articles on websites, product
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`manuals, etc.).
`
`
`21.
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`I understand that there are two ways in which prior art may render a
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`patent claim unpatentable. First, I understand the prior art can be shown to
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`“anticipate” the claim. Second, I understand the prior art can be shown to have made
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`the claim “obvious” to a person of ordinary skill in the art. My understanding of the
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`two legal standards is set forth below.
`
`B.
`
`
`22.
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`Priority Dates for Claimed Subject Matter
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`I understand that in order to be considered “prior art,” patents or
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`printed publications must predate the pertinent priority dates for the subject matter
`
`claimed in the ’634 Patent.
`
`
`23.
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`I have been informed that a patent is only entitled to a priority date
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`based on an earlier filed application if the earlier filed application meets the
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`requirements of 35 U.S.C. §112. Specifically, I have been informed that 35 U.S.C. §
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`112, ¶ 1 requires that the specification of a patent or patent application must “contain
`
`a written description of the invention, and the manner and process of making and
`
`using it, in such full, clear, concise, and exact terms as to enable any person skilled in
`
`the art to which it pertains, or with which it is most nearly connected, to make and
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`use the [invention] . . . .” I understand that the requirements of this provision are
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`commonly called
`
`the written description requirement and
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`the enablement
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`requirement.
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`I have been informed that compliance with both the written description
`
`
`24.
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`requirement and enablement requirement must be determined as of the effective filing
`
`date of the application for which priority is sought.
`
`
`25.
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`I have been informed that to satisfy the written description requirement
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`a patent’s specification should reasonably convey to a person of skill in the art that the
`
`inventor had possession of the claimed invention as of the effective filing date of the
`
`application.
`
`C.
`
`
`26.
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`Claim Construction Standard
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`I understand that in this proceeding, the claims must be given their
`
`broadest reasonable interpretation consistent with the specification. I have been
`
`informed that the claims, after being construed in this manner, are then to be
`
`compared to the information in the prior art, which for this proceeding is limited to
`
`patents and printed publications. I also understand that, at the same time, absent
`
`some reason to the contrary, claim terms are typically given their ordinary and
`
`accustomed meaning as would be understood by one of ordinary skill in the art.
`
`
`27.
`
`I understand that in other forums, such as in federal courts, different
`
`standards of proof and claim interpretation control, which are not applied by the U.S.
`
`Patent and Trademark Office for inter partes review. Accordingly, I understand that any
`
`interpretation or construction of the challenged claims in this proceeding, either
`
`implicitly or explicitly, should not be viewed as constituting, in whole or in part,
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`Petitioner’s own interpretation or construction, except as regards the broadest
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`reasonable construction of the claims presented.
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`D. Anticipation
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`
`28.
`
`I understand that the following standards govern the determination of
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`whether a patent claim is “anticipated” by the prior art.
`
`
`29.
`
`I understand that, for a patent to be “anticipated” by the prior art, each
`
`and every limitation of the claim must be found, expressly, implicitly or inherently, in
`
`a single prior art reference. I further understand that the requirement of strict identity
`
`between the claim and the reference is not met if a single element or limitation
`
`required by the claim is missing from the applied reference.
`
`
`30.
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`I understand that claim limitations that are not expressly described in a
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`prior art reference may still be there if they are implicit or inherent to the thing or
`
`process being described in the prior art. I have been informed that to establish
`
`inherency, the extrinsic evidence must make clear that the missing descriptive matter
`
`is necessarily present in the thing described in the reference and that it would be so
`
`recognized by persons of ordinary skill in the art. I have been informed that inherency
`
`cannot be established just because a certain thing may result from a given set of
`
`circumstances.
`
`
`31.
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`I understand that it is acceptable to consider evidence other than the
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`information in a particular prior art document to determine if a feature is necessarily
`
`present in or inherently described by that reference.
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`E. Obviousness
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`
`32.
`
`I understand that for a single reference or a combination of references to
`
`render obvious a claimed invention, a person of ordinary skill in the art must have
`
`been able to arrive at the claimed invention by altering or combining the applied
`
`references.
`
`
`33.
`
`I have been informed that a patent claim can be found unpatentable as
`
`obvious where the differences between the subject matter taught to be patented and
`
`the prior art are such that the subject matter as a whole would have been obvious at
`
`the time the invention was made to a person of ordinary skill in the relevant field.
`
`Specifically, I understand that the obviousness question involves a consideration of:
`
`a) the scope and content of the prior art;
`
`b) the differences between the prior art and the claims at issue;
`
`c) the knowledge of a person of ordinary skill in the pertinent art; and
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`d) whatever objective factors indicating obvious