Filed on behalf of: Caterpillar Inc.
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`CATERPILLAR INC.,
`Petitioner
`
`v.
`
`ESCO CORPORATION,
`Patent Owner
`
`U.S. Patent No. 8,689,472
`
`DECLARATION OF LEE A. HORTON, P.E.
`
`
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`Page 1 of 131
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`CATERPILLAR EXHIBIT 1002
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`

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`TABLE OF CONTENTS
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`I.
`
`INTRODUCTION ........................................................................................... 1
`
`II.
`
`QUALIFICATIONS ........................................................................................ 1
`
`III. MATERIALS REVIEWED ............................................................................ 3
`
`IV. PERSON OF ORDINARY SKILL IN THE ART .......................................... 4
`
`V.
`
`RELEVANT LEGAL STANDARDS ............................................................. 4
`
`VI. OVERVIEW OF THE ’472 PATENT ............................................................ 6
`
`VII. SCOPE AND CONTENT OF PRIOR ART ................................................... 9
`
`A. Gale ....................................................................................................... 9
`
`B.
`
`Peterson, Adamic, and Clendenning ................................................... 16
`
`VIII. CLAIM CONSTRUCTION .......................................................................... 22
`
`IX. THE PRIOR ART RENDERS UNPATENTABLE CLAIMS 1-20 OF
`THE ’472 PATENT ....................................................................................... 27
`
`A.
`
`Claims 1-20 Are Unpatentable Because Claims 1-20 Are
`Obvious over Gale in View of Peterson and Because Claims
`14-20 Are Anticipated by Gale ........................................................... 27
`
`1.
`
`2.
`
`3.
`
`Claim 1 ...................................................................................... 28
`
`Claim 2: “A wear assembly in accordance with claim 1
`wherein the lock includes a body and a resilient member” ...... 50
`
`Claim 3: “A wear assembly in accordance with claim 1
`wherein the lock includes a bearing face that is moved
`into opposition with a complementary surface on the base
`when the lock is moved to the pre-established hold
`position” .................................................................................... 51
`
`4.
`
`Claim 4: “A wear assembly in accordance with claim 1
`wherein the lock includes a tool-receiving formation for
`
`i
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`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`moving the lock between the pre-established hold
`position and the pre-established release position” .................... 52
`
`Claim 5: “A wear assembly in accordance with claim 2
`wherein the resilient member resists movement of the
`body between the pre-established hold position and the
`pre-established release position”............................................... 54
`
`Claim 6: “A wear assembly in accordance with claim 2
`wherein the body and the resilient member are secured to
`each other for insertion in the lock opening as an integral
`unit” ........................................................................................... 56
`
`Claim 7: “A wear assembly in accordance with claim 2
`wherein the body is moved about an axis less than a
`single rotation as the body is adjusted between the pre-
`established hold position and the pre-established release
`position” .................................................................................... 59
`
`Claim 8: “A wear assembly in accordance with claim 2
`wherein the body is free of a threaded connection
`effecting the movement between the pre-established hold
`position and the pre-established release position” .................... 62
`
`Claim 9: “A wear assembly in accordance with claim 2
`wherein the body includes a latch formation for retaining
`the lock in the pre-established hold position and the pre-
`established release position” ..................................................... 62
`
`10. Claim 10: “A wear assembly in accordance with claim 5
`wherein the body and the resilient member are secured to
`each other for insertion in the lock opening as an integral
`unit” ........................................................................................... 64
`
`11. Claim 11: “A wear assembly in accordance with claim 10
`wherein the body includes a latch formation for retaining
`the lock in the pre-established hold position and the pre-
`established release position” ..................................................... 66
`
`12. Claim 12: “A wear assembly in accordance with claim 11
`wherein the body is moved about an axis less than a
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`ii
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`single rotation as the body is adjusted between the pre-
`established hold position and the pre-established release
`position” .................................................................................... 68
`
`13. Claim 13: “A wear assembly in accordance with claim 12
`wherein the body is free of a threaded connection
`effecting the movement between the pre-established hold
`position and the pre-established release position” .................... 71
`
`14. Claim 14 .................................................................................... 71
`
`15. Claim 15 .................................................................................... 90
`
`16. Claim 16: “A wear assembly in accordance with claim 15
`wherein the body includes a bearing face that is moved
`into opposition with a complementary surface on the base
`when the lock is moved to the hold position and that is
`moved out of opposition with the complementary surface
`on the base when the lock is moved to the release
`position” .................................................................................. 103
`
`17. Claim 17: “A wear assembly in accordance with claim 16
`wherein the lock includes a tool-receiving formation for
`moving the lock between the hold position and the
`release position” ...................................................................... 104
`
`18. Claim 18 .................................................................................. 107
`
`19. Claim 19: “A wear assembly in accordance with claim 18
`wherein the lock includes a body with a bearing face that
`is moved into opposition with a complementary surface
`on the base when the lock is moved to the hold position
`and a resilient member that releasably maintains the lock
`in each of the hold and release positions”............................... 116
`
`20. Claim 20: “A wear assembly in accordance with claim 19
`wherein the lock includes a tool-receiving formation for
`moving the lock between the hold position and the
`release position” ...................................................................... 119
`
`X.
`
`CONCLUSION ............................................................................................ 122
`
`iii
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`I, Lee A. Horton, declare as follows:
`
`I.
`
`INTRODUCTION
`
`1.
`
`I have been retained by Caterpillar Inc. (“Caterpillar” or “Petitioner”) as
`
`an independent expert in this proceeding before the United States Patent and
`
`Trademark Office (“PTO”) involving U.S. Patent No. 8,689,472 (“the ’472 patent”)
`
`(Ex. 1001). I have prepared this declaration in support of Caterpillar’s Petition for
`
`Inter Partes Review.
`
`2.
`
`In my opinion, the claims of the ’472 patent are not patentable. The
`
`claims recite features of wear assemblies well known in the prior art. Claims 14-20 are
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`anticipated by U.S. Patent No. 6,085,448 to Gale et al. (“Gale”) (Ex. 1003), and all of
`
`claims 1-20 would have been obvious over Gale in view of U.S. Patent No. 4,505,058
`
`to Peterson (“Peterson”) (Ex. 1004). Therefore, I believe that claims 1-20 of the ’472
`
`patent are either anticipated by or obvious in view of the prior art.
`
`II. QUALIFICATIONS
`
`3.
`
`I have been involved in new product-development engineering in the
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`construction industry for over thirty years. My work has related to components for
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`excavators, wheel loaders, backhoes, and crawler tractors, and I have been directly
`
`involved with the design, debugging, and testing of many construction-equipment
`
`products. Currently, I am the President of Leading Edge Attachments, Inc. (“Leading
`
`Edge”), a designer and supplier of high-quality attachments and quick-change
`
`couplers for excavating equipment. Our products include buckets, rippers, and rakes
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`1
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`that all use replaceable wear parts. As part of my work at Leading Edge, I design
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`construction-equipment attachments that use adapters and teeth, including teeth that
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`can be used on excavators, backhoes, or wheel loaders for rock and frost ripping. In
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`addition to engineering and design, I communicate and receive feedback from dealers
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`and end-users of our products.
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`4.
`
`I graduated from Purdue University in 1980 with a Bachelor’s of Science
`
`degree in Mechanical Engineering. I focused my studies at Purdue on machine design,
`
`taking several Master’s level courses in that discipline. I also received a Master of
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`Business Administration degree from Illinois Institute of Technology in 1993.
`
`5.
`
`After graduating from Purdue University, I worked for five years at
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`International Harvester and its successor, Dresser Industries, designing small and
`
`large rubber-tired loaders. During that time, I was involved with the specification of
`
`the buckets and teeth for the products. I later worked for six years at Komatsu
`
`Dresser Company and Komatsu America, where I was responsible for a group of
`
`twenty-three engineers that dealt with modifying the designs of the Japanese Komatsu
`
`excavators for use in the United States.
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`6.
`
`In 1994, I became the Director of Engineering for Wain-Roy, Inc.
`
`(“Wain-Roy”), a manufacturer of backhoe and excavator couplers, buckets, and tools.
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`In this position, I was responsible for the specification of ground-engaging tools on
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`all of the products that Wain-Roy manufactured. I then became the Manager of
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`Engineering for Woods Equipment Company in charge of engineering for
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`2
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`construction-equipment attachments, including attachments for excavators, backhoes,
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`skid-steer loaders, and rubber-tired loaders. I was involved in new product design and
`
`maintenance engineering for all aspects of these attachments, including the teeth and
`
`adapters that were sourced for the product.
`
`7.
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`I am a licensed professional engineer. I am named as an inventor on
`
`eighteen U.S. patents and one allowed patent application, most of which relate to
`
`construction equipment. I am also a named inventor on various pending U.S. patent
`
`applications, foreign patents, and foreign patent applications. From 1988 to 1991, I
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`was the Vice President of the Society of Automotive Engineers Excavator subsection.
`
`I have won many awards for my work-tool and wear-part designs, including
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`Construction Equipment magazine’s “Top 100 Products of the Year” for 2012, Equipment
`
`World magazine’s “Top 50 Products of the Year” for 2012, and Equipment World
`
`magazine’s “Innovation Award” for 2006, and I was nominated for Construction
`
`Equipment magazine’s “Nova Award” for 2006.
`
`8. My curriculum vitae (attached as Appendix A) includes a more detailed
`
`summary of my background and experience.
`
`III. MATERIALS REVIEWED
`
`9.
`
`In forming my opinions, I have reviewed the ’472 patent, the
`
`prosecution history of the ’472 patent, and all of the documents discussed in this
`
`declaration. I have also relied upon my understanding of ground-engaging tools and
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`3
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`wear parts, developed through decades of experience with this technology prior to the
`
`invention of the ’472 patent.
`
`IV. PERSON OF ORDINARY SKILL IN THE ART
`
`10.
`
`In my opinion, a person of ordinary skill in the art of the ’472 patent
`
`would have a degree in mechanical engineering or equivalent, and three to five years
`
`of machine design or application experience. I have used such a level of skill in my
`
`analysis below. This level of skill is approximate and more experience would
`
`compensate for less formal education, and vice versa.
`
`11.
`
`I am above the level of ordinary skill in the art and was above the level
`
`of ordinary skill in the art at the time of the invention. I had a degree in mechanical
`
`engineering and over twenty-four years of machine-design experience relating to
`
`construction equipment and ground-engaging tools at the time of the invention.
`
`V. RELEVANT LEGAL STANDARDS
`
`12.
`
`It is my understanding that for a claim to be patentable over the prior art,
`
`the claim must be both novel and nonobvious. If a claim is not novel and nonobvious
`
`in view of the prior art, then the claim is not patentable.
`
`13. A claim is anticipated by the prior art, i.e., not novel, when a single prior
`
`art reference teaches every feature of the claim, either explicitly or inherently. For a
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`prior art reference to teach a feature inherently, that feature must necessarily be
`
`present in the reference.
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`4
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`14.
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`It is also my understanding that a claim is rendered obvious if the
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`differences between the claimed invention and the prior art are such that the claimed
`
`invention as a whole would have been obvious to a person having ordinary skill in the
`
`art at the time of the invention. Analyzing obviousness requires the resolution of
`
`several factual inquiries. These inquiries include the scope and content of the prior art,
`
`the level of ordinary skill in the field of the invention, the differences between the
`
`claimed invention and the prior art, and any objective evidence of nonobviousness.
`
`15.
`
`I understand that objective evidence of nonobviousness directly
`
`attributable to the claimed invention, known as “secondary considerations” of
`
`nonobviousness, may include commercial success, satisfaction of a long-felt but
`
`unsolved need, failure of others, copying, skepticism or disbelief before the invention,
`
`and unexpected results. I am not aware of any such objective evidence of
`
`nonobviousness that is attributable to the ideas claimed in the ’472 patent.
`
`Furthermore, I have been advised that secondary considerations cannot outweigh a
`
`strong case of obviousness, as is the case here.
`
`16.
`
`In addition, I understand that the law requires a “common sense”
`
`approach when determining whether a claimed invention would have been obvious to
`
`a person having ordinary skill in the art. For example, combining familiar elements
`
`according to known methods is likely to be obvious when it does no more than yield
`
`predictable results. This is especially true in instances where there are limited numbers
`
`of possible solutions to technical problems or challenges.
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`5
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`17.
`
`I have been informed that when a patent claims a structure already
`
`known in the prior art that is altered by the mere substitution of one element for
`
`another known in the field, the combination must do more than yield a predictable
`
`result. And when there is a design need or market pressure to solve a problem and
`
`there are a finite number of identified, predictable solutions, a person of ordinary skill
`
`has good reason to pursue the known options within his or her technical grasp. If this
`
`leads to the anticipated success, it is likely the product not of innovation but of
`
`ordinary skill and common sense.
`
`VI. OVERVIEW OF THE ’472 PATENT
`
`18. The ’472 patent issued from U.S. Patent Application No. 13/705,691
`
`filed on December 5, 2012, which is a divisional application of U.S. Patent
`
`Application No. 13/369,699 (“the ’699 application”), which was filed on February 9,
`
`2012. The ’699 application is a divisional application of U.S. Patent Application No.
`
`13/005,791 (“the ’791 application”), which was filed on January 13, 2011. The ’791
`
`application is a divisional application of U.S. Patent Application No. 11/729,502
`
`(“the ’502 application”), and the ’502 application claims priority to U.S. Provisional
`
`Application No. 60/787,268, which was filed on March 30, 2006.
`
`19. The ’472 patent relates to wear assemblies for excavating equipment that
`
`“protect the equipment from wear.” Ex. 1001 at 1:19-21, 1:45-48. The disclosed wear
`
`assembly 10 (shown below) includes a wear member 12, which may be a tooth, a
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`6
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`shroud, or another kind of wear part. Id. at 4:30-52. Wear member 12 is releasably
`
`secured to a base 15 by a lock 17. Id.
`
`Base
`
`Wear Member
`
`Lock
`
`
`
`Perspective view of wear assembly (’472 Patent FIG. 1)
`
`20. Lock 17 pivots in hole 81 of wear member 12. Lock 17 can pivot
`
`between a “release” or unlocked position to allow wear member 12 to be installed
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`onto base 15, id. at FIG. 23, and a “hold” or locked position to hold wear member 12
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`onto base 15, id. at FIG. 25.
`
`Wear
`Member
`
`Adapter
`
`Lock
`
`Tool
`
`Lock moving from “release” to “hold” position (’472 Patent FIGS. 23 and 25)
`
`
`
`
`
`7
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`21. Lock 17 is constructed of multiple parts, id. at 9:34-10:8, including a
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`body 110, a latch formation 115, notches 122, 124, and 126, and a resilient member
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`112. Id. at 9:60-10:11, 11:20-32, FIGS. 18, 22 (below).
`
`
`
`
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`Perspective view and cross-sectional side view of lock (’472 Patent FIGS. 18 and 22)
`
`22. The ’472 patent discloses that the lock is “integrally secured to the wear
`
`member,” and that the lock and wear member can be “maintained as a single integral
`
`component through shipping, storage, [and] installation . . . without reliance on
`
`threaded members.” Id. at 2:56-3:5. According to the ’472 patent, the disclosed
`
`arrangement “reduce[s] the risk of dropping or losing the lock during installation,”
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`“involves fewer independent components and an easier installation procedure,” and
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`“enables improved part management and easier installation of the wear member with
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`less risk of losing the lock.” Id. at 2:62-3:7.
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`8
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`VII. SCOPE AND CONTENT OF PRIOR ART
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`23. The concepts claimed in the ’472 patent were all well known at the time
`
`of filing of the provisional application from which the ’472 patent claims priority.1
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`Gale discloses several of the claimed features, such as a wear assembly with a base, a
`
`wear member, and a threadless lock secured to the wear member. Other patent
`
`documents, including Peterson, U.S. Patent Application Publication No. 2002/0000053
`
`to Adamic et al. (“Adamic”) (Ex. 1005), and U.S. Patent No. 6,079,132 to Clendenning
`
`(“Clendenning”) (Ex. 1006), confirm that persons of ordinary skill in the art at the time
`
`of the invention already recognized the need to secure a lock to prevent it from falling
`
`out. These documents are consistent with my own experience at that time that it was
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`desirable to secure locks such that they did not fall out of the wear parts with which
`
`they were combined. In addition, documents such as Peterson and Adamic each disclose
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`a wear assembly in which a lock is held to a wear part in both locked and unlocked
`
`positions of the lock, irrespective of whether the tooth and adapter of the wear
`
`assembly are attached to one another or separated from one another.
`
`A. Gale
`
`24. Gale is directed to the same concepts claimed in the ’472 patent. Gale
`
`explains that “[b]ecause of the loading forces and highly abrasive materials
`
`
`1 I have not done an analysis to determine whether U.S. Provisional Application No.
`60/787,268 provides support for the claims of the ’472 patent.
`
`9
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`encountered, ground engaging tools wear out rapidly and need to be replaced in order
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`to protect the parent material of the implement and to keep the implement working at
`
`peak efficiency.” Ex. 1003 at 1:23-27. To lengthen the usable life of the equipment,
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`Gale discloses “a mechanical retention system . . . for detachably retaining a
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`replaceable tool onto an earthworking implement.” Id. at 1:51-54.
`
`25. Gale discloses a tooth and adapter held together by a compressible
`
`retainer. Id. at 2:57-64, 3:66-67, 4:18-28, FIGS. 1-3. In particular, Gale discloses “a
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`replaceable ground engaging tool [or tooth] 14 . . . detachably retained on [an] adapter
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`12 by a mechanical retention system 16.” Id. at 2:61-63. One end of tooth 14 has a
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`sharp edge 44 for penetrating the ground and the other end of tooth 14 has a
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`mounting end portion 46. Id. at 3:38-40, FIGS. 1, 2. The mounting end portion 46 has
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`a socket 48 (i.e., a cavity) that receives a nose 20 of an adapter 12 so that tooth 14 can
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`be secured to the bucket 10, as shown below in FIG. 2. Id. at 3:40-51.
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`Adapter
`
`Tooth
`
`Mechanical
`Retention System
`
`
`Wear assembly including a tooth, an adapter, and a mechanical retention system (Gale FIG. 1)
`
`10
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`Adapter
`
`Retainer
`
`Tooth
`
`Cavity
`
`
`
`Side cross-sectional view of wear assembly including a tooth and an adapter (Gale FIG. 2)
`
`26. The wear assembly includes a spring retainer 76 to secure tooth 14 to
`
`adapter 12. Id. at 2:62-64, 3:66-67, 4:18-28, FIGS. 3, 4. Retainer 76 includes an integral
`
`spring portion 86 located between a pair of end portions 82 and 84. Id. at 4:2-5. Each
`
`end portion 82, 84 includes a flange 92, a boss 102 projecting above the spring
`
`portion 86, and a tool slot 104. Id. at 4:8-13, 4:37-43. A user can place a tool in the
`
`tool slot 104 to remove spring retainer 76 from the retainer opening 64. An optional
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`cover 106 may be placed on retainer 76 to prevent debris from entering spring
`
`portion 86 during use. Id. at 4:48-55. A perspective view of retainer 76 is shown below
`
`in annotated FIG. 4.
`
`11
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`Cover
`
`End
`Portions
`
`Tool Slot
`
`Retainer
`
`Flange
`
`Spring
`Portion
`
`
`
`Boss
`
`Perspective view of retainer and cover (Gale FIG. 4)
`
`27. Either before or after placing tooth 14 on adapter 12, a user compresses
`
`retainer 76 to fit into a retainer opening 64 of tooth 14 (see annotated and modified
`
`FIG. 3 below showing an example of how one of ordinary skill in the art at the time
`
`of the invention would have understood the retainer to be positioned in the unlocked
`
`position). Id. at 4:13-18, 7:28-35, FIG. 3. This positioning of retainer 76 could be
`
`accomplished in a variety of ways. For example, a user could insert retainer 76 into
`
`retainer opening 64 at an angle so that a flange 92 at one end of retainer 76 is against
`
`one of the end surfaces 66 or 68 of retainer opening 64. A tool, such as a screwdriver,
`
`could then be inserted into tool slot 104 at the other end of retainer 76 and pressure
`
`applied to compress retainer 76 such that the other end of retainer 76 is inserted
`
`12
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`further into retainer opening 64. This can be accomplished with tooth 14 either
`
`attached to adapter 12, or separated from adapter 12. Tooth 14 and retainer 76 could
`
`also be installed together at the factory and shipped in this unlocked position in order
`
`to simplify installation in the field. In this position, flanges 92 press against opposing
`
`end surfaces 66, 68 that define opening 64 of tooth 14. Id. at 4:8-18.
`
`Retainer
`Opening
`
`Retainer (edited to
`show compressed
`and in release
`position)
`
`Tooth
`
`Adapter
`
`Cross-sectional view of retainer in “release position” (Gale FIG. 3)
`
`
`
`28. When tooth 14 is placed on adapter 12, a user may then use a hammer
`
`or other tool to tap down retainer 76 through retainer opening 64 from the release
`
`position such that flange portions 92 of retainer 76 pass through retainer opening 64
`
`and into a retainer pocket 38 of adapter 12 (see annotated FIGS. 2 and 3 below
`
`depicting the retainer in the locked position). Id. at 4:18-28, FIGS. 2, 3. In the locked
`
`position, flanges 92 engage with an interior surface 94 of tooth 14, and a side 78 of
`
`13
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`retainer 76 bears against abutment 42 of adapter 12, thus preventing tooth 14 from
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`being removed from adapter 12. Id. at 4:18-28. An optional cover 106 may be placed
`
`on retainer 76 to prevent debris from entering spring portion 86 during use. Id. at
`
`4:48-55.
`
`Retainer moved down
`to the hold position
`from the release
`position and cover
`inserted
`
`Tooth
`
`Adapter
`
`Retainer
`Opening
`
`Retainer
`
`Front cross-sectional view of retainer in “hold position” (Gale FIG. 3)
`
`
`
`14
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`Adapter
`
`Retainer
`
`Tooth
`
`Cavity
`
`
`
`Side cross-sectional view of retainer in “hold position” (Gale FIG. 2)
`
`29. Retainer 76 is removed from the locked position through the use of a
`
`tool, such as a screwdriver, being inserted into one of tool slots 104 to pry retainer 76
`
`out from under interior surface 94 of tooth 14. Id. at 4:39-43, FIG. 3. Specifically, the
`
`tool would be used to compress and lift one side of retainer 76. Thus, during
`
`unlocking or removal from retainer pocket 38, retainer 76 would pivot. This is
`
`illustrated in the annotated and modified FIG. 3 below, which shows an example of
`
`how one of ordinary skill in the art at the time of the invention would have
`
`understood retainer 76 to be positioned in a partially removed tilted position as it is
`
`being pried from the locked position.
`
`15
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`
`
`End of retainer pried up
`and out of retainer pocket
`
`Tooth
`
`Retainer
`Opening
`
`Retainer (edited to
`show tilted and in
`partially removed
`position)
`
`Adapter
`
`
`
`Cross-sectional view of retainer in “partially removed tilted position” (Gale FIG. 3)
`
`30. Gale thus discloses a wear member, a base in the form of an adapter, a
`
`threadless lock secured to the wear member, a resilient member, tool-receiving
`
`formations, latch formations, and other well-known features.
`
`B.
`
`Peterson, Adamic, and Clendenning
`
`31.
`
`Persons of ordinary skill in the art at the time of the invention
`
`recognized the need for preventing the loss of locking parts. Peterson, which relates to
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`wear parts for excavation equipment, teaches securing a retainer 51 to a wear part (e.g.,
`
`adapter 12)2 in both locked and unlocked positions. Peterson discloses that “[s]ince the
`
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`2 An adapter is a wear part, as reflected by the ’472 patent’s specification. See Ex. 1001
`at 1:23-24, 4:48-50; see also ESCO’s U.S. Patent No. 7,367,144 to Jones, Ex. 1007 at
`1:34-36.
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`16
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`retainer is not normally removed from the adapter, the danger of it becoming lost
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`while a tooth is being replaced is obviated.” Ex. 1004 at 2:60-62.
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`32.
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`Peterson discloses a retainer 51 configured to be secured to an adapter 12
`
`in both unlocked and locked positions, as shown in annotated FIG. 4 below. Id. at
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`4:1-4, 4:49-52, 5:14-22. Specifically, Peterson discloses that a user compresses retainer
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`51 for insertion into an opening 32 of adapter 12. Id. at 4:56-61. Peterson discloses that
`
`a user then taps a top connector 52 of retainer 51 with a hammer or other tool until it
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`is in the locked position. Id. at 4:64-67. In the locked position, outwardly slanted
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`portions 61 of retainer 51 abut against corner 63 to prevent accidental removal of
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`retainer 51 from adapter 12. Id. at 4:49-52. To move retainer 51 from the locked
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`position to the unlocked position, a user inserts a blade of a screwdriver under top
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`connector 52 of retainer 51 and pries retainer 51 upward until outward-slanted
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`stretches 58 abut against projections 34 and tooth 11 can be removed from adapter 12.
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`Id. at 5:14-22, FIG. 4. After a new tooth 11 is installed, retainer 51 is then pushed
`
`back to the locked position. Id. at 2:54-56, FIG. 4.
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`17
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`Projections
`
`Retainer in
`unlocked position
`(broken line)
`
`
`
`Retainer in
`locked position
`(solid line)
`
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`Cross-sectional view of retainer in locked and unlocked positions (Peterson FIG. 4)
`
`33. Therefore, Peterson discloses securing retainer 51 to adapter 12 in both
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`locked and unlocked positions regardless of whether tooth 11 is inserted into adapter
`
`12.
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`Wear Member
`
`Support Structure
`
`Lock
`
`
`Perspective view of releasable locking assembly (Adamic FIG. 7)
`
`34. Other documents relating to excavating art, such as Adamic, similarly
`
`disclose securing a lock. In addition, Adamic further discloses securing the lock to the
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`tooth rather than the adapter. Ex. 1005 ¶¶ 0024-0030, FIGS. 7-9. Specifically, Adamic
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`18
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`Page 22 of 131
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`discloses a lock for securing a wear member 1 to a support structure 3, wherein the
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`lock includes a retainer and pin 13 (FIG. 7, shown above). In the embodiment of the
`
`retainer shown in FIGS. 8 and 9 below, the retainer is held within opening 5 of the
`
`wear member 1. Id. ¶¶ 0024, 0026. The retainer includes a band 10, and the interior of
`
`the opening 5 includes a corresponding groove within which the band 10 fits. Id.
`
`Adamic discloses that “[t]he shape of the opening would correspond to the shape of
`
`the pin retainer so that the pin retainer would be inserted into the opening and its
`
`band would ‘snap’ into the groove thereby holding the pin retainer in the opening.” Id.
`
`¶ 0026 Adamic also discloses that this embodiment of the retainer may have a tapered
`
`outer portion to facilitate snapping the band into the groove, and that the retainer
`
`may be constructed of a resilient polymer. Id. ¶¶ 0026, 0027. The retainer includes an
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`internally threaded central opening (threads not shown in FIGS. 8 and 9.) See id. ¶¶
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`0024, 0026, 0028.
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`Side and top views of retainer (Adamic FIGS. 8 and 9)
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`
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`19
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`Page 23 of 131
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`35.
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`FIG. 5 of Adamic, reproduced below, illustrates one embodiment of the
`
`pin 13 of Adamic’s lock. The pin 13 includes external threads that engage the internal
`
`threads of the retainer to hold pin 13 in the retainer and, thus, in the opening 5 of the
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`wear member 1. Id. ¶¶ 0024, 0028, FIG. 5. The pin 13 also includes an opening 15 for
`
`engaging a tool, such as a ratchet, to rotate the pin 13 within the retainer to screw the
`
`pin 13 into or out of the anterior cavity of the wear member 1. Id. ¶¶ 0028-0030, FIG.
`
`5. The pin 13 also includes a frustoconical end 14 that extends into the anterior cavity
`
`of the wear member 1 when the pin 13 and retainer are held in the opening 5. Id. ¶
`
`0028, FIG. 5.
`
`Side (a), top (b), and perspective (c) views of pin (Adamic FIG. 5)
`
`36. Adamic discloses that its system may be used as follows to secure the
`
`
`
`wear member 1 to, and release the wear member 1 from, the support structure 3. With
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`the wear member 1 separated from the support structure 3, the retainer pin 13 is held
`
`within the opening 5. Id. ¶¶ 0028-0029. The pin 13 may be entirely screwed into the
`
`20
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`Page 24 of 131
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`retainer such that the frustoconical end 14 projects into the anterior cavity of wear
`
`member 1. Id. Alternatively, pin 14 may be screwed into the retainer such that it
`
`extends into the cavity of wear member 1 to a degree that the frustoconical end 14
`
`does not interfere with insertion of the protruding nose of the support structure 3
`
`into the interior. Id. (“The lock pin may be placed into the retainer prior to installation
`
`of the wear member on the support structure as long as the inner end of the lock pin
`
`is flush with the interior surface of the wear member or does not protrude into the
`
`anterior cavity of the wear member to interfere with the installation of the wear
`
`member on the support structure.”). The protruding nose of the support structure 3 is
`
`then inserted into the anterior cavity of the wear member 1 until the recess 7 of the
`
`support structure 3 aligns with the opening 5 of the wear member 1. Id. The pin 13 is
`
`then rotated in the retainer to tighten the frustoconical end 14 of the pin 13 into the
`
`recess 7 of the support structure 3, thereby securing the wear member 1 to the
`
`support structure 3. Id. To release the wear member 1 from the support structure 3,
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`the pin 13 is rotated in the reverse direction until the pin 13 clears the recess 7. Id.
`
`¶ 0030. This may be done by retracting the pin 13 far enough to clear the recess 7
`
`while leaving the pin 13 held within the retainer and the opening 5 of the wear
`
`member 1. See id. (“To unlock the wear member from the support structure, a ratchet
`
`is used to rotate the pin 13 to loosen it from the pin retainer 9. The lock pin 13 is
`
`unscrewed from the pin retainer 9 either until its inner edge is flush with the inside
`
`surface of the wear member or it may be fully removed.”).
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`21
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`Page 25 of 131
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`37.
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`Finally, prior art references in the excavating art, such as Peterson and
`
`Clendenning, recognized the need to prevent “unintentional dislodgment” of a lock
`
`during use. Ex. 1004 at 4:67-5:1; see also Ex. 1006 at 1:41-63. Clendenning describ