UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`SANTA’S BEST AND POLYGROUP LIMITED (MCO)
`Petitioner
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`v.
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`VARIABLE LIGHTING, LLC,
`Patent Owner
`
`
`
`Case IPR2016-01066
`Patents 6,285,140 B1
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`DECLARATION OF MIKE WOOD
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`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`Santa's Best and Polygroup
`Exhibit 1003
`IPR2016-01066
`U.S. Pat. No. 6,285,140
`
`

`
`
`
`Wood DDeclarationn
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`
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`
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`UU.S. Patentt No. 6,2855,140
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`TABLE OOF CONTEENTS
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`..... 4 
`..... 8 
`..... 8 
`..... 9 
`... 10 
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`... 15 
`... 15 
`... 17 
`... 20 
`... 21 
`... 22 
`... 23 
`... 25 
`... 25 
`... 27 
`... 32 
`... 33 
`... 34 
`... 35 
`... 35 
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`... 35 
`... 35 
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`... 50 
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`... 53 
`
`- i -
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`LABC
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`PAB
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`ABC
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`ABCDEF
`
`I. 
`II. 
`
` 3.
`
`
`..................................
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`
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`
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`QQUALIFICCATIONS AAND EXPPERTISE ...................
`
`..................................
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`
`
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`LEGAL UNNDERSTAANDING ....................................
`
`..................................
`
`
`
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`A.  My UUnderstandding of Claaim Construruction ......
`
`..................................
`B. 
`
`
`
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`A Person Havinng Ordinarry Skill in tthe Art .....
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`
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`C.  My UUnderstandding of Obvviousness ..................
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`..................................
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`III.  BBACKGROOUND OF TECHNOOLOGIES DDESCRIBBED IN THHE ’140
`
`
`
`
`PATENT ......................................................................
`
`..................................
`ies ............
`A. 
`
`
`
`Backkground of f Lighting TTechnologi
`
`..................................
`B. 
`
`
`
`
`Overrview of the ’140 pateent .............................
`
`..................................
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`
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`
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`IV.  RRELEVANNT CLAIMM TERMS ...................................
`
`..................................
`A. 
`
`
`
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`“variable-effectt lighting ssystem” .....................
`
`..................................
`
`
`emitting ddiodes” .......................
`B. 
`
`
`
`“a paair of commmonly-couppled light-
`C. 
`
`
`
`
`
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`“condduction anngle of eachh said illumminating ellement” .....................
`
`
`
`
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`V.  OOVERVIEWW OF THEE APPLIEDD REFERERENCES ...
`
`..................................
`
`
`
`
`A.  Overrview of Kaazar ...........................................
`
`..................................
`B. 
`
`
`
`
`Overrview of Smmith ...........................................
`
`..................................
`C. 
`
`
`
`
`Overrview of Goomoluch ....................................
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`..................................
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`D.  Overrview of MMinato .........................................
`
`..................................
`E. 
`
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`
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`Overrview of Lyys ...............................................
`
`..................................
`F. 
`
`
`
`
`Overrview of Saato ..............................................
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`..................................
`
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`VI.  GGROUNDSS ...............
`
`..................................
`
`..................................
`................
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`
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`AA.  Grouund 1: Claimms 1, 2, 4, and 5 are
`obvious ovver Kazar
`
`and
`
`
`..................................................
`
`..................................
`
`Gommoluch .......
`................
`Claim 1 .
` 1.
`
`..................................
`
`..................................
`
`
`
`
`Kazar annd Gomoluuch teach cllaim 2: “wwherein the
` at least
` 2.
`
`user-operaable input
`
`
`
`one patteern is selecctable accorrding to a
`
`
`
`to the conntroller.” ...................................
`
`..................................
`oloured
`
`
`
`
`Kazar teaaches claimm 4 “whereein each saaid multi-c
`
`
`
`
`
`lamp commprises a ppair of commmonly-couupled lightt-emitting
`
`
`
`
`
`
`diodes, aa first light--emitting ddiode of thhe light-emmitting diodde
`
`
`
`
`
`
`comprising the firstt illuminatting elemennt and a seecond lightt-
`emitting
`
`
`
`
`diode of thhe light-emmitting diodde pair commprising
`
`
`
`the seconnd illuminaating elemeent.” ........
`
`..................................
`
`

`
`
`
`Wood DDeclarationn
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`
`
`UU.S. Patentt No. 6,2855,140
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`
`
`BB. 
`
`
`
`CC. 
`
` 4.
`
` 3.
`
` 4.
`
` 3.
`
` 4.
`
`rding to
`ystem accolighting sym 5: “The lKazar teaaches claim
`
`
`
`
`
`ectronic swwitches
`
`
`
`claim 4, wwherein thhe first andd second el
`... 55 
`
`
`
`form an HH-bridge.”” .................................
`
`..................................
`
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`
`
`
`
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`Grouund 2: Claimm 3 is obvvious over KKazar, Gommoluch, annd Minato::
`n
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`
`
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`
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`claimm 3 recites “[t]he lighhting systemm accordinng to claimm 1, wherei
`
`
`
`
`
`
`the laamp controoller includdes a tempeerature sennsor for sellecting the
`... 57 
`
`
`
`at leaast one patttern,” as reecited by c
`laim 3. .....
`
`..................................
`
`
`
`
`
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`Grouund 3: Claimms 6-9 aree obvious oover Kazarr, Sato, andd
`... 58 
`
`
`
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`Gommoluch .........................................................
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`..................................
`
`Claim 6 .................
` 1.
`
`..................................
`
`..................................
`... 58 
`
`
`
`
`
`Kazar, GGomoluch, and Sato teeach Claimm 7: “The nnight light
` 2.
`
`accordingg to claim
`
`
`
`6, whereinn each saidd predetermmined
`
`
`
`
`
`pattern iss selectablee accordingg to a userr-operable iinput to th
`e
`... 66 
`
`
`
`controlleer.” .............................................
`
`..................................
`
`
`
`Kazar, GGomoluch, and Sato teeach claimm 8: “The nnight light
`
`
`
`oured lampp
`
`accordingg to claim
`
`
`6, whereinn each saidd multi-col
`
`light-emittting
`
`
`
`comprisees a pair off commonlyy-coupled
`
`
`
`
`
`
`diodes, aa first light--emitting ddiode of thhe light-emmitting diodde
`
`
`
`
`
`
`comprising the firstt illuminatting elemennt and a seecond lightt-
`emitting
`
`
`
`
`diode of thhe light-emmitting diodde pair commprising
`
`
`
`the seconnd illuminaating elemeent.” ........
`
`..................................
`
`
`
`Kazar, GGomoluch, and Sato teeach claimm 9: “The nnight light
`
`
`des an
`
`accordingg to claim
`
`
`6, whereinn the controoller inclu
`
`
`
`
`
`ambient light sensoor for inhibbiting condduction of tthe
`
`
`
`
`
`illuminatting elemennts when aan intensityy of ambiennt light
`
`
`
`exceeds aa thresholdd.”..............................
`
`..................................
`
`
`
`
`
`
`
`DD.  Grouund 4: Claimms 10-13 aare obviouus over Kazzar, Lys, aand
`
`
`
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`Gommoluch .........................................................
`
`..................................
`
`
`
`Claim 100 .................................................
` 1.
`
`..................................
` 2.
`
`
`
`Kazar, GGomoluch, and Lys teeach claim
`
`11: “The jjewelry
`
`
`
`
`piece acccording to claim 10, wwherein eaach said
`
`
`
`
`
`predetermmined patteern is selecctable accoording to aa user-
`
`
`
`operable input to thhe controlleer.” ..........
`
`..................................
`
`
`
`Kazar, GGomoluch, and Lys teeach claim
`
`12: “The jjewelry
`
`
`
`
`
`piece acccording to claim 10, wwherein thhe lamp conntroller
`
`
`
`
`includes a temperatture sensorr for selectting the at
`least one
`pattern.”
`
`..................................
`
`
`..................................................
`
`
`
`Kazar, GGomoluch, and Lys teeach claim
`
`13: “The jjewelry
`
`
`
`
`
`piece acccording to claim 10, wwherein eaach said muulti-
`
`... 66 
`
`... 67 
`
`... 68 
`... 68 
`
`... 75 
`
`... 75 
`
`- ii -
`
`

`
`
`
`Wood DDeclarationn
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`
`
`UU.S. Patentt No. 6,2855,140
`
`
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`
`
`
`EE. 
`
`
`
`FF. 
`
` 3.
`
` 4.
`
` 3.
`
`upled light-monly-couair of commmprises a pacolouredd lamp com
`
`
`
`
`
`
`
`
`
`emitting diodes, a ffirst light-eemitting diiode of the
`light-
`emitting
`
`
`
`
`
`diode commprising thee first illumminating ellement and
`a second
`
`
`
`
`
`light-emittting diodee of the lighht-emittingg diode paiir
`comprisi
`... 77 
`
`
`
`
`ng the secoond illuminnating elemment.” .......................
`and
`
`
`
`Grouund 5: Claimms 1, 2, 4, and 5 are
`
`obvious ovver Smith
`
`
`..................................................
`
`..................................
`
`Gommoluch .......
`................
`Claim 1 .
` 1.
`
`..................................
`
`..................................
`
`
`
`
`
`Smith annd Gomoluuch teach cllaim 2: “Thhe lightingg system
` 2.
`
`accordingg to claim
`
`
`
`1, whereinn the at leaast one patttern is
`
`
`
`selectable accordinng to a userr-operable
`
`input to thhe
`
`
`
`..................................controlleer” ............
`
`..................................
`
`
`
`
`
`Smith annd Gomoluuch teach cllaim 4: “Thhe lightingg system
`
`
`accordingg to claim
`
`
`1, whereinn each saidd multi-col
`
`light-emittting
`
`
`
`comprisees a pair off commonlyy-coupled
`
`
`
`
`
`
`diodes, aa first light--emitting ddiode of thhe light-emmitting diodde
`
`
`
`
`
`
`comprising the firstt illuminatting elemennt and a seecond lightt-
`emitting
`
`
`
`
`diode of thhe light-emmitting diodde pair commprising
`
`
`
`the seconnd illuminaating elemeent.” ........
`
`..................................
`
`
`
`
`
`Smith annd Gomoluuch teach cllaim 5: “Thhe lightingg system
`
`accordingg to claim
`
`
`
`
`4, whereinn the first aand secondd electronicc
`
`
`
`switches form an HH-bridge.” ..................
`... 98 
`
`..................................
`
`
`
`
`
`
`
`Grouund 6: Claimm 3 is obvvious over SSmith, Gommoluch, annd Minato::
`n
`
`
`
`
`
`
`claimm 3 recites “[t]he lighhting systemm accordinng to claimm 1, wherei
`
`
`
`
`
`
`the laamp controoller includdes a tempeerature sennsor for sellecting the
`.100 
`
`
`
`
`at leaast one patttern.” .........................................
`
`..................................
`
`
`
`
`
`
`
`
`GG.  Grouund 7: Claimms 6-9 aree obvious oover Smithh Sato, andd Gomolucch102 
` 1.
`
`
`
`Claim 6 ...................................................
`
`..................................
`.102 
`
`
`
`
`
`Smith, GGomoluch, and Sato teeach claimm 7: “The nnight light
` 2.
`
`accordingg to claim
`
`
`
`6, whereinn each saidd predetermmined
`
`
`
`
`
`pattern iss selectablee accordingg to a userr-operable iinput to th
`e
`.111 
`
`
`
`controlleer.” .............................................
`
`..................................
`
`
`
`Smith, GGomoluch, and Sato teeach claimm 8: “The nnight light
`
`
`
`oured lampp
`
`accordingg to claim
`
`
`6, whereinn each saidd multi-col
`
`light-emittting
`
`
`
`comprisees a pair off commonlyy-coupled
`
`
`
`
`
`
`diodes, aa first light--emitting ddiode of thhe light-emmitting diodde
`
`
`
`
`
`
`comprising the firstt illuminatting elemennt and a seecond lightt-
`
`
`
`
`diode of thhe light-emmitting diodde pair commprising
`emitting
`
`
`
`the seconnd illuminaating elemeent.” ........
`
`..................................
`
`- d
`
`... 77 
`... 77 
`
`... 94 
`
`oured lampp
`
`... 96 
`
`- iii -
`
`.111 
`
`

`
`
`
`Wood DDeclarationn
`
`
`
`
`
`
`
`UU.S. Patentt No. 6,2855,140
`
`
`
`
`
`
`
`
`
`and Sato teeach claimm 9: “The nnight light
`Smith, GGomoluch,
`des an
`
`accordingg to claim
`
`
`6, whereinn the controoller inclu
`
`
`
`
`
`ambient light sensoor for inhibbiting condduction of tthe
`
`
`
`
`
`illuminatting elemennts when aan intensityy of ambiennt light
`
`
`
`exceeds aa thresholdd.”..............................
`
`..................................
`
`
`
`
`
`
`
`HH.  Grouund 8: Claimms 10-13 aare obviouus over Smiith, Lys, aand
`
`
`
`
`Gommoluch .........................................................
`
`..................................
`
`
`
`Claim 100 .................................................
` 1.
`
`..................................
` 2.
`
`
`
`Smith, GGomoluch, and Lys teeach claim
`
`11: “The jjewelry
`
`
`
`
`piece acccording to claim 10, wwherein eaach said
`
`
`
`
`
`predetermmined patteern is selecctable accoording to aa user-
`
`
`
`operable input to thhe controlleer.” ..........
`
`..................................
`
`
`
`Smith, GGomoluch, and Lys teeach claim
`
`12: “The jjewelry
`
`
`
`
`
`piece acccording to claim 10, wwherein thhe lamp conntroller
`
`
`
`
`includes a temperatture sensorr for selectting the at
`least one
`pattern.”
`
`..................................
`
`
`..................................................
`
`
`
`Smith, GGomoluch, and Lys teeach claim
`
`13: “The jjewelry
`
`
`
`
`
`piece acccording to claim 10, wwherein eaach said muulti-
`
`
`
`
`
`colouredd lamp commprises a paair of commmonly-couupled light-
`
`
`
`
`emitting diodes, a ffirst light-eemitting diiode of the
`light-
`emitting
`
`
`
`
`
`diode commprising thee first illumminating ellement and
`a second
`
`
`
`
`
`light-emittting diodee of the lighht-emittingg diode paiir
`comprisi
`.124 
`
`
`
`
`ng the secoond illuminnating elemment.” .......................
`
`
`
`
`VII.  CCONCLUSSION ...........................................................
`
`..................................
`.124 
`
`.112 
`
`.113 
`.113 
`
`.121 
`
`.122 
`
`- d
`
` 4.
`
` 3.
`
` 4.
`
`
`
`- iv -
`
`

`
`Wood Declaration
`
`U.S. Patent No. 6,285,140
`
`
`
`I, Mike Wood, declare as follows:
`
`1.
`
`I have been retained as an expert witness by Sterne, Kessler, Goldstein &
`
`Fox PLLC to provide testimony on behalf of Petitioners, for the above-captioned
`
`Inter Partes Review proceeding. I understand that this proceeding involves U.S.
`
`Patent No. 6,285,140 to Ruxton, titled “Variable-Effect Lighting System,” which is
`
`currently assigned to Variable Lighting, LLC. I am being compensated at a rate of
`
`$300/hour for my work in preparing this declaration. My compensation is not
`
`dependent on and in no way affects the substance of my statements in this
`
`declaration.
`
`2.
`
`I understand that the ’140 patent was filed on April 21, 1999 and issued on
`
`September 4, 2001. For purposes of this Inter Partes Review, I assume that the
`
`April 21, 1999 filing date is the earliest possible priority date of the ’140 patent.
`
`3.
`
`I have reviewed and am familiar with the specification of the ’140 patent. I
`
`understand that the ’140 patent has been provided as Exhibit 1001. I will cite to the
`
`specification using the following format (’140 patent, 1:1-10). This example
`
`citation points to the ’140 patent specification at column 1, lines 1-10.
`
`4.
`
`I have reviewed and am familiar with the file history of the ’140 patent. I
`
`understand that the file history has been provided as Exhibit 1002.
`
`5.
`
`I have also reviewed and am familiar with the following documents used in
`
`the Petition for Inter Partes Review of the ’140 patent:
`
`- 1 -
`
`

`
`Wood Declaration
`
`U.S. Patent No. 6,285,140
`
`
`
` U.S. Patent No. 5,008,595 to Kazar, titled “Ornamental Light Display
`
`Apparatus” (“Kazar”). Kazar issued on April 16, 1991, which is more
`
`than one year before the earliest possible priority date of the ’140 patent.
`
`I understand that Kazar has been provided as Exhibit 1004.
`
` U.S. Patent No. 4,675,575 to Smith et al., titled “Light-Emitting Diode
`
`Assemblies and Systems Therefore” (“Smith”). Smith issued on June 23,
`
`1987, which is more than one year before the earliest possible priority
`
`date of the ’140 patent. I understand that Smith has been provided as
`
`Exhibit 1005.
`
` International Application No. PCT/GB91/00843 to Gomoluch, titled
`
`“Lighting Control System” (“Gomoluch”). Gomoluch published on
`
`December 12, 1991, which is more than one year before the earliest
`
`possible priority date of the ’140 patent. I understand that Gomoluch has
`
`been provided as Exhibit 1006.
`
` Japanese Patent Application H9-180291 to Minato et al., titled “Light-
`
`Emitting Display Device” (“Minato”). Minato published on January 22,
`
`1999, which is before the earliest possible priority date of the ’140 patent.
`
`I understand that Minato has been provided as Exhibit 1007.
`
` U.S. Patent No. 5,757,111 to Sato, titled “Night Light with
`
`Phosphorescent Element” (“Sato”). Sato was filed on April 10, 1997,
`- 2 -
`
`

`
`Wood Declaration
`
`U.S. Patent No. 6,285,140
`
`
`
`which is before the earliest possible priority date of the ’140 patent. I
`
`understand that Sato has been provided as Exhibit 1008.
`
` U.S. Patent No. 6,528,954 to Lys et al., titled “Smart Light Bulb”
`
`(“Lys”). Lys was filed on December 17, 1998, which is before the
`
`earliest possible priority date of the ’140 patent. I understand that Lys has
`
`been provided as Exhibit 1009.
`
`6.
`
`To the best of my knowledge, Exhibits 1001-1011 are true and accurate
`
`copies of what they purport to be. An expert in the field would reasonably rely on
`
`them to formulate opinions such as those set forth in this declaration.
`
`7.
`
`The ’140 patent relates to a variable-effect lighting system that includes a
`
`lamp assembly—including multi-colored lamps—and a programmable lamp
`
`controller. (’140 patent, Abstract.) I am familiar with the technology described in
`
`the ’140 patent as of its earliest possible priority date of April 21, 1999.
`
`8.
`
`I have been asked to provide my technical review, analysis, insights, and
`
`opinions regarding the ’140 patent and the prior art references that form the basis
`
`for the grounds of unpatentability set forth in the Petition for Inter Partes Review.
`
`9.
`
`In forming the opinions expressed in this Declaration, I have relied upon my
`
`education and experience and the materials listed above, and I have considered and
`
`applied the viewpoint of a person of ordinary skill in the art as of April 21, 1999.
`
`- 3 -
`
`

`
`Wood Declaration
`
`U.S. Patent No. 6,285,140
`
`
`
`I.
`10.
`
`QUALIFICATIONS AND EXPERTISE
`
`I have over 35 years of experience working with lighting systems. As
`
`detailed below, I have worked on many projects that are highly relevant to the
`
`subject matter of the ’140 patent. A copy of my curriculum vitae is provided
`
`herewith as Exhibit 1010.
`
`11.
`
`I received both a Bachelor of Arts degree and a Master of Arts degree in
`
`Engineering, specializing in Electronic Engineering, from Trinity College at the
`
`University of Cambridge in the United Kingdom. Since receiving my degrees, I
`
`have worked for over 35 years in the lighting business in both manufacturing and
`
`design for large and small companies around the world.
`
`12.
`
`In 2004, I became an independent lighting technology consultant and formed
`
`Mike Wood Consulting, LLC. As a consultant, I have provided support to
`
`companies on lighting technology strategy, research and development, standards,
`
`and intellectual property.
`
`13.
`
`I have spent my entire career working in the field of lighting technology. In
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`1977, I began working as a professional lighting designer for the Cambridge
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`Theatre Company. In 1978, I joined a manufacturing company, CCT Lighting,
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`where I worked as an electronic design engineer for lighting equipment. In 1979, I
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`became a planning and design engineer for the BBC, responsible for specifying
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`and installing lighting equipment in over 60 television and film studios. After
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`leaving the BBC in 1985, I have worked with a variety of major companies, events,
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`and performers in developing lighting equipment. Over the past 20 years, lighting
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`equipment has increasingly utilized light-emitting diodes (LEDs) as the light
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`source in lighting equipment. Currently, 90% of my current work relates to LEDs
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`and solid state lighting.
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`14. Throughout my career, I have worked on product design and development,
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`which encompass all aspects of engineering. The majority of my product
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`development work has been in lighting and luminaires, both for entertainment and
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`architectural purposes. This includes the mechanical, optical, and construction
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`aspects of the products as well as the electrical and electronic components. With
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`respect to lighting products in particular, the mechanical and optical design are
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`tightly integrated with the electrical elements of the products. Heat management,
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`control, packaging, ergonomics, aesthetics, and industrial design require all of the
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`engineering elements to work in concert to achieve the desired result. This is
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`particularly true of the decorative and architectural products with which I have
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`regularly worked.
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`15. The technology used in the variable-effect lighting systems at issue is basic
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`and fundamental to the way many lighting products are designed, including those
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`that I have personally designed and worked with. For example, the use of multiple
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`LED lamps in series, or a series/parallel combination, is common and is often used
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`in other products such as display luminaires, signage, and theatrical luminaires, all
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`of which I have worked with in design and development. Similarly, it is common
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`to use LEDs in many lighting products, and the means used to interconnect and
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`control LED lamps is an area in which I have worked extensively. I am also
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`extremely familiar with, and have often used, the components described in the ’140
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`patent, including bicolored LED lamps, lamp controllers, and the power supplies
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`and drivers used for such systems.
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`16. Additionally, the manufacture of variable-effect lighting systems overlaps
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`extensively with the manufacture of entertainment lighting equipment in many
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`respects. I have visited manufacturers in China who manufacture these products; I
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`have also witnessed such products being assembled on the production line.
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`17.
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`I am a named inventor on a number of patents in the field of lighting
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`technology. Representative patents include:
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` T. Hatley, T. Robbins, M. Wood, “System and Method for Controlling an
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`Output of a Light Fixture,” U.S. Patent No. 8,593,074 (issued Jan. 12,
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`2011).
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` R. Gerlach, M. Wood, D. Kinzer, “Methods, Luminaires and Systems for
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`Matching a Composite Light Spectrum to a Target Light Spectrum,” U.S.
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`Patent No. 8,403,523 (issued Mar. 26, 2013).
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` T. Hatley, T. Robbins, M. Wood, “System and Method for Color
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`Creation and Matching,” U.S. Patent No. 8,384,294 (issued Feb. 26,
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`2013).
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` J. Mateer, K. Nichols, M. Wood, “Color Mixer,” U.S. Patent No.
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`8,226,269 (issued Jul. 24, 2012).
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` M. Wood, T. Cavness, T. Fields, G. Franklin, D. Goewey, M. Norrgard,
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`L. Trevino, J. Dale, “Color Mixing Apparatus for Theatrical Ellipsoidal
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`Spotlights,” U.S. Patent No. 6,796,683 (issued Sept. 28, 2004).
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`18.
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`I have authored numerous articles and given seminars on topics in the field
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`of lighting and the use of LED lamps. Representative publications include:
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` Mike Wood, How do LEDs Work?, ESTA’s PROTOCOL, Spring 2009, 16.
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` Mike Wood, New Lamps for Old, LIGHTING & SOUND AM., Nov. 2007,
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`80.
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` Mike Wood, The Retractable LED Chandelier: Engineering a
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`Centerpiece Attraction at the Winspear Opera House, LIGHTING & SOUND
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`AM., Feb. 2010, 66.
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` Mike Wood, LEDs: The State of Play, LIGHTING & SOUND AM., Jul.
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`2011, 74.
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`19.
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`I am currently co-chair of the American National Standards Institute
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`committee developing metrics for entertainment lighting equipment. In addition, I
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`am a member of an Illuminating Engineering Society of North America committee,
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`where I am involved in writing a guidebook for lighting designers on the use and
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`control of color in lighting. I have also been chairman of both the UK industry
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`trade association for entertainment technology equipment, the Professional
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`Lighting and Sound Association (PLASA), and the American equivalent
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`organization, the Entertainment Services and Technology Association (ESTA). I
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`am a recipient of ESTA’s highest honor, the Swan Award, presented to a member
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`who has put forth exceptional efforts in time and expertise on behalf of the
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`organization.
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`20. Based on my extensive experience in the lighting industry, I consider myself
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`an expert in the field of electrical engineering as it relates to lighting
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`manufacturing and design.
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`II. LEGAL UNDERSTANDING
`A. My Understanding of Claim Construction
`I understand that, during an Inter Partes Review, claims are to be given their
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`21.
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`broadest reasonable construction in light of the specification as would be read by a
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`person of ordinary skill in the relevant art at the time the application was filed. I
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`understand that claim terms are given their ordinary and customary meaning as
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`would be understood by a person of ordinary skill in the relevant art in the context
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`of the entire disclosure. A claim term, however, will not receive its ordinary
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`meaning if the patentee acted as his own lexicographer and clearly set forth a
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`definition of the claim term in the specification. In this case, the claim term will
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`receive the definition set forth in the patent.
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`B. A Person Having Ordinary Skill in the Art
`I understand that a person of ordinary skill in the relevant art (also referred
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`22.
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`to herein as “POSA”) is presumed to be aware of all pertinent art, thinks along
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`conventional wisdom in the art, and is a person of ordinary creativity—not an
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`automaton.
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`23. Based on the disclosure of the ’140 patent, a person of ordinary skill would
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`have a Bachelor of Science degree in Electrical Engineering, Computer
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`Engineering, or an equivalent field as well as at least two years of academic or
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`industry experience in the field of display, decorative, or architectural lighting.
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`Experience could take the place of some formal training, as domain knowledge
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`may be learned on the job. This description is approximate, and a higher level of
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`education or skill might make up for less experience and vice versa.
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`24.
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`I am well qualified to determine the level of ordinary skill in the art. I am
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`also personally very familiar with the technology of the ’140 patent during the
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`April 1999 timeframe.
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`C. My Understanding of Obviousness
`I am not a lawyer and will not provide any legal opinions. Although I am not
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`25.
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`a lawyer, I have been advised certain legal standards are to be applied by technical
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`experts in forming opinions regarding the meaning and validity of patent claims.
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`26.
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`I understand that a patent claim is invalid if the claimed invention would
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`have been obvious to a person of ordinary skill in the art at the time the application
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`was filed. I understand that this means that even if all of the requirements of the
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`claim cannot be found in a single prior art reference that would anticipate the
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`claim, the claim can still be invalid.
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`27. As part of this inquiry, I have been asked to consider the level of ordinary
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`skill in the field that someone would have had at the time the claimed invention
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`was made. In deciding the level of ordinary skill, I considered the following:
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` the levels of education and experience of persons working in the
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`field;
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` the types of problems encountered in the field; and
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` the sophistication of the technology.
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`28. To obtain a patent, a claimed invention must have, as of its priority date,
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`been nonobvious in view of the prior art in the field. I understand that a patent
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`claim is obvious when the differences between the subject matter sought to be
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`patented and the prior art are such that the subject matter as a whole would have
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`been obvious at the time the invention was made to a person of ordinary skill in the
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`art.
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`29.
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`I understand that to prove that prior art or a combination of prior art renders
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`a claim obvious, it is necessary to (1) identify the particular references that, singly
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`or in combination, make the claim obvious; (2) specifically identify which
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`elements of the claim appear in each of the asserted references; and (3) explain
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`how the prior art references could have been combined to teach or suggest the
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`limitations in the claim.
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`30.
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`I also understand that prior art references can be combined under several
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`different circumstances. For example, it is my understanding that one such
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`circumstance is when a proposed combination of prior art references results in a
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`system that represents a predictable variation, which is achieved using prior art
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`elements according to their established functions.
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`31.
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`I understand that certain objective indicia can be important evidence in
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`determining whether a claim is obvious or nonobvious. Such indicia include:
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`commercial success of products covered by the patent claims; a long-felt need for
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`the invention; failed attempts by others to make the invention; copying of the
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`invention by others in the field; unexpected results achieved by the invention as
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`compared to the closest prior art; praise of the invention by the infringer or others
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`in the field; the taking of licenses under the patent by others; expressions of
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`surprise by experts and those skilled in the art at the making of the invention; and
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`the patentee proceeded contrary to the accepted wisdom of the prior art. At this
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`point, I am not aware of any secondary indicia of non-obviousness. I reserve the
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`right to supplement or amend my opinions to the extent that any secondary indicia
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`are brought to my attention.
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`32.
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`I understand that so-called objective considerations may be relevant to the
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`determination of whether a claim is obvious should Patent Owner Variable
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`Lighting allege such evidence. As discussed above, such objective considerations
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`can include evidence of commercial success caused by an invention, evidence of a
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`long-felt need that was solved by an invention, evidence that others copied an
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`invention, or evidence that an invention achieved a surprising result. I understand
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`that such evidence must have a nexus, or causal relationship to the elements of a
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`claim, in order to be relevant to the obviousness or non-obviousness of the claim.
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`33.
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`It is my opinion that secondary considerations do not support the non-
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`obviousness of the Challenged Claims of the ’140 patent. I have seen no evidence
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`that supports any secondary considerations tending to show non-obviousness,
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`including commercial success, long-felt need, failure of others, skepticism, praise,
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`teaching away, recognition of a problem, or copying by competitors.
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`34.
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`I do not recall hearing about any innovation in the field of display,
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`decorative, or architectural lighting by Variable Lighting. I am not aware of any
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`products in the field of display, decorative, or architectural lighting developed by
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`Variable Lighting, any customers of Variable Lighting, or anything suggesting
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`commercial success of any such products developed by Variable Lighting. In
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`addition to my personal knowledge of display, decorative, or architectural
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`lighting, I have done a general search of my own resources and resources available
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`to me and have likewise been unable to identify any commercial success of
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`products in the field of display, decorative, or architectural lighting developed by
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`Variable Lighting.
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`35.
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`I am also unaware of any long-felt need at the time of the alleged invention
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`for an invention utilizing the elements recited in the Challenged Claims of the ’140
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`patent. Display, decorative, or architectural lighting was well-known to one having
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`ordinary skill in the art, including but not limited to systems described in Kazar,
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`Smith, Gomoluch, Minato, Sato, and Lys, which all pre-date the priority date of the
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`’140 patent.
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`36.
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`I am also not aware of any failure of others to design or implement an
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`invention similar to the ones recited in the Challenged Claims of the ’140 patent. In
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`fact, I believe there are numerous similar systems, including but not limited to the
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`ones described in Kazar, Smith, Gomoluch, Minato, Sato, and Lys, all of which
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`pre-date the ’140 patent’s priority date.
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`37.
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`I have reviewed numerous prior art references from around the time of the
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`alleged invention and am not aware of any skepticism, praise, or teaching away by
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`others of the alleged invention recited in the ’140 patent. In fact, the opposite is
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`true: prior art references explain the ready combination of the cited prior art
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`systems. I am likewise unaware of any recognition afforded to any display,
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`decorative, or architectural lighting developed by Variable Lighting
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`38.
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`I am not aware of any praise or acclaim for the patents, e.g., no reference in
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`academic journals, discussion at conferences, etc.
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`39.
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`I do not recall hearing of the patent before being engaged as an expert,
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`notwithstanding my expertise in the field and awareness of the relevant
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`technology.
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`40.
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`I am not aware of any competitors of display, decorative, or architectural
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`lighting developed by Variable Lighting, and am not aware of any copying of
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`designs or products of Variable Lighting
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`41. Moreover, for the reasons I set out below, in my opinion, the prior art
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`references demonstrate a strong case of obviousness against