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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
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`Case IPR2016-01066
`Patent 6,285,140
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`PETITION FOR INTER PARTES REVIEW
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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
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`Petition for Inter Partes Review of U.S. Patent No. 6,285,140
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`TABLE OF CONTENTS
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`EXHIBIT LIST ........................................................................................................ ix
`I.
`Introduction ........................................................................................................ 1
`II. Requirements under 37 C.F.R. § 42.104 ............................................................ 3
`A. Grounds for standing ..................................................................................... 3
`B. Identification of challenge and statement of relief requested ....................... 4
`C. Meaningful distinction between Kazar and Smith ........................................ 4
`III. Claim construction ............................................................................................. 6
`A. POSA ............................................................................................................. 6
`B. “variable-effect lighting system” .................................................................. 6
`C. “conduction angle of each said illuminating element” ................................. 7
`D. “a pair of commonly-coupled light-emitting diodes” ................................... 8
`IV. Claims 1-13 are unpatentable under 35 U.S.C. §103 ....................................... 10
`A. Nearly identical independent and dependent claims ................................... 10
`B. Ground 1: Claims 1, 2, 4, and 5 are are unpatentable under 35 U.S.C. §
`103 as being obvious over Kazar in view of Gomoluch. ............................ 11
`1. Kazar .................................................................................................... 11
`2. Gomoluch ............................................................................................ 12
`3. KSR ..................................................................................................... 12
`4. Claim 1 ................................................................................................ 13
`[1.P] “A variable-effect lighting system comprising” ........................ 13
`a)
`b)
`[1.1.1] “a lamp assembly comprising a plurality of multi-coloured
`lamps…” ........................................................................................................ 13
`c)
`[1.1.2] “…in parallel with a DC voltage source” ................................ 14
`d)
`[1.2] “each said multi-coloured lamp comprising a first illuminating
`element for producing a first colour of light, and” ........................................ 15
`[1.3] “a second illuminating element for producing a second colour of
`e)
`light different from the first colour” .............................................................. 15
`[1.4.1] “a programmable lamp controller coupled to the lamp
`f)
`assembly for…” ............................................................................................. 16
`(1) Kazar .................................................................................................. 16
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`(2) Gomoluch ........................................................................................... 17
`(3) KSR .................................................................................................... 18
`[1.4.2] “…setting a conduction angle of each said illuminating
`g)
`element…” ..................................................................................................... 18
`h)
`[1.4.3] “…according to at least one predetermined pattern.” ............. 19
`i)
`[1.5] “each said predetermined pattern being stored in a memory of
`the controller,” ............................................................................................... 19
`(1) Kazar .................................................................................................. 19
`(2) Gomoluch ........................................................................................... 20
`(3) KSR .................................................................................................... 21
`[1.6] “the lamp controller including a first electronic switch coupled
`j)
`to the first illuminating element and a second electronic switch coupled to
`the second illuminating element.” ................................................................. 21
`5. Claim 2: “wherein the at least one pattern is selectable according to
`a user-operable input to the controller.” .............................................. 22
`Kazar .................................................................................................... 22
`Gomoluch ............................................................................................ 23
`KSR ..................................................................................................... 23
`6. Claim 4: “wherein each said multi-coloured lamp comprises a pair
`of commonly-coupled light-emitting diodes, a first light-emitting
`diode of the light-emitting diode comprising the first illuminating
`element and a second light-emitting diode of the light-emitting
`diode pair comprising the second illuminating element.” ................... 24
`7. Claim 5: “wherein the first and second electronic switches form an
`H-bridge.” ............................................................................................ 25
`C. Ground 2 – Claim 3 is obvious over Kazar, Gomoluch, and Minato
`because the combination teaches “[t]he lighting system according to
`claim 1, wherein the lamp controller includes a temperature sensor for
`selecting the at least one pattern” ................................................................ 26
`1. Kazar and Gomoluch ........................................................................... 26
`2. Minato.................................................................................................. 26
`3. KSR ..................................................................................................... 27
`D. Ground 3: claims 6-9 are obvious over Kazar in view of Sato, and
`further in view of Gomoluch. ...................................................................... 28
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`a)
`b)
`c)
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`1. Claim 6 ................................................................................................ 28
`[6.P] “A night light comprising:” ........................................................ 28
`a)
`(1) Kazar .................................................................................................. 28
`(2) Sato ..................................................................................................... 28
`(3) KSR .................................................................................................... 28
`[6.1.1] “a lamp assembly comprising at least one multi-coloured
`b)
`lamp…” .......................................................................................................... 29
`c)
`[6.1.2] “…in parallel with a DC voltage source,” ............................... 29
`d)
`[6.2] “each said multi-coloured lamp comprising a first illuminating
`element for producing a first colour of light, and” ........................................ 30
`[6.3] “a second illuminating element for producing a second colour of
`e)
`light different from the first colour;” ............................................................. 30
`[6.4.1] “a programmable lamp controller coupled to the lamp
`f)
`assembly for…” ............................................................................................. 30
`[6.4.2] “…setting a conduction angle of each said illuminating
`g)
`element…” ..................................................................................................... 31
`h)
`[6.4.3] “…according to at least one predetermined pattern,” ............. 31
`i)
`[6.5] “each said predetermined pattern being stored in a memory of
`the controller,” ............................................................................................... 31
`[6.6] “the lamp controller including a first electronic switch coupled
`j)
`to the first illuminating element and a second electronic switch coupled to
`the second illuminating element; and” .......................................................... 32
`k)
`[6.7] “an AC/DC converter providing the DC voltage source.” ......... 32
`2. Claim 7: “wherein each said predetermined pattern is selectable
`according to a user-operable input to the controller.” ......................... 32
`3. Claim 8: “wherein each said multi-coloured lamp comprises a pair
`of commonly-coupled light-emitting diodes, a first light-emitting
`diode of the light-emitting diode comprising the first illuminating
`element and a second light-emitting diode of the light-emitting
`diode pair comprising the second illuminating element.” ................... 33
`4. Claim 9: “wherein the controller includes an ambient light sensor
`for inhibiting conduction of the illuminating elements when an
`intensity of ambient light exceeds a threshold.” ................................. 33
`(1) Kazar .................................................................................................. 33
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`(2) Sato ..................................................................................................... 33
`(3) KSR .................................................................................................... 34
`E. Ground 4: Claims 10-13 are obvious over Kazar in view of Lys, in
`further view of Gomoluch. .......................................................................... 34
`1. Claim 10 .............................................................................................. 34
`[10.P] – “A jewelry piece comprising:” .............................................. 34
`a)
`(1) Kazar .................................................................................................. 34
`(2) Lys ...................................................................................................... 35
`(3) KSR .................................................................................................... 35
`[10.1.1] “a lamp assembly comprising at least one multi-coloured
`b)
`lamp…” .......................................................................................................... 36
`c)
`[10.1.2] “…in parallel with a DC voltage source,” ............................. 36
`d)
`[10.2] “each said multi-coloured lamp comprising a first illuminating
`element for producing a first colour of light, and” ........................................ 36
`[10.3] “a second illuminating element for producing a second colour
`e)
`of light different from the first colour;” ........................................................ 37
`[10.4.1] “a programmable lamp controller coupled to the lamp
`f)
`assembly for…,” ............................................................................................ 37
`[10.4.2] “…setting a conduction angle of each said illuminating
`g)
`element…” ..................................................................................................... 37
`h)
`[10.4.3] “…according to at least one predetermined pattern,” ........... 38
`i)
`[10.5] “each said predetermined pattern being stored in a memory of
`the controller,” ............................................................................................... 38
`[10.6] “the lamp controller including a first electronic switch coupled
`j)
`to the first illuminating element and a second electronic switch coupled to
`the second illuminating element; and” .......................................................... 38
`k)
`[10.7] “a DC power source for powering the lamp assembly and the
`controller.” ..................................................................................................... 39
`2. Claim 11: “wherein each said predetermined pattern is selectable
`according to a user-operable input to the controller.” ......................... 39
`3. Claim 12: “wherein the lamp controller includes a temperature
`sensor for selecting the at least one pattern.” ...................................... 40
`4. Claim 13: “wherein each said multi-coloured lamp comprises a
`pair of commonly-coupled light-emitting diodes, a first light-
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`emitting diode of the light-emitting diode comprising the first
`illuminating element and a second light-emitting diode of the light-
`emitting diode pair comprising the second illuminating element.” .... 41
`F. Ground 5: Claims 1, 2, 4, and 5 are obvious over Smith in view of
`Gomoluch .................................................................................................... 41
`1. Smith.................................................................................................... 41
`2. Gomoluch ............................................................................................ 42
`3. KSR ..................................................................................................... 42
`4. Claim 1 ................................................................................................ 43
`[1.P] “A variable-effect lighting system comprising:” ....................... 43
`a)
`[1.1.1] “a lamp assembly comprising a plurality of multi-coloured
`b)
`lamps” ............................................................................................................ 44
`c)
`[1.1.2] “… in parallel with a DC voltage source,” .............................. 44
`d)
`[1.2] “each said multi-coloured lamp comprising a first illuminating
`element for producing a first colour of light,” ............................................... 45
`[1.3] “a second illuminating element for producing a second colour of
`e)
`light different from the first colour; and” ...................................................... 46
`[1.4.1] “a programmable lamp controller coupled to the lamp
`f)
`assembly for…” ............................................................................................. 46
`(1) Smith .................................................................................................. 46
`(2) Gomoluch ........................................................................................... 47
`(3) KSR .................................................................................................... 48
`g)
`[1.4.2] “…setting a conduction angle of each said illuminating…” ... 48
`h)
`[1.4.3] “…according to at least one predetermined pattern,” ............. 48
`i)
`[1.5] “each said predetermined pattern being stored in a memory of
`the controller,” ............................................................................................... 49
`(1) Smith .................................................................................................. 49
`(2) Gomoluch ........................................................................................... 49
`(3) KSR .................................................................................................... 50
`[1.6] “the lamp controller including a first electronic switch coupled
`j)
`to the first illuminating element and a second electronic switch coupled to
`the second illuminating element.” ................................................................. 51
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`a)
`b)
`c)
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`5. Claim 2: “wherein the at least one pattern is selectable according to
`a user-operable input to the controller.” .............................................. 52
`Smith.................................................................................................... 52
`Gomoluch ............................................................................................ 53
`KSR ..................................................................................................... 53
`6. Claim 4: “wherein each said multi-coloured lamp comprises a pair
`of commonly-coupled light-emitting diodes, a first light-emitting
`diode of the light-emitting diode comprising the first illuminating
`element and a second light-emitting diode of the light-emitting
`diode pair comprising the second illuminating element.” ................... 54
`7. Claim 5: “wherein the first and second electronic switches form an
`H-bridge.” ............................................................................................ 55
`G. Ground 6 – Smith in view of Gomoluch, and further in view of Minato
`teach claim 3: “wherein the lamp controller includes a temperature
`sensor for selecting the at least one pattern.” .............................................. 55
`1. Smith and Gomoluch ........................................................................... 55
`2. Minato.................................................................................................. 56
`3. KSR ..................................................................................................... 56
`H. Ground 7 – Claims 6-9 are obvious over Smith in view of Sato, in
`further view of Gomoluch ........................................................................... 57
`1. Claim 6 ................................................................................................ 57
`[6.P] “A night light comprising:” ........................................................ 57
`a)
`(1) Smith .................................................................................................. 57
`(2) Sato ..................................................................................................... 57
`(3) KSR .................................................................................................... 57
`[6.1.1] “a lamp assembly comprising at least one multi-coloured lamp
`b)
`in parallel with a DC voltage source,” ........................................................... 58
`c)
`[6.1.2] “…in parallel with a DC voltage source,” ............................... 58
`d)
`[6.2] “each said multi-coloured lamp comprising a first illuminating
`element for producing a first colour of light, and” ........................................ 59
`[6.3] “a second illuminating element for producing a second colour of
`e)
`light different from the first colour;” ............................................................. 59
`[6.4.1] “a programmable lamp controller coupled to the lamp
`f)
`assembly for…” ............................................................................................. 59
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`[6.4.2] “…setting a conduction angle of each said illuminating
`g)
`element…” ..................................................................................................... 60
`h)
`[6.4.3] “…according to at least one predetermined pattern,” ............. 60
`i)
`[6.5] “each said predetermined pattern being stored in a memory of
`the controller,” ............................................................................................... 60
`[6.6] “the lamp controller including a first electronic switch coupled
`j)
`to the first illuminating element and a second electronic switch coupled to
`the second illuminating element; and” .......................................................... 61
`k)
`[6.7] “an AC/DC converter providing the DC voltage source.” ......... 61
`2. Claim 7: “wherein each said predetermined pattern is selectable
`according to a user-operable input to the controller.” ......................... 62
`3. Claim 8: “wherein each said multi-coloured lamp comprises a pair
`of commonly-coupled light-emitting diodes, a first light-emitting
`diode of the light-emitting diode comprising the first illuminating
`element and a second light-emitting diode of the light-emitting
`diode pair comprising the second illuminating element.” ................... 62
`4. Claim 9: “wherein the controller includes an ambient light sensor
`for inhibiting conduction of the illuminating elements when an
`intensity of ambient light exceeds a threshold.” ................................. 63
`(1) Smith .................................................................................................. 63
`(2) Sato ..................................................................................................... 63
`(3) KSR .................................................................................................... 63
`A. Ground 8: Claims 10-13 are obvious over Smith in view of Lys, in
`further view of Gomoluch ........................................................................... 64
`1. Claim 10 .............................................................................................. 64
`[10.P] – “A jewelry piece comprising:” .............................................. 64
`a)
`(1) Smith .................................................................................................. 64
`(2) Lys ...................................................................................................... 64
`(3) KSR .................................................................................................... 64
`b)
`[10.1.1] “a lamp assembly comprising at least one multi-coloured
`lamp in parallel with a DC voltage source,” .................................................. 65
`c)
`[10.1.2] “…in parallel with a DC voltage source,” ............................. 65
`d)
`[10.2] “each said multi-coloured lamp comprising a first illuminating
`element for producing a first colour of light, and” ........................................ 66
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`[10.3] “a second illuminating element for producing a second colour
`e)
`of light different from the first colour;” ........................................................ 66
`[10.4.1] “a programmable lamp controller coupled to the lamp
`f)
`assembly for…” ............................................................................................. 66
`[10.4.2] “…setting a conduction angle of each said illuminating
`g)
`element…” ..................................................................................................... 67
`h)
`[10.4.3] “…according to at least one predetermined pattern,” ........... 67
`i)
`[10.5] “each said predetermined pattern being stored in a memory of
`the controller,” ............................................................................................... 67
`[10.6] “the lamp controller including a first electronic switch coupled
`j)
`to the first illuminating element and a second electronic switch coupled to
`the second illuminating element; and” .......................................................... 68
`[10.7] “a DC power source for powering the lamp assembly and the
`k)
`controller.” ..................................................................................................... 68
`2. Claim 11: “wherein each said predetermined pattern is selectable
`according to a user-operable input to the controller.” ......................... 68
`3. Claim 12: “wherein the lamp controller includes a temperature
`sensor for selecting the at least one pattern.” ...................................... 69
`4. Claim 13: “wherein each said multi-coloured lamp comprises a
`pair of commonly-coupled light-emitting diodes, a first light-
`emitting diode of the light-emitting diode comprising the first
`illuminating element and a second light-emitting diode of the light-
`emitting diode pair comprising the second illuminating element.” .... 70
`V. Mandatory notices under 37 C.F.R. §42.8 ....................................................... 70
`A. Real parties-in-interest (§42.8(b)(1)) .......................................................... 70
`B. Notice of related matters (§42.8(b)(2)) ....................................................... 71
`C. Lead and back-up counsel with service information (§42.8(b)(3) and
`(4)) ............................................................................................................... 72
`VI. Conclusion ........................................................................................................ 73
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`EXHIBIT LIST
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`DESCRIPTION
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`U.S. Patent No. 6,285,140 to Ruxton
`File History of U.S. Patent Application No. 09/295,367 (now U.S.
`Patent No. 6,285,140)
`Declaration of Mike Wood
`U.S. Patent No. 5,008,595 to Kazar
`U.S. Patent No. 4,675,575 to Smith et al.
`International Patent Application No. PCT/GB91/00843 to Gomoluch
`Certified Translation of Japanese Patent Application H9-180291 to
`Minato et al. and Japanese Language Original
`U.S. Patent No. 5,757,111 to Sato
`U.S. Patent No. 6,528,954 to Lys et al.
`Curriculum Vitae of Expert Mike Wood
`Excerpt from the American Heritage Dictionary, 4th Ed.
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`Exhibit
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`1001
`1002
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`1003
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`1005
`1006
`1007
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`1011
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`Petition fofor Inter Paartes Revieew of
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`UU.S. Patentt No. 6,2855,140
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`I.
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`Inntroductioon
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`TThe Examinner erroneoously issueed U.S. Pattent No. 6,,285,140 (EEx. 1001, ““the
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`’140 paatent.”). Thhe claims coover nothinng more thhan at leastt one-decadde-old
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`technoloogy – variaable-effectt LED lightting. Each
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`of the Exaaminer’s foollowing
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`alleged patentablee features wwas well knnown:
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`1. a first illumiinating element couppled to the
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`DC sourcee through aa
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`2. a second illuuminating element cooupled to ththe DC souurce througgh a
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`firrst electronnic switch,
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`seecond electtronic swittch, and
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`(EEx. 1002, pp. 100.) Thhe
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`3. seetting a connduction anngle of thee illuminatiing elemennts.
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`’140 paatent attemppts to take
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`from thee public doomain:
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`lighting
`“[v]ariaable-effect
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`systemss commonlly used for
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`advertissing, decorration, and
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`ornamenntal or festtive displayys.”
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`(’140 paatent, 1:9-110.) The
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`variablee-effect lighting systeem includees two commponents: aa lamp asseembly (in rred)
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`and a prrogrammabble lamp coontroller (iin blue). (IId., 13:22-228; FIG. 2aa.)
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`“[L]amp assembly 111 comprises a string of multi-coloured lamps 114
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`connected in parallel with each other… [and] in parallel with an AC/DC converter
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`116 which is coupled to an AC voltage source.” (Id., 13:29-33.) Lamps 114 include
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`“a bicoloured LED having a first illuminating element..producing a first
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`colour…and a second illuminating element…producing a second colour of light.”
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`(Id. 13:34-37.)
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`Programmable controller 112 “comprises a microcontroller 20, a first
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`semiconductor switch 122 controlled by an output Z1 of the microcontroller 20, a
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`second semiconductor switch 123 controlled by an output Z2 of the
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`microcontroller 20, and a user-operable switch 24 coupled to an input S of the
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`microcontroller 20 for selecting the colour display desired.” (Id., 13:54-60.)
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`Microcontroller 20 also “includes a non-volatile memory which is programmed
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`with preferably several conduction angle sequences for setting the firing angle of
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`the semiconductor switches 122, 123 in accordance with the sequence selected.”
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`(Id., 14:13-16.) Using the microcontroller 20, “the conduction angles of the LEDs
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`114a, 114b, and hence the ultimate color display generated by the lamps 114 can
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`be selected.” (Id., 14:17-19.)
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`Kazar and Smith teach first and second illuminating elements coupled to the
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`DC source through a first electronic switch. (Wood Dec. ¶¶66-79.) Kazar teaches
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`connecting the red and green LEDs that form the bicolor LEDs to the DC source
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`and ground via pairs of transistors (e.g., Q1/Q10 or Q5/Q6). (Wood Dec. ¶¶128-
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`134; Kazar, 8:15-36; FIG. 10.) Smith teaches bicolor LEDs are connected to the
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`DC source (e.g., VCC) via a transistor pair 406/409 or 407/408. (Wood Dec. ¶¶225-
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`229; Smith, 33:32-55; FIG. 39.)
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`Kazar and Smith also teach setting the conduction angle of illuminating
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`elements. (Wood Dec. ¶¶107 and 209.) Kazar teaches setting the conduction angle
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`of the LED components to produce difference colors. (Wood Dec. ¶107; Kazar,
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`8:30-39.) Smith teaches a “variable duty cycle control circuit” that sets the
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`conduction angle of LED lamps. (Wood Dec. ¶209; Smith, 25:63-26:7.)
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`Despite some similarity between Kazar and Smith, there are meaningful
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`distinctions between the Grounds (§ II.C). Accordingly, Petitioner requests the
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`Board institute trial on both the Kazar and Smith and invalidate ’140 patent claims
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`1-13 (“challenged claims”).
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`II. Requirements under 37 C.F.R. § 42.104
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`A. Grounds for standing
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`Petitioner certifies that the ’140 patent is eligible for inter partes review, and
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`Petitioner is not barred or estopped from requesting inter partes review. The
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`required fee is paid via deposit account. The Office is authorized to charge fee
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`deficiencies and credit overpayments to Deposit Acct. No. 19-0036 (Customer ID
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`No. 45324).
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`Petition for Inter Partes Review of U.S. Patent No. 6,285,140
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`B.
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`Identification of challenge and statement of relief requested
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`Petitioner respectfully requests inter partes review and cancellation of
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`challenged claims based on §IV detailing Grounds 1-8 as follows:
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`Ground Statute
`1
`§ 103
`2
`§ 103
`3
`§ 103
`4
`§ 103
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`5
`§ 103
`6
`§ 103
`7
`§ 103
`8
`§ 103
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`Claims
`1, 2, 4, 5
`3
`6-9
`10-13
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`1, 2, 4, 5
`3
`6-9
`10-13
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`Prior Art
`Kazar1 and Gomoluch2
`Kazar, Gomoluch, and Minato3
`Kazar, Sato4, and Gomoluch
`Kazar, Lys5, and Gomoluch
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`Smith6 and Gomoluch
`Smith, Gomoluch, and Minato
`Smith, Sato, and Gomoluch
`Smith, Lys, and Gomoluch
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`C. Meaningful distinction between Kazar and Smith
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`The Kazar and Smith Grounds have meaningful distinctions. (Wood Dec.
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`¶¶66-78.)
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`1 Kazar (Ex. 1004) issued on April 16, 1991, and is prior art under § 102(b).
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`2 Gomoluch (Ex. 1006) published on December 12, 1991, and is prior art under
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`§102(b).
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`3 Minato (Ex. 1007) published on January 22, 1999, and is prior art under § 102(a).
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`4 Sato (Ex. 1008) was filed on April 10, 1997, and is prior art under § 102(e).
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`5 Lys (Ex. 1009) was filed on December 17, 1998, and is prior art under §102(e).
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`6 Smith (Ex. 1005) issued on June 23, 1987, and is prior art under §102(b).
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`Petition for Inter Partes Review of U.S. Patent No. 6,285,140
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`
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`Kazar better teaches the “programmable lamp controller” that is recited in
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`independent claims 1, 6, and 10. Kazar explicitly discloses and claims its
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`controller—e.g., a “switching mechanism”—is “programmable.” (Kazar, 12:28-31
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`and 12:49-50.)
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`Smith discloses that its controller —e.g., a duty cycle controller and a
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`sequencer circuit—generates a desired color sequence, without explicitly
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`disclosing such a controller to be “programmable.” (Smith, 24:14-20 and 26:49-
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`66.)
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`Also, Kazar and Smith teach a “user-operable input,” as recited in claims 2,
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`7, and 11, in distinctive ways. Kazar discloses a lamp assembly with user-
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`insertable LEDs that change how the LEDs operate. (Kazar, 7:12-27.) Smith
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`teaches the “user-operable input” through an on-off switch for selecting—i.e., by
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`turning on—a desired lighting sequence. (Smith, 42:14-17.)
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`The Board should institute both the Kazar and Smith Grounds.
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`- 5 -
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`
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`Petition for Inter Partes Review of U.S. Patent No. 6,285,140
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`III. Claim construction7
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`A.
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`POSA
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`With respect to the ’140 patent, a person of ordinary skill in the art (POSA)
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`would have at least the equivalent of a Bachelor’s degr