Filed on behalf of Apple Inc.
`By:
`Michelle K. Holoubek
`
`Michael D. Specht
`
`Mark J. Consilvio
`
`Sterne, Kessler, Goldstein & Fox PLLC
`
`1100 New York Avenue, NW
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`Washington, D.C.
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`
`Tel: (202) 371-2600
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`Fax: (202) 371-2540
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`APPLE INC.
`Petitioner
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`v.
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`VALENCELL, INC.
`Patent Owner
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`
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 8,929,965
`
`
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`

`
` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`TABLE OF CONTENTS
`
`
`I.
`II.
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`
`
`Introduction ...................................................................................................... 1
`Identification of challenge (37 C.F.R. § 42.104(b)) ........................................ 6
`A.
`Statutory grounds .................................................................................. 6
`B.
`Citation of prior art ................................................................................ 7
`III. The ’965 Patent ................................................................................................ 9
`A. Overview ............................................................................................... 9
`B.
`Summary of the prosecution history ................................................... 11
`C.
`Level of ordinary skill in the art .......................................................... 14
`D.
`Claim construction .............................................................................. 14
`1. “physiological information” ................................................................... 15
`
`2. “engage a portion of a body” ................................................................. 16
`
`3. “headset” ................................................................................................ 16
`
`4. “housing” ................................................................................................ 18
`
`IV. Ground 1: Claims 1, 2, and 12 are unpatentable under Pre-AIA 35
`U.S.C. § 103(a) as being obvious over Numaga. .......................................... 18
`A. Overview of Numaga .......................................................................... 18
`B. Numaga renders obvious each and every element of the sensor
`module of claim 1. ............................................................................... 20
`[1.P] A sensor module for detecting and/or measuring physiological
`information from a subject ......................................................................... 20
`[1.1] a housing ............................................................................................ 21
`[1.2] at least one optical emitter supported by the housing ....................... 21
`[1.3] at least one optical detector supported by the housing ...................... 21
`[1.4] a first light guide supported by the housing ...................................... 21
`[1.5] wherein the first light guide is in optical communication with the at
`least one optical emitter ............................................................................. 22
`[1.6] wherein the first light guide comprises a distal end having an
`exposed end surface that is configured to engage a portion of a body of the
`subject ........................................................................................................ 23
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`[1.7] wherein the first light guide is configured to deliver light from the at
`least one optical emitter directly into the body of the subject via the
`exposed end surface thereof ....................................................................... 23
`[1.8] a second light guide supported by the housing ................................. 23
`[1.9] wherein the second light guide is in optical communication with the
`at least one optical detector ........................................................................ 24
`[1.10] wherein the second light guide comprises a distal end having an
`exposed end surface that is configured to engage a portion of the body of
`the subject .................................................................................................. 25
`[1.11] wherein the second light guide is configured to collect light directly
`from the body of the subject via the exposed end surface thereof and
`deliver collected light to the at least one optical detector ......................... 25
`C.
`Claim 2 ................................................................................................ 25
`D.
`Claim 12 .............................................................................................. 26
`V. Ground 2: Claims 3 and 4 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Numaga in view of Vetter. ...................................................... 26
`A. Overview of Vetter .............................................................................. 26
`B.
`Rationale to combine the teachings of Numaga and Vetter ................ 28
`VI. Ground 3: Claim 5 is unpatentable under Pre-AIA 35 U.S.C. § 103(a)
`over Numaga in view of Vetter and in further view of Dekker. ................... 29
`A. Overview of Dekker ............................................................................ 30
`B.
`Rationale to combine the teachings of Numaga, Vetter, and
`Dekker ................................................................................................. 32
`VII. Ground 4: Claims 6 and 7 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Numaga in view of Debreczeny. ............................................. 33
`A. Overview of Debreczeny ..................................................................... 34
`B.
`Rationale to combine the teachings of Numaga and Debreczeny ....... 35
`VIII. Ground 5: Claims 8 and 9 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Numaga in view of Rafert. ...................................................... 36
`A. Overview of Rafert .............................................................................. 36
`B.
`Rationale to combine the teachings of Numaga and Rafert ................ 38
`IX. Ground 6: Claim 10 is unpatentable under Pre-AIA 35 U.S.C. § 103(a)
`over Numaga in view of Negley. ................................................................... 39
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`A. Overview of Negley ............................................................................ 39
`B.
`Rationale to combine the teachings of Numaga and Negley .............. 40
`X. Ground 7: Claim 11 is unpatentable under Pre-AIA 35 U.S.C. § 103(a)
`over Numaga in view of Miao. ...................................................................... 41
`A. Overview of Miao ............................................................................... 41
`B.
`Rationale to combine the teachings of Numaga and Miao ................. 42
`XI. Ground 8: Claims 1 and 8-12 are unpatentable under Pre-AIA 35
`U.S.C. § 102(b) as being anticipated by Fraden. ........................................... 43
`A. Overview of Fraden ............................................................................. 43
`1. First Embodiment ................................................................................... 43
`2. Second Embodiment .............................................................................. 45
`B.
`Fraden anticipates claim 1. .................................................................. 47
`[1.P] A sensor module for detecting and/or measuring physiological
`information from a subject ......................................................................... 47
`[1.1] a housing ............................................................................................ 48
`[1.2] at least one optical emitter supported by the housing ....................... 48
`[1.3] at least one optical detector supported by the housing ...................... 48
`[1.4] a first light guide supported by the housing ...................................... 48
`[1.5] wherein the first light guide is in optical communication with the at
`least one optical emitter ............................................................................. 49
`[1.6] wherein the first light guide comprises a distal end having an
`exposed end surface that is configured to engage a portion of a body of the
`subject ........................................................................................................ 49
`[1.7] wherein the first light guide is configured to deliver light from the at
`least one optical emitter directly into the body of the subject via the
`exposed end surface thereof ....................................................................... 49
`[1.8] a second light guide supported by the housing ................................. 50
`[1.9] wherein the second light guide is in optical communication with the
`at least one optical detector ........................................................................ 50
`[1.10] wherein the second light guide comprises a distal end having an
`exposed end surface that is configured to engage a portion of the body of
`the subject .................................................................................................. 50
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`[1.11] wherein the second light guide is configured to collect light directly
`from the body of the subject via the exposed end surface thereof and
`deliver collected light to the at least one optical detector ......................... 51
`C.
`Claim 8 ................................................................................................ 51
`D.
`Claim 9 ................................................................................................ 51
`E.
`Claim 10 .............................................................................................. 51
`F.
`Claim 11 .............................................................................................. 52
`G.
`Claim 12 .............................................................................................. 52
`XII. Ground 9: Claims 2-4 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Fraden in view of Verjus. ........................................................ 52
`A. Overview of Verjus ............................................................................. 53
`B.
`Rationale to combine the teachings of Fraden and Verjus.................. 54
`XIII. Ground 10: Claim 5 is unpatentable under Pre-AIA 35 U.S.C. § 103(a)
`over Fraden in view of Verjus and in further view of Fricke. ....................... 57
`A. Overview of Fricke .............................................................................. 57
`B.
`Rationale to combine the teachings of Fraden, Verjus, and
`Fricke ................................................................................................... 59
`XIV. Ground 11: Claims 6 and 7 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Fraden in view of Debreczeny. ............................................... 60
`A. Overview of Debreczeny ..................................................................... 61
`B.
`Rationale to combine the teachings of Fraden and Debreczeny ......... 61
`XV. Conclusion ..................................................................................................... 62
`XVI. Grounds for standing (37 C.F.R. § 42.104(a)) .............................................. 64
`XVII. Mandatory notices (37 C.F.R. § 42.8(a)(1)) .................................................. 64
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`TABLE OF AUTHORITIES
`
`Cases
`
`Cuozzo Speed Techs., LLC v. Lee,
`__ US__, 136 S.Ct. 2131, 2142 (2016) .................................................................. 14
`
`
`In re Am. Acad. Of Sci. Tech Ctr.,
`367 F.3d 1359 (Fed. Cir. 2004) .............................................................................. 15
`
`
`In re Leshin,
`277 F.2d 197 (C.C.P.A. 1960) ................................................................................ 38
`
`
`In re Nilssen,
`851 F.2d 1401 (Fed. Cir. 1988) ..................................................................29, 57, 60
`
`
`KSR Int’l Co. v. Teleflex Inc.,
`550 U.S. 398 (2007) ....................................................................................... passim
`
`
`Sinclair & Carroll Co. v. Interchemical Corp.,
`325 U.S. 327 (1945) ............................................................................................... 38
`
`
`Sundance, Inc. v. DeMonte Fabricating Ltd.,
`550 F.3d 1356 (Fed. Cir. 2008) .............................................................................. 56
`
`
`Unwired Planet, LLC v. Google Inc.,
`__ F.3d__, 2016 WL 6694955 (Fed. Cir. Nov. 15, 2016) ...................................... 40
`
`
`Statutes
`
`35 U.S.C. § 102 ............................................................................................................ 7
`
`35 U.S.C. § 102(b) ................................................................................................. 9, 43
`
`35 U.S.C. § 102(e) ....................................................................................................... 9
`
`35 U.S.C. § 103 ........................................................................................................ 6, 7
`
`35 U.S.C. § 103(a) ............................................................................................. passim
`
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`35 U.S.C. 102(b) ........................................................................................................ 18
`
`Regulations
`
`37 C.F.R. § 42.10(a) ................................................................................................... 65
`
`37 C.F.R. § 42.100(b) ................................................................................................ 14
`
`37 C.F.R. § 42.104(a) ................................................................................................. 64
`
`37 C.F.R. § 42.104(b) .................................................................................................. 6
`
`37 C.F.R. § 42.8(a)(1) ................................................................................................ 64
`
`37 C.F.R. § 42.8(b)(3) ................................................................................................ 65
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`EXHIBIT LIST
`
`Description
`U.S. Patent No. 8,929,965 to LeBoeuf et al., issued January 6, 2015
`U.S. Patent No. 8,929,965 File History
`Declaration of Dr. Majid Sarrafzadeh
`Curriculum Vitae of Dr. Majid Sarrafzadeh
`Valencell, Inc. v. Apple Inc., Case No. 5-16-cv-00010 (E.D.N.C),
`Complaint filed January 4, 2016
`U.S. Patent Application Publication No. 2005/0209516 to Fraden,
`published September 22, 2005
`U.S. Patent Application Publication No. 2003/0233051 to Verjus et
`al., published December 18, 2003
`U.S. Patent Application Publication No. 2008/0081972 to
`Debreczeny, published April 3, 2008
`Japanese Patent Application Publication No. 2005/040261 A to
`Numaga et al., published February 17, 2005
`Certified English-language translation of Japanese Patent Application
`Publication No. 2005/040261 A to Numaga et al., published
`February 17, 2005
`U.S. Patent Application Publication No. 2003/0065269 to Vetter et
`al., published April 3, 2003
`U.S. Patent No. 6,702,752 to Dekker, issued March 9, 2004
`U.S. Patent No. 5,817,008 to Rafert et al., issued October 6, 1998
`U.S. Patent Application Publication No. 2005/0212405 to Negley,
`published September 29, 2005
`International Patent Application Publication No. 2005/036212 to
`Miao et al., published April 21, 2005
`U.S. Patent Application Publication No. 2009/0105556 to Fricke et
`al., published April 23, 2009
`U.S. Patent No. 7,107,088 to Aceti, issued September 12, 2006
`U.S. Patent No. 3,704,706 to Herczfeld et al., issued December 5,
`1972
`U.S. Patent No. 5,297,548 to Pologe, issued March 29, 1994
`Med. Sci. Series, Int’l Fed’n for Med. and Biological Eng’g and the
`Int’l Org. for Med. Physics, Design of Pulse Oximeters (J.G. Webster
`ed., Inst. of Physics Publ’g 1997)
`
`
`
`Exhibit
`No.
`1001
`1002
`1003
`1004
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`1012
`1013
`1014
`
`1015
`
`1016
`
`1017
`1018
`
`1019
`1020
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`Exhibit
`No.
`1021
`
`1022
`
`1023
`
`1024
`1025
`
`1026
`
`1027-1051
`1052
`
`
`
`Description
`John Allen, Photoplethysmography and its application in clinical
`physiological measurement, Physiological Measurement 28 (2007)
`U.S. Patent Application Publication No. 2008/0132798 to Hong et
`al., published June 5, 2008
`U.S. Patent Application Publication No. 2008/0177162 to Bae,
`published July 24, 2008
`U.S. Patent No. 5,807,267 to Bryars et al. issued September 15, 1998
`Hyonyoung Han et al., Development of a wearable health monitoring
`device with motion artifact reduced algorithm, International
`Conference on Control, Automation and Systems, IEEE (2007)
`Excerpt from Merriam Webster’s Collegiate Dictionary,
`Eleventh Edition, 2008; p. 603
`Intentionally left blank
`Declaration of Gerard P. Grenier in support of Hyonyoung Han et al.,
`Development of a wearable health monitoring device with motion
`artifact reduced algorithm, International Conference on Control,
`Automation and Systems, IEEE (2007) (Ex. 1025)
`
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`Apple Inc. requests inter partes review of claims 1-12 of U.S. Patent No.
`
`8,929,965 (“the ʼ965 Patent”) (Ex. 1001).
`
`I.
`
`Introduction
`
`In the 40 years prior to the purported invention of the ’965 Patent, artisans
`
`had developed and continued to improve sensor modules for optically detecting and
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`measuring physiological information, such as heart rate. Ex. 1003, ¶ 26. For
`
`example, a 1972 patent illustrates many of the conventional components of a heart
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`rate monitor using an optical technique to continuously measure the pulse of a
`
`subject. Ex. 1018. As shown below, the small probe housing included a light source
`
`to emit light directly into the finger of a subject and a photodetector to collect light
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`directly from the finger. Ex. 1018, 2:60-3:22, fig. 1 (annotated, reproduced below).
`
`Ex. 2018, Fig. 1
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`In operation, the probe was placed upon the patient’s finger such that blood
`
`flowing in the finger’s capillaries reflected incident red light. Ex. 1018, 3:40-42,
`
`Figure 1; Ex. 1020, pp. 34-36; Ex. 1003, ¶ 27. The intensity of the reflected light
`
`was understood to be inversely proportional both to the amount of blood flowing in
`
`the finger. Ex. 1018, 3:42-55; Ex. 1020, pp. 40-49. For each heartbeat, blood
`
`pumped into and out of the capillaries, thereby causing a periodic decrease and
`
`increase in the reflected light intensity. Ex. 1018, 3:42-55; Ex. 1020, pp. 40-49. The
`
`detected periodic waveform was known to represent a volume of the circulating
`
`blood synchronized to each heartbeat. Ex. 1018, 3:42-55; Ex. 1020, pp. 40-49. This
`
`pulsatile waveform was known as a photoplethysmographic (PPG) pulse wave. Ex.
`
`1020, pp. 13-18, 40-49 (Fig. 4.4 below is illustrative); Ex. 1021, § 2.1; Ex. 1003, ¶
`
`27.
`
`Ex. 2020, Fig. 4.4 Absorbed and transmitted light in living tissue.
`
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`Hence, photoplethysmography (hereinafter also referred to as ‘PPG’)1 is a
`
`known optical measurement technique used to detect blood volume changes in
`
`living tissue due to arterial pulsation. Ex. 1003, ¶ 28. The basic form of PPG
`
`technology requires only a few opto-electronic components: a light source (often
`
`red or near infrared) to illuminate the tissue (commonly at the ear, wrist, or finger)
`
`and a photodetector to measure the small variations in light intensity associated
`
`with changes in blood volume. Id. A simple, appropriately programmed signal
`
`processor can extract heart rate and a variety of other physiological parameters. Id.
`
`Photoplethysmography has had widespread clinical application, with the
`
`technology utilized in commercially available medical devices, such as pulse
`
`oximeters. Id. at ¶ 29. A major advance in the clinical use of PPG-based technology
`
`came with the introduction of the pulse oximeter as a non-invasive method for
`
`monitoring patients’ arterial oxygen saturations. Id. Oxygen saturation of the
`
`hemoglobin in arterial blood is determined by the relative proportions of
`
`oxygenated hemoglobin and reduced hemoglobin in the arterial blood. Id. A pulse
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`oximeter uses PPG signals to determine the oxygen saturation of the hemoglobin by
`
`measuring the difference in the light absorption of these two forms of hemoglobin.
`
`
`1 Photoplethysmographic, photoplethysmogram, and photoplethysmography are all
`
`terms abbreviated PPG.
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`Id. Reduced hemoglobin absorbs more light in the red band (600-800 nm) than does
`
`oxyhemoglobin, while oxyhemoglobin absorbs more light in the near infrared band
`
`(800-1000 nm) than does reduced hemoglobin. Id. The pulse oximeter typically
`
`includes a probe which contains two light emitting diodes (LEDs), one red and one
`
`infrared, and is placed in contact with the skin. Id. at ¶ 30. Oxygen saturation is then
`
`estimated based on the ratio between the detected intensity of red and infrared light.
`
`Id. By the late 1990’s, pulse oximetry was recognized worldwide as a standard of
`
`care in anesthesiology and in widespread use in medical facilities. Id. at ¶ 31.
`
`In recent decades, the desire for small, reliable, low-cost and simple-to-use
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`noninvasive (cardiovascular) assessment techniques were key factors that have
`
`propelled the use of PPG. Id. at ¶ 32. Advances in opto-electronics and clinical
`
`instrumentation have also significantly contributed to its advancement. Id. The
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`developments in semiconductor technology, i.e. LEDs, photodiodes and
`
`phototransistors, have made considerable improvements in the size, sensitivity,
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`reliability and reproducibility of PPG probe design. Id. There have also been
`
`considerable developments in computer-based digital signal processing and pulse
`
`wave analysis. Id. As this technology became ever smaller and more robust, it was
`
`integrated into wearable technology such as wristwatches, earphones, headsets, etc.
`
`Id. at ¶ 33.
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`Because these instruments use optical means to make their measurements, it
`
`was recognized that such optical sensors were susceptible to noise from ambient
`
`light. Id. at ¶ 34. Optical interference occurs when bright light from an external
`
`source (e.g., ambient light) reaches the photodiode, or when light reaches the
`
`photodiode without passing through a pulsatile arteriolar bed. Id. Consequently, to
`
`obtain accurate measurements, potential sources of optical interference must be
`
`controlled. Id. Because the optical components are located in the probe, proper
`
`probe configuration and use are key factors in reducing optical interference. Id.
`
`Accordingly, well prior to the alleged invention of the ’965 patent, optical sensors
`
`were designed to maximize the PPG signal directly from the measurement region
`
`and to reject ambient light through the use of wave guides, optical filters, cladding,
`
`and other conventional light control means. Id.
`
`By the turn of the 21st century, it was also well established that PPG
`
`measurements were quite sensitive to patient and/or probe–tissue movement
`
`artifacts. Id. at ¶ 35. As with most medical devices, motion artifacts could
`
`contribute a significant error to PPG measurements if not mitigated. Id.
`
`Furthermore, if these artifacts mimic a heartbeat, the instrument would be unable to
`
`differentiate between the pulsations from motion artifacts and those from normal
`
`arterial pulsations, thereby causing erroneous readings. Id. As shown below, the
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`PPG waveform obtained during exercise exhibits significant deviation from the
`
`period PPG waveform obtained while the subject was at rest.
`
`
`
`The PPG Waveform
`Ex. 1020, p. 184, Figure 11.2
`Practically, these motion artifacts could be reduced by digital signal
`
`
`
`processing. Id. at ¶ 36. By the mid-2000’s, several motion cancellation techniques
`
`had been developed, including the incorporation of motion sensors that could
`
`provide a reference signal to the signal processor to cancel the motion contribution
`
`inherent in the sensed PPG signal. Id.
`
`II.
`
`Identification of challenge (37 C.F.R. § 42.104(b))
`A.
`Apple requests review of claims 1 through 12 on the following grounds:
`
`Statutory grounds
`
`Ground
`
`References
`
`1
`
`2
`
`3
`
`
`
`Numaga
`
`Numaga, Vetter
`
`Numaga Vetter, Dekker
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`- 6 -
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`Statutory
`Basis
`
`Claims
`Challenged
`
`§ 103
`
`§ 103
`
`§ 103
`
`1, 2, 12
`
`3, 4
`
`5
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`

`
` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`Numaga, Debreczeny
`
`Numaga, Rafert
`
`Numaga, Negley
`
`Numaga, Miao
`
`Fraden
`
`Fraden, Verjus
`
`Fraden, Verjus, Fricke
`
`Fraden, Debreczeny
`
`§ 103
`
`§ 103
`
`§ 103
`
`§ 103
`
`§ 102
`
`§ 103
`
`§ 103
`
`§ 103
`
`6, 7
`
`8, 9
`
`10
`
`11
`
`1, 8-12
`
`2-4
`
`5
`
`6, 7
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`10
`
`11
`
`B. Citation of prior art
`The ’965 Patent claims priority as a continuation of U.S. patent application
`
`
`
`Ser. No. 13/715,247, filed December 14, 2012, which is a continuation-in-part of
`
`U.S. patent application Ser. No. 12/691,388, filed January 21, 2010, now U.S. Pat.
`
`No. 8,700,111, which claims the benefit of and priority to U.S. Provisional Patent
`
`Application No. 61/208,567 filed February 25, 2009, U.S. Provisional Patent
`
`Application No. 61/208,574 filed February 25, 2009, U.S. Provisional Patent
`
`Application No. 61/212,444 filed April 13, 2009, and U.S. Provisional Patent
`
`Application No. 61/274,191 filed August 14, 2009. Each of the following prior art
`
`
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`documents applied in the grounds of unpatentability qualify as prior art before to the
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`earliest possible priority date, February 25, 2009.2
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`In support of the grounds of unpatentability cited above, Apple relies on the
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`following prior art references:
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`• JP Patent Publication No. 2005/040261 A (Numaga et al.)
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`• US Patent Application Publication No. 2003/0065269 (Vetter et al.)
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`• US Patent No. 6,702,752 (Dekker)
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`• US Patent Application Publication No. 2008/0081972 (Debreczeny)
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`• US Patent No. 5,817,008 (Rafert et al.)
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`• US Patent Application Publication No. 2005/0212405 (Negley)
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`• WIPO Patent Publication No. 2005/036212 (Miao et al.)
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`• US Patent Application Publication No. 2005/0209516 (Fraden)
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`• US Patent Application Publication No. 2003/0233051 (Verjus et al.)
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`• US Patent Application Publication No. 2009/0105556 (Fricke et al.)
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`2 Petitioner does not concede that any claim of the ’965 Patent has support under 35
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`U.S.C. § 112 and thus is entitled to the benefit of priority of any earlier-filed
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`application. Petitioner expressly reserves the right to challenge any benefit claim
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`should patent owner attempt to antedate any art.
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`All references were published more than one year prior to the earliest possible
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`priority date (with the exception of Debreczeny and Fricke) and therefore qualify as
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`prior art under 35 U.S.C. § 102(b). At a minimum, Debreczeny and Fricke qualify as
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`prior art as of their filing dates under 35 U.S.C. § 102(e).
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`III. The ’965 Patent
`A. Overview
`The ’965 Patent is directed to a sensor module for detecting and/or measuring
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`physiological information from a subject. Ex. 1001, Abstract. Physiological sensors
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`that may be incorporated into headsets and/or earbuds may be configured to detect
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`and/or measure various types of physiological information, including: heart rate,
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`pulse rate, breathing rate, etc. Ex. 1001, 4:33-67. According to the prosecution
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`history, the sensor modules 10 illustrate the alleged invention as recited in claim 1.
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`Ex. 1002, p. 236. Figures 24A and 25A (reproduced below) illustrate headsets
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`having light guides 119 that are optically coupled with one or more optical emitters
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`and optical detectors. Ex. 1002, p. 237. Each illustrated headset 10 includes a
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`housing 14 that is configured to be supported within an ear of a person and that
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`encloses and protects various electronic components including the at least one
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`optical emitter and the at least one optical detector. Ex. 1002, p. 237.
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
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`Figure 31 (reproduced below right) illustrates many of the features of claim 1.
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`The sensor module includes an
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`optical emitter 24 and an optical
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`detector 26 supported by a base 50.
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`Ex. 1001, Abstract. A first light guide
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`119 has a proximal end portion 119b
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`in optical communication with the
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`optical emitter (via an optical
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`coupling material 120) and is
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`configured to deliver light from the at
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`least one optical emitter into a body
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`of a subject. Ex. 1001, 38:44-61. A
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`second light guide 119 is in optical communication with the optical detector (via an
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`optical coupling material 120) and is configured to collect light from the body of the
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`subject. Ex. 1001, 38:44-61. Each distal end portion 119a of each light guide 119
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`has an exposed end surface 119c configured to engage (or be positioned adjacent) a
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`portion of an ear of a subject. Ex. 1001, 38:50-52.
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` The sensor module may also include a motion sensor and a processor. Ex.
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`1001, Abstract. The motion sensor may be configured to sense motion information
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`from the subject and the processor is configured to remove motion artifacts from
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`signals produced by the at least one optical detector in response to signals produced
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`by the motion sensor. Ex. 1001, Abstract.
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`Summary of the prosecution history
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`B.
`The brief prosecution history contains a single rejection of independent
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`claims 1 and 12 based on U.S. Patent No. 7,107,088 (hereinafter Aceti) (Ex. 1017).
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`Aceti teaches an ear-worn pulse oximetry sensor 200. Ex. 1017, Abstract. Valencell
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`conceded that Aceti teaches that a first portion 202 of the oximetry sensor 200 is
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`configured for placement in the second region 23 of the auditory canal 100, and
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`includes a distal end 204 that extends toward the tympanic membrane 26 when the
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`oximetry sensor 200 is positioned within the auditory canal 100. Ex. 1017, 2:64-3:3.
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`A second portion 212 of the pulse oximetry sensor 200 is configured for placement
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`in the third region 25 of the auditory canal 100, and includes optically transparent
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` Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`portions 224 and optically blocking portions 226 for use in measuring oximetry
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`levels within the vascular tissue 29 of the third region 25. Ex. 1017, 3:52-58. The
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`optically transparent portions 224 form channels within the optically blocking
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`portions 226. Ex. 1017, 3:59-61. The emitter 228 includes a first light source 230, a
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`first light channel 232, a second light source 234, and a second light channel 236.
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`Ex. 1017, 4:61-64. The first and second light channels 232 and 234 are configured
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`to direct light from the first and second light sources, respectively, to the first
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`optically transparent portion 224a. Ex. 1017, 4:66-5:2. A detector 238 is positioned
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`within the pulse oximetry sensor 200 to detect light of the two or more wavelengths
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`out of a second position of the vascular tissue 29 impinging a corresponding second
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`optically tran