`
`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`––––––––––
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`––––––––––
`
`FITBIT, INC.
`Petitioner
`
`v.
`VALENCELL, INC.
`Patent Owner
`
`––––––––––
`
`
`
`––––––––––
`
`
`
`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.
`
`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” ........................................................................................ 17
`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. ...................................................... 19
`A. Overview of Numaga .......................................................................... 19
`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 ....................................................................... 21
`[1.1] a housing .......................................................................................... 21
`[1.2] at least one optical emitter supported by the housing ...................... 22
`[1.3] at least one optical detector supported by the housing .................... 22
`[1.4] a first light guide supported by the housing .................................... 22
`[1.5] wherein the first light guide is in optical communication with the
`at least one optical emitter ........................................................................ 23
`[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 ............................................................... 24
`[1.8] a second light guide supported by the housing ................................ 24
`[1.9] wherein the second light guide is in optical communication with
`the at least one optical detector ................................................................ 25
`[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 ..... 26
`Claim 2 ................................................................................................ 26
`C.
`Claim 12 .............................................................................................. 26
`D.
`V. Ground 2: Claims 3 and 4 are unpatentable under Pre-AIA 35 U.S.C. §
`103(a) over Numaga in view of Vetter. ......................................................... 27
`A. Overview of Vetter .............................................................................. 27
`B.
`Rationale to combine the teachings of Numaga and Vetter ................ 29
`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. ................... 30
`A. Overview of Dekker ............................................................................ 31
`B.
`Rationale to combine the teachings of Numaga, Vetter, and Dekker . 33
`VII. Ground 4: Claims 6 and 7 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Numaga in view of Debreczeny. ............................................. 34
`A. Overview of Debreczeny ..................................................................... 35
`B.
`Rationale to combine the teachings of Numaga and Debreczeny ....... 36
`VIII. Ground 5: Claims 8 and 9 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Numaga in view of Rafert. ...................................................... 37
`A. Overview of Rafert .............................................................................. 37
`B.
`Rationale to combine the teachings of Numaga and Rafert ................ 39
`
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`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`B.
`
`
`IX. Ground 6: Claim 10 is unpatentable under Pre-AIA 35 U.S.C. § 103(a)
`over Numaga in view of Negley. ................................................................... 40
`A. Overview of Negley ............................................................................ 40
`B.
`Rationale to combine the teachings of Numaga and Negley .............. 41
`X. Ground 7: Claim 11 is unpatentable under Pre-AIA 35 U.S.C. § 103(a)
`over Numaga in view of Miao. ...................................................................... 42
`A. Overview of Miao ............................................................................... 42
`B.
`Rationale to combine the teachings of Numaga and Miao ................. 44
`XI. Ground 8: Claims 1 and 8-12 are unpatentable under Pre-AIA 35 U.S.C.
`§ 102(b) as being anticipated by Fraden. ....................................................... 44
`A. Overview of Fraden ............................................................................. 44
`1. First Embodiment ........................................................................... 45
`2. Second Embodiment ...................................................................... 46
`Fraden anticipates claim 1. .................................................................. 49
`[1.P] A sensor module for detecting and/or measuring physiological
`information from a subject ....................................................................... 49
`[1.1] a housing .......................................................................................... 49
`[1.2] at least one optical emitter supported by the housing ...................... 49
`[1.3] at least one optical detector supported by the housing .................... 50
`[1.4] a first light guide supported by the housing .................................... 50
`[1.5] wherein the first light guide is in optical communication with the
`at least one optical emitter ........................................................................ 50
`[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 ............................................................................................. 50
`[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 ............................................................... 51
`[1.8] a second light guide supported by the housing ................................ 51
`[1.9] wherein the second light guide is in optical communication with
`the at least one optical detector ................................................................ 51
`
`
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`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`
`[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 ............................................................................................. 52
`[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 ..... 52
`Claim 8 ................................................................................................ 52
`C.
`Claim 9 ................................................................................................ 53
`D.
`Claim 10 .............................................................................................. 53
`E.
`Claim 11 .............................................................................................. 53
`F.
`Claim 12 .............................................................................................. 54
`G.
`XII. Ground 9: Claims 2-4 are unpatentable under Pre-AIA 35 U.S.C.
`§ 103(a) over Fraden in view of Verjus. ........................................................ 54
`A. Overview of Verjus ............................................................................. 54
`B.
`Rationale to combine the teachings of Fraden and Verjus .................. 56
`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. ....................... 59
`A. Overview of Fricke .............................................................................. 59
`B.
`Rationale to combine the teachings of Fraden, Verjus, and Fricke .... 61
`XIV. Ground 11: Claims 6 and 7 are unpatentable under Pre-AIA 35 U.S.C. §
`103(a) over Fraden in view of Debreczeny. .................................................. 62
`A. Overview of Debreczeny ..................................................................... 63
`B.
`Rationale to combine the teachings of Fraden and Debreczeny ......... 63
`XV. Conclusion ..................................................................................................... 64
`XVI. Grounds for Standing (37 C.F.R. § 42.104(a)) .............................................. 66
`XVII. Mandatory Notices (37 C.F.R. § 42.8(a)(1)) ................................................. 66
`
`- iv -
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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 (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) ............................................................................ 39
`
`In re Nilssen,
`851 F.2d 1401 (Fed. Cir. 1988) .............................................................. 30, 58, 62
`
`KSR Int’l Co. v. Teleflex Inc.,
`550 U.S. 398 (2007) .....................................................................................passim
`
`Sinclair & Carroll Co. v. Interchemical Corp.,
`325 U.S. 327 (1945) ............................................................................................ 39
`
`Sundance, Inc. v. DeMonte Fabricating Ltd.,
`550 F.3d 1356 (Fed. Cir. 2008) .......................................................................... 58
`
`Unwired Planet, LLC v. Google Inc.,
`___F.3d__, 2016 WL 6694955 (Fed. Cir. Nov. 15, 2016) ................................. 42
`
`STATUTES
`
`35 U.S.C. § 102 .......................................................................................................... 7
`
`35 U.S.C. § 102(b) ............................................................................................... 8, 19
`
`35 U.S.C. § 102(e) ..................................................................................................... 8
`
`35 U.S.C. § 103(a) ............................................................................................passim
`
`OTHER AUTHORITIES
`
`37 C.F.R. § 42.100(b) .............................................................................................. 14
`
`37 C.F.R. § 42.104(b) ................................................................................................ 6
`
`
`
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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
`
`Exhibit No.
`1001
`
`1002
`1003
`1004
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`1012
`1013
`
`1014
`
`1015
`
`1016
`
`1017
`1018
`
`1019
`
`
`
`- vi -
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`

`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`Description
`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)
`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)
`
`Exhibit No.
`1020
`
`1021
`
`1022
`
`1023
`
`1024
`
`1025
`
`1026
`
`1027-1051
`1052
`
`
`
`
`
`- vii -
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`

`

`Fitbit, Inc. requests inter partes review of claims 1-12 of U.S. Patent No.
`
`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`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 measuring physiological information, such as heart rate. Ex. 1003, ¶ 26. For
`
`example, a 1972 patent illustrates many of the conventional components of a heart
`
`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 directly from the finger. Ex. 1018, 2:60-3:22, fig. 1 (annotated,
`
`reproduced below).
`
`
`
`Ex. 1018, Fig. 1
`
`- 1 -
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`

`

`In operation, the probe was placed upon the patient’s finger such that blood
`
`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`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. 1020, Fig. 4.4 Absorbed and transmitted light in living tissue.
`
`
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`- 2 -
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`

`

`Hence, photoplethysmography (hereinafter also referred to as ‘PPG’)1 is a
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`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
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`
`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
`
`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. Id. Reduced hemoglobin absorbs more light in the red band (600-
`
`1 Photoplethysmographic, photoplethysmogram, and photoplethysmography are all
`terms abbreviated PPG.
`
`
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`- 3 -
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`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`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
`
`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
`
`developments in semiconductor technology, i.e. LEDs, photodiodes and
`
`phototransistors, have made considerable improvements in the size, sensitivity,
`
`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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`Because these instruments use optical means to make their measurements, it
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`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
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`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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`- 5 -
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`PPG waveform obtained during exercise exhibits significant deviation from the
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`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`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.
`Fitbit requests review of claims 1 through 12 on the following grounds:
`
`Statutory grounds
`
`Ground
`
`References
`
`1
`2
`3
`4
`
`Numaga
`Numaga, Vetter
`Numaga Vetter, Dekker
`Numaga, Debreczeny
`
`Statutory
`Basis
`§ 103
`§ 103
`§ 103
`§ 103
`
`Claims
`Challenged
`1, 2, 12
`3, 4
`5
`6, 7
`
`
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`- 6 -
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`

`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`Statutory
`Basis
`§ 103
`§ 103
`§ 103
`§ 102
`§ 103
`§ 103
`§ 103
`
`Claims
`Challenged
`8, 9
`10
`11
`1, 8-12
`2-4
`5
`6, 7
`
`Ground
`
`References
`
`Numaga, Rafert
`Numaga, Negley
`Numaga, Miao
`Fraden
`Fraden, Verjus
`Fraden, Verjus, Fricke
`Fraden, Debreczeny
`
`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
`
`documents applied in the grounds of unpatentability qualify as prior art before to
`
`the earliest possible priority date, February 25, 2009.2
`
`
`2 Petitioner does not concede that any claim of the ’965 Patent has support under
`35 U.S.C. § 112 and thus is entitled to the benefit of priority of any earlier-filed
`
`
`
`- 7 -
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`

`

`In support of the grounds of unpatentability cited above, Fitbit relies on the
`
`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`following prior art references:
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`•
`
`JP Patent Publication No. 2005/040261 A (Numaga et al.)
`
`US Patent Application Publication No. 2003/0065269 (Vetter et al.)
`
`US Patent No. 6,702,752 (Dekker)
`
`US Patent Application Publication No. 2008/0081972 (Debreczeny)
`
`US Patent No. 5,817,008 (Rafert et al.)
`
`US Patent Application Publication No. 2005/0212405 (Negley)
`
`WIPO Patent Publication No. 2005/036212 (Miao et al.)
`
`US Patent Application Publication No. 2005/0209516 (Fraden)
`
`US Patent Application Publication No. 2003/0233051 (Verjus et al.)
`
`US Patent Application Publication No. 2009/0105556 (Fricke et al.)
`
`All references were published more than one year prior to the earliest possible
`
`priority date (with the exception of Debreczeny and Fricke) and therefore qualify
`
`as prior art under 35 U.S.C. § 102(b). At a minimum, Debreczeny and Fricke
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`qualify as prior art as of their filing dates under 35 U.S.C. § 102(e).
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`application. Petitioner expressly reserves the right to challenge any benefit claim
`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
`
`
`III. The ’965 Patent
`A. Overview
`The ’965 Patent is directed to a sensor module for detecting and/or
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`measuring physiological information from a subject. Ex. 1001, Abstract.
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`Physiological sensors that may be incorporated into headsets and/or earbuds may
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`be configured to detect and/or measure various types of physiological information,
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`including: heart rate, pulse rate, breathing rate, etc. Ex. 1001, 4:33-67. According
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`to the prosecution history, the sensor modules 10 illustrate the alleged invention as
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`recited in claim 1. Ex. 1002, p. 236. Figures 24A and 25A (reproduced below)
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`illustrate headsets having light guides 119 that are optically coupled with one or
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`more optical emitters and optical detectors. Ex. 1002, p. 237. Each illustrated
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`headset 10 includes a housing 14 that is configured to be supported within an ear of
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`a person and that encloses and protects various electronic components including
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`the at least one optical emitter and the at least one optical detector. Ex. 1002,
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`p. 237.
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`- 9 -
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`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`
`Figure 31 (reproduced below right) illustrates many of the features of claim 1.
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`The sensor module includes an optical
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`emitter 24 and an optical detector 26
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`supported by a base 50. Ex. 1001,
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`Abstract. A first light guide 119 has a
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`proximal end portion 119b in optical
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`communication with the optical
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`emitter (via an optical coupling
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`material 120) and is configured to
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`deliver light from the at least one
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`optical emitter into a body of a
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`subject. Ex. 1001, 38:44-61.
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`A second light guide 119 is in optical communication with the optical detector (via
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`an optical coupling material 120) and is configured to collect light from the body
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`

`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`of the subject. Ex. 1001, 38:44-61. Each distal end portion 119a of each light
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`guide 119 has an exposed end surface 119c configured to engage (or be positioned
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`adjacent) a 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
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`produced 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.
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`Valencell conceded that Aceti teaches that a first portion 202 of the oximetry
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`sensor 200 is configured for placement in the second region 23 of the auditory
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`canal 100, and includes a distal end 204 that extends toward the tympanic
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`membrane 26 when the oximetry sensor 200 is positioned within the auditory canal
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`100. Ex. 1017, 2:64-3:3. A second portion 212 of the pulse oximetry sensor 200 is
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`configured for placement in the third region 25 of the auditory canal 100, and
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`includes optically transparent portions 224 and optically blocking portions 226 for
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`use in measuring oximetry levels within the vascular tissue 29 of the third region
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`25. Ex. 1017, 3:52-58. The optically transparent portions 224 form channels
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`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
`within the optically blocking portions 226. Ex. 1017, 3:59-61. The emitter 228
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`includes a first light source 230, a first light channel 232, a second light source
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`234, and a second light channel 236. Ex. 1017, 4:61-64. The first and second light
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`channels 232 and 234 are configured to direct light from the first and second light
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`sources, respectively, to the first optically transparent portion 224a. Ex. 1017,
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`4:66-5:2. A detector 238 is positioned within the pulse oximetry sensor 200 to
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`detect light of the two or more wavelengths out of a second position of the vascular
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`tissue 29 impinging a corresponding second optically transparent portion 224b of
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`the second portion 212 when the oximetry sensor 200 is positioned within the
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`auditory canal 100. Ex. 1017, 5:11-16. The detector 238 includes a photodetector
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`240 and a third light channel 242 (e.g., an optical fiber) that is configured to direct
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`light impinging the second optically transparent portion 224b of the second portion
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`212 through the second portion 212 to the photodetector 240. Ex. 1017, 4:16-24.
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`- 12 -
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`

`

`Petition for Inter Partes Review of
`U.S. Patent No. 8,929,965
`
`
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`In response to the Aceti rejection, Valencell amended claims 1 and 20
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`(which eventually became claim 12) and argued that Aceti failed to teach or
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`suggest the new limitations: “wherein the first light guide comprises a distal end
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`having an exposed end surface that is configured to engage a portion of a body of
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`the subject” and “wherein the second light guide comprises a distal end having an
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`exposed end surface that is configured to engage a portion of the body of the
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`subject” and more specifically, “wherein the first light guide is configured to
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`deliver light from the at least one optical emitter directly into the body of th