UNITED STATES PATENT AND TRADEMARK OFFICE
`
`Paper No. __
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`EXOCAD GMBH AND EXOCAD AMERICA, INC.
`Petitioner,
`
`v.
`
`3SHAPE A/S,
`Patent Owner.
`
`Patent No. 9,336,336
`Issue Date: May 10, 2016
`Title: 2D IMAGE ARRANGEMENT
`
`Inter Partes Review No. Unassigned
`
`DECLARATION OF JOSEPH L. MUNDY, Ph.D.
`
`exocad GmbH, et al.
`Exhibit 1002
`
`0001
`
`

`

`Table of Contents
`
`INTRODUCTION ........................................................................................... 1
`I.
`II. QUALIFICATIONS ........................................................................................ 2
`III. SCOPE OF ASSIGNMENT ............................................................................ 4
`IV. SUMMARY OF OPINIONS ........................................................................... 5
`V.
`TECHNOLOGY BACKGROUND ................................................................. 5
`VI. OVERVIEW OF THE ’336 PATENT .......................................................... 11
`A.
`Summary of the Alleged Invention ..................................................... 11
`B.
`Prosecution History of the ’336 Patent ............................................... 14
`VII. LEGAL PRINCIPLES USED IN ANALYSIS ............................................. 16
`A.
`Legal Principles Regarding Claim Construction................................. 17
`B.
`Legal Principles Regarding Anticipation ............................................ 18
`C.
`Legal Principles Regarding Obviousness ............................................ 19
`VIII. LEVEL OF ORDINARY SKILL IN THE ART ........................................... 24
`IX. CLAIM CONSTRUCTION OF THE ASSERTED CLAIMS ...................... 29
`X.
`PRIOR ART REFERENCES ........................................................................ 34
`XI. UNPATENTABILITY OF THE CLAIMS OF THE ’336 PATENT ........... 34
`A. Unpatentability of Claims 1-14, 16-20 and 22-30 Based on
`Anticipation by Malfliet, or Alternatively, Obviousness by Malfliet
`Combined with Kopelman ............................................................................. 35
`(1) Overview of Malfliet ................................................................. 35
`(2) Overview of Kopelman ............................................................. 37
`(3) Overview of Wiedmann ............................................................ 38
`(4)
`Independent Claims 1 and 29 .................................................... 40
`Preambles: “A computer-implemented method of
`(a)
`designing a dental restoration for a patient” (claim
`1);
`“A system for designing a dental restoration for a
`patient” (claim 29) .......................................................... 40
`(b) Element 1.1: “using a hardware processor” (claim
`1) ..................................................................................... 41
`
`
`
`
`
`ii
`
`0002
`
`

`

`(c)
`
`(e)
`
`(f)
`
`Element 1.2: “provide one or more 2D images,
`where at least one of the one of more 2D images
`comprises at least one facial feature” (claim 1);
`Element 29.1: “provide one or more 2D images,
`where at least one of the one or more 2D images
`comprises at least one facial feature” (claim 29) ........... 42
`(d) Element 1.3: “wherein the at least one facial
`feature comprises lips” (claim 1);
`Element 29.2: “wherein the at least one facial
`feature comprises lips” (claim 29) .................................. 45
`Element 1.4: “either virtually cut at least a part of
`teeth out of the at least one 2D image or render a
`part of the at least one 2D image that includes teeth
`at least partly or wholly transparent” (claim 1);
`Element 29.3: “either virtually cut at least a part of
`teeth out of the at least one 2D image or render a
`part of the at least one 2D image that includes teeth
`at least partly or wholly transparent” (claim 29) ............ 47
`Element 1.5: “provide a 3D virtual model of at
`least part of an oral cavity of the patient” (claim 1);
`Element 29.4: “provide a 3D virtual model of at
`least part of an oral cavity of the patient” (claim
`29) ................................................................................... 49
`(g) Element 1.6: “arrange the at least one 2D image
`relative to the 3D virtual model in a virtual 3D
`space” (claim 1);
`Element 29.5: “arrange the at least one 2D image
`relative to the 3D virtual model in a virtual 3D
`space” (claim 29) ............................................................ 52
`(h) Element 1.7: “such that the at least one 2D image
`and the 3D virtual model are aligned when viewed
`from a viewpoint” (claim 1);
`Element 29.6: “wherein the at least one 2D image
`and the 3D virtual model are aligned when viewed
`from a viewpoint” (claim 29) ......................................... 57
`Element 1.8: “and remain separate representations
`after being arranged” (claim 1);
`
`(i)
`
`
`
`
`
`iii
`
`0003
`
`

`

`(l)
`
`(j)
`
`Element 29.7: “and remain separate
`representations after being arranged” (claim 29) ........... 59
`Element 1.9: “whereby the 3D virtual model and
`the at least one 2D image are both visualized in the
`3D space” (claim 1);
`Element 29.8: “and wherein the 3D virtual model
`and the at least one 2D image are both visualized
`in the 3D space” (claim 29) ............................................ 63
`(k) Element 1.10: “design a restoration for the 3D
`virtual model” (claim 1);
`Element 29.9: “design a restoration for the 3D
`virtual model” (claim 29) ............................................... 64
`Element 1.11: “where the restoration is designed to
`fit the at least one facial feature of the at least one
`2D image” (claim 1);
`Element 29.10: “where the restoration fits the
`facial feature of the at least one 2D image” (claim
`29) ................................................................................... 65
`(m) Element 1.12: “wherein the at least one 2D image
`and the 3D virtual model are aligned by scaling,
`translating or rotating the at least one 2D image or
`the 3D virtual model relative to each other” (claim
`1);
`Element 29.11: “wherein the at least one 2D image
`and the 3D virtual model are aligned by scaling,
`translating or rotating the at least one 2D image or
`the 3D virtual model relative to each other” (claim
`29) ................................................................................... 67
`(5) Dependent Claim 2 ................................................................... 69
`(6) Dependent Claim 3 ................................................................... 70
`(a) Malfliet ........................................................................... 70
`(b) Kopelman ........................................................................ 70
`(c) Wiedmann ....................................................................... 71
`(7) Dependent Claim 4 ................................................................... 71
`(a) Malfliet ........................................................................... 71
`
`
`
`
`
`iv
`
`0004
`
`

`

`(b) Kopelman ........................................................................ 72
`(c) Wiedmann ....................................................................... 72
`(8) Dependent Claim 5 ................................................................... 73
`(a) Malfliet ........................................................................... 73
`(b) Kopelman ........................................................................ 73
`(c) Wiedmann ....................................................................... 74
`(9) Dependent Claim 6 ................................................................... 74
`(a) Malfliet ........................................................................... 74
`(b) Kopelman ........................................................................ 75
`(c) Wiedmann ....................................................................... 76
`(10) Dependent Claim 7 ................................................................... 77
`(a) Malfliet ........................................................................... 77
`(b) Kopelman ........................................................................ 77
`(c) Wiedmann ....................................................................... 78
`(11) Dependent Claim 8 ................................................................... 78
`(a) Malfliet ........................................................................... 78
`(b) Kopelman ........................................................................ 79
`(c) Wiedmann ....................................................................... 79
`(12) Dependent Claim 9 (Malfliet and Wiedmann only) ................. 79
`(a) Malfliet ........................................................................... 79
`(b) Wiedmann ....................................................................... 80
`(13) Dependent Claim 10 (Malfliet and Wiedmann only) ............... 80
`(a) Malfliet ........................................................................... 80
`(b) Wiedmann ....................................................................... 80
`(14) Dependent Claim 11 (Malfliet and Wiedmann only) ............... 81
`(a) Malfliet ........................................................................... 81
`(b) Wiedmann ....................................................................... 81
`(15) Dependent Claim 12 (Malfliet and Kopelman) ........................ 82
`(a) Malfliet ........................................................................... 82
`
`
`
`
`
`v
`
`0005
`
`

`

`(b) Kopelman ........................................................................ 83
`(16) Dependent Claim 13 ................................................................. 84
`(a) Malfliet ........................................................................... 84
`(b) Kopelman ........................................................................ 85
`(c) Wiedmann ....................................................................... 85
`(17) Dependent Claim 14 ................................................................. 86
`(a) Malfliet ........................................................................... 86
`(b) Kopelman ........................................................................ 87
`(c) Wiedmann ....................................................................... 88
`(18) Dependent Claim 16 ................................................................. 89
`(a) Malfliet ........................................................................... 89
`(b) Kopelman ........................................................................ 89
`(c) Wiedmann ....................................................................... 90
`(19) Dependent Claim 17 (Malfliet and Wiedmann) ....................... 90
`(a) Malfliet ........................................................................... 90
`(b) Wiedmann ....................................................................... 91
`(20) Dependent Claim 18 ................................................................. 91
`(a) Malfliet ........................................................................... 91
`(b) Kopelman ........................................................................ 92
`(c) Wiedmann ....................................................................... 92
`(21) Dependent Claim 19 (Malfliet only) ......................................... 92
`(a) Malfliet ........................................................................... 92
`(22) Dependent Claim 20 ................................................................. 93
`(a) Malfliet ........................................................................... 94
`(b) Kopelman ........................................................................ 94
`(c) Wiedmann ....................................................................... 94
`(23) Dependent Claim 22 (Malfliet and Wiedmann only) ............... 95
`(a) Malfliet ........................................................................... 95
`(b) Wiedmann ....................................................................... 95
`
`
`
`
`
`vi
`
`0006
`
`

`

`(24) Dependent Claim 23 ................................................................. 95
`(a) Malfliet ........................................................................... 96
`(b) Kopelman ........................................................................ 96
`(c) Wiedmann ....................................................................... 97
`(25) Dependent Claim 24 ................................................................. 97
`(a) Malfliet ........................................................................... 97
`(b) Kopelman ........................................................................ 98
`(c) Wiedmann ....................................................................... 98
`(26) Dependent Claim 25 (Malfliet and Kopelman) ........................ 98
`(a) Malfliet ........................................................................... 98
`(b) Kopelman ........................................................................ 98
`(27) Dependent Claim 26 (Malfliet and Kopelman) ........................ 99
`(a) Malfliet .........................................................................100
`(b) Kopelman ......................................................................101
`(28) Dependent Claim 27 ...............................................................101
`(a) Malfliet .........................................................................101
`(b) Kopelman ......................................................................102
`(c) Wiedmann .....................................................................102
`(29) Dependent Claim 28 ...............................................................102
`(a) Malfliet .........................................................................102
`(b) Kopelman ......................................................................103
`(c) Wiedmann .....................................................................103
`(30) Dependent Claim 30 ...............................................................103
`(31) Reasons Supporting Obviousness Based on Malfliet
`Alone and/or Reasons to Combine Malfliet and
`Kopelman or Wiedmann .........................................................104
`Claim 15 Is Obvious Based on Malfliet (with or without Wiedmann or
`B.
`Kopelman) in view of Lehman ....................................................................112
`Claim 21 Is Obvious Based on Malfliet (with or without Wiedmann or
`C.
`Kopelman) in view of Seeger ......................................................................115
`
`
`
`
`
`vii
`
`0007
`
`

`

`Claims 6-8 Are Obvious Based on Malfliet (with or without
`D.
`Wiedmann or Kopelman) in view of MacDougald .....................................117
`Claims 1-5, 7, 9-11, 13-14, 16-18, 20, 22-24 and 27-30 Are
`E.
`Anticipated by Wiedmann, or Alternatively Rendered Obvious by
`Wiedmann in view of Sachdeva; Claims 6, 8, 12, 19, 25 and 26 Are Obvious
`Based on Wiedmann in view of Sachdeva ..................................................119
`(1) Overview of Wiedmann ..........................................................120
`(2) Overview of Sachdeva ............................................................120
`(3)
`Independent Claims 1 and 29 ..................................................122
`Preambles: “A computer-implemented method of
`(a)
`designing a dental restoration for a patient” (claim
`1);
`“A system for designing a dental restoration for a
`patient” (claim 29) ........................................................122
`(b) Element 1.1: “using a hardware processor” (claim
`1) ...................................................................................123
`Element 1.2: “provide one or more 2D images,
`where at least one of the one of more 2D images
`comprises at least one facial feature” (claim 1);
`Element 29.1: “provide one or more 2D images,
`where at least one of the one or more 2D images
`comprises at least one facial feature” (claim 29) .........123
`(d) Element 1.3: “wherein the at least one facial
`feature comprises lips” (claim 1);
`Element 29.2: “wherein the at least one facial
`feature comprises lips” (claim 29) ................................129
`Element 1.4: “either virtually cut at least a part of
`teeth out of the at least one 2D image or render a
`part of the at least one 2D image that includes teeth
`at least partly or wholly transparent” (claim 1);
`Element 29.3: “either virtually cut at least a part of
`teeth out of the at least one 2D image or render a
`part of the at least one 2D image that includes teeth
`at least partly or wholly transparent” (claim 29) ..........130
`Element 1.5: “provide a 3D virtual model of at
`least part of an oral cavity of the patient” (claim 1);
`
`(c)
`
`(e)
`
`(f)
`
`
`
`
`
`viii
`
`0008
`
`

`

`(i)
`
`(j)
`
`Element 29.4: “provide a 3D virtual model of at
`least part of an oral cavity of the patient” (claim
`29) .................................................................................134
`(g) Element 1.6: “arrange the at least one 2D image
`relative to the 3D virtual model in a virtual 3D
`space” (claim 1);
`Element 29.5: “arrange the at least one 2D image
`relative to the 3D virtual model in a virtual 3D
`space” (claim 29) ..........................................................136
`(h) Element 1.7: “such that the at least one 2D image
`and the 3D virtual model are aligned when viewed
`from a viewpoint” (claim 1);
`Element 29.6: “wherein the at least one 2D image
`and the 3D virtual model are aligned when viewed
`from a viewpoint” (claim 29) .......................................140
`Element 1.8: “and remain separate representations
`after being arranged” (claim 1);
`Element 29.7: “and remain separate
`representations after being arranged” (claim 29) .........142
`Element 1.9: “whereby the 3D virtual model and
`the at least one 2D image are both visualized in the
`3D space” (claim 1);
`Element 29.8: “and wherein the 3D virtual model
`and the at least one 2D image are both visualized
`in the 3D space” (claim 29) ..........................................144
`(k) Element 1.10: “design a restoration for the 3D
`virtual model” (claim 1);
`Element 29.9: “design a restoration for the 3D
`virtual model” (claim 29) .............................................145
`Element 1.11: “where the restoration is designed to
`fit the at least one facial feature of the at least one
`2D image” (claim 1);
`Element 29.10: “where the restoration fits the
`facial feature of the at least one 2D image” (claim
`29) .................................................................................146
`(m) Element 1.12: “wherein the at least one 2D image
`and the 3D virtual model are aligned by scaling,
`
`(l)
`
`
`
`
`
`ix
`
`0009
`
`

`

`translating or rotating the at least one 2D image or
`the 3D virtual model relative to each other” (claim
`1);
`Element 29.11: “wherein the at least one 2D image
`and the 3D virtual model are aligned by scaling,
`translating or rotating the at least one 2D image or
`the 3D virtual model relative to each other” (claim
`29) .................................................................................148
`(4) Dependent Claim 2 .................................................................150
`(5) Dependent Claim 3 .................................................................150
`(a) Wiedmann .....................................................................150
`(b)
`Sachdeva .......................................................................151
`(6) Dependent Claim 4 .................................................................151
`(a) Wiedmann .....................................................................151
`(b)
`Sachdeva .......................................................................152
`(7) Dependent Claim 5 .................................................................153
`(a) Wiedmann .....................................................................153
`(b)
`Sachdeva .......................................................................153
`(8) Dependent Claim 6 (Obviousness Only) ................................154
`(a) Wiedmann .....................................................................154
`(b)
`Sachdeva .......................................................................155
`(9) Dependent Claim 7 .................................................................156
`(a) Wiedmann .....................................................................156
`(b)
`Sachdeva .......................................................................157
`(10) Dependent Claim 8 (Obviousness Only) ................................157
`(a) Wiedmann .....................................................................158
`(b)
`Sachdeva .......................................................................158
`(11) Dependent Claim 9 .................................................................158
`(a) Wiedmann .....................................................................158
`(b)
`Sachdeva .......................................................................159
`(12) Dependent Claim 10 ...............................................................160
`
`
`
`
`
`x
`
`0010
`
`

`

`(a) Wiedmann .....................................................................160
`(b)
`Sachdeva .......................................................................161
`(13) Dependent Claim 11 ...............................................................161
`(a) Wiedmann .....................................................................161
`(b)
`Sachdeva .......................................................................162
`(14) Dependent Claim 12 (Obviousness only; Sachdeva) ..............163
`(a)
`Sachdeva .......................................................................163
`(15) Dependent Claim 13 ...............................................................164
`(a) Wiedmann .....................................................................164
`(b)
`Sachdeva .......................................................................164
`(16) Dependent Claim 14 ...............................................................165
`(a) Wiedmann .....................................................................166
`(b)
`Sachdeva .......................................................................166
`(17) Dependent Claim 16 ...............................................................167
`(a) Wiedmann .....................................................................167
`(b)
`Sachdeva .......................................................................167
`(18) Dependent Claim 17 ...............................................................168
`(a) Wiedmann .....................................................................168
`(b)
`Sachdeva .......................................................................168
`(19) Dependent Claim 18 ...............................................................169
`(a) Wiedmann .....................................................................169
`(b)
`Sachdeva .......................................................................169
`(20) Dependent Claim 19 (Obviousness only; Combined with
`Sachdeva) ................................................................................170
`(a) Wiedmann .....................................................................170
`(b)
`Sachdeva .......................................................................171
`(21) Dependent Claim 20 ...............................................................171
`(a) Wiedmann .....................................................................172
`(b)
`Sachdeva .......................................................................172
`
`
`
`
`
`xi
`
`0011
`
`

`

`(22) Dependent Claim 22 ...............................................................172
`(a) Wiedmann .....................................................................173
`(b)
`Sachdeva .......................................................................173
`(23) Dependent Claim 23 ...............................................................173
`(a) Wiedmann .....................................................................173
`(b)
`Sachdeva .......................................................................174
`(24) Dependent Claim 24 ...............................................................175
`(a) Wiedmann .....................................................................175
`(b)
`Sachdeva .......................................................................175
`(25) Dependent Claim 25 (Obviousness only; Sachdeva) ..............175
`(a)
`Sachdeva .......................................................................175
`(26) Dependent Claim 26 (Obviousness only; Sachdeva) ..............176
`(a)
`Sachdeva .......................................................................177
`(27) Dependent Claims 27 ..............................................................179
`(a) Wiedmann .....................................................................179
`(b)
`Sachdeva .......................................................................179
`(28) Dependent Claim 28 ...............................................................179
`(a) Wiedmann .....................................................................180
`(b)
`Sachdeva .......................................................................180
`(29) Dependent Claim 30 ...............................................................180
`(30) Reasons Supporting Obviousness, Including Obviousness
`to Combine Wiedmann with Sachdeva ...................................181
`(31) Additional Reasons to Combine Wiedmann with
`Sachdeva (Dependent Claim 19) ............................................184
`Claim 15 Is Obvious Based on Wiedmann (with or without Sachdeva)
`F.
`in view of Lehman .......................................................................................185
`Claim 21 Is Obvious Based on Wiedmann (with or without Sachdeva)
`G.
`in view of Seeger .........................................................................................188
`Claims 6-8 Are Obvious Based on Wiedmann (with or without
`H.
`Sachdeva) in view of MacDougald .............................................................190
`
`
`
`
`
`xii
`
`0012
`
`

`

`(c)
`
`Unpatentability of Claims 1-14, 16-20 and 22-30 Based on
`I.
`Anticipation by Sachdeva, or Alternatively, Obviousness by Sachdeva
`Combined with Kopelman ...........................................................................193
`(1)
`Independent Claims 1 and 29 ..................................................193
`Preambles: “A computer-implemented method of
`(a)
`designing a dental restoration for a patient” (claim
`1);
`“A system for designing a dental restoration for a
`patient” (claim 29) ........................................................193
`(b) Element 1.1: “using a hardware processor” (claim
`1) ...................................................................................194
`Element 1.2: “provide one or more 2D images,
`where at least one of the one of more 2D images
`comprises at least one facial feature” (claim 1);
`Element 29.1: “provide one or more 2D images,
`where at least one of the one or more 2D images
`comprises at least one facial feature” (claim 29) .........194
`(d) Element 1.3: “wherein the at least one facial
`feature comprises lips” (claim 1);
`Element 29.2: “wherein the at least one facial
`feature comprises lips” (claim 29) ................................194
`Element 1.4: “either virtually cut at least a part of
`teeth out of the at least one 2D image or render a
`part of the at least one 2D image that includes teeth
`at least partly or wholly transparent” (claim 1);
`Element 29.3: “either virtually cut at least a part of
`teeth out of the at least one 2D image or render a
`part of the at least one 2D image that includes teeth
`at least partly or wholly transparent” (claim 29) ..........194
`Element 1.5: “provide a 3D virtual model of at
`least part of an oral cavity of the patient” (claim 1);
`Element 29.4: “provide a 3D virtual model of at
`least part of an oral cavity of the patient” (claim
`29) .................................................................................195
`(g) Element 1.6: “arrange the at least one 2D image
`relative to the 3D virtual model in a virtual 3D
`space” (claim 1);
`
`(e)
`
`(f)
`
`
`
`
`
`xiii
`
`0013
`
`

`

`(i)
`
`(j)
`
`Element 29.5: “arrange the at least one 2D image
`relative to the 3D virtual model in a virtual 3D
`space” (claim 29) ..........................................................195
`(h) Element 1.7: “such that the at least one 2D image
`and the 3D virtual model are aligned when viewed
`from a viewpoint” (claim 1);
`Element 29.6: “wherein the at least one 2D image
`and the 3D virtual model are aligned when viewed
`from a viewpoint” (claim 29) .......................................196
`Element 1.8: “and remain separate representations
`after being arranged” (claim 1);
`Element 29.7: “and remain separate
`representations after being arranged” (claim 29) .........196
`Element 1.9: “whereby the 3D virtual model and
`the at least one 2D image are both visualized in the
`3D space” (claim 1);
`Element 29.8: “and wherein the 3D virtual model
`and the at least one 2D image are both visualized
`in the 3D space” (claim 29) ..........................................196
`(k) Element 1.10: “design a restoration for the 3D
`virtual model” (claim 1);
`Element 29.9: “design a restoration for the 3D
`virtual model” (claim 29) .............................................197
`Element 1.11: “where the restoration is designed to
`fit the at least one facial feature of the at least one
`2D image” (claim 1);
`Element 29.10: “where the restoration fits the
`facial feature of the at least one 2D image” (claim
`29) .................................................................................197
`(m) Element 1.12: “wherein the at least one 2D image
`and the 3D virtual model are aligned by scaling,
`translating or rotating the at least one 2D image or
`the 3D virtual model relative to each other” (claim
`1);
`Element 29.11: “wherein the at least one 2D image
`and the 3D virtu