`——————————
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`——————————
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`Canon Inc., Canon U.S.A., Inc., and Axis Communications AB
`
`Petitioner
`
`v.
`
`Avigilon Fortress Corporation,
`
`Patent Owner
`——————————
`Case: Unassigned
`
`U.S. Patent No. 7,932,923
`Issue Date: April 26, 2011
`
`Title: Video Surveillance System Employing Video Primitives
`——————————
`
`DECLARATION OF JOHN R. GRINDON, D.Sc.
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`Canon Ex. 1005 Page 1 of 210
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`Inter Partes Review
`United States Patent No. 7,932,923
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`TABLE OF CONTENTS
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`BACKGROUND AND QUALIFICATIONS .............................................. 2
`I.
`II. MATERIALS CONSIDERED ..................................................................... 7
`III. LEGAL STANDARDS FOR PATENTABILITY ...................................... 9
`A.
`Anticipation Analysis: 35 U.S.C. § 102 ..............................................11
`B.
`Obviousness Analysis: 35 U.S.C. § 103 .............................................12
`IV. THE ’923 PATENT ......................................................................................17
`A.
`Overview .............................................................................................17
`B.
`Prosecution History .............................................................................24
`1.
`Prosecution ................................................................................24
`2.
`Inter partes reexamination ........................................................24
`3.
`Ex parte reexamination .............................................................25
`4.
`Prior Proceedings in the Related Patents ..................................28
`Level of Ordinary Skill in the Art .......................................................29
`C.
`CLAIM CONSTRUCTION ........................................................................30
`A.
`“attributes of the object” (claims 1-7, 9-19, 22-28, 30-41);
`“attributes of each of the detected first and second objects”
`(claims 8, 29); “attributes of the detected object” (claims 20,
`21) ........................................................................................................33
`“new user rule” (claims 1-41) .............................................................34
`Independence-based limitations (claims 1-41) ...................................36
`1.
`Independence Argument (1): requires identifying an
`event that refers to one or more objects engaged in an
`activity by analyzing the detected attributes .............................37
`
`B.
`C.
`
`V.
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`i
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`2.
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`3.
`
`2.
`
`D.
`
`Independence Argument (3): the identified event is not
`one of the detected attributes ....................................................38
`Independence Argument (2): the detected attributes are
`“independent” of the event identified or detected ....................43
`“wherein the applying the new user rule to the plurality of
`detected attributes comprises applying the new user rule to only
`the plurality of detected attributes” (claims 1-19, 22-29);
`“wherein the analysis of the combination of the attributes to
`detect the event comprises analyzing only the combination of
`the attributes” (claims 20-21); “wherein the applying the
`selected new user rule to the plurality of attributes Stored in
`memory comprises applying the selected new user rule to only
`the plurality of attributes stored in memory” (claims 30-41) .............50
`E. Means-plus-function elements (claims 9-19, 30-41) ..........................54
`1.
`“means for detecting an object in a video from a single
`camera” [9.1]; “means for detecting first and second
`objects in a video from a single camera” [30.1] .......................55
`“means for detecting a plurality of attributes of the object
`by analyzing the video from said single camera, the
`plurality of attributes including at least a physical
`attribute and a temporal attribute, each attribute
`representing a characteristic of the detected object” [9.2];
`“means for detecting a plurality of attributes of the object
`by analyzing the video from said single camera, each
`attribute representing a characteristic of the respective
`detected object” [30.2] ..............................................................55
`“means for selecting a new user rule after the plurality of
`detected attributes are stored in memory” [9.4] ........................56
`“means for identifying an event…” [9.5]-[9.8]; “means
`for identifying an event of the first object interacting with
`the second object…” [30.4]-[30.6] ...........................................56
`VI. OVERVIEW OF PRIOR ART ...................................................................57
`
`3.
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`4.
`
`ii
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`State of the Prior Art and Applicant-Admitted Prior Art ....................57
`A.
`Kellogg ................................................................................................59
`B.
`Brill ......................................................................................................62
`C.
`Dimitrova .............................................................................................64
`D.
`E. Motivation to Combine Kellogg and Brill ..........................................66
`F. Motivation to Combine Dimitrova and Brill .......................................70
`VII. THE PETITION PRESENTS NEW ISSUES OF
`PATENTABILITY AND THE BOARD SHOULD NOT
`EXERCISE ITS DISCRETION TO REJECT THE PETITION ...........73
`1.
`Dispute Regarding the Independence-Based Claim
`Elements in the Prior Proceedings ............................................74
`Kellogg Alone or Kellogg and Brill .........................................75
`2.
`Dimitrova and Brill ...................................................................77
`3.
`VIII. CLAIMS 1-41 OF THE ’923 PATENT ARE UNPATENTABLE
`OVER THE PRIOR ART ...........................................................................79
`A.
`Kellogg Anticipates Claims 1-41 ........................................................79
`1.
`Independent Claim 1 .................................................................79
`2.
`Claims 2, 4, 7[2], 13, 16, 23, 25, 28[2], 34 and 38 ...................95
`3.
`Claims 3, 7[1], 17, 24, 28[1] and 39 .........................................96
`4.
`Claims 5, 6, 15, 21, 26, 27 and 37 ............................................98
`5.
`Independent Claim 8 ...............................................................101
`6.
`Independent Claim 9 ...............................................................106
`7.
`Claims 10 and 31.....................................................................110
`8.
`Claims 11 and 32.....................................................................111
`
`iii
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`Claims 12 and 33.....................................................................114
`9.
`10. Claims 14 and 35.....................................................................116
`11.
`Claims 18 and 40.....................................................................119
`12. Claims 19 and 41.....................................................................120
`13.
`Independent Claim 20 .............................................................121
`14.
`Independent Claims 22 and 29 ................................................121
`15.
`Independent Claim 30 .............................................................122
`16. Claim 36 ..................................................................................123
`Kellogg in view of Brill Renders Claims 1-41 Obvious ...................124
`1.
`Claims 1-7 ...............................................................................124
`2.
`Claim 8 ....................................................................................126
`3.
`Claims 9-19 .............................................................................128
`4.
`Claims 12 and 33.....................................................................131
`5.
`Claims 14 and 35.....................................................................134
`6.
`Claims 18 and 40.....................................................................136
`7.
`Claims 20-21 ...........................................................................138
`8.
`Claims 22-29 ...........................................................................140
`9.
`Claims 30-41 ...........................................................................140
`Dimitrova in view of Brill Renders Claims 1-41 Obvious ...............145
`1.
`Independent Claim 1 ...............................................................145
`2.
`Claims 2, 4, 7[2], 13, 16, 23, 25, 28[2], 34 and 38 .................164
`3.
`Claims 3, 7[1], 17, 24, 28[1] and 39 .......................................165
`4.
`Claims 5, 6, 15, 21, 26, 27 and 37 ..........................................167
`
`iv
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`B.
`
`C.
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`Independent Claim 8 ...............................................................169
`5.
`Independent Claim 9 ...............................................................177
`6.
`Claims 10 and 31.....................................................................185
`7.
`Claims 11 and 32.....................................................................186
`8.
`Claims 12 and 33.....................................................................189
`9.
`10. Claims 14 and 35.....................................................................193
`11.
`Claims 18 and 40.....................................................................197
`12. Claims 19 and 41.....................................................................198
`13.
`Independent Claim 20 .............................................................199
`14.
`Independent Claims 22 and 29 ................................................199
`15.
`Independent Claim 30 .............................................................200
`16. Claim 36 ..................................................................................202
`IX. CONCLUSION ..........................................................................................202
`
`v
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`
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`I, Dr. John R. Grindon, declare as follows:
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`1.
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`I make this Declaration based upon my own personal knowledge and,
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`if called upon to testify, would testify competently to the matters stated herein.
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`2.
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`I have been asked by Canon Inc., Canon U.S.A., Inc. and Axis
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`Communications AB (collectively “Petitioner”) to provide technical assistance in
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`connection with the Petition for inter partes review of U.S. Patent No. 7,932,923
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`(“the ’923 patent”). This Declaration, which I understand will be filed with the
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`Petition, is a statement of certain opinions I have formed on issues related to the
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`patentability of claims 1-41 of the ’923 patent.
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`3.
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`It is my opinion that each of claims 1-41 of the ‘923 Patent is
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`unpatentable in view of the identified prior art. My opinions are stated in detail in
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`this Declaration, with reference to the exhibits attached to the Petition and
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`additional exhibits attached to my Declaration.
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`4.
`
`I am being paid at my customary rate of $500 per hour for my time
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`spent in study, preparation, and testifying in this matter. I am also being
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`reimbursed for reasonable and customary expenses associated with my work. No
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`portion of my compensation is dependent or otherwise contingent upon the
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`specifics of my testimony or the results of this matter. My compensation is not
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`contingent upon the outcome of this inter partes review.
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`I.
`
`BACKGROUND AND QUALIFICATIONS
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`5.
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`My name is John R. Grindon. I reside in Hazelwood, Missouri. I have
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`been retained by Petitioner as an expert witness for this matter. I am competent to
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`testify regarding the opinions set forth in this expert Declaration. I reserve the right
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`to provide further opinions if requested at a later time.
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`6.
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`My qualifications are summarized here and are presented further in
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`my curriculum vitae, which is attached as Exhibit 1006. I received a Bachelor of
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`Science (B.S.) degree in Electrical Engineering, with First Honors, from the
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`University of Missouri at Rolla, now the Missouri University of Science and
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`Technology. I received a Master of Science (S.M.) degree in Electrical
`
`Engineering from the Massachusetts Institute of Technology, and a Doctor of
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`Science (D.Sc.) degree in Electrical Engineering from Washington University in
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`St. Louis.
`
`7.
`
`During my university studies, I was awarded the Westinghouse
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`Achievement Scholarship. I was a Hughes Masters Fellow at M.I.T. My doctoral
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`research at Washington University was in the field of signal processing.
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`8.
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`I have more than 40 years of experience including research, analysis,
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`design and development of electronic systems and software for acquiring,
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`processing, analyzing, extracting information from, and communicating signals
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`2
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`and images. This work includes technology related to that disclosed in the ‘923
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`patent. I have experience in both hardware and software for this technology.
`
`9.
`
`For more than 20 years, I have provided independent consulting,
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`including in the areas of technology related to the ’923 patent. From 1987 until
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`1990, I served as Executive Vice President and Director of Research at the former
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`Cencit, Inc. Cencit was an engineering research and development company that
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`created systems for sensing and digitizing the shape of three-dimensional (“3D”)
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`objects through processing of images. The systems generated 3D data about an
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`object based on data gathered from video image sequences that included the object.
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`The 3D data was extracted from the sequences of video images acquired by video
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`cameras viewing the objects. These systems employed processors, communications
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`and control circuits, memory storage and retrieval capabilities, and software
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`algorithms for identifying image primitives, object extraction, location, and 3D
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`surface mapping. Several U.S. and foreign patents were awarded. For more
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`information about the technology developed at Cencit, see for example U.S. Patent
`
`No. 4,846,577, filed in April 1987, issued in July 1989.
`
`10.
`
`The systems developed by Cencit were implemented for a variety of
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`uses. For example, one system was used for craniofacial trauma research by the
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`Washington University School of Medicine. Another system was used by the
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`United States Army for research into leak proof fitting of gas masks for biological
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`3
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`warfare. Other applications included the 3D modeling of Space Shuttle astronaut’s
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`hands for custom fitting of gloves for use with spacesuits, and scanning of the
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`heads of brain tumor patients for precisely positioning implanted radioactive seeds.
`
`11.
`
`Later, I also helped to develop a 3D shape digitization system for the
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`Textile/Clothing Technology Corporation (“TC-Squared”) of Cary, North
`
`Carolina. This system extracted 3D data of a human body from sequences of
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`images, for the original purpose of fabricating custom-fit clothing. Using a
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`different technology than the Cencit system, but also based upon multiple video
`
`cameras, the TC-Squared system employed sinusoidal patterns of light projected
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`onto the subject. A first sequence of coarse sinusoidal patterns was used to
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`generate a sparse set of 3D contours. These 3D contours were unambiguously
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`identified. A second sequence, of fine sinusoidal patterns, was then projected
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`which produces high-resolution 3D contours, but with ambiguities for phase angle
`
`multiples of 360°. The 3D contour identifications from the coarse patterns were
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`then used to unambiguously identify, or map, the high-resolution 3D contours that
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`were generated from the fine grating projections. Multiple 3D contours were
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`created using the multiple cameras, each covering a portion of the subject, and
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`these contours were then combined into a uniform composite 3D map of the shape
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`of the object. This system is described in further detail for example in a patent by
`
`4
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`myself and several co-inventors, U.S. Patent No. 6,373,963, filed in February
`
`1999, issued in April 2002.
`
`12. My role in the development of the TC-Squared system included
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`among other things development of a design concept, providing technical guidance
`
`to the engineering team, analyzing and predicting performance parametrically
`
`during the design process, defining system parameters and specifications,
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`development of processing algorithms, and development of camera and system
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`calibration methods and software.
`
`13. During my 25 years at McDonnell Douglas Corporation, now Boeing,
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`from 1962-1987, I started with the title of Engineer and progressed through various
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`positions of increasing responsibility to the position of Branch Chief, Electronics.
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`Among other things, my work there included digital image processing research and
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`development for autonomous cruise missile guidance. This work was based on
`
`employing on-board digital video cameras and radar to sense terrain and targets,
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`and processing of the imagery and radar data to derive information, such as shape
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`of the terrain surface and identification of targets from the video images. This work
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`also employed correlating images acquired by an on-board video camera with
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`stored reference images. I also developed algorithms for missile-borne laser radar
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`systems (LIDAR) for processing sequences of depth images to detect objects for
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`the purpose of enabling low-flying cruise missiles to avoid collisions, for example
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`with power wires in their path.
`
`14. Among other work in image processing at McDonnell Douglas, I led
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`an image processing research and development team, where we developed
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`algorithms for target recognition and classification. This work included extracting
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`primitive features from images and development of classifier algorithms to use the
`
`extracted features for identifying and locating objects in the images. I also
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`managed a team to develop algorithms for an automatic target classification and
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`recognition system using on-board infrared (“IR”) cameras. I also developed a new
`
`class of image processing algorithms for autonomous cruise missile location and
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`guidance using IR cameras to acquire video image sequences of the scenes ahead
`
`of the missile, correlating the scene images with stored reference data for vehicle
`
`position tracking.
`
`15.
`
` I have been qualified as a technical expert for several litigation and
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`patent review matters involving video image acquisition, image processing, image
`
`analysis, video surveillance, and information extraction. My expert analysis and
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`testimony has involved patents related to digital video imaging and image
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`processing systems, including those for sensing and measuring the shape and
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`location of objects. My curriculum vitae, attached as Exhibit 1036 to the Petition,
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`6
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`includes a listing of matters of public record for which I have served as an expert
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`and offered testimony at deposition or trial in at least the last five years.
`
`II. MATERIALS CONSIDERED
`16.
`I understand that the Petition and this inter partes review proceeding
`
`involves the ’923 patent, which is owned by Avigilon.
`
`17.
`
`I further understand that the ‘923 patent issued from U.S. Application
`
`No. 12/569,116. This is reflected on the face of the ‘923 patent (Ex. 1001).
`
`18.
`
`The face of the ‘923 patent also indicates that the earliest priority date
`
`it may claim is October 24, 2000, based on the filing date of U.S. Patent No.
`
`6,954,498. I express no opinion as to whether the claims of the ‘923 patent are or
`
`are not entitled to this October 24, 2000, priority date, but reserve the right to later
`
`do so.
`
`19.
`
`I understand that prior art to the ‘923 patent includes all patents and
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`printed publications that were published more than one year before the earliest
`
`possible priority date claimed by the ‘923 patent, which as noted above is October
`
`24, 2000. Further, I understand that each of the prior art references discussed in
`
`this Declaration was published more than one year before October 24, 2000 and
`
`therefore qualifies as “§ 102(b)” prior art.
`
`20.
`
`I have been asked to consider whether certain prior art references
`
`(namely, Kellogg, Dimitrova and Brill) disclose or suggest the features recited in
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`7
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`the claims of the ‘923 patent. I have also been asked to consider the state of the art
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`in the 2000 timeframe (i.e., before the earliest possible priority date of October 24,
`
`2000), and to compare the claims of the ‘923 patent to the prior art available at that
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`time.
`
`21.
`
`I have reviewed and considered the following documents, among
`
`others identified herein, in connection with my analysis of the ‘923 patent and this
`
`Declaration:
`
` U.S. Patent No. 7,932,923 to Lipton et al. (“the ’923 patent,” Ex. 1001);
`
` Prosecution history of U.S. Application No. 12/569,116, which led to the
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`issuance of the ‘923 patent (Ex. 1002);
`
` Ex Parte Reexamination Control No. 90/012,876, the ex parte reexamination
`
`of the ‘923 patent;
`
` Inter Partes Reexamination Control No. 95/001,914, the inter partes
`
`reexamination of the ‘923 patent;
`
` U.S. Patent No. 7,868,912 (“the ’912 patent”), which is related to the ‘923
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`patent;
`
` Ex Parte Reexamination Control No. 90/012,878, the ex parte reexamination
`
`of the ’912 patent;
`
` Inter Partes Reexamination Control No. 95/001,912, the inter partes
`
`reexamination of the ’912 patent;
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` “Visual Memory” by Christopher James Kellogg (Ex. 1003, “Kellogg”),
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`which I understand was published in September 1993 and is prior art to the
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`‘923 patent; and
`
` “Motion Recovery for Video Content Classification” by N. Dimitrova et al.
`
`(“Dimitrova”), which I understand was published in October 1995 and is
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`prior art to the ‘923 patent
`
` “Event Recognition and Reliability Improvements for the Autonomous
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`Video Surveillance System” by Frank Brill et al. (Ex. 1004, “Brill”), which I
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`understand was published in December 1998 and is prior art to the ‘923
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`patent.
`
`22. My opinions are also based on my experience in video image
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`acquisition, image processing, image analysis, video surveillance, and information
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`extraction.
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`III. LEGAL STANDARDS FOR PATENTABILITY
`23.
`I have been asked to provide my opinions as to whether the identified
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`prior art (namely, Kellogg, Dimitrova and Brill) teach or render obvious claims 1-
`
`41 of the ‘923 patent from the perspective of a person of ordinary skill in the art
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`(“POSITA”) in the 2000 timeframe.
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`24.
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`I am an electrical engineer and innovator by training and profession.
`
`The opinions I express in this Declaration involve the application of my technical
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`knowledge and experience to the evaluation of certain prior art with respect to the
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`‘923 patent.
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`25. My opinions are also formed by my understanding of the relevant law.
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`I am not an attorney. Therefore, for purposes of this Declaration, I have been
`
`informed about certain aspects of the law as it relates to my opinions.
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`26.
`
`I understand that for an invention claimed in a patent to be found
`
`patentable, it must be (among other things) new and not obvious based on what
`
`was known before the invention was made.
`
`27.
`
`I understand that the information that is used to evaluate whether an
`
`invention was new and not obvious when made is generally referred to as “prior
`
`art.” I understand that the prior art includes patents and printed publications that
`
`existed before the earliest filing date of the patent (which I have been informed is
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`called the “effective filing date”). I also understand that a patent or published
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`patent application is prior art if it was filed before the effective filing date of the
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`claimed invention and that a printed publication is prior art if it was publicly
`
`available before the effective filing date. As noted above, I understand that prior art
`
`relative to the ‘923 patent includes all patents or printed publications that were
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`published more than one year before October 24, 2000.
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`28.
`
`I understand that in this inter partes review proceeding, the claims
`
`must be given their broadest reasonable interpretation consistent with the patent
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`specification, as understood by a person of ordinary skill in the art. After the
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`claims are construed in this manner, they are then compared to the prior art.
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`29.
`
`I understand that a dependent claim is a patent claim that refers back
`
`to another patent claim. A dependent claim, as I understand it, includes all of the
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`limitations of the claim to which it refers.
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`30.
`
`I understand that in this inter partes review proceeding, the
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`information that may be evaluated is limited to patents and printed publications.
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`My analysis, which is set out in detail below, compares the claims to printed
`
`publications that I understand are prior art to the claims.
`
`A. Anticipation Analysis: 35 U.S.C. § 102
`31.
`I understand that a person cannot obtain a patent on an invention if the
`
`prior art included that invention.
`
`32.
`
`If an invention is not new, then the invention has been “anticipated”
`
`by the prior art.
`
`33. A claim is “anticipated” by the prior art if each and every limitation of
`
`the claim is disclosed, expressly or inherently, in a single item of prior art, from
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`which a person of ordinary skill in the art could practice the invention.
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`34.
`
`I have applied the above standards in my evaluation of whether claims
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`1-41 of the ‘923 patent are anticipated in light of the prior art.
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`B. Obviousness Analysis: 35 U.S.C. § 103
`35.
`It is my understanding that a claim is unpatentable if the claimed
`
`subject matter as a whole would have been obvious to a person of ordinary skill in
`
`the art at the time of the alleged invention. I also understand that an obviousness
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`analysis takes into account the scope and content of the prior art, the differences
`
`between the claimed subject matter and the prior art, and the level of ordinary skill
`
`in the art at the time of the invention.
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`36.
`
`I understand that a claimed invention is not patentable if it would have
`
`been “obvious” to a person of ordinary skill in the field of the invention at the time
`
`the invention was made. This means that even if all the requirements of a claim are
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`not found in a single prior art reference, the claim is not patentable if the
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`differences between the subject matter in the prior art and the subject matter in the
`
`claim would have been obvious to a person of ordinary skill in the art at the time
`
`the application was filed.
`
`37.
`
`In determining the scope and content of the prior art, it is my
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`understanding that a reference is considered relevant prior art to the ‘923 patent if
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`it falls within the field of the inventor’s endeavor. In addition, a reference is prior
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`art if it is reasonably pertinent to the particular problem with which the inventor
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`was involved. A reference is reasonably pertinent if it logically would have
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`commended itself to an inventor’s attention in considering his problem. Thus, if a
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`reference relates to the same problem as the claimed invention, that supports use of
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`the reference as prior art in an obviousness analysis.
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`38.
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`In my opinion, the prior art references identified in the Petition and
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`addressed in this Declaration (including, Kellogg, Dimitrova and Brill) seek to
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`solve the same types of problems as the ’923 patent and logically would have
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`commended themselves to an inventor’s attention considering the problems of the
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`’923 patent. In particular, the ’923 patent and the identified prior art concern
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`techniques and systems for detecting objects in a video, determining attributes of
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`the objects, identifying events by applying a user rule or event definition to the
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`attributes, and reporting and/or taking other action in response to inferring the
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`occurrence of such events.
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`39.
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`I understand that a determination as to whether a claim would have
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`been obvious should be based on four factors (though not necessarily in the
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`following order): (i) the level of ordinary skill in the art at the time the application
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`was filed; (ii) the scope and content of the prior art; (iii) the differences between
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`the claimed invention and the prior art; and (iv) any objective factors indicating
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`obviousness or non-obviousness that may exist in a particular case.
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`40.
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`It is my understanding that an obviousness analysis cannot be based
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`on hindsight, but must be done using the perspective of a person of ordinary skill
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`in the relevant art as of the effective filing date of the patent claim.
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`41.
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`I understand the objective factors indicating obviousness or non-
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`obviousness may include: commercial success of products covered by the patent
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`claims; a long-felt but unaddressed need for the invention; failed attempts by
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`others to make the invention; copying of the invention by others in the field;
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`expressions of surprise by experts and those skilled in the art at the making of the
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`invention; and the patentee having proceeded contrary to the accepted wisdom of
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`the prior art. I also understand that any of this evidence must be specifically
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`connected to the invention rather than associated with the prior art or with
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`marketing or other efforts to promote an invention.
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`42.
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`I understand that the teachings of two or more prior art references may
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`be combined in the manner disclosed in the claim if such a combination would
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`have been obvious to one having ordinary skill in the art at the effective filing date.
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`In determining whether a combination would have been obvious, I understand that
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`the following exemplary rationales may support a conclusion of obviousness:
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` Combining prior art elements according to known methods to yield
`predictable results;
` Simple substitution of one known element for another to obtain
`predictable results;
` Use of a known technique to improve similar devices (methods, or
`products) in the same way;
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` Applying a known technique to a known device (method, or product)
`ready for improvement to yield predictable results;
` “Obvious to try”—choosing from a finite number of identified,
`predictable solutions, with a reasonable expectation of success;
` Known work in one field of endeavor may prompt variations of it for
`use in either the same field or a different one based on design
`incentives or other market forces if the variations are predictable to a
`person of ordinary skill in the art; and
` Some teaching, suggestion, or motivation in the prior art that would
`have led a person of ordinary skill to modify the prior art reference or
`to combine prior art reference teachings to arrive at the claimed
`invention.
`I understand that the obviousness analysis need not seek out precise
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`43.
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`teachings directed to the specific subject matter of the challenged claim, but
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`instead can take account of the ordinary innovation and experimentation in the
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`relevant field that does no more than yield predictable results.
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`44.
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`I understand that, in assessing whether there was an apparent reason to
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`modify or combine known elements as claimed, it may be necessary to look to
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`interrelated teachings of multiple patents or