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`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
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`In re Inter Partes Review of:
`U.S. Patent No. 9,901,123
`Issued: February 27, 2018
`Application No.: 15/286,087
`Filing Date: October 5, 2016
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`For: Tobacco-Containing Smoking Article
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`FILED VIA E2E
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`DECLARATION OF DR. SEETHARAMA C. DEEVI IN SUPPORT OF
`PETITION FOR INTER PARTES REVIEW
`OF U.S. PATENT NO. 9,901,123
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 001
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`TABLE OF CONTENTS
`Introduction and Qualifications ......................................................... 4
`I.
`Summary of Materials Reviewed and Considered .......................... 15
`II.
`III. Level of Skill in the Art and Perspective Applied in this
`Declaration ....................................................................................... 17
`IV. The ’123 Patent ................................................................................ 18
`Background ............................................................................ 18
`Description – Additional Background ................................... 19
`Description – The Described Embodiments .......................... 20
`Figure 1’s embodiment ................................................ 20
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`Figure 2’s embodiment ................................................ 23
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`Figure 3’s embodiment ................................................ 27
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`Battery and heating elements are “a matter of design
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`choice” ......................................................................... 31
`Control and Sensing (Figures 4 and 5) ........................ 31
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`The Claims ............................................................................. 34
`The State of the Art in 2006 ............................................................. 35
`V.
`VI. Claim Construction - Controller ...................................................... 38
`VII. Understanding of Legal Principles Relevant to Obviousness .......... 47
`VIII. Summary of Primary Prior Art References ...................................... 49
` U.S. Patent No. 5,249,586 (“Morgan”) ................................. 50
`U.S. Patent Application Publication No. 2007/0102013
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`(“Adams”) .............................................................................. 52
`U.S. Patent No. 4,947,874 (“Brooks”) .................................. 56
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` U.S. Patent No. 5,144,962 (“Counts-962”) ........................... 57
`IX. Claims 27-30 are Unpatentable over Morgan, alone or with Adams
`and Brooks ....................................................................................... 58
`Claim 27: Overview and the Combination ............................ 58
`Claim 27: Preamble ............................................................... 69
`Limitation 27[a]: an electrical power source ......................... 70
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`Exhibit 1003
`Page 002
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`X.
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`Limitations 27[b] and [c]: at least one elongated electrical
`resistance heater extending downstream ............................... 72
`Limitation 27[d]: a controller ................................................ 78
`Limitation 27[e] ..................................................................... 82
`Limitation 27[f]: the elongated portion of the resistance
`heating element extends into the tobacco segment ................ 90
`Limitation 27[g]: during draw, aerosol-forming material can
`be volatilized to produce a visible mainstream aerosol ......... 92
`Claim 28: cigarette-type device’s filter element ................... 93
`Claim 29: manual actuation ................................................... 94
`Claim 30: temperature 200° C to 600° C ............................... 95
`Claims 27-30 are Unpatentable over Adams in view of Morgan and
`Brooks .............................................................................................. 97
`Claim 27: Overview and the Combination ............................ 97
`Claim 27: Preamble ............................................................. 101
`Limitation 27[a]: an electrical power source ....................... 102
`Limitations 27[b] and [c]: at least one elongated electrical
`resistance heater extending downstream ............................. 105
`Limitation 27[d]: a controller .............................................. 106
`Limitation 27[e] ................................................................... 110
`Limitation 27[f]: the elongated portion of the resistance
`heating element extends into the tobacco segment .............. 114
`Limitation 27[g]: during draw, aerosol-forming material can
`be volatilized to produce a visible mainstream aerosol ....... 115
`Claim 28: cigarette-type device’s filter element ................. 117
`Claim 29: manual actuation ................................................. 118
`Claim 30: temperature 200° C to 600° C ............................. 118
`XI. Claims 27-30 are Unpatentable over Counts-962, Alone or in
`Combination with Brooks .............................................................. 120
`Claim 27: Overview and the Combination .......................... 120
`Claim 27: Preamble ............................................................. 122
`Limitation 27[a]: an electrical power source ....................... 124
`Limitations 27[b] and [c]: at least one elongated electrical
`resistance heater extending downstream ............................. 125
`Limitation 27[d]: a controller .............................................. 126
`Limitation 27[e] ................................................................... 131
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 003
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`Limitation 27[f]: the elongated portion of the resistance
`heating element extends into the tobacco segment .............. 135
`Limitation 27[g]: during draw, aerosol-forming material can
`be volatilized to produce a visible mainstream aerosol ....... 135
`Claim 28: cigarette-type device’s filter element ................. 137
`Claim 29: manual actuation ................................................. 137
`Claim 30: temperature 200° C to 600° C ............................. 138
`XII. CONCLUSION .............................................................................. 141
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 004
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`I.
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`Introduction and Qualifications
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`I have been retained by Philip Morris Products, S.A (“Petitioner”) to
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`provide my opinion concerning the validity of U.S. Patent No. 9,901,123 (attached
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`to the accompanying Petition as Ex. 1001 and henceforth referred to as “the ’123
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`patent”) in support of a Petition for Inter Partes Review. I am being compensated
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`for my time in connection with this IPR at my standard consulting rate, which is
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`$450 per hour, plus actual expenses, regardless of the outcome of this matter.
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`I have over 30 years of experience in the development of reduced risk
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`products, focusing on “heat not burn” technology such as that described in the ’123
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`patent.
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` My research work for my Ph.D. focused on Solid State and
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`Metallurgical Reactions and I was granted a Ph.D from the Indian Institute of
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`Science in 1981. I subsequently continued my education and obtained a Master of
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`Engineering in Mechanical Engineering from the University of Virginia, and
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`Master of Business Administration from Fuqua School of Business of Duke
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`University.
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`After several research positions in academia (University of California,
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`Davis; Brown University; and Indian Institute of Science, Bangalore), I began
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`working at the RD&E Center at Philip Morris USA in Richmond, Virginia in 1988
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`as a Research Scientist developing reduced risk products. I remained with the
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 005
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`Philip Morris family of companies until 2013, aside from several academic
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`fellowships.
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`For example, from 1994 until 1996, I was a guest scientist at Oak
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`Ridge National Laboratory’s Metals and Ceramics division, and then at the
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`Department of Materials Science and Engineering of California Institute of
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`Technology, and the Department of Materials Science and Engineering of the
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`University of Cambridge, England. These positions were continuing education
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`fellowships provided by Philip Morris.
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`During part of my time at Philip Morris and its subsidiaries, I led,
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`conceived, developed, and managed materials for heat sources for reduced risk
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`products using non-electrical heat sources that avoid generating excessive amounts
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`of harmful compounds and ash. The properties of the heat sources were optimized
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`such that the tobacco pellets placed behind the heat source are optimally heated by
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`conduction and convection mechanisms upon puffing. Exothermic reactions were
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`controlled such that the smokers could use a “heated tobacco product” under
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`normal puffing conditions for at least 8 puffs. Extensive product testing has shown
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`significant reduction in harmful and potentially harmful constituents of smoke as
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`compared to traditional cigarettes – as measured by tar, gas and vapor phase
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`constituents of aerosol.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 006
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`The heat source materials and processes developed in the laboratories
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`were scaled up to a pilot plant and the pilot plant data was used to design, build,
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`and manufacture patented heat sources.
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`A sufficient number of heat sources were manufactured to qualify a
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`continuous manufacturing plant, and to assemble products with tobacco pellets and
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`filters for a consumer test market. I managed the Materials Research Development
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`group and directed the mixing, extrusion, debindering and decomposition,
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`machining, and quality control operations of heat source manufacturing, and I
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`oversaw proper functioning of “heated tobacco products” during and after
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`assembly.
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`Starting in 1990, I helped develop new electrically powered “heat not
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`burn” technologies. Those products heated tobacco to a desired temperature
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`without burning it. The devices required a heater, a means of controlling the
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`temperature, an energy source to heat and control the temperature of a heater, and
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`a tobacco rod that could be heated without burning (hence the concept – “heat but
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`not burn”) to generate a sensorially acceptable aerosol during a 2-4 second puff
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`interval.
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` These product development efforts progressed from heating eight
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`individual heaters in a linear manner to a design where eight heaters can be
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`individually heated with a common base.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 007
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`I also helped develop “amorphous” carbon heaters using powder
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`metallurgical principles with varying electrical resistivity using suitable
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`compounds as base materials and binders. Electrical discharge machining was used
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`to machine intricate carbon resistors with excellent quality, for the assembly of
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`linear electrically heated tobacco products using Ni-metal hydride as the battery.
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`A thin film of gold was deposited to reduce the contact resistance.
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`I also researched and managed the development of a thermally
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`efficient flat ceramic heater with a quick response time based on thick film
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`technology using a substrate, resistor, and conductor using screen printing
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`technology, and the development of micro-heating elements using Phosphorous-
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`doped single crystal Si (100 plane) with a positive temperature coefficient of
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`resistance, which was used to control temperature rise during heating and to enable
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`the use of pick and place equipment for the assembly of heaters.
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`I directed numerous analyses of heaters using, among other things,
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`thermal and electrical modeling, to determine optimal heater design(s). In
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`exploring the feasibility of different types of heaters, I weighed considerations such
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`as manufacturing cost and speed, the matching of electrical resistivities to energy
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`sources, strengths of heater blades, usage requirements (e.g., 3 to 6 months of
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`consumer use), and other parameters.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 008
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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` For example, I helped develop and analyze heaters made from Haynes
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`214 alloy (containing nickel and chromium) was selected as a heater material. To
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`ensure protection from chromium present in the alloy, a thin layer of oxidation-
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`and diffusion-resistant platinum aluminide passive coating was developed on the
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`Haynes 214 superalloy. This became one of the primary workhorse materials used
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`to test the concept of a “heated tobacco product” in the laboratory and optimize the
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`properties of a heater such that there is a significant reduction in harmful and
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`potentially harmful products under acceptable sensory preferences of smokers.
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`Heaters and electrically heated tobacco products were tested for 10,000 cycles
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`under cyclic loading and unloading to determine the creep and life cycle times.
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`Determination of creep was found to be necessary since any sagging of the material
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`due to creep would disintegrate the tobacco medium in real applications.
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`In addition to the nickel and chromium-based Haynes 214 alloy, I
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`worked with various electrically conducting high temperature ceramic composites
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`based on molybdenum disilicide, silicon nitride, silicon carbide, and titanium
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`carbide. These composites were characterized for their TCR, thermal conductivity,
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`oxidation resistance, and cyclic failure, and they were machined into intricate
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`shapes and designs and tested as high temperature resistors. Our studies were
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`extended to develop functionally graded ceramic materials with conductive and
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`resistive portions.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 009
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`I also directed the machinability of ceramic materials using electrical
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`discharge machining techniques, ultrasonic machining, and diamond cutting
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`techniques, to determine the cost-effectiveness of machining from a systems and
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`flexible manufacturing approach.
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` For example, the cost associated with the platinum aluminide coating
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`on Haynes 214 led us to develop a new heater material based on alloys of iron and
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`aluminum without the presence of nickel and chromium. (It is important to note
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`that the majority of the heating elements and high temperature alloys that can
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`withstand heating to a high temperature in cigarette smoking conditions contain
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`nickel and chromium as alloying elements). I was responsible for the alloy design,
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`processing, characterization and development of high strength and creep resistant
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`iron aluminides with exceptional oxidation resistance for use as a heater in a heated
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`tobacco product. I also led strategy relating to the manufacture of such heaters.
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` While with Philip Morris family companies, I was a member of a
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`Strategic Planning Group under the leadership of President of Operations and
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`Technology, was the Director of Global Innovation, and was the Director of a
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`Strategic Investment Fund, which ultimately became Altria Ventures. After a
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`corporate reorganization culminating with the spin-off of Kraft and Philip Morris
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`International, I became an employee of Altria Client Services of Altria Group, Inc.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 010
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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` Since I left Altria in 2013, I have been the President of 4D Strategies.
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`4D Strategies provides advisory services in product strategy, innovation tools and
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`methods, materials development, and technology management. For example, I was
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`a Strategic Advisor for Innovation for an Asian company for two years. In that role,
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`I helped the company develop innovative products.
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` For example, I was instrumental in the development of an advanced
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`e-vapor product with energy control, consistent characteristics of an aerosol, a
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`battery management system for a Li-ion battery, rapid charging features, puff
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`control, overheating protection, and short circuit protection. To assure the
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`consistency of aerosol delivery and composition, Li-ion batteries were selected
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`based on the average battery capacity and % of retention after determining the
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`charge-discharge cycling between 0.5 to 10C rates and up to 500 cycles. The safety
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`of the batteries was tested based on thermal runaway and short circuit testing of
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`batteries.
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`I also developed hyperspectral imaging technology to understand the
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`unique spectral features of agricultural leaves and products for quality control. The
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`concept was proved in a lab, upgraded to a pilot version, and a commercial unit
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`was built, which proved the feasibility of using this technology to classify
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`agricultural materials and products.
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`10
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 011
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`I am an inventor on over 60 U.S. patents, including the following
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`patents relevant to the technology claimed in the ’123 patent.
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`• H.M. Dante, S.T. Henry, S.C. Deevi, “On-line oil and foreign matter detection
`system and method employing hyperspectral imaging”, U.S. Patent No.
`10,592,745. Issued: Mar. 17, 2020.
`• S.C. Deevi, K.V. Rao, V. Strom, Z. Gu, “Intermetallic magnetically readable
`medium”, U.S. Patent No. 10,489,615, Issued: Nov. 26, 2019.
`• S.C. Deevi, H. M. Dante, Q. Liang, and S.T. Henry, “Blending of Agricultural
`products via hyperspectral imaging and analysis”, U.S. Patent No: 9,996,745.
`Issued: June 12, 2018.
`• H. M. Dante, S.T. Henry, and S.C. Deevi, “On-line oil and foreign matter
`detection system and method employing hyperspectral imaging”, U.S. Patent
`No: 9,886,631. Issued: February 6, 2018.
`• H. M. Dante, S.T. Henry, and S.C. Deevi, “Hyperspectral imaging system for
`monitoring agricultural products during processing and manufacture”, U.S.
`Patent Date: 9,870,505. Issue Date: January 16, 2018.
`• D.S. Moshe, H. M. Dante, S.C. Deevi, and C. M. Hinton, “Grading of
`agricultural products via hyper spectral imaging and analysis”, U.S. Patent
`Date: 8,953,158. Issued: February 10, 2015.
`• S.C. Deevi and F. Tian, “Handheld microcantilever-based sensor for detecting
`tobacco-specific nitrosamines”, U.S. Patent No: 7,709,264 Issued: May 4,
`2010.
`• S.C. Deevi and E. Carmines, “Detection of nitrates from tobacco for correlation
`with the amount of tobacco-specific nitrosamines within the tobacco” U.S.
`Patent No: 7,538,324 Issued: May 26, 2009.
`• M.R. Hajaligol; C. Scorey, V.K. Sikka, S.C. Deevi, G. S. Fleischhauer, A.C.
`Lilly, Jr., and R. M. German., “Method of manufacturing aluminide sheet by
`thermomechanical processing of aluminide powders”, U.S. Patent No:
`6,660,109. Issued: December 9, 2003.
`• V.K. Sikka, S.C. Deevi, G.S. Fleischhauer, M.R. Hajaligol, and A.C. Lilly, Jr.,
`“Oxidation, carburization and/or sulfidation resistant iron aluminide Alloy”,
`U.S. Patent No: 6,607,576. Issued: August 19, 2003.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 012
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`
`• S. Gedevanishvili, and S.C. Deevi, “Processing of iron aluminides by
`pressureless sintering of elemental iron and aluminum”, U.S. Patent No:
`6,506,338. Issued: January 14, 2003.
`• M.R. Hajaligol, C.R. Scorey, V.K. Sikka, S.C. Deevi, G. Fleischhauer, A.C.
`Lilly, Jr., and R. M. German, “Thermomechanical processing of plasma sprayed
`intermetallic sheets”, U.S. Patent No: 6,332,936. Issued: December 25, 2001.
`• S.C. Deevi, A.C. Lilly, Jr.; V.K. Sikka, and M.R. Hajaligol, “Method of
`manufacturing iron aluminide by thermomechanical processing of elemental
`powders”, U.S. Patent No: 6,284,191. Issued: September 4, 2001.
`• V.K. Sikka, S.C. Deevi, G.S. Fleischhauer, M.R. Hajaligol, and A.C. Lilly, Jr.,
`“Iron aluminide useful as electrical resistance heating elements”, U.S. Patent
`No: 6,280,682. Issued: August 28, 2001.
`• S.C. Deevi and V.K. Sikka, “Method for making electronic circuits having NiAl
`and Ni3Al substrates”, U.S. Patent No: 6,179,953. Issued: January 30, 2001.
`• S.C. Deevi, A.C. Lilly, Jr.; V.K. Sikka, and M.R. Hajaligol, “Method of
`manufacturing iron Aluminide by thermomechanical processing of elemental
`powders”, U.S. Patent No: 6,033,623. Issued: March 7, 2000.
`• M.R. Hajaligol, C. Scorey, V.K. Sikka, S.C. Deevi, G. Fleischhauer, A.C. Lilly,
`Jr, and R. M. German, “Method of manufacturing aluminide sheet by
`thermomechanical processing of aluminide powders”, U.S. Patent No:
`6,030,472. Issued: February 29, 2000.
`• V.K. Sikka, S.C. Deevi, G.S. Fleischhauer, M.R. Hajaligol, and A.C. Lilly, Jr.,
`“Iron aluminide useful as electrical resistance heating elements”, U.S. Patent
`No: 5,976,458. Issued: November 2, 1999.
`• S.C. Deevi and A.C. Lilly, Jr., “Functionally Stepped, Resistive Ceramic”, U.S.
`Patent No: 5,880,439. Issued: March 9, 1999.
`• A.L. Collins, M.E. Counts, A. Das, S.C. Deevi, G.S. Fleischhauer, C.T.
`Higgins, W.G. Houck, Jr., B.J. Keen, Jr., R.E. Lee, III, A.C. Lilly, Jr., D.B.
`Losee, Jr., H.J. McCafferty, C.H. Nichols, W.R. Raymond, R.L. Ripley, R.R.
`Ritt, Sr., G.R. Scott, F.M. Sprinkel, M.L. Watkins, S.E. Wrenn and F.V. Utsch,
`“Flavor generating article”, U.S. Patent No: 5,865189. Issued: February 2,
`1999.
`• M.E. Counts, S.C. Deevi, G.S Fleischhauer, M.R. Hajaligol, P.H. Hayes, C.T.
`Higgins, W.G. Houck, Jr., B.J. Keen, Jr., B.C. Laroy, P.J. Lipowicz, D.E. Miser,
`C.H. Nichols, W.H. Stevens, M. Subbiah, M.L. Watkins and S.E. Wrenn,
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 013
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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
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`“Electrical heater of an electrical smoking system”, U.S. Patent No: 5,750,964.
`Issued: May 12, 1998.
`• A.L. Collins, M.E. Counts, A. Das, S.C. Deevi, A.C. Lilly, Jr., D.B. Losee, Jr.,
`M.L. Watkins and F.V. Utsch, ,“Heater element of an electrical smoking article
`and method for making same”, U.S. Patent No: 5,730,158. Issued: March 24,
`1998.
`• S.C. Deevi, P.H. Hayes, B.C. Laroy, D.E. Miser and W.H. Stevens, “Method
`of manufacturing an electrical heater”, U.S. Patent No: 5,692,291. Issued:
`December 2, 1997.
`• M.E. Counts, S.C. Deevi, G.S. Fleischhauer, M. Hajaligol, P.H. Hayes, C.T.
`Higgins, W.G. Houck, Jr., B.J. Keen, Jr., B.C. Laroy, P.J. Lipowicz, D.E. Miser,
`C.H. Nichols, W.H. Stevens, M. Subbiah, M.L. Watkins and S.E. Wrenn,
`“Electrical smoking system for delivering flavors and method for making
`same”, U.S. Patent No: 5,666,978. Issued: September 16, 1997.
`• M.R. Hajaligol, G.S. Fleischhauer, S.C. Deevi, C.T. Higgins, P.H. Hayes, H.
`Herman, R.V. Gansert, A.L. Collins, B.J. Keen, Jr., B.C. Laroy and A.C. Lilly,
`Jr., “Tubular heater for use in an electrical smoking article”, U.S. Patent No:
`5,665,262. Issued: September 9, 1997.
`• V.K. Sikka, S.C. Deevi, G. S. Fleischhauer, M.R. Hajaligol, and A. C. Lilly, Jr.,
`“Iron aluminides useful as electrical resistance heating elements”, U.S. Patent
`No: 5,620,651. Issued: April 15, 1997.
`• A.L. Collins, M.E. Counts, A. Das, S.C. Deevi, G.S. Fleischhauer, C.T.
`Higgins, W.G. Houck, Jr., B.J. Keen, Jr., R.E. Lee, III, A.C. Lilly, Jr., D.B.
`Losee, Jr., H.J. McCafferty, C.H. Nichols, W.R. Raymond, R.L. Ripley, R.R.
`Ritt, Sr., G.R. Scott, F.M. Sprinkel, M.L. Watkins, S.E. Wrenn and F.V. Utsch,
`“Flavor generating article and method for making same”, U.S. Patent No:
`5,613,504. Issued: March 25, 1997.
`• V.K. Sikka, S.C. Deevi, G. S. Fleischhauer, M.R. Hajaligol, and A. C. Lilly, Jr.,
`“Aluminum containing iron-Base alloys useful as electrical resistance heating
`elements”, U.S. Patent No: 5,595,706. Issued: January 21, 1997.
`• A. Bensalam, S. Deevi, S.C. Deevi, and D. M. Schleich, “Method for making a
`carbonaceous heat source containing metal oxide”, U.S. Patent No: 5,595,577.
`Issued: January 21, 1997.
`• S.C. Deevi and A. C. Lilly, Jr., “Electrically powered ceramic composite
`heater”, U.S. Patent No: 5, 498, 855. Issued: March 12, 1996.
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 014
`
`

`

`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
`
`
`• S.C. Deevi, M. R. Hajaligol, P. D. Lieberman, W. A. Nichols, and M.L.
`Watkins, “Heater having a multiple-layer ceramic substrate and method of
`fabrication”, U.S. Patent No: 5, 468, 936. Issued: November 21, 1995.
`• A. Bensalam, S. Deevi, S.C. Deevi, and D. M. Schleich, “Method for Making
`a carbonaceous heat source containing metal oxide”, U.S. Patent No:
`5,468,266. Issued: November 21, 1995.
`• S.C. Deevi and D.B. Losee, “Chemical heat source comprising metal nitride,
`metal oxide and carbon”, U.S. Patent No: 5, 443, 560. Issued: August 22,
`1995.
`• S.C. Deevi and M.R. Hajaligol, “Flat ceramic heater having discrete heating
`zones”, U.S. Patent No: 5, 408, 574. Issued: April 18, 1995.
`• M.E. Counts, S.C. Deevi, G.S. Fleischhauer, M.R. Hajaligol, P.H. Hayes, C.T.
`Higgins, W.G. Houck, Jr., B.J. Keen, Jr., B.C. Laroy, P.J. Lipowicz, D.E. Miser,
`C.H. Nichols, W.H. Stevens, M. Subbiah, M.L. Watkins and S.E. Wrenn,
`“Electrical smoking system for delivering flavors and method for making
`same”, U.S. Patent No: 5,388,594. Issued: February 14, 1995.
`• S.C. Deevi, G.S. Fleischhauer, and B.J. Keen, Jr., “Reinforced carbon heater
`with discrete heating zones”, U.S. Patent No: 5,353,813. Issued: October 11,
`1994.
`• S.C. Deevi, M.R. Hajaligol, H. Herman, C.T. Higgins, M.L. Watkins, B.E.
`Waymack, S. Yi, “Heater for an electric flavor-generating article”, U.S. Patent
`No: 5,322,075. Issued: June 21, 1994.
`• S.C. Deevi, M.R. Hajaligol, and D.B. Losee, “Method for producing metal
`carbide heat sources”, U.S. Patent No: 5,247,949. Issued: September 28,
`1993.
`• S.C. Deevi, S. Deevi, M.R. Hajaligol, H.V. Lanzillotti, A. C. Lilly, Jr., D.B.
`Losee, and M.L. Watkins, “Manufacturing of composite heat sources
`containing carbon and metal species”, U.S. Patent No: 5,246,018. Issued:
`September 21, 1993.
`• S.C. Deevi, M.R. Hajaligol, D.S. Kellogg and B. E. Waymack, “Catalytic
`conversion of carbon monoxide from carbonaceous heat sources”, U.S. Patent
`No: 5,240,014. Issued: August 31, 1993.
`• S.C. Deevi, F.M. Sprinkel, “Electrically-powered heating element”, U.S.
`Patent No: 5,224,498. Issued: July 6, 1993.
`
`14
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 015
`
`

`

`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
`
`
`• M.R. Hajaligol, S.C. Deevi, S.D. Ariprala, D.B. Losee, B.E. Waymack, and
`M.L. Watkins, “Chemical heat source comprising metal nitride, metal oxide and
`carbon”, U.S. Patent No: 5,188,130. Issued: February 23, 1993.
`• S.C. Deevi, S. Deevi, M.R. Hajaligol and K.S. Houghton, “Composite heat
`source comprising metal carbide, metal nitride and metal”, U.S. Patent No:
`5,146,934. Issued: September 15, 1992.
`• S.C. Deevi and F. M. Sprinkel, “Electrically-powered linear heating element”,
`U.S. Patent No: 5,093,894. Issued: on March 3, 1992.
`
`I also have authored over 150 peer-reviewed journal articles that are
`
`listed in my curriculum vitae, which includes a more detailed summary of my
`
`background, experience, and publications, and is attached to the accompanying
`
`Petition as Ex. 1004.
`
`II.
`
`Summary of Materials Reviewed and Considered
` All of the opinions contained in this Declaration are based on the
`
`documents I reviewed and my knowledge and professional judgment. In forming
`
`the opinions expressed in this Declaration, while drawing on my experience in the
`
`field of tobacco-containing smoking articles, I reviewed the following documents:
`
`Description
`Ex.
`1001 U.S. Patent No. 9,901,123 (“the ’123 patent”)
`1005 U.S. Patent No. 5,249,586 (“Morgan”)
`1006 U.S. Patent No. 4,947,874 (“Brooks”)
`1007 U.S. Patent Application Publication No. 2007/0102013 (“Adams”)
`1008 U.S. Patent No. 5,144,962 (“Counts-962”)
`1009 U.S. Patent No. 5,060,671 (“Counts-671”)
`
`15
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 016
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`

`

`
`
`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
`
`1016
`
`Ex.
`Description
`1010 Chemical and Biological Studies on New Cigarette Prototypes that Heat
`Instead of Burn Tobacco, R. J. Reynolds Tobacco Company Monograph
`(1988) (“RJR’s 1988 Monograph”) (markings on exhibit appeared in the
`used copy purchased by counsel)
`1011 U.S. Patent No. 5,692,525 (“Counts-525”)
`1012 U.S. Patent No. 5,095,921 (“Losee”)
`1013 U.S. Patent No. 5,591,368 (“the ’368 patent”)
`1014
`International Patent Application Publication No. WO 96/32854
`(“Baggett”)
`1015 Korean Patent No. 10-0636287 (“Park”)
`(including certified English translation and original Korean version of
`patent)
`Philip Morris Incorporated Invention Record (submitted May 19, 1994;
`witnessed May 23, 1994) (“May 1994 Invention Record”)
`1017 U.S. Patent No. 4,510,950 (“Keritsis”)
`1018
`Steven M. Kaplan, Wiley Electrical and Electronics Engineering
`Dictionary (2004)
`IEEE 100, The Authoritative Dictionary of IEEE Standards Terms (7th
`ed. 2000) (“IEEE Dictionary”)
`Philip Morris Incorporated Invention Record (dated October 11, 1988)
`(“October 1988 Invention Record”)
`1021 U.S. Patent No. 2,104,266 (“McCormick”)
`1022 U.S. Patent No. 5,865,185 (“Collins”)
`1023 U.S. Patent Application Publication No. 2007/0215167 (“Crooks”)
`1024 U.S. Provisional Application Serial No. 60/722,036
`1026 U.S. Patent No. 5,498,855 (“the ’855 patent”)
`1027 Modern Dictionary of Electronics (7th ed., 1999) (excerpt)
`1028 Merriam-Webster’s Collegiate Dictionary (10th ed., 2001) (excerpt)
`
`1019
`
`1020
`
`16
`
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 017
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`

`

`
`
`
`
`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
`
`Ex.
`1029
`1030
`
`1031
`
`Description
`Concise Oxford English Dictionary (11th ed., 2008) (excerpt)
`The Lady Smokes, www.theladysmokes.com (archived at
`web.archive.org, 2006-2007).
`Chambers Dictionary of Science and Technology (1999) (excerpt)
`
` My opinions are guided by my appreciation of how a person of
`
`ordinary skill in the art (“POSA”) would have understood the claims of the ’123
`
`patent at the time of the alleged invention, which I have been asked to assume is
`
`the 2006 time frame based on the patent’s earliest asserted effective filing date of
`
`October 18, 2006.
`
`III. Level of Skill in the Art and Perspective Applied in this Declaration
`
`I understand that certain issues relating to validity must be judged
`
`from the perspective of a person of ordinary skill in the relevant art.
`
` The purported invention of the ’123 patent relates to electrically
`
`powered tobacco “smoking” articles that deliver aerosols from tobacco. ’123 patent
`
`Abstract, 1:21-22, 4:42-65. Although the specification focuses on “heat not burn”
`
`(e.g., discussing temperatures from 200-600C at 24:25-32) it does not rule out
`
`burning the tobacco. E.g., ’123 patent 4:47-48 (“not necessarily produced as a
`
`result of burning”).
`
` At the time of the alleged invention, a person of ordinary skill in the
`
`art would have would have had a Bachelor’s degree in mechanical engineering,
`
`17
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`Philip Morris Products, S.A.
`Exhibit 1003
`Page 018
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`

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`Declaration ISO Pet. for Inter Partes Review of USP 9,901,123
`
`
`electrical engineering, chemistry, or physics, or a related field, and three to four
`
`years of industry experience (i.e., reduced-risk products), or a Master’s degree in
`
`mechanical engineering, electrical engineering, chemistry, or physics, or a related
`
`field, and one to two years of industry experience. This education and experience
`
`would have given the person familiarity with electrically powered smoking
`
`articles, their components, and the underlying technology.
`
`
`
`I would have exceeded this skill level at the relevant time, i.e., the
`
`year 2006, but have significant experience supervising and working with persons
`
`having that skill level. Also, I have a sufficient level of knowledge, experience,
`
`and education to provide an expert opinion in the field of the ’123 patent.
`
` My opinions in