UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`ALIGN TECHNOLOGY, INC.
`Petitioner
`
`v.
`
`3SHAPE A/S
`Patent Owner
`
`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`DECLARATION OF DR. CHANDRAJIT L. BAJAJ, PH.D.
`IN SUPPORT OF INTER PARTES REVIEW OF U.S. RE48,221
`
`Align EX1003
`Align v. 3Shape
`IPR2022-00144
`
`

`

`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`2.
`
`B.
`
`TABLE OF CONTENTS
`Introduction ........................................................................................1
`I.
`II. Qualifications and Expertise ..................................................................6
`III. Legal Understanding .......................................................................... 11
`A. My Understanding of Claim Construction .................................... 11
`B. A Person of Ordinary Skill in the Art........................................... 12
`C. My Understanding of Obviousness .............................................. 13
`IV. Background of the Technologies Disclosed in the ’221 Patent ................. 15
`A.
`3D handheld digital scanning was well-known.............................. 15
`1.
`Dental application of three-dimensional handheld digital
`scanning was well-known. ................................................ 17
`Incorporating human-computer interfaces into three-
`dimensional handheld digital scanning and interactive computer
`graphics display was well-known. ...................................... 19
`Three-dimensional human-computer interfaces with motion sensors
`were well-known. ..................................................................... 21
`1. Medical application of three-dimensional human-computer
`interfaces were well-known. .............................................. 23
`Incorporation of motion sensors into medical applications and
`three-dimensional human-computer interfaces were well-
`known. ........................................................................... 25
`Accelerometers, gyros, and magnetometers are merely species
`of the generic genus of motion sensors................................ 29
`The ’221 Patent ................................................................................. 32
`A. Overview ................................................................................. 32
`1.
`Patent Owner fails to specify any novelty or criticality of the
`claimed species of motion sensors (“an accelerometer, gyro, or
`magnetometer”) ............................................................... 33
`Summary of the Prosecution History ........................................... 34
`1.
`FWD for the ’675 Patent invalidated claims 1-19, including
`claims 4, 5, 8, and 19 directed to “at least one motion sensor” 37
`Claims of the ’221 Patent are based on invalidated claims 1-19
`of the ’675 Patent and should not have been allowed ............ 38
`
`2.
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`3.
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`2.
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`V.
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`B.
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
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`VI. Claim Construction ............................................................................ 39
`VII. Overview of Grounds Asserted in the Petition and Prior Art .................... 40
`A. Overview of Serra ..................................................................... 41
`B. Overview of Kriveshko.............................................................. 43
`C. Overview of Marvit................................................................... 44
`D. Overview of Knighton ............................................................... 46
`VIII. Ground 1: Claims [1, 19] 20-34 and 37-44 are unpatentable as obvious under
`35 U.S.C. § 103 over Serra. ................................................................. 48
`A.
`Claim 33.................................................................................. 48
`1.
`[33.P]: A scanning system for scanning a 3D environment, the
`scanning system comprising: ............................................. 48
`[33.1]: a handheld device including an optical scanner, wherein
`the 3D environment to be scanned is selected by pointing the
`optical scanner at the 3D environment ................................ 51
`a)
`Serra ..................................................................... 51
`b)
`General Knowledge of a POSITA ............................. 53
`c) Motivation to Modify .............................................. 54
`[33.2]: and at least one display remotely connected to the
`handheld device ............................................................... 55
`[33.3.1]: wherein the handheld device is adapted for performing
`at least one scanning action in a physical 3D environment ..... 58
`[33.3.2]: and the at least one display is adapted for visually
`representing the physical 3D environment ........................... 61
`[33.4]: and wherein the handheld device includes at least one
`motion sensor for remotely controlling the display to adjust the
`view with which the 3D environment is represented on the
`display ........................................................................... 64
`[33.5]: and wherein the at least one motion sensor is an
`accelerometer, gyro, or magnetometer. ............................... 68
`a)
`Serra ..................................................................... 68
`b)
`General Knowledge of a POSITA ............................. 72
`c) Motivation to Use ................................................... 74
`Claim 34.................................................................................. 75
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`B.
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`3.
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`4.
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`5.
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`6.
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`7.
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`

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`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`1.
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`C.
`
`E.
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`F.
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`[34.0] The scanning system according to claim 33, wherein the
`handheld device further comprises at least two user interface
`elements. ........................................................................ 76
`Claim 37.................................................................................. 79
`1.
`[37.0] The scanning system according to claim 36, wherein at
`least one of the user input provides for manually switching
`between performing the at least one scanning action and
`remotely controlling the view. ........................................... 79
`D. Claim 38.................................................................................. 83
`1.
`[38.0] The scanning system according to claim 37, [a] wherein
`switching to remotely controlling the view puts the handheld
`device into a controller mode, [b] wherein holding at least one
`user interface element on the handheld device in conjunction
`with moving the handheld device determines the view of the 3D
`environment on the display in accordance with signals from the
`motion sensor. ................................................................. 84
`Claim 39.................................................................................. 88
`1.
`[39.0] The scanning system according to claim 37, [a] wherein
`switching to remotely controlling the view [p]uts the handheld
`device into a controller mode and [b] wherein when in [the]
`controller mode, moving the handheld device down results in
`showing the view of the 3D environment from a downward
`viewing angle on the display. ............................................ 88
`Claim 44.................................................................................. 92
`1.
`[44.0] The scanning system according to claim 33, [a] wherein
`the at least one display is a 3D display, [b] whereby a 3D
`representation of the 3D environment is displayed on the 3D
`display; [c] wherein the handheld device is an intra-oral 3D
`scanner or an in-ear 3D scanner; and [d] wherein the 3D display
`is configured to project stereoscopic image pairs of the 3D
`representation. ................................................................. 93
`a)
`wherein the at least one display is a 3D display, .......... 93
`b)
`whereby a 3D representation of the 3D environment is
`displayed on the 3D display;..................................... 93
`and wherein the 3D display is configured to project
`stereoscopic image pairs of the 3D representation........ 93
`
`d)
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`c)
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`wherein the handheld device is an intra-oral 3D scanner
`or an in-ear 3D scanner; ........................................... 96
`Invalidated/Cancelled Claim 1 .................................................. 100
`G.
`H. Claim 20................................................................................ 102
`1.
`[20.0] The scanning system according to claim 1, wherein the at
`least one motion sensor is an accelerometer, gyro, or
`magnetometer. ............................................................... 102
`Claim 21................................................................................ 103
`1.
`[21.0] The scanning system according to claim 1, [a] wherein
`the at least one motion sensor is adapted for taking the
`movement of the scanner into account [b] while performing the
`scanning. ...................................................................... 103
`Claim 22................................................................................ 106
`1.
`[22.0] The scanning system according to claim 1, [a] wherein
`the system comprises at least two motion sensors and [b]
`wherein the at least two motion sensors provide sensor fusion.
`.................................................................................... 107
`a)
`Serra ................................................................... 107
`b)
`General Knowledge of a POSITA ........................... 111
`c) Motivation to Modify ............................................ 113
`K. Claim 23................................................................................ 114
`1.
`[23.0] The scanning system according to claim 1, [a] wherein
`the at least one motion sensor is the 3D user interface for
`remotely controlling the display, [b] wherein the view on the
`display is determined by moving the handheld scanner. ...... 115
`Claim 24................................................................................ 119
`1.
`[24.0] The scanning system according to claim 23, wherein
`moving the handheld scanner to point down causes the view on
`the display to be a downward viewing angle. ..................... 119
`M. Claim 25................................................................................ 123
`1.
`[25.0] The scanning system according to claim 1, wherein the
`handheld device further comprises a user-interface element. 123
`N. Claim 26................................................................................ 126
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`J.
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`L.
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`1.
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
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`[26.0] The scanning system according to claim 25, wherein the
`user-interface element comprises a touch-sensitive element, a
`button, a scroll-wheel, or a proximity sensor. ..................... 127
`O. Claim 27................................................................................ 130
`1.
`[27.0] The scanning system according to claim 25, wherein the
`user-interface element provides more than one user input. ... 131
`Claim 28................................................................................ 133
`1.
`[28.0] The scanning system according to claim 25, wherein the
`at least one motion sensor and/or the user-interface element are
`utilized in a workflow. .................................................... 133
`Q. Claim 30................................................................................ 137
`1.
`[30.0] The scanning system according to claim 1, wherein the at
`least one display is arranged on a cart. .............................. 137
`Claim 31................................................................................ 142
`1.
`[31.0] The scanning system according to claim 1, wherein the at
`least one display is divided into multiple regions. ............... 142
`Claim 40................................................................................ 144
`1.
`[40.0] The scanning system according to claim 1, [a] wherein
`the at least one display is a 3D display, [b] whereby a 3D
`representation of the 3D environment is displayed on the 3D
`display; and [c] wherein the handheld device is an intra-oral 3D
`scanner or an in-ear 3D scanner. ...................................... 144
`a)
`wherein the at least one display is a 3D display, ........ 145
`b)
`whereby a 3D representation of the 3D environment is
`displayed on the 3D display;................................... 145
`and wherein the handheld device is an intra-oral 3D
`scanner or an in-ear 3D scanner. ............................. 148
`Claim 41................................................................................ 148
`1.
`[41.0] The scanning system according to claim 40, wherein the
`3D display is configured to project stereoscopic image pairs of
`the 3D representation...................................................... 148
`U. Claim 42................................................................................ 151
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`P.
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`R.
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`S.
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`c)
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`1.
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
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`[42.0] The scanning system according to claim 40, wherein the
`3D display is [a] volumetric display configured to create a 3D
`effect of the 3D representation. ........................................ 151
`Invalidated/Cancelled Claim 19 ................................................ 155
`V.
`W. Claim 29................................................................................ 158
`1.
`[29.0] The system according to claim 19, [a] wherein the
`handheld device is adapted to change a magnification factor of
`the view represented on the at least one display [b] which is
`determined by the motion of the operator’s hand holding the
`handheld device, [c] through the use of the at least one motion
`sensor. .......................................................................... 158
`X. Claim 32................................................................................ 162
`1.
`[32.0] The system according to claim 19, [a] wherein the
`handheld device further comprises a user interface element, [b]
`wherein switching to remotely controlling the view puts the
`handheld device into a controller mode, [c] wherein holding the
`user interface element and/or the actuator on the handheld
`device in conjunction with moving the handheld device
`determines the view of the 3D environment on the display in
`accordance with signals from the motion sensor. ................ 162
`Y. Claim 43................................................................................ 167
`1.
`[43.0] The system according to claim 19, [a] wherein the at
`least one display is a 3D display, [b] whereby a 3D
`representation of the 3D environment is displayed on the 3D
`display; and [c] wherein the 3D display is configured to project
`stereoscopic image pairs of the 3D representation............... 167
`IX. Ground 2: Claims [1, 19] 20-44 are unpatentable as obvious under 35 U.S.C.
`§ 103 over Serra, Kriveshko, and Marvit. ............................................ 170
`A. A POSITA would have known how and why to combine the teachings
`of Serra, Kriveshko, and Marvit with a reasonable expectation of
`success. ................................................................................. 171
`1.
`Serra-Kriveshko Combination ......................................... 171
`2.
`Serra-Kriveshko-Marvit Combination............................... 175
`Claim 33................................................................................ 180
`
`B.
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`

`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`[33.P]: A scanning system for scanning a 3D environment, the
`scanning system comprising: ........................................... 181
`[33.1]: a handheld device including an optical scanner, wherein
`the 3D environment to be scanned is selected by pointing the
`optical scanner at the 3D environment; ............................. 184
`a)
`Serra ................................................................... 184
`b)
`Kriveshko ............................................................ 186
`c) Motivation to Combine (Serra-Kriveshko) ............... 187
`[33.2]: and at least one display remotely connected to the
`handheld device, ............................................................ 189
`[33.3.1]: wherein the handheld device is adapted for performing
`at least one scanning action in a physical 3D environment, .. 191
`[33.3.2]: and the at least one display is adapted for visually
`representing the physical 3D environment; ........................ 194
`[33.4]: and wherein the handheld device includes at least one
`motion sensor for remotely controlling the display to adjust the
`view with which the 3D environment is represented on the
`display;......................................................................... 197
`[33.5]: and wherein the at least one motion sensor is an
`accelerometer, gyro, or magnetometer. ............................. 202
`a)
`Serra-Kriveshko ................................................... 203
`b) Marvit ................................................................. 206
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 208
`Claim 34................................................................................ 210
`1.
`[34.0] The scanning system according to claim 33, wherein the
`handheld device further comprises at least two user interface
`elements. ...................................................................... 210
`D. Claim 35................................................................................ 214
`1.
`[35.0] The scanning system according to claim 34, [a] wherein
`the at least two user interface elements comprises at least one
`button and a touch-sensitive element, and [b] wherein the
`display is on a cart. ........................................................ 214
`
`7.
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`C.
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`

`a)
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`wherein the at least two user interface elements
`comprises at least one button and a touch-sensitive
`element,............................................................... 214
`and wherein the display is on a cart. ........................ 218
`b)
`Claim 36................................................................................ 223
`1.
`[36.0] The scanning system according to claim 35, wherein the
`at least one button and the touch-sensitive element provides
`more than one user input. ................................................ 223
`a)
`Serra-Kriveshko ................................................... 223
`b) Marvit ................................................................. 227
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 227
`Claim 37................................................................................ 227
`1.
`[37.0] The scanning system according to claim 36, wherein at
`least one of the user input provides for manually switching
`between performing the at least one scanning action and
`remotely controlling the view. ......................................... 228
`G. Claim 38................................................................................ 231
`1.
`[38.0] The scanning system according to claim 37, [a] wherein
`switching to remotely controlling the view puts the handheld
`device into a controller mode, [b] wherein holding at least one
`user interface element on the handheld device in conjunction
`with moving the handheld device determines the view of the 3D
`environment on the display in accordance with signals from the
`motion sensor. ............................................................... 231
`a)
`Serra-Kriveshko ................................................... 232
`b) Marvit ................................................................. 236
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 238
`H. Claim 39................................................................................ 239
`1.
`[39.0] The scanning system according to claim 37, [a] wherein
`switching to remotely controlling the view [p]uts the handheld
`device into a controller mode and [b] wherein when in [the]
`controller mode, moving the handheld device down results in
`showing the view of the 3D environment from a downward
`viewing angle on the display. .......................................... 239
`
`E.
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`F.
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`

`I.
`
`L.
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`Serra-Kriveshko ................................................... 239
`a)
`b) Marvit ................................................................. 243
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 245
`Claim 44................................................................................ 245
`1.
`[44.0] The scanning system according to claim 33, [a] wherein
`the at least one display is a 3D display, [b] whereby a 3D
`representation of the 3D environment is displayed on the 3D
`display; [c] wherein the handheld device is an intra-oral 3D
`scanner or an in-ear 3D scanner; and [d] wherein the 3D display
`is configured to project stereoscopic image pairs of the 3D
`representation. ............................................................... 246
`a)
`wherein the at least one display is a 3D display, ........ 246
`b)
`whereby a 3D representation of the 3D environment is
`displayed on the 3D display;................................... 246
`and wherein the 3D display is configured to project
`stereoscopic image pairs of the 3D representation...... 246
`wherein the handheld device is an intra-oral 3D scanner
`or an in-ear 3D scanner; ......................................... 249
`Invalidated/Cancelled Claim 1 .................................................. 253
`J.
`K. Claim 20................................................................................ 255
`1.
`[20.0] The scanning system according to claim 1, wherein the at
`least one motion sensor is an accelerometer, gyro, or
`magnetometer. ............................................................... 255
`Claim 21................................................................................ 256
`1.
`[21.0] The scanning system according to claim 1, [a] wherein
`the at least one motion sensor is adapted for taking the
`movement of the scanner into account [b] while performing the
`scanning. ...................................................................... 256
`a)
`Serra-Kriveshko ................................................... 257
`b) Marvit ................................................................. 261
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 261
`M. Claim 22................................................................................ 262
`1.
`[22.0] The scanning system according to claim 1, [a] wherein
`the system comprises at least two motion sensors and [b]
`
`c)
`
`d)
`
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`- ix -
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`

`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`P.
`
`wherein the at least two motion sensors provide sensor fusion.
`.................................................................................... 262
`a)
`Serra-Kriveshko ................................................... 262
`b) Marvit ................................................................. 266
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 268
`N. Claim 23................................................................................ 270
`1.
`[23.0] The scanning system according to claim 1, [a] wherein
`the at least one motion sensor is the 3D user interface for
`remotely controlling the display, [b] wherein the view on the
`display is determined by moving the handheld scanner. ...... 270
`a)
`Serra-Kriveshko ................................................... 270
`b) Marvit ................................................................. 275
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 276
`O. Claim 24................................................................................ 277
`1.
`[24.0] The scanning system according to claim 23, wherein
`moving the handheld scanner to point down causes the view on
`the display to be a downward viewing angle. ..................... 277
`a)
`Serra-Kriveshko ................................................... 277
`b) Marvit ................................................................. 281
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 282
`Claim 25................................................................................ 282
`1.
`[25.0] The scanning system according to claim 1, wherein the
`handheld device further comprises a user-interface element. 282
`Q. Claim 26................................................................................ 286
`1.
`[26.0] The scanning system according to claim 25, wherein the
`user-interface element comprises a touch-sensitive element, a
`button, a scroll-wheel, or a proximity sensor. ..................... 286
`Claim 27................................................................................ 291
`1.
`[27.0] The scanning system according to claim 25, wherein the
`user-interface element provides more than one user input. ... 291
`Claim 28................................................................................ 293
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`R.
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`S.
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`- x -
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`

`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`1.
`
`c)
`
`T.
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`V.
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`Y.
`Z.
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`[28.0] The scanning system according to claim 25, wherein the
`at least one motion sensor and/or the user-interface element are
`utilized in a workflow. .................................................... 293
`Claim 30................................................................................ 297
`1.
`[30.0] The scanning system according to claim 1, wherein the at
`least one display is arranged on a cart. .............................. 298
`U. Claim 31................................................................................ 302
`1.
`[31.0] The scanning system according to claim 1, wherein the at
`least one display is divided into multiple regions. ............... 302
`Claim 40................................................................................ 305
`1.
`[40.0] The scanning system according to claim 1, [a] wherein
`the at least one display is a 3D display, [b] whereby a 3D
`representation of the 3D environment is displayed on the 3D
`display; and [c] wherein the handheld device is an intra-oral 3D
`scanner or an in-ear 3D scanner. ...................................... 305
`a)
`wherein the at least one display is a 3D display, ........ 305
`b)
`whereby a 3D representation of the 3D environment is
`displayed on the 3D display;................................... 305
`and wherein the handheld device is an intra-oral 3D
`scanner or an in-ear 3D scanner. ............................. 308
`W. Claim 41................................................................................ 308
`1.
`[41.0] The scanning system according to claim 40, wherein the
`3D display is configured to project stereoscopic image pairs of
`the 3D representation...................................................... 308
`X. Claim 42................................................................................ 311
`1.
`[42.0] The scanning system according to claim 40, wherein the
`3D display is [a] volumetric display configured to create a 3D
`effect of the 3D representation. ........................................ 312
`Invalidated/Cancelled Claim 19 ................................................ 315
`Claim 29................................................................................ 318
`1.
`[29.0] The system according to claim 19, [a] wherein the
`handheld device is adapted to change a magnification factor of
`the view represented on the at least one display [b] which is
`determined by the motion of the operator’s hand holding the
`
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`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
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`handheld device, [c] through the use of the at least one motion
`sensor. .......................................................................... 318
`a)
`Serra-Kriveshko ................................................... 319
`b) Marvit ................................................................. 323
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 324
`AA. Claim 32................................................................................ 324
`1.
`[32.0] The system according to claim 19, [a] wherein the
`handheld device further comprises a user interface element, [b]
`wherein switching to remotely controlling the view puts the
`handheld device into a controller mode, [c] wherein holding the
`user interface element and/or the actuator on the handheld
`device in conjunction with moving the handheld device
`determines the view of the 3D environment on the display in
`accordance with signals from the motion sensor. ................ 324
`a)
`Serra-Kriveshko ................................................... 325
`b) Marvit ................................................................. 329
`c) Motivation to Combine (Serra-Kriveshko-Marvit) ..... 331
`BB. Claim 43................................................................................ 331
`1.
`[43.0] The system according to claim 19, [a] wherein the at
`least one display is a 3D display, [b] whereby a 3D
`representation of the 3D environment is displayed on the 3D
`display; and [c] wherein the 3D display is configured to project
`stereoscopic image pairs of the 3D representation............... 332
`X. Ground 3: Claims [1, 19] 20-44 are unpatentable as obvious under 35 U.S.C.
`§ 103 over Knighton and Marvit. ....................................................... 335
`A. A POSITA Would Have Known How and Why To Combine the
`Teachings of Knighton in view of Marvit with a Reasonable
`Expectation of Success. ........................................................... 335
`Claim 33................................................................................ 340
`1.
`[33.P]: A scanning system for scanning a 3D environment, the
`scanning system comprising: ........................................... 340
`[33.1]: a handheld device including an optical scanner, wherein
`the 3D environment to be scanned is selected by pointing the
`optical scanner at the 3D environment .............................. 342
`
`B.
`
`2.
`
`
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`

`Case IPR2022-00144
`U.S. Patent No. RE48,221
`
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`[33.2]: and at least one display remotely connected to the
`handheld device ............................................................. 345
`[33.3.1]: wherein the handheld device is adapted for performing
`at least one scanning action in a physical 3D environment ... 346
`[33.3.2]: and the at least one display is adapted for visually
`representing the physical 3D environment ......................... 349
`[33.4]: and wherein the handheld device includes at least one
`motion sensor for remotely controlling the display to adjust the
`view with which the 3D environment is represented on the
`display ......................................................................... 351
`a)
`Knighton ............................................................. 351
`b) Marvit ................................................................. 355
`c) Motivation to Combine .......................................... 356
`[33.5]: and wherein the at least one motion sensor is an
`accelerometer, gyro, or magnetometer. ............................. 359
`Claim 34................................................................................ 362
`1.
`[34.0] The scanning system according to claim 33, wherein the
`handheld device further comprises at least two user interface
`elements. ...................................................................... 362
`D. Claim 35................................................................................ 364
`1.
`[35.0] The scanning system according to claim 34, [a] wherein
`the at least two user interface elements comprises at least one
`button and a touch-sensitive element, and [b] wherein the
`display is on a cart. ........................................................ 364
`a)
`wherein the at least two user interface elements
`comprises at least one button and a touch-sensitive
`element................................................................ 365
`and wherein the display is on a cart ......................... 366
`b)
`Claim 36................................................................................ 368
`1.
`[36.0] The scanning system according to claim 35, wherein the
`at least one butto