IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`Poeze et al.
`In re Patent of:
`Attorney Docket No. 50095-0044IP1
`
`10,945,648
`U.S. Patent No.:
`
`March 16, 2021
`Issue Date:
`
`Appl. Serial No.: 17/031,316
`
`Filing Date:
`September 24, 2020
`Title:
`USER-WORN DEVICE FOR NONINVASIVELY MEASURING
`A PHYSIOLOGICAL PARAMETER OF A USER
`
`
`
`
`Mail Stop Patent Board
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`PETITION FOR INTER PARTES REVIEW OF UNITED STATES PATENT
`NO. 10,945,648 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`TABLE OF CONTENTS
`
`
`
`V. 
`
`I. 
`INTRODUCTION ........................................................................................... 1 
`II.  MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1) ........................... 1 
`A.  Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1) ................................ 1 
`B.  Related Matters Under 37 C.F.R. § 42.8(b)(2) ......................................... 1 
`C.  Lead And Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3) ..................... 2 
`D.  Service Information .................................................................................. 2 
`III.  PETITIONER HAS STANDING TO REQUEST IPR UNDER 37 C.F.R. §
`42.104 .............................................................................................................. 2 
`A.  Grounds for Standing Under 37 C.F.R. § 42.104(a)................................. 3 
`IV.  SUMMARY OF THE ’648 PATENT ............................................................. 3 
`A.  Brief Description ....................................................................................... 3 
`B.  Level of Ordinary Skill in the Art ............................................................. 3 
`C.  Claim Construction ................................................................................... 4 
`D.  Summary of the Prosecution History ........................................................ 4 
`THE CHALLENGED CLAIMS ARE UNPATENTABLE ............................ 6 
`A.  Asserted Grounds and References ............................................................ 6 
`B.  GROUND 1A ............................................................................................ 8 
`1.  Mendelson-799 ................................................................................ 8 
`2.  Aizawa ........................................................................................... 12 
`3.  Ohsaki ............................................................................................ 15 
`4. 
`Combination of Mendelson-799, Aizawa, and Ohsaki ................. 17 
`5.  Analysis ......................................................................................... 26 
`C.  GROUND 1B .......................................................................................... 38 
`1. 
`Scharf ............................................................................................. 38 
`2. 
`Combination of Mendelson-799, Aizawa, Ohsaki, and Scharf
`(“MAOSC”) ................................................................................... 39 
`3.  Analysis ......................................................................................... 41 
`D.  GROUND 1C .......................................................................................... 52 
`1.  Dalke .............................................................................................. 52 
`2.  Goldsmith ...................................................................................... 53 
`3. 
`Combination of Mendelson-799, Aizawa, Ohsaki, Scharf,
`Goldsmith, and Dalke .................................................................... 55 
`4.  Analysis ......................................................................................... 63 
`E.  GROUND 1D .......................................................................................... 85 
`
`i
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`

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`1. 
`2. 
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`Bergey............................................................................................ 85 
`Combination of Mendelson-799, Aizawa, Ohsaki, Scharf, Dalke,
`Goldsmith, and Bergey .................................................................. 85 
`3.  Analysis ......................................................................................... 87 
`F.  GROUND 1E .......................................................................................... 87 
`1.  Anderson ....................................................................................... 87 
`2. 
`Combination of Mendelson-799, Aizawa, Ohsaki, Scharf, Dalke,
`Goldsmith, and Anderson .............................................................. 88 
`3.  Analysis ......................................................................................... 91 
`G.  GROUND 2A .......................................................................................... 91 
`1.  Kotanagi ........................................................................................ 91 
`2. 
`Combination of Mendelson-799, Aizawa, and Kotanagi .............. 93 
`3.  Analysis ......................................................................................... 95 
`H.  GROUND 2B .......................................................................................... 95 
`I.  GROUND 2C .......................................................................................... 95 
`J.  GROUND 2D .......................................................................................... 96 
`K.  GROUND 2E .......................................................................................... 96 
`VI.  PTAB DISCRETION SHOULD NOT PRECLUDE INSTITUTION .......... 96 
`A.  314(a) – Fintiv......................................................................................... 96 
`B.  325(d) – Advanced Bionics ..................................................................... 99 
`VII.  CONCLUSION AND PAYMENT OF FEES .............................................102 
`
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`
`ii
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`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`
`
`
`EXHIBITS
`
`APPLE-1001
`
`U.S. Patent No. 10,945,648
`
`APPLE-1002
`
`U.S. Patent No. 10,945,648 File History
`
`APPLE-1003
`
`Declaration of Dr. Kenny
`
`APPLE-1004
`
`Curriculum Vitae of Dr. Kenny
`
`APPLE-1005
`
`Masimo Corporation, et al. v. Apple Inc., Redacted Complaint,
`ITC Inv. No.337-TA-1276
`
`
`APPLE-1006
`
`U.S. Pat. No. 6,801,799 (“Mendelson-799”)
`
`APPLE-1007
`
`U.S. Pub. No. 2002/0188210 (“Aizawa”)
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`APPLE-1008
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`U.S. Pub. No. 2001/0056243 (“Ohsaki”)
`
`APPLE-1009
`
`U.S. Pub. No. 2007/0093786 (“Goldsmith”)
`
`APPLE-1010
`
`U.S. Pub. No. 2006/0211924 (“Dalke”)
`
`APPLE-1011
`
`U.S. Patent No. 6,330,468 (“Scharf”)
`
`APPLE-1012
`
`U.S. Patent No. 6,608,562 (“Kimura”)
`
`APPLE-1013
`
`“Design and Evaluation of a New Reflectance Pulse Oximeter
`Sensor,” Y. Mendelson, et al.; Worcester Polytechnic Institute,
`Biomedical Engineering Program, Worcester, MA 01609;
`Association for the Advancement of Medical Instrumentation,
`vol. 22, No. 4, 1988; pp. 167-173 (“Mendelson-1988”)
`
`APPLE-1014
`
`“A Wearable Reflectance Pulse Oximeter for Remote Physio-
`logical Monitoring,” Y. Mendelson, et al.; Proceedings of the
`
`iii
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`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`28th IEEE EMBS Annual International Conference, 2006; pp.
`912-915 (“Mendelson-2006”)
`
`APPLE-1015
`APPLE-1016
`
`APPLE-1017
`APPLE-1018
`
`APPLE-1019
`
`APPLE-1020
`APPLE-1021
`
` PCT Pub. No. WO 2005/092182
` Certified English Translation of WO 2005/092182 and
`Translator’s Declaration (“Kotanagi”)
` U.S. Patent No. 4,880,304 (“Jaeb”)
`
`“Refractive Indices of Human Skin Tissues at Eight
`Wavelengths and Estimated Dispersion Relations between 300
`and 1600 nm,” H. Ding, et al.; Phys. Med. Biol. 51 (2006); pp.
`1479-1489 (“Ding”)
`“Analysis of the Dispersion of Optical Plastic Materials,” S.
`Kasarova, et al.; Optical Materials 29 (2007); pp. 1481-1490
`(“Kasarova”)
` U.S. Pat. No. 9,820,658 (“Tran”)
`US Patent No. 3,789,601 (“Bergey”)
`
`
`
`APPLE-1022
`
`US Pat. No. 9,001,047 (“Forstall”)
`
`APPLE-1023
`
`US Pat. No. 5,952,084 (“Anderson”)
`
`APPLE-1024
`
`US Pat. No. 5,893,364 (“Haar”)
`
`APPLE-1025
`
`US Pat. Appl. Pub. 2005/0030629 (“Kursawe”)
`
`APPLE-1026
`
`U.S. Patent No. 7,656,393 (“King”)
`
`APPLE-1027
`
`U.S. Patent No. 6,584,336 (“Ali”)
`
`APPLE-1028
`
`U.S. Pub. No. 2008/0242958 to Al-Ali et al. (“Al-Ali”)
`
`APPLE-1029
`
`Declaration of June Ann Munford
`
`
`
`APPLE-1030
`
`RESERVED
`
`iv
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`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`
`APPLE-1031
`
`RESERVED
`
`APPLE-1032
`
`Interim Procedure for Discretionary Denials in AIA Post-Grant
`Proceedings with Parallel District Court Litigation, issued June
`21, 2022 (“Interim Guidance”)
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`v
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`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`
`CLAIM LISTING
`
`Claim Language
`A user-worn device configured to non-invasively determine
`measurements of physiological parameter of a user, the user-worn
`device comprising:
`a plurality of light emitting diodes (LEDs);
`four photodiodes configured to receive light emitted by the LEDs,
`the four photodiodes being arranged to capture light at different
`quadrants of tissue of a user;
`a protrusion comprising a convex surface and
`a plurality of openings extending through the protrusion, the
`openings arranged over the photodiodes and
`[the openings…] configured to allow light to pass through the
`protrusion to the photodiodes; and
`one or more processors configured to receive one or more signals
`from at least one of the photodiodes and determine measurements
`of oxygen saturation of the user.
`The user-worn device of claim 1, wherein the one or more
`processors are further configured to process the one or more signals
`to determine a bulk measurement indicating a positioning of the
`user-worn device.
`The user-worn device of claim 1 further comprising optically
`transparent glass windows, each window extending across a
`different one of the openings.
`The user-worn device of claim 1, wherein the plurality of LEDs
`and the photodiodes are positioned on a same side of tissue of the
`user.
`The user-worn device of claim 1, wherein the protrusion further
`comprises an opaque material, and wherein the one or more signals
`are substantially free of noise caused by light piping.
`A user-worn device comprising:
`
`Limitation
`[1pre]
`
`[1a]
`[1b]
`
`[1c-1]
`[1c-2]
`
`[1c-3]
`
`[1d]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6pre]
`
`vi
`
`

`

`Limitation
`[6a]
`
`[6b]
`
`[6c]
`
`[6d]
`
`[6e]
`[6f]
`[6g]
`[6h]
`[6i]
`
`[7]
`
`[8pre]
`
`[8a]
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`Claim Language
`a first set of light emitting diodes (LEDs), the first set of LEDs
`comprising at least an LED configured to emit light at a first
`wavelength and an LED configured to emit light at a second
`wavelength;
`a second set of LEDs spaced apart from the first set of LEDs, the
`second set of LEDs comprising at least an LED configured to emit
`light at the first wavelength and an LED configured to emit light at
`the second wavelength;
`four photodiodes arranged on a surface and configured to receive
`light after at least a portion of the light has been attenuated by
`tissue of a user;
`a protrusion arranged above the surface, the protrusion comprising
`a convex surface including windows, the windows extending
`across the four photodiodes, wherein light passes through the
`protrusion to the four photodiodes via at least the windows;
`a thermistor configured to provide a temperature signal; and
`one or more processors configured to:
`receive one or more signals from at least one of the photodiodes;
`receive the temperature signal; and
`adjust operation of the user-worn device responsive to the
`temperature signal.
`The user-worn device of claim 6, wherein the protrusion further
`comprises an opaque material, the opaque material extending from
`the convex surface of the protrusion to an interior surface of the
`protrusion opposite the convex surface.
`A user-worn device configured to non-invasively determine
`measurements of a physiological parameter of a user, the user-worn
`device comprising:
`a first set of light emitting diodes (LEDs), the first set comprising
`at least an LED configured to emit light at a first wavelength and at
`least an LED configured to emit light at a second wavelength;
`
`vii
`
`

`

`Limitation
`[8b]
`
`[8c]
`[8d]
`
`[8e]
`
`[8f]
`
`[8g]
`
`[8h]
`[8i]
`
`[9]
`
`[10]
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`[11]
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`[12]
`
`[13]
`
`[14]
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`Claim Language
`a second set of LEDs spaced apart from the first set of LEDs, the
`second set of LEDs comprising an LED configured to emit light at
`the first wavelength and an LED configured to emit light at the
`second wavelength;
`four photodiodes;
`a protrusion comprising a convex surface, at least a portion of the
`protrusion comprising an opaque material;
`a plurality of openings provided through the protrusion and the
`convex surface, the openings aligned with the photodiodes;
`a separate optically transparent window extending across each of
`the openings;
`one or more processors configured to receive one or more signals
`from at least one of the photodiodes and output measurements of a
`physiological parameter of a user;
`a housing; and
`a strap configured to position the housing proximate tissue of the
`user when the device is worn.
`The user-worn device of claim 8 further comprising a network
`interface configured to wirelessly communicate the measurements
`of the physiological parameter to at least one of a mobile phone or
`a computer network.
`The user-worn device of claim 9 further comprising a user interface
`including a touch-screen display configured to display indicia
`responsive to the measurements of the physiological parameter.
`The user-worn device of claim 10, wherein an orientation of the
`user interface is configurable responsive to a user input.
`The user-worn device of claim 8, wherein the physiological
`parameter comprises oxygen or oxygen saturation.
`The user-worn device of claim 8 further comprising a storage
`device configured to at least temporarily store at least the
`measurements of the physiological parameter.
`The user-worn device of claim 8, wherein the physiological
`parameter comprises pulse rate.
`
`viii
`
`

`

`Limitation
`[15]
`[16]
`
`[17]
`
`[18]
`
`[19]
`
`[20a]
`[20b]
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`Claim Language
`The user-worn device of claim 8 further comprising a thermistor.
`The user-worn device of claim 8, wherein the openings are
`configured to prevent light piping.
`The user-worn device of claim 8, wherein the housing hermetically
`seals at least a portion of an interior of the user-worn device.
`The user-worn device of claim 8, wherein the windows comprise a
`conductive material.
`The user-worn device of claim 8, wherein the windows are
`arranged on the protrusion configured to be in contact with tissue
`of the user.
`[20pre] A user-worn device configured to non-invasively determine
`measurements of a user’s tissue, the user-worn device comprising:
`a plurality of light emitting diodes (LEDs);
`at least four photodiodes configured to receive light emitted by the
`LEDs, the four photodiodes being arranged to capture light at
`different quadrants of tissue of a user;
`a protrusion comprising a convex surface and a plurality of through
`holes, each through hole including a window and arranged over a
`different one of the at least four photodiodes; and
`one or more processors configured to receive one or more signals
`from at least one of the photodiodes and determine measurements
`of oxygen saturation of the user.
`The user-worn device of claim 20, wherein the one or more
`processors are further configured to process the one or more signals
`to determine a bulk measurement indicating a positioning of the
`user-worn device.
`The user-worn device of claim 20, wherein the plurality of LEDs
`and the photodiodes are positioned on a same side of the user's
`tissue.
`The user-worn device of claim 20, wherein the one or more signals
`are substantially free of noise caused by light piping.
`
`[20c]
`
`[20d]
`
`[21]
`
`[22]
`
`[23]
`
`ix
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`

`

`Limitation
`[24]
`
`[25]
`
`[26]
`
`[27]
`
`[28]
`
`[29]
`
`[30]
`
`[26e]
`
`[26f]
`
`[26g]
`
`[26h]
`
`[26i]
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`Claim Language
`The user-worn device of claim 20, wherein the protrusion
`comprises opaque material configured to substantially prevent light
`piping.
`The user-worn device of claim 20, further comprising gaps
`between the photodiodes and the windows.
`The user-worn device of claim 20, wherein the photodiodes are
`arranged in a quadrant configuration.
`The user-worn device of claim 26, further comprising opaque walls
`surrounding the photodiodes.
`The user-worn device of claim 27, wherein the walls are
`configured to reduce mixing of light from distinct quadrants of the
`tissue.
`The user-worn device of claim 20, wherein the protrusion further
`comprises one or more extensions.
`The user-worn device of claim 20, wherein the protrusion further
`comprises one or more chamfered edges.
`a protrusion arranged over the interior surface, the protrusion
`comprising a convex surface extending over the three photodiodes,
`the protrusion further comprising one or more sidewalls extending
`at least partially around a perimeter of the convex surface;
`a plurality of openings extending through the protrusion and
`aligned with the three photodiodes, each opening defined by an
`opaque surface extending through the protrusion and configured to
`reduce light piping;
`at least one wall extending between the interior surface and the
`protrusion, wherein at least the interior surface, the wall and the
`protrusion form one or more cavities, wherein the photodiodes are
`arranged within the cavities;
`one or more processors configured to receive one or more signals
`from the photodiodes and calculate a pulse rate measurement of the
`user;
`a user interface comprising a display, wherein the user interface is
`configured to display indicia responsive to the pulse rate
`measurement;
`
`x
`
`

`

`Limitation
`[26j]
`
`[26k]
`[27]
`
`[28]
`
`[29]
`
`[30]
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`Claim Language
`a memory configured to at least temporarily store at least the pulse
`rate measurement; and
`a strap configured to position the user-worn device on the user.
`The user-worn device of claim 26, further comprising a network
`interface configured to wirelessly communicate the pulse rate
`measurement to a mobile phone.
`The user-worn device of claim 26, further comprising a network
`interface configured to wirelessly communicate the pulse rate
`measurement to a computer network without involving a mobile
`phone.
`The user-worn device of claim 26, wherein the protrusion further
`comprises one or more extensions.
`The user-worn device of claim 26, wherein the protrusion further
`comprises one or more chamfered edges.
`
`
`
`
`
`
`xi
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`
`INTRODUCTION
`I.
`Apple Inc. (“Apple” or “Petitioner”) petitions for IPR of claims 1-30
`
`(“Challenged Claims”) of U.S. Patent No. 10,945,648 (“the ’648 Patent”).
`
`Compelling evidence presented in this Petition demonstrates at least a reasonable
`
`likelihood that Apple will prevail with respect to at least one of the Challenged
`
`Claims.
`
`II. MANDATORY NOTICES UNDER 37 C.F.R § 42.8(a)(1)
`A.
`Real Party-In-Interest Under 37 C.F.R. § 42.8(b)(1)
`Apple Inc. is the real party-in-interest.
`
`B.
`Related Matters Under 37 C.F.R. § 42.8(b)(2)
`Petitioner is not aware of any disclaimers, reexamination certificates or
`
`petitions for inter partes review for the ’648 Patent. The ’648 Patent is the subject
`
`of Masimo Corporation, et al. v. Apple Inc., ITC Inv. No. 337-TA-1276. APPLE-
`
`1005.
`
`This Petition is being filed concurrently with another petition for IPR of the
`
`’648 Patent (IPR2022-01276).1 Apple previously challenged related U.S. Patents
`
`1 Pursuant to the Trial Practice Guide, both petitions for IPR of the ’648 Patent are
`
`being filed with a paper providing a succinct explanation of the differences
`
`between the petitions, why the issues addressed by the differences are material, and
`
`why the Board should exercise its discretion to institute both petitions.
`
`1
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`in IPR2020-01520, IPR2020-01521, IPR2020-01722, IPR2020-01536, IPR2020-
`
`01537, IPR2020-01538, IPR2020-01539, IPR2020-01713, IPR2020-01714,
`
`IPR2020-01715, IPR2020-01716, IPR2020-01723, IPR2020-01737, IPR2020-
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`01737, IPR2021-00195, IPR2021-00208, IPR2021-00209.
`
`C.
` Lead And Back-Up Counsel Under 37 C.F.R. § 42.8(b)(3)
`Petitioner provides the following designation of counsel.
`
`Lead Counsel
`W. Karl Renner, Reg. No. 41,265
`Fish & Richardson P.C.
`3200 RBC Plaza
`60 South Sixth Street
`Minneapolis, MN 55402
`Tel: 612-335-5070
`Fax: 612-288-9696
`Email: IPR50095-0044IP1@fr.com
`
`
`Backup counsel
`Andrew B. Patrick, Reg. No. 63,471
`Daniel D. Smith, Reg. No. 71, 278
`Grace Kim, Reg. No. 71,977
`Hyun Jin In, Reg. No. 70,014
`Gretchen DeVries, Reg. No. 72,505
`Fish & Richardson P.C.
`3200 RBC Plaza
`60 South Sixth Street
`Minneapolis, MN 55402
`Tel: 612-335-5070
`Fax: 612-288-9696
`Email: PTABInbound@fr.com
`
`
`
`D.
`Service Information
`Please address all correspondence and service to the address listed above.
`
`Petitioner consents to electronic service by email at IPR50095-0044IP1@fr.com
`
`(referencing No. 50095-0044IP1 and cc’ing PTABInbound@fr.com).
`
`III. PETITIONER HAS STANDING TO REQUEST IPR UNDER 37
`C.F.R. § 42.104
`
`2
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`A. Grounds for Standing Under 37 C.F.R. § 42.104(a)
`Petitioner certifies that the ’648 Patent is available for IPR. Petitioner is not
`
`barred or estopped from requesting this review challenging the Challenged Claims
`
`on the below-identified grounds.
`
`IV. SUMMARY OF THE ’648 PATENT
`A. Brief Description
`The system described by the ’648 Patent is said to include, in one
`
`embodiment, “a noninvasive sensor and a patient monitor communicating with the
`
`noninvasive sensor.” APPLE-1001, 2:46-59. The ’648 Patent describes several
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`sensor configurations. See APPLE-1001, 6:43-46, 35:36-38:20, FIGS. 14A-14I,
`
`APPLE-1003, ¶¶24-27.2
`
`B.
`Level of Ordinary Skill in the Art
`A person of ordinary skill in the art relating to the subject matter of the ’648
`
`Patent as of July 3, 2008 (“POSITA”) would have been a person with a working
`
`knowledge of physiological monitoring technologies. The person would have had
`
`a Bachelor of Science degree in an academic discipline emphasizing the design of
`
`
`2 The ’648 Patent does not describe an embodiment featuring at least three light
`
`emitting diodes (LEDs), at least three photodiodes, and a protrusion comprising a
`
`convex surface and openings extending through the protrusion and positioned over
`
`the three photodiodes. See generally APPLE-1001.
`
`3
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`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`electrical, computer, or software technologies, in combination with training or at
`
`least one to two years of related work experience with capture and processing of
`
`data or information, including but not limited to physiological monitoring
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`technologies. APPLE-1003, ¶¶22-23. Alternatively, the person could have also
`
`had a Master of Science degree in a relevant academic discipline with less than a
`
`year of related work experience in the same discipline. Id.
`
`C. Claim Construction
`Petitioner submits that no formal claim constructions are necessary in this
`
`proceeding because “claim terms need only be construed to the extent necessary to
`
`resolve the controversy.” Wellman, Inc. v. Eastman Chem. Co., 642 F.3d 1355,
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`1361 (Fed. Cir. 2011). APPLE-1003, ¶205.
`
`As this is an IPR petition, Apple is pursuing prior art-based grounds. Apple
`
`is not waiving any arguments concerning other grounds that can only be raised in
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`district court.
`
`D.
`Summary of the Prosecution History
`Masimo filed application 17/031,316 (“’316 Application”) that issued as the
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`’648 Patent with a request for accelerated examination on September 24, 2020,
`
`approximately nine months after Masimo asserted thirteen related patents against
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`Apple in district court, and approximately one month after Apple filed the first of
`
`4
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`its IPRs challenging those patents.3 APPLE-1002, 397-588.
`
`On December 11, 2020, less than three months after Masimo filed the ’316
`
`Application, and without having issued a single rejection, the examiner issued a
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`notice of allowance. APPLE-1002, 48-58. Absent from that notice was any
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`discussion of art applied in Apple’s IPRs, including art on which the present
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`Petition’s grounds are premised. Id. In a string of final written decisions that
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`issued from February through May 2022, the Board went on to invalidate all but
`
`one challenged claim of the thirteen related patents based on that art. E.g., Apple
`
`Inc. v. Masimo Corp., IPR2020-01538 Pap. 43, 2, 9 (PTAB Feb. 23, 2022)(finding
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`“claims 1–7 and 20–28 of the ’554 patent…unpatentable” based on a ground
`
`including Mendelson-799 and Ohsaki); Apple Inc. v. Masimo Corp., IPR2020-
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`01538 Pap. 31, 2, 9-10 (PTAB May 2, 2022)(finding “claims 1–30 of the ’564
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`patent…unpatentable” based on grounds including Aizawa, Ohsaki, and
`
`Goldsmith).
`
`There is no indication in the ’648 Patent’s file history that the examiner
`
`
`3 See, generally, IPR2020-01520, IPR2020-01521, IPR2020-01722, IPR2020-
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`01536, IPR2020-01537, IPR2020-01538, IPR2020-01539, IPR2020-01713,
`
`IPR2020-01714, IPR2020-01715, IPR2020-01716, IPR2020-01723, IPR2020-
`
`01737, IPR2020-01737, IPR2021-00195, IPR2021-00208, IPR2021-00209.
`
`5
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`substantively considered any of the prior art applied in this Petition prior to
`
`allowing the ’635 Application. Instead, the notice of allowance limits its
`
`discussion to U.S. Patent Nos. 4,880,304 (“Jaeb”), 5,893,364 (“Haar”), 8,352,003
`
`(“Sawada”). APPLE-1002, 54-58.
`
`The references and grounds of rejection applied in this Petition are
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`materially different from those addressed by the examiner during
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`prosecution. APPLE-1003, ¶¶28-32; APPLE-1002, passim. This Petition
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`compellingly demonstrates the obviousness of the Challenged Claims, including
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`the claim features relied upon by the examiner in issuing the notice of allowance.
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`APPLE-1003, ¶32; APPLE-1002, 48-58.
`
`V. THE CHALLENGED CLAIMS ARE UNPATENTABLE
`A. Asserted Grounds and References
`The Challenged Claims are invalid over the grounds identified in the table
`
`below, as explained in this Petition. Accompanying explanations and support are
`
`provided in the Declaration of Dr. Thomas Kenny (APPLE-1003). APPLE-1003,
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`¶¶21, 33-204.
`
`Ground
`1A
`1B
`1C
`
`1D
`
`Claims
`1, 2, 4, 5
`3, 20, 21-30
`6, 7, 8, 9-16, 19
`
`17
`
`35 U.S.C. §103 Basis for Rejection
`Mendelson-799, Aizawa, Ohsaki
`Mendelson-799, Aizawa, Ohsaki, Scharf
`Mendelson-799, Aizawa, Ohsaki,
`Scharf, Dalke, Goldsmith
`Mendelson-799, Aizawa, Ohsaki,
`
`6
`
`

`

`Ground
`
`Claims
`
`1E
`
`2A
`2B
`
`2C
`
`2D
`
`2E
`
`18
`
`1, 2, 4, 5
`3, 20, 21-30
`
`6, 7, 8, 9-16, 19
`
`17
`
`18
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`35 U.S.C. §103 Basis for Rejection
`Scharf, Dalke, Goldsmith, Bergey
`Mendelson-799, Aizawa, Ohsaki,
`Scharf, Dalke, Goldsmith, Anderson
`Mendelson-799, Aizawa, Kotanagi
`Mendelson-799, Aizawa, Kotanagi,
`Scharf
`Mendelson-799, Aizawa, Kotanagi,
`Scharf, Dalke, Goldsmith
`Mendelson-799, Aizawa, Kotanagi,
`Scharf, Dalke, Goldsmith, Bergey
`Mendelson-799, Aizawa, Kotanagi,
`Scharf, Dalke, Goldsmith, Anderson
`
`Each applied reference pre-dates U.S. provisional application 61/078,207,
`
`filed on July 3, 2008, which is the earliest filed application from which the ’648
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`Patent claims priority. Petitioner does not take a position as to whether the ’648
`
`Patent is entitled to the priority date of July 3, 2008 (hereinafter “Critical Date” or
`
`“Earliest Effective Filing Date”), but has applied references that pre-date the
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`Critical Date and qualify as prior art under 35 U.S.C. 102(b), as shown in the table
`
`below. APPLE-1003, ¶¶15-17.
`
`Reference
`
` Publication or Issue
`Date
`
`Mendelson-799
`
`US 6,801,799
`
`Aizawa
`
`Ohsaki
`
`US 2002/0188210
`
`US 2001/0056243
`
`10/5/2004
`
`12/12/2002
`
`12/27/2001
`
`7
`
`

`

`Reference
`
`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
` Publication or Issue
`Date
`
`12/11/2001
`
`4/26/2007
`
`9/21/2006
`
`02/05/1974
`
`9/14/1999
`
`Scharf
`
`US 6,330,468
`
`Goldsmith
`
`US 2007/0093786
`
`US 2006/0211924
`
`US 3,789,601
`
`US 5,952,084
`
`Dalke
`
`Bergey
`
`Anderson
`
`Kotanagi
`
`
`
`WO 2005/092182
`
`10/6/2005 (published)
`
`B. GROUND 1A
`1. Mendelson-799
`Mendelson-799 describes a “sensor for use in an optical measurement device
`
`and a method for non-invasive measurement of a blood parameter.” APPLE-1006,
`
`Abstract; APPLE-1003, ¶¶34-40. Mendelson-799’s FIG. 7 (reproduced below)
`
`illustrates an optical sensor 10 that includes a light source 12 with three closely
`
`spaced light emitting elements that generate light at three different wavelengths,
`
`“an array of discrete detectors (e.g., photodiodes),” including “a ‘far’ detector 16
`
`and a ‘near’ detector 18, arranged in two concentric ring-like arrangements
`
`…surrounding the light emitting elements; and a light shield 14.” Id., 9:22-33.
`
`“All these elements are accommodated in a sensor housing 17,” with “[t]he light
`
`shield 14 [being] positioned between the photodiodes and the light emitting
`
`8
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`elements” to “prevent[] direct optical coupling between them, thereby maximizing
`
`the fraction of backscattered light passing through the arterially perfused vascular
`
`tissue in the detected light.” Id., 9:33-40.
`
`
`
`
`
`APPLE-1006, FIG. 7 (annotated).
`
`Mendelson-799’s sensor housing 17 encircles various components that
`
`sensor housing 17 accommodates, but does not otherwise present a profile view of
`
`the sensor housing 17, instead leaving such implementation details to a POSITA.
`
`See APPLE-1006, 9:23-40, Abstract, FIG. 7; APPLE-1003, ¶36. As explained
`
`below, a POSITA would have found it obvious to implement an opaque/outer wall
`
`that circumscribes the array of discrete detectors included in detector rings 16 and
`
`18, both to shield the detectors from ambient light and protect the detectors from
`
`9
`
`

`

`Attorney Docket No. 50095-0044IP1
`IPR of U.S. Patent No. 10,945,648
`external forces. APPLE-1006, 9:24-40, FIG. 7; APPLE-1003, ¶36.
`
`In more detail, Mendelson-799’s light shield 14 is “positioned between the
`
`photodiodes and the light emitting elements” to “prevent[] direct optical coupling
`
`between them, thereby maximizing the fraction of backscattered light passing
`
`through the arterially perfused vascular tissue in the detected light.” APPLE-1006,
`
`9:35-40. Accordingly, a POSITA would have found it obvious to connect an
`
`opaque wall to the portion of sensor housing 17 that Mendelson-799 illustrates as
`
`circumscribing detectors 16 and 18 to shield the detectors from ambient light and
`
`protect the detectors from external forces. APPLE-1003, ¶37; APPLE-1006,
`
`Abstract, 9:22-40, 14:1-17, FIG. 7.
`
`Mendelson-799 mentions several references that depict and describe pulse
`
`oximeter sensors that feature detectors housed within surrounding walls. APPLE-
`
`1003, ¶38; APPLE-1006, 4:13-22. For instance, a 1988 paper by the author of
`
`Mendelson-799, Yitzhak Mendelson, describes “an optical reflectance sensor” in
`
`which “LEDs and photodiode chips were mounted … on a ceramic substrate …
`
`that was housed in a standard … microelectronic package (AIRPAX, Cambridge,
`
`Maryland) … commonly used for packaging electronic circuits.” APPLE-1013, 2-
`
`3, 6. Mendelson-1988’s FIG. 2 (reproduced below) depicts an AIRPAX housing
`
`including walls that surround each of the sensor’s six photodiodes, and that are
`
`operably connected to the ceramic substrate on which the photodi