UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`APPLE INC.,
`Petitioner,
`
`v.
`
`MASIMO CORPORATION,
`Patent Owner.
`
`Case IPR2022-01299
`U.S. Patent 7,761,127
`
`DECLARATION OF WILLIAM P. KING, Ph.D.
`
`I declare that all statements made herein on my own knowledge are true and
`
`that all statements made on information and belief are believed to be true, and
`
`further, that these statements were made with the knowledge that willful false
`
`statements and the like so made are punishable by fine or imprisonment, or both,
`
`under Section 1001 of Title 18 of the United States Code.
`
`Dated: May 18, 2023
`
`By:
`
`William P. King, Ph.D.
`
`REDACTED
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`MASIMO 2151
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`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`APPLE INC.,
`Petitioner,
`
`v.
`
`MASIMO CORPORATION,
`Patent Owner.
`
`Case IPR2022-01299
`U.S. Patent 7,761,127
`
`DECLARATION OF WILLIAM P. KING, Ph.D.
`
`I declare that all statements made herein on my own knowledge are true and
`
`that all statements made on information and belief are believed to be true, and
`
`further, that these statements were made with the knowledge that willful false
`
`statements and the like so made are punishable by fine or imprisonment, or both,
`
`under Section 1001 of Title 18 of the United States Code.
`
`Dated: May 18, 2023
`
`By:
`
`William P. King, Ph.D.
`
`REDACTED
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`MASIMO 2151
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`IPR2022-01299
`Apple Inc. v. Masimo Corp.
`1.
`I, William P. King, Ph.D., am making this declaration at the request of
`
`Patent Owner Masimo Corporation (“Masimo”) in the matter of the Inter Partes
`
`Review No. IPR2022-01299 of U.S. Patent No. 7,761,127 (“the ’127 patent”). I
`
`understand that this declaration is being submitted in this proceeding as Exhibit
`
`2151.
`
`2.
`
`I am being compensated for my work in this matter at my standard
`
`hourly rate for consulting services. My compensation in no way depends on the
`
`outcome of this proceeding.
`
`3.
`
`In addition to my own knowledge and expertise, I have reviewed and
`
`considered the following written materials in conducting the analyses and forming
`
`the opinions set forth in this declaration.
`
`Exhibit or
`Paper No.
`2
`
`The Petition
`
`Description
`
`1001
`
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`U.S. Patent No. 7,761,127 (“the ’127 patent”)
`
`Excerpts from the file history of the ’127 patent
`
`Declaration of Brian Anthony, Ph.D.
`
`Yamada
`
`Chadwick
`
`Leibowitz
`
`Cheung
`
`-1-
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`Exhibit or
`Paper No.
`1008
`
`Noguchi
`
`1014
`
`Scarlett
`
`Description
`
`2005
`
`2017
`
`2022
`
`2023
`
`2024
`
`2025
`
`2026
`
`2029
`
`2030
`
`2053
`
`“Rad-57 Signal Extraction Pulse CO-Oximeter Operator’s
`Manual,” Masimo, 2018
`
`“Material Qualification Henkel 84-1LMISR4 Die Attach
`Adhesive,” Masimo
`
`September 22, 2019 Masimo “Awards” Webpage
`
`“Masimo Honored with FDNY ‘Flag of Heroes’,” EMS1, 2008
`
`Photograph of “Flag of Heroes”
`
`Photograph of Masimo CEO Joe Kiani with “Flag of Heroes”
`
`U.S. Patent No. 5,758,644
`
`Masimo Rainbow Sensor Finger Assembly Photograph, Top Side
`(current rainbow®)
`
`Masimo Rainbow Sensor Finger Assembly Photograph, Bottom
`Side (current rainbow®)
`
`Design of Pulse Oximeters, J.G. Webster; Institution of Physics
`Publishing, 1997
`
`2059
`
`“Fine Ceramics for Electronics,” Kyocera, 2021
`
`2060
`
`“Thermal Properties of Metals, Conductivity, Thermal
`Expansion, Specific Heat,” Engineers Edge, available at
`https://www.engineersedge.com/properties_of_metals.htm
`
`-2-
`
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`Exhibit or
`Paper No.
`
`Description
`
`2061
`
`2062
`
`2063
`
`2064
`
`2065
`
`2066
`
`“Thermal Properties of Non-Metals,” Engineers Edge, available
`at https://www.engineersedge.com/heat_transfer/thermal_
`properties_of_nonmetals_13967.htm
`
`“Metals – Specific Heats,” The Engineering ToolBox, available
`at https://www.engineeringtoolbox.com/specific-heat-metals-
`d_152.html
`
`“Heat Capacities for Some Select Substances,” University of
`Texas, available at https://gchem.cm.utexas.edu/data/
`section2.php?target=heat-capacities.php
`
`“FR-4,” Wikipedia, available at https://en.wikipedia.org/wiki/
`FR-4
`
`“Talk:FR-4,” Wikipedia, available at
`https://en.wikipedia.org/wiki/Talk:FR-4
`
`“Thermal Conductivity of Solders,” Electronics Cooling,
`available at https://www.electronics-
`cooling.com/2006/08/thermal-conductivity-of-solders/
`
`2067
`
`PCT Pub. No. WO 03/068060 (“Huiku”)
`
`2093
`
`2102
`
`2103
`
`2104
`
`2106
`
`Masimo Corp. et al. v. Apple Inc., Final Initial Determination on
`Violation of Section 337, ITC Inv. No. 337-TA-1276
`
`Declaration of Mohamed Diab (Confidential)
`
`December 15, 2005 Rainbow Sensor Simulations (Confidential)
`
` “Signal Extraction & Rainbow Technology,” Masimo, 2005
`(Confidential)
`
`October 22, 2004 Masimo Rainbow Sensor Drawing (early
`rainbow®) (Confidential)
`
`-3-
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`Exhibit or
`Paper No.
`
`Description
`
`2107
`
`2109
`
`2110
`
`2111
`
`2112
`
`2113
`
`2114
`
`2115
`
`2116
`
`2118
`
`2119
`
`2120
`
`2121
`
`2127
`
`Masimo Rainbow Sensor Drawing (early rainbow®)
`(Confidential)
`
`December 16, 2016 Kyocera Substrate Drawing (Confidential)
`
`November 8, 2018 Rainbow Flex Circuit Drawing (Confidential)
`
`February 9, 2006 Rainbow Flex Circuit Drawing (Confidential)
`
`2007 Masimo MX-3 Board System Design (Confidential)
`
`2007 Masimo MX-3 Board Product Design Requirements,
`Revision A (Confidential)
`
`2010 Masimo MX-3 Board Product Design Requirements,
`Revision B (Confidential)
`
`2015 Masimo MX-3 Board Product Design Requirements,
`Revision F (Confidential)
`
`Masimo Rainbow Sensor Substrate, Exploded View
`(Confidential)
`
`PVIC ACE34560 Electrically Conductive Oven Cure Die Attach
`Adhesive Technical Data Sheet, Protavic Korea Co., Ltd.
`(Confidential)
`
`April 22, 2021 Masimo Rainbow Sensor Photographs (current
`rainbow ®) (Confidential)
`
`March 30, 2009 Masimo Rainbow Sensor Solder Drawing
`(Confidential)
`
`Masimo Rainbow Sensor Photograph (early rainbow®)
`(Confidential)
`
`December 5, 2008 Masimo Rainbow Sensor Substrate Drawing
`(current rainbow®) (Confidential)
`
`-4-
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`Exhibit or
`Paper No.
`2128
`
`Description
`
`Characterization Station Results (Confidential)
`
`2131
`
`Masimo Rainbow Research File, 2003 (Confidential)
`
`2132
`
`2133
`
`Masimo Rainbow Sensor Thermal Mass Drawing (current
`rainbow®) (Confidential)
`
`January 30, 2006 Masimo Rainbow Products System Design
`(Confidential)
`
`2134
`
`Excerpt of Masimo source code (Confidential)
`
`2135
`
`2136
`
`2137
`
`2138
`
`2139
`
`2140
`
`2159
`
`2160
`
`2161
`
`Simulation output for early rainbow® sensor – transient
`temperature
`
`Simulation output for early rainbow® sensor – steady-state
`temperature-distribution map – cross-section
`
`Simulation output for early rainbow® sensor – steady-state
`temperature-distribution map – top surface
`
`Simulation output for early rainbow® sensor – transient
`temperature
`
`Simulation output for early rainbow® sensor – steady-state
`temperature-distribution map – cross-section
`
`Simulation output for early rainbow® sensor – steady-state
`temperature-distribution map – top surface
`
`Excerpts of Heat Transfer, 2nd ed., A.F. Mills; Prentice Hall,
`1999
`
`Excerpts of Fundamentals of Heat and Mass Transfer, 3rd ed.,
`F.P. Incropera & D.P. DeWitt; John Wiley & Sons, 1990
`
`Excerpts Design and Analysis of Heat Sinks, A.D. Kraus & A.B.
`Cohen; John Wiley & Sons, 1995
`
`-5-
`
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`Exhibit or
`Paper No.
`2162
`
`Description
`
`May 5, 2023 Transcript of Deposition of Brian Anthony, Ph.D.
`
`Any other document referenced in this declaration, Exhibit 2157,
`or Exhibit 2158
`
`I.
`
`QUALIFICATIONS AND PROFESSIONAL BACKGROUND
`4.
`I am currently Professor and Andersen Chair in the Department of
`
`Mechanical Science and Engineering at the University of Illinois Urbana-
`
`Champaign. I also hold academic appointments in the departments of Electrical and
`
`Computer Engineering and Materials Science and Engineering, as well as the
`
`Department of Biomedical and Translational Biosciences in the Carle Illinois
`
`College of Medicine. I have been a university professor since 2002, and I have been
`
`working
`
`in
`
`the fields of
`
`thermal engineering, product design, materials
`
`characterization, manufacturing processes, microelectronics,
`
`sensors, and
`
`electromechanical systems since 1996. My work in those fields includes experience
`
`with medical devices, LEDs, circuit boards,
`
`thermal characterization of
`
`semiconductor devices, design or electronics packaging, and products with
`
`embedded sensors and computing. I have published approximately 270 peer-
`
`reviewed journal articles on these topics over the last 25 years, and these articles
`
`have been cited more than 17,000 times according to Google Scholar.
`
`-6-
`
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`5.
`I have been recognized for my technical contributions to the
`
`engineering profession with election to the grade of Fellow in the American Society
`
`of Mechanical Engineers, the Institute of Electrical and Electronics Engineers, The
`
`Society of Manufacturing Engineers, the American Physical Society, and the
`
`American Association for the Advancement of Science. The election to fellow grade
`
`in a professional society is typically consistent with a professional status of being
`
`among the top 1% most accomplished people in the field(s) represented by the
`
`society. Thus, I have been recognized by major professional societies to be among
`
`the approximately top 1% most accomplished people in the fields of mechanical
`
`engineering, electrical engineering, manufacturing engineering, and physics.
`
`6.
`
`I have been teaching university level courses in heat transfer,
`
`thermodynamics, and product design for more than 20 years. In that time, I have
`
`directly instructed more than 1,000 undergraduate and graduate students, and I have
`
`spent more than 1,000 hours in the university classroom. I have also served as a
`
`mentor, coach, and evaluator for other professors on how to teach courses in the
`
`fields of heat transfer and product design.
`
`7.
`
`I currently hold 20 U.S. patents and I am an elected Fellow of the
`
`National Academy of Inventors. This Fellowship award recognizes the world’s most
`
`accomplished inventors for the quality and quantity of their patents and the economic
`
`-7-
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`impact of those inventions. I understand that fewer than 2,000 people in the world
`
`have been recognized with this Fellowship.
`
`8. My curriculum vitae lists additional information about my professional
`
`background and qualifications. Exhibit 2152 is a true and correct copy of my
`
`curriculum vitae.
`
`II. RELEVANT LEGAL STANDARDS
`9.
`I am a mechanical engineer by training and profession. The opinions I
`
`express in this declaration involve the application of my knowledge and experience
`
`to the evaluation of the ’127 patents and certain prior art to that patent. My
`
`knowledge of patent law is that of a lay person, albeit one who holds 20 patents and
`
`has consulted on patent infringement cases, and thus, has had some experience
`
`relevant to patent law. Therefore, counsel have provided me with guidance as to the
`
`applicable patent law in this matter. The paragraphs below express my
`
`understanding of the principles related to patentability that I must apply, and have
`
`applied, in conducting my analyses and reaching the opinions set forth in this
`
`declaration.
`
`10.
`
`I understand that, in assessing the patentability of a patent claim, the
`
`Patent Office generally construes claim terms by giving them their ordinary and
`
`customary meaning, as they would have been understood by a person of ordinary
`
`skill in the art (“POSITA”) at the time of the invention in view of the intrinsic record
`
`-8-
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`(patent specification and file history). However, I understand that the inventors may,
`
`in the patent specification, expressly define a claim term to have a meaning that
`
`differs from the term’s ordinary and customary meaning. I also understand that the
`
`inventors may disavow or disclaim certain claim scope, thereby departing from the
`
`ordinary and customary meaning, when the intrinsic record demonstrates that a clear
`
`and unambiguous disavowal or disclaimer has occurred. I understand that extrinsic
`
`evidence, such as relevant technical literature and dictionaries, may be useful in
`
`ascertaining how a POSITA would have understood a claim term, but the intrinsic
`
`record is the primary source for determining the meaning of claim terms. For the
`
`purposes of this review, and to the extent necessary, I have interpreted each claim
`
`term in accordance with the principles set forth in this paragraph.
`
`11.
`
`It is my understanding that a claim is unpatentable as “anticipated”
`
`under 35 U.S.C. § 102 if a single prior art reference discloses every limitation of the
`
`claim, arranged as in the claim. I understand that a prior art reference does not
`
`anticipate a claim, however, when it discloses multiple, distinct teachings that a
`
`person of ordinary skill in the art might somehow combine to achieve the claimed
`
`invention. I understand that anticipation has not been alleged in the Petition, and,
`
`thus, is not at issue in this proceeding.
`
`12.
`
`I understand that a claim is unpatentable under 35 U.S.C. § 103 if the
`
`claimed subject matter as a whole would have been obvious to a person of ordinary
`
`-9-
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`skill in the art at the time of the alleged invention. I also understand that an
`
`obviousness analysis takes into account the following factors, which are sometimes
`
`referred to as the Graham factors: (1) the scope and content of the prior art, (2) the
`
`differences between the claimed subject matter and the prior art, (3) the level of
`
`ordinary skill in the art at the time of the invention, and (4) “objective indicia of non-
`
`obviousness,” also referred to as secondary considerations of non-obviousness.
`
`Those objective indicia include considerations such as whether a product covered by
`
`the claims is commercially successful due to the merits of the claimed invention,
`
`whether there was a long felt need for the solution provided by the claimed invention,
`
`whether others failed to find the solution provided by the claimed invention, whether
`
`others copied the claimed invention, and whether there was acceptance by others of
`
`the claimed invention as shown by praise from others in the field.
`
`13.
`
`In determining the scope and content of the prior art, it is my
`
`understanding that a reference is considered appropriate prior art if it falls within the
`
`field of the inventor’s endeavor. In addition, a reference is appropriate prior art if it
`
`is reasonably pertinent to the particular problem with which the inventor was
`
`involved. A reference is reasonably pertinent if it logically would have come to an
`
`inventor’s attention in considering his or her problem. If a prior-art reference relates
`
`to the same problem as the claimed invention, it is appropriate to use the reference
`
`in an obviousness analysis.
`
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`14. To assess the differences between prior art and the claimed subject
`
`matter, it is my understanding that 35 U.S.C. § 103 requires the claimed invention
`
`to be considered as a whole. This “as a whole” assessment requires showing that
`
`one of ordinary skill in the art at the time of invention, confronted by the same
`
`problems as the inventor and with no knowledge of the claimed invention, would
`
`have selected the elements from the prior art and combined them in the claimed
`
`manner.
`
`15.
`
`It is my further understanding that the Supreme Court has recognized
`
`several rationales for combining references or modifying a reference to show
`
`obviousness of claimed subject matter. Some of these rationales include: combining
`
`prior art elements according to known methods to yield predictable results; simple
`
`substitution of one known element for another to obtain predictable results; a
`
`predictable use of prior art elements according to their established functions;
`
`applying a known technique to a known device (method or product) ready for
`
`improvement to yield predictable results; choosing from a finite number of
`
`identified, predictable solutions, with a reasonable expectation of success; and some
`
`teaching, suggestion, or motivation that would have led one of ordinary skill to
`
`modify the prior art reference or to combine prior art reference teachings to arrive at
`
`the claimed invention.
`
`-11-
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`16.
`I understand that an assessment of what a reference discloses or
`
`teaches—for purposes of an anticipation analysis or an obviousness analysis—must
`
`be conducted from the perspective of a POSITA at the time of the invention. In
`
`other words, a reference discloses or teaches a claim limitation if a POSITA would,
`
`at the relevant time, interpret the reference as expressly, implicitly, or inherently
`
`disclosing the claim limitation. I further understand that a reference does not need
`
`to use the exact language of the claim to disclose a claim limitation.
`
`III. LEVEL OF ORDINARY SKILL IN THE RELEVANT ART
`17. The relevant field of art is devices and sensors for the non-invasive
`
`measurement of physiological parameters, such as carboxyhemoglobin.
`
`18.
`
`I understand that the level of ordinary skill in the art for the ’127 patent
`
`is determined as of March 1, 2005, which is the earliest effective filing date of the
`
`patent. I also understand that Apple has not alleged that the ’127 patent is entitled
`
`to an effective filing date other than March 1, 2005.
`
`19.
`
`I understand that Apple has proposed the following definition of a
`
`person of ordinary skill in the art (a “POSITA”) with respect to the ’127 patent:
`
`For purposes of this IPR, Petitioner submits that a person of ordinary
`skill in the art at the time of the alleged invention (“POSITA”) would
`have had a Bachelor of Science degree in an academic discipline
`emphasizing the design of electrical and thermal 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 physiological monitoring technologies. Alternatively, the
`person could have had a Master of Science degree in a relevant
`
`-12-
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`academic discipline with less than a year of related work experience in
`the same discipline.
`
`Pet., 7-8.
`
`20.
`
`I agree with Apple’s definition in the sense that a POSITA’s education,
`
`training, and work experience would have included thermal management of
`
`electrical systems. However, Apple’s definition is too rigid because it would require
`
`a POSITA to have a Bachelor of Science degree in an academic discipline
`
`emphasizing both electrical and thermal technologies. I am not aware of such a
`
`Bachelor of Science degree program being available at the relevant time. In my
`
`opinion, a POSITA may have obtained knowledge of electrical or thermal
`
`technologies from training or work experience rather than from a Bachelor of
`
`Science degree program. Accordingly, in my view, the correct definition of a
`
`POSITA is as follows:
`
`A POSITA at the time of the invention would have had a Bachelor of
`Science degree in an academic discipline emphasizing the design of
`electrical systems or thermal technologies, in combination with training
`or at least one to two years of related work experience with thermal
`management of electrical systems and sensing technologies, including
`physiological monitoring technologies. Alternatively, the person could
`have had a Master of Science degree in a relevant academic discipline
`with less than a year of related work experience in the same discipline.
`
`I applied my definition of a POSITA in my analysis set forth in this declaration.
`
`However, I alternatively applied Apple’s definition of a POSITA and determined
`
`that my opinions are the same under either definition. Specifically, as explained
`
`-13-
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`fully below, in my opinion the challenged claims of the ’127 patent would not have
`
`been obvious to a POSITA under either my definition or Apple’s definition.
`
`21.
`
`I understand the capabilities of a POSITA as of March 2005. Indeed, I
`
`possessed those capabilities myself before, during, and after that time. As an
`
`engineer for over 25 years, with significant experience working with sensors and
`
`thermal management of sensors, I understand the level of knowledge and skill that a
`
`POSITA would have possessed in March 2005. Through my experiences, I am
`
`familiar with what a POSITA would have understood regarding non-invasive
`
`physiological measurement devices at the relevant time.
`
`IV. THE ’127 PATENT’S ADVANCE OVER TEMPERATURE-SENSOR-
`BASED WAVELENGTH SHIFT COMPENSATION
`A.
`Pulse Oximetry
`22. The ’127 patent relates generally to physiological sensors that emit light
`
`at multiple wavelengths into a patient’s tissue and detect the light after it has been
`
`attenuated by the tissue to determine physiological parameters of the patient. Pulse
`
`oximetry is one example of a technology that uses such physiological sensors. See
`
`EX1001, 2:14–45.
`
`23. Below is a general explanation of pulse oximetry. The explanation is
`
`supported by DESIGN OF PULSE OXIMETERS, Webster J.G (ed.) (1997) (“Webster”)
`
`(EX2053), a well-known and well-respected reference book in the field of pulse
`
`oximetry.
`
`-14-
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`24. Pulse oximetry systems measure the oxygen saturation levels of an
`
`individual’s arterial blood using non-invasive means. During respiration, oxygen in
`
`the lungs binds with hemoglobin molecules within blood. See generally EX2053,
`
`6-10. The circulatory system transports that oxygen saturated blood through the
`
`human body through arteries. Id. The surge of blood flow entering the arteries
`
`causes a pulse (referred to as the pulsatile flow of blood), whereas venous blood
`
`returning from the capillaries is largely nonpulsatile. Id. Pulse oximetry technology
`
`relies on differences in light absorption between oxygen-bound and oxygen-
`
`unbound hemoglobin. Id., 13-14.
`
`25. A typical pulse oximeter includes red and infrared (IR) light-emitting
`
`diode (LED) emitters and one or more photodiode detectors.1 Id., 34-36. Pulse
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`oximetry determines oxygen saturation by comparing the light absorbance of
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`oxygenated hemoglobin and deoxygenated hemoglobin at
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`two different
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`wavelengths. Id., 13-14. Bright red oxygenated blood absorbs light differently than
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`dark red deoxygenated blood. Id., 40-46. The ratio of light absorbed at red
`
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`1 The light sources in most claims of the ’127 patent are not limited to LEDs.
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`Light-based physiological sensors can use other sources of light, including lasers.
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`However, because light-based physiological sensors often use LEDs, and for
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`conciseness, I refer to the light sources as LEDs.
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`wavelengths compared to light absorbed at infrared wavelengths indicates the
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`percentage of hemoglobin carrying oxygen. Id. The percentage of oxygen-carrying
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`hemoglobin in the blood is known as oxygen saturation.
`
`26. As the blood flow pulsates, it changes, or modulates, the light
`
`absorption. Id., 14. The pulse oximeter tracks the changes in light absorbance as
`
`the blood pulsates. Id., 34.
`
`27. The ’127 patent describe two ways to track the changes in light
`
`absorbance as the blood pulsates: transmittance and reflectance. EX1001, 5:23-41.
`
`Because light both transmits through tissue and backscatters or reflects back after
`
`entering tissue, pulse oximeter sensors can operate either by transmittance or
`
`reflectance. That is, for pulse oximeter sensors operating by transmittance, the
`
`detector (sometimes referred to as a photodiode) and emitter are on opposite sides
`
`of the tissue at the measurement site. See also EX2053, 36. For pulse oximeter
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`sensors operating by reflectance, a detector is placed on the same side as the emitters.
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`Id. Both methods are illustrated below.
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`28. Light traveling through the measurement site is absorbed by various
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`substances such as skin pigmentation, bones, tissue, and the arterial and venous
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`blood. Id., 46-47. The resulting light incident upon the detector also varies due to
`
`the blood volume change of arterial blood. The detector(s) generate an output signal
`
`that is a function of the intensity of the incident light. The illustration below shows
`
`detected signals corresponding to two different light sources.
`
`
`
`29. LEDs have been commonly used in pulse oximeter sensors. LEDs,
`
`unlike lasers, do not emit monochromatic light having a single wavelength. Rather,
`
`LED light has a spectral shape encompassing a narrow band of wavelengths
`
`characterized by a peak wavelength. The peak wavelength may also be referred to
`
`as the operating wavelength, even though a typical LED emits light at multiple
`
`wavelengths in the vicinity of the peak wavelength. The following Figure 10A of
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`U.S. Patent No. 5,758,644 (“the ’644 patent”) (EX2026), assigned to Masimo,
`
`depicts a typical emission spectrum 440.
`
`
`
`EX2026, Fig. 10A. In Figure 10A, the x-axis is the wavelength of light (“λ”) and
`
`the y-axis is the intensity of light. A POSITA would have understood that the term
`
`“nominal wavelength” as used in the ’127 patent refers to peak wavelength of the
`
`emitter’s emission spectrum when measured under certain specific conditions, such
`
`as at a given drive current and at a given ambient temperature. See, e.g., EX1001,
`
`8:28-30; 8:35-39 (the emission spectrum of an LED is “centered around a nominal
`
`wavelength”).
`
`B. Wavelength Shift
`30. An accurate measurement by a light-based sensor such as a pulse
`
`oximeter relies on the system using a sufficiently accurate value for the wavelength
`
`of light emitted by each of the LEDs during the actual physiological measurement
`
`process. Each LED is designed and manufactured to emit light of a specific
`
`“nominal” or “centroid” wavelength when measured under certain conditions. For
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`example, a red LED may have a nominal wavelength of 660 nm and an infrared LED
`
`may have a nominal wavelength of 905 nm. See EX1001, 7:43–8:10, Table 1
`
`(showing LEDs with multiple nominal wavelengths).
`
`31. The wavelength of light emitted from an LED is determined by the
`
`energy bandgap of the semiconductor material used to make the LED. An LED
`
`includes a p-n junction, which is the junction between positive and negative
`
`semiconductor regions of the LED. See EX1006, 3:5-12.
`
`32. When a forward bias voltage is applied to a p-n junction, electrons from
`
`the n-type material and holes from the p-type material move towards a depletion
`
`region. As they move toward the depletion region, they recombine and release
`
`energy in the form of photons with a specific wavelength determined by the energy
`
`bandgap of the semiconductor material. See id.
`
`33. As the temperature of the LED increases, the energy levels of the
`
`electrons and holes in the semiconductor material change. Specifically, the energy
`
`bandgap of the semiconductor material decreases with increasing temperature,
`
`which causes the emitted photons to have a longer wavelength. This effect is known
`
`as the temperature dependence of the bandgap, and it causes the wavelength of light
`
`emitted from an LED to change with the junction temperature. See id.
`
`34. Thus, under operating conditions, the actual “operating” wavelength of
`
`an LED may vary from its nominal wavelength. For example, as explained above,
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`an LED’s operating wavelength varies with the LED’s junction temperature.
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`EX2053, 66; EX2067, 19:1-3. The junction temperature of an LED is the
`
`temperature at the “p-n junction” of the LED. An LED’s operating wavelengths also
`
`varies with the drive current supplied to the LED. EX1001, 2:62-65. Significant
`
`wavelength shift caused by temperature variation could produce inaccurate results
`
`in a light-based sensor that does not compensate for such wavelength shift.
`
`However, wavelength shift is not a significant source of error for all sensors.
`
`35. Physiological measurement error due to wavelength shift caused by
`
`LED junction temperature variation is the problem solved by the ’127 patent. Other
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`factors besides LED junction temperature variation can cause or contribute to
`
`wavelength shift. However, because the ’127 patent solves temperature-induced
`
`wavelength shift, when I refer to “wavelength shift” in this declaration, I am
`
`referring to temperature-induced wavelength shift unless stated otherwise.
`
`Wavelength shift is sometimes called “wavelength drift” or “spectral shift.” I
`
`generally use “wavelength shift” in this declaration except when referring to
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`references or expert testimony that use a different term.
`
`C.
`Prior Art Techniques for Handling Wavelength Shift
`36. Error caused by temperature-induced wavelength shift has been a
`
`known problem in the art for many years. See, e.g., EX2053, 66 (Webster describing
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`the problem in 1997). Solutions have been proposed and attempted. The proposed
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`solutions known in the prior art generally fall into four broad categories: (1) reducing
`
`wavelength shift by modifying the junction temperature through active heating or
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`cooling of the LEDs, (2) reducing wavelength shift by passively cooling the LEDs
`
`to reduce variations in junction temperature, (3) reducing wavelength shift by
`
`controlling electrical inputs to the LEDs, such as drive current, (4) compensating for
`
`wavelength shift by sensing the LED junction temperature and operating
`
`wavelengths through electronic signals available in the system such as the LED drive
`
`current, and (5) compensating for wavelength shift by using one or more temperature
`
`sensors to estimate LED junction temperatures and operating wavelengths.
`
`37. The primary and most obvious method for reducing LED wavelength
`
`shift was to simply heat or cool the LEDs to control their temperature and minimize
`
`the wavelength shift. There were many different strategies to cool LEDs, including
`
`but not limited to the introduction of a heat sink, a fan, liquid cooling, or a
`
`thermoelectric cooler. LEDs may be heated by the introduction of an electrical
`
`resistance heater. Some strategies for temperature control employed the use of both
`
`heating and cooling elements in the same system.
`
`38. A POSITA would have understood that reducing wavelength shift by
`
`heating or cooling the LEDs is fundamentally different than either wavelength-shift-
`
`compensation method. The purpose of reducing wavelength shift is to reduce
`
`variations in LED junction temperature to an acceptable range so that wavelength
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`shift will not cause significant errors in physiological measurements. By contrast,
`
`wavelength shift compensation accepts that LED junction temperatures will change,
`
`and wavelength shift will occur as a result. Wavelength shift compensation attempts
`
`to correct errors in physiological measurements by estimating the shifted LED
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`operating wavelengths and using the estimated wavelengths in calculating the
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`physiological measurements.
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`39. A POSITA would have understood that the presence of a temperature
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`sensor in a device does not mean that the device performs wavelength shift
`
`compensation. It was common to measure the temperature of electronic devices
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`without providing temperature compensation, for example
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