IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Al-Ali et al.
`In re Patent of:
`7,761,127 Attorney Docket No.: 50095-0046IP1
`U.S. Patent No.:
`July 20, 2010
`
`Issue Date:
`Appl. Serial No.: 11/366,209
`
`Filing Date:
`March 1, 2006
`
`Title:
`MULTIPLE WAVELENGTH SENSOR SUBSTRATE
`
`
`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. 7,761,127 PURSUANT TO 35 U.S.C. §§ 311–319, 37 C.F.R. § 42
`
`
`
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`TABLE OF CONTENTS
`
`
`
`I. 
`
`II. 
`
`REQUIREMENTS FOR IPR UNDER 37 C.F.R. § 42.104 ............................ 1 
`A.  Standing .................................................................................................... 1 
`B.  Challenge and Relief Requested ............................................................... 1 
`SUMMARY OF THE ’127 PATENT ............................................................. 3 
`A.  Brief Description ....................................................................................... 3 
`B.  Summary of the Prosecution History ........................................................ 6 
`C.  Level of Ordinary Skill in the Art ............................................................. 7 
`III.  CLAIM CONSTRUCTION UNDER 37 C.F.R. §§ 42.104(b)(3) .................. 8 
`IV.  THE CHALLENGED CLAIMS ARE UNPATENTABLE ............................ 8 
`A.  [Ground 1A]: Yamada in view of Chadwick (Claims 7-10) .................... 8 
`1.  Yamada ............................................................................................ 9 
`2. 
`Chadwick ....................................................................................... 12 
`3.  Obviousness Based on Yamada-Chadwick Combination ............. 13 
`B.  [Ground 1B]: Yamada in view of Chadwick and Leibowitz (Claims 11-
`12) 29 
`1. 
`Leibowitz ....................................................................................... 29 
`2.  Obviousness Based on Yamada-Chadwick-Leibowitz
`Combination .................................................................................. 30 
`C.  [Ground 1C]: Yamada in view of Chadwick and Cheung (Claims 13-17,
`20-23) ...................................................................................................... 35 
`1. 
`Cheung ........................................................................................... 35 
`2.  Obviousness Based on Yamada-Chadwick-Cheung Combination
` ....................................................................................................... 37 
`D.  [Ground 1D]: Yamada in view of Chadwick, Cheung, and Leibowitz
`(Claims 18-19, 24-25) ............................................................................. 49 
`1.  Obviousness Based on Yamada-Chadwick-Cheung-Leibowitz
`Combination .................................................................................. 49 
`E.  [Ground 1E]: Yamada in view of Chadwick and Noguchi (Claims 1-3,
`6-10, 26-27, 30)....................................................................................... 50 
`1.  Noguchi ......................................................................................... 50 
`2.  Obviousness Based on Yamada-Chadwick-Noguchi Combination
` ....................................................................................................... 53 
`F.  [Ground 1F]: Yamada in view of Chadwick, Noguchi, and Leibowitz
`(Claims 4-5, 11-12, 28-29) ..................................................................... 62 
`
`i
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`V. 
`
`1.  Obviousness Based on Yamada-Chadwick-Noguchi-Leibowitz
`Combination .................................................................................. 62 
`[GROUNDS 2A-2F]: Yamada Alone and Combinations with Leibowitz,
`Cheung, Noguchi ........................................................................................... 63 
`VI.  PTAB DISCRETION SHOULD NOT PRECLUDE INSTITUTION .......... 67 
`A.  314(a) – Fintiv......................................................................................... 67 
`B.  325(d) ...................................................................................................... 68 
`VII.  MANDATORY NOTICES UNDER 37 C.F.R. §42.8 .................................. 70 
`A.  Real Parties-In-Interest Under 37 C.F.R. §42.8(b)(1) ............................ 70 
`B.  Related Matters Under 37 C.F.R. §42.8(b)(2) ........................................ 70 
`C.  Lead And Back-Up Counsel Under 37 C.F.R. §42.8(b)(3) .................... 71 
`A.  Service Information ................................................................................ 71 
`VIII.  PAYMENT OF FEES – 37 C.F.R. §42.103 .................................................. 72 
`IX.  CONCLUSION .............................................................................................. 72 
`
`
`
`
`
`ii
`
`

`

`APPLE-1001
`
`APPLE-1002
`
`APPLE-1003
`
`APPLE-1004
`
`
`APPLE-1005
`
`APPLE-1006
`
`APPLE-1007
`
`APPLE-1008
`
`APPLE-1009
`
`APPLE-1010
`
`APPLE-1011
`
`APPLE-1012
`
`
`
`EXHIBITS
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`U.S. Patent No. 7,761,127 to Al-Ali (“the ’127 Patent”)
`
`Excerpts from the Prosecution History of the ’127 Patent
`
`Expert Declaration of Brian Anthony, Ph.D.
`
`Certified English Translation of Japanese Patent Publication
`No. JP 2004-337605 A (“Yamada”)
`
`U.S. Patent No. 3,514,538 (“Chadwick”)
`
`U.S. Patent No. 4,591,659 (“Leibowitz”)
`
`U.S. Patent No. 5,259,381 (“Cheung”)
`
`U.S. Patent No. 5,334,916 (“Noguchi”)
`
`[RESERVED]
`
`[RESERVED]
`
`Japanese Patent Publication No. JP 2004-337605 A
`
`Respondent Apple Inc.’s Post-Hearing Brief, In the Matter of
`Certain Light-Based Physiological Measurement Devices and
`Components Thereof, International Trade Commission
`Investigation No. 337-TA-1276 (June 27, 2022) (Public
`Version)
`
`APPLE-1013
`
`APPLE-1014
`
`
`
`Interim Procedure for Discretionary Denials in AIA Post-Grant
`Proceedings with Parallel District Court Litigation, issued June
`21, 2022 (“Interim Guidance”)
`J.A. Scarlett, THE MULTILAYER PRINTED CIRCUIT BOARD
`HANDBOOK (1985) (selected excerpts)
`
`
`iii
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`CLAIM LISTING
`
`Element
`[1.P]
`
`Claim Language
`A physiological sensor comprising:
`
`[1.1]
`
`[1.2]
`
`[1.3]
`
`[1.4]
`
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`a plurality of emitters configured to transmit optical radiation
`having a plurality of wavelengths in response to a corresponding
`plurality of drive currents, the plurality of emitters including a
`substrate;
`
`a thermal mass disposed proximate the emitters and within the
`substrate so as to stabilize a bulk temperature for the emitters; and
`
`a temperature sensor thermally coupled to the thermal mass,
`
`wherein the temperature sensor provides a temperature sensor
`output responsive to the bulk temperature so that the wavelengths
`are determinable as a function of the drive currents and the bulk
`temperature.
`
`The physiological sensor according to claim 1 wherein the
`substrate has a first side and a second side, wherein the emitters are
`mounted to the first side, and wherein the temperature sensor is
`mounted to the second side.
`
`The physiological sensor according to claim 2 wherein the
`temperature sensor is a thermistor and the emitters are LEDs.
`
` The physiological sensor according to claim 3: wherein the
`thermal mass is a plurality of layers of the substrate.
`
`The physiological sensor of claim 4 wherein each of the layers of
`the thermal mass is substantially copper clad.
`
`The physiological sensor according to claim 1: wherein the thermal
`mass is disposed within the substrate proximate the light emitting
`sources and the temperature sensor.
`
`[7.P]
`
`A physiological sensor capable of emitting light into tissue and
`producing an output signal usable to determine one or more
`
`iv
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Element
`
`Claim Language
`physiological parameters of a patient, the physiological sensor
`comprising:
`
`[7.1]
`
`[7.2]
`
`[7.3]
`
`[7.4]
`
`[8]
`
`[9]
`
`[10]
`
`[11]
`
`[12]
`
`a thermal mass;
`
`a plurality of light emitting sources, including a substrate of the
`plurality of light emitting sources, thermally coupled to the thermal
`mass, the sources having a corresponding plurality of operating
`wavelengths, the thermal mass disposed within the substrate;
`
`a temperature sensor thermally coupled to the thermal mass and
`capable of determining a bulk temperature for the thermal mass, the
`operating wavelengths dependent on the bulk temperature; and
`
`a detector capable of detecting light emitted by the light emitting
`sources after tissue attenuation, wherein the detector is capable of
`outputting a signal usable to determine one or more physiological
`parameters of a patient based upon the operating wavelengths.
`
`The physiological sensor according to claim 7: wherein the thermal
`mass is disposed within the substrate proximate the light emitting
`sources and the temperature sensor.
`
`The physiological sensor according to claim 7 wherein the
`temperature sensor comprises a thermistor.
`
`The physiological sensor according to claim 9 wherein the light
`emitting sources are disposed on a first side of the substrate and the
`temperature sensor is disposed on a second side of the substrate.
`
`The physiological sensor according to claim 7 wherein the thermal
`mass is a plurality of layers of the substrate.
`
`The physiological sensor of claim 11 wherein each of the layers of
`the thermal mass is substantially copper clad.
`
`[13.P]
`
`In a physiological sensor adapted to determine a physiological
`parameter using a plurality of light emitting sources with emission
`
`v
`
`

`

`Element
`
`[13.1]
`
`[13.2]
`
`[13.3]
`
`[13.4]
`
`[14]
`
`[15]
`
`[16]
`
`[17]
`
`[18]
`
`[19]
`
`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Claim Language
`wavelengths affected by one or more dynamic operating
`parameters, a sensor method comprising:
`
`providing a thermal mass disposed within the substrate proximate
`the light emitting sources and a temperature sensor thermally
`coupled to the thermal mass;
`
`transmitting optical radiation from the plurality of light emitting
`sources into body tissue;
`
`detecting the optical radiation after tissue attenuation; and
`
`determining a plurality of operating wavelengths of the light
`emitting sources dependent on a bulk temperature of the light
`emitting sources so that one or more physiological parameters of a
`patient can be determined based upon the operating wavelengths.
`
`The physiological sensor method according to claim 13 wherein the
`determining step comprises stabilizing the bulk temperature for the
`light emitting sources.
`
`The physiological sensor method according to claim 14 wherein the
`determining further comprises thermally coupling a thermistor to
`the light emitting sources so as to indicate the bulk temperature.
`
`The physiological sensor method according to claim 15 further
`comprising disposing the thermistor proximate the light emitting
`sources.
`
`The physiological sensor according to claim 13 wherein the
`thermal mass is disposed within the substrate proximate the light
`emitting sources and the temperature sensor.
`
`The physiological sensor method according to claim 13 wherein the
`thermal mass is a plurality of layers of the substrate.
`
`The physiological sensor method according to claim 18 wherein
`each of the layers of the thermal mass is substantially copper clad.
`
`vi
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Claim Language
`In a physiological sensor adapted to determine a physiological
`parameter using a plurality of light emitting sources with emission
`wavelengths affected by one or more dynamic operating
`parameters, a sensor method comprising:
`
`providing a thermal mass disposed within a substrate of the light
`emitting sources and a temperature sensor thermally coupled to the
`thermal mass;
`
`transmitting optical radiation from the plurality of light emitting
`sources into body tissue;
`
`detecting the optical radiation after tissue attenuation; and
`
`indicating an operating wavelength for each of the plurality of light
`emitting sources.
`
`The physiological sensor method according to claim 20 wherein the
`indicating step comprises measuring a bulk temperature for the
`light emitting sources.
`
`The physiological sensor method according to claim 21 wherein the
`indicating further comprises utilizing a thermistor thermally
`coupled to the light emitting sources so as to measure a bulk
`temperature.
`
`The physiological sensor according to claim 20 wherein the
`thermal mass is disposed within the substrate proximate the light
`emitting sources and the temperature sensor.
`
`The physiological sensor method according to claim 20 wherein the
`thermal mass is a plurality of layers of the substrate.
`
`The physiological sensor method according to claim 24 wherein
`each of the layers of the thermal mass is substantially copper clad.
`
`Element
`[20.P]
`
`[20.1]
`
`[20.2]
`
`[20.3]
`
`[20.4]
`
`[21]
`
`[22]
`
`[23]
`
`[24]
`
`[25]
`
`[26.P]
`
`A physiological sensor comprising:
`
`vii
`
`

`

`Element
`[26.1]
`
`[26.2]
`
`[26.3]
`
`[26.4]
`
`[26.5]
`
`[27]
`
`[28]
`
`[29]
`
`[30]
`
`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Claim Language
`a plurality of emitters configured to transmit optical radiation
`having a plurality of wavelengths in response to a corresponding
`plurality of drive currents;
`
`a thermal mass disposed proximate the emitters and within a
`substrate so as to stabilize a bulk temperature for the emitters; and
`
`a temperature sensor thermally coupled to the thermal mass,
`
`wherein the temperature sensor provides a temperature sensor
`output responsive to the bulk temperature so that the wavelengths
`are determinable as a function of the drive currents and the bulk
`temperature;
`
`a substrate having a top side and a bottom side, wherein the
`emitters are mounted to the top side, and wherein the temperature
`sensor is mounted to the bottom side.
`
`The physiological sensor according to claim 26 wherein the
`temperature sensor is a thermistor and the emitters are LEDs.
`
`The physiological sensor according to claim 26 wherein the
`thermal mass is a plurality of layers of the substrate.
`
`The physiological sensor of claim 28 wherein each of the layers of
`the thermal mass is substantially copper clad.
`
`The physiological sensor according to claim 26: wherein the light
`emitting sources and the temperature sensor are disposed on the
`substrate, and wherein the thermal mass is disposed within the
`substrate proximate the light emitting sources and the temperature
`sensor.
`
`viii
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Apple Inc. (“Petitioner” or “Apple”) petitions for Inter Partes Review
`
`(“IPR”) of claims 1-30 (“the Challenged Claims”) of U.S. Patent 7,761,127 (“the
`
`’127 Patent”). Apple submits that this Petition demonstrates a reasonable
`
`likelihood of prevailing with respect to at least one Challenged Claim, and
`
`respectfully requests institution of IPR and cancellation of all Challenged Claims
`
`as unpatentable.
`
`I.
`
`REQUIREMENTS FOR IPR UNDER 37 C.F.R. § 42.104
`A.
`Standing
`Apple certifies that the ’127 Patent is available for IPR. Petitioner is not
`
`barred or estopped from requesting this review challenging the Challenged Claims
`
`on the below-identified grounds.
`
`B. Challenge and Relief Requested
`Apple requests IPR of the Challenged Claims on the grounds set forth in the
`
`following table. Additional explanation and support for each ground is set forth in
`
`the expert declaration of Brian Anthony, Ph.D. (APPLE-1003), referenced
`
`throughout this Petition.
`
`
`
`1
`
`

`

`
`
`Claims
`7-10
`
`11-12
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Basis for Rejection (35 U.S.C. § 103)
`Yamada, Chadwick
`
`Yamada, Chadwick, Leibowitz
`
`13-17, 20-23
`
`Yamada, Chadwick, Cheung
`
`18-19, 24-25
`
`Yamada, Chadwick, Cheung, Leibowitz
`
`1-3, 6-10, 26-27, 30
`
`Yamada, Chadwick, Noguchi
`
`4-5, 11-12, 28-29
`
`Yamada, Chadwick, Noguchi, Leibowitz
`
`7-10
`
`11-12
`
`13-17, 20-23
`
`18-19, 24-25
`
`Yamada
`
`Yamada, Leibowitz
`
`Yamada, Cheung
`
`Yamada, Cheung, Leibowitz
`
`1-3, 6-10, 26-27, 30
`
`Yamada, Noguchi
`
`4-5, 11-12, 28-29
`
`Yamada, Noguchi, Leibowitz
`
`
`
`Ground
`1A
`
`1B
`
`1C
`
`1D
`
`1E
`
`1F
`
`2A
`
`2B
`
`2C
`
`2D
`
`2E
`
`2F
`
`
`
`The ’127 Patent claims priority to four provisional applications filed March
`
`1, 2005, which Petitioner treats as the earliest effective filing date (“Critical Date”)
`
`of the Challenged Claims for purposes of this IPR. Each prior art reference applied
`
`2
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`in Grounds 1A-2F qualifies as prior art to the ’127 Patent on at least the bases
`
`shown below:
`
`Reference
`
`Filed
`
`Published
`
`Yamada
`Chadwick
`Leibowitz
`Cheung
`Noguchi
`
`--
`11/01/1968
`12/22/1983
`07/10/1989
`05/27/1992
`
`12/2/2004
`05/26/1970
`05/27/1986
`11/09/1993
`08/02/1994
`
`Pre-AIA 35 U.S.C. §102
`Prior Art Basis
`§102(a)
`§102(a)-(b), (e)
`§102(a)-(b), (e)
`§102(a)-(b), (e)
`§102(a)-(b), (e)
`
`
`
`II.
`
`SUMMARY OF THE ’127 PATENT
`A. Brief Description
`The ’127 Patent describes, among other things, a “physiological sensor” that
`
`uses optical radiation to measure physiological parameters of a subject, such as the
`
`subject’s blood oxygen saturation or pulse rate. APPLE-1001, Abstract, 2:49-65;
`
`APPLE-1003, ¶¶16-19. The sensor includes light emitters “configured to transmit
`
`optical radiation” such as visible or infrared light, and further includes a
`
`“temperature sensor [] thermally coupled” to the emitters such that the wavelengths
`
`of the emitted light “are determinable as a function of the drive currents” and a
`
`“bulk temperature” of the emitters. APPLE-1001, Abstract.
`
`Figure 6 shows an example assembly 500 of a physiological sensor that
`
`includes “multiple light emitting diodes (LEDs) 710” arranged on a substrate 1200:
`
`3
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`
`
`APPLE-1001, FIG. 6; 6:47-63 (annotated).
`
`According to the specification, the substrate 1200 includes a “thermal mass”
`
`that is “disposed proximate the emitters 710 so as to stabilize a bulk temperature
`
`1202 for the emitters.” Id., 10:22-31, FIG. 12. “A temperature sensor 1230 is
`
`thermally coupled to the thermal mass 1220, wherein the temperature sensor 1230
`
`provides a temperature sensor output 1232 responsive to the bulk temperature 1202
`
`… .” Id. To this point, Figure 12 depicts an embodiment in which (i) light
`
`emitters 710 are positioned on one side of substrate 1200 / thermal mass 1220 and
`
`(ii) temperature sensor 1230 is positioned on the other side:
`
`4
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`
`
`APPLE-1001, FIG. 12.
`
`Figures 14 depicts another embodiment of a substrate 1200 having a thermal
`
`mass 1220. Id., 11:5-15, FIG. 14. Here, substrate 1200 includes “a component
`
`layer 1401, inner layers 1402-1405 and a solder layer 1406.” Id., 11:8-10. “The
`
`inner layers 1402-1405, e.g. inner layer 1402 (FIG. 18), have substantial metallized
`
`areas 1411 that provide a thermal mass 1220 (FIG. 12) to stabilize a bulk
`
`temperature for the emitter array 700 (FIG. 12).” Id. 11:10-13.
`
`5
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`
`
`APPLE-1001, FIG. 14 (annotated).
`
`B.
`Summary of the Prosecution History
`The ’127 Patent issued following a brief examination in which, in the very
`
`first Office Action, the Examiner identified purportedly allowable subject matter.
`
`APPLE-1002, 68-75. More specifically, the Examiner identified certain dependent
`
`claims as allowable based on the erroneous assumption that the prior art failed to
`
`disclose “a physiological sensor wherein either a thermal mass is a plurality of
`
`layers of a substrate or wherein a thermal mass is disposed within a substrate
`
`proximate light emitting sources and a temperature sensor.” APPLE-1002, 73;
`
`generally id., 68-75 (Office Action), 53-63 (Applicant’s Response).
`
`In reality, however, printed circuit boards (PCBs) and other substrates for
`
`electronic devices having thermal cores for heat dissipation had been known for
`
`6
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`decades before the ’127 Patent’s alleged invention. See, e.g., APPLE-1005,
`
`APPLE-1006, APPLE-1014 (pp. 569-570). The purportedly inventive features
`
`identified in the allowable dependent claims represented no more than the obvious
`
`result of applying well-known thermal cores to a conventional temperature-
`
`compensating optical sensor (e.g., a pulse oximeter). Id.
`
`Notwithstanding the Examiner’s incomplete consideration of the prior art,
`
`the Applicant seized the opportunity for allowance, and responded to the first
`
`Office Action by amending the pending independent claims to include purportedly
`
`“the subject matter indicated as allowable.” APPLE-1002, 59. Independent claims
`
`1 and 5 were each amended to clarify that the “thermal mass” is disposed “within
`
`the substrate”; claim 9 was amended to recite “providing a thermal mass disposed
`
`within a substrate proximate the light emitting sources”; and claim 13 was
`
`similarly amended to recite “providing a thermal mass disposed within a substrate
`
`of the light emitting sources.” Id., 50-57.
`
`The Examiner subsequently issued a Notice of Allowance. Id., 32-38.
`
`C. Level of Ordinary Skill in the Art
`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
`
`7
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`of related work experience with capture and processing of data or information,
`
`including physiological monitoring technologies. APPLE-1003, ¶20.
`
`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. Id.
`
`III. CLAIM CONSTRUCTION UNDER 37 C.F.R. §§ 42.104(b)(3)
`Petitioner submits that all claim terms should be construed according to the
`
`standard set forth in Phillips v. AWH Corp., 415 F.3d 1303 (Fed. Cir. 2005). See
`
`37 C.F.R. § 42.100. Here, based on the evidence below and the prior art’s
`
`description of the claimed elements being similar to that of the ’127 Patent
`
`specification, Petitioner submits that no formal claim constructions are presently
`
`necessary 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,
`
`1361 (Fed. Cir. 2011). APPLE-1003, ¶23.
`
`Furthermore, Apple is not conceding that the Challenged Claims satisfy all
`
`statutory requirements including those under 35 U.S.C. § 112. 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 other forums.
`
`IV. THE CHALLENGED CLAIMS ARE UNPATENTABLE
`A.
`[Ground 1A]: Yamada in view of Chadwick (Claims 7-10)
`
`8
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`1.
`Yamada
`Yamada describes an optical sensor that “detects light (reflected light) that
`
`has been directed toward the surface of the human body, scattered inside the
`
`human body, and returned toward the exposed surface.” APPLE-1004, [0001]-
`
`[0002]; APPLE-1003, ¶¶24-27. One example of such a sensor is a pulse oximeter
`
`used to measure the oxygen saturation of blood. Id. Other uses can include
`
`measurement of blood glucose or measurement of sugar content in food produce.
`
`APPLE-1004, [0106].
`
`Yamada perceived a problem in prior optical sensors “in that the LED used
`
`to emit light [] generates heat, and the patient is exposed to this heat because the
`
`optical sensor is attached to the surface of a fingernail.” Id., [0005]. “As a result,
`
`the exposure time and power consumption (that is, the amount of light generated)
`
`have to be limited in order to suppress the amount of heat that is generated.” Id.
`
`Yamada therefore proposed a design for an optical sensor adapted to reduce the
`
`amount of heat to which the subject wearing the device is exposed. Id., [0001]-
`
`[0005].
`
`To this end, Yamada’s optical sensor includes “a light emitting unit 11
`
`(including LEDs 111, 112), a light receiving unit 12, a main body 13, an optical
`
`passage 14,” and a “reflecting unit 131.” APPLE-1004, [0042]-[0043], [0068],
`
`FIG. 5. The LEDs 111, 112 are disposed on a first surface of substrate 15, while
`
`9
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`the light receiving unit 12 is disposed on an opposite surface of the same substrate
`
`15. Id. With this configuration, light emitted from the LEDs 111, 112 is reflected
`
`by the reflecting unit 131 and guided through optical passage 14 to the
`
`measurement site (e.g., the surface of a finger) via end portion 141. Id., [0059]-
`
`[0062]. A portion of the light emitted to the measurement site is scattered and
`
`reflected back toward the light receiving unit 12 for detection. Id.
`
`APPLE-1004, FIG. 5 (annotated).
`
`Yamada further describes how the board/substrate 15 “may have heat
`
`transferring properties that guide heat generated by the light emitting unit toward
`
`
`
`10
`
`

`

`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`the outside.” APPLE-1004, [0020]. In some embodiments, a “heat conductor 132”
`
`
`
`is “connected to the board 15 near the light emitting unit 11” to allow heat to be
`
`transmitted away from the light emitting unit. Id., [0102]-[0103]. In yet additional
`
`embodiments, “the board 15 is composed of a first substrate 151, a second
`
`substrate 152, and an intermediate layer 153.” Id., [0080]-[0084], FIG. 19. The
`
`intermediate layer 153 can be “made of a conductive material” such as “copper,
`
`aluminum, gold, [or] conductive resins.” Id., [0083].
`
`
`
`APPLE-1004, FIG. 19.
`
`Further, Yamada further describes a “temperature sensor” that can attach to
`
`the probe to measure a temperature. The temperature sensor can be positioned, for
`
`example, on the lower surface of the board 15 facing the user, or attached to the
`
`upper surface of the board 15 facing away from the user. APPLE-1004, [0109]-
`
`[0110]. “When the temperature of the optical probe 1 is monitored using a
`
`temperature sensor, a warning can be issued when the temperature becomes too
`
`11
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`high or emission of light from the light emitting unit 11 can be stopped.” Id.,
`
`[0111].
`
`2.
`Chadwick
`Chadwick, a decades-old patent filed in November 1968, demonstrates long-
`
`known techniques for constructing printed circuit boards (PCBs) with a metallic
`
`core for thermal management. See APPLE-1005; APPLE-1003, ¶¶28-30.
`
`According to Chadwick, “[a]lthough circuit boards possessed of a core comprising
`
`a sheet of naturally electrically nonconducting material have been widely used and
`
`have been highly effective, they lack the desirable property of being capable of
`
`quickly and effectively dissipating heat which is generated by components in the
`
`circuit when the apparatus in which they are used is operated.” APPLE-1005,
`
`1:35-44. The need for more effective heat dissipation had become particularly
`
`acute, Chadwick explains, “as circuits and components have become smaller, … in
`
`that connection of the components and circuits into increasingly smaller spaces
`
`diminishes the amount of space available around them for the circulation of
`
`cooling air whereby to keep the temperature of the electrical apparatus when
`
`operating at a desirable minimum.” Id., 1:44-52.
`
`To achieve improved thermal performance, Chadwick proposed “[a] metal
`
`core printed circuit board which includes multiple layers of synthetic plastic resin
`
`material on a sheet of metal.” Id., 1:14-16. An example of such a PCB is shown in
`
`12
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`Figure 11, which includes a metal sheet 10 on which layers of material have been
`
`applied to form a substrate for the mounting of electronic components:
`
`
`
`APPLE-1005, FIG. 11 (annotated).
`
`In use, Chadwick’s metal core 10 provides a substantial heat sink capable of
`
`absorbing heat from surface-mounted components on the PCB. To enable heat
`
`transfer between surface components and the metal core 10, the intermediate layers
`
`include electrically non-conductive but thermally conductive material. APPLE-
`
`1005, 4:11-38; generally id., 2:2-29, 4:39-8:17 (describing detailed process for the
`
`formation of layers on metal core 10); APPLE-1003, ¶30.
`
`3. Obviousness Based on Yamada-Chadwick
`Combination
`(a) Overview of Combination
`As discussed above, Yamada recognized a problem with prior optical
`
`13
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`sensors “in that the LED used to emit light also generates heat, and the patient is
`
`exposed to this heat because the optical sensor is attached to the surface of a
`
`fingernail.” APPLE-1004, [0005]; supra, Section IV.A.1. Yamada thus proposed
`
`a design for an optical sensor that would reduce the amount of heat directed toward
`
`the patient and the amount of heat maintained around the light emitting unit 11
`
`including LEDs 111, 112. APPLE-1004, [0001]-[0005]. To this end, Yamada
`
`indicates that board/substrate 15 (which supports LEDs 111, 112 and light
`
`receiving unit 12) could be provided with “heat transferring properties that guide
`
`heat generated by the light emitting unit toward the outside.” Id., [0020].
`
`Yamada also explained that the board/substrate 15 could be constructed with
`
`an “intermediate layer 153” made of “conductive material” such as copper,
`
`aluminum, gold, or conductive resins. Id., [0080]-[0084], FIG. 9. According to
`
`Yamada, the intermediate conductive layer 153 serves to “reduce the amount of
`
`electrical noise received from a living body,” “makes it possible to improve the SN
`
`[signal-to-noise] ratio of the output from the light receiving unit 12,” and “has light
`
`shielding properties” that blocks light from LEDs 111, 112 from reaching light
`
`receiving unit 112 through the board/substrate 15. Id., [0084]-[0085].
`
`Despite identifying these various functions of the intermediate conductive
`
`layer 153, Yamada does not expressly describe its thermal function. Nonetheless,
`
`Chadwick illustrates how boards/substrates with intermediate layer(s) of thermal
`
`14
`
`

`

`
`
`Attorney Docket No. 50095-0046IP1
`IPR of U.S. Patent No. 7,761,127
`
`
`cores were well known before the Critical Date of the ’127 Patent. Supra, Section
`
`IV.A.2. It would have been obvious to implement a thermal core as suggested by
`
`Chadwick in Yamada’s board/substrate 15 to achieve predictable benefits.
`
`APPLE-1003, ¶41. Such a thermal core could be provided in board/substrate 15 in
`
`any suitable manner, with thermally conductive material arranged between the
`
`surface components (e.g., light emitting unit 11 and light receiving unit 12) and the
`
`core to allow heat transfer from the surface components to the core. Id.; APPLE-
`
`1005, 2:2-29, FIG. 11; APPLE-1003, ¶41; generally id., ¶¶39-49.
`
`Multiple reasons would have prompted a POSITA to combine the teachings
`
`of Yamada and Chadwick as described above to provide a board/substrate 15 with
`
`a thermal core capable of absorbing heat from the surface components and
`
`stabilizing a temperature of the LEDs 111, 112. APPLE-1003, ¶42.
`
`First, a POSITA would have implemented a thermal core in board/substrate
`
`15 to improve thermal performance of the optical sensor in the combination.
`
`APPLE-1003, ¶43. The thermal core would sink heat generated by LEDs 111,
`
`112, thereby furthering Yamada’s objective of reducing the amount of heat
`
`transmitted to the patient and increasing the “exposure time” by which the patient
`
`