IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`Al-Ali et al.
`In re Patent of:
`7,761,127 Attorney Docket No.: 50095-0046IP2
`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. 50095-0046IP2
`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 ........................................................ 5 
`C.  Level of Ordinary Skill in the Art ............................................................. 6 
`III.  CLAIM CONSTRUCTION UNDER 37 C.F.R. §§ 42.104(b)(3) .................. 6 
`IV.  THE CHALLENGED CLAIMS ARE UNPATENTABLE ............................ 7 
`A.  [Ground 3A]: Dietiker in view of Oldham (Claims 7-10) ........................ 7 
`1.  Dietiker ............................................................................................ 7 
`2.  Oldham ............................................................................................ 9 
`3.  Obviousness Based on Dietiker-Oldham Combination ................ 11 
`B.  [Ground 3B]: Dietiker in view of Oldham and Leibowitz (Claims 11-12)
`
`39 
`1. 
`Leibowitz ....................................................................................... 39 
`2.  Obviousness Based on Dietiker-Oldham-Leibowitz Combination
` ....................................................................................................... 41 
`C.  [Ground 3C]: Dietiker in view of Oldham and Noguchi (Claims 1-3, 6,
`13-17, 20-23) ........................................................................................... 46 
`1.  Noguchi ......................................................................................... 46 
`2.  Obviousness Based on Dietiker-Oldham-Noguchi Combination . 46 
`D.  [Ground 3D]: Dietiker, Oldham, Noguchi, Leibowitz (Claims 4-5, 18-
`19, 24-25) ................................................................................................ 65 
`1.  Obviousness Based on Dietiker-Oldham-Noguchi-Leibowitz
`Combination .................................................................................. 65 
`E.  [Ground 3E]: Dietiker in view of Oldham, Noguchi, and Yamada
`(Claims 26, 27, 30) ................................................................................. 66 
`1.  Yamada .......................................................................................... 66 
`2.  Obviousness Based on Dietiker-Oldham-Noguchi-Yamada
`Combination .................................................................................. 67 
`F.  [Ground 3F]: Dietiker in view of Oldham, Noguchi, Yamada, and
`Leibowitz (Claims 28, 29) ...................................................................... 72 
`1.  Obviousness Based on Dietiker-Oldham-Noguchi-Yamada-
`Leibowitz Combination ................................................................. 72 
`
`i
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`

`

`V. 
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`PTAB DISCRETION SHOULD NOT PRECLUDE INSTITUTION .......... 73 
`A.  314(a) – Fintiv......................................................................................... 73 
`B.  325(d) ...................................................................................................... 74 
`VI.  MANDATORY NOTICES UNDER 37 C.F.R. §42.8 .................................. 75 
`A.  Real Parties-In-Interest Under 37 C.F.R. §42.8(b)(1) ............................ 75 
`B.  Related Matters Under 37 C.F.R. §42.8(b)(2) ........................................ 75 
`C.  Lead And Back-Up Counsel Under 37 C.F.R. §42.8(b)(3) .................... 76 
`A.  Service Information ................................................................................ 76 
`VII.  PAYMENT OF FEES – 37 C.F.R. §42.103 .................................................. 76 
`VIII.  CONCLUSION .............................................................................................. 77 
`
`
`
`
`
`
`
`ii
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`

`

`APPLE-1001
`
`APPLE-1002
`
`APPLE-1003
`
`APPLE-1004
`
`
`APPLE-1005
`
`APPLE-1006
`
`APPLE-1007
`
`APPLE-1008
`
`APPLE-1009
`
`APPLE-1010
`
`APPLE-1011
`
`APPLE-1012
`
`APPLE-1013
`
`APPLE-1014
`
`APPLE-1015
`
`
`
`
`EXHIBITS
`
`Attorney Docket No. 50095-0046IP2
`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”)
`
`U.S. Patent Publication No. 2003/0033102 (“Dietiker”)
`
`U.S. Patent Publication No. 2005/0279949 (“Oldham”)
`
`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)
`
`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)
`Peltier Effect Heat Pumps Datasheet (March 1999)
`
`
`iii
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`

`

`
`
`Attorney Docket No. 50095-0046IP2
`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. 50095-0046IP2
`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. 50095-0046IP2
`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. 50095-0046IP2
`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. 50095-0046IP2
`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. 50095-0046IP2
`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. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`Basis for Rejection (35 U.S.C. § 103)
`Dietiker, Oldham
`
`Dietiker, Oldham, Leibowitz
`
`1-3, 6, 13-17, 20-23
`
`Dietiker, Oldham, Noguchi
`
`4-5, 18-19, 24-25
`
`Dietiker, Oldham, Noguchi, Leibowitz
`
`26-27, 30
`
`Dietiker, Oldham, Noguchi, Yamada
`
`28-29
`
`Dietiker, Oldham, Noguchi, Yamada,
`Leibowitz
`
`
`
`Ground
`3A
`
`3B
`
`3C
`
`3D
`
`3E
`
`3F
`
`
`
`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
`
`in Grounds 3A-3F qualifies as prior art to the ’127 Patent on at least the bases
`
`shown below:
`
`Reference
`
`Filed
`
`Published
`
`Dietiker
`Oldham
`Leibowitz
`Noguchi
`Yamada
`
`08/09/2001
`11/04/2004
`12/22/1983
`05/27/1992
`--
`
`02/13/2003
`12/22/2005
`05/27/1986
`08/02/1994
`12/2/2004
`
`Pre-AIA 35 U.S.C. §102
`Prior Art Basis
`§102(a)-(b), (e)
`§102(a)-(b), (e)
`§102(a)-(b), (e)
`§102(a)-(b), (e)
`§102(a)
`
`2
`
`

`

`
`
`
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`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 patient, such as the
`
`patient blood oxygen saturation or pulse rate. APPLE-1001, Abstract, 2:49-65;
`
`APPLE-1003, ¶¶16-19.
`
`Figure 6 shows an example assembly 500 of a physiological sensor that
`
`includes “multiple light emitting diodes (LEDs) 710” arranged on a substrate 1200:
`
`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
`
`
`
`3
`
`

`

`
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`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:
`
`APPLE-1001, FIG. 12; see also id., 11:5-15 & FIG. 14.
`
`
`
`4
`
`

`

`
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`B.
`Summary of the Prosecution History
`The ’127 Patent issued following relatively brief examination. In the very
`
`first Office Action, the Examiner identified allowable subject matter in certain
`
`dependent claims 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 decades before the
`
`alleged invention of the ’127 Patent. See, e.g., APPLE-1005, APPLE-1006,
`
`APPLE-1014 (pp. 569-570), APPLE-1010, [0034].
`
`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
`
`5
`
`

`

`
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`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
`
`of related work experience with capture and processing of data or information,
`
`including physiological monitoring technologies. APPLE-1003, ¶¶20-22.
`
`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,
`
`6
`
`

`

`
`
`1361 (Fed. Cir. 2011). APPLE-1003, ¶23.
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`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 3A]: Dietiker in view of Oldham (Claims 7-10)
`1.
`Dietiker
`Dietiker describes “a blood constituent monitoring system and/or a non-
`
`invasive oximeter that may be utilized to monitor arterial oxygen saturation.”
`
`APPLE-1009, [0005], [0033]; APPLE-1003, ¶¶24-26. The monitoring system
`
`includes a probe 102, which in turn includes a “first light source 204” and a
`
`“second light source 206” configured to emit optical radiation at different
`
`wavelengths from each other. APPLE-1009, [0032].
`
`The probe 102 further includes a wavelength sensor 202 such as a “double
`
`diffusion photodiode” configured to output a signal indicative of the amount of
`
`incident light radiation detected from light sources 204, 206. Id., [0035]. “The
`
`oximeter utilizes the measured incident light radiation received by wavelength
`
`sensor 202 to determine the operating wavelength of the first light source 204,”
`
`from which it then “determine[s] [the] blood oxygen saturation of [a] material 308”
`
`7
`
`

`

`
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`such as a finger or other tissue measurement site of a person. Id., [0034]-[0035];
`
`see also id., [0006], [0032], [0047].
`
`
`
`APPLE-1009, FIG. 2 (cropped and annotated).
`
`Dietiker further explains that “non-invasive sensor systems utilizing a
`
`coherent light source require accurate prior knowledge of the wavelength of the
`
`coherent light source in order to determine the amount of coherent light that is
`
`absorbed or reflected through the target.” Id., [0007]. This is important because,
`
`among other things, “a relatively small variation in operating wavelength may
`
`result in inaccurate readings at the oximeter.” Id., [0036]. In this context, Dietiker
`
`acknowledges the well-known phenomenon that the emission wavelength of an
`
`LED can drift from its nominal/target wavelength due to variances in production
`
`8
`
`

`

`
`
`Attorney Docket No. 50095-0046IP2
`IPR of U.S. Patent No. 7,761,127
`
`
`factors as well as operating conditions—including the “temperature” of the LED.
`
`Id., [0007]-[0008], [0060].
`
`To improve measurement accuracy, Dietiker thus proposed a “self-
`
`calibration procedure” that could be performed before obtaining measurements of
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`light reflected from a tissue or other material. The self-calibration procedure
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`allows the operating wavelength of the first light source 204 to be determined so
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`that subsequent measurements can be made based on the actual operating
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`wavelength of light emitted from the light source 204 rather than its presumed
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`wavelength. Id., [0040], [0044] (describing self-calibration procedure), [0052]-
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`[0055] & FIGS. 8-9 (describing techniques for measuring the operating wavelength
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`with a double-diffusion photodiode (wavelength sensor 202)).
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`Dietiker’s self-calibration technique can be used to compensate for
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`production variances in emission wavelengths of LEDs, but Dietiker also explicitly
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`teaches that self-calibration can similarly be performed to compensate for
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`temperature-induced spectral shifts in emission wavelengths. Id., [0060].
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`2. Oldham
`Like Dietiker, Oldham confronted the problem of temperature-induced
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`spectral shifts in optical instruments where measurement accuracy depends on the
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`wavelengths of emitted light. APPLE-1010, [0002]-[0003]; APPLE-1003, ¶¶27-
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`31. To mitigate such spectral shifts, Oldham proposed a temperature regulation
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`system to control heating and cooling of LEDs such that their operating
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`temperatures are stabilized within an acceptable temperature range. APPLE-1010,
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`[0004], [0016]-[0023].
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`In some embodiments, Oldham’s system includes an array 110/210 of LEDs
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`111/211, a substrate 112/212, a temperature sensor 118/218, a temperature
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`regulator 122/222, cooling fins 104/204, and a heat-transfer device such as a fan
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`114 and heater 116 (FIG. 1) or thermoelectric device (e.g., Peltier device) 214
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`(FIG. 2). Oldham’s system further includes photodiodes for sensing light emitted
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`from the LED array 110/210 (e.g., after the light has passed through one or more
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`other materials). Id., [0031], [0036], [0004], [0042], [0018].
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`APPLE-1010, FIG. 1 (annotated); see also id., [0024].
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`APPLE-1010, FIG. 2 (annotated); see also id., [0025].
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`3. Obviousness Based on Dietiker-Oldham Combination
`(a) Overview of Combination
`As discussed above, Dietiker and Oldham each describe optical
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`measurement instruments that produce outputs based on the detection of light of
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`specific wavelengths. Supra, Sections IV.A.1-2. Dietiker’s system uses a self-
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`calibration procedure to compensate for changes in the wavelengths of light
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`emitted by LEDs in an optical probe, while Oldham’s system uses temperature
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`regulation to control the heating and cooling of light sources to maintain
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`temperature stability and mitigate against temperature-induced spectral shifts. Id.;
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`APPLE-1010, [0042] (“According to various embodiments, optical detection
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`instruments utilizing LEDs can obtain very stable intensity or spectral
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`characteristics by stabilizing an operating temperature of an LED.”).
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`A POSITA reviewing Dietiker and Oldham would have found it obvious to
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`combine their teachings, e.g., by implementing a temperature regulation system as
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`taught in Oldham in an oximetry instrument like Dietiker’s. APPLE-1003, ¶¶42-
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`43. As taught in Oldham, the temperature regulation system in the combination
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`would predictably include a temperature sensor 118/218, one or more heat-transfer
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`device(s) for active heating and cooling of system components (e.g., heater 116
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`and fan 114 according to the FIG. 1 embodiment or a thermoelectric device 214
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`according to the FIG. 2 embodiment), a temperature regulator 122 for controlling
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`operation of the heat-transfer device(s) based on a signal from temperature sensor
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`118/218, and a substrate 112/212 to provide mechanical, electrical, and thermal
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`support for the light sources (LEDs) and various other components of the system.
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`APPLE-1010, [0024]-[0025], FIGS. 1-2; APPLE-1003, ¶43. Dietiker does not
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`prescribe any maximum size limitation for the probe, although the heating/cooling
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`components of the temperature regulation system taught in Oldham would have
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`been readily accommodated in an oximetry probe in the combination. APPLE-
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`1003, ¶43. Thermoelectric devices (e.g., Peltier devices) were readily available in
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`small sizes, for example. Id, (citing corroborating exhibit APPLE-1015).
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`Multiple reasons would have led a POSITA to combine the teachings of
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`Dietiker and Oldham in this manner. Id.
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`First, a POSITA would have implemented a temperature regulation system
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`based on Oldham in the combination with Dietiker to improve the ability of the
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`oximetry system to obtain accurate measurements based on specific emission
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`wavelengths. APPLE-1003, ¶44. Like Oldham, Dietiker observed that LEDs “will
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`typically … vary with temperature” which can “cause a wavelength shift.”
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`APPLE-1009, [0007]-[0008]. Dietiker stressed that accurate physiological
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`measurements “require accurate prior knowledge of the wavelength of the coherent
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`light source,” and it is therefore beneficial for the LEDs to have “a known specific
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`wavelength.” APPLE-1009, [0006]-[0007].
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`In view of the express desire to obtain measurements based on known
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`specific wavelengths, a POSITA would have sought to further mitigate the impact
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`of temperature-induced spectral shifts, including through temperature regulation as
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`suggested by Oldham. APPLE-1003, ¶45. Oldham specifically teaches that
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`temperature regulation enables the optical instrument to “obtain very stable …
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`spectral characteristics by stabilizing an operating temperature of an LED.”
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`APPLE-1010, [0042].
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`To be sure, Oldham’s suggestion for temperature regulation would have
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`benefitted the oximetry instrument in the combination whether temperature
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`regulation is used in place of Dietiker’s temperature compensation and calibration
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`technique or alongside it. APPLE-1003, ¶46. As a substitute for temperature
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`compensation (or Dietiker’s self-calibration techniques more generally), a
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`temperature regulation system based on Oldham would not only help to stabilize
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`the temperature of the LEDs and restrict the amount of temperature-induced
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`spectral (wavelength) shifts in the light emitted by LEDs, but would additionally
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`reduce temperature-induced fluctuations in the intensity of emitted light. Id. This
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`would have been useful to improve measurement accuracy by reducing signal
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`noise that can result from fluctuation in light intensity and reducing “apparent
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`spectral instability” that can result from differential impact of temperature changes
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`for LEDs of different wavelengths. APPLE-1010, [0042] (“Illumination stability
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`can be important to minimize the signal noise in the system. … Similarly,
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`variations in intensity resulting from temperature changes can be different for
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`different wavelengths of LEDs, resulting in apparent spectral instability.”);
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`APPLE-1003, ¶46.
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`Substituting Dietiker’s temperature compensation and calibration
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`components with Oldham’s temperature regulation components also would have
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`simplified aspects of the resulting system, e.g., by eliminating the need for
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`calibration circuitry, and eliminating the need to perform calibration cycles before
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`inserting tissue in the probe (e.g., requiring a user to wait for calibration to
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`complete before donning the probe). See APPLE-1009 (describing how calibration
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`must be performed initially before inserting the measurement material/tissue (e.g.,
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`before a user can inser her finger into the device)). At a minimum, the clear
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`benefits of Oldham’s teachings for temperature regulation would more than justify
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`any design tradeoffs in the combination when used as a substitute for Dietiker’s
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`temperature compensation and calibration techniques. Medichem, S.A. v. Rolabo,
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`S.L., 437 F.3d 1157, 1165 (Fed. Cir. 2006) (“often has simultaneous advantages
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`and disadvantages, and this does not necessarily obviate mo