`_______________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
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`LULULEMON ATHLETICA CANADA INC. and LULULEMON USA INC.
`Petitioner,
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`v.
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`NIKE, INC.,
`Patent Owner.
`_______________
`Patent: 8,620,413
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`____________________________________________________________
`DECLARATION OF DR. KEVIN LYNCH, PH.D.
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`TABLE OF CONTENTS
`Qualifications ................................................................................................... 2
`I.
`II. Materials Considered ....................................................................................... 6
`III. Understanding of Relevant Legal Principles ................................................... 6
`Claim Construction Standard ................................................................ 6
`Anticipation and Obviousness ............................................................... 7
`IV. Background ...................................................................................................... 9
`Technical Background ........................................................................... 9
`Overview of the ’413 Patent ................................................................ 10
`1.
`Hardware ................................................................................... 10
`2.
`Calculating Heart Rate Zones ................................................... 13
`3.
`Prompting Exercise in Heart Rate Zones .................................. 16
`’413 Patent Prosecution History .......................................................... 17
`Level of Skill in the Art ................................................................................. 17
`V.
`VI. Claim Construction ........................................................................................ 18
`VII. The Prior Art .................................................................................................. 18
`Lubell ................................................................................................... 18
`1.
`Hardware ................................................................................... 19
`2.
`Calculating Fitness Parameters ................................................. 20
`3.
`Prompting Exercise in Heart Rate Zones .................................. 23
`4.
`Obvious Modifications to Calculating Fitness Parameters ....... 24
`5.
`Obvious Modifications to Prompting Exercise in Heart
`Rate Zones ................................................................................. 27
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`Ceci ...................................................................................................... 28
`Amano ................................................................................................. 30
`1.
`Hardware ................................................................................... 30
`2.
`Calculating Heart Rate Zones ................................................... 32
`3.
`Prompting exercise in heart rate zones ..................................... 33
` Matsumoto ........................................................................................... 34
`Gorman ................................................................................................ 36
`Flach .................................................................................................... 38
`VIII. Obvious Combinations .................................................................................. 40
`Lubell and Ceci ................................................................................... 40
`Lubell and Gorman .............................................................................. 42
`Lubell and Flach .................................................................................. 44
` Amano and Gorman ............................................................................ 45
`Amano and Flach ................................................................................. 46
` Matsumoto and Gorman ...................................................................... 46
` Matsumoto and Flach .......................................................................... 47
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`1. My name is Kevin Lynch. I have been retained regarding an inter
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`partes review proceeding involving U.S. Patent No. 8,620,413 (Ex. 1001, “the ’413
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`patent”). I have been asked to analyze how a person of ordinary skill in the art
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`(“POSITA”) would have understood certain references before April 17, 2003, and
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`whether a POSITA would have modified or combined them. I identify the references
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`that I considered and describe my opinions regarding them in this declaration. I
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`understand that Petitioner will submit this declaration as an exhibit to a petition for
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`inter partes review of U.S. Patent No. 8,620,413.
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`2.
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`I have personal knowledge of the facts and opinions set forth in this
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`declaration and believe them to be true. If called upon to do so, I would testify
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`competently thereto. I have been warned that willful false statements and the like
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`are punishable by fine or imprisonment, or both.
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`3.
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`I am being compensated for my time at my standard consulting rate. I
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`am also being reimbursed for expenses that I incur during my work. My
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`compensation does not depend on the results of my study and analysis, the substance
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`of my opinions, or the outcome of any proceeding involving the Challenged Claims.
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`I have no financial interest in the outcome of this matter or in any litigation involving
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`the ’413 patent.
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` 1
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`I.
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`Qualifications
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`4.
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`I am a professor at Northwestern University’s McCormick School of
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`Engineering and the director of Northwestern University’s Center for Robotics and
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`Biosystems. I earned my Bachelor of Science in Engineering in Electrical
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`Engineering with honors from Princeton in 1989 and my Ph.D. in Robotics from
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`Carnegie Mellon University in 1996. I joined Northwestern University’s faculty a
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`year later, in 1997.
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`5. My research interests include (1) motion planning and control for
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`dynamic robotic systems, robotic manipulation, and underactuated systems, (2)
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`assembly and automation, (3) control of networked multi-robot systems (“swarm
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`robotics”), (4) and physical human-robot interaction. My research in these areas has
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`been funded by the National Science Foundation, the National Institutes of Health,
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`the Office of Naval Research, the Army Research Lab, and other funding agencies.
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`6.
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`In our work on physical human-robot interaction, one or more robots
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`physically interact with one or more humans in tasks such as assistive manipulation
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`of large loads in warehouse-type settings, rehabilitation after injury, or assistance
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`after injury. We use a variety of sensors such as force-torque sensors, vision
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`tracking, accelerometers, inertial measurement units (IMUs), encoders, and
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`electromyography (EMG) sensors to detect human activity. In one example of
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`physical human-robot interaction, the activity of one human is measured (and
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`possibly influenced) by a wearable robot and sent via a network to a remote robot
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`worn by another human, establishing human-robot-robot-human interaction.
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`Humans thus connected can remotely train each other, compete in games against
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`each other, or participate in cooperative games together.
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`7.
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`I have authored over 100 peer-reviewed journal articles, conference
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`papers, and textbook chapters on a wide range of topics. I have also coauthored
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`three textbooks relating to robotics, mechatronics, and computing:
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`a. Kevin M. Lynch and Frank C. Park., Modern Robotics:
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`Mechanics, Planning, and Control, Cambridge University Press,
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`2017;
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`b. Kevin M. Lynch, Nicholas Marchuk, and Matthew L. Elwin.
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`Embedded Computing and Mechatronics with the PIC32
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`Microcontroller, Elsevier/Newnes, 2015;
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`c. Howie Choset, Kevin M. Lynch, Seth Hutchinson, George
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`Kantor, Wolfram Burgard, Lydia Kavraki, and Sebastian Thrun.
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`Principles of Robot Motion, MIT Press, 2005;
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`8.
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`At Northwestern, I have taught courses in robotics and mechatronics,
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`using material from the three textbooks above as well as other source material. In
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`mechatronics courses, I have taught the architecture and programming of
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`microcontrollers for the integration of sensors and electromechanical systems.
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`Among other topics, in these courses I have taught signal processing; programming
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`the interaction of peripherals with a CPU over a bus; interfacing many different kinds
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`of sensors, motors, and displays with microprocessors and microcontrollers; wired
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`and wireless communication between microcontrollers; and communication
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`between microcontrollers and networked computers running modern operating
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`systems. In my research and teaching, I have used wired communication methods
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`such as Ethernet, USB, universal asynchronous receiver/transmitter (UART), inter-
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`integrated circuit (I2C), serial peripheral interface (SPI), controller area network
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`(CAN), parallel ports, and others, and wireless communication methods such as Wi-
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`Fi, Bluetooth, and Zigbee.
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`9.
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`I have published YouTube videos on Northwestern Robotics’ YouTube
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`channel, https://www.youtube.com/c/NorthwesternRobotics. In those videos, I
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`lecture about embedded computing and mechatronics; robot mechanics, planning,
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`and control; and other topics. My online Coursera courses on robotics have been
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`taken by tens of thousands of students around the world.
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`10.
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`I am Editor-in-Chief of the IEEE Transactions on Robotics, one of the
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`leading journals in robotics. I handle over 1000 research paper submissions per year
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`and manage an international group of six senior editors, approximately 70 associate
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`editors, and thousands of reviewers. I was previously Editor-in-Chief of the
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`Conference Editorial Board for the IEEE International Conference on Robotics and
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`Automation (ICRA), the largest and most influential annual research conference in
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`robotics.
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`11.
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`I have received significant recognition for my teaching, research, and
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`leadership throughout my career. Below is a partial list of the awards and
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`recognition that I have received over the years:
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`a. In 2022, I won the IEEE Robotics and Automation Society’s
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`George Saridis Leadership Award in Robotics and Automation;
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`b. In 2017, I won the International Conference on Intelligent Robots
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`and Systems’ Harashima Award for Innovative Technologies;
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`c. In 2010, I was named an IEEE fellow;
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`d. In 2007, I won the Charles Deering McCormick Professor of
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`Teaching Excellence Award, the highest teaching award given
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`by Northwestern University;
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`e. In 2007, I won the Society of Automotive Engineers Ralph R.
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`Teetor Educational Award;
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`f. In 2001, I won the Early Career Award in Robotics and
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`Automation from the Institute of Electrical and Electronics
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`Engineers;
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`g. In 1998, I won the McCormick School of Engineering and
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`Applied Science Teacher of the Year Award;
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`h. In 1998, I won a National Science Foundation Career Award.
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`12. Additional information about my qualifications and experience is
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`available in my curriculum vitae, attached as Exhibit A to this Declaration.
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`II. Materials Considered
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`13.
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`In performing my analysis and forming the opinions below, I
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`considered the ’413 patent (Ex. 1001), its prosecution history, and materials listed
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`as exhibits to the petition in this IPR.
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`III. Understanding of Relevant Legal Principles
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`14.
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`I am not a lawyer, and I will not provide any legal opinions. Rather, I
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`have been asked to provide my technical opinions based on how a person of ordinary
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`skill in the art would have understood various references before the ’413 patent’s
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`April 17, 2003, priority date. Although I am not a lawyer, I have been advised to
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`apply certain legal standards in forming my opinions.
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` Claim Construction Standard
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`15.
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`I understand that claim terms are given their ordinary and customary
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`meaning, as would be understood by a person of ordinary skill in the relevant art in
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`the context of the patent’s entire disclosure and prosecution history. A claim term,
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`however, will not receive its ordinary meaning if the patentee acted as their own
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`lexicographer and clearly set forth a definition of the claim term in the specification.
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`In that case, the claim term will receive the definition set forth in the patent.
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` Anticipation and Obviousness
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`16.
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`I understand that a patent claim is invalid if it is anticipated or obvious
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`in view of the prior art. I further understand that invalidity of a claim requires that
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`the claim be anticipated or obvious from the perspective of a person of ordinary skill
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`in the art at the time the invention was made.
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`17.
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`I have been informed that a patent claim is invalid if it would have been
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`obvious to a person of ordinary skill in the art. In analyzing the obviousness of a
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`claim, I understand the following factors may be taken into account: (1) the scope
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`and content of the prior art; (2) the differences between the prior art and the claims;
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`(3) the level of ordinary skill in the art; and (4) any so called “secondary
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`considerations” of non-obviousness if they are present. I am not aware of any
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`evidence of secondary considerations of non-obviousness relevant to the patent. I
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`reserve the right to supplement this Declaration if Patent Owner introduces evidence
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`of secondary considerations of non-obviousness.
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`18.
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`I have been informed that a claim can be obvious in light of a single
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`prior art reference or multiple prior art references. I further understand that
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`exemplary rationales that may support a conclusion of obviousness include:
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` combining prior art elements according to known methods to yield
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`predictable results;
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` simple substitution of one known element for another to obtain
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`predictable results;
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` use of known technique(s) to improve similar devices (methods or
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`products) in the same way;
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` applying a known technique to a known device (method or
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`product) ready for improvement to yield predictable results;
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` “obvious to try” – choosing from a finite number of identified,
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`predictable solutions with a reasonable expectation of success;
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` known work in one field of endeavor may prompt variations of the
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`work for use in either the same field or a different field based on
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`design incentives or other market forces if the variations are
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`predictable to a person of ordinary skill in the art; and
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` some teaching, suggestion, or motivation in the prior art that would
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`have led a person of ordinary skill in the art to modify the prior art
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`reference or to prior art reference teachings to arrive at the claimed
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`invention.
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`19.
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`I have been informed that, in considering obviousness, I may not use
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`hindsight reasoning derived from the patent-at-issue.
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`IV. Background
` Technical Background
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`20. The technical background pertains to portable exercise monitoring
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`devices and physiological sensors. The devices consist of physiological sensors such
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`as heartbeat detectors that collect physical information about a user during an
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`exercise. The devices further include display means for showing a user data about
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`their workout, such as heart rate, energy expenditure, time, and distance travelled.
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`The devices also include some sort of input capabilities such as buttons so that the
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`user may interact with the device. The devices may also include calculation means,
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`such as computers or microprocessors that are programmed to determine fitness
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`parameters such as heart rate zones for workouts. The devices also include memory,
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`such as RAM or ROM, and communication means between microprocessors and
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`sensors or other devices.
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`21. The technical background also pertains to methods for finding optimal
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`exertion levels at which users may exercise. These may be calculated in terms of
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`heart rate zones or other fitness parameters such as maximal oxygen uptake. The
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`devices may be configured to guide a user to find the appropriate heart rate zones or
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`exertion levels at which to exercise. And they may have real-time displays by which
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`users can monitor their progress in a particular workout program.
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` Overview of the ’413 Patent
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`22. The ’413 patent is a United States patent numbered 8,620,413. (Ex.
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`1001.) It is titled “ADAPTIVE WATCH” and is dated December 31, 2013. (Id.)
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`In general terms, the ’413 patent relates to “an athletic watch or other type of
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`electronic portable console. . . [that] may automatically calculate various data values
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`to be used by an athlete, such as heart rate zones.” (Id., at 3:53-57.)
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`1. Hardware
`23. The primary device described in the ’413 patent is a watch 201
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`implemented with a computer system 101. (Id., at 5:53-54.) “[T]he watch 201
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`includes a display 203, which displays data values calculated by, or provided to, the
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`watch 201.” (Id., at 5:55-57.) The watch 201 can be controlled by buttons. (Id., at
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`5:60-65.) The watch 201 is a particular example of a portable electronic console
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`301. (Id., at 6:33-37.) The watch 201 is shown below:
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`(Id., Fig. 2.)
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`24. The computer system 101 of the watch 201 includes a processor and
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`memory and further includes communication capabilities such as a transmitter and
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`receiver to interact with sensors. (Id., at 5:5-26.) It also typically includes output
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`devices, such as the display above or speakers. (Id., at 5:33-36.) The computer
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`system 101 is shown below:
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`(Id., Fig. 1.)
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`25. The watch 201 or portable electronic console 301 receives data from
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`remote electronic sensors 303 and 305. (Id., at 6:34-37.) In one exemplary
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`embodiment, these sensors are a heart rate sensor 303 and a speed/distance monitor
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`305. (Id., at 6:37-41.) “The data messages from the sensors 303 and 305 may
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`contain two different types of data. These are measured data and identification data.”
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`(Id., at 7:3-5.) Measured data would be heart rate, for example, and identification
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`data “uniquely identifies that sensor.” (Id., at 7:6-12.) The sensors 303 and 305 are
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`shown with the electronic console 301 below:
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`(Id., Fig. 3A.)
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`26. The system establishes unique identification data by designating
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`particular bits in the transfer as identifications portions of the message. (Id., at 7:15-
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`36.) There is a training state where the device learns the data of associated sensors.
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`“[I]n the training state, the watch 301 looks for data messages received by the sensor
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`device interface 115 that contain identification information corresponding to a valid
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`electronic device.” (Id., at 7:48-51.) The device will store the identification
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`information to recognize future communications as from that sensor. (Id., at 7:65-
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`8:5.)
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`27.
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`In another technique to facilitate recognition of the device sending a
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`message and to prevent collisions (overlap) of messages from different devices on
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`the same communication channel, different sensors can transmit their messages at
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`different time intervals. (Id., at 8:23-38.)
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`28.
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`In another technique to prevent collisions of messages between the
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`watch 301 and multiple sensors 311 and 313, the watch designates time channels to
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`each device through a synchronization procedure involving transmissions and
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`acknowledgments. (Id., at 8:39-9:3.)
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`2.
`Calculating Heart Rate Zones
`29. The ’413 patent discloses that the device of the watch 201 and the
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`computer system 101 can calculate heart rate zones. “For example, with some
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`embodiments of the invention, the watch 201 may automatically calculate heart rate
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`zones for a user.” (Id., at 14:51-53.) By doing so, users work out within a particular
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`heart rate zone in order to achieve varied exercise goals. “Thus, an athlete can obtain
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`different performance gains by maintaining his or her heart rate within a target range
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`or ‘zone.’” (Id., at 14:59-61.) The way the watch 201 calculates these zones is
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`shown in Figure 8 and described further below:
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`(Id., Fig. 8.)
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`30. With reference to Figure 8, a user can select the “ZONE FIND” option
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`to begin finding a heart rate zone. (Id., at 15:31.) After pressing the start button, the
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`display shows “5 MIN EASY.” (Id., at 15:46.) It then counts down from five
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`minutes while displaying “EASY” to prompt the user to work out at an easy level
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`for the five-minute period. (Id., at 15:49-52.) The ’413 patent describes an easy
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`workout as one that “should not feel challenging but should instead feel as if the user
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`is performing a warm-up routine.” (Id., at 15:56-58.)
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`31. During this exercise, the heart rate monitor 303 tracks the user’s heart
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`rate. (Id., at 15:63-65.) The device calculates a heart rate zone that is representative
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`of an easy exercise for the user. “For example, with the illustrated embodiment, the
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`watch 201 obtains an average heart rate for the user from the time period beginning
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`one minute after the user started the easy exercise period to 1.5 minutes into the easy
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`exercise period.” (Id., at 16:1-4.) This value is set as the lower limit of the first
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`heart rate zone, called Z1. (Id., at 16:4-7.)
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`32. Right after the first five minutes, the display shows “5 MIN MEDIUM”
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`and starts counting down again from five minutes. (Id., at 16:8-14.) This prompts
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`the user to exercise at a medium level of exertion. (Id., at 16:17.) “[A] medium
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`level of exertion is one that is more challenging than a warm-up, but not
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`uncomfortable. . . Also, the user’s breathing should be heavy, with the user having
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`no difficulty obtaining air.” (Id., at 16:19-23.)
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`33. During this five-minute period, the device continues monitoring heart
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`rate. (Id., at 16:24-26.) The heart rate near the beginning of this period is used as
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`the upper limit of Z1 and the lower limit of Z2. (Id., at 16:27-35.)
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`34.
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`Immediately following the medium exercise period, the hard period
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`begins. The watch 201 displays “3 MIN HARD.” (Id., at 16:39.) The watch begins
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`counting down from three minutes while displaying “HARd” on the screen. (Id., at
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`16:42-45.) This prompts a user to exercise at a level that is a significant challenge.
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`(Id., at 16:45-49.) “[T]his level of exercise should be achievable, but not
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`comfortable, and should feel like the user is exercising at a competitive pace. The
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`user’s breathing should be heavy, and the user should not be getting sufficient air to
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`continue this level of exercise for a long period of time.” (Id., at 16:49-53.)
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`35. During this period of strain, the watch 201 calculates the upper limit of
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`Z2 (which is the lower limit of Z3) and the upper limit of Z3. (Id., at 16:56-62.) The
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`heart rate that represents the very beginning of this workout corresponds to the
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`border rate between Z2 and Z3. (Id., at 16:67-17:2.) The heart rate near the end of
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`the exercise represents the upper limit of Z3. (Id., at 17:2-7.)
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`36. The watch 201 then displays the zones that it has calculated for the user.
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`For example, after displaying “ZONES” the device shows the Z1 lower and upper
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`values, then the Z2 lower and upper values, then the Z3 lower and upper values, then
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`the Z4 lower value. (Id., at 17:32-52.)
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`3.
`Prompting Exercise in Heart Rate Zones
`37. After determining the heart rate zones, the ’413 patent claims “generate
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`a prompt instructing a user to exercise while maintaining heart rate within a
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`particular one of the plurality of heart rate zones.” (Id., at 18:17-19.) It then
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`measures heart rate and determines whether or not the second heart rate
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`measurements are within the particular zone. (Id., at 18:20-23.)
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`38. The specification discloses motivation
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`for
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`this,
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`that energy
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`consumption is related to heart rate. (Id., at 14:54-55.) “At heart rates that are only
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`slightly elevated from normal, an athlete will produce energy through aerobic
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`chemical reactions. At higher heart rates, however, an athlete will produce energy
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`through anaerobic chemical reactions.” (Id., at 14:55-59.) Therefore, depending on
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`heart rate zone, an athlete achieves different performance gains. (Id., at 14:59-61.)
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`An athlete might best burn fat at a range of 40% to 60% of their maximum heart rate.
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`(Id., at 14:61-63.) Or, “an athlete may improve his or her maximum possible rate of
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`oxygen consumption by maintaining his or her heart rate within the zone that is 60%
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`to 80% of the athlete’s maximum heart rate.” (Id., at 14:64-67.)
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`39. The ’413 patent discloses that “various heart rate monitors will allow a
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`user to designate one or more various heart rate zones, and alert an athlete when his
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`or her measured heart rate goes above or falls below a selected heart rate zone.” (Id.,
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`at 15:2-5.) The description of such devices provides the primary framework in the
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`specification of how the device prompts exercise after calculating heart rate zones.
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`’413 Patent Prosecution History
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`40.
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`I reviewed the prosecution history of the ’413 patent. (Exs. 1010-
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`1015.) I did not see anything in the prosecution history of the ’413 patent that
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`affected my opinions in this declaration.
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`V. Level of Skill in the Art
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`41.
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`In my opinion, a POSITA for the technology of the ’413 patent would
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`have had (1) at least a bachelor’s degree in engineering, computer science, industrial
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`design, biomechanics, or a related field, and (2) at least two years of experience
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`researching, developing, designing, and/or testing fitness or physiological sensors,
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`wearable devices, physiological or biomechanical devices, remotely-controlled
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`systems or
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`interfaces, wired and wireless communication, network-based
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`applications and/or equipment, or the equivalent experience or education.
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`42. The foregoing level of education and experience would have provided
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`a POSITA with adequate background to understand the ’413 patent’s technology.
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`VI. Claim Construction
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`43.
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`I have been instructed to perform my analysis with the understanding
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`that the terms of the Challenged Claims should be afforded their plain and ordinary
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`meaning. However, should Patent Owner and/or Patent Owner’s expert choose to
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`construe additional claim terms or challenge the ones herein, I reserve the right to
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`provide my opinion regarding Patent Owner’s construction(s) as well as the meaning
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`a POSITA would have ascribed to those claim terms.
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`VII. The Prior Art
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`44.
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`I was asked to review each of Lubell, Ceci, Amano, Matsumoto,
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`Gorman, and Flach and provide a written description of my findings regarding each
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`reference. I summarize my understanding of each reference below.
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` Lubell
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`45. Lubell is a United States patent numbered 4,566,561. (Ex. 1004.) It is
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`titled “HEALTH FITNESS MONITOR” and has a publication date of January 28,
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`1986. (Id.) In broad terms, Lubell describes “[a] heart rate monitor device suitable
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`for use in monitoring aerobic exercise training.” (Id.)
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`1. Hardware
`46. Lubell describes a portable heart rate monitor that is worn by a user.
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`(Id., at 2:63.) It includes input means and display means to give and receive
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`information from a user. (Id., at 3:2-7.) “An indicator, such as an audible alarm
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`device or a visual display, provides the subject with an indication of the level of
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`exercise.” (Id., at 3:15-17.) A user wearing the device and its display are shown in
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`Figure 1 and Figure 4, respectively, below:
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`(Id., Figs. 1, 4.)
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`47. The monitor includes a computer to process information from the
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`sensor, calculate parameters, and communicate with the user. “At the core of the
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`heart rate monitor is a microprocessor which stores the entered data and the heart
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`rate data calculated from the detected heart beats and calculates the fitness parameter
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`or parameters based on the entered data and the heart rate data.” (Id., at 3:8-12.)
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`Memory is also included in the microprocessor. (Id., at 6:61-63.) “[H]eart beat
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`indications are provided as electrical pulses from the heart beat sensor 12 to a heart
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`signal selector 50.” (Id., at 6:53-55.) These are then delivered to the microprocessor
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`55. (Id., at 6:65-67.) The layout of the computer system with a CPU and memory
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`at its center is depicted in Figure 6 below:
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`(Id., Fig. 6.)
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`2.
`Calculating Fitness Parameters
`48. The device of Lubell “automatically calculates an appropriate fitness
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`parameter (e.g., maximal oxygen uptake level or VO2max) by automatically pacing
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`the subject through a straightforward training protocol.” (Id., at 2:48-51.) Lubell
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`discloses that “fitness parameters include at least the maximal oxygen uptake.” (Id.,
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`at 3:18-19.) The fitness parameter is calculated by receiving physiological
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`information about the user, prompting a user to exercise at increasingly faster
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`cadences for successive periods, tracking heart rate throughout, and using known
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`formulas to estimate maximal oxygen uptake. (Id., at 3:23-57.)
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`49. First, a user inputs physiological information. This includes the weight,
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`height, and sex of the user. (Id., at 3:23-25.) This information is later used in
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`calculating the fitness index. (Id., at 4:11-30.)
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`50. To begin the exercise test, a user presses the “RUN/PAUSE” key. (Id.,
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`at 8:37.) The device then prompts a user through a submaximal exercise test. “The
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`indicator then provides indications, such as pacing tones, to establish an exercise
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`cadence (such as a running stride frequency) for the subject at a predetermined
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`pacing rate so that the subject can follow a graded submaximal exercise tolerance
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`test.” (Id., at 3:30-34.) The test begins at an easy level and becomes progressively
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`harder. “In this exercise tolerance test, the exercise cadence is provided at a first,
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`slow rate for a first period (e.g., three minutes), and at progressively faster cadences
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`for corresponding successive periods (e.g., of
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`three minutes), while
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`the
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`microprocessor continuously measures the heart rate of the subject.” (Id., at 3:36-
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`42.)
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`51. The specific preferred test has predetermined speeds at which users
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`exercise. They start at four miles per hour, then proceed to six miles per hour, eight,
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