UNITED STATES PATENT AND TRADEMARK OFFICE
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`___________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`___________________
`
`LUTRON ELECTRONICS CO., INC.
`Petitioner
`
`v.
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`GEIGTECH EAST BAY, LLC
`Patent Owner
`
`___________________
`
`EXPERT DECLARATION OF WILLIAM MESSNER, PH.D. IN SUPPORT
`OF PETITION FOR INTER PARTES REVIEW OF U.S. PATENT NO.
`10,294,717
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`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Lutron Electronics Co. EX1003
`U.S. Patent No. 10,294,717
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`TABLE OF CONTENTS
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`Case IPR2020-00957 -00958
`U.S. Patent No. 10,294,717
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`INTRODUCTION ........................................................................................... 1
`I.
`QUALIFICATIONS ........................................................................................ 3
`II.
`III. My Understanding of Legal Principles ............................................................ 5
`Relevant time period for analysis and claim construction law ............. 5
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`Anticipation law .................................................................................... 6
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`Obviousness law .................................................................................... 6
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`Indefiniteness law ................................................................................10
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`Priority law and written description support law ................................11
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`Pre- or Post-AIA eligibility of a patent or patent application .............12
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`IV. LEVEL OF ORDINARY SKILL IN THE ART ...........................................12
`V.
`STATE OF THE ART ...................................................................................14
`Brackets for mounting roller window shades were well-known. .......14
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`Routing wiring through brackets was well-known. ............................15
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`VI. OVERVIEW OF THE ’717 PATENT ..........................................................16
`Summary of the ’717 Patent ................................................................16
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`Duplication of Claim Elements ...........................................................20
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`Summary of the ’717 Patent’s Prosecution History ............................22
`PGR Eligibility of the ’717 Patent ......................................................24
`Claim Construction..............................................................................30
`1.
`“recess” .....................................................................................30
`2.
`“wherein the bracket is configured to obscure the electrical
`wiring” (claims 1, 4, 6-8, 13-14) and “wherein the mounting
`bracket obscures a view of the electrical wiring” (claim 15) ...32
`“wherein the bracket defines a third surface opposite the
`second surface, and wherein the first recess of the opening
`extends between the first surface and the second surface” .......38
`VII. OVERVIEW OF THE DECLARATION .....................................................40
`Citation of Prior Art ............................................................................40
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`Case IPR2020-00957 -00958
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`U.S. Patent No. 10,294,717
`The claims of Colson are supported by U.S. Provisional
`Application No. 61/542,760. ...............................................................40
`Statutory Grounds for the Challenges Across Both Petitions .............51
`
`VIII. PETITION 3 – IPR2020-00957 - GROUNDS ..............................................51
`IX. GROUND 1 (FIG. 1) AND GROUND 2 (FIG. 2): COLSON
`ANTICIPATES CLAIMS 1–4, 8–10, 13, AND 15. .....................................51
` Overview of Colson.............................................................................51
`Colson anticipates claim 1. ..................................................................56
`
`1.
`Preamble: “A bracket configured to be coupled to a support
`surface and configured to support a roller window shade
`assembly, the bracket comprising:” [1.p] .................................56
`“a side configured to bear against the support surface such
`that the bracket extends away from the support surface and
`is adjacent an end of the roller window shade assembly”
`[1.1] ...........................................................................................57
`“a passage extending through the bracket from the side to an
`area of the bracket adjacent the roller window shade
`assembly” [1.2] .........................................................................60
`“wherein the passage is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
`assembly to power a motor of the roller window shade
`assembly” [1.3] .........................................................................63
`“wherein the bracket is configured to obscure the electrical
`wiring when the bracket is coupled to the support surface
`and supports the roller window shade assembly; and” [1.4] ....65
`“wherein the passage includes a first recess and a second
`recess, wherein the first recess extends away from the
`support surface and the second recess extends away from the
`roller window shade assembly when the bracket is coupled
`to the support surface and supports the roller window shade
`assembly” [1.5a]........................................................................69
`“wherein the first recess intersects the second recess, and
`wherein the second recess is larger than the first recess.”
`[1.5b] .........................................................................................72
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`2.
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`5.
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`6.
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`U.S. Patent No. 10,294,717
`Colson anticipates claim 2. ..................................................................75
`Colson anticipates claim 3. ..................................................................77
`Colson Anticipates claim 4. ................................................................79
`1.
`Preamble: “A bracket configured to be coupled to a support
`surface and configured to support a roller window shade
`assembly, the bracket comprising:” [4.p] .................................81
`“a side configured to bear against the support surface such
`that the bracket extends away from the support surface and
`is adjacent an end of the roller window shade assembly”
`[4.1] ...........................................................................................83
`“a passage extending through the bracket from the side to an
`area of the bracket adjacent the roller window shade
`assembly” [4.2] .........................................................................86
`“wherein the passage is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
`assembly to power a motor of the roller window shade
`assembly” [4.3] .........................................................................88
`“wherein the bracket is configured to obscure the electrical
`wiring when the bracket is coupled to the support surface
`and supports the roller window shade assembly” [4.4] ............90
`“wherein the side of the bracket is at least substantially flat
`to facilitate the side to bear against a substantially flat
`support surface; and” [4.5] ........................................................94
`“wherein the roller window shade assembly extends
`substantially parallel to the support surface when the bracket
`is coupled to the support surface and supports the roller
`window shade assembly” [4.6] .................................................96
`Colson anticipates claim 8. ..................................................................97
`1.
`Preamble: “A bracket configured to be coupled to a support
`surface and configured to support a roller window shade
`assembly, the bracket comprising:” [8.p] .................................99
`“a first surface configured to bear against the support
`surface” [8.1] ...........................................................................103
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`U.S. Patent No. 10,294,717
`“a second surface extending substantially perpendicular to
`the first surface, wherein the second surface is configured to
`extend adjacent an end of the roller window shade
`assembly” [8.2] .......................................................................106
`“an opening extending through the bracket, the opening
`having a first end adjacent the first surface and a second end
`adjacent the second surface, [8.3a] wherein the second end is
`configured to be positioned adjacent the roller window
`shade assembly when the roller window shade assembly is
`supported by the bracket [8.3b]” .............................................110
`a)
`Element [8.3a] ...............................................................110
`b)
`Element [8.3b] ..............................................................113
`“wherein the opening is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
`assembly to power a motor of the roller window shade
`assembly, [8.4a] and wherein the bracket is configured to
`obscure the electrical wiring when the bracket is coupled to
`the support surface and supports the roller window shade
`assembly; [8.4b] and” .............................................................117
`a)
`Element [8.4a] ...............................................................117
`b)
`Element [8.4b] ..............................................................120
`“wherein the opening includes a first recess and a second
`recess, wherein the first recess extends from the first surface,
`wherein the second recess extends from the second surface,
`wherein the first recess intersects the second recess, and”
`[8.5a] .......................................................................................124
`“wherein the second recess has a greater cross-sectional area
`than the first recess” [8.5b] .....................................................127
`Colson anticipates claim 9. ................................................................130
`Colson anticipates claim 10. ..............................................................132
`Colson anticipates claim 13. ..............................................................135
`1.
`Preamble: “A bracket configured to be coupled to a support
`surface and configured to support a roller window shade
`assembly, the bracket comprising:” [13.p] .............................137
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`“a first surface configured to bear against the support
`surface” [13.1] .........................................................................139
`“a second surface extending substantially perpendicular to
`the first surface, wherein the second surface is configured to
`extend adjacent an end of the roller window shade
`assembly” [13.2] .....................................................................141
`“an opening extending through the bracket, the opening
`having a first end adjacent the first surface and a second end
`adjacent the second surface, [13.3a] wherein the second end
`is configured to be positioned adjacent the roller window
`shade assembly when the roller window shade assembly is
`supported by the bracket [13.3b]” ...........................................144
`a)
`Element [13.3a].............................................................144
`b)
`Element [13.3b] ............................................................146
`“wherein the opening is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
`assembly to power a motor of the roller window shade
`assembly, [13.4a] and wherein the bracket is configured to
`obscure the electrical wiring when the bracket is coupled to
`the support surface and supports the roller window shade
`assembly; and [13.4b]” ...........................................................149
`a)
`Element [13.4a].............................................................149
`b)
`Element [13.4b] ............................................................152
`“wherein the roller window shade assembly extends
`substantially parallel to the support surface when the bracket
`is coupled to the support surface and supports the roller
`window shade assembly” [13.5] .............................................156
`Colson anticipates claim 15. ..............................................................157
`1.
`Preamble: “A fastening device system for mounting a roller
`window shade assembly, comprising:” [15.p] ........................157
`“two mounting brackets, each having one side configured to
`bear against a support surface and [15.1a] one side having a
`projection configured to hold an end of the roller window
`shade assembly [15.1b]” .........................................................159
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`a)
`Element [15.1a].............................................................159
`Element [15.1b] ............................................................162
`b)
`“wherein each of the mounting brackets are configured to be
`secured to the support surface” [15.2] ....................................164
`“wherein the projection of at least one of the mounting
`brackets is configured to engage a clutch or a motor of the
`roller window shade assembly to prevent rotation of at least
`a portion of the clutch or the motor of the roller window
`shade assembly; and” [15.3] ...................................................165
`“wherein at least one of the mounting brackets defines an
`opening for electrical wiring, wherein the opening extends
`from the side of the mounting bracket configured to bear
`against the support surface to an area of the mounting
`bracket adjacent the roller window shade assembly, and
`[15.4a] wherein the mounting bracket obscures a view of the
`electrical wiring. [15.4b]” .......................................................167
`a)
`Element [15.4a].............................................................167
`b)
`Element [15.4b] ............................................................170
`X. GROUND 3: COLSON RENDERS CLAIMS 5 AND 14 OBVIOUS. ......173
`Colson renders claim 5 obvious. .......................................................173
`
`Colson renders claim 14 obvious. .....................................................176
`
`1.
`Preamble: “A bracket configured to be coupled to a support
`surface and configured to support a roller window shade
`assembly, the bracket comprising:” [14.p] .............................178
`“a first surface configured to bear against the support
`surface” [14.1] .........................................................................180
`“a second surface extending substantially perpendicular to
`the first surface, wherein the second surface is configured to
`extend adjacent an end of the roller window shade
`assembly” [14.2] .....................................................................182
`“an opening extending through the bracket, the opening
`having a first end adjacent the first surface and a second end
`adjacent the second surface, [14.3a] wherein the second end
`is configured to be positioned adjacent the roller window
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`U.S. Patent No. 10,294,717
`shade assembly when the roller window shade assembly is
`supported by the bracket [14.3a]” ...........................................185
`a)
`Element [14.3a].............................................................185
`b)
`Element [14.3b] ............................................................187
`“wherein the opening is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
`assembly to power a motor of the roller window shade
`assembly, [14.4a] and wherein the bracket is configured to
`obscure the electrical wiring when the bracket is coupled to
`the support surface and supports the roller window shade
`assembly; and [14.4b]” ...........................................................189
`a)
`Element [14.4a].............................................................189
`b)
`Element [14.4b] ............................................................192
`“wherein the bracket further defines a third surface
`substantially opposite the first surface, and wherein the third
`surface has a rounded shape” [14.5] .......................................196
`XI. GROUND 4: COLSON IN VIEW OF FRACZEK RENDERS OBVIOUS
`CLAIMS 6 AND 11.....................................................................................199
` Overview of Fraczek .........................................................................199
`Colson in view of Fraczek renders obvious claim 6. ........................201
`
`1.
`Preamble: “A bracket configured to be coupled to a support
`surface and configured to support a roller window shade
`assembly, the bracket comprising:” [6.p] ...............................202
`“a side configured to bear against the support surface such
`that the bracket extends away from the support surface and
`is adjacent an end of the roller window shade assembly”
`[6.1] .........................................................................................204
`“a passage extending through the bracket from the side to an
`area of the bracket adjacent the roller window shade
`assembly” [6.2] .......................................................................207
`“wherein the passage is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
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`U.S. Patent No. 10,294,717
`assembly to power a motor of the roller window shade
`assembly” [6.3] .......................................................................210
`“wherein the bracket is configured to obscure the electrical
`wiring when the bracket is coupled to the support surface
`and supports the roller window shade assembly; and” [6.4] ..213
`“wherein the roller window shade assembly is a first roller
`window shade assembly, wherein the bracket is further
`configured to support a second roller window shade
`assembly, [6.5a] and wherein the first roller window shade
`assembly and the second roller window shade assembly
`extend on opposite sides of the bracket [6.5b]” ......................217
`a)
`Element [6.5a] ...............................................................217
`b)
`Element [6.5b] ..............................................................220
`Colson in view of Fraczek renders obvious claim 11. ......................221
`
`XII. GROUND 5: COLSON RENDERS CLAIM 12 OBVIOUS. .....................224
`XIII. PETITION 2 – IPR2020-00958 - GROUNDS ............................................230
`XIV. GROUND 1: MALAUSA RENDERS OBVIOUS CLAIMS 15-18. .........230
` Overview of Malausa ........................................................................230
` Malausa discloses or renders obvious claim 15. ...............................233
`Preamble: “A fastening device system for mounting a roller
`
`window shade assembly, comprising:” [15.p] ........................233
`“two mounting brackets, each having one side configured to
`bear against a support surface [15.1a] and one side having a
`projection configured to hold an end of the roller window
`shade assembly” [15.1b] .........................................................234
`(a)
`Element [15.1a].............................................................234
`(b)
`Element [15.1b] ............................................................237
`“wherein each of the mounting brackets are configured to be
`secured to the support surface” [15.2] ....................................239
`“wherein the projection of at least one of the mounting
`brackets is configured to engage a clutch or a motor of the
`roller window shade assembly [15.3a] to prevent rotation of
`at least a portion of the clutch or the motor of the roller
`window shade assembly” [15.3b] ...........................................239
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`Case IPR2020-00957 -00958
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`U.S. Patent No. 10,294,717
`“wherein at least one of the mounting brackets defines an
`opening for electrical wiring, wherein the opening extends
`from the side of the mounting bracket configured to bear
`against the support surface to an area of the mounting
`bracket adjacent the roller window shade assembly [15.4a],
`and wherein the mounting bracket obscures a view of the
`electrical wiring.” [15.4b] .......................................................240
`(a)
`Element [15.4a].............................................................240
`(b)
`Element [15.4b] ............................................................241
`C. Malausa renders obvious claim 16. ...................................................242
`D. Malausa discloses or renders obvious claim 17. ...............................244
`E. Malausa renders obvious claim 18. ...................................................246
`XV. GROUND 2: MALAUSA IN VIEW OF GEIGER RENDERS
`OBVIOUS CLAIMS 15-18. ........................................................................247
`A. Overview of Geiger ...........................................................................247
`B. Malausa in view of Geiger renders obvious claim 15. ......................249
`C. Malausa in view of Geiger renders obvious claim 16. ......................253
`D. Malausa in view of Geiger renders obvious claim 17. ......................255
`E. Malausa in view of Geiger renders obvious claim 18. ......................259
`XVI. GROUND 3: A POSA WOULD FIND CLAIMS 1-3 AND 8-12 ARE
`INDEFINITE AND LACK WRITTEN DESCRIPTION SUPPORT.........260
` A POSA would find that the first and second recesses and the
`claim size or cross sectional areas of the first and second recesses
`is indefinite. .......................................................................................260
`A POSA would find that Claim 9 is indefinite and lacks written
`description support. ...........................................................................261
`XVII. GROUND 4: MALAUSA ANTICIPATES CLAIM 7. ..............................264
`A. Malausa anticipates claim 7. .............................................................265
`1.
`Preamble: “[7.pa] A bracket configured to be coupled to a
`support surface and [7.pb] configured to support a roller
`window shade assembly, the bracket comprising” .................265
`“a side configured to bear against the support surface such
`that the bracket extends away from the support surface and
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`is adjacent an end of the roller window shade assembly”
`[7.1] .........................................................................................267
`“a passage extending through the bracket from the side to an
`area of the bracket adjacent the roller window shade
`assembly.” [7.2] ......................................................................268
`“wherein the passage is configured to receive electrical
`wiring therethrough such that the electrical wiring can pass
`from the support surface to the roller window shade
`assembly to power a motor of the roller window shade
`assembly;” [7.3] ......................................................................270
`“wherein the bracket is configured to obscure the electrical
`wiring when the bracket is coupled to the support surface
`and supports the roller window shade assembly;” [7.4] .........271
`“[7.5a] wherein the bracket further includes a projection
`configured to engage the roller window shade assembly, and
`[7.5b] wherein the projection is configured to limit rotation
`of a portion of the roller window shade assembly” ................271
`CONCLUSION .................................................................................273
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`Case IPR2020-00957 -00958
`U.S. Patent No. 10,294,717
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`INTRODUCTION
`I.
`I, William Messner, declare as follows:
`
`1.
`
`I have been retained by Sterne, Kessler, Goldstein, & Fox on behalf of
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`Lutron Electronics Co., Inc. (“Lutron”) for IPR2020-00957 and IPR2020-00958
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`inter partes review (“IPR”) to provide my expert opinions and expert knowledge. I
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`understand that these two proceedings involve U.S. Patent No. 10,294,717 (“the
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`’717 patent”) titled “Shade Bracket with Concealed Wiring,” and that the face of
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`the ’717 patent indicates that it is currently assigned to GeigTech East Bay LLC
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`(“GeigTech”). This declaration covers the issues raised in both of these IPRs.
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`2.
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`The ’717 patent describes mounting brackets for a motorized window
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`shade. I am familiar with the technology described in the ’717 patent as of its
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`earliest alleged priority date, May 15, 2012, which is disputed in this proceeding.
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`3.
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`I have been asked to provide my independent technical review,
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`analysis, insights, and opinions regarding the ’717 patent, whether it should receive
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`its alleged earliest priority date, and the references that form the basis for the
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`grounds of unpatentability set forth in the two petitions for PGR of the ’717 patent.
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`4.
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`In preparing this declaration, I have reviewed and am familiar with all
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`the documents cited herein.
`
`Exhibit
`1001
`1002
`
`Description
`U.S. Patent No. 10,294,717 B2 to Geiger (“the ’717 patent”)
`Prosecution History of the ’717 patent
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`U.S. Patent No. 10,294,717
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`Description
`Exhibit
`Declaration of William Messner
`1003
`Curriculum Vitae of William Messner
`1004
`International Patent Application Publication No. WO2013/052084
`1005
`A1 to Colson et al. (“Colson”)
`European Patent No. 2,357,309 A1 to Malausa (“Malausa”)
`1006
`U.S. Patent No. 1,238,642 to Crump (“Crump”)
`1007
`European Design Registration No. 002017376-0001 to Geiger
`1008
`(“Geiger”)
`Provisional Application No. 61/542,760
`1009
`Provisional Application No. 61/647,445
`1010
`Japanese Patent Application Publication No. JP H11-81819 A to
`1011
`Mitsuhiro et al. (“Mitsuhiro”)
`U.S. Patent No. 28,363 to Hall (“Hall”)
`1012
`U.S. Patent No. 127,274 to Scott (“Scott”)
`1013
`U.S. Patent No. 1,332,794 to Boland (“Boland”)
`1014
`U.S. Patent No. 1,906,413 to Quill (“Quill”)
`1015
`Intentionally Left Blank
`1016
`U.S. Patent Application Publication No. 2012/0126077 A1 to Reo
`1017
`et al. (“Reo”)
`Intentionally Left Blank
`1018
`Merriam-Webster’s Collegiate Dictionary, Merriam-Webster,
`1019
`Incorporated, 11th Ed., 2008, Definition of “Obscure”
`Intentionally Left Blank
`1020
`U.S. Patent No. 6,817,402 B1 to Fraczek et al. (“Fraczek”)
`1021
`I have reviewed and am familiar with the ’717 patent and its file history. I confirm
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`that to the best of my knowledge the accompanying exhibits are true and accurate
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`copies of what they purport to be, and that an expert in the field would reasonably
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`rely on them to formulate opinions such as those set forth in this declaration.
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`I am being compensated at my customary rate of $575.00 per hour for
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`5.
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`my work on this case. My compensation is not dependent upon my opinions, my
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`testimony, or the outcome of this case.
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`II. QUALIFICATIONS
`I received a BS degree in mathematics from the Massachusetts
`6.
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`Institute of Technology in 1985. I then studied mechanical engineering at
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`University of California at Berkeley, receiving my MS degree in 1989 and my
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`Ph.D. in 1992.
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`7. While I was an undergraduate, I worked as an Undergraduate
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`Researcher in the M.I.T. Biomechanics Laboratory. My work involved designing a
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`calibration device for a motion capture system.
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`8. After graduating from M.I.T., I was employed by BBN Laboratories as
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`a Staff Engineer. I worked on data analysis of data from tests of a new torpedo that
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`was under development by the U.S. Navy.
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`9. After receiving my Ph.D., I joined the Department of Mechanical
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`Engineering at Carnegie Mellon University as an Assistant Professor in January
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`1993. I was subsequently promoted to Associate Professor in July 1998 and to Full
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`Professor in July 2001. I also held courtesy appointments in the Department of
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`Electrical and Computer Engineering and in the Robotics Institute, and advised
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`master’s degree and Ph.D. graduate students in these departments.
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`Case IPR2020-00957 -00958
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`U.S. Patent No. 10,294,717
`I joined Tufts University as the John R. Beaver Professor of
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`10.
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`Mechanical Engineering and Chair of the Mechanical Engineering Department in
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`September 2012. I served as the Chair of the Mechanical Engineering Department
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`through August 2015, and I held the John R. Beaver Chaired Professorship through
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`August 2017. In summer 2017 I began a two-year phase-out from Tufts, and I
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`retired from Tufts at the end of May 2019. I am currently an Adjunct Professor of
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`Mechanical Engineering at Carnegie Mellon, and I help direct and review projects
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`for one of the courses and for undergraduate research in that department.
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`11.
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` In April 2013, I was appointed to the United States Air Force
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`Scientific Advisory Board. In this role, I review USAF research programs and
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`advise the Secretary of the Air Force on technical issues.
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`12.
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`I have supervised several Ph.D. students, 22 of whom have received
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`Ph.D.s while working with me, as well as many more MS students and
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`undergraduate researchers. Some of my Ph.D. students are in faculty positions at
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`Georgia Institute of Technology (Georgia Tech), Carnegie Mellon University, and
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`other universities. Others work in major corporations such as Seagate Technology,
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`iRobot, and Hewlett-Packard, and in government labs such as the National Institute
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`of Standards and Technology. I have taught classes related to modeling and control
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`of dynamic systems at the undergraduate and graduate level.
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`Case IPR2020-00957 -00958
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`U.S. Patent No. 10,294,717
`I have published over 150 papers in conferences, workshops, and
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`13.
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`journals, as well as several book chapters on topics related to my research. These
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`have appeared in leading venues such as IEEE Transactions on Magnetics, IEEE
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`Transactions on Control Systems Technology, ASME Transactions on Dynamic
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`Systems Measurement and Control, and Journal of Applied Physics. I am also the
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`editor of a book on autonomous vehicles (e.g., self-driving cars). I am a named
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`inventor on at least eight issued U.S. patents.
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`14. My CV has further details on my education, experience, publications,
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`and other qualifications. EX1004.
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`III. MY UNDERSTANDING OF LEGAL PRINCIPLES
` Relevant time period for analysis and claim construction law
`I understand that my analysis requires an understanding of the scope of
`15.
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`the ’717 patent claims and that the disclosures of the ’717 patent and the prior art
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`are judged from the perspective of a person of ordinary skill in the art (“POSA”) at
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`the time of the purported invention. For the purposes of this declaration, I have
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`been instructed to consider the time of the purported invention of the ’717 patent to
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`be May 15, 2012, the earliest alleged priority date for the ’717 patent even though
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`that date is challenged in these proceedings. However, my opinions would not
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`change even if all the relevant disclosures were judged from a later time period.
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`Case IPR2020-00957 -00958
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`U.S. Patent No. 10,294,717
`I understand that during an inter partes review, the claims of a patent
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`16.
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`are to be given their ordinary and customary meaning as understood by a person of
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`ordinary skill in the art at the time of the alleged invention in light of the claims,
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`the specification of the patent, the prosecution history, and other relevant extrinsic
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`information.
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` Anticipation law
`I understand that a claim is invalid if it is anticipated. I understand that
`17.
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`anticipation o