UNITED STATES INTERNATIONAL TRADE COMMISSION
`Washington, D.C.
`
`Before the Honorable Clark S. Cheney
`Administrative Law Judge
`
`
`
`
`Inv. No. 337-TA-1091
`
`In the Matter of:
`
`CERTAIN COLOR INTRAORAL
`SCANNERS AND RELATED
`HARDWARE AND SOFTWARE
`
`
`JOINT AGREED AND DISPUTED CLAIM CONSTRUCTIONS
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`Inv. No. 337-TA-1091: 3Shape and Align’s Joint Agreed and Disputed Claim Constructions
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`
`Tablee of Contentts
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`Inntroduction .............................................................................................................................. 1 
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`I. 
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`II. 
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`2. 
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`3. 
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`4. 
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`5. 
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`6. 
`7. 
`8. 
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`2. 
`
`DA
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`BB. 
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`(claim 1 - ’470, ’931 ppatents) .......................................................................... 5 
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`patents) ............................................................................................................. 6 
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` and ’207 paatents) ................................... 2 
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` and ’207 paatents) ................................... 2 
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`patent) .............................................................................................................. 2 
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`Disputed Termms ........................................................................................................................ 1 
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`A. 
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`Color Scanning Patents ................................................................................................ 1 
`1. 
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`“scanning system conffigured to prrovide depthh data” (claimm 1 -
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`’228, ’4566, and ’207 ppatents) ....................................................................
`...... 1 
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`“imaging ssystem confifigured to proovide two-diimensional ccolor
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`image dataa” (claim 1 -- ’228, ’456,
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`“processorr configuredd to associatee the depth ddata with the
` color
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`image dataa” (claim 1 -- ’228, ’456,
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`“first illummination meaans for proviiding the sett of three or mmore,
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`
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`differentlyy-colored illuumination raadiations” (c
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`laim 10 - ’2228
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`imaging techhniques” (cllaim 4 - ’2288, ’456, and
`’207
`“confocal
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`.......................................................................................................... 3 
`patents) ...
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`n” (claim 11 “spot speccific position
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`
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`- ’228 patennt) .......................................... 3 
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`“image gaathering memmber” (claimms 1, 7, and 112 - ’433 pattent) ................... 3 
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`“selectivelly map the immage data too the depth ddata” (Claimm 12 -
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`’433 Patennt) ...................................................................................................... 4 
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`Dentaal Modeling Patents .............................................................................................. 5 
` 1.
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`“[derive frrom the received data/obbtaining in a
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`computer] aa digital
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`
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`model of aa patient’s deentition, inclluding a denntal model
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`representinng the patiennt’s teeth at aa set of initiaal positions
`and a
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`gingival mmodel represeenting gum ttissue surrouunding the teeeth”
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`“[derive/deriving in thhe computer]] from the diigital model
`an
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`
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`m the th move fromtissue as teetof the gum texpected ddeformation
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`
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`
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`initial posiitions to anoother set of ppositions” (cllaim 1 - ’4700, ’931
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`Inv. NNo. 337-TA-11091: 3Shappe and Align’s Joint Agreeed and Dispputed Claimm Constructioons
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`
`Term(s)
`3Shape A/S
`3Shape TRIOS A/S
`3Shape Inc.
`Align Technology, Inc.
`U.S. Patent No. 6,685,470
`U.S. Patent No. 6,948,931
`U.S. Patent No. 8,363,228
`U.S. Patent No. 8,451,456
`U.S. Patent No. 8,675,207
`U.S. Patent No. 9,101,433
`__:__
`35 U.S.C. §112¶6
`
`
`Table of Abbreviations
`
`Abbreviation
`“3Shape” or “Respondent(s)” individually and
`collectively
`
`“Align” or “Complainant”
`’470 Patent
`’931 Patent
`’228 Patent
`’456 Patent
`’207 Patent
`’433 Patent
`[Patent Column Number]:[Patent Line Number]
`§112¶6
`
`iii
`Inv. No. 337-TA-1091: 3Shape and Align’s Joint Agreed and Disputed Claim Constructions
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`I.
`
`INTRODUCTION
`
`Pursuant to Ground Rule 7.1 and the Procedural Schedule, Complainant Align
`
`Technology, Inc. (“Align”) and Respondents 3Shape A/S, 3Shape Trios A/S, and 3Shape Inc.
`
`(collectively,”3Shape”) (together, the “Parties”), hereby submit their Joint Agreed and Disputed
`
`Claim Constructions. As the Parties have not come to any agreed constructions, the following
`
`identifies only the disputed terms and their proposed constructions.
`
`II.
`
`DISPUTED TERMS
`A.
`
`Color Scanning Patents
`1.
`
`“scanning system configured to provide depth data” (claim 1 -
`’228, ’456, and ’207 patents)
`
`Align
`This term does not invoke §112(6).
`
`The plain and ordinary meaning is “a 3D
`scanner that scans in the optical axis (z)
`direction to provide depth data.”
`
`But if given means-plus-function treatment:
`
`Structure: Scanning optics to provide depth Z
`values for an array range of X-Y points along
`the surface of the object. See, e.g., ’228 patent
`at 12:60-65; FIGS. 1 (elements 31, 41), 4A
`(elements 31, 41), 8 (elements 31, 41), 11
`(elements 31, 41)
`
`Function: providing depth data by scanning
`
`3Shape
`The limitation “scanning system configured to
`provide depth data” is subject to §112¶6.
`
`Structure: illumination source optically coupled
`to a grating or microlens array and confocal
`optics to generate an array of light beams that
`generates illumination spots on the surface of an
`object, an image sensor optically coupled to
`receive each of the returned light beams through a
`pinhole array and a corresponding single pixel in
`an image sensor, and a processor programmed to
`measure the maximum intensity of the returned
`light beams.1 (See, e.g., ’228 patent, FIG. 4A and
`associated description.)
`
`Function: providing depth data separately
`obtained from two-dimensional color image data
`
`
`1 The parties appear to dispute the meaning of the term “hand-held device.” 3Shape previously
`identified the term for construction, but to narrow claim construction issues before the ALJ it
`withdrew this term from construction. However, 3Shape maintains a written description defense
`with regards to this limitation. Both parties reserve their rights to address this term in the context
`of this written description defense.
`
`1
`Inv. No. 337-TA-1091: 3Shape and Align’s Joint Agreed and Disputed Claim Constructions
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`2.
`
`“imaging system configured to provide two-dimensional color
`image data” (claim 1 - ’228, ’456, and ’207 patents)
`
`Align
`This term does not invoke §112(6).
`
`The plain and ordinary meaning is “an image
`sensor or detector that is configured to provide
`two-dimensional color image data.”
`
`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’228 patent at 12:65-13:2,
`15:66-17:3; FIGs. 1 (element 60), 4A (element
`60), 8 (element 60), 11 (element 60)
`
`Function: providing two-dimensional
`color image data
`
`3Shape
`The limitation “imaging system configured to
`provide two-dimensional color image data” is
`subject to §112¶6.
`
`Structure: an illumination source that
`generates at least three different colored light
`sources to illuminate the surface of an object,
`and an image sensor optically coupled to
`receive light from the illumination source
`reflected from the surface of the object. (See,
`e.g., ’228 patent, FIG. 4A and associated
`description.)
`
`Function: providing two-dimensional color
`image data separately obtained from the depth
`data
`
`3.
`
`“processor configured to associate the depth data with the
`color image data” (claim 1 - ’228, ’456, and ’207 patents)
`
`Align
`This term does not invoke §112(6).
`
`The plain and ordinary meaning is “one or more
`electronic circuits which perform operations on
`data to associate the depth data with the color
`image data.”
`
`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’228 patent at 13:20-14:35;
`FIGS. 1 (element 24), 4A (element 24)
`
`Function: associating the depth data with the
`color image data
`
`3Shape
`The limitation “processor configured to
`associate the depth data with the color image
`data” is subject to §112¶6.
`
`Structure: software, firmware, and/or hardware
`programmed to map the color image data to the
`depth data. (See, e.g., ’228 patent FIG. 2C,
`13:20-62)
`
`Function: map depth data with the separately
`obtained color image data
`
`4.
`
`“first illumination means for providing the set of three or
`more, differently-colored illumination radiations” (claim 10 -
`’228 patent)
`
`Align
`This term does not invoke §112(6).
`
`3Shape
`The limitation “first illumination means for
`
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`providing the set of three or more, differently-
`colored illumination radiations” is subject to
`§112¶6.
`
`Structure: a set of LEDs or lasers providing
`three or more different monochromatic light
`sources.
`
`Function: providing a set of three or more,
`differently-colored illumination radiations.
`
`
`The plain and ordinary meaning is “one or more
`light sources, such as a LED, and associated
`beam conditioning elements which generate the
`set of three or more, differently-colored
`illumination radiations.”
`
`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’228 Patent at col. 6, lines
`23-30, 35-40; col. 7, lines 28-55; co. 8, lines 8-
`41; col. 9, lines 46-48; col. 16 lines 37-55; col.
`17, lines 12-36; col. 17, line 60 – col. 18, line
`15; col. 19, lines 58-65, col. 20, lines 12-49,
`col. 22, lines 6-41; col. 23, lines 6-18; col. 24,
`lines 29-43; FIGs. 1, A, 5A-5C, 6, 7A-7B, 8-13.
`
`Function: providing the set of three or more,
`differently-colored illumination radiations
`
`5.
`
`“confocal imaging techniques” (claim 4 - ’228, ’456, and ’207
`patents)
`
`Align
`The plain and ordinary meaning is “techniques
`that utilize confocal imaging,” e.g., techniques
`that illuminate an object at a focal plane and
`image the object at a conjugate focal plane
`
`3Shape
`“an imaging technique which generates an array
`of light beams to illuminate the surface of an
`object with a corresponding array of illuminated
`spots, detects a returned light beam for each
`illuminated spot, each returned light beam
`passing through a single corresponding pinhole
`in a pinhole array, and determines the
`maximum measured intensity of a single pixel
`of each respective returned light beam”
`
`6.
`
`“spot specific position” (claim 11 - ’228 patent)
`
`Align
`relative in-focus position of a light beam
`
`3Shape
`“in-focus depth position of an incident light
`beam passing through a pinhole to a single
`corresponding pixel on the image sensor”
`
`7.
`
`“image gathering member” (claims 1, 7, and 12 - ’433 patent)
`
`Align
`The plain and ordinary meaning is “a 3D image
`scanner.”
`
`3Shape
`The limitation “image gathering member” is
`subject to §112¶6.
`
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`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’433 patent at 13:14-23;
`16:19-23.
`
`Function: obtaining an image of a structure
`portion and generating depth data of the
`structure portion corresponding to a two-
`dimensional reference array substantially
`orthogonal to a depth direction
`
`
`Structure: illumination source optically
`coupled to a grating or microlens array and
`confocal optics to generate an array of light
`beams that generates illumination spots on the
`surface of an object, an image sensor optically
`coupled to receive each of the returned light
`beams through a pinhole array and a
`corresponding single pixel in an image sensor,
`and a processor programmed to measure the
`maximum intensity of the returned light beams.2
`(See, e.g., ’228 patent, FIG. 4A and associated
`description.)
`
`Function: to generate depth data of a portion of
`a three-dimensional structure separately from
`the color image data
`
`8.
`
`“selectively map the image data to the depth data” (Claim 12 -
`’433 Patent)
`
`Align
`The plain and ordinary meaning is matching
`image data and depth data based on the plurality
`of focal lengths and the depth data such that the
`resulting associated color of the structure
`portion is in focus relative to the structure
`portion for a plurality of distances in the depth
`direction
`
`
`
`3Shape
`The limitation “selectively map the image data
`to the depth data” lacks written description
`§112¶1 and is indefinite under §112¶2.
`
`In the alternative, to the extent that the
`Commission deems construction necessary:
`“map monochrome image data to the depth data
`such that the monochrome image data is a
`substantially focused image of the structure.”
`
`
`
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`BB.
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`Partyy
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`
`
`Dentaal Modelingg Patents
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` 1.
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`
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`“[derive ffrom the recceived data//obtaining inn a computeer] a
`
`
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`
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`digital moodel of a pattient’s dentiition, includding a dentaal model
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`
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`
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`representing the patiient’s teeth aat a set of innitial positioons and
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`
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`a gingivall model reprresenting guum tissue suurrounding
`the
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`
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`teeth” (claaim 1 - ’4700, ’931 patennts)
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`
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`Prooposed Consstruction
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`d a
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`
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`nt: tion treatmenns-plus-functBut iff given mean
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`“A digitaal model of a patient’s dentition . .. .”
`
`Alignn
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`
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`A model of the paatient’s dentiition that inccludes modeels of individdual teeth an
`
`
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`deformmable model of at least aa portion of
`the teeth.
`
`gum tissue ssurrounding
`
`
`
`
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`
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`No coonstruction nnecessary. SSee constructtion of “deriive from thee received daata a
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`
`
`
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`digitaal model of aa patient’s ddentition, inccluding a deental model
`
`representingg the
`
`patiennt’s teeth at
`
`a set of initiial positions
`
`
`and a gingivval model reepresenting
`gum
`
`
`
`
`tissuee surroundingg the teeth” aand “gingivaal model.”
`
`
`
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`“Derive from the reeceived dataa a digital mmodel . . .”
`
`Alignn
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`
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`This tterm does noot invoke §112(6).
`
`
`
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`The pplain and orddinary meaniing is “deriv
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`
`
`e from the reeceived dataa a model of f the
`
`
`
`
`patiennt’s dentitionn that includes models off individual
`
`teeth and a ddeformable
`
`
`
`
`model of at least aa portion of gum tissue ssurrounding
`the teeth.”
`
`
`
`
`
`
`
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`7:45-664; FIGs. 2- 15.
`
`on, ent’s dentitiodel of a patiea digital modceived data aFuncttion: Derive from the rec
`
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`
`
`
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`includding a dentall model reprresenting thee patient's teeeth at a set oof initial posiitions
`
`
`
`
`
`
`and a gingival moodel represennting gum tisssue surrounnding the teeeth.
`
`
`
`
`Consttrued in accoordance withh 35 U.S.C. §§112¶6:
`
`
`
`
`
`Step: deriving a ddigital modell of a patientt’s dentition
`
`
`, including dderiving a diigital
`
`
`
`
`
`
`l representinng the patiennt’s teeth at aa set of initiaal positions aand gingivall
`mode
`
`
`
`l representinng gum tissuue surroundinng the teeth
`mode
`
`
`
`
`Structure: FIGS. 2-11, 3:53-66:7
`
`
`
`
`“Obtaining in the coomputer a ddigital modeel . . .”
`
`Alignn
`
`
`
`This tterm does noot invoke §112(6).
`
`l of digital modelcomputer a dning in the cing is “obtaindinary meaniThe pplain and ord
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`
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`
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`
`
`
`
`the paatient’s dentiition, includiing models oof individua
`
`
`l teeth and aa deformablee
`
`
`
`
`model of at least aa portion of gum tissue ssurrounding
`the teeth.”
`
`
`
`
`3Shappe
`
`
`
`3Shappe
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`Structture: See, e.gg., ’470 Pateent at 2:6-10
`
`
`
`; 2:15-19; 3::3-37; 3:53-44:5; 4:7-6:144;
`
`
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`Inv. NNo. 337-TA-11091: 3Shappe and Align’s Joint Agreeed and Dispputed Claimm Constructioons
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`3Shape
`
`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’931 Patent at 2:6-10; 2:15-19; 3:3-37; 3:53-4:5; 4:7-6:14;
`7:45-64; FIGs. 2-15.
`
`Function: Obtaining in the computer a digital model of a patient's dentition,
`including a dental model representing the patient's teeth at a set of initial positions
`and a gingival model representing gum tissue surrounding the teeth.
`Construed in accordance with 35 U.S.C. §112¶6:
`
`Step: deriving a digital model of a patient’s dentition, including deriving a digital
`model representing the patient’s teeth at a set of initial positions and gingival
`model representing gum tissue surrounding the teeth
`
`Structure: FIGS. 2-11, 3:53-6:7
`
`2.
`
`“[derive/deriving in the computer] from the digital model an
`expected deformation of the gum tissue as teeth move from the
`initial positions to another set of positions” (claim 1 - ’470, ’931
`patents)
`
`Party
`
`Proposed Construction
`
`“derive from the digital model an expected deformation of the gum tissue as teeth move
`from the initial positions to another set of positions”
`Align
`This term does not invoke §112(6).
`
`The plain and ordinary meaning is “derive from the digital model an expected
`change in curvature of the gum tissue as teeth move positions.”
`
`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’470 patent at 5:15- 6:6; 6:14-54; 7:1-4; 7:30-64; FIGs. 8-14,
`15 (elements 546, 548), 16, 20 (element 586), 21 (element 596).
`
`Function: Derive from the digital model an expected deformation of the gum
`tissue as teeth move from the initial positions to another set of positions.
`Construed in accordance with 35 U.S.C. §112¶6:
`
`Step: derive from the digital model an expected deformation of the gum tissue as
`the teeth move from the initial positions to another set of positions
`
`Structure: FIGS.14-18B, 6:8-7:10.
`
`3Shape
`
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`Inv. No. 337-TA-1091: 3Shape and Align’s Joint Agreed and Disputed Claim Constructions
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`“deriving in the computer from the digital model data representing an expected
`deformation of the gum tissue as the teeth would move from the initial positions to another
`set of positions”
`Align
`This term does not invoke §112(6).
`
`The plain and ordinary meaning is “deriving in the computer from the digital
`model an expected change in curvature of the gum tissue as teeth move
`positions.”
`
`But if given means-plus-function treatment:
`
`Structure: See, e.g., ’931 and ’470 patent at 5:15- 6:6; 6:14-54; 7:1-4; 7:30-64;
`FIGs. 8-14, 15 (elements 546, 548), 16, 20 (element 586), 21 (element 596)
`
`Function: Deriving in the computer from the digital model an expected
`deformation of the gum tissue as teeth move from the initial positions to another
`set of positions.
`Construed in accordance with 35 U.S.C. §112¶6:
`
`Step: derive from the digital model an expected deformation of the gum tissue as
`the teeth move from the initial positions to another set of positions
`
`Structure: FIGS.14-18B, 6:8-7:10
`
`
`3Shape
`
`
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`Inv. No. 337-TA-1091: 3Shape and Align’s Joint Agreed and Disputed Claim Constructions
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`Dated: May 29, 2018
`
`/s/ Blair M. Jacobs
`Blair M. Jacobs
`Christina A. Ondrick
`John S. Holley
`Mark Consilvio
`Diva Ranade
`PAUL HASTINGS LLP
`875 15th St NW
`Washington, D.C. 20005
`Tel: (202) 551-1700
`Fax: (202) 551-0451
`
`Raymond W. Stockstill
`PAUL HASTINGS LLP
`695 Town Center Drive
`Seventeenth Floor Costa
`Mesa, CA 92626
`Tel: (714) 668-6200
`Fax: (714) 668-6304
`
`Thomas A. Counts
`PAUL HASTINGS LLP
`101 California Street
`Forty-Eighth Floor
`San Francisco, CA 94111
`Tel: (410) 856-7000
`Fax: (415) 856-7177
`
`Counsel for Complainant
`Align Technology, Inc.
`
`
`
`/s/ David J. Shaw
`Goutam Patnaik
`Tuhin Ganguly
`David J. Shaw
`Pepper Hamilton, LLP
`Hamilton Square
`600 Fourteenth Street, N.W.
`Washington, D.C. 20005
`Tel: (202) 220-1237
`Fax: (202) 220-1665
`
`William D. Belanger
`Gregory D. Len
`Frank D. Liu
`Brittanee L. Friedman
`L. Andrew Tseng, Ph.D.
`Pepper Hamilton LLP
`19th Floor, High Street Tower
`125 High Street
`Boston, MA 02110
`Tel: (617) 204-5100
`Fax: (617) 204-5150
`
`Charles F. Koch
`Pepper Hamilton LLP
`333 Twin Dolphin Drive
`Suite 400
`Redwood City, CA 94605
`650.802.3600
`650.802.3650 (facsimile)
`
`S. Lloyd Smith
`Kimberly E. Coghill
`Kyle Tsui
`BUCHANAN INGERSOLL & ROONEY PC
`1737 King Street
`Suite 500
`Alexandria, VA 22314-2727
`Tel: 703.838.6514
`Fax: 703.836.2021
`
`Philip L. Hirschhorn
`BUCHANAN INGERSOLL & ROONEY PC
`640 5th Avenue
`8
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`9th Floor
`New York, NY 10019-6102
`Tel: 212.440.4400
`Fax: 212.440.4401
`
`Counsel for Respondents
`3Shape A/S, 3Shape Inc., and
`3Shape Trios A/S.
`
`
`
`
`
`
`
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`Inv. No. 337 -TA -1091
`
`Certain Color Intraoral Scanners and
`Hardware and Software Components Thereof
`CERTIFICATE OF SERVICE
`I, Marissa Golub, hereby certify that on May 29, 2018, copies of the foregoing
`JOINT AGREED AND DISPUTED CLAIM CONSTRUCTIONS
`were served upon the following parties as indicated:
`The Honorable Lisa Barton, Secretary
`U.S. International Trade Commission
`500 E Street, S.W., Room 112
`Washington, D.C. 20436
`
`
`
`☐ Via First Class mail
`☒ Via Hand Delivery
`(copies as required)
`☐ Via UPS Overnight
`☐ Via Facsimile
`☒ Via Electronic Filing (EDIS)
`☐ Via First Class mail
`☒ Via Hand Delivery (per G.R.
`1.9.1 & 1.9.2)
`☐ Via UPS Overnight
`☐ Via Facsimile
`☒ Via Electronic Mail (per G.R.
`1.9.1 & 1.9.2)
`Cheney337@usitc.gov
`☐ Via First Class mail
`☐ Via Hand Delivery
`☐ Via UPS Overnight
`☐ Via Facsimile
`☒ Via Electronic Mail
`Benjamin.Richards@usitc.gov
`William.Slaven@usitc.gov
`☐ Via First Class mail
`☐ Via Hand Delivery
`☐ Via UPS Overnight
`☐ Via Facsimile
`☒ Via Electronic Mail
`3Shape_Pepper@pepperlaw.com
`
`lloyd.smith@bipc.com
`kimberly.coghill@bipc.com
`kyle.tsui@bipc.com
`philip.hirschhorn@bipc.com
`
`The Honorable Clark S. Cheney
`Administrative Law Judge
`U.S. International Trade Commission
`500 E Street, S.W., Room 317
`Washington, DC 20436
`
`
`Benjamin Richards
`William Slaven
`Attorney Advisors
`U.S. International Trade Commission
`500 E Street SW, Room 317
`Washington, DC 20436
`
`
`Goutam Patnaik
`Pepper Hamilton, LLP
`Hamilton Square
`600 Fourteenth Street, N.W.
`Washington, D.C. 20005
`
`S. Lloyd Smith
`Kimbery Coghill
`Buchanan Ingersoll & Rooney PC
`1737 King St, Suite 500
`Alexandria, VA 22314
`Counsel for Respondents 3Shape A/S, 3Shape,
`Inc., and 3Shape Trios A/S
`/s/ Marissa Golub
`Marissa Golub
`
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`Inv. No. 337-TA-1091: 3Shape and Align’s Joint Agreed and Disputed Claim Constructions
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`3SHAPE 1019 3Shape v Align IPR2021-01383
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`