UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`
`DEERE & COMPANY,
`
`Petitioner,
`
`v.
`
`ESCO GROUP LLC,
`
`Patent Owner
`_______________
`
`Case No. IPR2022-00186
`Patent No. 8,844,175 B2
`_______________
`
`
`DECLARATION OF ELLIOT L. STERN IN SUPPORT OF
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 8,844,175
`
`
`
`
`
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`DEERE & COMPANY, EX-1002
`PAGE 1
`
`
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`
`DEERE & COMPANY,
`
`Petitioner,
`
`v.
`
`ESCO GROUP LLC,
`
`Patent Owner
`_______________
`
`Case No. IPR2022-00186
`Patent No. 8,844,175 B2
`_______________
`
`
`DECLARATION OF ELLIOT L. STERN IN SUPPORT OF
`PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 8,844,175
`
`
`
`
`
`
`DEERE & COMPANY, EX-1002
`PAGE 1
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`I.
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`INTRODUCTION AND SUMMARY OF TESTIMONY
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`1. My name is Elliot L. Stern. Deere & Company ("Petitioner") has
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`retained me to evaluate the patentability of claims 1-21 ("Challenged Claims") of
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`United States Patent No. 8,844,175 ("'175 Patent") in view of certain prior art
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`references and in further view of the knowledge and skill of a person of ordinary
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`skill in the art ("POSITA") at the time of the alleged invention of the '175 Patent.
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`2.
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`In connection with my evaluation, I have been asked to provide expert
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`opinions in furtherance of a petition for inter partes review ("IPR") of the '175 Patent
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`that Petitioner filed against ESCO Group LLC ("Patent Owner") to the United States
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`Patent and Trademark Office, Patent Trial and Appeal Board ("Board"). In
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`particular, I have been asked to provide opinions regarding, among other things, the
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`background and understanding of the state of the art pertaining to the '175 Patent,
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`the knowledge and skill of a POSITA at the time of the alleged invention, and the
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`patentability of the Challenged Claims under U.S. patent law.
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`3.
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`I am being compensated at my normal consulting rate of $400/hour for
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`my work in this matter. My compensation does not depend on the outcome of any
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`proceeding before the Board or litigation in court involving the '175 Patent.
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`4.
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`As explained below, my opinion is that each of the Challenged Claims
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`is unpatentable as obvious in view of certain prior art references and the knowledge
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`and skill of a POSITA at the time of the alleged invention. I am prepared to testify
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`1
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`DEERE & COMPANY, EX-1002
`PAGE 2
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`about my opinions expressed in this declaration.
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`A. Qualifications
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`5.
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`In my opinion, I possess the knowledge, skills, experience, training, and
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`education to qualify as an expert, form an expert opinion, and testify as an expert in
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`this case. I am a mechanical engineer with over 35 years of experience with machine
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`tools.
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`1.
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`Education
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`6.
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`I earned a Bachelor of Science in Mechanical Engineering from Purdue
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`University in 1983. I earned both a Master of Science and Doctor of Philosophy in
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`Mechanical Engineering from University of Florida in 1985 and 1989, respectively,
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`where my research dealt with the design, development, and performance monitoring
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`of machine tools.
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`2.
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`Career
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`7.
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`I was the President of Design & Manufacturing Solutions, Inc., where
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`I had worked and performed research over the past 25 years in several areas,
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`including design, analysis, fabrication, testing, manufacturing, and regulatory
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`compliance of dynamically tuned tooling for machining.
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`8.
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`I have been involved in researching and developing mechanical
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`systems and designing and developing machine tools and related instrumentation,
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`including applying associated information and computing technologies such as
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`2
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`developing hardware, software, and algorithms for instrumentation, signal
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`processing, data analytics, artificial intelligence, machine learning, and data
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`interpretation. I am familiar with their practical aspects and applications.
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`3.
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`Curriculum Vitae
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`9.
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`Additional details of my education and employment history, as well as
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`a list of my publications and past expert engagements, may be found in my
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`curriculum vitae, which is submitted with this declaration at Ex-1003.
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`B. Materials Reviewed
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`10.
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`In formulating my opinions, I reviewed the following list of materials:
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`EXHIBIT
`
`Ex-1001
`
`Ex-1004
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`Ex-1005
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`DESCRIPTION
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`U.S. Pat. No. 8,844,175 ("'175 Patent")
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`
`U.S. Patent No. 10,273,662 ("'662 Patent")
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`Prosecution History of the '175 Patent,
`U.S. Patent Application No. 12/913,071
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`Ex-1006
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`U.S. Patent Publication No. 2007/0193075 ("Carpenter")
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`Ex-1007
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`U.S. Patent Publication No. 2008/0201997 ("Armstrong")
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`Ex-1008
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`Ex-1013
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`Ex-1014
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`First Amended Complaint, ESCO Group LLC v. Deere &
`Company, Case No. 1:20-cv-01679, District of Delaware
`
`
` U.S. Patent No. 7,730,651 ("Carpenter '651")
`("Carpenter")
`Index of Claim Limitations for the '175 Patent
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`3
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`DEERE & COMPANY, EX-1002
`PAGE 4
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`Defendant's First Supplemental Invalidity Contentions, ESCO
`Group LLC v. Deere & Company, Case No. 1:20-cv-01679,
`District of Delaware
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`11.
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`If asked to provide live testimony in this proceeding, I may use as
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`exhibits various documents that refer or relate to the matters contained within this
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`declaration or that are derived from the results and analyses discussed in this
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`declaration. Additionally, I may create or supervise the creation of certain
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`demonstrative exhibits to assist me in testifying.
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`12.
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`I am prepared to use any or all of the above-referenced documents as
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`well as supplemental charts, models, and other representations based on those
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`documents to support live testimony in this proceeding regarding my opinions
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`concerning the '175 Patent.
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`C. Level of Ordinary Skill in the Art
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`13.
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`I understand that the claims and specification of a patent must
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`understood from the perspective of a POSITA at the time of the claimed invention.
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`I have been advised and understand that the following factors may be considered to
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`determine the appropriate level of skill of a POSITA at the time of the claimed
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`invention: (a) the types of problems encountered by those working in the field and
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`prior art solutions to those problems; (b) the sophistication of the technology in
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`question and the rapidity with which innovations occur in the field; (c) the
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`DEERE & COMPANY, EX-1002
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`educational level of active workers in the field; and (d) the educational level of the
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`inventor.
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`14. For the '175 Patent, the relevant technology field relates to wear
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`assemblies and, in particular, wear assemblies for securing wear members to
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`excavating equipment. Ex-1001, 1:14-17. In my opinion, a POSITA at the time of
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`the alleged invention of the '175 Patent would have at least a Bachelor's degree in
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`Mechanical Engineering, or related discipline, or have at least three years of
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`experience working with wear assemblies for excavating equipment. I have personal
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`knowledge that this was and would have been the level of ordinary skill at the time
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`of the invention of the '175 Patent. I have personal experience working with people
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`of that level of experience and skill. Also, I possess at least this level of skill and,
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`in fact, much more.
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`15.
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`I have been asked to use October 30, 2009 as the date of invention for
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`purposes of forming my opinions and preparing this declaration as that date
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`corresponds to the earliest arguable priority date for the invention claimed in the '175
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`Patent, by virtue of the filing of U.S. Provisional Application No. 61/256,561. I
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`express no opinion regarding whether this date is the appropriate date of invention
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`or whether the application that issued as the '175 Patent is entitled to claim priority
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`to the provisional application No. 61/256,561. If warranted, I may form an opinion
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`regarding the appropriateness of this date later in this proceeding.
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`DEERE & COMPANY, EX-1002
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`II. LEGAL PRINCIPLES
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`16.
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`I am not a lawyer, but my opinions here necessarily involve
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`understanding and applying certain legal principles. Accordingly, I have been
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`informed of a number of legal principles and been asked to apply them when forming
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`and preparing my opinions for this matter.
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`17.
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`I have been informed and understand that the Board construes patent
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`claims during an IPR under their plain and ordinary meaning as understood by a
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`POSITA at the time of the invention claimed in the patent. The plain and ordinary
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`meaning is generally derived from the description of the claimed invention in the
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`patent and its prosecution history, as well as other evidence if it is of record,
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`including evidence of the knowledge of a POSITA.
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`18.
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`I have been informed and understand that a patent claim may be found
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`unpatentable it is would have been obvious at the time of invention to a POSITA,
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`taking into account: (1) the scope and content of the prior art, (2) the differences
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`between the prior art and the claims, (3) the level of ordinary skill in the art, and (4)
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`any "secondary considerations" of non-obviousness, which may include: (i) "long
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`felt need" for the claimed invention, (ii) commercial success attributable to the
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`claimed invention, (iii) unexpected results of the claimed invention, and (iv)
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`"copying" of the claimed invention by others. For purposes of my analysis, I have
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`been asked to assume a date of invention of October 30, 2009.
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`DEERE & COMPANY, EX-1002
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`19.
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`I have been informed and understand that a claim can be obvious in
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`light of a single prior art reference or multiple prior art references, where there must
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`be a reason or motivation to modify the single prior art reference or combine two or
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`more references in order to achieve the claimed invention.
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`20.
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`I have been informed and understand that a motivation to modify a
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`single prior art reference or combine multiple prior art references may come from
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`common sense or the knowledge and skill of a POSITA. A POSITA may also be
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`motivated to modify or combine references where: the modification or combination
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`is made according to known methods that yield predictable results; the modification
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`would have been made according to a known and predictable technique to improve
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`a similar device to solve a known problem; the modification or combination is a
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`substitution of one known element for another to obtain predictable results; the
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`modification or combination would have been "obvious to try"—i.e., it would have
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`involved a choice from a finite number of identifiable, predictable solutions, with a
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`reasonable expectation of success; or known work in the field of endeavor would
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`have prompted a modification or combination for use in the field based on design
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`incentives and market forces with a reasonable expectation of success.
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`21.
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`I have been informed and understand that a patent or published
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`application qualifies as prior art to the claimed invention if, among other things, it
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`published more than one year before the claimed invention's effective filing date.
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`DEERE & COMPANY, EX-1002
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`22.
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`I note other legal principles below where appropriate.
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`III. OVERVIEW OF OPINIONS
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`23. This declaration includes an explanation of opinions I have formed
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`based on my independent analysis of the materials noted above. Based on my
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`knowledge and experience and my review of the materials listed above, it is my
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`opinion that:
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`24. Each of the Challenged Claims is rendered obvious by the disclosure,
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`i.e., teachings or principles, of U.S. Patent Publication No. 2007/0193075
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`("Carpenter") in view of the knowledge and skill of a POSITA.
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`25. Each of claims 4-6, 13, 15, 17, 19, and 20 is rendered obvious by the
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`disclosure, i.e., teachings or principles, of U.S. Patent Publication No. 2008/0201997
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`("Armstrong") in view of the knowledge and skill of a POSITA.
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`26. Each of claims 1-3, 7-12, 14, 16, 18, and 21 is rendered obvious by the
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`disclosures, i.e., teachings or principles, of Armstrong, in view of the disclosures,
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`i.e., teachings or principles, of Carpenter.
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`27. Each of these conclusions is discussed in more detail below.
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`IV. BACKGROUND OF THE '175 PATENT AND PRIOR ART
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`A. The '175 Patent
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`28. The '175 Patent, titled "Wear Assembly for Excavating Equipment,"
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`generally relates to mechanical equipment used in machines for excavating or
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`DEERE & COMPANY, EX-1002
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`similar activities. The '175 Patent states "[t]he present invention pertains to wear
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`assemblies for securing wear members to excavating equipment, such as wear
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`assemblies that are suited for attachment to and use on a dredge cutterhead." Ex-
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`1001, 1:14-17.
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`29. Wear assembly generally relate to machine parts that may experience
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`significant wear over time and, consequently, allow for efficient removal and
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`replacement of the worn parts. In the field of excavating equipment, wear assemblies
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`have been known and used for generations. For example, U.S. Patent No. 2,124,230,
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`which issued July 19, 1938 to Hosmer, et al., states "[t]his invention relates to
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`excavating apparatus and … [a] general object of this invention is to provide a
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`practical, effective and long wearing replaceable cap or point for teeth of" the
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`excavating apparatus. (Hosmer, 1:1-8).
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`30. According to the '175 Patent, ground-contacting teeth are generally
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`comprised of a "base" fixed to the equipment and "points" releasably attached to the
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`"base." During use, the teeth experience significant forces and heavy loads, causing
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`wear that requires the teeth, and particularly the points, to be replaced. Ex-1001,
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`1:20-67.
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`31. According to the '175 Patent, the interconnection of the points and bases
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`"needs to be stable and secure" to withstand the significant forces and heavy loads.
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`Id., 1:58-60. "Unstable and insecure engagement between the points [] and their
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`bases [] result in undesired disengagement … which increases time and expense in
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`the dredging operation," including lost parts and downtime to replace points. Id.,
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`1:61-65. "[I]mproved point and base interconnections," concludes the '175 Patent,
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`"would be a welcome advance in the art." Id., 1:65-67.
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`32.
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` The '175 Patent purports to address the need for improved point and
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`base interconnection and describes and claims a "wear assembly" secured to
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`excavating equipment comprised of a "base" and a "wear member," the latter of
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`which corresponds to the aforementioned "point."
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`33. FIG. 2 shows how the wear member (solid lines) fits over the base
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`(shadow lines) in the claimed wear assembly, where the wear assembly 100 includes
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`a base 102 having a forwardly projecting nose 108 onto which a wear member 104
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`is mounted and a mounting end 110 that is attached to excavating equipment. Id.,
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`1:24-31; 5:48-49, 55-59; FIG. 2.
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`DEERE & COMPANY, EX-1002
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`34. FIGS. 4 and 8 show the base and wear member separately. In
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`particular, FIG. 4 shows the base 102 with nose 108 with a body 160 rearward of a
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`front end 140 and "defined by an upper surface 162, a lower surface 164 and side
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`surfaces 166, 168," which diverge rearwardly. Id., 8:22-26. In some constructions,
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`body surfaces 162-168 are concave and curved to define a trough 172 on each side
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`of the body 160. Id., 8:45-48. Similarly, FIG. 8 shows the wear member 104 with
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`corresponding socket walls 182-188 that are convex and curved to define projections
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`192, which are received into troughs 172. Id., 8:49-51. According to the '175 Patent,
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`such a configuration "provides increased resistance to the rotation of wear member
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`104 about base 102 during operation and increases the resistance to vertical and side
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`loading of the point during digging." Id., 8:51-56. The troughs and projections
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`reduce rotational rattle of the wear member 104 on the base 102.
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`35.
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`In some constructions, "[t]he front end 140 of the nose 108 includes
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`front stabilizing surfaces 202, and more specifically including an upper stabilizing
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`surface 202a, a lower stabilizing surface 202b and two side stabilizing surfaces 202c
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`that collectively extend around the perimeter of front end 140 of nose 108." Id.,
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`9:31-35. Further, "the interior side walls defining front end 150 of socket 120
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`include similarly shaped and situated stabilizing surfaces 212a through 212c that
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`match with and contact stabilizing surfaces 202a through 202c, respectively." Id.,
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`9:42-46. The front stabilizing surfaces 202, 212 provide a front stabilizing end
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`adjacent to thrust faces 142, 152 of the nose 108 and socket 120, respectively. Id.,
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`9:46-50. Such front stabilizing surfaces 202 on the front end 140 of the nose 108
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`are provided with a transverse, inward recess, and similarly, each of the front
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`stabilizing surfaces 212 on the front end 150 of the socket 120 are provided with a
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`corresponding transverse, inward projection. Id., 10:1-6.
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`DEERE & COMPANY, EX-1002
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`36.
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`I will reference additional descriptions of the purported invention
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`claimed in the '175 Patent below where appropriate.
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`37.
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`I am informed that, under U.S. patent law, the language of the claims
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`sets forth the metes and bounds of the claimed invention and defines the patent
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`owner's right to exclude others.
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`38. For purposes of this declaration, I have broken down the language of
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`each of the Challenged Claims into separate and distinct limitations and designated
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`these limitations by claim number and subpart. This "claim key" is intended to aid
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`the reader in understanding which limitation I refer to below in the detailed
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`explanation of my opinions in Section V. The "claim key" is attached to the Petition
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`as Ex-1014. For convenience, however, I reproduce the "claim key" below.
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`[1-PRE] A wear member for excavating equipment comprising
`
`CLAIM KEY
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`[1-1] a working section and a mounting section extending generally along
`a longitudinal axis,
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`[1-2] the mounting section including a socket for receiving a base fixed to
`the excavating equipment,
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`[1-3] and the socket having a front stabilizing end and a rear stabilizing
`end, the front stabilizing end is forward of the rear stabilizing end,
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`[1-4] the rear stabilizing end including a plurality of rear stabilizing
`surfaces,
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`[1-5] the front stabilizing end including a front thrust surface extending
`generally transverse to the longitudinal axis,
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`DEERE & COMPANY, EX-1002
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`CLAIM KEY
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`[1-6] and a top surface, a bottom surface, a first side surface, and a second
`side surface, each said top surface, bottom surface, first side surface, and
`second side surface extending rearwardly from the front thrust surface,
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`[1-7] wherein at least one of the top surface and the bottom surface and
`each of the first side surface and the second side surface has a transverse,
`inward projection in the front stabilizing end
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`[1-8] defined by bearing surfaces that are adjacent to and extend from the
`front thrust surface substantially parallel to the longitudinal axis in an
`axial direction.
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`[2-1] A wear member according to claim 1, wherein the top surface and the
`bottom surface each has a transverse, inward projection defined by bearing
`surfaces that are adjacent to and extend axially substantially parallel to the
`longitudinal axis.
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`[3-1] A wear member according to claim 1, wherein each of the inward
`projections is curved and extends substantially across the width of the front
`stabilizing end.
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`[4-PRE] A wear assembly for excavating equipment comprising:
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`[4-1] a base fixed to the excavating equipment;
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`[4-2] a wear member comprising
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`[4-3] a working section and a mounting section extending generally along
`a longitudinal axis of the wear member,
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`[4-4] the mounting section including a socket
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`[4-5] having a front stabilizing end and a rear stabilizing end, the front
`stabilizing end is forward of the rear stabilizing end,
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`[4-6] the rear stabilizing end including a plurality of rear stabilizing
`surfaces,
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`[4-7] the front stabilizing end including a front thrust surface extending
`generally transverse to the longitudinal axis,
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`[4-8] and a top surface, a bottom surface, a first side surface, and a second
`side surface, each said top surface, bottom surface, first side surface, and
`second side surface extending rearwardly from the front thrust surface,
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`DEERE & COMPANY, EX-1002
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`CLAIM KEY
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`[4-9] wherein each of the first side surface and the second side surface
`has a transverse, inward projection in the front stabilizing end
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`[4-10] defined by bearing surfaces that are adjacent to and extend from
`the front thrust surface substantially parallel to the longitudinal axis in an
`axial direction;
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`[4-11] and an engagement system for releasably holding the wear member
`to the base.
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`[5-1] A wear assembly according to claim 4, wherein the base includes a nose
`having a front end with an exterior configuration shaped to substantially
`conform to a shape of the front stabilizing end of the socket.
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`[6-PRE] A wear member for excavating equipment comprising
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`[6-1] a working section and a mounting section extending generally along
`a longitudinal axis,
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`[6-2] the mounting section including a socket for receiving a base fixed to
`the excavating equipment,
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`[6-3] and the socket having a front end and a rear end, the front end is
`forward of the rear end,
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`[6-4] the rear end including a plurality of rear stabilizing surfaces,
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`[6-5] the front end including a front thrust surface extending generally
`transverse to the longitudinal axis
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`[6-6] and a top surface, a bottom surface, a first side surface, and a second
`side surface, each said top surface, bottom surface, first side surface, and
`second side surface extending rearwardly from the front thrust surface,
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`[6-7] wherein each of the first side surface and the second side surface
`has an inward projection in the front end axially extending from the front
`thrust surface,
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`[6-8] and wherein the inward projection extends into the rear end of the
`socket and substantially along an entire length of the socket,
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`[6-9] the inward projection having front bearing surfaces in the front end
`adjacent to the front thrust surface and rear bearing surfaces in the rear
`end
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`DEERE & COMPANY, EX-1002
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`CLAIM KEY
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`[6-10] that each axially extend substantially parallel to the longitudinal
`axis.
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`[7-1] A wear member according to claim 6, wherein each of the top surface, the
`bottom surface, the first side surface, and the second side surface has a
`transverse, inward projection extending from the front thrust face and
`substantially along the entire length of the socket.
`
`[8-1] A wear member according to claim 7, wherein each of the inward
`projections is curved and extending substantially across the width of the front
`end.
`
`[9-PRE] A wear assembly for excavating equipment comprising:
`
`[9-1] a base fixed to the excavating equipment;
`
`[9-2] a wear member comprising
`
`[9-3] a working section and a mounting section extending generally along
`a longitudinal axis of the wear member,
`
`[9-4] the mounting section including a socket
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`[9-5] having a front end and a rear end, the front end is forward of the
`rear end,
`
`[9-6] the rear end including a plurality of rear stabilizing surfaces,
`
`[9-7] the front end including a front thrust surface extending generally
`transverse to the longitudinal axis,
`
`[9-8] and a top surface, a bottom surface, a first side surface, and a second
`side surface, each said top surface, bottom surface, first side surface, and
`second side surface extending rearwardly from the front thrust surface,
`
`[9-9] wherein at least one of the top surface and the bottom surface and
`each of the first side surface and the second side surface has an inward
`projection in the front end axially extending from the front thrust surface
`
`[9-10] and wherein the inward projection extends into the rear end of the
`socket and substantially along an entire length of the socket,
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`[9-11] the inward projection having front bearing surfaces in the front end
`adjacent to the front thrust surface and rear bearing surfaces in the rear
`end
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`CLAIM KEY
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`[9-12] that each axially extend substantially parallel to the longitudinal
`axis;
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`[9-13] and an engagement system for releasably holding the wear member
`to the base.
`
`[10-1] A wear assembly according to claim 9, wherein the base includes a nose
`having a front end with an exterior configuration including a trough shaped to
`receive each of the transverse, inward projections of the socket.
`
`[11-1] A wear member according to claim 9, wherein each of the inward
`projections is curved and extending substantially across the width of the front
`stabilizing end.
`
`[12-1] A wear assembly according to claim 11, wherein the base includes a nose
`having a front end with an exterior configuration including a trough shaped to
`receive each of the transverse, inward projections of the socket.
`
`[13-PRE] A wear member for excavating equipment comprising
`
`[13-1] a working section and a mounting section,
`
`[13-2] the mounting section including a socket open rearwardly to receive
`a base secured to the excavating equipment,
`
`[13-3] the socket having a longitudinal axis
`
`[13-4] and including a front end and a rear end,
`
`[13-5] the front end including a front thrust surface,
`
`[13-6] a top side, a bottom side and opposite lateral sides, each of the top,
`bottom and lateral sides extending rearward of the front thrust face,
`
`[13-7] each of the lateral sides including an inward, axially extending
`projection
`
`[13-8] defined by bearing surfaces to contact and bear against the base,
`the bearing surfaces being adjacent to and extend rearward from the front
`thrust surface in an axial orientation that is substantially parallel to the
`longitudinal axis,
`
`[13-9] wherein the rear end of the socket is rearward of the top, bottom
`and lateral sides of the front end.
`
`17
`
`DEERE & COMPANY, EX-1002
`PAGE 18
`
`
`
`
`
`CLAIM KEY
`
`[14-1] A wear member according to claim 13 wherein each said projection has a
`generally V-shaped configuration defined by a pair of the bearing surfaces.
`
`[15-1] A wear member according to claim 13 wherein the rear end is defined by
`a top side, a bottom side and opposite lateral sides each of which extend
`rearward from the front end, and each of the lateral sides of the rear end include
`a transverse, inward projection defined by bearing surfaces to contact and bear
`against the base that are aligned and contiguous with the projections in the front
`end.
`
`[16-1] A wear member according to claim 13 wherein at least one of the top side
`and the bottom side includes an inward, axially extending projection defined by
`bearing surfaces to contact and bear against the base, and the bearing surfaces
`are adjacent to and extend rearward from the front thrust surface in an axial
`orientation that is substantially parallel to the longitudinal axis.
`
`[17-PRE] A wear assembly for excavating equipment comprising:
`
`[17-1] a base secured to the excavating equipment;
`
`[17-2] a wear member for excavating equipment comprising
`
`[17-3] a working section and a mounting section,
`
`[17-4] the mounting section including a socket open rearwardly to receive
`a base secured to the excavating equipment,
`
`[17-5] the socket having a longitudinal axis
`
`[17-6] and including a front end and a rear end,
`
`[17-7] the front end including a front thrust surface
`
`[17-8] a top side, a bottom side and opposite lateral sides, each of the top,
`bottom and lateral sides extending rearward of the front thrust face,
`
`[17-9] each of the lateral sides including an inward, axially extending
`projection
`
`[17-10] defined by bearing surfaces to contact and bear against the base,
`the bearing surfaces being adjacent to and extend rearward from the front
`thrust surface in an axial orientation that is substantially parallel to the
`longitudinal axis,
`
`18
`
`DEERE & COMPANY, EX-1002
`PAGE 19
`
`
`
`
`
`CLAIM KEY
`
`[17-11] wherein the rear end of the socket is rearward of the top, bottom
`and lateral sides of the front end; and
`
`[17-12] a lock to contact the base and the wear member and releasably
`hold the wear member to the base.
`
`[18-1] A wear assembly according to claim 17 wherein each said projection has
`a generally V-shaped configuration defined by a pair of the bearing surfaces.
`
`[19-1] A wear assembly according to claim 17 wherein the rear end is defined
`by a top side, a bottom side and opposite lateral sides each of which extend
`rearward from the front end, and each of the lateral sides of the rear end include
`a transverse, inward projection defined by bearing surfaces to contact and bear
`against the base that are aligned and contiguous with the projections in the front
`end.
`
`[20-1] A wear assembly according to claim 17 wherein the base includes a top
`wall, a bottom wall and opposite sidewalls, and each of the sidewalls includes a
`slot corresponding in shape with and receiving the respective projection in the
`socket.
`
`[21-1] A wear assembly according to claim 17 wherein at least one of the top
`side and the bottom side includes an inward, axially extending projection
`defined by bearing surfaces to contact and bear against the base, and the bearing
`surfaces are adjacent to and extend rearward from the front thrust surface in an
`axial orientation that is substantially parallel to the longitudinal axis.
`
`
`B. Carpenter
`
`39. U.S. Patent Application Publication No. 2007/0193075 ("Carpenter"),
`
`titled "Wear Assembly," is the published application of Serial No. 11/706,592, which
`
`was filed on February 14, 2007 and claims priority as a continuation to application
`
`Serial No. 60/774,401, which was filed February 17, 2006. I understand that
`
`Carpenter is prior art to the '175 Patent at least because it published on August 23,
`
`2007, more than one year prior to October 30, 2009, the earliest possible effective
`
`19
`
`DEERE & COMPANY, EX-1002
`PAGE 20
`
`
`
`
`
`filing date of the '175 Patent.
`
`40. On its face, Carpenter indicates that it was assigned to ESCO
`
`Corporation of Portland, Oregon, as was the '175 Patent. The named inventor on the
`
`face of Carpenter is Christopher M. Carpenter. The named inventor on the face of
`
`the '175 Patent is Christopher D. Snyder.
`
`41. Carpenter itself was not before the Examiner during examination of the
`
`'175 Patent, however, U.S. Patent No. 7,730,651 ("Carpenter '651"), which issued
`
`from the same patent application, was before the Examiner during prosecution. The
`
`Examiner applied Carpenter '651 in rejections during prosecution. Based on my
`
`review of Carpenter and Carpenter '651, their respective specifications are the same.
`
`Carpenter is Ex-1006 to the Petition and Carpenter '651 is Ex-1013 to the Petition.
`
`42. Carpenter shows, among others, FIGS 1, 3, and 7, which are reproduced
`
`below:
`
`
`
`
`
`20
`
`DEERE & COMPANY, EX-1002
`PAGE 21
`
`
`
`
`
`
`
`FIG. 1 depicts a completed wear assembly with the wear member placed over a base.
`
`FIGS. 3 and 7 depict the outside of the base 14 and the inside socket of the wear
`
`member 12, respectively.
`
`43. Similar to the '175 Patent, Carpenter discloses a wear assembly for
`
`securing a wear member to excavating equipment. See Ex-1006, ¶ 1. FIG. 1 shows
`
`a wear assembly 10 with a point 12 and a base 15 having a nose 14, where the point
`
`12 and nose 14 are held together by a lock 16. Id., ¶ 26; FIGS. 1, 3. Carpenter
`
`describes "the top, bottom and side walls 20-23 of nose 14 each includes a pair of
`
`stabilizing surfaces 40-47 that are each substantially parallel to axis 34." Id., ¶ 29;
`
`FIG. 3. Further, Carpenter discloses point 12 defines a socket 70 having "a shape
`
`that is complementary to nose 14." Id., ¶ 30.
`
`44. Similar to the '175 Patent, Carpenter acknowledges "wear parts are
`
`commonly subjected to harsh conditions and heavy loading." Id., ¶ 4. "Accordingly,
`
`the wear members wear out over a period of time and need to be replaced." Id.
`
`21
`
`DEERE & COMPANY, EX-1002
`PAGE 22
`
`
`
`
`
`"Many designs," Carpenter states, "have been developed in an effort to enhance the
`
`strength, stability, durability, penetration, safety, and ease of replacement of such
`
`wear members with varying degrees of success." Id.
`
`45. Similar to the '175 Patent, Carpenter was concerned with stability,
`
`strength, and efficiency of replacing wear members, stating "[t]he present invention
`
`pertains to an improved wear assembly for securing wear members to excavating
`
`equipment for enhanced stability, strength, durability, penetration, safety, and ease
`
`of replacement." Id., ¶ 5.
`
`46.
`
`I cite particular pas
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