- PTAB · May 10, 2024 · IPR2024-00032 · APJ Brian D Range · IPR · Institution
The Board instituted IPR on claims 1–5, 9, 11, 12, 14–16, 18–22, 25, 27, 29, 31, 32, and 35 on all asserted grounds.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“unless the information presented in the petition “shows that there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” The following findings of fact and conclusions of law are not final, but are made for the sole purpose of determining whether Petitioner meets the threshold for initiating review. Any final decision shall be based on the full trial record, including any response timely filed by Patent Owner. Any arguments not raised by Patent Owner in a timely-filed response may be deemed waived. For the reasons stated below, we determine that Petitioner has established a reasonable likelihood that it would prevail with respect to at least one claim. We hereby institute an inter partes review as to claims 1–5, 9, 11, 12, 14–16, 18–22, 25, 27, 29, 31, 32, and 35 of the ’494 patent based upon Petitioner’s asserted grounds of unpatentability.” slip op. at 2
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Denied
“resolution of the PTAB trial allays concerns about inefficiency and duplication of efforts.” Fintiv at 6. In view of the circumstances, we do not discern that the § 101 issues addressed in the Federal Circuit appeal would duplicate the anticipation and obviousness issues addressed here. Accordingly, given the limited § 101 issues on appeal, we do not discern there are any concerns about duplication of efforts. Moreover, because of the uncertainty of the timing of any remand to the district court to address any anticipation or obviousness issues, the present circumstances with a pending appeal effectively act as a stay on the assessment of invalidity issues.” slip op. at 15
- PTAB / AIA Trials › Discretionary denial › §325(d) same art / argumentsDenied
“an IDS in the ’494 patent, we agree with Patent Owner that the record shows that Bhattacharya and Spain10 were listed on an IDS during prosecution of the parent ’358 patent, which the ’494 patent Examiner was required to consider. Prelim. Resp. 5 (citing MPEP 609.02). As such, we determine that Bhattacharya and Spain were presented previously to the Office. See Prelim. Resp. 9; Advanced Bionics at 7–8. We also agree with Patent Owner that the addition of Meunier does not substantially impact our § 325(d) analysis because of the Petition’s limited reliance on this reference. For these reasons, we determine that the first prong of Advanced Bionics is met and turn to the second prong.” slip op. at 23
- Skill levelSkill level petitioner adoptedOther
“would have at least a Bachelor’s degree in electrical engineering, computer science, or a similar discipline, and at least two years of experience in the field working with working with navigation and/or geolocation systems. 1003 ¶ 8; Pet. 6, n.2. According to Petitioner, “[s]uperior education could compensate for a deficiency in work experience, and vice-versa.” Ex. 1003 ¶ 8. Patent Owner does not dispute the level of ordinary skill in the art. Prelim Resp. 43. For purposes of this Decision, we adopt Petitioner’s proposal as reasonable and consistent with the ’494 patent specification and the prior art. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001) (the prior art may reflect an appropriate level of skill in the art).” slip op. at 8
Claim construction§ 102 anticipation§ 103 obviousnessDiscretionary denialcites KSR · GrahamPatents in suitUS 8,786,494 - PTAB · May 10, 2024 · IPR2024-00031 · APJ Patrick R Scanlon · IPR · Institution
The Board instituted IPR of claims 15–20, 24, 26, and 27 on all asserted grounds, finding a reasonable likelihood of success on anticipation and obviousness.
RulingsInstitution decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“time it was made, 35 U.S.C. § 103 requires us to resolve the level of ordinary skill in the pertinent art at the time of the invention. Graham v. John Deere Co., 383 U.S. 1, 17 (1966). The person of ordinary skill in the art is a hypothetical person who is presumed to have known the relevant art at the time of the invention. In re GPAC, Inc., 57 F.3d 1573, 1579 (Fed. Cir. 1995). Factors that may be considered in determining the level of ordinary skill in the art include, but are not limited to, the types of problems encountered in the art, the sophistication of the technology, and educational level of active workers in the field. Id. In a given case, one or more factors may predominate. Id.” slip op. at 6
- Prior constructionPrior construction adoptedDecided for petitioner
“district-court-type standard, as described in Phillips v. AWH Corp., 415 F.3d 1303 (Fed. Cir. 2005) (en banc). See 37 C.F.R. § 42.100(b). Under that standard, we generally give claim terms their ordinary and customary meaning, as would be understood by a person of ordinary skill in the art at the time of the invention, in light of the language of the claims, the specification, and the prosecution history. See Phillips, 415 F.3d at 1313–14. Although extrinsic evidence, when available, may also be useful when construing claim terms under this standard, extrinsic evidence should be considered in the context of the intrinsic evidence. See id. at 1317–19.” slip op. at 7
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction needed
“district-court-type standard, as described in Phillips v. AWH Corp., 415 F.3d 1303 (Fed. Cir. 2005) (en banc). See 37 C.F.R. § 42.100(b). Under that standard, we generally give claim terms their ordinary and customary meaning, as would be understood by a person of ordinary skill in the art at the time of the invention, in light of the language of the claims, the specification, and the prosecution history. See Phillips, 415 F.3d at 1313–14. Although extrinsic evidence, when available, may also be useful when construing claim terms under this standard, extrinsic evidence should be considered in the context of the intrinsic evidence. See id. at 1317–19.” slip op. at 7
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Decided for petitioner
“Fintiv states that “a district court stay of the litigation pending resolution of the PTAB trial allays concerns about inefficiency and duplication of efforts.” Fintiv at 6. In view of the circumstances, we do not discern that the § 101 issues addressed in the Federal Circuit appeal would duplicate the anticipation and obviousness issues addressed here. Accordingly, given the limited § 101 issues on appeal, we do not discern there are any concerns about duplication of efforts. Moreover, because of the uncertainty of the timing of any remand from the Federal Circuit to the district court to address any anticipation or obviousness issues, the present circumstances with a pending appeal effectively act as a stay on the assessment of invalidity issues.7” slip op. at 12
Claim construction§ 102 anticipation§ 103 obviousnessDiscretionary denialcites GrahamPatents in suitUS 8,400,358 - PTAB · May 9, 2024 · IPR2024-00158 · APJ William V Saindon · IPR · Institution
The Board instituted review of claims 1–4, 7–14, 16, 17, 21, and 22 on all asserted grounds, finding a reasonable likelihood that claim 1 is obvious over Pham and Wu, and granted joinder.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“4. Conclusion for Claim 1 Having reviewed the Petition and Preliminary Response, we determine that Petitioner has a reasonable likelihood of success in showing that the subject matter of claim 1 would have been obvious in view of Pham and Wu. E. Conclusion on the Merits of the Petition We have found that the Petition warrants institution based on Petitioner’s showings for claim 1. We have reviewed Patent Owner’s arguments about the other grounds, but they largely rely on the earlier unpersuasive arguments for claim 1. On whole, we determine that Petitioner has shown that the Petition warrants institution.” slip op. at 18
- PTAB / AIA Trials › Joinder §315(c) / SAS all-or-nothingJoinder, grantedGranted
“FURTHER ORDERED that the Motion for Joinder with IPR2023- 00703 is granted, and Palo Alto Networks, Inc. and Fortinet, Inc. are joined as a party in IPR2023-00703;” slip op. at 27
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Decided for petitioner
“based on the related district court matters identified above. Opp. Mot. Join 4–12. Our analysis under Fintiv is guided by the USPTO Director’s Memorandum issued on June 21, 2022, titled “Interim Procedure for Discretionary Denials in AIA Post Grant Proceedings with Parallel District Court Litigation” (“Director’s Memo”). Pursuant to the Director’s Memo, we “will not discretionarily deny institution . . . where a petitioner presents a [Sotera] stipulation.” Director’s Memo at 3. Because Petitioner has offered a stipulation like in Sotera, i.e., to “not pursue in the copending district court litigation the specific ground asserted in the petition, or any other ground that was raised or could have been reasonably raised in an IPR (i.e., grounds that could have been raised under §§ 102 or 103 on the basis of prior art patent or printed publications)” (Reply Mot. Join 4–5), we do not discretionarily deny institution under Fintiv.” slip op. at 21
- PTAB / AIA Trials › Discretionary denial › General Plastic (serial petitions)Decided for petitioner
“factor one necessarily outweighs the other General Plastic factors.”) (Director Review). Patent Owner focuses its analysis on factor 5 and proposed factor 8. Id. at 13–15. As to factor 5, which looks for an explanation of the time between petition filing, we determine that Petitioner sufficiently explained the time between Cisco’s petition and its own when it noted that it merely filed its petition and request for joinder when the statute permitted it. Reply Mot. Join 6 (citing 37 C.F.R. § 42.122(b)). In particular, the statute requires the earlier petition to be instituted before joining a party. 35 U.S.C. § 315(c) (requiring joinder to be to instituted proceedings). Thus, the time elapsed between filings is motivated by the statutory and regulatory procedures. See also 37 C.F.R. § 42.122(b) (requiring the joinder motion to be filed “no later than one month after the institution date of any inter partes review for which joinder is requested”). As to proposed factor 8, we agree with Petitioner that the present situation does not apply. Reply Mot. Join. 6–7; see also Shenzhen, IPR2018-00761, Paper 15, 18–19 (Saindon, concurring) (“There are legitimate reasons why a petition may be filed after [a decision on institution)].”). Proposed factor 8 analyzes situations where a second petitioner strategically waits to file its petition to see what happens to an earlier filed petition. Shenzhen, IPR2018-00898, Paper 9 at 7. If both of the petitioners were sued at or around the same time, but one waits until the other goes first, it can lead to an inference that the delay in filing a different petition was to gain an unfair advantage. Id. at 14 (looking with disfavor on a wait-and-see strategy to use the first petition as a “test case”). That is not the case here, where the second petition is a copycat petition. The Petition here cannot be said to have been filed second in order to glean knowledge from the first petition because it is the same petition. Thus, we do not see this Petition as being a strategic attempt to use Cisco’s petition as a “test case,” and do not consider factor 8 to weigh toward denial. Finally, reviewing factor 6, we do not find that granting Petitioner’s motion to join would cause an undue burden on the Board. Petitioner is serving as an “understudy” and thus, from our perspective, Petitioner’s presence does not change the existing Cisco IPR. Patent Owner argues that if Cisco were to settle then Petitioner would continue the proceeding. Opp. Mot. Join. 15. We do not see this as an undue burden in this situation. Petitioner’s Motion for Joinder serves to lessen our burden (as well as Patent Owner’s) compared to the scenario of it filing its own unique petition. We do not see the present case as similar to the Apple case, in which a copycat joinder petition was denied. See Apple, IPR2020-00854, Paper 9. That case, in our view, turned on the fact that the petitioner had already filed a petition that was denied on the merits. See id. at 4 (“In effect, it would be as if [the petitioner] had brought the second challenge to the patent in the first instance,” and labeling this a “serial attack.”). The situation here is not analogous to the Apple case because this is Petitioner’s only petition against the ’436 patent. The Petition is not a “serial attack” on the ’436 patent, it is merely Petitioner’s statutorily required vehicle to join as a party to an existing petition. Accordingly, we do not find factor 6 to weigh towards denial. Reviewing the General Plastic factors as a whole, including proposed factor 8, we find no factors to weigh toward denial and decline to exercise our discretion to deny institution.” slip op. at 24
Claim construction§ 103 obviousnessDiscretionary denialcites KSR · GrahamPatents in suitUS 8,566,612 - PTAB · May 9, 2024 · IPR2024-00099 · APJ William V Saindon · IPR · Institution
The Board instituted review of claims 1–4, 7–14, 16, 17, 21, and 22 on all asserted grounds and granted joinder to IPR2023-00673.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“review under 35 U.S.C. § 314(b) and 37 C.F.R. § 42.4(a). The standard for instituting an inter partes review is set forth in 35 U.S.C. § 314(a), which provides that an inter partes review may not be instituted unless “there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” For the reasons provided below, we determine that Petitioner has satisfied the threshold requirement set forth in 35 U.S.C. § 314(a). Because Petitioner has demonstrated a reasonable likelihood that at least one claim of the ’436 patent is unpatentable, we institute an inter partes review. 37 C.F.R. § 42.108(a) (2023).” slip op. at 2
- Obviousness (§103) › Graham factors (scope of art, differences, level of skill)Instituted
“compressed, or use security protocols, then the packets transit the packet engine. Pet. 41–42 (citing Ex. 1004 ¶¶ 49, 51, 53). Patent Owner argues that only the SA parameter association task in Pham may be offloaded. Prelim. Resp. 26–27 (citing Ex. 1004 ¶¶ 38, 51). Patent Owner’s argument here implies that the filtering function remains at the ingress processor and that some packets will be filtered and never reach the packet engine. See id. (citing, e.g., Ex. 1004 ¶ 38); Ex. 1004 ¶ 38 (“In the preferred embodiments of the present invention, the ingress processors 30, 34 are tasked with filtering and routing functions . . . .”). The statement Patent Owner relies on is not in the same section as the one Petitioner relies on. In other words, it does not appear on this record that we can limit the disclosure of paragraph 51 based on the statements in paragraph 38. On this record, we are not persuaded that only the SA parameter association task can be offloaded. As Pham notes, tasks can be moved between processors to perform load balancing. Ex. 1004 ¶ 54. We see no disclosure that prevents certain tasks from being load balanced or otherwise tasked to the security processor.” slip op. at 16
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundInstituted
“find them persuasive on this record. Id. at 32–33. At a high level, Patent Owner’s arguments are that Petitioner’s modification to Pham would “increase[] complexity and resources.” Id. at 33. On this record, this argument is unpersuasive because even if the addition of Wu’s intrusion detection system was somehow more complex, the reason to combine it is to gain certain beneficial features. See, e.g., Pet. 30–31. Patent Owner’s arguments do not show that the alleged increase in complexity would somehow dissuade a person of ordinary skill in the art from including these beneficial features. See, e.g., Allied Erecting & Dismantling Co. v. Genesis Attachments, LLC, 825 F.3d 1373, 1381 (Fed. Cir. 2016) (“[a] given course of action often has simultaneous advantages and disadvantages, and this does not necessarily obviate motivation to combine”) (alteration in original); Medichem, S.A. v. Rolabo, S.L., 437 F.3d 1157, 1165 (Fed. Cir. 2006) (“a given course of action often has simultaneous advantages and disadvantages, and this does not necessarily obviate motivation to combine”).” slip op. at 17
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Decided for petitioner
“based on the related district court matters identified above. Opp. Mot. Join 4–12. Our analysis under Fintiv is guided by the USPTO Director’s Memorandum issued on June 21, 2022, titled “Interim Procedure for Discretionary Denials in AIA Post Grant Proceedings with Parallel District Court Litigation” (“Director’s Memo”). Pursuant to the Director’s Memo, we “will not discretionarily deny institution . . . where a petitioner presents a [Sotera] stipulation.” Director’s Memo at 3. Because Petitioner has offered a stipulation like in Sotera, i.e., to “not pursue in the copending district court litigation the specific ground asserted in the petition, or any other ground that was raised or could have been reasonably raised in an IPR (i.e., grounds that could have been raised under §§ 102 or 103 on the basis of prior art patent or printed publications)” (Reply Mot. Join 4–5), we do not discretionarily deny institution under Fintiv.” slip op. at 21
Claim construction§ 103 obviousnessDiscretionary denialcites KSR · GrahamPatents in suitUS 7,685,436 - Bj’S Wholesale Club Holdings, Inc. v. Walmart Apollo, LLCAll claims unpatentablePTAB · Apr 11, 2024 · IPR2022-01563 · APJ Neil T Powell · IPR · Final written decision
Claims 1–14 are unpatentable as obvious over Yong and Xavier because the Board found the proposed server-function combination and replication of the virtual terminal sales application obvious.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“have had a Bachelor’s degree in computer science, computer engineering, electrical engineering, or a related field or equivalent coursework or experience, and one to two years of experience with mobile device applications and retail POS systems,” also noting that “[m]ore education can supplement practical experience and vice versa.” Pet. 10 (citing Ex. 1002 ¶ 33). “For purposes of the IPR proceedings related to the ’435 Patent only, [Patent Owner] does not dispute this definition.” PO Resp. 8. For the purposes of this Decision, we apply Petitioner’s proffered level of skill in the art because it appears consistent with the problems addressed in the ’435 patent and the prior art.” slip op. at 12
- Expert testimonyDecided for patent owner
“Patent Owner counters that we should afford full weight to Dr. Williams’s testimony. PO Sur-reply 2. Patent Owner contends that Dr. Williams meets Petitioner’s definition of a person of ordinary skill in the art. Id. According to Patent Owner, “Dr. Williams surpasses the education requirement” and meets the experience requirements. Id. Addressing Petitioner’s concerns about retail technology experience, Patent Owner asserts that “Dr. Williams testified that his MBA curriculum contained coursework that included study of POS systems, particularly though case studies.” Id. at 3 (citing Ex. 2009 ¶ 3; Ex. 1022 16:3–7). “This is precisely the ‘more education in the [person of ordinary skill in the art] definition that can ‘supplement practical experience,’” Patent Owner argues. Id. (citing Pet. 12). Patent Owner persuades us that Petitioner’s concerns regarding Dr. Williams’s retail technology and knowledge and experience are not a basis for affording less weight to Dr. Williams’s testimony.” slip op. at 13
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed board ownDecided for petitioner
“We agree with the parties’ claim construction. Grammatically, within each of claims 1, 3, 5, and 7, each recitation of “the server” refers to the same “server.” Thus, according to these claims’ plain meaning, each and every recitation of “the server” refers to the same server. See Salazar v. AT&T Mobility LLC, 64 F.4th 1311, 1315–16 (Fed. Cir. 2023) (explaining claim language reciting element with definite article refers to same element previously recited) (citing Baldwin Graphic Sys., Inc. v. Siebert, Inc., 512 F.3d 1338, 1342–43 (Fed. Cir. 2008); Harari v. Lee, 655 F.3d 1331, 1341 (Fed. Cir. 2011)). Likewise, according to the plain meaning of claims 10, 12, and 14, each and every recitation of “the server” in these claims refers to the same server. We construe every recitation of “the server” in claims 1, 3, 5, and 7 as referring to the same server. And we construe every recitation of “the server” in claims 10, 12, and 14 as referring to the same server.” slip op. at 14
- Obviousness (§103) › Motivation to combine / reasonable expectation of successUnpatentableMotivation foundUnpatentable
“parties’ arguments and evidence, we determine that a preponderance of the evidence supports Petitioner’s position that it would have been “obvious to combine functions of any [of] its servers 200, 400, 500 into the same server.” E.g. Pet. 8–9, 18–19, 22–23, 25–26; PO Resp. 2–6, 22–25, 28–40; Pet. Reply 1–2, 7–12; PO Sur-reply 1–2, 5–15. It is undisputed that “[i]t was well-understood in the art at the time of the Critical Date that functionality of different servers can be combined in the same server.” Pet. 18–19 (citing Ex. 1002 ¶ 413); see generally PO Resp.; PO Sur-reply. The Petition persuades us that it would have been obvious to implement this known approach in Yong’s system, notwithstanding Patent Owner’s arguments about intentionally keeping servers separate. Pet. 8–9, 18–19, 22–23, 25–26; PO Resp. 2–6, 22–25, 28–40; Pet. Reply 1–2, 7–12; PO Sur-reply 1–2, 5–15. The Petition and its evidence demonstrate that a person of ordinary skill in the art would have recognized that modifying Yong’s disclosure by combining the functionalities of the servers would have produced one logical variation on Yong’s system. Pet. 8–9, 18–19, 22–23, 25–26; Ex. 1002 ¶¶ 112–132, 412–414, 436, 442, 452, 460. As the Petition and Dr. Shamos note, Yong’s servers cooperatively perform functions of Yong’s system by communicating with one another and other system components, such that consolidating the functionality into the same server would result in that server performing all of the same functions that Yong’s servers do separately. Pet. 8–9, 18–19, 22–23, 25–26; Ex. 1002 ¶¶ 112–132, 412–414, 436, 442, 452, 460; See KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 418 (2007) (combination of known devices according to established functions normally obvious); id. at 417 (“[W]hen a patent ‘simply arranges old elements with each performing the same function it had been known to perform’ and yields no more than one would expect from such an arrangement, the combination is obvious”). The Petition and its evidence also persuade us that such a modification would have been well within the ability of a person of ordinary skill in the art and there would have been a reasonable expectation of success. E.g., Pet. 10, 18–19, 22–23, 25–26; Ex. 1002 ¶¶ 30–34, 38–42, 412, 414. As Dr. Shamos notes, Yong itself indicates that the system could use different components on its server side, disclosing that “[a] commercial transaction system (e.g., a commerce system) according to the present invention is configured to include a mobile communication terminal 100, a store POS system 200, and a mobile telecommunication system 300. More preferably, a commercial transaction server 400 and a payment server 500 may be further included.” Ex. 1010, 12:9–13; Ex. 1002 ¶ 412. On the whole, the Petition persuades us that combining the functions of Yong’s servers would have involved no more than an obvious application of a known approach with predictable results. See KSR, 550 U.S. at 416 (“The combination of familiar elements according to known methods is likely to be obvious when it does no more than yield predictable results.”).” slip op. at 29
Patent outcomesUS 10,803,435 unpatentableClaim construction§ 103 obviousnesscites Phillips · KSRPatents in suitUS 10,803,435 - Bj’S Wholesale Club Holdings, Inc. v. Walmart Apollo, LLCAll claims unpatentablePTAB · Apr 11, 2024 · IPR2022-01528 · APJ Neil T Powell · IPR · Final written decision
Claims 15–19 are unpatentable: the Board found claims 15–16 anticipated or obvious and claims 17–19 obvious; it did not reach the Yong-Xavier-Cason ground for claim 17.
RulingsFinal written decision- Skill levelSkill level petitioner adoptedDecided for petitioner
“We find that the ’435 patent and the cited prior art references reflect the appropriate level of skill at the time of the claimed invention and that the level of appropriate skill reflected by those sources is consistent with the definition of a person of ordinary skill in the art proposed by Petitioner. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001). Accordingly, for purposes of this Decision, we adopt Petitioner’s asserted level of ordinary skill in the art.” slip op. at 12
- Expert testimonyDecided for patent owner
“technologies, [and he admits] that his only retail technology experience is limited to MBA case studies from the early 1990s.” Pet. Reply 3 (citing Ex. 1022, 15:20–22, 16:3–7, 17:22–23; Ex. 2010). Based on this, Petitioner advances that we “should afford little weight to Dr. Williams’ testimony.” Id. Patent Owner counters that we should afford full weight to Dr. Williams’s testimony. PO Sur-reply 2. Patent Owner contends that Dr. Williams meets Petitioner’s definition of a person of ordinary skill in the art. Id. According to Patent Owner, “Dr. Williams surpasses the education requirement” and meets the experience requirements. Id. at 3. Addressing Petitioner’s concerns about retail technology experience, Patent Owner asserts that “Dr. Williams testified that his MBA curriculum contained coursework that included study of POS systems, particularly though case studies.” Id. (citing Ex. 2009 ¶ 3; Ex. 1022 16:3–7). “This is precisely the ‘more education’ in the [person of ordinary skill in the art] definition that can ‘supplement practical experience,’” Patent Owner argues. Id. (citing Pet. 12). Patent Owner persuades us that Petitioner’s concerns regarding Dr. Williams’s retail technology and knowledge and experience are not a basis for affording less weight to Dr. Williams’s testimony.” slip op. at 13
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed board ownDecided for patent owner
“Contrary to Patent Owner’s argument, the ’435 patent’s Specification supports Petitioner’s position. As Petitioner argues, the Specification’s disclosure that “[u]ser identification information may include a username, a password, [or] both a username and password” conveys that “a username, a password, [or] both a username and password” is a short, non-exhaustive list of user identification information according to the ’435 patent. Ex. 1001, 6:2–4 (emphasis added). This comports with the plain meaning of “user identification information,” which seemingly would refer to information that identifies a user. Consistent with this, the claim language does not convey any meaning of “user identification information” other than its plain meaning. See, e.g., id. at 24:7–9. Accordingly, we do not adopt Patent Owner’s suggestion that limitation 16a’s “user identification information” requires a username, a password, or both. PO Resp. 72; PO Sur-reply 30. Instead, we conclude that “user identification information” encompasses information that identifies a user.” slip op. at 16
- BurdenPetitioner expert creditedUnpatentable
“Weighing all of the parties’ arguments and evidence, we find Petitioner has shown that Fletchall discloses performing all of limitations 15h–15j’s actions by the same server, specifically payment server 130. For example, Petitioner persuades us that Fletchall discloses payment server 130 performing the actions of limitations 15h and 15i: “retrieving . . . payment information to complete the transaction” and “completing . . . the transaction based on the payment information.” Ex. 1001, 23:43–24:2; Pet. 24–26 (citing Ex. 1008, 4:35–49, 11:3–12, 12:42–45, 13:9–14, 13:45–47; Ex. 1002 ¶¶ 199–204, 206–208, 210; Ex. 1001, 10:59–11:3, Fig. 2B). Petitioner’s evidence also shows that Fletchall discloses limitation 15j’s “transmitting . . . a confirmation receipt to the mobile phone in response to completion of payment for the transaction” by payment server 130 on its own. Ex. 1001, 24:3–5; Pet. 26–27 (citing Ex. 1008, 9:26–32, 11:57–61; Ex. 1002 ¶¶ 213–214). For example, Petitioner cites Fletchall’s disclosure of at least one embodiment in which “the electronic receipt is generated by the payment server (130) and provided to the transaction module (106b) of the mobile POS application (106).” Ex. 1008, 9:26–29; Pet. 27. Thus, Petitioner demonstrates that Fletchall discloses performing all of limitations 15h–15j by payment server 130. This showing is not diminished by Patent Owner’s observation that the Petition mentions Fletchall’s product database 121 when discussing limitation 15j. PO Sur-reply 27 n.12 (citing Pet. 26–27). In the passages Petitioner cites, Fletchall contains multiple, alternative disclosures about creating and sending a receipt. Ex. 1008, 9:26–32, 11:57–61; Pet. 27. For example, Fletchall contains (1) a disclosure that a receipt can be generated and transmitted by payment server 130 on its own (Ex. 1008, 9:26–29) and (2) an alternate disclosure that “[t]he electronic receipt may be generated by the product database (121) in cooperation with the payment server (130) and provided to the transaction module 106(b) of the mobile POS application (106)” (id. at 9:29–32). As Dr. Shamos notes, Fletchall also discloses that “[t]he electronic receipt may be generated by the payment server.” Ex. 1008, 11:19–20; Ex. 1002 ¶ 213. Immediately following this disclosure, Fletchall describes handling the electronic receipt by payment server 130 and product database 121 working in cooperation as an alternative to handling the electronic receipt by payment server 130 on its own: The electronic receipt may be generated by the payment server, by the product database in cooperation with the payment server and/or by a mobile application installed on the mobile device directly. Once generated, the electronic receipt may be sent to the mobile device to be stored in a memory or in a storage device of the mobile device. Ex. 1008, 11:19–25 (emphasis added). Petitioner’s reliance on Fletchall’s disclosure of handling the electronic receipt by payment server 130 on its own supports Petitioner’s case, regardless of Fletchall’s alternate disclosure of handling the electronic receipt by payment server 130 in cooperation with product database 121.” slip op. at 28
Patent outcomesUS 10,803,435 unpatentableClaim construction§ 102 anticipation§ 103 obviousnesscites Phillips · KSRPatents in suitUS 10,803,435 - PTAB · Apr 1, 2024 · IPR2023-01457 · APJ Jon M Jurgovan · IPR · Institution
The Board instituted IPR on claims 44–48 and 50 on all asserted grounds, finding a reasonable likelihood that at least one challenged claim is unpatentable.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“partes review is authorized when “the information presented in the petition . . . and any response . . . shows that there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” 35 U.S.C. § 314(a). Based on the current record, and for the reasons explained below, we determine that Petitioner has established a reasonable likelihood that it would prevail with respect to at least one challenged claim. Accordingly, we grant institution of inter partes review.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“Petitioner asserts that a person of ordinary skill in the art would have had an undergraduate degree in mechanical or electrical engineering or physics, plus 2–3 years of experience in LiDAR design.” slip op. at 9
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededPlain and ordinary meaning
“Neither party proposes that we adopt any construction that was proposed before the ITC. The rules provide that we should consider an ITC determination on claim construction in an inter partes review proceeding. 37 C.F.R. § 42.100(b). However, the ITC made no determination on claim construction before the Section 337 investigation was terminated upon Petitioner’s request for arbitration. Prelim. Resp. 3. Accordingly, the ITC case does not provide any determination on claim construction that we must consider in this proceeding. We decline to explicitly construe “field of view” since neither party advocates for a particular construction. Therefore, we apply the plain and ordinary meaning of “field of view” in the analysis of limitations 44(c) and 44(f), which is “the maximum angle of view that can be seen through a lens or optical instrument,” which may be defined by an aperture, consistent with the textbook definitions discussed above.” slip op. at 11
- Obviousness (§103) › Motivation to combine / reasonable expectation of success › Teaching awayMotivation foundTeaching away not foundDecided for petitioner
“discredit[s], or otherwise discourage[s] the solution claimed.” In re Fulton, 391 F.3d 1195, 1201 (Fed. Cir. 2004). At this time, Patent Owner’s evidence is insufficient to establish that Retterath “criticizes, discredits or otherwise discourages” simultaneous use of Retterath’s waveguides and macro detector lens. See Ex. 1005, Fig. 9 (waveguide layer), Fig. 10 (macro detector lens). Patent Owner may be correct that Retterath describes waveguides and a macro detector lens as alternatives to one another. Prelim. Resp. 30. However, Patent Owner does not show that Retterath (or any other prior art) “criticizes, discredits or otherwise discourages” using the waveguides and macro detector lens together. Meiresonne v. Google, Inc., 849 F.3d 1379, 1382 (Fed. Cir. 2017) (A reference “that ‘merely expresses a general preference for an alternative invention but does not criticize, discredit, or otherwise discourage investigation into’ the claimed invention does not teach away.”)” slip op. at 23
Claim construction§ 103 obviousnesscites Phillips · GrahamPatents in suitUS 11,190,750 - PTAB · Apr 1, 2024 · IPR2023-01456 · APJ Kevin W Cherry · IPR · Institution
The Board instituted IPR on claims 1–3, 5–8, and 10–17 on all asserted grounds, finding a reasonable likelihood that at least one challenged claim would be unpatentable.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“institute an inter partes review. The standard for instituting an inter partes review is set forth in 35 U.S.C. § 314(a), which provides that an inter partes review may not be instituted unless “there is a reasonable likelihood that the petitioner would prevail with respect to at least 1 of the claims challenged in the petition.” The Supreme Court has held that the Board, in a decision to institute under 35 U.S.C. § 314(b), may not institute review on less than all claims challenged in the petition. SAS Inst. Inc. v. Iancu, 138 S. Ct. 1348, 1355–56 (2018). Moreover, in accordance with our rules, “[w]hen instituting inter partes review, the Board will authorize the review to proceed on all of the challenged claims and on all grounds of unpatentability asserted for each claim.” 37 C.F.R. § 42.108(a) (2020); see also PGS Geophysical AS v. Iancu, 891 F.3d 1354, 1360 (Fed. Cir. 2018) (interpreting the statute to require “a simple yes-or-no institution choice respecting a petition, embracing all challenges included in the petition”). Applying those standards, and upon considering the Petition, the Preliminary Response, and the evidence of record, we determine the information presented shows a reasonable likelihood that Petitioner would prevail in establishing the unpatentability of at least one of the challenged claims of the ’381 patent. Accordingly, we institute an inter partes review of all challenged claims (i.e., 1–3, 5–8, and 10–17) of the ’381 patent, based on the grounds asserted in the Petition.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“Petitioner contends that a person of ordinary skill in the art would have “had an undergraduate degree in mechanical or electrical engineering or physics, plus 2-3 years of experience in LiDAR design.” Pet. 3. Patent Owner “adopts Petitioner’s definition of a [person of ordinary skill in the art (POSITA)] as having an undergraduate degree in mechanical or electrical engineering or physics and two to three years of experience in LiDAR design” for purposes of its Preliminary Response. Prelim. Resp. 4. Accordingly, for purposes of this Decision, we apply Petitioner’s unopposed definition of a person of ordinary skill in the art.” slip op. at 9
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)Plain and ordinary meaningDecided for patent owner
“construction for the term ‘field of view’” in the ITC investigation: “detection area defined by an aperture or lens tube.” Prelim. Resp. 19–20 (citing Ex. 2002, 2). Patent Owner notes that Petitioner relied, in the (now terminated) ITC proceeding, on various pieces of extrinsic evidence to support this construction. See id. at 20–22 (citing Ex. 2004, 282; Ex. 2005, 51, 54–56, 70; Ex. 2006, 28). However, Patent Owner does not appear to argue that this construction is correct or that we should adopt it. See id. at 19–22. We decline to adopt a construction at institution that neither party actually advocates. At this stage of the proceeding, we note that some of the definitions that were cited by Petitioner in the ITC proceeding are broader than the proposed construction. See Ex. 2004, 282 (defining “field of view” as “[t]he maximum angle of view that can be seen through a lens or optical instrument”). Thus, it appears that Petitioner’s ITC construction incorporates additional limitations that, at this stage of the proceeding, we are not persuaded are correct. Thus, for purposes of institution, we simply apply the plain and ordinary meaning of the term. If either of the parties believe that a construction of this term is necessary, they should address the proper construction during trial. C.” slip op. at 10
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundDecided for petitioner
“been motivated to combine Retterath and Borowski with predictable results. Pet. 13–19. Petitioner asserts that a person of ordinary skill in the art would have recognized that following Borowski’s suggestions of implementing each pixel in Retterath’s detector array as a “macro-cell” having multiple SPADs would have “the predictable benefits . . . for smart averaging in time and space, enhancing image depth and acquisition speed.” Id. at 14. Petitioner contends that the combined teachings of Retterath and Borowski would “enhance the signal to noise ratio of Retterath’s detectors, and thereby improve system performance.” Id. at 15 (citing Ex. 1003 ¶ 134). Petitioner argues that a person of ordinary skill in the art “would have been prompted to implement Retterath’s LiDAR system using multiple SPADs per pixel (as suggested by Borowski) to achieve the performance advantages of SPADs known before September 2015, such as a high data-rate output in combination with low-power operation (and with the high signal-to-noise ratio described above).” Id. at 16 (citing Ex. 1003 ¶ 135). Petitioner further contends that a person of ordinary skill in the art would have been motivated “to combine Retterath and Borowski to utilize multiple SPADs for each pixel to improve detection capability and accuracy.” Id. Petitioner also argues that a person of ordinary skill in the art “would have been prompted to implement the Retterath-Borowski combination due to Borowski’s express suggestion for ‘an improved trade-off between image depth resolution and fast data acquisition for the detection of movements’. . . by ‘local averaging between adjacent detectors to optimize the tradeoff between speed and sensitivity.’” Id. at 17 (citing Ex. 1006 ¶¶ 3, 26, 83, 136–138, 220, 221, 222, 233, 237, 249, 258, 267–271; Ex. 1003 ¶ 137). Finally, Petitioner argues that a person of ordinary skill in the art “would have found it obvious to combine Retterath and Borowski because doing so was the application of known techniques (Borowski’s suggestion for multi-SPAD detectors) to a known system (Retterath’s LiDAR system that utilized an array of detectors) ready for improvement to yield predictable results.” Id. at 17–18 (citing Ex. 1003 ¶ 138). At this time, Patent Owner does not dispute that there was a motivation to combine Retterrath and Borowski. Accordingly, we find that Petitioner has shown a reasonable likelihood of prevailing in showing that there is a motivation to combine these references.” slip op. at 17
Claim construction§ 103 obviousnesscites Phillips · KSR · GrahamPatents in suitUS 11,178,381 - Hesai Technology Co. Ltd. / Hesai Group et al. v. Ouster, Inc.Institution deniedPTAB · Mar 28, 2024 · IPR2023-01458 · APJ Meredith C Petravick · IPR · Institution
The Board denied institution because the petition did not show a reasonable likelihood that any challenged claim was unpatentable, including under the asserted obviousness grounds.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsInstitution denied
“In an IPR, the petitioner has the burden from the onset to show with particularity why the patent it challenges is unpatentable.” Harmonic Inc. v. Avid Tech., Inc., 815 F.3d 1356, 1363 (Fed. Cir. 2016) (citing 35 U.S.C. § 312(a)(3) (requiring inter partes review petitions to identify “with particularity . . . the evidence that supports the grounds for the challenge to each claim”)); Dynamic Drinkware, LLC v. Nat’l Graphics, Inc., 800 F.3d 1375, 1378 (Fed. Cir. 2015) (discussing the burden of proof in inter partes review). slip op. at 8
- Skill levelSkill level petitioner adoptedOther
“Petitioner asserts: “A [person of ordinary skill in the art (‘POSITA’)] as of August 24, 2016 would have had an undergraduate degree in mechanical engineering, electrical engineering, or physics, and two to three years of experience in LiDAR design.” Pet. 9 (citing Ex. 1003 ¶¶ 59–64). Patent Owner does not dispute Petitioner’s definition of a POSITA. Prelim. Resp. 9. For purposes of this Decision, we adopt Petitioner’s assessment of the level of ordinary skill in the art, as it is consistent with the ’236 patent and the asserted prior art. See Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001).” slip op. at 9
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“In this inter partes review, we apply the same claim construction standard that would be used in a civil action under 35 U.S.C. § 282(b). 37 C.F.R. § 42.100(b). In applying this standard, we generally give claim terms their ordinary and customary meaning as would be understood by a person of ordinary skill in the art at the time of the invention and in the context of the entire patent disclosure. See id.; Phillips v. AWH Corp., 415 F.3d 1303, 1312–14 (Fed. Cir. 2005) (en banc). We do not need to construe any terms explicitly to reach our decision. See Realtime Data LLC v. Iancu, 912 F.3d 1368, 1375 (Fed. Cir. 2019) (“The Board is required to construe ‘only those terms . . . that are in controversy, and only to the extent necessary to resolve the controversy.’” (quoting Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999))); see also Pet. 10 (“[N]o formal constructions are necessary.”); Prelim. Resp. 10 (“[N]o formal constructions are necessary.”).” slip op. at 10
- Obviousness (§103) › Graham factors (scope of art, differences, level of skill)Not shown unpatentableNot shown unpatentable
“On this record, we agree with Patent Owner. With respect to Figure 22, Hall states: As shown in FIG. 22, behind each of the lenses in the cavity 174, are 16 laser emitters organized relatively horizontally, thereby combining for 32 total emitters. Behind the lens of the cavity 170 are 32 detectors that are positioned within a tube 176 of the unit 154. Ex. 1004, 6:67–7:5. Thus, Hall’s specification describes 32 detectors as being behind the lens of cavity 170. But, Annotated Figure 22 depicts 36 dark red circles, which does not match the 32 detectors described in Hall’s specification. Petitioner does not explain this discrepancy in the Petition. Petitioner cites to Dr. Hesselink’s testimony to support its assumption that Annotated Figure 22 shows the claimed arrangement of pixel columns. Pet. 20. Dr. Hesselink’s testimony is conclusory and deficient because it does not sufficiently explain why a POSITA would know the dark red circles in Annotated Figure 22 were the detectors. Ex. 1003, 65–66 (claim chart); see also id. ¶¶ 72–73. Petitioner next argues: “To the extent [Patent Owner] contends Hall does not disclose horizontal and vertical offset pixels, a POSITA would have found it obvious to arrange the pixels in this manner.” Pet. 21 (citing Ex. 1003 ¶¶ 30–36, 66–17). Petitioner’s only support for this argument is the testimony of Dr. Hesselink. Pet. 21. Petitioner, thus, attempts to substitute the testimony of Dr. Hesselink to teach the claimed arrangement of pixels. But, as explained in our Consolidated Trial Practice Guide2 (November 2019) at 36: Expert testimony, however, cannot take the place of a disclosure in a prior art reference, when that disclosure is required as part of the unpatentability analysis . . . . [I]n an obviousness analysis, conclusory assertions from a third party about general knowledge in the art cannot, without supporting evidence of record, supply a limitation that is not evidently and indisputably within the common knowledge of those skilled in the art. K/S Himpp v. Hear-Wear Techs., LLC, 751 F.3d 1362, 1365 (Fed. Cir. 2014). Furthermore, because an inter partes review may only be requested “on the basis of prior art consisting of patents or printed publications,” 35 U.S.C. § 311(b), expert testimony cannot take the place of disclosure from patents or printed publications. In other words, expert testimony may explain “patents and printed publications,” but is not a substitute for disclosure in a prior art reference itself. Petitioner does not rely upon Borowski to teach the claimed arrangement of pixels. See generally Pet. 20–21. Because Petitioner fails to show sufficiently that the combination of Hall and Borowski teaches the arrangement of pixels recited by claim 1, we determine that Petitioner has not met its burden to show that claim 1 would have been obvious over Hall and Borowski.” slip op. at 16
Claim construction§ 103 obviousnesscites Phillips · KSR · GrahamPatents in suitUS 11,422,236 - PTAB · Mar 19, 2024 · IPR2023-01422 · APJ Jon M Jurgovan · IPR · Institution
The Board instituted review of claims 1–2, 4–9, 11–14, 16–17, and 19–25 on all petitioned grounds, finding a reasonable likelihood that claim 14 is obvious over Pacala, Johnson, Pardhan, and Zhang.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“In an [inter partes review], the petitioner has the burden from the onset to show with particularity why the patent it challenges is unpatentable.” Harmonic Inc. v. Avid Tech., Inc., 815 F.3d 1356, 1363 (Fed. Cir. 2016) (citing 35 U.S.C. § 312(a)(3)); see also Intelligent Bio-Sys., 821 F.3d at 1369. Therefore, to prevail in an inter partes review, Petitioner must explain how the proposed combinations of prior art would have rendered the challenged claims unpatentable. We determine whether the information presented in the Petition shows there is a reasonable likelihood that Petitioner would prevail in establishing that at least one of the challenged claims would have been obvious over the proposed combinations of prior art. slip op. at 13
- Skill levelSkill level petitioner adoptedDecided for petitioner
“Petitioner asserts that a person of ordinary skill in the art would have had an undergraduate degree in mechanical or electrical engineering and two to three years of work experience with electro-optical and electro-mechanical devices or systems. Less work experience may be compensated by a higher level of education or vice versa. Pet. 9 (citing Ex. 1003 ¶¶ 39–41). Patent Owner adopts Petitioner’s definition of a person of ordinary skill in the art for the limited purpose of its Preliminary Response. Prelim. Resp. 10. We apply Petitioner’s proposed definition of the level of ordinary skill in the art in this decision. We determine that the undisputed level of skill is consistent with the problems and solutions identified in the ’515 patent and the prior art. Okajima v. Bourdeau, 261 F.3d 1350 (Fed. Cir. 2001). We also determine that the proposed level of skill is reflective of the education and experience a person of ordinary skill would have had.” slip op. at 13
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“Petitioner and Patent Owner each contend that no claim construction is necessary to resolve the patentability disputes in this case. Pet. 9; Prelim. Resp. 11. For purposes of this decision, given that no claim terms are in controversy on the current record, we determine that no express claim construction is necessary. See Realtime Data, LLC v. Iancu, 912 F.3d 1368, 1375 (Fed. Cir. 2019) (“The Board is required to construe ‘only those terms . . . that are in controversy, and only to the extent necessary to resolve the controversy.’” (quoting Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999))).” slip op. at 14
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundDecided for petitioner
“fins with Johnson’s rotor-stator structure would defeat Johnson’s objective of achieving compactness. Prelim. Resp. 23–24, 26–31. However, Petitioner contended that Pardhan’s fins would dissipate heat in the combination, thereby increasing the operating life of the LIDAR device. Pet. 53 (citing Ex. 1003 ¶ 252). Patent Owner’s argument does not address Petitioner’s evidence that the LIDAR device resulting from Petitioner’s combination would have increased operating life, even if some compactness is sacrificed. That there are simultaneous advantages and disadvantages in making the proposed combination does not necessarily negate the motivation to combine. See Allied Erecting and Dismantling Co. v. Genesis Attachments, LLC, 825 F.3d 1373, 1381 (Fed. Cir. 2016).” slip op. at 29
Claim construction§ 103 obviousnesscites Phillips · GrahamPatents in suitUS 11,287,515
Holdings, summaries, rulings, issues, outcomes, winners and claim constructions shown for a decision were generated by a large language model reading the opinion. They are a guide to the decision, not the decision. Confirm every one against the court's own text before relying on it. Outcomes read from the patent owner’s side. Party names are extracted from the decision and are missing on about 900 short Director denials and scans, which carry the trial number instead.