- PTAB · Jan 6, 2023 · IPR2022-01207 · APJ Jon B Tornquist · IPR · Institution
Instituted IPR of claims 1–14, 18, and 19 on all asserted grounds after finding a reasonable likelihood of prevailing on at least one challenged claim.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“Under 35 U.S.C. § 314(a), an inter partes review may not be instituted 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.” For the reasons set forth below, we determine that Petitioner has established a reasonable likelihood that it would prevail with respect to at least one claim. Thus, we hereby institute an inter partes review as to claims 1–14, 18, and 19 of the ’620 patent based upon Petitioner’s asserted grounds of unpatentability.” slip op. at 2
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Denied
“be lifted for each patent for which the petition is denied. As noted above, there are six related petitions at the Board involving the patents before the court. The district court stayed the litigation “pending resolution of the IPR proceedings that have been instituted on the patents at issue in this case.” Ex. 2006, 2. Regarding the length of the stay, the district court explicitly ordered the parties not to use continuance of the fact discovery to October 28, 2022 “as grounds for . . . opposing institution of any post-grant proceeding.” Ex. 2007, 2. Regarding when the stay will be lifted, the order merely gives Patent Owner the opportunity to “seek to lift the stay as to any patents that are not instituted for review.” Ex. 2006, 2 (emphasis added). But we decline to speculate whether the district court would grant such a motion directed only to one of the six patents. Among the reasons warranting a stay of the litigation, the district court found “IPR has the potential to streamline issues for trial” and “the resources the parties will need to expend for experts could be significantly impacted by the outcome of any instituted IPR proceedings.” Id. Thus, the litigation is stayed pending the outcome of the six related proceedings, not merely the outcome of this institution decision, and the district court stayed the litigation for the explicit purpose of gaining efficiency and avoiding duplication of efforts by letting this inter partes review proceed to its conclusion first.14 See Prelim. Reply. 4–5. While Patent Owner may seek to lift the stay as to any patent for which institution is denied, the grant of any such request is uncertain. Accordingly, this factor strongly weighs against discretionary denial of institution.” slip op. at 15
- Skill levelOther
“Petitioner asserts that a person of ordinary skill in the art (POSITA) “would have at least a Ph.D. degree in chemistry, or a bachelor’s or master’s degree plus experience involving the use and design of fluorescent probes or dyes.” Pet. 17 (citing Ex. 1007 ¶¶ 14–18). Patent Owner agrees that a POSITA may have a Ph.D. degree or master’s degree in chemistry, but asserts that a POSITA would also have “some experience with fluorescence” in addition to a degree in chemistry and that the experience of a POSITA with a master’s degree in chemistry is alternatively “industry experience in the field of biological detection systems.” Prelim. Resp. 10 (citing Ex. 2001 ¶ 7). For purposes of this Decision, we need not choose between the parties’ proposed levels of one of ordinary skill in the art, which are quite similar, as neither party asserts that the anticipation or obviousness analyses in this case would turn on which definition is adopted. See Prelim. Resp. 10 (Patent Owner stating that its arguments and conclusions “would not change” if Petitioner’s definition were applied).” slip op. at 10
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)Decided for patent owner
“The express language of claim 1 requires no solubility threshold, and dependent claim 10 demonstrates that where a solubility threshold was intended by the inventors of the ’620 patent they knew how to expressly set forth that threshold in the claims. Compare Ex. 1005, 213:26–27 (“capable of imparting solubility in water”), with id. at 218:12–14 (“The method according to claim 1, wherein each R is a non-ionic side group capable of imparting solubility in water in excess of 10 mg/mL.”). Thus, the claim language does not support applying a particular solubility threshold in claim 1. As noted by Patent Owner, the written description of the ’620 patent explains that “[i]n some embodiments, each R is independently a non-ionic side group capable of imparting solubility in water in excess of 10 mg/mL.” Id. at 54:2–10; Prelim. Resp. 12–13. This solubility threshold, however, is not in claim 1, and we decline to import such a limitation from the written description into claim 1 absent compelling reasons for doing so. See SciMed Life Systems, Inc. v. Advanced Cardiovascular Systems, Inc., 242 F.3d 1337, 1340 (Fed. Cir. 2001) (explaining that “reading a limitation from the written description into the claims” is “one of the cardinal sins of patent law”); see also Thorner v. Sony Comp. Entm’t Am., LLC, 669 F.3d 1362, 1366 (Fed. Cir. 2012) (“It is likewise not enough that the only embodiments, or all of the embodiments, contain a particular limitation. We do not read limitations from the specification into claims; we do not redefine words.”). In view of the foregoing, we construe the term “non-ionic side group capable of imparting solubility in water” to not include any particular numeric solubility threshold.13” slip op. at 12
Claim construction§ 102 anticipation§ 103 obviousnessDiscretionary denialcites KSR · GrahamPatents in suitUS 10,288,620 - PTAB · Jan 6, 2023 · IPR2022-01203 · APJ Christopher L Crumbley · IPR · Institution
The Board instituted IPR on claims 1–10, 12–14, and 17–19 on all asserted grounds, finding a reasonable likelihood of prevailing on at least one challenge.
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. Patent Owner has not persuaded us that we should exercise our discretion to deny institution. We hereby institute an inter partes review as to claims 1–10, 12–14, and 17–19 of the ’989 patent based upon Petitioner’s asserted grounds of unpatentability.” slip op. at 2
- PTAB / AIA Trials › Discretionary denial › Fintiv (parallel litigation)Denied
“in situations where a district court trial date is set to occur before the issuance of the Board’s final written decision. The facts and reasoning of Fintiv are, at a minimum, only applicable to cases in which the district court has actually set a trial date in a copending litigation. But here, as will be discussed below, the parties agree that no trial date has been set, and the District Court has stayed the litigation. Prelim. Reply 8; Prelim. Sur-Reply 6 (“There has never been a trial date.”). Furthermore, that stay will continue until our final determination should we decide to institute trial. Without a trial date, we see no need to engage in a full analysis of the Fintiv factors,14 as there is no basis for Patent Owner’s argument for discretionary denial.” slip op. at 18
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed petitioner constructionDecided for petitioner
“numerical solubility limit into the claims, noting that the ’989 patent expressly defines “non-ionic side groups capable of imparting solubility in water” as simply “side groups which are not charged and allow the resulting polymer to be soluble in water or aqueous solution with no visible particulates.” Prelim. Reply 1 (citing Ex. 1001, 54:9–13). Petitioner notes that this definition contains no numerical limit, and that it is followed by a statement that in some embodiments, the R group is capable of imparting solubility in excess of 10 mg/mL. Id. at 2 (citing Ex. 1001, 54:13–16). Petitioner contends that reading a limitation from “some embodiments” into the claims would be “one of the cardinal sins of patent law.” Id. (citing Phillips, 415 F.3d at 1320; Polaris Innovations Ltd. v. Brent, 48 F.4th 1365, 1375–76 (Fed. Cir. 2022)). Petitioner also directs our attention to related patents that expressly claim a solubility in excess of 10 mg/mL, arguing that when Patent Owner sought to claim such polymers, it knew how to do so. Id. (citing Ex. 1005, 218:11–12; Ex. 1006, 239:43–45, 252:51–52, 254:39–40, 262:56–57, 269:31–35).” slip op. at 15
- Novelty / Anticipation (§102) › Anticipation standard (single reference, every element)Instituted
“proposed claim construction on solubility above, which we declined to do on the present record. For this reason, we find them unpersuasive. In addition, we note that Xue expressly discloses that its glycopolymers utilizing PEG-tethered spacers (Polymers B and C) “are highly water-soluble due to their long, flexible, hydrophilic spacers.” Ex. 1010, Abstract, 2289–90. Petitioner sufficiently sets forth why a person of ordinary skill in the art would have considered the PEG side chains of Xue to impart solubility in water, which is all we have construed the claims to require.” slip op. at 35
Claim construction§ 102 anticipation§ 103 obviousnessDiscretionary denialcites KSRPatents in suitUS 10,458,989 - PTAB · Jan 3, 2023 · IPR2022-00971 · APJ Scott A Daniels · IPR · Institution
The Board instituted IPR on claims 1–7, 9, 13, and 19 on all petitioned grounds, finding a reasonable likelihood that Gelvin anticipates at least claim 1.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“Under 35 U.S.C. § 314(a), 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.” Upon consideration of the arguments and evidence presented by Petitioner, we are persuaded that Petitioner has demonstrated a reasonable likelihood that it would prevail in showing the unpatentability of at least one of the challenged claims. See 35 U.S.C. § 314(a). Accordingly, we institute an inter partes review of the challenged claims.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“record, and does not expressly dispute Petitioner’s definition of a person of ordinary skill in the art. See gen. Prelim. Resp. On this record, Petitioner’s proposed level of ordinary skill in the art is not disputed and is consistent with our review and understanding of the technology and descriptions in the ’771 patent and the asserted prior art references. Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001). For purposes of this Decision, we rely on Petitioner’s proposed level of ordinary skill in the art.” slip op. at 8
- Prior constructionPrior construction adoptedDecided for petitioner
“Petitioner argues that even though the Board construed these terms under the broadest reasonable standard in the Motorola IPR, “[f]or purposes of this Petition, the Phillips standard does not require any different construction, and Petitioner’s proffered grounds are consistent with the above constructions.” Id. at 11. Patent Owner does not provide any express claim constructions nor dispute Petitioner’s proposed constructions from the Motorola IPR. At this preliminary stage of the proceeding, at least for the sake of consistency at institution, we rely on the Board’s earlier constructions in the Motorola IPR. We acknowledge that Patent Owner has not yet provided any substantive claim construction in its Preliminary Response, however Patent Owner has the opportunity to address this matter in its Patent Owner’s Response should it desire to do so.” slip op. at 9
- Novelty / Anticipation (§102) › Anticipation standard (single reference, every element)Reference is prior artInstituted
“We consider Patent Owner’s argument, and agree to an extent, that Gelvin describes the PDA in Figure 5 as “coupl[ing] to the Internet 599 through a service provider that specializes in low-rate communications,” rather than through WINS network architecture 500. Ex. 1005, 9:48–50. But read in context, Gelvin does not appear limited to this embodiment. For example, after describing the three ways that Gelvin’s WINS network architecture 500 can couple to the internet, Gelvin broadly describes that “[t]he WINS vehicle internetwork of an embodiment includes functionality that enables convenient and secure coupling of diverse networks and devices.” Id. at 9:58–60. Also, Gelvin explains other ways in which the vehicle network connects with the Internet. Gelvin for instance, describes with respect to Figure 6 that “[i]n operation, the vehicular network 602 tries to select the most cost-effective communication alternative that provides the desired level of service.” Id. at 10:20–22. When connecting to an external ISP (Internet Service Provider), Gelvin explains that one option is “the ISP uses the vehicle’s cellular phone number to attempt to establish a coupling over the telephone network, and tunnel the packet through. While the cell associated cost, and thus the reason for attempting other means of communication.” Id. at 10:35–40. Gelvin’s disclosure does not, on the record at this stage of the proceeding, appear limited to the PDA communicating via the internet on its own network. Particularly, where Gelvin provides various embodiments and communication methods and explains that given the WINS architecture, “[p]otentially, any number of available methods of communication can be attempted.” Id. at 10:40–41.” slip op. at 20
Claim construction§ 102 anticipationPatents in suitUS 7,382,771 - Toyota Motor Corp. v. Intellectual Ventures II LLCInstitution deniedPTAB · Jan 3, 2023 · IPR2022-01127 · APJ Scott A Daniels · IPR · Institution
The Board denied institution because Toyota did not show a reasonable likelihood that any challenged claim was unpatentable, including because Peisa did not disclose selecting data from fewer than all radio bearers.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsInstitution denied
“Under 35 U.S.C. § 314(a), 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.” Upon consideration of the arguments and evidence presented by Petitioner, we are not persuaded that Petitioner has demonstrated a reasonable likelihood that it would prevail in showing the unpatentability of at least one of the challenged claims. See 35 U.S.C. § 314(a). Accordingly, we do not institute an inter partes review of the challenged claims.” slip op. at 2
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed patent owner constructionDecided for patent owner
“The following limitation 1[g], however, provides that “in the first iteration . . . data is selected from a subset of the plurality of radio bearers.” Id. at 14:10–11 (emphasis added). This clause does not simply reiterate “the plurality of radio bearers,” but expressly adds “a subset.” The word “subset” plainly modifies “a plurality of radio bearers,” and must have some limiting meaning. For example, if we were to interpret “subset” as encompassing all or less than all of the radio bearers as Petitioner asserts, than the word, i.e., limitation, “subset” is entirely unnecessary, given that the claim already provides such broader meaning. See Stumbo v. Eastman Outdoors, Inc., 508 F.3d 1358, 1362 (Fed. Cir. 2007) (denouncing claim constructions that render phrases in claims superfluous). See Bicon Inc. v. Straumann Co., 441 F.3d 945, 950 (Fed. Cir. 2006) (“[C]laims are interpreted with an eye toward giving effect to all terms in the claim”). Indeed, if “a subset” can include data selected from all the radio bearer’s then Petitioner’s interpretation reads the term “subset” essentially, if not entirely, out of the claim.” slip op. at 15
- Novelty / Anticipation (§102) › Anticipation standard (single reference, every element)Not shown unpatentable
“This argument and Dr. Akl’s testimony is problematic because it does not explain technically, or logically, why input flows that transmit less than “a determined fair distribution” are “non-selected.” Neither the arguments in the Petition, nor Dr. Akl’s testimony, fully address this particular jump in logic. Even if the input flow transmits less than its fair distribution of bandwidth, (and a backlog counter is incremented to reflect that the input flow has buffered data that was not transmitted), this does not explain that a particular radio bearer is excluded from being allocated bandwidth resources such that it is “non-selected,” i.e., that resources are applied only to less than all of the radio bearers. The Petition even tacitly acknowledges that each input flow in Peisa transmits data, explaining that “[w]hen the scheduling algorithm does reach step 445 in the first iteration, it will ‘update’ the ‘backlog counters’ for each input flow that did not get to transmit all of its data during the first iteration.” Id. at 49 (citing Ex. 1004, 9:1–34).” slip op. at 26
- Obviousness (§103) › Graham factors (scope of art, differences, level of skill)Not shown unpatentable
“Apart from “a processor,” Petitioner does not discuss or analyze any additional limitations, including limitations 1[g] and 8[h], with respect to obviousness. See Pet. 63 (“Thus, the “processor” and ‘processor configured to . . .’ limitations of claims 1 and 8 would have at least been obvious based on Peisa.”). Petitioner relies on its evidence and arguments with respect to ground 1 for the remainder of the obviousness ground. See id. (The Petitioner states “given the above-discussed disclosures of Peisa in Ground 1 for the other limitations of claims 1–4, 6–11 and 13–14, Peisa would have at least rendered obvious claims 1–4, 6–11 and 13–14) (citing Ex. 1003 ¶¶ 169–73). Petitioner’s obviousness ground based on Peisa, thus does not provide persuasive evidence or arguments that a person of ordinary skill in the art would have understood Peisa to disclose the limitations in limitations 1[g] and 8[h]. Accordingly, based on the arguments and evidence of parties on the record before us, we determine that Petitioner has not established a reasonable likelihood of showing any of the challenged claims as obvious over Peisa.” slip op. at 31
Claim construction§ 102 anticipation§ 103 obviousnessPatents in suitUS 10,292,138 - Alcon Inc. / Alcon Vision, LLC et al. v. Amo Development, LLCAll claims unpatentablePTAB · Dec 1, 2022 · IPR2021-00849 · APJ Jon B Tornquist · IPR · Final written decision
Claims 1–14 are unpatentable under § 103 over the Swinger-based grounds; the Board did not reach the Blumenkranz-based grounds.
RulingsFinal written decision- Skill levelSkill level board ownOther
“Both parties present compelling evidence that those of skill in the art would include individuals with experience in ophthalmology, as well as in the research, manufacture, and design of medical optics or medical lasers. Pet. 26; PO Resp. 10. The evidence of record also demonstrates that few individuals actually had such experience. Rather, teams of individuals with different expertise and various academic degrees would work together to design laser surgery systems intended to make incisions in the lens of the eye. Accordingly, we find that the person of ordinary skill in the art would have been an ophthalmic surgeon or someone with a Ph.D., M.S., or B.S. degree in physics, biomedical engineering, or a related science such as optical engineering, with experience in researching, manufacturing, or designing medical optics or medical lasers (e.g., Ph.D. or five or more years to compensate for lesser degrees). Such individuals would have worked in collaboration with one another to fill any necessary gaps in knowledge (e.g., the engineer would consult the medical doctor on clinical issues or physiology and the medical doctor would consult the engineer on technical issues). This definition marries the two proposed by the parties.” slip op. at 10
- Expert testimonyPetitioner expert creditedDecided for petitioner
“device to obtain “a qualitatively novel and previously unachievable quantitative description of the eye in respect of diagnostics and therapeutics” and providing this information as a data record to introduce the optimal ablation pattern to a patient’s eye. Ex. 1020 ¶¶ 38–39, 46. As Patent Owner notes, Benedikt does not describe the laser system that obtains the “data record” and introduces the optimal ablation pattern to a patient’s eye. PO Resp. 48. Benedikt also does not expressly state that a controller generates the incision pattern, as opposed to the incision pattern being generated by a surgeon or technician. Id. at 49. That said, Benedikt discloses using programs and data to generate the optimal ablation pattern and to automate laser surgery. Ex. 1020 ¶¶ 39, 46. When viewed as a whole, we credit the testimony of Dr. Lubatschowski that one of ordinary its data record to a controller that is programmed to generate optimal incision patterns for the cornea of a patient’s eye. Ex. 1001 ¶¶ 472–473 (citing Ex. 1020 ¶¶ 36, 39, 42); Pet. 56. In view of the foregoing, we find persuasive Petitioner’s argument that the combination of Swinger, Weikert, Benedikt, and Kurtz teaches or suggests a controller programmed to use OCT signals (in addition to signals from a profilometer) to determine an incision pattern for the cornea of a patient’s eye, as recited in independent claim 1.” slip op. at 24
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“Both parties provide a construction for the term “cataract incision.” Pet. 7–9; PO Resp. 12–13. Upon review of the parties’ arguments and supporting evidence, and in view of the fact that neither party contests that Weikert discloses a cataract incision under either party’s proposed construction of that term, we determine that no claim terms require express construction for purposes of this Final Written Decision. See Nidec Motor Corp. v. Zhongshan Broad Ocean Motor Co., 868 F.3d 1013, 1017 (Fed. Cir. 2017) (quoting Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999) (“[O]nly those terms need be construed that are in controversy, and only to the extent necessary to resolve the controversy.”)).” slip op. at 11
- Novelty / Anticipation (§102) › Prior-art status of a reference › Printed publication / public accessibilityPrinted publication establishedDecided for petitioner
“A petition must “identify with particularity the grounds for institution and evidence supporting such grounds,” including “the prior art relied upon and evidence that it qualifies as such.” Hulu, LLC v. Sound View Innovations, LLC, IPR2018-01039, Paper 29 at 13 (PTAB Dec. 20, 2019) (precedential) (citing 35 U.S.C. § 312(a)). The Petition identifies the grounds for institution and the evidence supporting such grounds, and presents evidence that Weikert qualifies as prior art under 35 U.S.C. § 102(b). Pet. 5–6, 28–29. For example, Petitioner and Dr. Lubatschowski assert that CATARACT AND REFRACTIVE SURGERY “is a quarterly review” slip op. at 12
Patent outcomesUS 10,709,548 unpatentableClaim construction§ 102 anticipation§ 103 obviousnesscites KSR · GrahamPatents in suitUS 10,709,548 - Alcon Inc. / Alcon Vision, LLC et al. v. Amo Development, LLCAll claims unpatentablePTAB · Dec 1, 2022 · IPR2021-00846 · APJ Jon B Tornquist · IPR · Final written decision
Claims 1–12 are unpatentable as obvious over Swinger, Weikert, and Benedikt (claims 1–8), and with L’Esperance added (claims 9–12).
RulingsFinal written decision- Skill levelSkill level board ownDecided for petitioner
“Both parties present compelling evidence that those of skill in the art would include individuals with experience in ophthalmology, as well as in the research, manufacture, and design of medical optics or medical lasers. Pet. 25; PO Resp. 8. The evidence of record also demonstrates that few individuals actually had such experience. Rather, teams of individuals with design laser surgery systems intended to make incisions in the lens of the eye. Accordingly, we find that the person of ordinary skill in the art would have been an ophthalmic surgeon or someone with a Ph.D., M.S., or B.S. degree in physics, biomedical engineering, or a related science such as optical engineering, with experience in researching, manufacturing, or designing medical optics or medical lasers (e.g., Ph.D. or five or more years to compensate for lesser degrees). Such individuals would have worked in collaboration with one another to fill any necessary gaps in knowledge (e.g., the engineer would consult the medical doctor on clinical issues or physiology and the medical doctor would consult the engineer on technical issues). This definition marries the two proposed by the parties.” slip op. at 10
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“Petitioner provides constructions for the terms “cataract incision” and “a delivery system for delivering the laser beam to the target tissue to form a cataract incision.” Pet. 7–9. Patent Owner provides a construction for the term “cataract incision.” PO Resp. 10–11. Upon review of the parties’ arguments and supporting evidence, including the fact that neither party disputes that Weikert expressly discloses cataract incisions under either parties’ interpretation of that term, we determine that no claim terms require express construction for purposes of this Final Written Decision. See Nidec Motor Corp. v. Zhongshan Broad Ocean Motor Co., 868 F.3d 1013, 1017 (Fed. Cir. 2017) (quoting Vivid Techs., Inc. v. Am. Sci. & Eng’g, Inc., 200 F.3d 795, 803 (Fed. Cir. 1999) (“[O]nly those terms need be construed that are in controversy, and only to the extent necessary to resolve the controversy.”)).” slip op. at 12
- Novelty / Anticipation (§102) › Prior-art status of a reference › Printed publication / public accessibilityPrinted publication establishedDecided for petitioner
“A petition must “identify with particularity the grounds for institution and evidence supporting such grounds,” including “the prior art relied upon and evidence that it qualifies as such.” Hulu, LLC v. Sound View Innovations, LLC, IPR2018-01039, Paper 29 at 13 (PTAB Dec. 20, 2019) (precedential) (citing 35 U.S.C. § 312(a)). The Petition identifies the grounds for institution and the evidence supporting such grounds, and presents evidence that Weikert qualifies as prior art under 35 U.S.C. § 102(b). Pet. 5–6, 27–28. For example, Petitioner and Dr. Lubatschowski assert that CATARACT AND REFRACTIVE SURGERY “is a quarterly review series comprising chapters written by well-known specialists,” and that Weikert was included in the 2005 edition of CATARACT AND REFRACTIVE SURGERY as Chapter 14: Refractive Keratotomy: Does it Have a Future Role in Refractive Surgery? Ex. 1001 ¶ 73; Pet. 5–6, 27–28.” slip op. at 13
- Obviousness (§103) › Motivation to combine / reasonable expectation of successMotivation foundReasonable expectation foundDecided for petitioner
“Benedikt describes its combined topometer/OCT imaging device as providing a “previously unattainable comprehensive topometerical/topographical illustration of the cornea” and discloses using this comprehensive data to automate corneal laser surgery. Ex. 1020 ¶¶ 39, 46; Pet. 55–56. In contrast to the comprehensive illustration of the cornea provided by Benedikt’s system, Petitioner demonstrates that HeNe beams are limited to visualizing the surface of eye tissue at a single point. Ex. 1070 ¶¶ 32–34; Pet. Reply 23; Ex. 1073, 254:2–14; Ex. 1001 ¶¶ 29–31. As Petitioner proposes to use the system of Swinger to make incisions in the cornea, which Benedikt’s system can image comprehensively, we find persuasive Petitioner’s argument that one of ordinary skill in the art would have found it beneficial to implement Benedikt’s imaging device to aid Swinger’s corneal surgery procedure(s). (2)” slip op. at 25
Patent outcomesUS 10,376,356 unpatentableClaim construction§ 102 anticipation§ 103 obviousnesscites KSR · GrahamPatents in suitUS 10,376,356 - Alcon Inc. / Alcon Vision, LLC et al. v. Amo Development, LLCAll claims unpatentablePTAB · Nov 4, 2022 · IPR2021-00843 · APJ Jon B Tornquist · IPR · Final written decision
Claims 1–17 are unpatentable under §103 over the asserted combinations of prior art.
RulingsFinal written decision- Skill levelSkill level board ownOther
“Both parties present compelling evidence that those of skill in the art would include individuals with experience in ophthalmology, as well as in the research, manufacture, and design of medical optics or medical lasers. Pet. 28; PO Resp. 8. The evidence of record also demonstrates that few individuals actually had such experience. Rather, teams of individuals with different expertise and various academic degrees would work together to design laser surgery systems intended to make incisions in the lens of the eye. Accordingly, we find that the person of ordinary skill in the art would have been an ophthalmic surgeon or someone with a Ph.D., M.S., or B.S. degree in physics, biomedical engineering, or a related science such as optical engineering, with experience in researching, manufacturing, or designing medical optics or medical lasers (e.g., Ph.D. or five or more years to compensate for lesser degrees). These individuals would have worked in collaboration with one another to fill any necessary gaps in knowledge (e.g., the engineer would consult the medical doctor on clinical issues or” slip op. at 10
- Claim Construction › Intrinsic evidence (Phillips canons) › Preamble limiting or notPreamble limitingDecided for patent owner
“[C]lear reliance on the preamble during prosecution to distinguish the claimed invention from the prior art transforms the preamble into a claim limitation because such reliance indicates use of the preamble to define, in part, the claimed invention.” Catalina Mkt’g Int’l, Inc. v. Coolsavings.com, Inc., 289 F.3d 801, 808–09 (Fed. Cir. 2002). Here, and as discussed in further detail below, the Examiner expressly allowed the claims, in part, due to an Examiner’s Amendment changing “scanning system” to “cataract surgery scanning system.” Ex. 1006, 13, 15, 18. This reliance on the preamble to help define the claimed invention transforms this portion of the preamble into a limitation. See Catalina Mkt’g, 289 F.3d. at 808. slip op. at 13
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed board ownDecided for petitioner
“(4) Analysis As discussed above, the intrinsic record of the ’023 patent, that is, the claims, written description, and prosecution history, suggests that a “cataract surgery scanning system” is one that is capable of performing at least one incision related to cataract surgery. This may include cataract and relaxation incisions in the cornea, limbus, or sclera, or incisions in the lens or lens capsule. Accordingly, we construe the claim term “cataract surgery scanning system” to require that the system be designed to, or capable of, performing at least one step of cataract surgery, such as creating an incision in the cornea or other exterior tissues to allow access for surgical instruments, correcting for astigmatism, creating an opening in the anterior lens capsule, or fragmenting the lens. See Pet. 20 (Petitioner describing the steps of a “typical cataract surgery”).” slip op. at 20
- Prior constructionPrior construction adoptedDecided for patent owner
“In the Institution Decision, after reviewing the claims, written description, and prosecution history, we construed the claim phrase “cataract incision therein that provides access to an eye chamber of the patient’s eye, the incision . . . only partially extending through the target tissue” to require “a partially penetrating cataract incision that, when completed by the surgeon or another individual, allows access for lens removal instrumentation.” Dec. 13–14. Patent Owner agrees with this construction (PO Resp. 13) and Petitioner does not expressly dispute the construction in its Reply. Accordingly, for the reasons set forth in the Institution Decision, we adopt this construction for purposes of this Final Written Decision.” slip op. at 21
Patent outcomesUS 9,233,023 unpatentableClaim construction§ 102 anticipation§ 103 obviousnesscites KSR · GrahamPatents in suitUS 9,233,023 - Alcon Inc. / Alcon Vision, LLC et al. v. Amo Development, LLCAll claims unpatentablePTAB · Nov 4, 2022 · IPR2021-00845 · APJ Jon B Tornquist · IPR · Final written decision
Claims 1–17 and 20–26 are unpatentable, including as obvious over Kurtz, Swinger, and Weikert and, for specified claims, over Blumenkranz, Kurtz, Weikert, and Benedikt.
RulingsFinal written decision- Skill levelSkill level board ownDecided for petitioner
“Both parties present compelling evidence that those of skill in the art would include individuals with experience in ophthalmology, as well as in the research, manufacture, and design of medical optics or medical lasers. Pet. 24–25; PO Resp. 10. The evidence of record also demonstrates that few individuals actually had such experience. Rather, teams of individuals with different expertise and various academic degrees would work together to design laser surgery systems intended to make incisions in the cornea, limbus, sclera, or lens of the eye. Thus, we find that the person of ordinary skill in the art would have been an ophthalmic surgeon or someone with a Ph.D., M.S., or B.S. degree in physics, biomedical engineering, or a related science, such as optical engineering, and having experience in researching, manufacturing, or designing medical optics or medical lasers (e.g., 5 years of experience for a Ph.D. or more to compensate for lesser degrees). We further find that such persons would have worked in collaboration with one another to fill any necessary gaps in knowledge (e.g., the engineer would consult the medical doctor on clinical issues or physiology and the medical doctor would consult” slip op. at 11
- Claim Construction › Intrinsic evidence (Phillips canons) › Preamble limiting or notPreamble limitingDecided for patent owner
“[C]lear reliance on the preamble during prosecution to distinguish the claimed invention from the prior art transforms the preamble into a claim limitation because such reliance indicates use of the preamble to define, in part, the claimed invention.” Catalina Mkt’g Int’l, Inc. v. Coolsavings.com, Inc., 289 F.3d 801, 808–09 (Fed. Cir. 2002). Here, and as discussed in further detail below, the Examiner expressly allowed the claims, in part, due to an Examiner’s Amendment changing “[a] method” to “[a] cataract surgery method.” Ex. 1009, 16. This reliance on the preamble to define the claimed invention transforms this portion of the preamble into a limitation. See Catalina Mkt’g, 289 F.3d. at 808. slip op. at 14
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed board ownDecided for petitioner
“In view of the foregoing, we understand that the addition of the term “cataract surgery method” was intended to make clear that the claimed method is used to make specific incisions related to cataract surgery, and not merely incisions “whose purpose is to reshape the cornea,” as disclosed for example in Bille. Id. at 64. We do not find that the prosecution history suggests that the term “cataract surgery method” requires that the method be used to form the claimed incisions in the cornea, limbus, or sclera, as well as unclaimed incisions in the lens or lens capsule. d) Analysis As discussed above, the intrinsic record of the ’024 patent, that is, the claims, written description, and prosecution history, suggests that a “cataract surgery method” is one that is used to create at least one incision related to cataract surgery. This may include cataract and relaxation incisions in the cornea, limbus, or sclera, or incision in the lens or lens capsule. require that the method be used to perform at least one incision related to cataract surgery, such as the expressly claimed cataract and relaxation incisions. Pet. 18–19 (Petitioner describing the steps of a “typical cataract surgery”).” slip op. at 20
- Novelty / Anticipation (§102) › Prior-art status of a reference › Printed publication / public accessibilityReference is prior artPrinted publication establishedDecided for petitioner
“A petition must “identify with particularity the grounds for institution and evidence supporting such grounds,” including “the prior art relied upon and evidence that it qualifies as such.” Hulu, LLC v. Sound View Innovations, LLC, IPR2018-01039, Paper 29 at 13 (PTAB Dec. 20, 2019) (precedential) (citing 35 U.S.C. § 312(a)). The Petition identifies the grounds for institution and the evidence supporting such grounds, and presents evidence that Weikert qualifies as prior art under 35 U.S.C. § 102(b). Pet. 5, 26. For example, Petitioner and Dr. Lubatschowski assert that CATARACT AND REFRACTIVE SURGERY “is a quarterly review series comprising chapters written by well-known specialists,” and that Weikert was included in the 2005 edition of CATARACT AND REFRACTIVE SURGERY as Chapter 14: Refractive Keratotomy: Does it Have a Future Role in Refractive Surgery? Ex. 1001 ¶ 73. In addition, Hulu contemplates additional evidence being admitted in a reply to a patent owner preliminary response, as long as that evidence is responsive to the prior briefing. Hulu, Paper 29 at 14. In this case, Petitioner’s evidence submitted in its Reply is responsive to arguments made in prior briefs (i.e., Patent Owner’s Preliminary Response and Response), and simply confirms what was asserted in the Petition and Dr. Lubatschowski’s declaration, i.e., that Weikert is Chapter 14 of CATARACT AND REFRACTIVE SURGERY and the document bears a copyright date of 2005 (or, as asserted by Dr. Lubatschowski, is a “2005 edition”). Ex. 1060, 5, 12; Pet. 5, 26–27; Ex. 1001 ¶ 73. In addition, this evidence indicates that CATARACT AND REFRACTIVE SURGERY was published by document that would be expected to be made publicly accessible. See Ex. 1001 ¶ 73 (asserting that CATARACT AND REFRACTIVE SURGERY “is a quarterly review series comprising chapters written by well-known specialists”); Ex. 1019, 220, 224, 227, 228, 230, 232 (providing a “Summary for the Clinician” at the end of several sub-chapters); Ex. 1060, 4–5. The information presented in the Petition, as confirmed by the Preliminary Reply evidence submitted by Petitioner, sufficiently demonstrates that Weikert is prior art to the ’024 patent.” slip op. at 22
Patent outcomesUS 9,233,024 unpatentableClaim construction§ 102 anticipation§ 103 obviousnesscites KSR · GrahamPatents in suitUS 9,233,024 - PTAB · Nov 2, 2022 · IPR2022-00909 · APJ Scott A Daniels · IPR · Institution
The Board instituted IPR on claims 1–5, 12, 19, and 23 on all asserted grounds after finding a reasonable likelihood that claim 1 would be obvious over the Guide, alone or with Harper.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)InstitutedInstituted
“Under 35 U.S.C. § 314(a), 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.” Upon consideration of the arguments and evidence presented by Petitioner and Patent Owner, we are persuaded that Petitioner has demonstrated a reasonable likelihood that it would prevail in showing the unpatentability of at least one of the challenged claims. See 35 U.S.C. § 314(a). Accordingly, we institute an inter partes review of the challenged claims.” slip op. at 2
- Skill levelSkill level petitioner adoptedDecided for petitioner
“Patent Owner does not expressly dispute Petitioner’s asserted level of ordinary skill in the art asserting that “the Petition fails even if Petitioner’s POSA definition is adopted.” Prelim. Resp. 8. On this record, Petitioner’s proposed level of ordinary skill in the art is not disputed and is consistent with our review and understanding of the technology and descriptions in the ’215 patent and the asserted prior art references. Okajima v. Bourdeau, 261 F.3d 1350, 1355 (Fed. Cir. 2001). For purposes of this Decision, we rely on Petitioner’s proposed level of ordinary skill in the art.” slip op. at 8
- Claim Construction › Threshold & procedure › Whether a term needs construction (O2 Micro)No construction neededOther
“The claim limitations which Patent Owner desires Petitioner to construe read clearly and unambiguously. Limitation 1[b] recites the step: evaluating sensor data using a second function to determine whether a parameter indicative of glucose value meets one or more non user settable second criteria; Ex. 1001, 48:39–41. The plain and ordinary meaning of this phrase is that the claimed “second function,” “determine[s] whether a parameter indicative of glucose value meets one or more non user settable second criteria.” Id. At this stage of the proceeding neither party has indicated that this phrase or any specific terms in the phrase cannot be understood by a person of ordinary skill in the art, nor has either party provided an express claim construction for the Board to consider. Patent Owner contends that [i]n its claim construction briefing in the related litigation, DexCom explained that “second function” should be construed as a “function that provides a predictive alert/alarm” in part because the specification’s statement that “the present systems and methods relate to providing accurate predictive alarms” (Ex[1001], 1:30–33) limits the scope of the invention. Prelim. Resp. 14 (citing Ex. 1024, 15) (emphasis added). Patent Owner’s argument is that the Board should read the term “predictive” from the specification into the meaning of the “second function,” although neither independent claim recites the word “predictive.” Id. What is not clear at this point in the proceeding is why we should read the term “predictive” into claim 1. Patent Owner argues, for example, that Petitioner’s “[g]round 1 reads the ‘second function’ onto an alleged Guide function that does the same thing the alleged first function does – it compares a real-time glucose value against a threshold.” This characterization of the plain meaning of the claim language and the first and second functions is not entirely accurate however. The “second function” in claim 1 is determined based on “non user settable second criteria,” and is readily distinguishable from the “first function” determined based on “user settable second criteria.” See Ex. 1001, 48:36–41. On the evidence and arguments at this stage of the proceeding, we find persuasive Petitioner’s position that the Guide discloses a “first function” that alerts the user as to low and high glucose levels based on user settable thresholds. See Ex. 1004, 54 (“One of the benefits of the DexCom™ STS™ System is your ability to select high and low glucose alerts that will tell you when your glucose values are out of your target range.”). Also, we are persuaded that the Guide teaches a “second function,” “[w]hen the STS Sensor detects a glucose level below 55 mg/dL (3.1 mmol/L) your STS Receiver will vibrate to notify you of a very low glucose value by displaying the following screen:” Ex. 1004, 56. The Guide states that “[y]ou cannot change or turn off the Low Glucose Alarm.” Id.” slip op. at 25
- Novelty / Anticipation (§102) › Prior-art status of a reference › Printed publication / public accessibilityPrinted publication establishedDecided for petitioner
“unavailable as of October 2006, instead Patent Owner disputes that the Petition “allege[s] facts sufficient to establish the Guide was a printed publication.” Prelim. Resp. 10 (citing Acceleration Bay, LLC v. Activision Blizzard Inc., 908 F.3d 765, 772 (Fed. Cir. 2018)). Petitioner however, expressly describes the archived Guide scraped by the Wayback Machine and refers the reader to the declarations of Hall and Hall-Ellis for supporting testimonial evidence as to the asserted public availability of the archived Guide. Pet 11 (citing Ex. 1010; Ex. 1011; Ex. 1014; Ex. 1015). LKQ has made a sufficient evidentiary showing for purposes of institution that the Guide qualifies as prior art under § 102. See Ex. 1010 ¶¶ 7–8, see also Hulu, LLC v. Sound View Innovations, LLC, IPR2018- 01039 (PTAB Dec. 20, 2019) (Paper 29) (holding that under 35 U.S.C. § 311(b), for purposes of institution, a petitioner must show a reasonable likelihood that an asserted reference qualifies as a printed publication) (Precedential), see also, Sandoz Inc. v. Abbvie Biotechnology Ltd., No. IPR2018-00156, 2018 WL 2735468, *4-5 (P.T.A.B. June 5, 2018) (finding Wayback Machine screenshot and expert testimony adequate evidence to establish FDA website as a prior art printed publication). In addition, Petitioner provides corroborating exhibits, including U.S. Food & Drug Administration Premarket Approval Order indicating, consistent with the Internet Archive records, that DexCom STS Continuous Monitors received pre-market approval on March 24, 2006. Ex. 1014. Also, consistent with both the Internet Archives evidence and the FDA Approval Order, Petitioner provides a June 2006 JP Morgan research paper discussing the American Diabetes Association scientific session in Washington, DC stating that “[h]ighlights included the results of two studies using Abbotts FreeStyle Navigator and two more from Dexcom involving its recently approved STS device.” Ex. 1015, 1. Overall, we determine that Petitioner has shown a reasonable likelihood that the Guide was publicly available more than one year before, October 30, 2012, the filing date of the earliest filed application in the priority chain for the ’215 patent. Patent Owner is in the best position to show when and to whom the Guide was available and may present additional arguments, evidence, and testimony to support its position during trial.” slip op. at 23
Claim construction§ 102 anticipationPatents in suitUS 10,702,215 - Toyota Motor Corp. v. Intellectual Ventures II LLCInstitution deniedPTAB · Oct 26, 2022 · IPR2022-00710 · APJ Frederick C Laney · IPR · Institution
The Board denied institution on claims 1–20 because the Petition did not show a reasonable likelihood that either Ikeda or Nakajima disclosed the limitations of independent claims 1, 9, and 15.
RulingsInstitution decision- PTAB / AIA Trials › Institution threshold (reasonable likelihood / more likely than not)Institution denied meritsDenied
“whether an individual asserted fact is indisputable or whether a preponderance of the evidence supports Petitioner. Our review is to determine whether the totality of the information presented in the Petition and Preliminary Response shows that there is a reasonable likelihood that Petitioner would prevail with respect to at least one of the claims challenged in the Petition. For the above reasons, we determine Petitioner has not established a reasonable likelihood that Petitioner would prevail with respect to at least one challenged claim of the ’158 patent. Therefore, we deny inter partes review of the ’158 patent on all challenged claims and all grounds asserted in the Petition. See 35 U.S.C. § 314(a). IV. ORDER In consideration of the foregoing, it is hereby: ORDERED that, pursuant to 35 U.S.C. § 314(a), an inter partes review of the ’158 patent is denied.” slip op. at 31
- Skill levelSkill level petitioner adoptedDecided for petitioner
“For purposes of this Decision, and based on the current record, we adopt Petitioner’s characterization of the level of skill for one of ordinary skill in the art, except we decline to adopt “at least,” as that language is vague and open-ended. However, we note Patent Owner’s proposed characterization of a skilled artisan is not meaningfully different than the one proposed by Petitioner without the “at least” language. Because we find the parties’ characterizations to be consistent with the ’158 patent and the asserted prior art, we apply in our analysis below Petitioner’s characterization, as modified by the Board, for the level of ordinary skill in the art.” slip op. at 9
- Claim Construction › Intrinsic evidence (Phillips canons) › Plain and ordinary meaning to a POSITATerm construed patent owner constructionDecided for patent owner
“phrase “wherein each optics component of the plurality of optics components is configured to pass light to a sensor of the plurality of sensors” requires each optics component to pass light separately to a distinct sensor of the plurality of sensors.6 Ex. 1001, 25:34–36. This is so because the phrase expressly singles out “each optics component” from “the plurality of optics components” and associates it with passing light to “a sensor” that is 6 In the context of the ’158 patent, a sensor may be an array of photo-detectors and multiple sensors may be formed on a single semiconductor substrate or chip. Ex. 1001, code (57), 4:18–21, 4:67–5:3, 7:17–39, 11:62– 676, 14:45–47, 15:46–65, 16:8–15, Figs. 2, 3, 9, 14, 15. distinguished from “the plurality of sensors.” Id. (emphasis added). As a result, claim 1 requires each optics component to have a configuration that allows it to pass light separately to an individual sensor distinct from the other sensor(s) in the plurality of sensors.” slip op. at 11
- Novelty / Anticipation (§102) › Anticipation standard (single reference, every element)
“We agree. For the reasons discussed above (supra §II.C.1), “each optics component of the plurality of optics components is configured to pass light to a sensor of the plurality of sensors,” as recited in claim 1, requires each of the plurality of optics components to be configured to pass light separately to a distinct sensor of the plurality of sensors and cannot rely on a common optics component to pass light to all of the sensors. Although Petitioner provides little guidance, the only two structures in Figure 11 of Ikeda that can even arguably be optics components “configured to pass light” are lens 1 and prism 23. And Ikeda discloses those structures as functioning as a single unit that is common to the three disclosed sensors. See Ex. 1005, 11:62–12:1. As such, Ikeda only discloses a single optical component/unit configured to pass light to a plurality of sensors, rather than a plurality of optical components/units that are each able to pass light to their respective sensor(s) out of the plurality of sensors. In fact, the only structure included in Figure 11 that Petitioner’s expert, Dr. Bovik, suggests is configurable to pass light to a sensor is the lens. See Ex. 1004 ¶¶ 39–41, 49, 66. For example, Dr. Bovik describes that, during operation of the device Ikeda discloses, the light from an object enters lens 1, which then passes the light through filters to projects the light upon an image sensing device. Id. ¶ 39. Although the Petition and Dr. Bovik lump “a lens 1, a prism 23, optical low-pass filters 2, and a color filter 20 (all purple)” together and refer to them collectively as “provid[ing] a ‘light path’ to pass light (yellow) from an object image to be ‘projected upon the first, second, and third image sensing devices 18, 3, and 19’” (Pet. 16, Ex. 1004 ¶ 66), Ikeda suggests that lens 1 is the only structure configured to pass light (i.e., establish the light path) to a sensor. This is evidenced by the fact that Ikeda describes the prism, optical low-pass filters, and a color filter as all being “provided at the intermediate position of the light path” that begins at lens 1. Ex. 1005, 13:34–38, 13:59– 63 (emphasis added). In order for the prism, optical low-pass filters, and a color filter to be at an intermediate position of the light path, the light path must necessarily have been established before reaching them. Consistent with this understanding, Dr. Bovik only describes lenses as being configurable to pass light to a sensor (i.e., to zoom and focus incident light); the diaphragms, irises, and neutral density (ND) filters are described as “varying the amount of incident light” that has been passed; the optical low pass filters are described as “combat[ing] high-frequency moiré patterns” in the light that has been passed; and the color filters and filter arrays are described as “filtering specific wavelengths, or colors” of light that has been passed. Ex. 1004 ¶ 40. Therefore, because Ikeda only discloses a single optical component” slip op. at 22
Claim construction§ 102 anticipation§ 103 obviousnesscites PhillipsPatents in suitUS 9,232,158
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.