Cisco Systems, Inc., Ciena Corporation, Coriant Operations, Inc.,
`Coriant (USA) Inc., and Fujitsu Network Communications, Inc.,
`Petitioner
`v.
`
`Capella Photonics, Inc.
`Patent Owner
`
`P A T E N T N O . R E 4 2 , 3 6 8 ( I P R 2 0 1 4 - 0 1 1 6 6 )
`F I L I N G D A T E : J U N E 1 5 , 2 0 1 0
`R E I S S U E D A T E : M A Y 1 7 , 2 0 1 1
`&
`P A T E N T N O . R E 4 2 , 6 7 8 ( I P R 2 0 1 4 - 0 1 2 7 6 )
`F I L I N G D A T E : J U N E 1 5 , 2 0 1 0
`R E I S S U E D A T E : S E P T E M B E R 6 , 2 0 1 1
`
`* All cites to exhibit page numbers refer to the stamped exhibit page numbers and not to the original page numbering
`** Highlighting provided for convenience.
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 1
`
`
`Coriant (USA) Inc., and Fujitsu Network Communications, Inc.,
`Petitioner
`v.
`
`Capella Photonics, Inc.
`Patent Owner
`
`P A T E N T N O . R E 4 2 , 3 6 8 ( I P R 2 0 1 4 - 0 1 1 6 6 )
`F I L I N G D A T E : J U N E 1 5 , 2 0 1 0
`R E I S S U E D A T E : M A Y 1 7 , 2 0 1 1
`&
`P A T E N T N O . R E 4 2 , 6 7 8 ( I P R 2 0 1 4 - 0 1 2 7 6 )
`F I L I N G D A T E : J U N E 1 5 , 2 0 1 0
`R E I S S U E D A T E : S E P T E M B E R 6 , 2 0 1 1
`
`* All cites to exhibit page numbers refer to the stamped exhibit page numbers and not to the original page numbering
`** Highlighting provided for convenience.
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 1
`
`
`
`Table of Contents
`
`Priority to Smith ‘683 Provisional…....................................................................................…3
`Construction of “Port”.………………........................................................................................24
`Two-Axis Mirror Movement.……………………………………………………………………………….…….43
`Continuously Controllable……………………………………………………………………………….…….....61
`Reflect…………………….……………………………………………………………………………………………….77
`Diffraction Gratings……………………..…………………………………………………………………………..83
`Servo Control…………………………………………………………………………………………………………..95
`Imaging / Focusing……………………………..………………………………………………………………….108
`Combine……………………………………………..………………………………………………………………....113
`
`2
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 2
`
`
`
`Priority to Smith
`‘683 Provisional
`
`3
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 3
`
`
`
`'941 Smith Patent Priority: Smith Claim 1
`
`(Ex. 1004 (IPR2014-01166, -01276), ‘941 Smith Patent, Claim 1)
`
`4
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 4
`
`
`
`Only Priority Dispute: Movable Mirror
`
`(Ex. 1004 (IPR2014-01166, -01276), ‘941 Smith Patent, Claim 1)
`
`5
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 5
`
`
`
`‘683 Smith Provisional: “Rotated”
`
`(Ex. 1005 (IPR2014-01166, -01276), ‘683 Smith
`Provisional, Page 7, Lines 3-7)
`
`6
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 6
`
`
`
`‘683 Smith Provisional: MEMS OADM
`
`(Ex. 1005 (IPR2014-01166, -01276), ‘683
`Smith Provisional, Fig. 6, Page 19)
`
`7
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 7
`
`
`
`‘683 Smith P1*0visi011a1: MEMS OADM
`___________________________________________________________________________________________________________ O
`
`Mirror Tuning
`
`In_}Dmp
`Add—IU£.It
`
`UADM
`
`15° mirror tilt equals a
`2-fiber shift
`
`-I-—'-—I-
`
`CL3! lI]]lTDl'IJL equals a H] dB shift
`
`Note: Multiple-LAN OADM needs only 3.3“ range
`
`(Ex. 1005 (IPR2014—01166, —-31276), ‘683
`Smith Provisional, Fig. 7, Page 20)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 8
`
`
`
`‘683 Smith Provisional: Definitions
`
`MEMS:
`
`OADM:
`
`(Ex. 1005 (IPR2014-01166, -01276), ‘683 Smith Provisional,
`Page 4, Line 15)
`
`(Ex. 1005 (IPR2014-01166, -01276), ‘683 Smith Provisional,
`Page 5, Line 9)
`
`9
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 9
`
`
`
`‘941 Smith Patent Priority: Smith Claim 1
`
`Smith Prn1.'i:i.o:n:IDiseI.ur5n.1'e
`
`{all tires to Exhibit Iflflfi. L15. P11JI'.isi.onaI.l.ppl.
`
`He]: :11 least one unwable
`
`mirror
`
`in eeleeti'I.'el3.r
`
`fi'omm1@1p-out-eauty
`
`1 *~
`
`flifiil
`C3
`x“-.___fl
`I'IIG0'I'IC-I
`
`'
`
`-=
`
`1’§é§£:s
`
`ucfapluajiryafuuqrnt
`
`MEMS Minuriswireh Anny
`
`puns
`
`according
`
`to
`
`I
`
`p_ Tr’ (“[|]eeeeding no a peefierre-i embodimmx enftlie
`
`posifienefuidmhrw
`
`:'n:wenfleu1. the optical threuglapu-I of each wavelength
`channel may be {annulled by
`
`diI.'plIc:1.-n:rr1:Iti.uafi1'st.I:nrII:c
`
`.i51I.5-edlo
`
`ped?:I1.'m.anI‘-EEC. Abhilerethersnrimetualg :Funo:ti.en.
`
`wiiilennguludisplacenlcntabomtflle orflmugolulllis
`
`is used fezrpmver eemeoI.”)'. entnhnfis ed-sled.)
`
`Example: DADM 3-D Design
`
`(Paper 34 (IPR2o14—-31166),
`Petitioner’s Briefing in
`Response to PTAB Questions,
`Attached Chart; Paper 30
`(IPR2o14—o127-5), Petitionel-’s
`Briefing in Response to PTAB
`Questions, Attached Chart)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 10
`
`
`
`‘941 Smith Patent Priority: Smith Claim 28
`
`(Ex. 1004 (IPR2014-01166, -01276), ‘941 Smith Patent, Claim 28)
`
`11
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 11
`
`
`
`‘941 Smith Patent Claim 28:
`N0 Dispute Raised
`___________________________________________________________________________________________________________ O
`
`support. d argues that the Smith patenfs claim 1
`
`had some corresponding disclosure in the ‘G83 Provisional. (Paper 34, New Chart,
`
`(Paper 37 (IPR2014-01166), P0’s Response to Petitio11eI"s Bin, Page 5;
`
`Paper 33 (IPR2014—01276 ), PO’s Response to Petitionefs BL, Page 5)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 12
`
`
`
`‘941 Smith Patent Claim 28: “Adjusting”
`
`(Ex. 1004 (IPR2014-01166, -01276), ‘941 Smith Patent, Claim 28)
`
`13
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 13
`
`
`
`‘683 Smith Provisional: "‘Adj11sting”
`___________________________________________________________________________________________________________ O
`
`According to a preferred embodiment of the invention, the optical throughput of each
`wavelength channel may be controlled by
` Angular displacement in a first, switching
`
`plane, is used to perform an OXC, ADM or other switching function while angular displacement
`
`about the orthogonal axis is used for power control. MEMS switches with single axis mirror
`
`(Ex. 1005 (IPR2o14—o1166, —o1276), ‘683 Smith Provisional,
`
`Page 7, Lines 3-7)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 14
`
`
`
`‘941 Smith Patent Claims 1 & 28:
`No Claimed “Gimbaled Mirror”
`
`(Ex. 1004 (IPR2014-01166,
`-01276), ‘941 Smith Patent,
`Claim 1)
`
`(Ex. 1004 (IPR2014-01166,
`-01276), ‘941 Smith Patent,
`Claim 28)
`
`15
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 15
`
`
`
`Only Priority Dispute: Movable Mirror
`
`—Paper 19. pp. sassy.) Rather, they were carried over
`
`(Paper 37 (IPR2014—01166), P0’s Response to Petitioner’s Br.,
`Page 5; Paper 33 (IPR2014—01276, P0’s Response to Petitioner’s
`Br., Page 5; Paper 19 (IPR2014—01166),P0’s Response, Pages 56-
`59; Paper 15 (IPR2014—01276), P0’s Response, Pages 58-60)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 16
`
`
`
`Relevant Disclosure Carfied Through:
`Movabl aMi1*1"01*
`
`Claimed ‘.?-63
`
`subject
`matter
`
`L Fig. 6:
`
`16 17:
`
`Spatial array
`
`deflecting
`
`beam-
`
`deflecting
`elements are
`mi.-31-(3..
`
`machined
`
`nlinnrs
`
`.
`
`Fig. 9. 915-57. 10237-43. 1 122-1 1.
`14:49-65. 1623-51.
`
`(EX. 1028 (IPR2014—011-S6), Marom Decl., Pages 81-82;
`Ex. 1028 (IPR2014—01276), Marflm Decl., Page 98)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 17
`
`
`
`Relevant Disclosure Carried Through:
`Moveabé Mi1*1*01*
`
`Clailnoll ‘J68
`
`subject
`nlaflor
`
`Smith provisional
`
`Smith patent
`
` 1-El P- 5 f'[i to n
`16 1?:
`pu-fcrrod I ofth:
`im'emiDI1. 111: optical
`tJ1rougJ1pt:'I ofeach
`wawelengfll dunno!
`
`.M:v5lnI-ct
`
`to-
`
`:":""I.
`control in nI.rim|:.'in.-g and to
`provide variable pcnu-c-.r
`tlausn1i5.5i.I:u1."]. 17:1-3 idosntzfihing
`“swin:hu:|'3 ole-.n:u-cots oontroliablt
`in two difliatl.-n.t scab.-s or
`
`d:'.mrns:'ons")_ T32--I-II. Fig. I4.
`8:19-10 [''FIG. 14 isplan View of
`two-axis tihaixlc n::in'ocru.sa'bl-e
`
`with the intro.-.n.tinn."}. l4:-$9'~I55.
`'.-':l—4.
`'.-‘:32-44, Fig. 1-1-. 12:19-42.
`Fig. 9. 9.15-5?. 10:3?-43. 11:2-Ill.
`ii5:$—5-1.
`
`1*-==1**wdm°=hHP-i=°f
`cltctro-d-:5 276 Imdcr Ihtfium:
`
`$“’...".‘EJ..?.‘°'.,..?.E..T*‘5=%.Téf’$’%*“§'7?..;‘.;'.‘Z'.
`
`closetbevminblegapbetmerntllr
`
`(Ex. 1028 (IPR2-014-01166),
`Mamm Decl., Pages 82-83; EX.
`1028 (IPR2014-01276), Marflm
`DecL, Page 103-104)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 18
`
`
`
`Relevant Disclosure Carried Through: Port
`
`(Ex. 1004 (IPR2014-01166, -01276), ‘941 Smith Patent, Claim 1)
`
`19
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 19
`
`
`
`Relevant Disclosure Ca1*1*ied Through: Port
`
`Claimed ‘3458
`
`subject
`
`8:47-62 (“This architecture
`applies as well to a WDM
`
`addfdrop multiplexer CWADM} in
`which the inputports ]N1, IN; are
`associated
`-
`I:ivel},r with the
`
`Example: OADM 3-D Design
`
`-
`
`‘
`
`‘
`
`.r"'!“-.~
`
`._..
`1
`- II_itIlI
`in. g of
`""'*‘ If :33;
`‘lrI'hI‘p.lnitwr'hum| krllpgp
`
`(EX. 1028 (IPR2014—011-56), Marom Dec1., Pages 80-81;
`E3. 1028 (IPR2014—01276), Marom Deel., Page 99-100)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 20
`
`
`
`Relevant Disclosure Carried Through:
`Controller
`
`(Ex. 1004 (IPR2014-01166, -01276), ‘941 Smith Patent, Claim 1)
`
`21
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 21
`
`
`
`Relevant Disclostlre Carried Th1"O11gh:
`C011t1"011e1*
`
`[alum-latcd),l"1g.5. 9:42-49. 11|:39-
`45, 3, 12, 3:34, 9:29.1o:13,
`
`13:20-14:15-
`
`(Ex. 1028 (IPR2014—-31166), Mal-om Decl., Page 84;
`Ex. 1028 (IPR2014—01276), M31-om Decl., Page 107)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 22
`
`
`
`Chfmgd *3-Ea
`'
`
`Relevant Disclosure Carried Th1"O11gh:
`C011’d§)11e1*
`
`Suit]. pr-utish-n:I
`
`'
`
`p.n\§.‘:‘-"iC'1l1¢-penctnnungt-auflhe
`dmpbeamihuhcuupledimu
`Ihepal-Hdrunchanuelflfll
`
`l6¢‘iI-5-iI.‘“l'heaI:¢1'¢d.e-bcu-ihe-:.1i:¢
`
`I.uin;Ihenn-t-:nin-rn-ruilI:::it.1'h¢
`
`13-5:I:uj|.rI31.-'v.'l.'iv:vflI:‘_I.rIifI1:i.n;g
`lhe:'ndn'ich|n1u:Ifekmu1I3
`IboII1‘hI:i.rI:nri.ann1:|lut
`1.'e1I:u':.n1u:u"_}|_Figs. TI"_9.!I_
`Fig.lI.'l:
`034!II‘PuunI'P-v~¢rFqulimim
`
`‘er
`:5:FI'g.fi:
`'°‘
`
`I:iI.v:l.nIr.-nsrdibt
`:d.|'I5II:|eu1“};]?:53-
`,,.,...="‘-‘.3...
`‘_
`'_'
`.'
`_
`1-3; -=--‘
`I
`_ M I
`_
`..:a.L'_=;.‘3';*.l__'_'I.::..
`at m.‘ u
`H
`l{'.|:I?-43. I333:-55. 16:36-lt:6'7‘.
`132]]-21["Ih: mnjnnuzia-tiltnn
`be-u-bedfin-rb¢Ih¢|zame5I:wiI:hi1.;
`
`p¢'|-I-'Ef4i¢flh1in$i'bO|1-llh¢IlIIjfl'
`nisimusflitpnnbtlpratflxmaf
`trues:-illk. ningn
`5nnqfl'm1:1'in:rma.fliprlra.r.r
`I-rid‘
`lb:-Iilttlion.
`of: -clm.e|}'neigJ1I1-nring
`:‘;:-“%“i“.'.§'..*...;;'.'.:'."fl.*;':s‘f."'*“’°“
`
`(Ex. 1028 (IPR2-314-01166),
`Marom Decl., Pages 83-84;
`Ex. 1028 (IPR2014—-31276),
`Marom Decl., Pages 105-106)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 23
`
`
`
`Construction of “Port”
`‘368 Claims 1, 15, 16
`‘678 Patent Claims 1, 21, 44, 61
`
`24
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 24
`
`
`
`‘368 Patent Claim 1: “Ports”
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent, Claim 1)
`
`25
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 25
`
`
`
`Bouevitch Patent Figure 11: “Ports” in Context
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch Patent, Fig. 11)
`26
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 26
`
`
`
`Bouevitch Patent Fig. 11: “Ports” in Context
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch
`Patent, Fig. 11 (annotated))
`27
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 27
`
`
`
`Patent Owner’s ‘217 Provisional: Overview
`
`(Ex. 1008 (IPR2014-01166), PO’s ‘217 Provisional, Page 1)
`
`28
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 28
`
`
`
`‘368 and ‘678 Patents Claim Priority to the
`‘217 Provisional
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent,
`Page 1 (annotated); Ex. 1001 (IPR2014-
`01276), ‘678 Patent, Page 1 )
`
`29
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 29
`
`
`
`Patent Owner’s Use of “Port”
`
`(Ex. 1008 (IPR2014-01166, -01276), PO’s ‘217 Provisional, Fig. 9;
`Paper 25 (IPR2014-01166), Petitioner’s Reply, Page 12; Paper 20
`(IPR2014-01276), Petitioner’s Reply, Page 11)
`30
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 30
`
`
`
`Patent Ow11e1*’s Use of “P011” (c011t.)
`___________________________________________________________________________________________________________ ©
`
`The third architecture (Fig. 9) is also '- '
`Circuiaturs are situated on all (if the
`
`optical propagation. This design has
`
`add and drop wavelengths must be the sazrne.
`
`'
`
`on
`
`one WSR unit.
`allowin for two~wa
`
`csac ofthc “I116
`
`1:
`
`(Ex. 1008 (IPR2014—01166, 431276), P0’s ‘217 Provisional,
`Page 4)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 31
`
`
`
`Common Usage of “Port”
`
`three or our, as s own in Fi
`
`enon 3.3.4. Cireulators operate on the
`see In
`rop e ernents, as we wr
`op lea a
`same principles as isolators; therefore we only describe the details of how isolators
`work next.
`
`Circulators are useful to construct
`
`(EX. 1042 (IPR2014—011-56), Ramaswami Textbook, Page 10;
`Ex. 1052 (IPR2014—01276), Ramaswami Textbook, Page 10)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 32
`
`
`
`Patent Owner Did Not Disavow Scope
`___________________________________________________________________________________________________________ ©
`
`160. Additionally’. a PUSH. would read the ‘3dB patent as teaching away
`
`front—he use ofcirculatorrs. For example. the earliest
`priority provisional applichtion in the faniily of the ‘3dB patent describes existing
`
`addfdrop architectures that had a number of problems. ('21? Provisional. FIGS. 5.
`
`6.} The problems included requiring all the add and drop wavelengths to enter and
`
`exit the device on sinfle fibers {i.e., two ports}. each coupled to a circulator. (Id. at
`
`p. 2.} Since the prior art systelns required all add and drop wavelengths to enter
`
`and exit the device on single fibers. an additional means (e.gv., circulatorj was
`
`required to add channels to a single fiber and to drop channels from the single fiber
`
`output. Lid.) As the inventors necogized. the additional means (e.g., circnlator}
`
`“can lead to significant additional expense.“ Uri.)
`
`(Ex. 2004 (IPR2o14-01166), Sergienko Dec]... Para. 160;
`Ex. 2004 (IPR2o14—o1276), Sergienko Dec]... Para. 160)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 33
`
`
`
`Patent Owner Did Not Disavow Scope
`___________________________________________________________________________________________________________ ©
`
`160. Additionally, a POSA would read the '368 patent as teaching away
`
`fiomuer_heuscofcircula1ors.Forc:ra1nplc,thccarliest
`
`(Ex. 2004 (IPR2014—-31166), Sergienko Decl., Para. 160;
`Ex. 2004 (IPR2014—(:-1276), Sergienko Decl., Para. 160)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 34
`
`
`
`Patent Owner Did Not Disavow Scope
`
`(Ex. 1008 (IPR2014-01166, -01276), PO’s ‘217 Provisional, Fig. 9)
`
`35
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 35
`
`
`
`‘368 Patent Claim 1: Use of “Port”
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent, Claim 1)
`
`36
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 36
`
`
`
`Bouevitch Patent Figure 11: “Ports”
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch Patent, Fig. 11
`(annotated); Paper 2 (IPR2014-01166), Petition, Pages 26-27; Paper 2
`(IPR2014-01276), Petition, Pages 24-25)
`37
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 37
`
`
`
`‘678 Patent Claim 1: Use of “Collimators”
`
`(Ex. 1001 (IPR2014-01276), ‘678 Patent, Claim 1)
`
`38
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 38
`
`
`
`Providing: Patent Owner’s Expert
`
`(Ex. 1049 (IPR2014-01276), Sergienko Tr., Page 95, Lines 14-
`18; Paper 20 (IPR2014-01276), Petitioner’s Reply, Pages 8-9)
`
`39
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 39
`
`
`
`N0 O11e—t0—O11e Reqtiirement
`
`1. An 0 tical add-dr0p apparatus ccmprising
`
`an “fer an input multi-wavelength eptical signal
`
`havmg
`
`t 3 ecltal channels;
`101' seccnd spectral channels; an
`0r an 011 ut mnlti-wavelength optical sig-
`
`nal;
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent, Claim 1)
`
`'
`
`8.
`
`-drop apparatus of claim 7_
`sociated with said alignment mirrors,
`and imaging lenses in a telecentxic arrangement with said
`alignment rnirrere and said cellimaters.
`
`(EX. 1001 (IPR2014-01166), ‘368 Patent, Claims 8)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 40
`
`
`
`Bouevitch Patent Figure 11: “Collimators”
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch Patent, Fig. 11
`(annotated); Paper 2 (IPR2014-01166), Petition, Pages 26-27; Paper 2
`(IPR2014-01276), Petition, Pages 24-25)
`
`41
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 41
`
`
`
`Instituted ‘368 Patent Claims Do Not Recite
`“Collimator”
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent, Claim 1)
`
`42
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 42
`
`
`
`Two-Axis Mirror Movement
`‘368 Patent Claims 1, 15, 16, 17
`‘678 Patent Claims 1, 44, 61
`
`43
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 43
`
`
`
`Bouevitch Figure 11 (51, 52): Movable
`Mirrors
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch Patent, Fig. 11
`(annotated); Paper 2 (IPR2014-01166), Petition, Pages 23-24, 27-28;
`Paper 2 (IPR2014-01276), Petition, Pages 26, 27-28)
`
`44
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 44
`
`
`
`Bouevitch Figure 11 (51, 52): Movable
`Mirrors
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch Patent, Fig. 11
`(annotated); Paper 2 (IPR2014-01166), Petition, Pages 23-24, 27-28;
`Paper 2 (IPR2014-01276), Petition, Pages 26, 27-28)
`45
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 45
`
`
`
`Bouevitch Fig111*e 11 (51, 52): Movable
`Mi1*1*01*s
`___________________________________________________________________________________________________________ ©
`
`11 end ?«.2, respectively. Each sub-Beam of ligint is transi11it-
`ted to a lower
`ortion of the 5 herical refl
`’
`
`(Ex. 1003 (IPR2014—01166, —01276), Beueviteh Patent, Col. 14,
`Lines 52-63; Paper 2 (IPR2014—01166), Petition, Pages 26-28;
`Paper 2 (IPR2014—01276), Petition, Pages 26, 27-28)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 46
`
`
`
`‘683 Smith Provisional: 2—Axis Mir1*01*
`Rotation
`___________________________________________________________________________________________________________ ©
`
`Acoording to a preferred embodiment of the invention, the optical throughput of each
`
`wavelength channel may be eonirolied by
`
`arrays may also be used for output power oontrol. In this ease, the coupling of each beam to a
`
`designated output port is adjusted by variations in the switching angle.
`
`MEMS switches with single axis mirror
`
`(Ex. 1005 (IPR2o14—o1166, —-31276), ‘683 Smith Provisional,
`Page 7, Line 3-9)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 47
`
`
`
`‘683 Smith Provisional: 2—Axis Mi1*1*01*
`Rotation
`___________________________________________________________________________________________________________ ©
`
`Mirror Tuning
`
`OADM
`
`m1rrnr% a
`
`2-fila-Er shift
`
`I13“ mirrortillEMa 10 dB shift
`
`Note: MultipIe—LAN OADM needs only 3.8“ range
`
`(Ex. 1005 (IPR2014—01166, —-31276), ‘683 Smith Provisional,
`Fig. 7, Page 20)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 48
`
`
`
`‘941 Smith Patent: 2—Axis Mi1*1*o1* Rotation
`___________________________________________________________________________________________________________ O
`
`(5 7)
`
`ABSTRACT
`
`A multi-wavelength or white-light o tical switch including
`
`both for optimization and for power
`equalization between wavelength channels in a multi-
`wavelength signal. The output power of a channel
`is
`
`(Ex. 1004 (IPR2o14—o1166, —o1276), ‘941 Smith Patent,
`Abstract)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 49
`
`
`
`N0 Bodily Inc01*p01*ati011 Requi1*eme11t
`___________________________________________________________________________________________________________ ©
`
`e.g._. 1'd.; S. T11, 36:18-33:17. The law is just the opposite._
`
`_'PR2013-00101 Paw 21
`
`at 19 {citing In re Kefler, 642 F.2d 413, 425 (CCPA 1981)). PO’5 “1'edesig11”
`
`(Paper 25 (IPR2014—01166), Petitionefis Reply, Page 6;
`Paper 20 (IPR2014—012'76), Petiti0ne1"s Reply, Page 5)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 50
`
`
`
`N0 Bodily Incorporation Requirement
`___________________________________________________________________________________________________________ O
`
`“The test for obviousness is not whether the
`
`features of a secondary reference may be
`incorporated bodily into the structure of a primary
`reference.”
`
`Honeywell InI’l Inc. U. Int’l Controls on
`Case No. IPR2o14—oo219, Paper 43
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 51
`
`
`
`Bouevitch + Smith: Combination
`
`___________________________________________________________________________________________________________ O
`
`With respect to a rationale for combining Bouevitch and Smith,
`
`Petitioner contends the use ofthc two-axis minor ofsinith in Bouevitch:
`
`—s a simple substitution ofone lmown element for another yielding
`
`predictable results,.istheuseofalcnowntechniquetoin1prove similar
`devices, -would be obvious to try as there are only two options for tilting
`MEMS mirrors: one—axis and two-axis mi1rors,md'vou1dbemotivated
`toretiueecrosstalkinattenuationandtoincreaseportdensity. Pet. 20-21.‘
`
`(Paper 8 (IPR2C-14-01166), Institution Decision, Pages 17-18;
`Paper 8 (IPR2014—01276), Institution Decision, Pages 17)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 52
`
`
`
`‘683 Smith P1*0visi011a1: Substituti011 /
`Interchangeability
`
`output is port is adjusted by translating the beam in the switching plane.
`
`(Ex. 1005 (IPR2014—01166, —01276), ‘683 Smith
`Provisional, Page 12, Lines 24-26)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 53
`
`
`
`‘941 Smith Patent: Substitution /
`
`Interchaégeability
`
`arrangement as the fibers.
`
`It is noted that
`
`(Ex. 1004 (IPR2014—01166, —01276), ‘941 Smith Patent,
`Col. 16, Lines 55-58)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 54
`
`
`
`Substituti011 / Interchangeability: D1: Marom
`
`‘ The provisional states that "in comparison to the two-axis
`
`(Ex. 1028 (IPR2014—01166), Marom Dec1., Para. 39;
`Ex. 1028 (IPR2014—01276), Marom Dec1., Para. 40)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 55
`
`
`
`Substitution / Interchangeability:
`D1: Marom (collt)
`
`43.
`
`Second.
`
`the devices disclosed in both Bouevitch and Smith are
`
`similar devices, and PHOSITA would know that tecliniqncs used in one reference
`
`would likely be directly applicable in the etllei-._
`
`(Ex. 1028 (IPR2o14-01166), Mal-om Dec1., Para. 42;
`Ex. 1028 (IPR2014—01276), Mal-om Decl., Para. 43)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 56
`
`
`
`Substitution / Interchangeability:
`D1: Marom (cont...)
`___________________________________________________________________________________________________________ ©
`
`— Rotation about either
`
`1 or 2 axes would result
`
`in controllable
`
`nn'saIi3n1neut to alter power because any intentional nusaligmuent from fiber
`
`location. us any direction. would result in reduced coupling to fiber. (See, e.g.,
`
`[EL 1037]. R.E. Wagrter and W.J. Tomlinson. Corgpffrrg Efificfem:;1-' Qf Optics in
`
`Sirrg.-le-Mode Fiber Componerr.-‘s. Applied Ctptics. Vol. 21. No. 15. pp. zan-zsss
`
`[August 1982).]
`
`(Ex. 1028 (IPR2o14-01166), Marom Dec1., Para. 43;
`Ex. 1028 (IPR2014—01276), Marom Decl., Para. 44)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 57
`
`
`
`Obvious to Try / Limited Number of
`Solutions: D1: Marom
`
`46.
`
`Third.
`
`it would be obvious for PHOSITA to try S111ith’5 2-axis
`
` and PHOSITA would expect
`
`to liaise success building devices using either type of niirrer.
`
`(Ex. 1028 (IPR2014—01166), Marom Dec1., Para. 45;
`E3. 1028 (IPR2014431276), Maram Dec1., Para. 46)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 58
`
`
`
`Other Motivations: Reduce Crosstalk
`
`O __________________________________________________________________________________________________________.
`
`off maximum alignment with its waveguide in the direction
`of a closely neighboring waveguide may increase the cross
`talk between the two channels. On the other hand, minor axis
`tuning seems to afiect
`the pass band. An optimization
`technique, rather than equalization, involves aligning the
`minor axis to improve angular alignment arising from mirror
`offset.
`
`(Ex. 1oo4 (IPR2o14—o1166, -0127-5), ‘941 Smith Patent,
`Col. 18, Lines 17-25)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 59
`
`
`
`Other Motivations: Increased Poit Density
`
`sue mtrrers have been annnuneed. The systems use pie?.n-
`electric elemenLs nr magnetically er electrostatic
`ated niicrnniirrers.
`
`n ac ieve a variable switc
`
`11 is ypica y necessary In use a very high level nf nptical
`feedback.
`
`arrangng arrays cf the
`is a niethnd cf fabricating an
`tnicrntnachines such that
`the switching is accurate and
`repeatable.
`
`(E3. 1009 (IPR2014—01166, —01276), Heen Patent, C01. 2, Lines
`1-16; Paper 2 (IPR2014—01166), Petition, Pages 22, 32; Paper 2
`(IPR2014—01276), Petition, Pages 22, 32)
`I5
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 60
`
`
`
`Continuously Controllable
`‘368 Patent Claims 1, 15, 16, 17
`‘678 Patent Claim 1, 44, 61
`
`61
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 61
`
`
`
`‘368 Patent Claim 1: Continuously
`Controllable
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent, Claim 1)
`
`62
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 62
`
`
`
`‘678 Patent Claim 1: Continuously
`Controllable
`
`(Ex. 1001 (IPR2014-01276), ‘678 Patent, Claim 1)
`
`63
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 63
`
`
`
`‘368 and ‘678 Patents: Analog Rotation
`___________________________________________________________________________________________________________ ©
`
`The channel micromirrors 103 are individtlally controllable
`and movable,
`— such that, upon reflection, the spectral
`
`(Ex. 1001 (IPR2014—01166), ‘368 Patent, C01. 7,1ines 6-8;
`Ex. 1001 (IPR2014—01276), ‘678 Patent, C01. 7, lines 6-8)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 64
`
`
`
`‘683 Smith Provisional: Analog Rotation
`___________________________________________________________________________________________________________ O
`
`According to a preferred embodiment of the invention, the optical throughput of each
`wavelength channel nlay be controlled by using a mirror aflay with elements that can be-
` Angular displacement in a First, switching
`
`(Ex. 1005 (IPR2o14—o1166, —o1276), ‘683 Smith Provisional,
`Page 7, Line 3-5)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 65
`
`
`
`‘941 Smith Patent: Analog Rotation
`___________________________________________________________________________________________________________ O
`
`between the electrodes.
`
`If an AC dnve
`
`(Ex. 1004 (IPR2o14—o1166, —01276), ‘941 Smith Patent,
`Col. 15, Lines 40-42)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 66
`
`
`
`‘941 Smith Patent: Analog Rotation
`___________________________________________________________________________________________________________ ©
`
`(E3. 1004 (IPR2o14—o1166, —o1276), ‘941 Smith Patent,
`Col. 15, Lines 47-48)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 67
`
`
`
`Lin Patent: Mirror
`
`(Ex. 1010 (IPR2014-01166, -01276), Lin Patent, Fig. 3)
`
`68
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 68
`
`
`
`Lin Patent: F01‘ Switching Applications
`___________________________________________________________________________________________________________ O
`
`mhfor "position, fight is dirccfocl to a light absorber. The
`DMD may also be monostable and o
`ted in the analog
`
`mode, andmm e1 stem, optical
`
`shutter, scanner, an
`
`e
`
`.
`
`'
`
`(Ex. 1010 (IPR2014—01166, —01276), Lin Patent, Col. 2, Lines 7-9)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 69
`
`
`
`Lin Patent: C011tin11011s1y Controllable
`___________________________________________________________________________________________________________ ©
`
`\ OPERATING RANGE
`
`ADDRESS VOLTAGE
`
`(Ex. 1010 (IPR2014—-31166, -0-1276), Lin Patent, Fig. 3B)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 70
`
`
`
`Lin Patent: C011tin11011s1y Controllable
`___________________________________________________________________________________________________________ O
`
`the range of steerini lifit is 20'’._
`
`With an address voltage being a
`elect:
`'
`to 0 vol
`
`'
`
`en
`
`1s
`
`(Ex. 1010 (IPR2014-01166, -01276), Lin Patent,
`Col. 7, Lines 10-15)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 71
`
`
`
`Bouevitch + Smith/ Lin: Combination
`___________________________________________________________________________________________________________ ©
`
`Italsowouldh:utbecnobvioustosubsfimteSmith‘smLin’scominmus,
`
`analog, control into the Boucvitch ROADM. (Mamm Deal, '[ 67.) The PHOSITA
`
`wafldcounbinemctcachingsuftheserefuulccsatkastforthcrcasonslhall
`
`cnnIhnmuslyconhoflcdnfi1rmswtrehmwnmbeinIctchangcablewiIhdisutIc-
`
`of
`stepmiImrs;'conIimwusl3rcou11'olledmitrorsallo*w arbitrary
`miImIsandcanmm:preciscIymalthlheoptin1a]cmplingvahr;am1'Lin
`
`spec1fica'l]yteachesIhati1sanalog,com1mInus' MEusmin-crcwcmaccuccmuc
`
`optical switching appniccuccc like Boucvitch‘s and Sn1ith‘5 ROADM devices.
`
`(Ex. 1010, 215-9; Mamm Decl, 1' 6?.)
`
`(Paper 2 (IPR2014—01276), Petition, Pages 30-31;
`Paper 2 (IPR2014—01166), Petition, Page 30)
`
`‘:-
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 72
`
`
`
`Bouevitch + Smith/ Lin: Limited Options 8:
`P1*edictal8C5e Results
`
`In addition. analog (continuous) control of the mirrors would be obvious to
`
`try because there are
`
`{See Marorn Dec1..
`
`11 63.}
`
`For
`
`example. Lin discusses analog control as the alternative to binary (discrete) control
`
`of mirrors to increase the precision of tile nlirror placement. (Ex. 1010. 2:729: 3:41-
`
`51’; Marom Dccl.. 1] 10.} With only two options. both of which were known in the
`
`prior art. and both of which were suggested as working solutions for control. the
`
`PHDSITA would have expected that trying analog control would work well in the
`
`device of Bouevitclr (Maroin Decl.. 1H] 68-70.}
`
`(Paper 2 (IPR2014—01276), Petition, Page 31; Paper 2
`(IPR2014—o1166), Petition, Pages 30-31)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 73
`
`
`
`Other Motivations: Known
`
`Inte1*cha®geability
`
`6?.
`
`To the extent Bouevitch does not full}: disclose continuous (analog)
`
`mirror control. it also would have been obvious to substitute one control method
`
`for the other. including substituting either S:nith‘s or Lin‘s continuous. analog
`
`control into the CDADM of Bouevitch. PHDSITA would do so for at least for
`
`we rm that cuT
`A
`(2)u
`
`{3} Lin specifically teaches that its analog. continuous MEMS ntittors would be
`
`useful in optical switching applications like E‘-ouevitch‘s and Smith's RDADM
`
`devices. {[EI. nun]. 2:6-9.)
`
`and
`
`(Ex. 1028 (IPR2o14-01276), Marom Decl... Para. 67; Ex. 1028
`(IPR2014431166), Marom Deal... Para. 62)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 74
`
`
`
`‘683 Smith Provisional for Power Control—Not
`Bouevitch Patent Figure 5
`
`(Paper 2 (IPR2014-01166), Petition, Page 34;
`Paper 2 (IPR2014-01276), Petition, Page 34)
`
`75
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 75
`
`
`
`‘683 Smith Provisional: Power C011t1’*0l
`___________________________________________________________________________________________________________ ©
`
`According to a preferred embodiment of the invention, the optical throughput of each
`
`wavelength channel may be controlled by using a mirror array with elements that can be rotated
`in an analog fashion about two orthogonal axes.
`
`* MEMS switches with single axis mirror
`
`arrays may also be used for output power control. In this case, the coupling of each beam to a
`
`designated output port is adj ustcd by variations in the switching angle.
`
`(Ex. 1005 (IPR2o14—o1166, —o1276), ‘683 Smith
`Provisional, Page 7, Lines 3-9)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 76
`
`
`
`Reflect
`‘678 Patent Claims 1, 21, 41, 66
`
`77
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 77
`
`
`
`‘678 Patent Claim 1: Reflect
`___________________________________________________________________________________________________________ O
`
`d) a spatial array of channel mieromirrors positioned such
`that each channel micrelnirror receives one of said sp ec-
`tral c11a11ue1s_., said channel micromirrors being pivotal
`about two axes and bein individually and continu-
`ously controllable
`[ [said] ] corresponding
`received spectral channels into any selected ones of said
`output ports and to control the power of said received
`spectral channels coupled into said output ports.
`
`(Ex. 1001 (IPR2o14-01276), ‘678 Patent, Claim 1)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 78
`
`
`
`Reflect: Broadest Reasonable Interpretation
`
`(Paper 20 (IPR2014-01276), Petitioner’s Reply, Page 17)
`
`79
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 79
`
`
`
`Reflect: Broadest Reasonable Inte1*p1‘etati0n
`
`-——'''f
`‘*1! Iffllkluq
`kt’) W5 EME re £2 ran at: MFr re!
`
`Hfl
`
`.
`
`3
`
`,
`
`or re to uce
`
`to cast or
`
`Eda t at reflefl hflnflr “'1
`-Q
`him; 4 to express or show {3}}-HI
`3 that re fact years of trainin
`mm“ t
`_
`5 to
`an or realize afler thought (that) h to fold or t.u_rn bar:
`: usu-
`t raw" bank {fight Fflflecting
`d 0' thmw back HEM. heat, sound, etc. {av
`-
`-
`'
`minute 4 to think 3'-'2fit:ufi;rcI:';1ck anhigagnogrlnkeneas 3:!) to be
`'=1e5==!e.°r '~’H5'=1‘fidit{on or upon} _. v .......m,.r....
`..f*:=E!*:"*!_*? 5 to cast
`
`(EX. 1057 (IPR2014—0127-5), Webster’s New World Dictionary, Page 3;
`Paper 20 (IPR2014—01276), Petiti011eI"s Reply, Page 17)
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 80
`
`
`
`Bouevitch Patent Figure 11 (Annotation 2)
`
`(Ex. 1003 (IPR2014-01276), Fig. 11 (annotated); Paper 2
`(IPR2014-01276), Petition, Pages 26, 27-29; Paper 20 (IPR2014-
`01276), Petitioner’s Reply, Pages 17-18)
`81
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 81
`
`
`
`Bouevitch Patent Figure 11 (Annotation 2)
`
`(Ex. 1003 (IPR2014-01276), Fig. 11 (annotated); Paper 2 (IPR2014-
`01276), Petition, Pages 26, 27-29; Paper 20 (IPR2014-01276),
`Petitioner’s Reply, Pages 17-18)
`82
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 82
`
`
`
`Diffraction Gratings
`‘368 Patent Claim 12
`‘678 Patent Claims 17, 29, 53
`
`83
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 83
`
`
`
`Markush Group
`
`(Ex. 1001 (IPR2014-01166), ‘368 Patent, Claim 12)
`
`84
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 84
`
`
`
`Markush Group
`
`(Ex. 1001 (IPR2014-01276), ‘678 Patent, Claim 17)
`
`85
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 85
`
`
`
`Bouevitch Patent: Diffraction Gratings
`
`(Ex. 1003 (IPR2014-01166, -01276), Bouevitch Patent, Fig. 11
`(annotated); Paper 2 (IPR2014-01166), Petition, Pages 26, 47-49; Paper
`25 (IPR2014-01166), Petitioner’s Reply, Pages 23-24; Paper 2
`(IPR2014-01276), Petition, Pages 26, 45-47, 51-52, 59; Paper 20
`(IPR2014-01276), Petitioner’s Reply, Page 23)
`86
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 86
`
`
`
`Dr. Marom: Diffraction Gratings
`
`(Ex. 1028 (IPR2014-01166), Marom Decl., Para. 104;
`Ex. 1028 (IPR2014-01276), Marom Decl., Para. 113)
`
`87
`
`Cisco Systems, Inc.
`Exhibit 1046
`Page 87
`
`
`
`D1: Marom: Diffraction Gratings
`
`manufacturing technique. It
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