Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`Cisco Systems, Inc.
`Petitioner
`
`v.
`
`Capella Photonics, Inc.
`Patent Owner
`
`Patent No. RE42,678
`Filing Date: June 15, 2010
`Reissue Date: September 6, 2011
`
`Title: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH
`SERVO CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT
`CAPABILITIES
`
`
`
`Inter Partes Review No. 2014–01276
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`

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`
`
`Contents
`I. 
`INTRODUCTION ........................................................................................ 1 
`II.  MANDATORY NOTICES UNDER 37 C.F.R. § 42.8(A)(1) ................... 1 
`A. 
`Real Party-In-Interest under 37 C.F.R. § 42.8(b)(1) ........................... 1 
`B. 
`Related Matters under 37 C.F.R. § 42.8(b)(2) .................................... 1 
`C. 
`Lead and Back-Up Counsel under 37 C.F.R. § 42.8(b)(3) ................. 2 
`D. 
`Service Information .............................................................................. 2 
`E. 
`Power of Attorney ................................................................................ 2 
`III.  PAYMENT OF FEES - 37 C.F.R. § 42.103 ............................................... 3 
`IV.  REQUIREMENTS FOR INTER PARTES REVIEW UNDER 37
`C.F.R. § 42.104 ............................................................................................. 3 
`A.  Grounds for Standing under 37 C.F.R. § 42.104(a) ............................ 3 
`Identification of Challenge under 37 C.F.R. § 42.104(b) and
`B. 
`Statement of Precise Relief Requested ................................................ 3 
`Threshold Requirement for Inter Partes Review 37 C.F.R. §
`42.108(c) ............................................................................................... 4 
`BACKGROUND OF TECHNOLOGY RELATED TO THE ‘678
`PATENT ........................................................................................................ 5 
`VI.  SUMMARY OF THE ‘678 PATENT ......................................................... 7 
`VII.  CLAIM CONSTRUCTION UNDER 37 C.F.R. § 42.104(B)(3) .............. 9 
`A. 
`Legal Overview .................................................................................... 9 
`B. 
`“To control the power…,” “to reflect [its] [corresponding] …
`spectral channels,” “wherein each output port carries a single
`one of said spectral channels,” “whereby said pass-through port
`receives a subset of said spectral channels,” and “for
`maintaining a predetermined coupling…” (Claims 1–19, 21–30,
`44–53) ................................................................................................. 10 
`“Continuously controllable/[controlling]” (Claims 1–19, 44–67) ..... 11 
`“Servo-control assembly” and “servo-based” (Claims 2-4, 21-
`43, and 45-46) ..................................................................................... 12 
`“Spectral monitor” (Claims 3, 22, and 46) ......................................... 13 
`
`C. 
`
`V. 
`
`C. 
`D. 
`
`E. 
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`E. 
`
`“Beam-focuser” (Claims 1–67) .......................................................... 14 
`F. 
`[Controlling] “in two dimensions” (Claims 61–67) ........................... 15 
`G. 
`VIII.  CLAIMS 1-4, 9, 10, 13, 17, 19-23, 27, 29, 44-46, 53, AND 61-65 OF
`THE ‘678 PATENT ARE UNPATENTABLE ......................................... 16 
`Bouevitch, Smith, Lin and Dueck are all prior art to the ‘678
`A. 
`patent .................................................................................................. 16 
`B.  Overview of the Bouevitch Prior Art ................................................. 17 
`C.  Overview of the Smith Prior Art ........................................................ 18 
`PHOSITA had ample motivation to combine Bouevitch with
`D. 
`Smith, including the motivations disclosed in both references .......... 19 
`Bouevitch and Smith Render Obvious All Petitioned Claims ........... 22 
`1. 
`Claim 1 – Grounds 1 and 2 ...................................................... 23 
`2. 
`Claim 2 ..................................................................................... 35 
`3. 
`Claim 3 ..................................................................................... 39 
`4. 
`Claim 4 ..................................................................................... 42 
`5. 
`Claim 9 ..................................................................................... 43 
`6. 
`Claim 10 ................................................................................... 44 
`7. 
`Claim 13 ................................................................................... 44 
`8. 
`Claim 17—Grounds 1, 2, 3 and 4 ............................................ 45 
`9. 
`Claim 19 ................................................................................... 47 
`10.  Claim 20 ................................................................................... 48 
`11.  Claim 21 ................................................................................... 49 
`12.  Claim 22 ................................................................................... 51 
`13.  Claim 23 ................................................................................... 51 
`14.  Claim 27 ................................................................................... 51 
`15.  Claim 29 ................................................................................... 51 
`16.  Claim 44 ................................................................................... 52 
`17.  Claim 45 ................................................................................... 54 
`18.  Claim 46 ................................................................................... 55 
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`19.  Claim 53 ................................................................................... 55 
`20.  Claim 61 ................................................................................... 55 
`21.  Claim 62 ................................................................................... 58 
`22.  Claim 63 ................................................................................... 59 
`23.  Claim 64 ................................................................................... 59 
`24.  Claim 65 ................................................................................... 59 
`IX.  WRITTEN DESCRIPTION SUPPORT FOR THE SMITH
`PATENT’S SEPTEMBER 22, 2000, PRIORITY DATE ....................... 60 
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`List of Exhibits Cited in this Petition
`
`Exhibit 1001:U.S. Reissued Patent No. RE42,678 to Wilde et al. (“ ‘678 patent”)
`
`Exhibit 1002: File History of U.S. Patent No. RE42,678 to Wilde et al. (“ ‘678 File
`History”)
`
`Exhibit 1003: U.S. Patent No. 6,498,872 to Bouevitch et al. (“Bouevitch”)
`
`Exhibit 1004: U.S. Patent No. 6,798,941 to Smith et al. (“Smith Patent,” or
`“Smith”)
`
`Exhibit 1005: Provisional Patent App. No. 60/234,683 (“Smith Provisional”)
`
`Exhibit 1006: U.S. Patent No. 6,798,992 to Bishop et al. (“Bishop”)
`
`Exhibit 1007: U.S. Patent No. 6,507,421 to Bishop et al. (“Bishop ‘421”)
`
`Exhibit 1008: Provisional Patent App. No. 60/277,217 (“’678 Provisional”)
`
`Exhibit 1009: U.S. Patent No. 6,253,001 to Hoen (“Hoen”)
`
`Exhibit 1010: U.S. Patent No. 5,661,591 to Lin at al. (“Lin”)
`
`Exhibit 1011: Doerr et al., An Automatic 40-Wavelength Channelized Equalizer,
`IEEE Photonics Technology Letters, Vol., 12, No. 9, (Sept. 2000)
`
`Exhibit 1012: U.S. Patent No. 5,936,752 to Bishop et al. (“Bishop ‘752”)
`
`Exhibit 1013: Excerpt from New World English Dictionary ("servo” and
`“servomechanism”)
`
`Exhibit 1014: Excerpt from Collins English Dictionary - Complete & Unabridged
`10th Edition. HarperCollins Publishers.
`http://dictionary.reference.com/browse/feedback (accessed: May 07,
`2014) (“feedback”)
`
`Exhibit 1015: Ford et al., Wavelength Add–Drop Switching Using Tilting
`Micromirrors, Journal of Lightwave Technology, Vol. 17, No. 5
`(May 1999) (“Ford”)
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`Exhibit 1016: U.S. Patent No. 6,069,719 to Mizrahi (“Mizrahi”)
`
`Exhibit 1017: U.S. Patent No. 6,204,946 to Aksyuk et al. (“Aksyuk”)
`
`Exhibit 1018: U.S. Patent Application Publication No. US 2002/0105692 to Lauder
`et al. (“Lauder”)
`
`Exhibit 1019: Giles et al., Reconfigurable 16-Channel WDM DROP Module Using
`Silicon MEMS Optical Switches, IEEE Photonics Technology
`Letters, Vol. 11, No. 1, (Jan. 1999) (“Giles 16-Channel WDM
`DROP Module”)
`
`Exhibit 1020: Andrew S. Dewa, and John W. Orcutt, Development of a silicon 2-
`axis micro-mirror for optical cross-connect, Technical Digest of the
`Solid State Sensor and Actuator Workshop, Hilton Head Island, SC,
`June 4-8, 2000) at pp. 93-96 (“Dewa”)
`
`Exhibit 1021: U.S. Patent No. 6,011,884 to Dueck et al. (“Dueck”)
`
`Exhibit 1022: U.S. Patent No. 6,243 ,507 to Goldstein et al. (“Goldstein ‘507”)
`
`Exhibit 1023: U.S. Patent No. 6,567,574 to Ma, et al. (“Ma”)
`
`Exhibit 1024: U.S. Patent No. 6,256,430 to Jin, et al. (“Jin”)
`
`Exhibit 1025: U.S. Patent No. 6,631,222 to Wagener et al. (“Wagener”)
`
`Exhibit 1026: U.S. Patent No. 5,875,272 to Kewitsch et al. (“Kewitsch”)
`
`Exhibit 1027: U.S. Patent No. 6,285,500 to Ranalli at al. (“Ranalli”)
`
`Exhibit 1028: Declaration of Dr. Dan Marom
`
`Exhibit 1029: Curriculum Vitae of Dr. Dan Marom
`
`Exhibit 1030: James A. Walker et al., Fabrication of a Mechanical Antireflection
`Switch for Fiber-to-the-Home Systems, 5 J. Microelectromechanical
`Sys. 45, 46-47, Fig. 3 (1996) (“Walker”).
`
`Exhibit 1031: U.S. Patent No. 5,414,540 to Patel et al. (“Patel”)
`
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`Exhibit 1032: Borella, et al., Optical Components for WDM Lightwave Networks,
`Proceedings of the IEEE, Vol. 85, NO. 8, August 1997 (“Borella”)
`
`Exhibit 1033: U.S. Patent No. 6,928,244 to Goldstein et al. (“Goldstein ‘244”)
`
`Exhibit 1034: Steffen Kurth et al., Silicon mirrors and Micromirror Arrays for
`Spatial Laser Beam Modulation, Sensors and Actuators, A 66, July
`1998
`
`Exhibit 1035: C. Randy Giles and Magaly Spector, The Wavelength Add/Drop
`Multiplexer for Lightwave Communication Networks, Bell Labs
`Technical Journal, (Jan.-Mar. 1999) (“Giles and Spector”)
`
`Exhibit 1036: U.S. Patent No. 5,872,880 to Maynard (the “Maynard patent”)
`
`Exhibit 1037: R.E. Wagner and W.J. Tomlinson, Coupling Efficiency of Optics in
`Single-Mode Fiber Components, Applied Optics, Vol. 21, No. 15,
`pp. 2671-2688 (August 1982)
`
`Exhibit 1038: Excerpts from Born et al., PRINCIPLES OF OPTICS, (6th Ed.,
`Pergammon Press 1984)
`
`Exhibit 1039: Excerpts from Shigeru Kawai, HANDBOOK OF OPTICAL
`Interconnects (2005)
`
`Exhibit 1040: U.S. Patent No. 6,625,350 to Kikuchi (the “Kikuchi patent”)
`
`Exhibit 1041: Joseph E. Ford & James A. Walker, Dynamic Spectral Power
`Equalization Using Micro-Opto-Mechanics, IEEE Photonics
`Technology Newsletter, Vol. 10, No. 10, (Oct. 1998) (“Ford &
`Walker, Spectral Power Equalization”)
`
`Exhibit 1042: U.S. Patent No. 5,048,912 to Kunikane et al. (“Kunikane patent”)
`
`Exhibit 1043: U.S. Patent No. 5,315,431 to Masuda et al. (“Masuda patent”)
`
`Exhibit 1044: S. Yuan, and N. A. Riza, General formula for coupling loss
`characterization of single mode fiber collimators by use of gradient
`index rod lenses, Appl. Opt. Vol. 38, No. 10, at 3214-3222, (1999)
`
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`Exhibit 1045: Ming C. Wu, Micromachining for Optical and Optoelectronic
`Systems, Proc. IEEE, Vol. 85, No. 11, at 1833-56 (Nov. 1997)
`(“Wu, Micromachining”)
`
`Exhibit 1046: Sir Isaac Newton, Opticks or a treatise of the reflections,
`refractions, and inflections and colors of light (1730)
`
`Exhibit 1047: Chikama et al., Photonic Networking Using Optical Add Drop
`Multiplexers and Optical Cross-Connects, Fujitsu Sco. Tech. J., 35,
`1, pp. 46-55 (July 1999)
`
`Exhibit 1048: Richard S. Muller & Kam Y. Lau, Surface-Micromachined
`Microoptical Elements and Systems, Proceedings of the IEEE, Col.
`86, No. 8 (August 1998)
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`I.
`
`INTRODUCTION
`Petitioner Cisco Systems, Inc. requests inter partes review under 35 U.S.C.
`
`§§ 311-319 and 37 C.F.R. § 42, of claims 1-4, 9, 10, 13, 17, 19-23, 27, 29, 44-46,
`
`53, and 61-65 (the “Petitioned Claims”) of U.S. Patent No. RE42,678 (Ex. 1001)
`
`(“the ‘678 patent”), assigned on its face to Capella Photonics, Inc.
`
`In prosecuting its reissue patent, Patentee admitted that its original claim set
`
`was overbroad and invalid in light of U.S. Patent No. 6,498,872 (Ex. 1003)
`
`(“Bouevitch”). To fix this claim drafting mistake and to distinguish over
`
`Bouevitch, Patentee made two amendments to most of the patent’s independent
`
`claims. But those amendments merely swapped one known component for another
`
`known component. As described in the body of this petition, those amendments
`
`swapped one known type of mirror for another known type of mirror.
`
`While the Patentee’s reissue amendments may have addressed the novelty
`
`issues in light of Bouevitch, those amendments do not overcome obviousness.
`
`Bouevitch in combination with the prior art described in the body of this petition
`
`renders the Petitioned Claims invalid as obvious.
`
`II. MANDATORY NOTICES UNDER 37 C.F.R. § 42.8(A)(1)
`A. Real Party-In-Interest under 37 C.F.R. § 42.8(b)(1)
`Petitioner Cisco Systems, Inc. is the real party-in-interest for this petition.
`
`B. Related Matters under 37 C.F.R. § 42.8(b)(2)
`Petitioner has filed petition IPR-2014-01166 on a related patent to the ‘678;
`1
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`
`
`

`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`U.S. RE42,368. The ‘678 Patent is asserted against Cisco in an on-going patent
`
`lawsuit brought by Patent Owner in Capella Photonics, Inc. v. Cisco Systems, Inc.,
`
`Civil Action No. 3:14-CV-03348-NC (“California litigation”), pending in the
`
`Northern District of California. Claims 1-4, 9, 10, 13, 17, 19-23, 27, 29, 44-46, 53,
`
`and 61-65 of the ‘678 patent are asserted in the California litigation.
`
`C. Lead and Back-Up Counsel under 37 C.F.R. § 42.8(b)(3)
`
`BACK-UP COUNSEL
`Matthew J. Leary (Reg. No. 58,593)
`Cooley LLP
`380 Interlocken Crescent, Ste. 900
`Broomfield, CO 80021
`Tel:720-566-4125 Fax:720-566-4099
`CapellaCisco@cooley.com
`
`LEAD COUNSEL
`Wayne O. Stacy (Reg. No. 45,125)
`Cooley LLP
`380 Interlocken Crescent, Ste. 900
`Broomfield, CO 80021
`Tel:720-566-4125 Fax:720-566-4099
`wstacy@cooley.com
`
`
`Service Information
`
`D.
`As identified in the attached Certificate of Service, a copy of the present
`
`petition, in its entirety, including all Exhibits and a power of attorney, is being
`
`served by USPS EXPRESS MAIL, costs prepaid, to the address of the attorney or
`
`agent of record for the ‘678 patent: Barry Young, Law Offices of Barry N. Young,
`
`P.O. Box 61197, Palo Alto, CA 94306. Petitioner may be served at the lead
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`counsel address provided in Section I.C. of this Petition.
`
`Power of Attorney
`
`E.
`A power of attorney is being filed concurrently with the designation of
`2
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`

`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`counsel in accordance with 37 C.F.R, § 42.10(b).
`
`III. PAYMENT OF FEES - 37 C.F.R. § 42.103
`This petition for inter partes review requests review of 24 claims of the ‘678
`
`patent and is accompanied by a request fee payment of $27,400. See 37 C.F.R. §
`
`42.15. Thus, this petition meets the fee requirements under 35 U.S.C. § 312(a)(1).
`
`IV. REQUIREMENTS FOR INTER PARTES REVIEW UNDER 37 C.F.R. § 42.104
`A. Grounds for Standing under 37 C.F.R. § 42.104(a)
`Petitioner certifies that the ‘678 patent is eligible for inter partes review and
`
`further certifies that Petitioner is not barred or otherwise estopped from requesting
`
`inter partes review challenging the identified claims on the grounds identified
`
`within the present petition.
`
`B.
`
`Identification of Challenge under 37 C.F.R. § 42.104(b) and
`Statement of Precise Relief Requested
`Petitioner requests inter partes review of claims 1-4, 9, 10, 13, 17, 19-23,
`
`27, 29, 44-46, 53, and 61-65 of the ‘678 patent under the statutory grounds set
`
`forth in the table below. Petitioner asks that each of the claims be found
`
`unpatentable. An explanation of how claims 1-4, 9, 10, 13, 17, 19-23, 27, 29, 44-
`
`46, 53, and 61-65 are unpatentable is included in § VIII of this petition. Additional
`
`explanation and support for each ground of rejection is set forth in the Declaration
`
`of a technical expert, Dr. Dan Marom (Ex. 1028) (“Marom Decl.”).
`
`Ground
`
`‘678 Patent Claims
`
`Basis for Challenge
`
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`3
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`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`Ground
`1
`
`‘678 Patent Claims
`1-4, 9, 10, 13, 17, 19-
`23, 27, 29, 44-46, 53,
`and 61-65
`1-4, 9, 10, 13, 17, 19-
`23, 27, 29, 44-46, 53,
`and 61-65
`17, 29, and 53
`
`2
`
`3
`
`4
`
`Basis for Challenge
`Obvious under § 103(a) by Bouevitch in view
`of Smith.
`
`Obvious under § 103(a) by Bouevitch in view
`of Smith further in view of Lin.
`
`Obvious under § 103(a) by Bouevitch in view
`of Smith in further view of Dueck.
`Obvious under § 103(a) by Bouevitch in view
`of Smith and Lin in further view of Dueck.
`The references relied upon in the grounds 1, 2, 3 and 4 set forth above
`
`17, 29, and 53
`
`qualify as prior art under 35 U.S.C., § 102(e) or (b).
`
`This Petition and the Declaration of Dan Marom, submitted herewith, cite
`
`additional prior art materials to provide background of the relevant technology and
`
`to explain why one of skill in the art would combine the cited references.
`
`C. Threshold Requirement for Inter Partes Review 37 C.F.R. §
`42.108(c)
`Inter partes review of claims 1-4, 9, 10, 13, 17, 19-23, 27, 29, 44-46, 53, and
`
`61-65 should be instituted because this Petition establishes a reasonable likelihood
`
`that Petitioner will prevail with respect to at least one of the claims challenged.
`
`See 35 U.S.C. § 314(a). Each limitation of each challenged claim is disclosed by
`
`the prior art and/or obvious in light of that art.
`
`
`
`4
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`

`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`V. BACKGROUND OF TECHNOLOGY RELATED TO THE ‘678 PATENT
`Fiber-optic communication uses light to carry information over optical
`
`fibers. Originally, fiber-optic systems used one data channel per fiber. To increase
`
`the number of channels carried by a single fiber, wavelength division multiplexing
`
`(“WDM”) was developed. WDM is a type of optical communication that uses
`
`different wavelengths of light to carry different channels of data. WDM combines
`
`(multiplexes) multiple individual channels onto a single fiber of an optical
`
`network. WDM was known before the ‘678’s priority date. (E.g., Ex. 1015, 904.)
`
`At different points in a fiber network, some of the individual channels may
`
`be extracted (dropped) from the fiber, for example when those channels are
`
`directed locally and need not be passed further down the fiber network. And at
`
`these network points, other channels may also be added into the fiber for
`
`transmission onward to other portions of the network. To handle this add/drop
`
`process, optical add-drop multiplexers (OADMs) were developed. OADMs are
`
`used to insert channels onto, pass along, and drop channels from an optical fiber
`
`without disrupting the overall traffic flow on the fiber. (‘678 Pat., 1:51-58.)
`
`OADMs were known long before the ‘678 priority date. (E.g., Ex. 1015, 904.)
`
`(Re)configurable OADMs are referred to as “ROADMs” or “COADMs,”
`
`which are controllable to dynamically select which wavelengths to add, drop, or
`
`pass through. (Bouevitch, Abstract; Ex. 1019, 64.) These types of devices were
`
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`5
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`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`known in the art prior to the ‘678 priority date. (Marom Decl., ¶ 30.)
`
`ROADMs operate by separating the input light beam into individual
`
`beams—each beam corresponding to an individual channel.
`
` Each input
`
`channel/beam is individually routed by a beam-steering system to a chosen output
`
`port of the ROADM. For example, a first channel can be steered so that it is
`
`switched from an “input” port to an “output” port. Channels switched to the
`
`“output” port are passed along the network. At the same time, a second channel
`
`can be switched to a “drop” port and removed from the main fiber. The ROADM
`
`could also add a new channel to the main fiber through the “add” port to replace
`
`the dropped channel. These add/drop techniques were known prior to the ‘678
`
`priority date. (Marom Decl., ¶ 29; Bouevitch, 5:15-38; Ex. 1016, 1:55-2:45; Ex.
`
`1017, 1:56-67.)
`
`In addition to routing channels, ROADMS may also be used to control the
`
`power of the individual channels. Power control is often performed by steering
`
`individual beams slightly away from the target port such that the misalignment
`
`reduces the amount of the channel’s power that enters the port. This misalignment
`
`power control technique in ROADMs was known prior to the ‘678 priority date.
`
`(See e.g., Marom Decl., ¶¶ 36, 44, 63; Ex. 1006, 2:9-21.)
`
`ROADMs use wavelength selective routers (WSRs) to perform switching
`
`and power control. (See, e.g., Ex. 1026, 10:64-11:29.) WSRs are also referred to
`
`
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`6
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`

`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`as wavelength selective switches (WSSs). (See, e.g., Ex. 1027, Fig. 10 Marom
`
`Decl., ¶ 32-33.) As of the ‘678 priority date, WSRs/WSSs were known. (See, e.g.,
`
`id., Ex. 1026, Abstract, 4:15-25; Ex. 1027, Fig. 10; Ex. 1032 at 1292, 1300.)
`
`The embodiment of WSRs relevant to this petition steers light beams using
`
`small
`
`tilting mirrors, sometimes called MEMS, which stands for Micro
`
`ElectroMechanical Systems. (Marom Decl., ¶¶ 37-38.) Prior-art WSRs could tilt
`
`the individual mirrors using analog voltage control. (Id.) The tilt allows reflected
`
`beams to be aimed at selected ports. (Id.) MEMS mirrors could be tilted in one or
`
`two axes, and were known in the art prior to the priority date for the ‘678’s patent.
`
`(Marom Decl., ¶38.)
`
`VI. SUMMARY OF THE ‘678 PATENT
`The ‘678 patent originally issued as U.S. Patent No. 6,625,346 and then
`
`reissued as RE39,397. According to the Patentee, this original ‘397 patent
`
`included claims that were invalid over Bouevitch. The Patentee expressly
`
`acknowledged its claiming mistake and identified the two elements that it alleged
`
`needed to be added to its claims to support patentability–(1) mirror control in two-
`
`dimensions; and (2) the mirror’s use for power control:
`
`At least one error upon which reissue is based is described as follows:
`Claim 1 is deemed to be too broad and invalid in view of U.S. Patent No.
`6,498,872 to Bouevitch and further in view of one or more of U.S. Patent
`No. 6,567,574 to Ma, U.S. Patent No. 6,256,430 to Jin, or U.S. Patent No.
`
`
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`7
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`

`

`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`
`6,631,222 to Wagener by failing to include limitations regarding the spatial
`array of beam deflecting elements being individually and continuously
`controllable in two dimensions to control the power of the spectral
`channels reflected to selected output ports, as indicated by the amendments
`to Claim 1 in the Preliminary Amendments…. (Ex. 1002, 104 (exhibit
`pagination); emphasis added.)
`In its efforts to distinguish over Bouevitch, Patentee’s first amendment
`
`specified that the beam-deflecting elements must be controllable in two dimensions
`
`rather than in just one. That amendment corresponds to a mirror tilting in two axes
`
`rather than one. As for the second amendment, Patent Owner added a use clause
`
`stating that the beam-deflecting elements could be used to control the power. As
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`explained in the claim construction section (§ VII, below), use clauses are not
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`limiting, and have no impact on an invalidity analysis. Claim 1 as amended, with
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`the amendments underlined and deletions struck through, is shown in Table 1.
`
`Table 1
`1 A wavelength-separating-routing apparatus, comprising:
`1a multiple fiber collimators, providing an input port for a multi-wavelength
`optical signal and a plurality of output ports;
`1b a wavelength-separator, for separating said multi-wavelength optical signal
`from said input port into multiple spectral channels;
`1c a beam-focuser, for focusing said spectral channels into corresponding
`spectral spots; and
`1d a spatial array of channel micromirrors positioned such that each channel
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`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
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`micromirror receives one of said spectral channels, said channel micromirrors
`being pivotal about two axes and being individually and continuously
`controllable to reflect 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.
`The Patentee made almost identical amendments to claims 44 and 61.
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`Through the Patentee’s admissions about Bouevitch, the Patentee also
`
`admitted that Bouevitch disclosed all the elements of at least claim 1 (including the
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`preamble), except for 2-axis mirrors. The Patentee first admitted that Bouevitch
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`anticipated the pre-reissue version of claim 1 in the original ‘397 patent.
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`Following that, the only substantive amendments the Patentee added to the claim
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`were the use of individual (“corresponding”) 2-axis mirrors for switching channels
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`to ports, and the mirrors’ intended use for power control. Because the intended use
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`language is not limiting, as discussed in the next section, the Patentee admitted that
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`Bouevitch disclosed all limitations but for 2-axis mirrors. (See MPEP § 2217
`
`(“admissions by the patent owner in the record as to matters affecting patentability
`
`may be utilized during a reexamination”) (citing 37 CFR 1.104(c)(3)).)
`
`VII. CLAIM CONSTRUCTION UNDER 37 C.F.R. § 42.104(B)(3)
`A. Legal Overview
`A claim subject to inter partes review (IPR) is given its “broadest reasonable
`
`construction in light of the specification of the patent in which it appears” (“BRI”).
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`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`37 C.F.R. § 42.100(b). Except as expressly set out below, Petitioner construes the
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`language of the claims to have their plain and ordinary meaning.
`
`B.
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`“To control the power…,” “to reflect [its] [corresponding] …
`spectral channels,” “wherein each output port carries a single
`one of said spectral channels,” “whereby said pass-through port
`receives a subset of said spectral channels,” and “for
`maintaining a predetermined coupling…” (Claims 1–19, 21–30,
`44–53)
`
`Each of the above terms is a mere statement of intended use and is not
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`limiting for apparatus claims 1–19, 21–30, and 44–53. The Federal Circuit stated
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`that “apparatus claims cover what a device is, not what a device does.” Hewlett–
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`Packard Co. v. Bausch & Lomb Inc., 909 F.2d 1464, 1468 (Fed. Cir. 1990). “An
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`intended use or purpose usually will not limit the scope of the claim because such
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`statements usually do no more than define a context in which the invention
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`operates.” Boehringer Ingelheim Vetmedica, Inc. v. Schering-Plough Corp., 320
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`F.3d 1339, 1345 (Fed. Cir. 2003); see also Paragon Solutions, LLC v. Timex Corp.,
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`566 F.3d 1075 (Fed. Cir. 2009); MPEP §§ 2114, 1414.)
`
`The BPAI has also addressed use clauses. In Ex parte Kearney, the BPAI
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`stated that use clauses need not be considered when evaluating the validity of a
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`claim. Ex parte Kearney, 2012 Pat. App. LEXIS 2675, at *6 (BPAI 2012) (“our
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`reviewing court has held that the absence of a disclosure relating to function does
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`not defeat a finding of anticipation if all the claimed structural limitations are
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`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
`found in the reference.”)
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`The above phrases are non-functional use clauses because they say nothing
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`about
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`the structure of
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`the apparatus.
`
` Unlike claim
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`limitations reciting
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`“configurable to [perform a function],” which might reflect the configuration of a
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`physical part of the apparatus, the terms at issue in the ‘678 patent say nothing
`
`about what the apparatus is. Instead, the clauses speak only to what it might do.
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`Petitioner asks that the Board find the above phrases non-limiting.
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`“Continuously controllable/[controlling]” (Claims 1–19, 44–67)
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`C.
`The BRI for “continuously controllable” in light of the specification is
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`“under analog control.” This BRI is consistent with the use of the term in the
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`specification, which describes how “analog” means are used to effect continuous
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`control of the mirrors. The patent explains that “[a] distinct feature of the channel
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`micromirrors in the present invention, in contrast to those used in the prior art, is
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`that the motion…of each channel micromirror is under analog control such that its
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`pivoting angle can be continuously adjusted” (‘678 Pat., 4:7-11 (emphasis
`
`added).) Another passage in the specification states that “[w]hat is important is
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`that the pivoting (or rotational) motion of each channel micromirror be individually
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`controllable in an analog manner, whereby the pivoting angle can be
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`continuously adjusted so as to enable the channel micromirror to scan a spectral
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`channel across all possible output ports.” (‘678 Pat., 9:9-14; emphasis added). Yet
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`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
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`another passage states that “channel micromirrors 103 are individually controllable
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`and movable, e.g., pivotable (or rotatable) under analog (or continuous) control.”
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`(Id., 7:6-8).
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`D.
`
`“Servo-control assembly” and “servo-based” (Claims 2-4, 21-
`43, and 45-46)
`
`The BRIs for the terms “servo control assembly” and “servo-based” in light
`
`of the specification are “feedback-based control assembly” and “feedback-based
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`control.” These definitions are consistent with the use of the term in the
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`specification, which equates servo control with use of a feedback loop. For
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`example, when describing its “servo control,” the ‘678 patent teaches a spectral
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`monitor that provides “feedback” control for the mirrors. “The servo-control
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`assembly 440 further includes a processing unit 470, in communication with the
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`spectral monitor 460 and the channel micromirrors 430 of the WSR apparatus 410.
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`The processing unit 470 uses the power measurements from the spectral monitor
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`460 to provide feedback control of the channel micromirrors 430.” (Id., 11:18-24;
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`emphasis added.) In another passage, the ‘678 patent states that the servo-control
`
`assembly “serves to monitor the power levels of the spectral channels coupled into
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`the output ports and further provide control of the channel micro mirrors on an
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`individual basis, so as to maintain a predetermined coupling efficiency of each
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`spectral channel.” (Id., 4:45-52.)
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`Petition for Inter Partes Review of
`U.S. Reissued Patent No. RE42,678
`
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`Moreover, in the figure that the ‘678 patent labels “servo-control assembly,”
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`the ‘678 patent shows a controller which takes measurements of the output power
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`and moves the mirrors to further adjust that power—a typical feedback loop. (Id.,
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`Fig. 4a, Ex. 1014.) Also confirming this BRI, the feedback-based control
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`described in the ‘678 patent achieves the same goals that the patent ascribes to its
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`“servo-control assembly”—dynamic adjustment
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`to account
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`for changing
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`conditions, such as the possible changes in alignment of the parts within the device
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`or differing gains of other devices. (‘678 Pat., 4:56-67.)
`
`Petitioner is aware that a “servo” can sometimes refer to a servomotor,
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`which is a type of actuator. But that is not what the patent is referring to here with
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`its use of servo in the context of a “servo-control assembly.” Should Capella
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`attempt to change the “servo-control assembly” to refer instead to some “servo”-
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`based actuation mechanism (as opposed to a control mechanism), there is no
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`support for that in the specification. The ‘678 patent nowhere address the details
`
`of the MEMS mirror actuation, and instead discusses “servo-control” and “servo-
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`based” strictly in terms of the control system used to move the mirrors, not the
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`actuation mechanism that physically moves them. (See, e.g., ‘678 Pat., 4:45-, 5:5,
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`6:3-16, 10:62-12:49.)
`
`“Spectral monitor” (Claims 3, 22, and 46)
`
`E.
`The BRI for the term “spectral monitor” is “a device for measuring power.”
`
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`Petition for Inter Partes Review of
`U.S.