Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 1 of 66
`
`
`UNITED STATES DISTRICT COURT
`SOUTHERN DISTRICT OF FLORIDA
`Miami Division
`Case Number: 1:14-cv-20529-PAS
`
`JURY TRIAL DEMANDED
`
`
`
`
`
`CAPELLA PHOTONICS, INC.,
`
`Plaintiff,
`
`
`
`vs.
`
`CISCO SYSTEMS, INC.,
`
`Defendant.
`
`________________________________________/
`
`
`DEFENDANT’S PRELIMINARY INVALIDITY CONTENTIONS
`
`Pursuant to the Court’s Scheduling Order dated March 20, 2014 (Dkt. 16) and the Court’s
`
`Order Extending Deadlines dated April 22, 2014, Defendant Cisco hereby submits its
`
`Preliminary Invalidity Contentions with respect to the U.S. Patent Nos. RE42,678 and RE42,368
`
`(collectively, “the Patents-in-Suit”).
`
`I.
`
`
`RESERVATION OF RIGHTS
`
`Defendant expressly reserves the right to amend or supplement these Preliminary
`
`Invalidity Contentions based on any subsequent information received from Plaintiff relating to its
`
`theory of infringement (including amendments or supplements to its Infringement Contentions
`
`dated April 18, 2014), and/or positions that Plaintiff or its expert witness(es) may take
`concerning claim construction, infringement, and/or invalidity issues.1
`
`Defendant further reserves the right to modify these Preliminary Invalidity Contentions to
`
`take into account any of the Court’s rulings, including the Court’s claim constructions and any
`
`1 Defendant expressly reserves the right to continue to assert any and all additional grounds for invalidity
`not expressly required to be set forth herein by the Court’s order dated March 20, 2014, including those
`defenses arising under 35 U.S.C. § 251 (e.g., violation of the “original patent” requirement, submission of
`an improper reissue declaration and violations of the prohibitions on recapture, the addition of new
`matter, and the broadening of claims).
`
`
`
`Capella 2030
`Fujitsu v. Capella
`IPR2015-00726
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 2 of 66
`
`
`findings as to the priority date of the asserted claims.
`
`Further, because discovery has not yet begun, Defendant reserves the right to amend or
`
`supplement these Preliminary Invalidity Contentions, including identifying and relying on
`
`additional references, should Defendant’s further investigation and analysis yield additional
`
`information or references, consistent with the Federal Rules of Civil Procedure. Such further
`
`investigation and analysis may be based on information received from Plaintiff or third parties
`
`during discovery.
`
`Defendant further notes that there are four co-pending litigations before this Court
`
`involving the Patents-in-Suit. See Capella Photonics, Inc. v. Cisco Systems, Inc., No. 14-20529-
`
`CIV-SEITZ; Capella Photonics, Inc. v. Fujitsu Network Communications, Inc., 14-20531-CIV-
`
`SEITZ; Capella Photonics, Inc. v. Ciena Corporation, 14-20530-CIV-SEITZ; Capella Photonics
`
`v. Tellabs, Inc. et al., 14-60350-CIV-SEITZ. Defendant reserves the right to supplement and/or
`
`amend these Preliminary Invalidity Contentions to rely on defenses and information revealed
`
`through those co-pending litigations, or any other related case or proceeding (including later-filed
`
`cases).
`
`Prior art not included in this disclosure, whether known or not known to Defendant, may
`
`become relevant. In particular, Defendant is currently unaware of the extent, if any, to which
`
`Plaintiff will contend that limitations of the asserted claims are not disclosed in the prior art
`
`identified by Defendant. To the extent that such an issue arises, Defendant reserves the right to
`
`identify other well-known components or references that inter alia would have made the addition
`
`of the allegedly missing limitation to the disclosed device or method obvious.
`
`Plaintiff’s Infringement Contentions are based on an apparent construction of the claim
`
`terms. Defendant disagrees with these apparent constructions. Nothing stated herein shall be
`
`treated as an admission or suggestion that Defendant agrees with Plaintiff regarding either the
`
`scope of any of the asserted claims or the claim constructions advanced by Plaintiff in their
`
`Infringement Contentions or anywhere else, or that any of Defendant’s accused technology meets
`
`any limitations of the claims. Nothing stated herein shall be construed as an admission or a
`
`
`
`-2-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 3 of 66
`
`
`waiver of any particular construction of any claim term.
`II.
`IDENTITY OF PRIOR ART THAT ALLEGEDLY ANTICIPATES EACH
`CLAIM OR RENDERS IT OBVIOUS
`
`Pursuant to the Court’s Scheduling Order, and subject to Defendant’s reservation of
`
`rights, Defendant identifies each item of prior art that anticipates or renders obvious one or more
`
`of the asserted claims in tables 1 and 2 below. (Dkt. 16, p. 2, ¶ 2(A)(ii)(a)). Table 1 provides
`
`the identity of each prior art patent, patent application or patent publication, by its
`corresponding patent, application or publication number.2 Table 2 provides the identity of each
`non-patent prior art publication including, where possible, its title, latest date of publication, and
`
`author and publisher.
`
`For each reference, Defendant identifies specific examples of the subject matter disclosed
`
`in that reference. These areas of subject matter disclosure are categorized for convenience into
`
`the disclosure groups listed below. The list of groups is not exhaustive. For each prior art
`
`reference included in these contentions, Defendant identifies by number(s) the exemplary
`
`groups of subject matter disclosed by the reference. The fact that a reference may not identify a
`
`group of disclosure is not an admission that the reference does not disclose subject matter in
`
`that group. Defendant reserves all rights to assert that any of the references disclose additional
`
`subject matter, regardless of the identified group(s) of disclosure. The groups of disclosure are
`
`as follows:
`
`Description of representative disclosures
`
`Disclosure
`Group
`0.
`1.
`2.
`3.
`
`4.
`
`Subject matter related to or relevant to optical switching
`Two-axis deflecting elements
`Power control, including control using deflecting elements
`Reconfigurable optical add/drop multiplexers (ROADMs), and/or optical cross-
`connect (OXC) functionality or related optical switching disclosure
`Wavelength separation, including specific diffraction gratings, prisms, and beam-
`focusers
`5.
`Continuous tilting of deflecting elements
`
`2 All of the patent documents referenced in Table 1 are to be construed as incorporating by reference all
`related applications, including provisional applications, parent applications, PCT applications, foreign
`counterparts, etc.
`
`
`
`-3-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 4 of 66
`
`
`6.
`7.
`8.
`
`Control features, including control units, servo controls and spectral monitors
`Predetermined power values or related settings
`Specific types of deflecting elements, including reflective membranes
`
`
`Table 1 – Patent Publications:
`
`Patent / Publication /
`Application No.
`60/206744
`60/211239
`60/241269
`US 6,744,550
`US 2002/0081070
`US 2002/0092963 A1
`US 2002/0131691 A1
`US 2003/0043471 A1
`US 2003/0053232
`US 2003/0223726
`US 4,844,617
`US 5,076,692
`US 5,276,498
`US 5,345,521
`US 5,414,540
`US 5,450,512
`US 5,526,155
`US 5,629,790
`US 5,661,591
`US 5,745,271
`US 5,774,244
`US 5,835,458
`US 5,872,880
`US 5,936,752
`US 5,960,133
`US 5,974,207
`US 5,999,306
`US 6,028,689
`US 6,044,705
`
`Disclosure Groups Patent / Publication
`/ Application No.
`US 6,300,619 B1
`US 6,307,657 B1
`US 6,337,753 B1
`US 6,374,008 B2
`US 6,392,220 B1
`US 6,418,250
`US 6,424,757 B1
`US 6,442,307 B1
`US 6,445,844
`US 6,498,872 B2
`US 6,501,877
`US 6,507,421
`US 6,538,816
`US 6,567,574 B1
`US 6,600,849
`US 6,600,851
`US 6,629,461
`US 6,631,222 B1
`US 6,634,810 B1
`US 6,668,108
`US 6,687,430 B2
`US 6,690,885 B1
`US 6,694,072
`US 6,744,173
`US 6,778,739
`US 6,792,174 B1
`US 6,795,602
`US 6,798,941
`US 6,798,992
`
`0, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 6
`0, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 6, 7
`0, 1, 2, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 4
`0, 4
`0, 4
`0, 2, 6, 7
`0, 3, 4
`0, 3, 4, 6, 7
`0, 4
`0, 1, 4
`0, 2, 5, 6, 7
`0, 2, 3, 4, 6, 7
`0, 2, 3, 4, 6, 7
`0, 2, 3, 4, 6, 7
`0, 1, 6, 7
`0, 4, 6, 7, 8
`0, 3, 4, 5
`0, 3, 4
`0, 4, 6, 7
`0, 1, 2, 5, 6, 7
`0, 1, 5
`
`Disclosure Groups
`
`0, 1, 5
`0, 2, 3, 4, 6, 7
`0, 2, 6, 7
`0, 1, 3, 4, 5, 6, 7
`0, 2, 4, 5, 6, 7
`0, 4
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 4, 6, 7
`0, 2, 3, 4, 6, 8
`0, 2, 3, 4, 5
`0, 1, 2, 4, 5, 6, 7
`0, 2, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 2, 3, 4, 5, 6, 7
`0, 1, 3, 5
`0, 1
`0, 1, 2, 3, 4, 5, 6, 7
`0, 3, 4
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 4, 5, 6
`0, 1, 3, 5
`0, 1, 2, 4, 6, 7
`0
`0, 2, 3, 4, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 4, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 4, 5, 6, 7
`
`
`
`-4-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 5 of 66
`
`
`Patent / Publication /
`Application No.
`US 6,097,859
`US 6,134,042
`US 6,137,606
`US 6,204,946 B1
`US 6,205,269
`US 6,222,954
`US 6,253,001
`US 6,256,430
`US 6,263,123
`US 6,263,135 B1
`US 6,275,320
`US 6,289,155 B1
`US 6,295,154 B1
`60/234683
`US 5,875,272
`US 6,069,719
`
`Disclosure Groups Patent / Publication
`/ Application No.
`US 6,810,169 B2
`US 6,898,348 B2
`US 6,912,078 B2
`US 6,961,506
`US 6,989,921 B2
`US 7,183,633 B2
`US6,263,127
`US6,480,645
`US6,625,340
`WO 01/061400 A2
`US 6,519,075
`US 6,697,547
`US 2002/0105692
`US 6,011,884
`US 6,243,507
`US 6,285,500
`
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 5, 6, 7
`0, 3, 4, 6, 7
`0, 3, 4
`0, 4
`0, 2, 3, 4, 5, 6, 7
`0, 2, 5, 6, 7
`0, 2, 3, 4, 5, 6, 7
`0, 2, 4, 5, 6, 7
`0, 4
`0, 2, 6
`0, 4
`0, 1, 4, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 3, 4
`0, 3, 6
`
`Disclosure Groups
`
`0, 2, 3, 4, 6
`0, 2, 4, 5, 6, 7
`0, 1, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6
`0, 1, 2, 3, 4, 5, 6, 7
`0, 2, 3, 4, 5, 6, 7
`0, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 1, 2, 3, 4, 5, 6, 7
`0, 3
`0, 4
`0, 3, 4, 7
`0, 3, 4
`
`
`
`Table 2 – Non-patent publications:
`
`Author & Publisher3
`
`Title
`
`Lightwave micromachines for
`optical networks: Vast promise
`amid vaster promises
`
`The Photonic Switch/Cross-
`Connect (PSX) – Its Role in
`Evolving Optical Networks
`
`2000
`
`1.
`
`2.
`
`E.L. Goldstein, L.Y.
`Lin, J.A. Walker -
`Optics & Photonics
`News, March 2001
`J. Gruber, P. Roorda,
`F. LaLonde -
`TECHNICAL
`PROCEEDINGS-
`NATIONAL FIBER
`OPTIC ENGINEERS
`CONFERENCE
`
`Published
`at least
`by date:
`Mar. 2001
`
`Disclosure
`Groups
`
`0, 1, 2, 3, 4, 5, 6, 7
`
`0, 2, 3, 4, 6
`
`
`3 Numbering of references is intentionally non-contiguous.
`
`
`
`-5-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 6 of 66
`
`
`Author & Publisher3
`
`Title
`
`Published
`at least
`by date:
`Jan. 2001
`
`Disclosure
`Groups
`
`1998
`
`Sept.
`1997
`
`2000
`
`0, 1, 2, 3, 4, 5, 6, 7,
`8
`
`0, 3, 4
`
`0
`
`0, 3
`
`3. Armand Neukermans
`and Rajiv
`Ramaswami - IEEE
`Communications
`Magazine
`Lih Y, Lin - OFC ’98
`technical Digest
`
`4.
`
`6.
`
`7.
`
`9.
`
`5. Cornel Marxer, et al.
`- Journal of
`Microelectromechani
`cal Systems
`Eric Ollier, et al. -
`2000 IEEE/LEOS
`International
`Conference
`on Optical MEMS,
`pp.39,40
`Sarun
`Sumriddetchkajorn,
`et al., Optical Fiber
`Communication
`Conference, 2000 ,
`pp.240, 242
`James A. Walker, et
`al. - Journal of
`Microelectromechani
`cal Systems
`10. Robert Wood, et al. -
`2000 IEEE/LEOS
`International
`Conference
`on Optical MEMS,
`pp. 121, 122
`11. V. Aksyuk, et al. -
`IEEE Electronic
`Letters
`
`MEMS Technology for
`Optical Networking
`Applications
`
`Micromachined free-space
`matrix switches with
`submillisecond switching time
`for large-scale optical
`crossconnect
`Vertical Mirrors Fabricated by
`Deep Reactive Ion Etching for
`Fiber-Optic Switching
`Applications
`1x8 Micro-Mechanical
`Switches Based on Moving
`Waveguides for Optical Fiber
`Network Switching
`
`Micromachine-based Fault-
`Tolerant High Resolution
`High-Speed Programmable
`Fiber-Optic Attenuator
`
`March 7-
`10, 2000
`
`Fabrication of a Mechanical
`Antireflection Switch for
`Fiber-to-the-Home Systems
`
`A MEMS Variable Optical
`Attenuator
`
`2000
`
`Low insertion loss packaged
`and fibre connectorised
`MEMS reflective optical
`switch
`
`July 1998
`
`0, 1, 2, 4, 5, 6
`
`Mar. 1996
`
`0, 8
`
`0, 2
`
`0, 5
`
`
`
`-6-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 7 of 66
`
`
`Author & Publisher3
`
`Title
`
`Free-Space Micromachined
`Optical Switches with
`Submillisecond Switching
`Time for Large-Scale Optical
`Crossconnects
`A Fiber Connectorized MEMS
`Variable Optical Attenuator
`
`Dynamic Spectral Power
`Equalization Using Micro-
`Opto-Mechanics
`
`Micro-opto-mechanical beam
`deflectors
`Wavelength add-drop
`switching using tilting
`micromirrors.
`
`Development of a silicon 2-
`axis micro-mirror for optical
`crossconnect.
`
`Silicon Modulator Based on
`Mechanical-Action Anti-
`reflection Layer with I Mb/s
`capability for Fibre-in-the-
`loop Applications."
`"Micro-electro-mechanical
`systems (MEMS) for WDM
`optical-crossconnect
`networks"
`
`12. L.Y. Lin - IEEE
`Photonics
`Technology Letters
`
`13. B. Barber, et al. -
`IEEE Photonics
`Technology Letters
`14. Joseph E. Ford,
`James A. Walker -
`IEEE Photonics
`Technology Letters
`16. S. Glöckner, et al. -
`Optical Engineering
`17. Ford, J. E., Aksyuk,
`V. A., Bishop, D. J.,
`& Walker, J. A. -
`Journal of Lightwave
`Technology, 17(5).
`18. Dewa, A. S., &
`Orcutt, J. S. (2000).
`In Technical Digest
`of the Solid State
`Sensor and Actuator
`Workshop (Vol. 4–8)
`19. K. Goosen, I. A.
`Walker, S. C. A.
`(1994). - IEEE Phot.
`Tech. Lett, 1119–21
`
`20. Lin, L. Y., et al -
`Military
`Communication
`Conference
`Proceedings, 1999,
`MILCOM 1999,
`IEEE Atlantic City,
`NJ, USA 31, IEEE
`US, Oct 31, 1999. pp
`954-957
`
`Published
`at least
`by date:
`Apr. 1998
`
`Sep. 1998
`
`Oct. 1998
`
`May 1997
`
`1999
`
`2000
`
`1994
`
`Oct. 31,
`1999
`
`Disclosure
`Groups
`
`0, 4
`
`0, 2, 5, 6, 7
`
`0, 2, 3, 4, 5, 6, 7, 8
`
`0, 1, 4, 6, 7
`
`0, 3, 4
`
`0, 1, 2, 3, 4, 5, 6, 7
`
`0
`
`0, 3
`
`
`
`-7-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 8 of 66
`
`
`Author & Publisher3
`
`Title
`
`21. Nielson, et al. -
`Optical Fiber
`Communication
`Conference,
`Baltimore, March
`2000, paper PD-12.
`25. Joseph E. Ford,
`James A. Walker,
`Vladimir Aksyuk and
`David J. Bishop -
`IEEE Lasers and
`Electro-Optics
`Society 1997 Annual
`Meeting
`26. William P. King,
`Thomas W. Kenny,
`and Kenneth E.
`Goodson - Solid-
`State Sensor and
`Actuator Workshop
`27. Robert A. Conant,
`Jocelyn T. Nee, Kam
`Y. Lau, and Richard
`S. Muller - Solid-
`State Sensor and
`Actuator Workshop
`40. Kurt E. Petersen -
`Solid-State Sensor
`and Actuator
`Workshop
`47. G. B. Hocker, D.
`Youngner, M. Butler,
`M. Sinclair, T.
`Plowman, E.
`Ceutsch, A.
`Volpicelli, S.
`Senturia - Solid-State
`Sensor and Actuator
`Workshop
`
`Published
`at least
`by date:
`Mar. 2000
`
`Disclosure
`Groups
`
`Nov. 1997
`
`0, 1, 3, 4
`
`“Fully provisioned 112x112
`micro-mechanical optical
`crossconnect with 35.8 Tb/s
`demonstrated capacity,”
`
`Wavelength-Selectable
`Add/Drop With Tilting
`Micromirrors
`
`June 2000
`
`0, 3, 4
`
`Design of AFM Cantilevers
`for Combined
`Thermomechanical Data
`Writing and Reading
`
`A Flat High-Frequency
`Scanning Micromirror
`
`June 2000
`
`Bringing MEMS to Market
`
`June 2000
`
`The Polychromator: A
`Programmable MEMS
`Diffraction Grating for
`Synthetic Spectra
`
`June 2000
`
`0
`
`0
`
`0
`
`0
`
`
`
`-8-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 9 of 66
`
`
`Author & Publisher3
`
`Title
`
`48. Andrew S. Dewa,
`John; W. Orcutt,
`Marshall Hudson,
`David Krozier, Alan
`Richards and Herzel
`Laor - Solid-State
`Sensor and Actuator
`Workshop
`49. John D. Grade, Hal
`Jerman and Thomas
`W. Kenny - Solid-
`State Sensor and
`Actuator Workshop
`50. Adisorn
`Tuantranount, Victor
`M. Bright, Jianglong
`Zhang, Wenage
`Zhang, John Neff and
`Y. C. Lee - Solid-
`State Sensor and
`Actuator Workshop
`76. M. Steven Rodgers,
`Sridhar Kota, Joel
`Hetrick, Zhe Li,
`Brian D. Jensen,
`Thomas W.
`Krygowski, Samuel
`L. Miller, Stephen M.
`Barnes, and Michael
`S. Burg - Solid-State
`Sensor and Actuator
`Workshop
`78. Larry L. Chu, Joel A.
`Hetrick, and Yogesh
`B. Gianchandani -
`Solid-State Sensor
`and Actuator
`Workshop
`
`Published
`at least
`by date:
`June 2000
`
`Disclosure
`Groups
`
`0, 1, 2, 3, 4, 5, 6, 7
`
`June 2000
`
`June 2000
`
`0, 2, 3, 6
`
`Development of a Silicon
`Two-Axis Micromirror for an
`Optical Cross-Connect
`
`A Large-Deflection
`Electrostatic Actuator for
`Optical Switching
`Applications
`
`MEMS-Controllable
`Microlens Array for Beam
`Steering and Precision
`Alignment in Optical
`Interconnect Systems
`
`A New Class of High Force,
`Low-Voltage, Compliant
`Actuation Systems
`
`June 2000
`
`0, 1, 2, 3, 5, 6, 7
`
`June 2000
`
`0, 5, 6, 7
`
`Electro-Thermal Actuators
`Using Optimized Compliant
`MicroTransmissions as
`Rectilinear Motion Amplifiers
`
`0, 6, 7
`
`
`
`-9-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 10 of 66
`
`
`Author & Publisher3
`
`Title
`
`Surface Micromachined
`Piezoelectric Resonant Beam
`Filters
`
`Published
`at least
`by date:
`June 2000
`
`Disclosure
`Groups
`
`84. Brett Piekarski, Don
`DeVoe, Madan
`Dubey, Roger Kaul,
`John Conrad, Robert
`Zeto - Solid-State
`Sensor and Actuator
`Workshop
`85. J. Jason Yao,
`SangTae park, Robert
`Anderson, and
`Jeffrey DeNatale -
`Solid-State Sensor
`and Actuator
`Workshop
`87. Zhiping Feng,
`Huantong Zhang,
`Wenge Zhang,
`Bingzhi Su, K. C.
`Gupta, Victor M.
`Bright, and Y. C. Lee
`- Solid-State Sensor
`and Actuator
`Workshop
`115. V. A. Aksyuk, F.
`Pardo, C. A. Bolle, S.
`Arney, C. R. Giles,
`D. J. Bishop -
`Proceedings of SPIE
`Vol. 4178
`116. Scott Blackstone and
`Timothy Brosnihan -
`2001 IEEE - LEOS
`International
`Conference on
`Optical MEMS 2001
`117. Connie J. Chang-
`Hasnain - IEEE
`Journal On Selected
`Topics In Quantum
`Electronics, Vol. 6,
`No. 6
`
`A Low Power / Low Voltage
`Electrostatic Actuator for RF
`MEMS Applications
`
`June 2000
`
`MEMS-Based Variable
`Capacitor for Millimeter-
`Wave Applications
`
`June 2000
`
`Lucent Microstar™
`Micromirror Array
`Technology for Large Optical
`Crossconnects
`
`2000
`
`SOI MEMS Technologies for
`Optical switching
`
`Sept.
`2001
`
`Tunable VCSEL
`
`2000
`
`0, 6, 7
`
`0
`
`0
`
`0, 1, 2, 3, 5, 6, 7
`
`0, 3
`
`0
`
`
`
`-10-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 11 of 66
`
`
`Author & Publisher3
`
`Title
`
`The Photonic Switch/Cross-
`Connect (PSX) - Its Role in
`Evolving Optical Networks
`
`Published
`at least
`by date:
`Aug. 2000
`
`Disclosure
`Groups
`
`118. J. Gruber, P. Roorda,
`F. LaLonde, Tech.
`Proc. National Fiber
`Optic Eng. Conf.,
`678-689
`119. P.M. Hagelin, U.
`Krishnamoorthy,
`C.M. Arft, J.P.
`Heritage, O.
`Solgaard, Integrated
`Photonics Research,
`OSA Technical
`Digest Series
`(Optical Society of
`America, 1999),
`paper JWA1
`120. Paul M. Hagelin,
`Uma
`Krishnamoorthy,
`Jonathan P. Heritage,
`Fellow, and Olav
`Solgaard - IEEE
`Photonics
`Technology Letters,
`Vol. 12, No. 7
`121. V. Aksyuk, B.
`Barber, C.R. Giles,
`R. Ruel, L. Stulz and
`D. Bishop -
`Electronics Letters
`9th Vol. 34 No. 14
`122. L. Y. Lin, E. L.
`Goldstein, and R. W.
`Tkach - IEEE
`Photonics
`Technology Letters,
`Vol. 10, No. 4
`
`Micromachined Scalable
`Fiber-Optic Switch
`
`1999
`
`0, 2, 3, 4, 6
`
`Scalable Optical Cross-
`Connect Switch Using
`Micromachined Mirrors
`
`0, 2, 3, 4, 5, 6, 7
`
`2000
`
`0, 2, 3, 4, 6, 7
`
`July 1998
`
`Low insertion loss packaged
`and fibre connectorised
`MEMS reflective optical
`switch
`
`Free-Space Micromachined
`Optical Switches with
`Submillisecond Switching
`Time for Large-Scale Optical
`Crossconnects
`
`Apr.
`1998
`
`0, 3, 5
`
`0, 2, 3, 5, 6, 7
`
`
`
`-11-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 12 of 66
`
`
`Author & Publisher3
`
`Title
`
`123. B. Barber, C. R.
`Giles, V. Askyuk, R.
`Ruel, L. Stulz, and D.
`Bishop - IEEE
`Photonics
`Technology Letters,
`Vol. 10, No. 9
`124. Joseph E. Ford and
`James A. Walker -
`IEEE Photonics
`Technology Letters,
`Vol. 10, No. 10,
`125. K. W. Goossen, J.A.
`Walker and S.C.
`Arney - IEEE
`Photonics
`Technology Letters
`126. Joseph E. Ford,
`Vladimir A. Aksyuk,
`David J. Bishop, and
`James A. Walker -
`Journal of Lightwave
`Technology, Vol. 17,
`No. 5
`127. Lih Y. Lin – Optical
`Fiber Conference '98
`Technical Digest
`
`129. Cornel Marxer,
`Christian Thio, Marc-
`Alexia Gretillat,
`Nicolaas F. de Rooij -
`Journal Of
`Microelectromechani
`cal Systems, Vol. 6,
`No. 3
`130. Armand Neukermans
`Proc. of SPIE 4561
`
`Disclosure
`Groups
`
`Published
`at least
`by date:
`Sept.
`1998
`
`0, 2, 5, 6, 7
`
`Oct. 1998
`
`0, 2, 4, 5, 6, 7
`
`1994
`
`May 1999
`
`0
`
`A Fiber Connectorized MEMS
`Variable Optical Attenuator
`
`Dynamic Spectral Power
`Equalization Using Micro-
`Opto-Mechanics
`
`Silicon modulator based on
`mechanically-active anti-
`reflection layer with 1
`Mbit/sec capability for fiber-
`in-the-loop applications
`Wavelength Add–Drop
`Switching Using Tilting
`Micromirrors
`
`Micromachined free-space
`matrix switches with
`submillisecond switching time
`for large-scale optical
`crossconnect
`Vertical Mirrors Fabricated by
`Deep Reactive Ion Etching for
`Fiber-Optic Switching
`Applications
`
`1998
`
`Sept.
`1997
`
`0, 2, 3, 4, 6, 7
`
`0, 2, 3, 6, 7
`
`MEMS devices for all optical
`networks
`
`2001
`
`0, 3
`
`0, 1, 2, 3, 4, 5, 6, 7
`
`
`
`-12-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 13 of 66
`
`
`Author & Publisher3
`
`Title
`
`131. Armand Neukermans
`and Rajiv
`Ramaswami - IEEE
`Communications
`Magazine
`132. Lih Y. Lin and Evan
`L. Goldstein,
`MILCOM 1999,
`IEEE
`133. D.T. Neilson et al., ,
`Optical Fiber
`Comm.Conf., 2000,
`Vol. 4 pp. 202- 204
`136. Steffen Glöckner
`Rolf Göring Torsten
`Possner, Opt. Eng.
`Vol. 36(5), Soc. of
`Photo-Optical Instr.
`Eng., pp. 1339-1345,
`May 1997
`137. C.R. Giles, B.
`Barber, V. Aksyuk,
`R. Ruel, Larry Stulz,
`and D. Bishop - IEEE
`Photonics
`Technology Letters,
`Vol. 11, No. 1
`139. Andrew S. Dewa,
`John W. Orcutt
`Marshall Hudson,
`David Krozier, Alan
`Richards and Herzel
`Laor - Solid-State
`Sensor and Actuator
`Workshop
`141. James A. Walker,
`Keith W. Goossen,
`and Susanne C.
`Arney - Journal of
`Microelectromechani
`cal Systems, Vol. 5,
`No. 1
`
`Published
`at least
`by date:
`Jan. 2001
`
`Disclosure
`Groups
`
`0, 1, 2, 3, 4, 5, 6, 7
`
`0, 3
`
`1999
`
`2000
`
`0, 1, 3, 4, 5
`
`May 1997
`
`MEMS Technology for
`Optical Networking
`Applications
`
`Micro-Electro-Mechanical
`Systems (MEMS) for WDM
`Optical-Crossconnect
`Networks
`Fully Provisioned 112x112
`Micro-Mechanical Optical
`Crossconnect With 35.8Tb/s
`Demonstrated Capacity
`Micro-opto-mechanical beam
`deflectors
`
`Jan. 1999
`
`0, 3
`
`Reconfigurable 16-Channel
`WDM DROP Module Using
`Silicon MEMS Optical
`Switches
`
`Development Of A Silicon
`Two-Axis Micromirror For An
`Optical Cross-Connect
`
`June 2000
`
`0, 3, 4
`
`Fabrication of a Mechanical
`Antireflection Switch for
`Fiber-to-the-Home Systems
`
`0, 1, 2, 3, 5, 6, 7
`
`Mar. 1996
`
`0
`
`
`
`-13-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 14 of 66
`
`
`Author & Publisher3
`
`Title
`
`142. Joseph E. Ford,
`Vladimir A. Aksyuk,
`David J. Bishop, and
`James A. Walker -
`Journal of Lightwave
`Technology, Vol. 17,
`No. 5
`145. Jer-Liang Andrew
`Yeh, Hongrui Jiang,
`and Norman C. Tien -
`Journal of
`Microelectromechani
`cal Systems, Vol. 8,
`No. 4
`146. Satinderpall Pannu,
`Carl Chang, Richard
`S. Muller, and Albert
`P. Pisano
`147. Guo-Dung J. Su, et
`al., Integrated
`Photonics Research,
`OSA Technical
`Digest Series
`(Optical Society of
`America, 1999),
`paper RTuD3.
`148. Adolf W. Lohmann,
`Applied Optics, Vol.
`25, Issue 10, pp.
`1543-1549
`149. R. E. Wagner and W.
`J. Tomlinson,
`Applied Optics, Vol.
`21, Issue 15, pp.
`2671-2688
`150. Steven D. Robinson,
`Electronic
`Components and
`Technology
`Conference
`
`
`Published
`at least
`by date:
`May 1999
`
`Disclosure
`Groups
`
`0, 2, 3, 4, 6, 7
`
`Dec. 1999
`
`Wavelength Add–Drop
`Switching Using Tilting
`Micromirrors
`
`Integrated Polysilicon and
`DRIE Bulk Silicon
`Micromachining for an
`Electrostatic Torsional
`Actuator
`
`Closed-Loop Feedback-
`Control System for Improved
`Tracking in Magnetically
`Actuated Micromirrors
`MEMS 2D Scanning Mirror
`for Dynamic Alignment in
`Optical Interconnect
`
`Aug. 2000
`
`1999
`
`0, 2, 5, 6, 7
`
`0, 2, 5, 6, 7
`
`What classical optics can do
`for the digital optical computer
`
`May 1986
`
`Coupling efficiency of optics
`in single-mode fiber
`components
`
`August
`1982
`
`MEMS Technology –
`Micromachines Enabling the
`“All Optical Network”
`
`2001
`
`0, 2, 6
`
`0, 4
`
`0, 2, 4
`
`0, 1, 2, 3, 4, 5, 8
`
`
`
`-14-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 15 of 66
`
`
`
`
`
`
`a.
`
`Anticipation
`
`Pursuant to the Court’s Scheduling Order, and subject to Defendant’s reservation of
`
`rights, Defendant identifies the following prior art as anticipating the asserted claims
`
`(collectively, the “Initial Anticipatory References”):
`
` U.S. Patent No. 6,798,941;
` U.S. Patent No. 6,519,075;
` U.S. Patent No. 6,697,547;
` U.S. Patent No. 6,778,739;
` U.S. Patent Publication No. 2002/0081070
`
`Defendant identifies the following additional prior art as anticipating at least claim 21 of
`
`the ’678 patent (the “Claim 21 Anticipatory References,” together with the “Initial Anticipatory
`
`References, the “Anticipatory References”):
`
` U.S. Patent No. 6,625,340;
` U.S. Patent Publication No. 2002/0131691;
` U.S. Patent No. 7,183,633;
` U.S. Patent No. 6,600,849;
` E.L. Goldstein, L.Y. Lin, J.A. Walker - Optics & Photonics News, March 2001,
`Lightwave micromachines for optical networks: Vast promise amid vaster
`promises
` Joseph E. Ford, James A. Walker - IEEE Photonics Technology Letters, Dynamic
`Spectral Power Equalization Using Micro-Opto-Mechanics
` Armand Neukermans, Proc. of SPIE, MEMS devices for all optical networks
` Armand Neukermans and Rajiv Ramaswami - IEEE Communications Magazine,
`MEMS Technology for Optical Networking Applications
`
`Defendant treats certain prior art as anticipatory where certain limitations are expressly,
`
`implicitly, or inherently present based on Plaintiff’s apparent claim constructions in Plaintiff’s
`
`Initial Claim Charts.
`b.
`Obviousness
`
`Pursuant to the Court’s Scheduling Order, and subject to Defendant’s reservation of
`
`
`
`-15-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 16 of 66
`
`
`rights, Defendant identifies the combinations of prior art rendering obvious one or more of the
`
`asserted claims, and the reasons for combining these references. These obviousness
`
`combinations are provided in the alternative to Defendant’s anticipation contentions and are not
`
`to be construed to suggest that any reference included in the combinations is not by itself
`
`anticipatory. Moreover, each of the prior art references identified as anticipating also renders the
`
`asserted claims obvious in view of the knowledge of a practitioner skilled in the art.
`c.
`Representative Combinations Of Prior Art
`
`Defendant identifies below several specific combinations of prior art. The combinations
`
`are referred to by name later in this section on obviousness.
`i. Prior Art That Capella Admitted Invalidated The Pre-Reissue
`Version Of The Patent Claims
`
`One or more of the asserted claims are invalid as obvious in light of Capella’s admissions
`
`during the prosecution of those claims. During Capella’s prosecution of its patents, Capella
`
`admitted that prior to the amendments made during re-issue, at least pre-reissue claim 1 of each
`
`patent was invalid over U.S. Patent No. 6,498,872 (“Bouevitch”), and further invalid over
`
`Bouevitch in light of patents to Ma, Jin, and Wagener:
`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. 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 Amendment.
`
`(Mar. 2, 2011, Replacement Reissue Application Declaration by Assignee at 2; emphasis added.)
`
`Following this admission, the only amendments Capella added to the claims were two-axis
`
`mirrors and the intended use of those mirrors for power control. Thus, the Patentee admitted that
`
`Bouevitch disclosed all limitations of claim 1 but for the two amendments. In light of this, and
`
`because two-axis mirrors and their use for power control would have been obvious to a person
`
`having ordinary skill in the art, the following combination of references (the “Admitted
`
`
`
`-16-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 17 of 66
`
`
`Invalidating References”) render one or more of the asserted claims invalid as obvious:
`
`U.S. Patent No. 6,498,872 to Bouevitch in view of one or more of:
`i. U.S. Patent No. 6,567,574 to Ma,
`ii. U.S. Patent No. 6,256,430 to Jin, or
`iii. U.S. Patent No. 6,631,222 to Wagener.
`
`Capella already admitted to the combinability of these references (and thus to the existence of
`
`motivations to combine) when it identified them as combination references in Capella’s
`
`admission during the reissue of the Patents-in-Suit. In addition, it would have been obvious to
`
`combine these references as discussed in § II.c.iii, below.
`
`ii. Bouevitch In Combination With Any Of The Other Anticipatory Art
`
`Because each of the references identified as Anticipatory References in section II.a,
`
`above, fully anticipate one or more of the claims, any combination of Bouevitch with any
`
`combination of the Anticipatory References renders those claims invalid as obvious. In its claim
`
`charts below, the Defendant will refer to these combinations as the “Bouevitch+Anticipatory
`Art” combinations. It would be obvious to combine these references, and a person of ordinary
`
`skill would be motivated to do so, based on the rationales identified in section II.c.iii, below.
`iii. Representative Motivations/Reasons To Combine
`
`To the extent not anticipated, the asserted claims do not represent innovation over the
`
`prior art, but instead would be no more than the result of ordinary skill and common sense.
`
`Defendant believes that no showing of a specific motivation to combine prior art is required to
`
`combine the references disclosed above, as each combination of art would have no unexpected
`
`results, and at most would simply represent a known alternative to one of skill in the art. See
`KSR Int’l Co. v. Teleflex, Inc., 127 S.Ct. 1727, 1739-40 (2007). Indeed, the Supreme Court held
`
`that a person of ordinary skill in the art is “a person of ordinary creativity, not an automaton” and
`
`“in many cases a person of ordinary skill in the art will be able to fit the teachings of multiple
`patents together like pieces of a puzzle.” Id. at 1742. Nevertheless, pursuant to the Court’s
`
`
`
`-17-
`
`
`
`

`
`Case 1:14-cv-20529-PAS Document 39 Entered on FLSD Docket 05/19/2014 Page 18 of 66
`
`
`Order (Dkt. 16, p. 2), Defendant hereby identifies motivations and reasons to combine the cited
`
`art.
`
`One of ordinary skill would have known to make the combinations of the prior art
`
`references cited herein because these references would have been combined using: known
`
`methods to yield predictable results; known techniques in the same way; a simple substitution of
`
`one known, equivalent element for another to obtain predictable results; and/or a teaching,
`
`suggestion, or motivation in the prior art generally. In addition, it would have been obvious to
`
`try combining the prior art references identified above because there were only a finite number
`
`of predictable solutions and/or because known work in one field of endeavor prompted variations
`
`based on predictable design incentives and/or mark