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`PROVISIONAL APPLICA TION FOR PATENT COVER SHEET
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`Jeffrey P.
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`Los Gatos. CA
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`I] Addr'tionet inventors are being named on the __ separatety numbered sheets attached hereto
`TITLE OF THE INVENTION 2813 characters m
`
`Reconfigurable Optical Add-Drop Multiplexer with Dynamic Spectral Equalization Capability
`for DWDM Optical Networking Applications
`
`
`
`
`
`Direct at! correspondence to:
`CORRESPONDENCE ADDRESS
`....
`....S ...c..........
`type Customer Number hora
`.
`""‘IIit"-l.rl'"II .u
`Capella Photonics.lnc.
`Clo Jefirey F'. Wilde
`19 Great Oaks Blvd, Suite 10
`
`OR
`
`Firmor
`Individual Name
`
`
`
`
`
`.
`
`=m 408 360-4240- 408 225-6248
`"-.._
`ENCLOSED APPLICAUON PARTS check at! that : an}
`Specification NumberotPages
`
`IX] Draunngts) NumberotSheets
`
`I:] Application Data Sheet. See 3? CFR 1.75
`
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`Appfioant claims small entity status. See 3‘! CFR 1.21
`A check or money order is enclosed to cover the filing fees
`The Commissioner is hereby authorized to charge filing
`fees or credit any ovarpaymnt to Deposit Accomt Number.
`Payment by credit card. Form PTO—2038 is attached.
`The Invention was made by an agency of the United States Government or under a contract with an agency of the
`United States Government.
`IZINo.
`D Yes. the name of the US. Government agency and the Government contract number are:
`
`
`
`
`
`Jeltre P. Wilde
`
`ME
`TYPEDorPRiNTED
`TELEPHONE
`408 360-4243
`USE ONL Y FOR FILING A PROVISIONAL APPLICA TION FOR PATENT
`This collection of intonmtion is
`uired by 3? CFR 1.51. The information is used
`the public to file (and by the PTO to process) a
`provtsronal application. Confidential ity is govemed be; 35 U.S.C. 122 and {3? CFR 1. 4. This collection is estimated to take 8 hours to
`oompiete, including gathering. prepan
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`the Individuat case.
`comments on
`amount of time you require
`oompletot s toml andtor suggestions for r
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`ington.‘D.C.
`20231._ DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND O: Box Protnsronet Application. Asststant
`Commrsstonor for Patents. Washington. 0.0. 20231.
`
`(ifappropnzare)
`Newman :I
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 1
`Exhibit 1008, Page 1
`
`

`

`CAP-lflllPROV
`
`PROVISIONAL PATENT APPLICATION OF
`
`JEFFREY P. WILDE
`
`for
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXER WITH
`
`DYNAMIC SPECTRAL EQUALIZER CAPABILITY FOR
`D‘WDM OPTICAL NETWORKING APPLICATIONS
`
`FIELD OF THE INVENTION
`
`This invention relates generally to optical communication hardware, and more
`specifically to hardware designed for use in dense wavelength division multiplexed
`(DWDM) systems. The invention describes a new device design for providing two
`important functions of importance in emerging DWDM systems: (1) reconfigurable add-
`drop of individual wavelength channels, and (2) spectra] equalization of wavelength
`channels.
`
`SUMMARY & DETAILED DESCRIPTION
`
`The more detailed disclosure of the present invention is contained in the following
`description and figures, as supplied by the attached appendices.
`
`Appendix A: Design Concept for DWDM Multi-Channel Dynamic Adderop Module,
`by J. P. Wilde, 7328(00
`Appendix B: Modified Dynamic OADM Design, by J. P. Wilde, 11l28i’00
`Appendix C: Reconfigurable OADM with Dynamic Equalization, by J. P. Wilde,
`12l28f00
`
`Appendix D: Technical Specifications U9IZOOI, Dynamic Optical Addx'Drop Multiplexer
`
` 5
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`
`
`
`Overview and Objective
`
`Emerging DWDM communication systems are in need of a robust and low-cost device
`technology for providing dynamic optical add-drop of wavelength channels at node sites
`as shown in Figures 1 and 2. Such a device -~ referred to as an optical add-drop
`multiplexer (OADM) -- should by remotely reconfigurable through software control. It is
`desirable to have complete control at the granularity of a single wavelength, meaning any
`individual wavelength channel can be addedfdropped by the device.
`
`Long-haul and ultra-long-haul applications require the OADM to support a large channel
`count {80 channels today, heading to 160 channels or more in the future). Therefore, a
`technology that is intrinsically scalable to such channel counts is needed. Moreover, it is
`important that the optical loss introduced by the device be independent (or only weakly
`dependent) on the number of channels. The device should also have low polarization
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 2
`Exhibit 1008, Page 2
`
`

`

`CAP-IDUPROV
`
`dependent loss (PDL) and low polarization mode dispersion (PMD). A general set of
`device specifications is outlined in Appendix D.
`
`Figures 3 and 4 illustrate two basic approaches, parallel and serial, to constructing a
`dynamic OADM. The parallel architecture is intrinsically scalable to large channel
`counts, and is the general approach taken in this invention. The serial scheme has various
`limitations as noted in Figure 4.
`
`A parallel architecture based on fi'ee-space optics has been previously described in Ref. 1.
`A block diagram of this device is shown in Figure 5. It has four fiber ports: (1) input, (2)
`pass-through, (3) add, and (4) drop. One circulator is used to combine the input and pass-
`througb ports onto one fiber, and another simulator combines the add and drop ports to a
`second fiber. Figure 6 shows a graphic of the optical system configuration of the OADM
`device described in Ref. 1. Two coupling lenses are implemented to convert the light
`paths from these two fibers to free space. Wavelength separation and routing are done in
`free space. The device utilizes a ruled diffraction grating to separate the input light into
`its constituent channels. A binary micrornachined mirror array redirects each of the
`individual channels to one of two outputs. Each mirror in the linear array either
`retroreflects its corresponding channel back along the original input path towards the
`pass~through port, or it reflects its channel to the drop port.
`
`While this architecture is attractive in the sense that it is compact and scalable to high
`channel count, it also has a number of limitations. First, the design requires precise
`alignment of components that makes assembly during fabrication complex and
`expensive. Second, no provisions are provided for maintaining the relative alignment of
`the optical components so that the system performance may degrade over time, or in the
`presence of shock and vibrations, or due to a temperature change. Third, it requires all
`the add and drop wavelengths to enter and leave the device on single fibers. In other
`words, additional means must be provided to multiplex the add channels onto a single
`fiber and to demultiplex the drop channels from the single fiber output from the device.
`This additional muxfdernux requirement can lead to significant additional expense.
`
`What is needed is an improved flee-space architecture that overcomes tirese limitations.
`
`Description of the Invention
`
`The OADM device architecture disclosed here has all the positive attributes of a compact,
`parallel design, and also overcomes existing limitations by providing (1) a more versatile
`architecture with multiple physical add and drop ports, (2) analog mirrors under servo
`control that loosen fabrication tolerances and provide self-alignment to correct for
`component drift during operation, (3) additional optics to provide the servo feedback
`signal, and (4) a servo system scheme that provides for dynamic spectral equalization on
`a channel-by—channel basis.
`
`
`
`
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`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 3
`Exhibit 1008, Page 3
`
`

`

`CAP-l OlfPRDV
`
`OADM Architectures
`
`Three different OADM architectures disclosed in the present invention are shown in
`Figures 7-9. All of these architectures provide for dynamic drop of one or more
`wavelength channels on any one of multiple drop ports. The “wavelength separation and
`routing” (WSR) function is common to all three architectures and is performed using
`free-space optics and silicon micromirrors. The optical loss of the WSR unit can be fairly
`low, its value being determined by the diffraction efficiency of a grating or similar
`dispersive device used for wavelength separation. A typical value is in the range from 2 -
`4 dB. For the preferred case in which only one wavelength is dropped on each drop port,
`then no additional wavelength demultiplexing is required before the signals carried by the
`respective channels are received by photodetectors. The three approaches of Figs. 7-9
`differ primarily in the way in which the add function is implemented.
`
`The first of these (Fig. 7) is designed for one-way optical propagation. It uses a combiner
`(or lxN coupler; e.g., the 1x16 broadband coupler sold by Newport Corp., Irvine, CA,
`product model number F-CPL-Blo350) for injecting the add channels into the pass-
`through port. While use of a combiner is straightforward, the associated optical loss can
`be large (e.g., the 1x16 Newport coupler may have up to 14.5 dB of loss). For those
`situations where the loss can be tolerated, this is suitable approach.
`
`The second architecture (Fig. 8) is designed for bi-directional operation and has better
`loss performance compared to the first embodiment. Two WSR units are utilized, with
`one unit providing dynamic drop and the other dynamic add. This architecture is very
`general, with no fundamental restrictions on the wavelengths that can be added or
`dropped (other than those restrictions imposed by the overall communication system).
`
`The third architecture (Fig. 9) is also bi-directional, but uses only one WSR unit.
`Circulators are situated on all of the physical inputfoutput ports, allowing for two-way
`optical propagation. This design has the restriction that at each of the addldrop ports, the
`add and drop wavelengths must be the same.
`
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`Free-Space Optical Embodiments
`
`One embodiment of the present invention is shown in Figure 10. The inputioutput
`consists of a linear array of fiber collimators. Such collirnators are well known in the art
`and are comprised of a collimating lens and ferrule-mounted fiber packaged together in a
`mechanically rigid stainless steel or glass tube (e.g., see collimators made by ADC
`Photonics, Inc., Minneapolis, MN, www.adc.corn). The collimators can be positioned in
`a linear array by, for example, means of a V-groove array made out of any of a variety of
`materials including silicon, plastic, or ceramic. The top collimator is designated the
`input, the second collimator is designated the pass-through, and the remaining collimators
`are designated as drop ports.
`
`Mold—wavelength light from the input collimator is directed to a ruled diffraction grating.
`The grating separates the different wavelength channels into different diffraction angles.
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 4
`Exhibit 1008, Page 4
`
`

`

`CAP-lfllr‘PROV
`
`In the preferred embodiment, -1 order diffraction is assumed. A focusing lens receives
`the diffracted light and focuses it onto a linear micromirror array positioned in the back
`focal plane. The lens has the property that it brings the different wavelength channels to
`focus at separate spatial locations such that each channel is associated with a unique
`focused spot. Each wavelength channel is associated with a single mirror in the
`micromirror array. Figure 10 illustrates only three wavelengths for simplicity. Figure 11
`shows a close—up view of the micromirror array, with each of the three wavelengths
`falling on its respective mirror.
`
`Each of the mirrors in the micromirror array reflects its associated wavelength channel
`back through the focusing lens, to the grating, and back towards one of output ports. This
`requires the micromirrors to be dynamically adjustable with at least one axis of rotation.
`The rotational motion should be under analog control, so that the angles can be
`continuous adjusted to scan across all possible output collimator ports. Various types of
`micromachined mirrors and deflectors exist in the art. One prior art implementation is
`shown here in Figure 12. This is an array of reflective ribbons, the position of each
`ribbon being under electrostatic control (made by Silicon Light Machines, Inc.,
`Sunnyvale, CA). An adaptation of such a ribbon array can be used in the present
`invention to provide the micromirror fimction, with each ribbon in the array acting as a
`separately controllable mirror.
`
`In the preferred embodiment, the grating is placed in the front focal plane of the focusing
`lens, thereby producing a telecentric optical system. A telecentric system has the
`property that the chief rays of the focused beams are all parallel to each other and
`generally parallel to the optical axis. In this application, the telecentric design allows the
`reflected beams to efficiently couple back into the output collimators, with little
`translational walk-off error (perpendicular to the vertical collimator array plane). A
`quarter wave plate is placed in front of the focusing lens to provide the desired
`polarization properties as discussed in Ref. 1 (namely minimal PDL and PMD).
`
`By controlling independently the angle of each micromirror, the system has the ability to
`direct each wavelength channel to any of the outputs (pass-through or drop). The
`presence of multiple drops ports allows for the possibility of putting only one wavelength
`on one drop port, thereby avoiding the additional demultiplexing (and the associated cost
`and complexity) that would otherwise be required with the prior art device of Figures 5
`and 6. Feedback control of the mirror positions makes the system stable. More detail
`regarding the control system is provided in the following sections. This system can
`readily scale to large channel count by simply adding more minors to the mirror array.
`
`The results of an optical ray trace model are shown in Figures 13-15. The coltimated
`beam diameter is approximately 1 mm. The angle of incidence on the grating is 85
`degrees, and the grating spatial frequency is 7001inesfmm. The grating is blazed to
`optimize the —1 order diffraction efficiency. An f=30 mm ideal focusing lens captures
`the diffracted tight and focuses it to the micromirror plane (denoted as the spatial light
`modulator (SLM) plane in Figures 13—15). In this model, the grating is not placed in the
`front focal plane of the focusing lens, so this configuration does not represent the
`
` .
`
`.
`”'“'
`
`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 5
`Exhibit 1008, Page 5
`
`

`

`CAP-IDUPROV
`
`preferred telecentric embodiment. However, this non-telecentric system is useful for
`illustrating some of the spatial scales of a typical embodiment. For example, wavelength
`channels separated by 100 GHz (0.8 nm) are focused in the SLM plane with a 17-micron
`pitch. The shape and size of a focused wavelength channel, along with the relative
`spacing between two adjacent channels, is shown in Figure 15. It is seen that adjacent
`channels are separate and resolvable. The side view of Figure 14 shows that mirror
`deflection of approximately 1.15 degrees is needed to direct a beam between adjacent
`Output collimator ports, with the ports lying on a 1.2 mm pitch.
`
`Additional Actuation for more Robust Servo Control
`
`The action of the mirrors in the micromirror array serves to translate the various
`wavelength beams to their respective output collimator ports. However, to provide more
`control over the coupling efficiency back into a collimator, additional degrees of freedom
`are needed. In particular, it is advantageous to have control over the two incoming angles
`(9x and fly) into the collimator. One method for achieving such control is illustrated in
`Figure 16. Here a collimated beam reflects off of a dynamic mirror capable of rotation
`about two orthogonal axes. A 4-f telecentric optical system images the mirror onto the
`front focal plane of a coupling lens, in this case the entrance surface of a quarter-pitch
`GRIN lens.
`
`The sensitivity to change in the mirror angle depends on the focal length of the coupling
`lens. For the GRIN lens used in Figure 16, the coupling efficiency versus mirror
`deflection plot shows that a change of a few tenths of one degree is sufficient to go from
`optimum coupling to near zero. The 2-axis dynamic mirror can take the form of a
`double-gimbaled torsional mirror. A single-axis torsional mirror is described in Ref. 2,
`while a two-axis version of such a torsional mirror is described in Ref. 3, and a version
`developed by Lucent Technologies is shown in Figure 17.
`
`Accordingly, additional embodiments of the present invention are shown in Figures 18
`and 19. In Fig. 18 a lxN dynamic mirror array is added, along with two lxN lens arrays
`to comprise a telecentric system capable of controlling the angle of the return beams into
`all of the output collimators. Moreover, the top dynamic mirror in the lxN array allows
`the angle of incidence of the input beam onto the grating to be controlled. In this way the
`spot array can be actively aligned to the micromirror array in the back focal plane of the
`focusing lens. Extending the inputfoutput plane to two dimensions as shown in Figure 19
`can increase the number of output collimator ports. In this case each mirror in the
`micromirror array must be capable of providing two axes of deflection. Additionally, a
`2-D dynamic mirror array, along with two 2-D lens arrays for telecentric imaging,
`provides control of the angular input into the collimators.
`
`Dynamic Spectral Equalization
`
`The use of micromirrors with analog deflection allows the coupling efficiency to be
`controlled on a channel-by—channel basis. This important property of the present
`invention allows for dynamic spectral equalization. Such equalization is important to
`
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 6
`Exhibit 1008, Page 6
`
`

`

`CAP-lfllmROV
`
`compensate for non—unifonn gain associated with optical amplifiers in the optical
`networking system (e.g., erbium-doped fiber amplifiers). The principle of the present
`invention that allows for spectral equalization is detailed in Figures 20 and 21. The
`model results in these figures derive from an extension of the ray trace model of the
`system shown in Figs. 13—14. In Figure 20 it is seen that a 0.3-degree change in
`micromirror angle produces significant translational walk-off of a representative
`collimated beam (representing one wavelength channel in the system). However, the 0.3-
`degree deflection is only a fraction of the 1.15 degrees it takes to move the beam to an
`adjacent output port. The change in coupling efficiency with micromirror angle is shown
`in Figure 21. Under servo control, each wavelength in the system can be coupled with
`any efficiency value by making a suitable adjustment in the associated micromirror
`deflection angle in accordance with Figure 21. In this way the device of the present
`invention provides variable optical attenuation at the granularity of a single wavelength.
`
`Servo Control System
`
`To facilitate feedback control of the dynamic mirrors (in the micromirror array and in the
`2-axis mirror array for improved collimator coupling), a suitable feedback signal is
`required. Figure 22 illustrates the manner in which the present invention provides the
`requisite signals. Because the pass-thr0ugh port contains multiple wavelengths, a portion
`of the outgoing light from this collimator is tapped off and sent to a spectral monitor.
`The spectral monitor can comprise a grating and linear photodiode array for example.
`Such spectral monitors are commercially available. The output from the spectral monitor
`provides a measure ofthe intensity of each wavelength channel in this port. If the drop
`ports only contain a single wavelength, then simple power monitoring of each drop port
`is sufficient. These signals are provided to a servo system that controls the driving
`voltages to each of the mirrors in the system. The mirrors are actuated in such a way as
`to achieve whatever coupling conditions are desired on a channel-by—channel basis. For
`example, spectral equalization would require equal intensity set points of all pass-through
`channels.
`
`It is understood that the specific device design described here is only representative of the
`general device architecture, and that other similar designs may be implemented to
`achieve substantially the same results.
`
`References
`
`1. 1. Ford er al., Journal of Lightwave Technology 17, pp. 904-911 (1999).
`2. K. E. Petersen, Proc. IEEE 70, pp. 420-457 (1932).
`3. A. P. Neukermans and T. G. Slater, US Patent 5,629,790 (1997).
`
`
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 7
`Exhibit 1008, Page 7
`
`

`

`Exhibit 1008, Page 8nw
`JDS UNIPHASE CORPORATION
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`Exhibit 1008, Page 152
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`Exhibit 1008, Page 182
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`CAP-IOIWROV
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`Appendix A
`
`Design Concept for DWDM Multi-Channel Dynamic Adderop Module, dated 198100
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`
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 30
`Exhibit 1008, Page 30
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`CAP-lDli‘PROV
`
`Appendix B
`
`Modified Dynamic OADM Design, by J. P. Wilde, 11/28f00
`
`
`
`
`
`10
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 33
`Exhibit 1008, Page 33
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`CAP-IGIWROV
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`Appendix C:
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`Reconfigurable OADM with Dynamic Equalization, by J. P. Wilde, I2f28f00
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`
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`14
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`JDS UNIPHASE CORPORATION
`JDS UNIPHASE CORPORATION
`Exhibit 1008, Page 37
`Exhibit 1008, Page 37
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`

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`Exhibit 1008, Page 38a
`JDS UNIPHASE CORPORATION
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