`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: C’O~V~v[[SS IONER FOR PATENTS
`P.O Box 1450
`Alexandn~ Virgitfia 22313-1450
`www.uspto gov
`
`12/816~084
`
`05/17/2011
`
`RE42368
`
`C2393-1106RE 1
`
`2616
`
`48789
`
`7590
`
`04/27/2011
`
`LAW OEEICES Off BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PAI,O AI,TO, CA 94306
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly,
`the above-identified reissue application is not eligible for Patent Term Extension or Adjustment under 35
`U.S.C. 154(b).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Tai Chen, San Jose, CA;
`Jeffrey P. Wilde, Morgan Hill, CA;
`Joseph E. Davis, Morgan Hill, CA;
`
`IR103 (Rev. 10/09)
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-1
`
`
`
`Receipt date: 06/15/2010
`
`12816084 - GAU: 2883
`
`i Applicator] Number .........................................................
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`~ Not for submi.ssiof~ u~der 3T CFR 1.991
`
`/L.A.~5./
`
`Z-ZE-ZO00
`9 6028689 ~ M~ch.alicek et. al
`
`iB.H.1
`
`ID U ll
`;u.I ,,f 10
`
`~.~4~ 4~:.,40
`
`1995-O5-09
`
`Patel
`
`!
`A 1997-05.01 Neukem,anS e~ al
`
`al
`
`/r~j~.[D~ I9 5,7~5271 1998-04-28 Ford et al
`
`2001~4-0i
`
`Riza
`
`¯ BI 20.01-07-01 Wa~e
`
`/Brian Healy/
`
`02/! 0/2011
`
`Petitioner Ciena Corp. et al.
`F_xhi~t 1002-2
`
`
`
`PART B - FEE(S) TIL&NSMITTAL
`
`Ale~andria~ Virgi~ia 2Z313~1~5~
`or Fax (571)-~73-~885
`
`LAW OFFICES OF BAbY N. YO(~:G
`200 PAGE h.~LL ROAD
`SUITE ~02
`PALO ALTO. CA 943~6
`
`OF ~VENTION: RECONF~GURABL~ OPTICAL ADD-DROP MULTIPI.E~ER~ WITt~ ~ERVO CONTROL AND D~AMIC SPEL~-ILAL
`MANAGEMENT CAPABILITIES
`
`383-024000
`
`DATE DUE
`
`06124(cid:128)20
`
`[ !
`
`~cord;~fioz ~s se~ f~ ia 37 CFg3. l 1. CompI~i~ ~£th~s fo~ is Nffl" n sub~0t~t~ r~r fihng an assigam~nL
`
`(A) N& t,.l~ OF ASSIGNEE
`
`{B] RESIDENCE:: [City a~d STATE OR COLINTRY)
`
`Cap~ I.l.a Pho~ol:lics, tnc,
`
`San ..lose, California
`
`~ ,~. ApI}!ica.~{ elsmr..(cid:128) SMALL ENTITY staut~,
`
`.,..._ ...:~ ......... .....) -
`
`__ ~
`
`...-:=:-
`
`-
`
`-
`
`- -- ~
`
`BOX 1430 A~c~z~?~, V +g nia 223i3q~50. ~O NOT SE~D FEES OR COMPLETED :ORMS TO TI~IS ADDRESS SEND !-O~ Commis~ t~ ~r !~ atet)~, P O. Box t450,
`A!~xar~dda. Virginia.:22~l $,1450, "
`
`PTOL-85 ~Re~’. 02fl l) &pp,’eyed [~r ~se |hr,>ugh 08/3 if2013.
`
`OMB 06.~| -0033 U.S. Psten~ ~ad Tradcmarl~ O~cc: U.S, DEPA£’.TM ENT OF COMM ER,t:E
`
`Petitioner Ciena Corp. et al.
`Exhi~t 1002-3
`
`
`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`12816084
`
`15-Jun-2010
`
`Title of Invention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Tai Chen
`
`Filer:
`
`Attorney Docket Number:
`
`Filed as Large Entity
`
`Utility under 35 USC 111 (a) Filing Fees
`
`Barry N. Young
`
`C2393-1106RE1
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`1501
`
`1
`
`1510
`
`1510
`
`Extension-of-Time:
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-4
`
`
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Miscellaneous:
`
`Total in USD ($)
`
`lslo
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-5
`
`
`
`Electronic Acknowledgement Receipt
`
`EFS ID:
`
`9756232
`
`Application Number:
`
`12816084
`
`International Application Number:
`
`Confirmation Number:
`
`2616
`
`Title of Invention:
`
`RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO
`CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILITIES
`
`First Named Inventor/Applicant Name:
`
`Tai Chen
`
`Customer N umber:
`
`48789
`
`Filer:
`
`Barry N. Young
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`C2393-1106RE1
`
`Receipt Date:
`
`28-MAR-2011
`
`Filing Date:
`
`15-JU N-2010
`
`Time Stamp:
`
`17:59:07
`
`Application Type:
`
`Utility under 35 USC 111 (a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`yes
`
`Credit Card
`
`$1510
`
`5714
`
`Deposit Account
`
`Authorized User
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi I Pages
`
`Part/.zip[ (ifappl.)
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-6
`
`
`
`Issue Fee Payment (PTO-85B)
`
`PTOL-85.pdf
`
`294880
`
`30398
`
`Fee Worksheet (PTO-875)
`
`fee-info.pdf
`
`5286b7360979~763d08ab~0 / 50306a5461 I
`0197c
`
`no
`
`no
`
`Warnings:
`
`Information:
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes):
`
`325278
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`Ifa new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/EO/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`Ifa new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/RO/105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-7
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trade,nark Office
`Address: COMMISSIONER FOR PATENTS
`P,O. BOX 1450
`Alexandria, Virginia 22313.1450
`www uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S)DUE
`
`48789 7590 03/24/201 I
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`I
`
`[
`
`EXAMINER
`
`IIEALY, BRIAN
`
`ART UNIT
`
`I
`
`PAPER NUMBER
`
`2883
`
`DATE MAILED: 03/24/2011
`
`12/816,084
`
`06/15/2010
`
`Tai Chen
`
`C2393- I 106RE I
`
`2616
`
`TITLE OF INVENTION: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVO CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`nonprovisional
`
`NO
`
`$1510
`
`$0
`
`$0
`
`$1510
`
`06/24/2011
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`¯ MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED. THIS
`STATUTORY PERIOD CANNOT BE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION. IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), TIlE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the SMALL ENTITY status shown above.
`
`lfthe SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`
`B. If the status above is to be removed, check box 5b on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`If the SMALL ENTITY is shown as NO:
`
`A. Pay TOTAL FEE(S) DUE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box 5a on Part B - Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`1I. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal should be completed and an extra copy of the foma should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalent of Part B.
`
`1II. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee’s responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Roy. 021t 1)
`
`Page 1 of 3
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-8
`
`
`
`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUI~ FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax. (571)-273-2885
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and P_UBLICA.TION FEE (if r~quircd), Block~ I through 5 should be completed where
`appropriate. All further correspondence including the Patent advanea orders and notil~eation el maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specify ng a new correspondance address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change ofaddress) Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal, This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`nave its own certificate of mailing or transmission.
`
`03/24/201 I
`7590
`48789
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALe ALTO, CA 94306
`
`Cerlificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal ~ervice with sufficient postage for first class mail in an cnvclop.c
`addressed to the Mail Stop ISSUE FEE address above, or being facsimdc
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Dcpos~
`
`(Signature) ]
`(Date) ]
`
`12/816,084
`
`06115/2010
`
`Tai Chert
`
`C2393-1106RE I
`
`2616
`
`TITLE OF INVENTION: RECONF1GURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH SERVe CONTROL AND DYNAMIC SPECTRAL
`POWER MANAGEMENT CAPABILITIES
`
`nonprovisional
`
`NO
`
`$1510
`
`$0 $0
`
`$1510
`
`061241201 I
`
`EXAMINER
`
`[
`
`ART UNIT
`
`I
`
`CLASS-SUBCLASS I
`
`HEALY, BRIAN
`
`2883
`
`385-024000
`
`I. Change of correspondence address or indication o f"Fee Address" (37
`CFR 1.363).
`[] Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`
`[] "Fee Address" indication (or "Fee Address" lndiealion form
`PTO/SB/47; Roy 03-02 or more recent) attache& Use of a Customer
`Number is require~l.
`
`2. For printing ou the pateot front page, list
`(1) the names of up to 3 registered patent attorneys 1__
`or agents OR, alternatively,
`
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is 3
`listed, no name will be printed.
`
`2
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR3.1 I. Completion of this form is NOT a substitute for filing an assignment.
`
`(A) NAME OF ASSIGNEE
`
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) : [] Individual [] Corporation or other private group entity [] Government
`
`4a. The following fee(s) are submitted:
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`
`[] Issue Fee
`[~ Publication Fee (No small entity discount permitted)
`
`[] Advance Order - # of Copies .........................................
`
`[] A check is enclosed,
`[] Payment by credit card, Form PTO-2038 is attached.
`[]The Director is herahy authorized to charge the required fee(s), any deficiency, or credit any
`(enclose an extra copy of this form),
`overpayment, tu Deposit Account Number
`
`5. Change in Entity Status (from status indicated above)
`[] a. Applicam claims SMALL ENTITY status. See 37 CFR 1.27.
`
`[] b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1,27(g)(2).
`
`NOTE: The Issue Fee and Publication Fee (if raquircd) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`Authorized Signature
`
`Typed or printed name
`
`Date
`
`Registration No.
`
`This collection of in formation is required by 37 CFR 1.31 I. The iaformation is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process)
`an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, prepanng, and
`submitting the completed applicatmn form to the USPTO. Time will vary depending upon the individual ease. Any comments on Ihe amount of time you re~luirc to complete
`this form and/or suggestions for reducing this burden, should be sent to the Chief Int’ormation Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O.
`Box 1450 Alexandria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
`Alexandria, Virgin a 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a colleelion of information unless it displays a valid OMB control number.
`
`PTOL-85 (Roy. 02!1 I) Approved for me throngh 08/31/2013.
`
`OMB 0651-0033
`
`U.S. Patent and Trademark Office; U,S, DEPARTMENT OF COMMERCE
`
`Petitioner Oena Corp. et al.
`Exhibit 1002-9
`
`
`
`~ UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNtTED STATICS DEPARTMENT OF COMMI~RCE
`United States Patent and Trademark
`Address; COMMISSIONER FOR PATENTS
`P.O. EIOX 14~0
`
`~.u~pto.Eov
`
`12/816,084
`
`06/15/2010
`
`Tai Chen
`
`C2393- I 106RE I
`
`2616
`
`48789 7590 031241201 I
`LAW OFFICES OF BARRY N. YOUNG
`200 PAGE MILL ROAD
`SUITE 102
`PALO ALTO, CA 94306
`
`EXAMINER
`
`HEALY, BRIAN
`
`ART UNIT
`
`2883
`
`PAPER NUMBER
`
`I
`
`DATE MAILED: 03/24/2011
`
`i
`I
`
`I
`
`Determination of Patent Term Extension or Adjustment under 35 U.S.C. 154 (b)
`
`A reissue patent is for "the unexpired part of the term of the original patent." See 35 U.S.C. 251. Accordingly, the
`above-identified reissue application is not eligible for Patent Term Extension or Adjustment under 35 U.S.C. 154(b).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0101 or (571)-272-4200.
`
`PTOL-85 (Rev. 02/I I)
`
`Page 3 of 3
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-10
`
`
`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with
`your submission of the attached form related to a patent application or patent. Accordingly, pursuant to
`the requirements of the Act, please be advised that: (1) the general authority for the collection of this
`information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the
`principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process
`and/or examine your submission related to a patent application or patent. If you do not furnish the
`requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine
`your submission, which may result in termination of proceedings or abandonment of the application or
`expiration of the patent.
`
`"i’he information provided by you in this form will be subject to the following routine uses:
`
`1. The information on this form will be treated confidentially to the extent allowed under the Freedom
`of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of
`records may be disclosed to the Department of Justice to determine whether disclosure of these
`records is required by the Freedom of Information Act.
`2. A record from this system of records may be disclosed, as a routine use, in the course of presenting
`evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel
`in the course of settlement negotiatigns.
`3. A record in this system of records may be disclosed, as a routine use, to a Member of Congress
`submitting a request involving an individual, to whom the record pertains, when the individual has
`requested assistance from the Member with respect to the subject matter of the record.
`4. A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency
`having need for the information in order to perform a contract. Recipients of information shall be
`required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5
`U.S.C. 552a(m).
`5. A record related to an International Application filed under the Patent Cooperation Treaty in this
`system of records may be disclosed, as a routine use, to the International Bureau of the World
`Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
`6. A record in this system of records may be disclosed, as a routine use, to another federal agency for
`purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy
`Act (42 U.S.C. 218(c)).
`7. A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or his/her designee, during an inspection of records conducted by GSA as part of
`that agency’s responsibility to recommend improvements in records management practices and
`programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance
`with the GSA regulations governing inspection of records for this purpose, and any other relevant
`(i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about
`individuals.
`8. A record from this system of records may be disclosed, as a routine use, to the public after either
`publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35
`U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a
`routine use, to the public if the record was filed in an application which became abandoned or in
`which the proceedings were terminated and which application is referenced by either a published
`application, an application open to public inspection or an issued patent.
`9. A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local
`law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or
`regulation.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-11
`
`
`
`Notice of AIIowabifity
`
`Application No.
`
`12/816,084
`Examiner
`
`Applicant(s)
`
`CHEN ET AL.
`A~ Unit
`
`BRIAN M. HEALY
`
`2883
`
`.- The MAILING DATE of thfs communication appears on the cover sheet with the correspondence address..
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant, See 37 CFR 1,313 and MPEP 1308.
`
`1. [] This communication is responsive to the response filed 03/02/201
`
`2. [] The allowed claim(s) is/are 1-22.
`
`3. [] Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or
`
`a)[] All b)[]Some* c)[]None of the:
`
`1. [] Certified copies of the priority documents have been received.
`
`2. [] Certified copies of the priority documents have been received in Application No. __
`
`3, [] Copies of the certified copies of the priority documents have been received in this national stage application from the
`
`¯
`
`International Bureau (PCT Rule 17.2(a)).
`
`* Certified copies not received: __
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements
`noted below. Failure to timely comply will result in ABANDONMENT of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`4, [] A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER’S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. [] CORRECTED DRAWINGS ( a’s "replacement sheets") must be submitted.
`
`(a) [] including changes required by the Notice of Draftsperson’s Patent Drawing Review (PTO-948) attached
`
`1) [] hereto or 2) [] to Paper NoJMail Date __
`
`(b) [] including changes required by the attached Examiner’s Amendment / Comment or in the Office action of
`Paper No.lMail Date ~
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`
`6, [] DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner’s comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. [] Notice of References Cited (PTO-892)
`
`2. [] Notice of Draftperson’s Patent Drawing Review (PTO-948)
`
`3, [] Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date__
`4. [] Examiner’s Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. [] Notice of Informal Patent Application
`
`6. [] Interview Summary (PTO-413),
`Paper No.lMail Date __
`7. [] Examiner’s Amendment/Comment
`
`8. [] Examiner’s Statement of Reasons for Allowance
`
`9. [] Other__
`
`U,$. Patent an~ Trademark Office
`PTOL-37 (Rev. 08-06)
`
`PRIMARY EXAMINER
`
`I I BRIAN M. HEALY/
`
`ART UNIT: 2883
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20110308
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-12
`
`
`
`Application/Control Number: 12/816,084
`Art Unit: 2883
`
`Page 2
`
`DETAILED ACTION
`
`Allowable Subject Matter
`
`1.
`
`The following is an examiner’s statement of reasons for allowance: The closet
`
`references of record are (Note these references were made of record on PTOL-1449) Bouevitch
`
`et. al., U.S.P. No. 6,498,872 which teaches (Figs. 1-12) an optical device which is used in
`
`conjunction with configurable optical add/drop multiplexers (COADM) which includes optical
`
`fiber input!output ports 80a,80b,99a,99b which sends wavelength of light which are collimated
`
`through lens 90 to spherical reflector 10 which is incident of diffraction grating 20 to MEMS
`
`reflector(s) 51,52.which are movable in either the horizontal or vertical directions to return
`
`specific wavelengths lambda 1, lambda2 to the output ports 3. Bouevitch et. al., U.S.P. No.
`
`6,498,872 does not teach or suggest using channel micromirrors which are both individually and
`
`continuously controllable to reflect received spectral channels to any one of the output ports and
`
`to control the power of the received spectral channels coupled to the output ports.
`
`2.
`
`Additional secondary references Wagener et. al., U.S.P. No. 6,631,222 (Figs. 1-4), Jin et.
`
`al., U.S.P. No. 6,256,430 (Figs.l-7) and Ma et. al., U.S.P. No. 6,567,574 (Figs.l-12) all teach
`
`that at the time the invention was made it was know that pivotable micro mirrors or MEMS can
`
`be used with ~vavelength multiplexers to switch or select wavelengths between input and output
`
`ports.
`
`3.
`
`None of the aforementioned references, either taken alone or in combination with each
`
`other, teach or suggest the claimed optical add-drop device which includes an input port for an
`
`input multi-wavelength optical signal having first spectral channels; one or more ports for second
`
`spectral channels, an output port for an output multi-wavelength optical signal ; a wavelength-
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-13
`
`
`
`Application/Control Number: 12/816,084
`Art Unit: 2883
`
`-Page 3
`
`selective device for spatially separating the spectral channels, a spatial array of beam deflecting
`
`elements such that each element receives a corresponding one of the spectral channels and each
`
`of the elements are individually and continuously controllable in two dimensions to reflect
`
`it’s corresponding spectral channel to a selected one of the output ports and to control the
`
`power of the received spectral channels reflected to the selected ports. These limitations are
`
`recited in amended claim 1. Therefore the patentabili~ of amended claim 1 is confirmed.
`
`4.
`
`Dependent claims 2-14 are inclusive of the limitations of amended claim 1, as well as
`
`other additionally recited limitations. Please see the dependent claims tbr the specifics of these
`
`additionally recited limitations. The patentabili .0/of dependent claims 2-14 is confirmed.
`
`5.
`
`In addition, none of the aforementioned references, either taken alone or in combination
`
`with each other, teach or suggest the claimed optical add-drop device which includes an input
`
`port for an input multi-wavelength optical signal having multiple spectral channels; an output
`
`port for an output multi-wavelength optical signal, one or more drop ports for selected spectral
`
`channels dropped from the multi-wavelength optical signal ; a wavelength-selective device fbr
`
`spatially separating the spectral channels, a spatial array of beam deflecting elements such that
`
`each element receives a corresponding one of the spectral channels and each of the elements are
`
`individually and continuouslv controllable in two dimensions to reflect it’s corresponding
`
`spectral channel to a selected one of the output ports and to control the power of the received
`
`spectral channels reflected to the selected ports~ whereby a subset of the.spectral channels
`
`is directed to the drop ports. These limitations are recited in amended claim 15.
`
`6,
`
`These limitations are recited in original claim 21. Therefore the oatentabili~ of
`
`amended claim 15 is confirmed.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-14
`
`
`
`Application/Control Number: 12/816,084
`Art Unit: 2883
`
`Page 4
`
`7.
`
`None of the aforementioned references, either taken alone or in combination with each
`
`other, teach or suggest the claimed optical add-drop device which includes an input port for an
`
`input multi-wavelength optical signal having multiple spectral channels, an output port for an
`
`output multi-wavelength optical signal, one or more add ports for selected specral channels to be
`
`added to the output multi-wavelength optical signal ; a wavelength-selective device for reflecting
`
`the multiple and selected spectral cha~mels and a spatial array of beam deflecting elements such
`
`that each element receives a corresponding one of the spectral channels and each of the elements
`
`are individually and continuously controllable in two dimensions to reflect it’s corresponding
`
`spectral channel to a selected one of the output ports and to control the power of the received
`
`spectral channels refle~.te.d to the. selected port~ whereby thespectral channels from the add
`
`ports are selectively provided to the output port.. These limitations are recited in amended
`
`claim 16. Therefore the patentability of amended claim 16 is confirmed.
`
`8.
`
`Finally, none of the aforementioned refe.rences, either taken alone or in combination with
`
`each other, teach o’r suggest the claimed method of performing dynamic add and drop in a WDM
`
`optical network comprising the steps of separating an input multi-wavelength optical signal into
`
`spectral channels; imaging each of the spectral channels in a beam deflecting element and
`
`controlling both dynamically and continuously the beam deflecting elements in two
`
`dimensions so as to combine the selected ones of the spectral channels into an output multi-
`
`wavelength optical signal and to control the power of the spectral channels which are
`
`combined into the output multi-waY.dength opti.cal signal. These limitations are recited in
`
`amended claim 17. Therefore the patentability of amended claim 17 is confirmed.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1002-15
`
`
`
`Application/Control Number: 12/816,084
`Art Unit: 2883
`
`Page 5
`
`9.
`
`Dependent claims 18-22 are inclusive of the limitations of original claim 17, as well as
`
`other additionally recited limitations. Please see the dependent claims for the specifics of these
`
`additionally recited limitations. The patentability of dependent claims 18-22 is confirmed.
`
`Any comments considered necessary by applicant must be submitted no later than the
`
`payment of the issue fee and, to avoid processing delays, should preferably accompany the issue
`
`fee. Such submissions should be clearly labeled "Comments on Statement of Reasons for
`
`Allowance."
`
`The reissue oath or declaration, filed 03/02/2011 is Sufficient to overcome the rejection
`
`of claims based on 35 U.S.C. 251. See previous office action.
`
`This reissue application is a reissue of U.S. Patent Application 10/745,364, filed
`
`12/22/2003, now PAT 6,879,750, which is a CON of U.S. Patent Application 10/005,714, filed
`
`11/07/2001, now U.S.P. No. 6,687,431 which is a CON of U.S. Patent Application No.
`
`09/938,426, filed 08/23/2001 now, U.S.P. No. 6,625,346 which claims the benefit of 60/277,217,
`
`filed 03/19/2001.
`
`The references which were made of record in USP No. 6,879,750, No. 6,625,346 and No.
`
`6,687,431 will also be made of record in the present Application.
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to BRIAN M. HEALY whose telephone number is (571)272-23’47.
`
`The examiner can n6rmally be reached on M-F 6AM-5PM.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor, Mark Ro