Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`Ciena Corporation,
`
`Coriant Operations, Inc.,
`
`Coriant (USA) Inc., and
`
`Fujitsu Network Communications, Inc.
`
`Petitioner
`
`v.
`
`Capella Photonics, Inc.
`Patent Owner
`
`Patent No. RE42,368
`Filing Date: June 15, 2010
`Reissue Date: May 17, 2011
`
`Title: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH
`SERVO CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT
`CAPABILITIES
`
`DECLARATION OF DAN MAROM
`
`Inter Partes Review No. 2015-___
`
`
`
`
`
` Exhibit 1028-1
`
`Petitioner Ciena Corp. et al.
`
`

`

`Table of Contents
`
`
`Page
`
`
`I.
`
`INTRODUCTION AND QUALIFICATIONS .............................................. 1
`
`B.
`
`C.
`
`D.
`
`E.
`
`F.
`
`G.
`
`Education .............................................................................................. 1
`
`Career Synopsis .................................................................................... 1
`
`Career Milestones ................................................................................. 2
`
`Detailed Research Activity ................................................................... 3
`
`Group leader at the Hebrew University ............................................... 5
`
`Publications: ......................................................................................... 9
`
`H. Materials Considered .......................................................................... 10
`
`II.
`
`LEGAL PRINCIPLES USED IN THE ANALYSIS ................................... 12
`
`A.
`
`B.
`
`C.
`
`D.
`
`Person Having Ordinary Skill in the Art ............................................ 13
`
`Prior Art .............................................................................................. 14
`
`Identification of Combinations of Prior Art ....................................... 15
`
`Broadest Reasonable Interpretations .................................................. 15
`
`III. THE ‘368 PATENT ...................................................................................... 17
`
`IV. STATE OF THE ART OF THE RELEVANT TECHNOLOGY AT
`THE TIME OF THE ALLEGED INVENTION .......................................... 18
`
`A.
`
`Reconfigurable Optical Add-Drop Multiplexers ............................... 18
`
`B. Wavelength Selective Switches ......................................................... 20
`
`C. Microelectromechanical Systems ....................................................... 24
`
`V. MOTIVATION TO COMBINE ................................................................... 25
`
`A. Motivation to Combine Bouevitch and Smith ................................... 26
`
`VI. BOUEVITCH AND SMITH RENDER OBVIOUS ALL
`PETITIONED CLAIMS ............................................................................... 31
`
`VII. DEMONSTRATION OF WRITTEN DESCRIPTION SUPPORT
`FOR THE SMITH PATENT’S SEPTEMBER 22, 2000, PRIORITY
`DATE ............................................................................................................ 77
`
`VIII. CONCLUSION ............................................................................................. 85
`
`
`
`-i-
`
`
`
`
` Exhibit 1028-2
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`I, Dan Marom, declare as follows:
`
`I.
`
`INTRODUCTION AND QUALIFICATIONS
`
`1.
`
`I have been engaged by Ciena Corporation, Coriant Operations, Inc.,
`
`Coriant (USA) Inc., and Fujitsu Network Communications, Inc. (collectively
`
`“Petitioner”) to opine on certain matters regarding U.S. Patent No. RE42,368,
`
`hereinafter referred to as the ’368 patent. Specifically, this declaration addresses the
`
`obviousness of the ’368 patent in light of the prior art.
`
`B.
`
`2.
`
`Education
`
`I am an Associate Professor in the Applied Physics Department at
`
`Hebrew University, Israel, heading the Photonic Devices Group. I received the B.Sc.
`
`Degree in Mechanical Engineering and the M.Sc. Degree in Electrical Engineering,
`
`both from Tel-Aviv University, Israel, in 1989 and 1995, respectively, and was
`
`awarded a Ph.D. in Electrical Engineering from the University of California, San
`
`Diego (UCSD), in 2000.
`
`C. Career Synopsis
`
`3. My 20 year research career in optical communications started during
`
`my Master’s degree, where I investigated free-space, polarization rotation based
`
`bypass-exchange (2×2) space switches, which later on led to the founding of a start-
`
`up company (without my involvement). In my doctoral dissertation I demonstrated
`
`
`
` Exhibit 1028-3
`
`1
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`real-time optical signal processing using parametric nonlinearities applied to
`
`spectrally dispersed light, for possible modulation and detection schemes in serial
`
`ultrafast communications (tera-baud rate and beyond). From 2000 until 2005, I was
`
`a Member of the Technical Staff at the Advanced Photonics Research Department
`
`of Bell Laboratories, Lucent Technologies, where I invented MEMS based
`
`wavelength-selective switching solutions for optical networks and headed the
`
`research and development effort of these solutions. Since 2005, I have been with
`
`the Applied Physics Department, Hebrew University, Israel, where I am now an
`
`Associate Professor leading a research group pursuing my research interests in
`
`creating photonic devices and sub-systems for switching and manipulating optical
`
`signals, in guided-wave and free-space optics solutions using light modulating
`
`devices, nonlinear optics, and compound materials.
`
`D. Career Milestones
`
`4.
`
`I am a Senior Member of the IEEE Photonics Society, and a Member
`
`of the Optical Society of America. From 1996 through 2000, I was a Fannie and
`
`John Hertz Foundation Graduate Fellow at UCSD, and was a Peter Brojde Scholar
`
`in 2006-2007. I currently serve as Senior Editor for IEEE Photonics Technology
`
`Letters, handling photonic devices related submissions. Awarded 2014-2015 IEEE
`
`Photonics Society Distinguished Lecturer. Elected Fellow of the Optical Society of
`
`
`
` Exhibit 1028-4
`
`2
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`America in 2015, with the citation reading “For innovations in optical information
`
`processing of spectrally dispersed light, leading to the invention of the wavelength-
`
`selective switch, now a fundamental building block of optical networks.”
`
`E. Detailed Research Activity
`
`5.
`
`The following paragraphs describe in more detail some of the research
`
`work I have been involved in. Much of this research involves areas of technology
`
`that are directly related to the subject matter of the patent at issue in this IPR.
`
`Spectral processing of ultrafast waveforms with parametric nonlinearities:
`
`During my Ph.D, studies (1995-2000), I experimentally developed and theoretically
`
`analyzed the operating principles of spatio-temporal wave-mixing arranging,
`
`demonstrating time-to-space, space-to-time, time-reversal, temporal and spatial
`
`correlators, all based on instantaneous nonlinearities. Select publications in this area
`
`include:
`
`• D. M. Marom, D. Panasenko, P.-C. Sun, and Y. Fainman, “Spatial-temporal
`
`wave mixing for space-to-time conversion,” Opt. Lett., Vol. 24, No. 8, pp.
`
`563-565, 1999. 44 citations
`
`• D. M. Marom, D. Panasenko, R. Rokitski, P.-C. Sun, and Y. Fainman, “Time
`
`reversal of ultrafast waveforms by wave mixing spectrally decomposed
`
`waves,” Opt. Lett., Vol. 25, No. 2, pp. 132-134, 2000. 42 citations
`
`• D. M. Marom, D.Panasenko, P.-C. Sun, Y. T. Mazurenko, and Y. Fainman,
`
`“Real-time spatial-temporal signal processing with optical nonlinearities,”
`
`
`
` Exhibit 1028-5
`
`3
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`IEEE J. of Select. Topics in Quant. Electron., Vol. 7, No. 4, pp. 683-693, 2001.
`
`25 citations
`
`• Y. Fainman and D. M. Marom, “Instantaneous imaging and processing of
`
`ultrafast waveforms,” in Encyclopedia of Modern Optics, Eds. B. Guenther,
`
`A. Miller, L. Bayvel, and J. Midwinter, 2004.
`
`• WDM channel switching and dispersion compensation with optical MEMS
`
`micromirrors
`
`6.
`
`As a Member of the Technical Staff at Bell Labs’ Photonics Lab (2000-
`
`2005), I initiated and led the complete Bell Labs development effort of the
`
`wavelength-selective switch, including acting as an inventor in these efforts. In
`
`addition, the hybrid integration of arrayed waveguide gratings into a free-space WSS
`
`was demonstrated, as well as off-shoot projects in dispersion compensation and
`
`optimal signal restoration after wavelength conversion.
`
`Key publications:
`
`• D. M. Marom, D. T. Neilson, D. S. Greywall, N. R. Basavanhally, P. R.
`
`Kolodner, Y. L. Low, F. Pardo, C. A. Bolle, S. Chandrasekhar, L. Buhl, C. R.
`
`Giles, S.-H. Oh, C. S. Pai, K. Werder, H. T. Soh, G. R. Bogart, E. Ferry, F. P.
`
`Klemens, K. Teffeau, J. F. Miner, S. Rogers, J. E. Bower, R. C. Keller, and
`
`W. Mansfield, “Wavelength-selective 1×4 Switch for 128 WDM Channels at
`
`50 GHz Spacing,” Optical Fiber Conference (OFC 2002), Anaheim, CA,
`
`March 2002. Post Deadline Paper FB-7. 66 citations
`
`• D. M. Marom, D. T. Neilson, D. S. Greywall, C. S. Pai, N. R. Basavanhally,
`
`V. A. Aksyuk, D. O. López, F. Pardo, M. E. Simon, Y. Low, P. Kolodner, and
`
`
`
` Exhibit 1028-6
`
`4
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`C. A. Bolle, “Wavelength-Selective 1×K Switches using Free-Space Optics
`
`and MEMS Micromirrors: Theory, Design, and Implementation,” IEEE J.
`
`Lightwave Technol., Vol. 23, No. 4, pp. 1620-30, 2005. 116 citations
`
`•
`
`
`
`• D. S. Greywall, C.-S. Pai, S.-H. Oh, C.-P. Chang, D. M. Marom, P. A. Busch,
`
`R. A. Cirelli, J. A. Taylor, F. P. Klemens, T. W. Sorch, J. E. Bower, W. Y.-C.
`
`Lai, and H. T. Soh, “Monolithic fringe-field-activated crystalline silicon
`
`tilting-mirror devices,” IEEE J. Microelectromech. Syst., Vol. 12, No. 5, pp.
`
`702-707, 2003. 23 citations
`
`• D. M. Marom, C. R. Doerr, M. Cappuzzo, E. Chen, A. Wong-Foy, and L.
`
`Gomez, “Hybrid free-space and planar lightwave circuit wavelength-selective
`
`1×3 switch with integrated drop-side demultiplexer,” 31st European
`
`Conference on Optical Communication (ECOC 2005), Glasgow, Scotland,
`
`Sept. 2005. 12 citations
`
`• J. Leuthold, D. M. Marom, S. Cabot, J. J. Jaques, R. Ryf, and C. R. Giles,
`
`“All-optical wavelength conversion using a pulse reformatting optical filter,”
`
`IEEE J. Lightwave Technol., Vol. 22, No. 1, pp. 186-192, 2004. 96 citations
`
`• D. M. Marom, C. R. Doerr, M. A. Cappuzzo, E. Y. Chen, A. Wong-Foy, L.
`
`T. Gomez, and S. Chandrasekhar, “Compact colorless tunable dispersion
`
`compensator with 1000 ps/nm tuning range for 40-Gb/s data rates,” IEEE J.
`
`Lightwave Technol., Vol. 24, No. 1, pp. 237-241, 2006. 28 citations
`
`• D. T. Neilson, C. R. Doerr, D. M. Marom, R. Ryf, and M. Earnshaw,
`
`“Wavelength-Selective Switching for Optical Bandwidth Management,” Bell
`
`Labs Technical Journal Vol. 11, pp. 105-128, 2006. 22 citations
`
`
`
` Exhibit 1028-7
`
`5
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`F. Group leader at the Hebrew University
`
`7.
`
`In the academic environment of the Hebrew University (2005-present,
`
`with appointment as Senior Lecturer; currently Associate Professor en route to Full
`
`Professor), I founded the Photonics Devices Group where my students pursue
`
`diverse projects addressing the near-term and anticipated long-term needs of the
`
`optical communications field. Key achievements of my term are separated according
`
`to topic.
`
`8.
`
`Photonic Spectral Processors: A generalization of a WSS to achieve
`
`arbitrary photonic signal manipulations, controlling the amplitude and phase of the
`
`reflected signal spectral components. A key requirement is fine resolution control
`
`for in-band signal filtering operations. The latest results have shown arbitrary
`
`filtering at 1 GHz resolution for precise and sharp spectral processing.
`
`• D. Sinefeld and D. M. Marom, “Hybrid Guided-Wave/Free-Space Optics
`
`Photonic Spectral Processor Based on LCoS Phase Only Modulator,” Photon.
`
`Technol. Lett. 22, 510-512, 2010. 11 citations
`
`• D. Sinefeld, S. Ben-Ezra, C. R. Doerr, and D. M. Marom, “Colorless compact
`
`tunable optical dispersion compensator based solely on linear translation,”
`
`Opt. Lett. 36, 1410-2, 2011. 9 citations
`
`• D. Sinefeld, C. R. Doerr, and D. M. Marom, “Photonic Spectral Processor
`
`Employing Two-Dimensional WDM Channel Separation and a Phase LCoS
`
`Modulator” Opt. Express 19, 14532-41, 2011. 19 citations and runner up for
`
`
`
` Exhibit 1028-8
`
`6
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`Best Student Paper at OFC 2010 for David Sinefeld for conference version.
`
`• R. Rudnick, D. Sinefeld, O. Golani and D. M. Marom, “One GHz Resolution
`
`Arrayed Waveguide Grating Filter with LCoS Phase Compensation,” Optical
`
`Fiber Conference (OFC 2014), San Francisco, CA, Mar. 2014.
`
`9.
`
`Time-to-space conversion: After devoting about ten years in this
`
`research track, during which time I focused mostly on WSS activities, I returned to
`
`this research topic and have injected into my activity photonics knowhow gained in
`
`WDM spectral processors, addressing the resolution-efficiency tradeoff by way of
`
`engineering the nonlinear interaction medium. The latest result demonstrated direct,
`
`complex-amplitude temporal waveform recording by interferogram image analysis
`
`(algorithm-free) following a time-to-space conversion:
`
`• D. Shayovitz, H. Herrmann, W. Sohler, R. Ricken, C. Silberhorn, and D. M.
`
`Marom, “High resolution time-to-space conversion of sub-picosecond pulses
`
`at 1.55µm by non-degenerate SFG in PPLN crystal,” Opt. Express. 20, 27388-
`
`27395, 2012. 7 citations
`
`• D. Shayovitz, H. Herrmann, W. Sohler, R. Ricken, C. Silberhorn, and D. M.
`
`Marom, “Time-to-space conversion of ultrafast waveforms at 1.55 μm in a
`
`planar periodically poled lithium niobate waveguide,” Opt. Lett. 38, pp. 4708–
`
`4711, 2013.
`
`• D. Shayovitz, H. Herrmann, W. Sohler, R. Ricken, C. Silberhorn, and D. M.
`
`Marom, “Coherent detection of phase modulated ultrashort optical pulses
`
`using time-to-space conversion at 1.55µm,” Conference on Lasers and
`
`Electro-optics (CLEO ‘14), San Jose, CA, June 2014.
`
`
`
` Exhibit 1028-9
`
`7
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`10. Space-division multiplexing: The nascent field of space-division
`
`multiplexing (“SDM”) is well-aligned with my capabilities, and I have demonstrated
`
`several key innovations in the field, all reported at key conferences in the field. A
`
`testament to my stature in the field is exhibited by the number of invited talks I have
`
`received in the last year for my topic, and the FP7-ICT-INSPACE program I was
`
`instrumental in obtaining:
`
`• M. D. Feuer, L. E. Nelson, K. S. Abedin, X. Zhou, T. F. Taunay, J. F. Fini, B.
`
`Zhu, R. Isaac, R. Harel, G. Cohen, and D. M. Marom, “ROADM System for
`
`Space Division Multiplexing with Spatial Superchannels,” Optical Fiber
`
`Conference (OFC 2013), Anaheim, CA, Mar. 2013. Post Deadline Paper
`
`PDP5B.8.
`
`• R. Ryf, N. K. Fontaine, J. Dunayevsky, D. Sinefeld, M. Blau, M. Montoliu,
`
`S. Randel, Chang Liu, B. Ercan, M. Esmaeelpour, S. Chandrasekhar, A. H.
`
`Gnauck, S. G. Leon-Saval, J. Bland-Hawthorn, J. R. Salazar-Gil, Y. Sun, L.
`
`Gruner-Nielsen, R. Lingle, Jr., and D. M. Marom, “Wavelength Selective
`
`Switch for Few-Mode Fiber Transmission,” European Conference on Optical
`
`Communication (ECOC) 2013, London, UK. Post Deadline Paper PD1.C.4.
`
`• I. Weiss, J. Gerufi, D. Sinefeld, M. Blau, M. Bin-Nun, R. Lingle, L. Grüner-
`
`Nielsen, and D. M. Marom, “Dynamic Mode Group Equalization Filter and
`
`Variable Optical Attenuator for Few Mode Fibers,” Optical Fiber Conference
`
`(OFC 2014), San Francisco, CA, Mar. 2014.
`
`11. Various other noteworthy activities carried out under my guidance have
`
`been pursued at the Photonics Devices Group, in diverse fields as nonlinear
`
`
`
` Exhibit 1028-10
`
`8
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`propagation of Airy pulses and the observation of Soliton shedding, a custom optical
`
`MEMS SLM configured for amplitude and phase control of spectrally dispersed
`
`light, and a photonic ADC demonstrating the concept of spatial oversampling. For
`
`example, papers on these subjects include:
`
`• Y. Dunayevsky and D. M. Marom, “MEMS spatial light modulator for phase
`
`and amplitude modulation of spectrally dispersed
`
`light,” IEEE J.
`
`Microelectromech. Syst. 22, pp. 1213-1221, 2013.
`
`• Y. Fattal, A. Rudnick, and D. M. Marom, “Soliton shedding from Airy pulses
`
`in Kerr media,” Opt. Express 19, 17298-307, 2011. 31 citations
`
`• O. Golani, L. Mauri, F. Pasinato, C. Cattaneo, G. Consonnni, S. Balsamo, and
`
`D. M. Marom, “A photonic analog-to-digital converter using phase
`
`modulation and self-coherent detection with spatial oversampling,” Opt.
`
`Express. 22, 12273-12282, 2014.
`
`G.
`
`Publications:
`
`The following is a present summary of my publication record:
`
`• 47 journal papers in leading OSA and IEEE journals (Optics Express, Optics
`
`Letters, Journal of Lightwave Technology, and Photonics Technology
`
`Letters)
`
`• Top 5 citation metrics papers (Google Scholar): 131, 101, 68, 44 and 43.
`
`• H-index: 20 (Google Scholar), i-10 index: 38.
`
`• Total number of citations: 1276 via Google scholar (589 in the last 5 years).
`
`• 3 book chapters
`
`• 121 conference papers (30 invited).
`
`
`
` Exhibit 1028-11
`
`9
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`• 29 issued US patents
`
`12. Additional details of my background are set forth in my current
`
`curriculum vitae, attached as Ex. 1029.
`
`H. Materials Considered
`
`13. The analysis that I provide in this Declaration is based on my education
`
`and experience in the field of photonics, as well as the documents I have considered,
`
`including U.S. Patent No. RE42,368 (the ‘368 patent) [Ex. 1001], which states on
`
`its face that it claims priority to an application filed on Mar. 19, 2001. I have also
`
`reviewed the file wrapper for the '368 patent.
`
`14. Furthermore, I have reviewed various relevant publications from the art
`
`at the time of the alleged invention of the ‘368 patent, to which this Declaration
`
`relates. These publications include those listed below:
`
`Exhibit 1001:U.S. Reissued Patent No. RE42,368 to Chen et al.
`(“‘368 patent”)
`
`Exhibit 1002: File History of U.S. Patent No. RE42,368 to Chen et al.
`(“‘368 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 1028-12
`
`10
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`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 (“’368
`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 1015: Ford et al., Wavelength Add–Drop Switching Using
`Tilting Micromirrors, Journal of Lightwave Technology, Vol.
`17, No. 5 (May 1999) (“Ford”)
`
`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 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 1023: U.S. Patent No. 6,567,574 to Ma, et al. (“Ma”)
`
`
`
` Exhibit 1028-13
`
`11
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`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 1031: U.S. Patent No. 5,414,540 to Patel et al. (“Patel ‘540”)
`
`Exhibit 1032: Borella, et al., Optical Components for WDM
`Lightwave Networks, Proceedings of the IEEE, Vol. 85, NO. 8,
`August 1997 (“Borella”)
`
`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)
`
`
`
`
`
`II. LEGAL PRINCIPLES USED IN THE ANALYSIS
`
`15.
`
`I am not a patent attorney, nor have I independently researched the law
`
`on patent validity. Attorneys for the Petitioner have explained certain legal
`
`principles to me that I have relied upon in forming my opinions set forth in this
`
`
`
` Exhibit 1028-14
`
`12
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`report.
`
`A.
`
`16.
`
`Person Having Ordinary Skill in the Art
`
`I understand that my assessment of claims of the ‘368 patent must be
`
`undertaken from the perspective of what would have been known or understood by
`
`a person having ordinary skill in the art, reading the ‘368 patent on its relevant filing
`
`date and in light of the specification and file history of the ‘368 patent. I will refer
`
`to such a person as a "PHOSITA."
`
`17. For the relevant priority date for the ‘368 patent, I have used in my
`
`declaration the earliest application date on the face of the patent: Mar. 19, 2001.
`
`However, I have not yet analyzed whether the ‘368 patent is entitled to that date for
`
`its priority.
`
`18. Counsel has advised me that to determine the appropriate level of one
`
`of ordinary skill in the art, the following four factors may be considered: (a) the types
`
`of problems encountered by those working in the field and prior art solutions thereto;
`
`(b) the sophistication of the technology in question, and the rapidity with which
`
`innovations occur in the field; (c) the educational level of active workers in the field;
`
`and (d) the educational level of the inventor.
`
`19. With over 20 years of experience in electrical engineering and in optical
`
`communications, I am well acquainted with the level of ordinary skill required to
`
`
`
` Exhibit 1028-15
`
`13
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`implement the subject matter of the ‘368 patent. I have direct experience with and
`
`am capable of rendering an informed opinion on what the level of ordinary skill in
`
`the art was for the relevant field as of March 2001.
`
`20. The relevant technology field for the ‘368 patent is free-space photonic
`
`switching sub-systems, a field related to free-space optics. Based on this, and the
`
`four factors above, it is my opinion that PHOSITA would have been an engineer or
`
`physicist with at least a Master’s degree, or equivalent experience, in optics, physics,
`
`electrical engineering, or a related field, including at least three years of additional
`
`experience designing, constructing, and/or testing optical systems.
`
`21. My analysis and opinions regarding the '368 patent have been based on
`
`the perspective of a person of ordinary skill in the art as of March 2001.
`
`B.
`
`Prior Art
`
`22.
`
`I understand that the law provides categories of information that
`
`constitute prior art that may be used to anticipate or render obvious patent claims.
`
`To be prior art to a particular patent claim under the relevant law, I understand that
`
`a reference must have been made, known used, published, or patented, or be the
`
`subject of a patent application by another, before the priority date of the patent. I
`
`also understand that the PHOSITA is presumed to have knowledge of the relevant
`
`prior art.
`
`
`
` Exhibit 1028-16
`
`14
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`C.
`
`23.
`
`Identification of Combinations of Prior Art
`
`I understand that the Petitioner is requesting inter partes review of
`
`claims 1-6, 9-13, and 15-22 of the ’368 patent under the grounds set forth in Table
`
`1, below. I will sometimes refer to these combinations as Ground Nos. 1 and 2 in
`
`the remainder of my declaration below.
`
`Table 1
`
`Ground
`
`1
`
`Patent
`
`’368
`Claims
`1-6, 9-11, 13,
`
`Basis for Challenge
`
`Obvious under § 103(a) by Bouevitch in view of
`
`and 15-22
`
`Smith further in view of Lin.
`
`2
`
`12
`
`Obvious under § 103(a) by Bouevitch in view of
`
`Smith and Lin in further view of Dueck.
`
`
`
`D. Broadest Reasonable Interpretations
`
`(i)
`
`I understand that, in Inter Partes Review, the claim terms are to be
`
`given their broadest reasonable interpretation (BRI) in light of the specification. See
`
`37 C.F.R. § 42.100(b). In performing my analysis and rendering my opinions, I have
`
`interpreted claim terms for which the Petitioner has not proposed a BRI construction
`
`by giving them the ordinary meaning they would have to a the PHOSITA, reading
`
`the ʼ368 Patent with its priority filing date (March 19, 2001) in mind, and in light of
`
`its specification and file history.
`
`
`
` Exhibit 1028-17
`
`15
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`24.
`
`I understand that the Petitioner has made determinations about the
`
`broadest reasonable interpretations of several of the claim terms in the ‘368 patent.
`
`I have identified these BRIs in Table 2, below.
`
`Term
`[Controllable] “in two
`dimensions”
`“To control the power of the
`spectral channel…” and "to
`reflect its corresponding
`spectral channel to a selected
`one of said ports" (Claims 1-
`16); "whereby a subset of said
`spectral channels is directed to
`said drop ports" (Claim 15);
`and “for monitoring power
`levels” and “for controlling
`said beam-deflecting
`elements” (Claim 3)
`“So as to combine selected
`ones of said spectral channels
`into an output” and "so as…to
`control the power" (claims 17-
`22)
`“Continuously controllable”
`
`“Servo-control assembly” and
`"servo-based"
`
`Table 2
`
`Broadest Reasonable Interpretation (BRI)
`"in two axes"
`
`Not limiting
`
`Not limiting
`
`"under analog control"
`
`"feedback-based control assembly" and
`
`"feedback-based control"
`
`“Spectral monitor"
`
`"a device for measuring power"
`
`“Beam-focuser" (claim 11)
`
`"a device that directs a beam of light to a spot"
`
`
`
`
`
` Exhibit 1028-18
`
`16
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`
`25. My analysis in this declaration assumes that the terms in Table 2, above,
`
`are defined using the associated BRIs. From my reading of the ‘368 patent, I believe
`
`that these BRIs are consistent with how one of skill in the art at the time the ‘368
`
`patent was filed would interpret the claim terms. The Petitioner has determined that
`
`the BRIs of several of the terms in the ‘368 patent are not limiting. However, I am
`
`providing analysis in my declaration showing that even if the terms are limiting, the
`
`associated claim elements are disclosed in the prior art.
`
`III. THE ‘368 PATENT
`
`26. As indicated on its face, the ‘368 patent reissued from U.S. reissue
`
`patent application No. 12/816,084 on June 15, 2010, is a reissue of U.S. patent No.
`
`6,879,750. The ‘368 patent claims priority to U.S. provisional application No.
`
`60/277.217, filed on March 19, 2001. The ‘368 patent reissued on May 17, 2011.
`
`27. As its title indicates, the '368 patent relates to reconfigurable optical
`
`add-drop multiplexers (ROADMs). (Id., Title (“RECONFIGURABLE OPTICAL
`
`ADD-DROP Multiplexers WITH SERVO CONTROL AND DYNAMIC
`
`SPECTRAL POWER MANAGEMENT CAPABILITIES”).) More specifically, the
`
`‘368 patent describes "a wavelength-separating routing (WSR) apparatus and
`
`method" (Id. at Abstract), which separates a multi-wavelength optical signal into
`
`separate channels and directs selected channels into selected output ports.
`
`
`
` Exhibit 1028-19
`
`17
`
`Petitioner Ciena Corp. et al.
`
`

`

`Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,368
`
`IV. STATE OF THE ART OF THE RELEVANT TECHNOLOGY AT THE
`TIME OF THE ALLEGED INVENTION
`
`A. Reconfigurable Optical Add-Drop Multiplexers
`
`28. Early opti