Declaration of Dan Marom
`Petition for Inter Partes Review of
`Reissue Patent No. RE42,678
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`Ciena Corporation,
`
`Coriant Operations, Inc. (formerly Tellabs Operations, Inc.),
`
`Coriant (USA) Inc., and
`
`Cisco SystemsFujitsu Network Communications, Inc.
`
`Petitioner
`
`v.
`
`Capella Photonics, Inc.
`Patent Owner
`
`Patent No. RE42,678
`Filing Date: June 15, 2010
`Reissue Date: September 6, 2011
`
`Title: RECONFIGURABLE OPTICAL ADD-DROP MULTIPLEXERS WITH
`SERVO CONTROL AND DYNAMIC SPECTRAL POWER MANAGEMENT
`CAPABILITIES
`
`DECLARATION OF DAN MAROM
`
`Inter Partes Review No. 2014-01276
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-1
`
`

`

`Table of Contents
`
`
`Page
`
`
`I.
`
`II.
`
`INTRODUCTION AND QUALIFICATIONS .............................................. 1
`A.
`Education .............................................................................................. 1
`B.
`Career Synopsis .................................................................................... 1
`C.
`Career Milestones ................................................................................. 2
`D. Detailed Research Activity ................................................................... 3
`Key publications: .................................................................................. 4
`Group leader at the Hebrew University ............................................. 56
`E.
`Publications: ......................................................................................... 9
`F.
`G. Materials Considered .......................................................................... 10
`LEGAL PRINCIPLES USED IN THE ANALYSIS ............................... 1314
`A.
`Person Having Ordinary Skill in the Art ............................................ 14
`B.
`Prior Art .............................................................................................. 15
`C.
`Identification of Combinations of Prior Art ....................................... 16
`D.
`Broadest Reasonable Interpretations .................................................. 16
`III. THE ‘678 PATENT ...................................................................................... 18
`IV. STATE OF THE ART OF THE RELEVANT TECHNOLOGY AT
`THE TIME OF THE ALLEGED INVENTION .......................................... 19
`A.
`Reconfigurable Optical Add-Drop Multiplexers ............................... 19
`B. Wavelength Selective Switches ......................................................... 21
`C. Microelectromechanical Systems ....................................................... 25
`V. MOTIVATION TO COMBINE ................................................................... 26
`A. Motivation to Combine Bouevitch and Smith ................................... 27
`VI. BOUEVITCH AND SMITH RENDER OBVIOUS ALL
`PETITIONED CLAIMS ............................................................................... 33
`(a) Claim 1 – GroundsGround 1 and 2 ....................................... 33
`(ii) Claim 1- preamble ......................................................... 33
`
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`-i-
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`Petitioner Ciena Corp. et al.
`Exhibit 1050-2
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`

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`Table of Contents
`(continued)
`
`Page
`
`(iii) Claim element 1[a] - multiple fiber collimators
`providing input and output ports ................................... 34
`(iv) Element 1[b] – wavelength separator ............................ 36
`(v)
`Element 1[c] - beam-focuser ......................................... 37
`(vi) Element 1[d] – 2-axis channel micromirrors ................. 39
`(vii) Ground 2 – Claim 1 would also have been
`obvious over Smith and Bouevitch further in
`view of Lin .................................................................... 44
`(viiivii)
`“Pivotal about two axes” ....................................... 47
`(ixviii)
`Power Control using 2-Axis Mirrors: 50
`(b) Claim 2 – Ground 1 ................................................................ 53
`(c) Claim 3 – Ground 1 ................................................................ 59
`(d) Claim 4 – Ground 1 ................................................................ 66
`(e) Claim 9 – Ground 1 ................................................................ 67
`Claim 10 – Ground 1 .............................................................. 68
`(f)
`(g) Claim 12 – Ground 1 .............................................................. 68
`(h) Claim 13 – Ground 1 .............................................................. 71
`Claim 17 – Grounds 1,Ground 2, 3, and 4 ........................... 72
`(i)
`Claim 19 – Ground 1 .............................................................. 74
`(j)
`(k) Claim 20 – Ground 1 .............................................................. 75
`Claim 21 – Ground 1 .............................................................. 77
`(l)
`(i)
`Preamble ........................................................................ 77
`(ii) Claim element 21[a]-21(c) .............................. 7877
`(iii) Element 21[d]—array of controllable
`micromirrors ........................................................ 78
`(iv) Element 21[e]—servo-control ......................... 7978
`(m) Claim 22 – Ground 1 .............................................................. 79
`(n) Claim 23 – Ground 1 .......................................................... 8079
`-ii-
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`Petitioner Ciena Corp. et al.
`Exhibit 1050-3
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`

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`Table of Contents
`(continued)
`
`Page
`
`(o) Claim 27 – Ground 1 .............................................................. 80
`(p) Claim 2829 – Ground 2 .......................................................... 80
`(q) Claim 2944- Ground 1 ........................................................ 8180
`(r) Claim 44 .................................................................................. 81
`Preamble .......................................................... 8281
`(ii)
`(iii) Claim element 44[a]—fiber collimator ports:
`input, outputs, pass-through, and drops .......... 8382
`(iv) Element 44[d]—control power of spectral
`channels into output ports including a pass-
`through port ..................................................... 8483
`(sr) Claim 45 – Ground 1 .......................................................... 8584
`(ts) Claim 46 – Ground 1 .......................................................... 8685
`(u) Claim 51 .................................................................................. 86
`(vt) Claim 53 – Ground 2 .......................................................... 8685
`(wu) Claim 61 – Ground 1 .......................................................... 8685
`(ii) Claim element 61[a]—receive signal from
`input ................................................................. 8786
`(iii) Element 61[b]—separating the multi-
`wavelength signal into spectral channels ........ 8786
`(iv) Element 61[c]—focus spectral channels onto
`array of beam-deflecting elements .................. 8887
`Element 61[d]—dynamically and
`continuously controlling direction and
`power of spectral channels .............................. 8887
`(xv) Claim 62 – Ground 1 .......................................................... 9089
`(yw) Claim 63 – Ground 1 .......................................................... 9089
`(zx) Claim 64 – Ground 1 .......................................................... 9189
`(aay) Claim 65 – Ground 1 .......................................................... 9190
`(bb) Claim 67 .................................................................................. 92
`-iii-
`
`
`(v)
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`Petitioner Ciena Corp. et al.
`Exhibit 1050-4
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`

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`Table of Contents
`(continued)
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`Page
`
`
`VII. DEMONSTRATION OF WRITTEN DESCRIPTION SUPPORT
`FOR THE SMITH PATENT’S SEPTEMBER 22, 2000, PRIORITY
`DATE ........................................................................................................ 9291
`VIII. CONCLUSION ..................................................................................... 105104
`
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`-iv-
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`Petitioner Ciena Corp. et al.
`Exhibit 1050-5
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`

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`
`
`
`I.
`
`I, Dan Marom, declare as follows:
`
`INTRODUCTION AND QUALIFICATIONS
`I have been engaged by Cisco SystemsCiena Corporation, Coriant
`
`1.
`
`Operations, Inc., Coriant (USA) Inc., and Fujitsu Network Communications,
`
`Inc. (“Ciscocollectively, “Petitioner”) to opine on certain matters regarding U.S.
`
`Patent No. RE42,678, hereinafter referred to as the ‘678 patent. Specifically, this
`
`declaration addresses the obviousness of the ‘678 patent in light of the prior art.
`
`A. Education
`I am an Associate Professor in the Applied Physics Department at
`2.
`
`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.
`
`B. 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 real-time optical signal processing using parametric nonlinearities
`
`applied to spectrally dispersed light, for possible modulation and detection
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-6
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`

`

`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.
`
`C. Career Milestones
`I am a Senior Member of the IEEE Photonics Society, and a
`4.
`
`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 America in 2015, with the citation reading
`
`“For innovations in optical information processing of spectrally dispersed
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-7
`
`

`

`
`
`
`light, leading to the invention of the wavelength-selective switch, now a
`
`fundamental building block of optical networks.”
`
`D. Detailed Research Activity
`The following paragraphs describe in more detail some of the
`5.
`
`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,”
`IEEE J. of Select. Topics in Quant. Electron., Vol. 7, No. 4, pp. 683-693,
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-8
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`

`

`
`
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`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
`As a Member of the Technical Staff at Bell Labs’ Photonics Lab
`6.
`
`(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 C. A. Bolle, “Wavelength-Selective 1×K Switches using Free-Space
`Optics and MEMS Micromirrors: Theory, Design, and Implementation,”
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-9
`
`

`

`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
`E. Group leader at the Hebrew University
`In the academic environment of the Hebrew University (2005-
`7.
`
`present, with appointment as Senior Lecturer; currently Associate Professor en
`
`route to Full Professor), I founded the Photonics Devices Group where my
`
`
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`Petitioner Ciena Corp. et al.
`Exhibit 1050-10
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`

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`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
`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 WavguideWaveguide Grating Filter with LCoS Phase
`Compensation,” Optical Fiber Conference (OFC 2014), San Francisco, CA,
`Mar. 2014.
`Time-to-space conversion: After devoting about ten years in this
`9.
`
`research track, during which time I focused mostly on WSS activities, I returned
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-11
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`

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`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.
`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-
`
`
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`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-12
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`

`

`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
`
`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
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-13
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`

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`light,” IEEE J.
`
`and amplitude modulation of spectrally dispersed
`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.
`Publications:
`F.
`The following is a present summary of my publication record:
`
`• 4248 journal papers in leading OSA and IEEE journals (Optics Express,
`Optics Letters, Journal of Lightwave Technology, and Photonics
`Technology Letters, etc.)
`• Top 5 citation metrics papers (Google Scholar): 116134, 96102, 6668, 44
`and 4243.
`• H-index: 1920 (Google Scholar), i-10 index: 3138.
`• Total number of citations: 1119 via Google scholar (492 in the last 5 years).
`• 3 book chapters
`• 115 conference papers (30 invited).
`• 29 issued US patents
`12. Additional details of my background are set forth in my current
`
`curriculum vitae, attached as [Ex. 1029].
`
`G. 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
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-14
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`

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`have considered, including U.S. Patent No. RE42,678 (the ‘678 patent) [Ex.
`
`1001], which states on its face that it issued fromclaims priority to an
`
`application filed on Mar. 19, 2001. I have also reviewed the file wrapper for the
`
`‘678 patent.
`
`14. Furthermore, I have reviewed various relevant publications from the
`
`art at the time of the alleged invention of the ‘678 patent, to which this
`
`Declaration relates. These publications include those listed below:
`
`Exhibit 1001:U.S. Reissued Patent No. RE42,678 to Chen et al.
`(“‘678 patent”)
`
`Exhibit 1002: File History of U.S. Patent No. RE42,678 to Chen et al.
`(“‘678 File History”)
`
`Exhibit 1003: U.S. Patent No. 6,498,872 to Bouevitch et al.
`(“Bouevitch”)
`
`Exhibit 1004: U.S. Patent No. 6,798,941 to Smith et al. (“Smith
`Patent,” or “Smith”)
`
`Exhibit 1005: Provisional Patent App. No. 60/234,683 (“Smith
`Provisional”)
`
`Exhibit 1006: U.S. Patent No. 6,798,992 to Bishop et al. (“Bishop”)
`
`Exhibit 1007: U.S. Patent No. 6,507,421 to Bishop et al. (“Bishop
`‘421”)
`
`Exhibit 1008: Provisional Patent App. No. 60/277,217 (“‘678
`Provisional”)
`
`Exhibit 1009: U.S. Patent No. 6,253,001 to Hoen (“Hoen”)
`
`Exhibit 1010: U.S. Patent No. 5,661,591 to Lin et al. (“Lin”)
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-15
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`

`

`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, Tilting Micromirrors”)
`
`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 1026: U.S. Patent No. 5,875,272 to Kewitsch et al.
`(“Kewitsch”)
`
`Exhibit 1027: U.S. Patent No. 6,285,500 to Ranalli et 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,
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-16
`
`

`

`Bell Labs Technical Journal, (Jan.-Mar. 1999) (“Giles and
`Spector”)
`
`Exhibit 1036: U.S. Patent No. 5,872,880 to Maynard (the “Maynard
`patent”)
`
`Exhibit 1037: R.E. Wagner and W.J. Tomlinson, Coupling Efficiency
`of Optics in Single-Mode Fiber Components, Applied Optics,
`Vol. 21, No. 15, pp. 2671-2688 (August 1982)
`
`Exhibit 1038: Excerpts from Born et al., PRINCIPLES OF OPTICS, (6th
`Ed., Pergammon Press 1984)
`
`Exhibit 1039: Excerpts from Shigeru Kawai, HANDBOOK OF OPTICAL
`INTERCONNECTS (2005)
`
`Exhibit 1040: U.S. Patent No. 6,625,350 to Kikuchi (the “Kikuchi
`patent”)
`
`Exhibit 1041: Joseph E. Ford & James A. Walker, Dynamic Spectral
`Power Equalization Using Micro-Opto-Mechanics, IEEE
`Photonics Technology Newsletter, Vol. 10, No. 10, (Oct. 1998)
`(“Ford & Walker, Spectral Power Equalization”)
`
`Exhibit 1042: U.S. Patent No. 5,048,912 to Kunikane et al.
`(“Kunikane patent”)
`
`Exhibit 1043: U.S. Patent No. 5,315,431 to Masuda et al. (“Masuda
`patent”)
`
`Exhibit 1044: S. Yuan, and N. A. Riza, General formula for coupling
`loss characterization of single mode fiber collimators by use of
`gradient index rod lenses, Appl. Opt. Vol. 38, No. 10, at 3214-
`3222, (1999)
`
`Exhibit 1045: Ming C. Wu, Micromachining for Optical and
`Optoelectronic Systems, Proc. IEEE, Vol. 85, No. 11, at 1833-
`56 (Nov. 1997) (“Wu, Micromachining”)
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-17
`
`

`

`
`
`
`Exhibit 1046: Sir Isaac Newton, Opticks or a treatise of the
`reflections, refractions, and inflections and colors of light
`(1730)
`
`Exhibit 1047: Chikama et al., Photonic Networking Using Optical
`Add Drop Multiplexers and Optical Cross-Connects, Fujitsu
`Sco. Tech. J., 35, 1, pp. 46-55 (July 1999)
`
`Exhibit 1048: Richard S. Muller & Kam Y. Lau, Surface-
`Micromachined Microoptical Elements and Systems,
`Proceedings of the IEEE, Col. 86, No. 8 (August 1998)
`
`
`
`II. LEGAL PRINCIPLES USED IN THE ANALYSIS
`I am not a patent attorney, nor have I independently researched the
`15.
`
`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
`
`report.
`
`A.
`16.
`
`Person Having Ordinary Skill in the Art
`
`I understand that my assessment of claims of the ‘678 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 ‘678 patent on its relevant
`
`filing date and in light of the specification and file history of the ‘678 patent. I
`
`will refer to such a person as a "PHOSITA."
`
`17. For the relevant priority date for the ‘678 patent, I have used in my
`
`declaration the earliest application date on the face of the patent: Mar. 19, 2001.
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-18
`
`

`

`However, I have not yet analyzed whether the ‘678 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 implement the subject matter of the ‘678 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 ‘678 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.
`
`
`
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-19
`
`

`

`
`
`
`21. My analysis and opinions regarding the ‘678 patent have been based
`
`on the perspective of a person of ordinary skill in the art as of March 2001.
`
`B.
`22.
`
`Prior Art
`
`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.
`
`C.
`23.
`
`Identification of Combinations of Prior Art
`I understand that the Petitioner is requesting inter partes review of
`
`claims 1-64, 9-, 10, 13, 17, 19-23, 27, 29, 44-46, 53, and 1561-2265 of the ‘678
`
`patent under the grounds set forth in Table 1, below. I will sometimes refer to
`
`these combinations as Ground Nos. 1, and 2, 3 or 4 in the remainder of my
`
`declaration below.
`
`Patent
`
`Ground ‘678
`Claims
`1
`1-4, 9, 10, 13, 17,
`19-23, 27, 29, 44-
`46, 53, and 61-65
`
`
`
`
`Table 1
`
`Basis for Challenge
`Obvious under § 103(a) by Bouevitch in view of
`Smith.
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-20
`
`

`

`Patent
`
`
`
`Ground ‘678
`Claims
`1-4, 9, 10, 13, 17,
`21
`19-23, 27, 29, 44-
`46, 53, and 61-65
`17, 29, and 53
`
`3
`
`42
`
`17, 29, and 53
`
`Basis for Challenge
`Obvious under § 103(a) by Bouevitch in view of
`Smith further in view of Lin.
`
`Obvious under § 103(a) by Bouevitch in view of
`Smith in further view of Dueck.
`Obvious under § 103(a) by Bouevitch in view of
`Smith and Lin in further view of Dueck.
`
`
`D. Broadest Reasonable Interpretations
`I understand that, in Inter Partes Review, the claim terms are to be
`24.
`
`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 ʼ678 Patent with its priority filing date (March 19, 2001) in
`
`mind, and in light of its specification and file history.
`
`25.
`
`I understand that the Petitioner has made determinations about the
`
`broadest reasonable interpretations of several of the claim terms in the ‘678
`
`patent. I have identified these BRIs in Table 2, below.
`
`Table 2
`
`Term
`
`Broadest Reasonable Interpretation (BRI)
`
`
`
`
`Petitioner Ciena Corp. et al.
`Exhibit 1050-21
`
`

`

`
`
`
`Term
`“To control the power…,” “to
`reflect [its] [corresponding] …
`spectral channel,” “wherein
`each output port carries a
`single one of said spectral
`channels,” “whereby said
`pass-through port receives a
`subset of said spectral
`channels,” and “for
`maintaining a predetermined
`coupling…”
`“Continuously
`controllable/[controlling]”
`[Controlling] “in two
`dimensions”
`“Spectral monitor"
`“Be