UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`JDS Uniphase Corporation
`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 SHELDON MCLAUGHLIN
`
`Inter Partes Review No. Unassigned
`
`
`
`
`Exhibit 1028, Page I
`
`

`
`Table of Contents
`
`Page
`
`INTRODUCTION AND QUALIFICATIONS ............................................ .. 5
`
`A.
`
`Education and other background information .................................... .. 5
`
`B. Materials Considered .......................................................................... .. 6
`
`LEGAL PRINCIPLES USED IN THE ANALYSIS .................................... .. 9
`
`A.
`
`B.
`
`C.
`
`D.
`
`Person Having Ordinary Skill in the Art .......................................... .. 10
`
`Prior Art ............................................................................................ .. 1 1
`
`Identification of Combinations of Prior Art ..................................... .. 12
`
`Broadest Reasonable Interpretations ................................................ .. 12
`
`THE ‘678 PATENT .................................................................................... .. 14
`
`STATE OF THE ART OF THE RELEVANT TECHNOLOGY AT
`
`THE TIME OF THE ALLEGED INVENTION ......................................... .. 15
`
`A.
`
`Reconfigurable Optical Add—Drop Multiplexers .............................. .. 15
`
`B. Wavelength Selective Switches ........................................................ .. 16
`
`C. Microelectromechanical Systems ..................................................... .. 20
`
`MOTIVATION TO COMBINE ................................................................. .. 22
`
`III.
`
`IV.
`
`A. Motivation to Combine Bouevitch and Sparks ................................ .. 23
`
`VI.
`
`BOUEVITCH AND SPARKS RENDER OBVIOUS ALL
`
`PETITIONED CLAIMS ............................................................................. .. 28
`
`(a)
`
`Claim 1 —— Grounds 1 and 2 ..................................................... .. 28
`
`(i)
`
`(ii)
`
`Claim 1- preamble ........................................................ .. 28
`
`Claim element l[a] — multiple fiber collimators
`providing input and output ports .................................. .. 29
`
`(iii) Element 1[b] M wavelength separator .......................... .. 32
`
`(iv) Element 1[c] — beam-focuser ........................................ .. 32
`
`(v)
`
`Element l[d] — 2—axis channel micromirrors ............... .. 34
`
`(vi) Ground 2 - Claim 1 would also have been obvious
`over Sparks and Bouevitch further in View of Lin....... .. 37
`
`(vii)
`
`“Pivotal about two axes” .............................................. .. 41
`
`(viii) Power Control using 2—Axis Mirrors: .......................... .. 43
`
`Exhibit 1028, Page 2
`
`

`
`(b)
`
`(d)
`
`(6)
`
`(if)
`
`(g)
`
`(h)
`
`(i)
`
`(i)
`
`(K)
`
`(1')
`
`(U
`
`(U)
`
`(V)
`
`Claim 2 ................................................................................... .. 46
`
`Claim 3 ................................................................................... .. 51
`
`Claim 4 ................................................................................... .. 57
`
`Claim 9 ................................................................................... .. 58
`
`Claim 10 ................................................................................. .. 59
`
`Claim 13 ................................................................................. .. 5 9
`
`Claim 17 — Grounds 1, 2, 3, and 4 .......................................... .. 60
`
`Claim 19 ................................................................................. .. 62
`
`Claim 20 ................................................................................. .. 63
`
`Claim 21 ................................................................................. .. 66
`
`(i)
`
`(ii)
`
`Preamble ....................................................................... .. 66
`
`Claim element 21 [a] -2 1(c) ........................................... .. 66
`
`(iii) Element 21[d]——array of controllable micromirrors .... .. 67
`
`(iv) Element 21[e]eserVo~control ...................................... .. 67
`
`Claim 22 ................................................................................. .. 68
`
`Claim 23 ................................................................................. .. 68
`
`Claim 27 ................................................................................. .. 68
`
`Claim 28 ................................................................................. .. 69
`
`Claim 29 ................................................................................. .. 69
`
`Claim 44 ................................................................................. .. 69
`
`(i)
`
`(ii)
`
`Preamble ....................................................................... .. 70
`
`Claim element 44[a]—f1ber collimator ports: input,
`outputs, pass-through, and drops ................................. .. 71
`
`(iii) Element 44[d]—c0nt1‘0l power of spectral channels
`into output ports including a pass-through port ........... .. 72
`
`Claim 45 ................................................................................. .. 73
`
`Claim 46 ................................................................................. .. 73
`
`Claim 51 ................................................................................. .. 74
`
`Claim 53 ................................................................................. .. 74
`
`Claim 61 ................................................................................. .. 74
`
`(i)
`
`Claim element 61[a]—receive signal from input ........ .. 75
`
`

`
`(ii)
`
`(Element 61 [b]—separating the multi-wavelength
`signal into spectral channels ........................................ .. 75
`
`(iii) Element 61[c]—f0cus spectral channels onto array
`of beam-deflecting elements ........................................ .. 76
`
`(iv) Element 61 [d]—dynamically and continuously
`Controlling direction and power of spectral
`channels ........................................................................ .. 76
`
`(W) Claim 62 ................................................................................. .. 77
`
`(X)
`
`(y)
`
`(2)
`
`Claim 63 ................................................................................. .. 78
`
`Claim 64 ................................................................................. .. 78
`
`Claim 65 ................................................................................. .. 79
`
`(aa) Claim 67 ................................................................................. .. 79
`
`VII. CONCLUSION ........................................................................................... .. 80
`
`T E
`
`xhibit 1023, Page 4
`
`

`
`I, Sheldon McLaughlin, declare as follows:
`
`I.
`
`INTRODUCTION AND QUALIFICATIONS
`
`l.
`
`I have been asked by JDS Uniphase Corporation (“JDSU”) 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 prior art.
`
`A.
`
`Education and other background information
`
`2.
`
`I hold the positon of Senior Principal Optical Development
`
`Engineer in the Exploratory Research Group at JDS Uniphase. I received my
`
`B.Sc. degree in Engineering Physics from Queen’s University in Kingston,
`
`Ontario in 1996, my M.A.Sc. degree in Engineering Science from Simon Fraser
`
`University in Burnaby, BC in 1999, and my Postgraduate Certificate in Optical
`
`Sciences from the University of Arizona in Tucson, Arizona in 2010.
`
`I began my
`
`career in optical communications in 1990 as a student at Bell—Northern Research
`
`in Ottawa, Ontario. I joined JDS Uniphase in Ottawa in 1999. From 1999 to
`
`2002,
`
`I worked on optical design and product development of fiber optic
`
`components including an interleaver, a tunable dispersion compensator, and an
`
`integrated planar
`
`lightwave
`
`circuit of a reconfigurable optical
`
`add-drop
`
`multiplexers. From 2002 to the present,
`
`I have been primarily responsible for
`
`optical design and development of wavelength selective switches at JDS
`
`Uniphase.
`
`I designed the optics for the industry’s first commercially available
`
`fl
`Exhibit 1028, Page 5
`
`

`
`1\/EMS WSS, JDSU’s “MWS50”, and I have taken a lead role in the optical
`
`design and development of each successive generation of JDSU’s WSS products
`
`since then. I hold 8 US patents reiating to fiber optic devices, and I have authored
`
`or co—authored approximately 12 journal or conference papers, including 2 invited
`
`papers on WSS technology. From 2009 to 2011 I served on the technical program
`
`subcommittee for the OFC-NFOEC conference.
`
`B. Materials Considered
`
`3.
`
`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 Ex. 1001 (US. Patent No. RE42,678, herein “the ‘678
`
`Patent”), which states on its face that it issued from an application filed on August
`
`23, 2001.
`
`4.
`
`Furthermore,
`
`I have reviewed relevant portions of various
`
`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 Wilde et al.
`(“‘678 patent”)
`
`Exhibit 1003: U.S. Patent No. 6,498,872 to Bouevitch et
`(“Bouevitch”)
`
`al.
`
`Exhibit 1004: U.S. Patent No. 6,625,340 to Sparks et al. (“Sparks Patent,” or
`“Sparl<s”)
`
`Exhibit 1005: Excerpts from Born et al., PRINCIPLES OF OPTICS,
`(6th Ed, Pergammon Press 1984)
`
`
`Exhibit 1028, Page 6
`
`

`
`
`
`Exhibit 1006: US. Patent No. 6,798,992 to Bishop et al. (“Bishop”)
`
`Exhibit 1007: U.S. Patent No. 6,507,421 to Bishop et al. (“Bishop
`6421”)
`
`Exhibit 1009: US. Patent No. 6,253,001 to Hoen (“Hoen”)
`
`Exhibit 1010: US. Patent No. 5,661,591 to Lin et al. (“Lin”)
`
`Exhibit 1011: Doerr et al., An Automatic 40-Wavelength Channelized
`Equalizer, IEEE Photonics Technology Letters, Vol., 12, No. 9,
`(Sept. 2000)
`
`Exhibit 1015: Ford et al., Wavelength /1dcl—Dr0p 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. (“Al<syul<”)
`
`1018: U.S. Patent Application Publication No. US
`Exhibit
`2002/0105 692 to Lauder et al. (“Lauder”)
`
`Exhibit 1019: Giles et al., Reconfigurable 16—Channel WDM DROP
`Module Using Silicon MEMS Optical Switches,
`IEEE
`Photonics Technology Letters, Vol. 11, No. 1,
`(Jan. 1999)
`(“Giles 16-Channel WDM DROP Module”)
`
`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.
`93n96 (“Dewa”)
`
`Exhibit 1021: U.S. Patent No. 6,011,884 to Dueck et al. (“Dueck”)
`
`Exhibit 1022: U.S. Patent No. 6,243,507 to Goldstein et
`(“Goldstein ‘507”)
`
`al.
`
`Exhibit 1023: U.S. Patent No. 6,567,574 to Ma, et al. (“Ma”)
`
`T E
`
`xhibit 1023, Page 7
`
`

`
`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 1029: Declaration of Dan Marom as filed in Inter Partes
`
`Review No. 2014-01276 (“Marorn Declaration”)
`
`al., Optical Components for WDM
`et
`Exhibit 1032: Borella,
`Lightwave Networks, Proceedings of the IEEE, Vol. 85, NO. 8,
`August 1997 (“Borella”)
`
`Exhibit 1033: U.S. Patent No. 6,928,244 to Goldstein et
`
`al.
`
`(“Goldstein ‘244”)
`
`Exhibit 1035: C. Randy Giles and Magaly Spector, The Wavelength
`Add/Drop Multiplexer for Lighiwave Communication Networks,
`Bell Labs Technical Journal,
`(Jan.~Mar. 1999)
`(“Giles and
`Specter”)
`
`Exhibit 1036: U.S. Patent No. 5,872,880 to Maynard (the “Maynard
`patent”)
`
`Exhibit 1039: Excerpts from Shigeru Kawai, HANDBOOK OF
`OPTICAL INTERCONNECTS (2005)
`
`Exhibit 1040: U.S. Patent No. 6,625,350 to Kikuchi (“Kikuchi”)
`
`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
`paten ”)
`
`Exhibit 1044: S. Yuan, and N. A. Riza, General formula for coupling
`loss characterization ofsingle mode fiber collimaiors by use of
`
`T E
`
`xhibit 1023, Page 3
`
`

`
`index rod lenses, Appl. Opt. Vol. 38, No. 10, at
`gradient
`3214n3222, (1999)
`
`Exhibit 1045: Ming C. Wu, Micromochining for Optical and
`Optoelectronic Systems, Proc.
`IEEE, Vol. 85, No. 11, at
`l833n56 (Nov. 1997) (“Wu, Micromachining”)
`
`Isaac Newton, Opticks or a treatise of the
`Exhibit 1046: Sir
`reflections,
`refiractions, and inflections and colors of light
`(1730)
`
`1048: Richard S. Muller & Kam Y. Lau, Surface-
`Exhibit
`lllicromochined Microopticol
`Elements
`and
`Systems,
`Proceedings of the IEEE, Col. 86, No. 8 (August l998)(“Muller
`and Lau”).
`
`5.
`
`I make special note of the Marom Declaration (Ex. 1029). This
`
`declaration was submitted and published in connection with Inter Partes Review
`
`No. 20l4—01276. Inter Partes Review No. 2014-01276 also addresses the same
`
`patent, RE42,678, at issue in the present Petition for inter partes review. I have
`
`read the Marom Declaration and it informs my present declaration. For example,
`
`substantial portions of the Marorn Declaration are repeated herein without
`
`particular attribution,
`
`including, but not limited to, those portions herein that
`
`discuss the state of the art at the earliest priority filing of the ‘678 Patent and those
`
`portions that discuss Bouevitch, Bishop, Hoen, Dueck, and Lin.
`
`II.
`
`LEGAL PRINCIPLES USED IN THE ANALYSIS
`
`6.
`
`I am not a patent attorney, nor have I independently researched
`
`the law on patent Validity. Attorneys for the Petitioner have explained certain legal
`
`
`Exhibit 1028, Page 9
`
`

`
`principles to me that I have relied upon in forming my opinions set forth in this
`
`report.
`
`A.
`
`Person Having Ordinary Skill in the Art
`
`7.
`
`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."
`
`8.
`
`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. However, I have not yet analyzed whether the ‘678 patent is entitled to that
`
`date for its priority.
`
`9.
`
`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; (0) the educational level of
`
`active workers in the field; and (d) the educational level of the inventor.
`
`10. With a career in optical communications spanning approximately
`
`25 years,
`
`I am well acquainted with the level of ordinary skill required to
`
`_ E
`
`xhibit 1028, Page 19
`
`

`
`32
`
`
`.EE
`
`implement the subject rnatter 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.
`
`11.
`
`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.
`
`12. 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.
`
`Prior Art
`
`13.
`
`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.
`
`T E
`
`xhibit 1023, Page 11
`
`

`
`C.
`
`Identification of Combinations of Prior Art
`
`14.
`
`I understand that the Petitioner is requesting inter partes review of
`
`claims 1-4, 9, 10, 13, 17, 19-23, 27, 29, 44—46, 53, and 61-65 of the ‘678 patent
`
`under the grounds set forth in Table 1, below. I will sometimes refer to these
`
`combinations as Ground Nos. 1, 2, 3 or 4 in the remainder of my declaration
`
`below.
`
`Table 1
`
` 1
`
`
`
`I
`1~4, 9, 10, 13, in
`I Obvious unde.r§ 1(13ta) by Bouevitehninview I
`
`17, 19-23, 27,
`
`of Sparks.
`
`29, 44- 46, 53,
`
`and 61-65
`
`2
`
`3
`
`4
`
`1-4, 9, 10, 13,
`
`Obvious under § 103(a) by Bouevitch in View
`
`17, 19-23, 27,
`
`of Sparks further in View of Lin.
`
`29, 44- 46, 53,
`
`and 61-65
`
`17, 29, and 53
`
`Obvious under § 103(a) by Boueviteh in View
`
`of Sparks in further View of Dueck.
`
`17, 29, and 53
`
`Obvious under § 103(a) by Bouevitch in View
`
`of Sparks and Lin in further View of Dueck.
`
`D.
`
`Broadest Reasonable Interpretations
`
`fl
`Exhibit 1028, Page 12
`
`

`
`15.
`
`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 ’678 Patent with its priority filing date (March 19, 2001)
`
`in mind, and in light of its specification and file history.
`
`16.
`
`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
`
`
`II
`
`1
`
`or
`
`‘I"5'Broatlést.'Reasoiiable'-=Ii1téi*""i~éta't'i6'i1"
`
`“continuously
`controllablel[controlling]
`
`533!
`
`(e.g., claims 1-19, 44-67)
`
`“pivotal about two
`axes” (e.g., claims 1
`
`“able to effect changes with fine precision”
`
`“actuatable in two axes"
`
`“spectral monitor" (e.g.,
`claims 3, 22, and 46)
`
`"a device for measuring power in a spectral
`channel"
`
`"feedback-based control assembly" and
`“servo—control assembly” and
`“servo-based” (e.g., claims 2-4, “feed‘oack~based control”
`2143, and 45-46)
`
`“beam—focuser" (e. g., claims 1~ "a device that directs a beam of light to a spot"
`67)
`
`
`Exhibit 1028, Page 13
`
`

`
`“dynamically and continuously "able to effect changes with fine precision durin
`controlling” (e. g., claim 61)
`operation"
`
`“in two dimensions” (claim
`61)
`
`“in two axes"
`
`“to change the power of one or more spectral
`channels”
`
`“control the power of said
`received spectral channels”
`(e.g., claims I and 44) and “to
`control the power of the
`spectral channels” (e.g., claim
`61)
`
`“optical sensor” (e. g., claim
`20)
`
`“a device that measures an optical characteristic’
`
`17. My analysis in this declaration assumes that the terms in Table 2,
`
`above, are defined using the associated BRIS. From my reading of the ‘678 patent,
`
`I believe that these BRIS are consistent with how one of skill in the art at the time
`
`the ‘678 patent was filed would interpret the claim terms.
`
`III. THE ‘678 PATENT
`
`18.
`
`As indicated on its face, the ‘678 ‘patent reissued from another
`
`U.S. reissue patent Re. 39,397. Re. 39,397 is a reissue of U.S. patent No.
`
`6,625,346. The ‘678 patent claims priority to U.S. provisional application No.
`
`60/277,217, filed on March 19, 2001. The ‘678 patent reissued on September 6,
`
`2011.
`
`_ E
`
`xhibit 1028, Page 14
`
`

`
`t l
`
`19.
`
`As its title indicates, the ‘678 patent relates to reconfigurable
`
`optical add~drop multiplexers (ROADMS).
`
`(Id., Title
`
`(“RECONFIGURABLE
`
`OPTICAL ADD-DROP Multiplexers WITH SERVO CONTROL AND
`
`DYNAMIC SPECTRAL POWER MANAGEMENT CAPABILlTlES”).) More
`
`specifically, the ‘678 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.
`
`IV.
`
`STATE OF THE ART OF THE RELEVANT TECHNOLOGY AT
`
`THE TIME OF THE ALLEGED INVENTION
`
`A.
`
`Reconfigurable Optical Add-Drop Multiplexers
`
`20.
`
`Early optical Wavelength-division multiplexed (WDM) networks
`
`had fixed wavelength channel optical add drop multiplexers (OADMS), in order
`
`for information to be accessible at the network node. A basic OADM sub-system
`
`has four fiber ports, with one ‘input’ fiber port for receiving a WDM signal, a
`
`‘drop’ fiber port where the WDM channel that is configured to be dropped will
`
`emerge, an ‘add’
`
`fiber port where the replacement WDM channel will be
`
`introduced, and an ‘output’ fiber port for the complete WDM signal (including the
`
`replaced channel) which will lead back to the optical network for transmission to
`
`the next node. For example, a WDM add/drop multiplexer from before the filing
`
`date of the ‘678 patent is shown symbolically below:
`
`T E
`
`xhibit 1028, Page 15
`
`

`
`
`
`(a) Channel connections from input ports (ln[1]
`and Add[3]) to output ports (Out[2] and Drop[4])
`
`(Giles and Spector, EX. 1035, The Wavelength Add/Drop Multiplexer for
`
`Lightwave Communication Networks, Bell Labs Technical Journal,
`
`(Jan.-Mar.
`
`1999) at 210). OADMS were sometimes implemented by using fixed filters to
`
`extract a single wavelength channel.
`
`21.
`
`For
`
`greater
`
`flexibility
`
`in
`
`optical
`
`network
`
`operation,
`
`a
`
`reconfigurable OADM (a ROADM) was useful to enable network traffic to grow
`
`Without
`
`requiring manual hardware changes. Different
`
`implementations of
`
`ROADMS were known at the filing date for the ‘678 Patent. (See, e. g., EX. 1017,
`
`U.S. Patent No. 6,204,946 to Aksyuk et al.
`
`(“Alcsyuk”)
`
`(1997)
`
`(entitled
`
`“Reconfigurable wavelength
`
`division multiplex
`
`add/drop
`
`device
`
`using
`
`rnicromirrors”); Ex. 1003, Bouevitch at Abstract (disclosing “a configurable
`
`optical add/drop multiplexer (COADM)”); EX. 1018, U.S. Patent Application
`
`Publication No. US 2002/0105692 to Lauder et al., p. 4, Fig. 11.)
`
`B. Wavelength Selective Switches
`
`T E
`
`xhibit 1028, Page 15
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`

`
`22.
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`One implementation of ROADMS uses waveiength-selective
`
`switches (WSS). WSS is the established category name today for switches that
`
`operate on a multi~wavelength optical signal but whose switching function can be
`
`tailored per wavelength channel. Circa year 2000 there were a few other names for
`
`devices that performed such switching functions such as Wavelength-Routing
`
`Switch (or WRS; see Ex. 1032, Borella, et ai., Optical Components for WDM
`
`Lighrwave Networks, Proceedings of the IEEE, Vol. 85, NO. 8, August 1997 at
`
`pp.1292), and Wavelength—Seiective Router (“Borella”) (or WSR; see Ex. 1026,
`
`U.S. Patent No. 5,875,272 to Kewitsch et al. (“Kewitsch”) at Abstract, 4:15-25).
`
`Such conventions as WSR and WRS are now referred to as WSS without loss of
`
`generality. WSS can be constructed using various methods and technologies, but
`
`in the matter of the ‘678 Patent,
`
`the WSS is implemented in free-space (as
`
`opposed to light guided implementations), using the light radiating out of the
`
`transmission optical fiber at the switch input port, and spatialiy separating this
`
`WDM light beam into individual beams using a dispersive optics arrangement
`
`(similar to an optical spectrometer). In this arrangement, each beam corresponds
`
`to an individual channel distinguished by its unique center wavelength. Each input
`
`channel/beam is then individually routed by a beam-steering system and then
`
`propagates through the same dispersive optics arrangement, in reverse, to a chosen
`
`_ E
`
`xhibit 1028, Page 17
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`

`
`output port of the WSS, where all the wavelength channels routed to the port are
`
`coupled back to the output optical fiber associated with that port.
`
`23.
`
`The WSS can serve as the basis for a ROADM. For example,
`
`consider a simple WSS with two optical fibers. The ROADM ‘input’ fiber port
`
`WDM signal is introduced to the first WSS optical fiber. Let all the WSS beam
`
`steering elements, except one (or more),
`
`tilt the WDM channel beams back
`
`towards the first WSS optical
`
`fiber, and the one (or more) beam steering
`
`elernent(s) tilts the WDM channel(s) to the second WSS optical fiber. The first set
`
`of WDM channels exiting the first WSS optical fiber is then attached to the
`
`ROADM ‘output’ fiber port. The one (or more) WDM channel(s) that was tilted to
`
`the second WSS optical fiber is attached to the ROADM ‘drop’ fiber port. A
`
`replacement WDM signal introduced at the ROADM ‘add’ fiber port is then
`
`attached to the second WSS optical fiber and is guided by the WSS configuration
`
`(Via the one or more beam steering element) to the first WSS optical fiber, where
`
`it will emerge on the ROADM ‘output’ fiber port. In this implementation the two
`
`WSS optical fibers carry optical signals bi—directionally to/from the WSS (serving
`
`as input/output), to be separated outside of the WSS with an optical circulator for
`
`each optical fiber. At ROADM nodes the same WDM channels are often added
`
`and dropped at the same time ~ that is, the added and the dropped channels use the
`
`same wavelength, but they contain different information. The dropped channel
`
`_ E
`
`xhibit 1028, Page 18
`
`

`
`
`
`
`
`information is destined for users at the network node, and the same or others users
`
`at the network node upload new information to the network onto the added
`
`channel
`
`24.
`
`It is advantageous to have the add channel information use the
`
`same wavelength as the drop channel (though it is not necessary) for two main
`
`reasons: it is known that the dropped wavelength slot is available to accept new
`
`information, so no network routing path calculation is invoked and no blocking or
`
`contention can occur, and the WSS configuration is already configured by the
`
`beam steering element to route the ‘add’ wavelength channel to the ‘output’ port,
`
`in the implementation described above.
`
`25.
`
`These routing techniques were known prior to the ‘678 priority
`
`date. (Bouevitch, Ex. 1003 at 5:15-38; Mizrahi, Ex. l0l6 at 1:55-2:45; Aksyuk,
`
`Ex. 1017 at 1:56-67.)
`
`26.
`
`In addition to routing channels, ROADMS may also be used to
`
`control the power of the individual channels at the output fiber port. Power control
`
`is used to reduce the power imbalance between wavelength channels, often
`
`originating from uneven gain in optical amplifiers. Devices performing such
`
`dynamic spectral power control were known before the ‘678 Patent (EX. 1015,
`
`Ford et al., Wavelength Add—Dr0p Switching Using Tilting MfCI”OmfFFOVS, Journal
`
`of Lightwave Technology, Vol. 17, No. 5 (May 1999) at p. 905). Power control
`
`T E
`
`xhibit 1028, Page 19
`
`

`
`can be incorporated in the ROADM function by utilizing WSS that can control not
`
`only the switching state but also the level of power attenuation to the switched
`
`port. In lVlEMS~based WSS this switching is typically done by steering individual
`
`beams slightly away from the output port such that the misalignment reduces the
`
`amount of the channel’s power that enters the port. This power control technique
`
`using WSSS in ROADMS was known prior to the ‘678 Patent’s priority date. (See
`
`e. g., Sparks, Ex. 1004 at 4:48-65.) ROADMS use wavelength selective routers
`
`(WSRS) to perform switching (See, e. g., Kewitsch, Ex. 1026 at 10:64—11:29.)
`
`WSRS are also referred to as wavelength selective switches (WSSS). (See, e.g.,
`
`Ranalli, Ex. 1027, U.S. Patent No. 6,285,500 to Ranalli at al. (“Ranalli”) at Fig.
`
`
`
`isicfi\\\3::c=2,»
`
`1.) As of the ‘678 Patent’s priority date, WSRS/WSSS were known. (See,e.g.,
`
`Kewitsch, Ex. 1026 at Abstract, 4:15-25; Ranalii, Ex. 1027 at Fig. 1; Borella, EX.
`
`1032 at 1292.)
`
`C. Mieroelectromechanical Systems
`
`27.
`
`The embodiment of WSSS relevant to this petition steers light
`
`beams using small tilting mirrors, the tilt of the mirrors actuated by IVIEMS, which
`
`stand for Micro Electrolvlechanical Systems. WSSS can tilt the individual mirrors
`
`using several different operating methods, including analog voltage control. (See,
`
`e.g., Ex. 1010, U.S. Patent No. 5,661,591 to Lin at al. (“Lin”) at Fig. 3B, 2:3—9.)
`
`MEMS is a broad area of technology and can have many operating modes.
`
`T E
`
`xhibit 1023, Page 20
`
`

`
`
`
`
`Voltage controlled mirror actuation by electrostatic forces are the easiest to design
`
`and realize;
`
`there are also magnetic,
`
`thermal, and piezo methods as well.
`
`Electrostatic MEMS can be operated using analog Voltage for continuous control,
`
`binary Voltage for two—state control, and there is also a variant using rapid
`
`switching of a binary Voltage to mimic analog Voltage since the mirror is a slowly
`
`moving device and acts as a low pass filter (a technique called pulse width
`
`modulation).
`
`28.
`
`Prior—art MEMS mirrors could be tilted in one or two axes.
`
`(Sparks, EX. 1004 at 4:18-26 and 42-47, Fig. 1; U.S. Patent No. 6,567,574 to Ma,
`
`et al.
`
`(“Ma”), Ex. 1023 at Fig. 5; Andrew S. Dewa, and John W. Orcutt,
`
`Development of a silicon 2—axis
`
`rm'cro—mirr0r for optical cr0sS- connect,
`
`Technical Digest of the Solid State Sensor and Actuator Workshop, Hilton Head
`
`Island, SC (June 4-8, 2000) (“Dewa”) EX. 1020 at p. 93.) Such 2~axis actuating
`
`mirrors were known for many years prior to the filing of the ‘678 Patent. For
`
`example, U.S. Patent No. 5,872,880 to Maynard (“Maynard”) EX. 1036, filed on
`
`August 12, 1996, is entitled a “Hybrid-optical rnulti—aXis beam steering apparatus”
`
`and notes that “An aspect of the invention provides a rnicromachined mirror
`
`which is capable of steering a beam of light with multiple degrees of freedom.”
`
`(Id. at 3:941.) Maynard also notes that “the rriicromirror is precisely steered by
`
`_ E
`
`xhibit I028, Page 21
`
`

`
`H ii5325
`
`'
`
`; r,
`
`
`
`the application of a controlled eiectrostatic effect, in either a current or a voltage
`
`rnode.” (Id. at 3:15-18.)
`
`V. MOTIVATION TO COMBINE
`
`29.
`
`I am informed that in order to properly combine the Bouevitch,
`
`Sparks and other references for purposes of obviousness, it is important to provide
`
`an explanation as to why the PHOSITA would have been motivated to combine
`
`those references.
`
`It would have been obvious to PHOSITA to combine the
`
`disclosures of Bouevitch and Sparks, and other references, as explained in more
`
`detail below.
`
`In particular, it would have been obvious to replace the (arguably)
`
`1-axis actuating mirrors in the Bouevitch optical switch with the 2~axis actuating
`
`mirrors disclosed in Sparks, especially since Bouevitch notes that the l-axis
`
`orientation can be in an arbitrary orientation with respect to dispersion axis, i.e.
`
`either horizontal or vertical (Ex. 1003 at 15230334). Moreover, it would have been
`
`obvious to the PHOSITA to implement the power control function, disclosed in
`
`Sparks, in the ROADM of Bouevitch, at least because of the advantages provided
`
`by such power control in minimizing signal noise in multiplexed optical signals as
`
`disclosed by Sparks. (Sparks, Ex. 1004 at 1:11-25.) These and other reasons are
`
`further discussed below. As I discuss later in this declaration, it would also have
`
`been obvious to combine the Lin and Dueck references with Bouevitch and/or
`
`
`
`«k:k'.\\'A->o\»\\\'z/464a:12
`
`
`
`_ E
`
`xhibit 1028, Page 22
`
`Sparks.
`
`

`
`A. Motivation to Combine Bouevitch and Sparks
`
`30.
`
`First, the PHOSITA would know that techniques used in one
`
`reference would be directly applicable to the other. For example, both Bouevitch
`
`and Sparks are directed to similar devices, specifically optical signal switches for
`
`use in telecommunications systems (Bouevitch, EX. 1003 at 1:10-15 and 31-34;
`
`Sparks, Ex. 1004 at 423-14, 33-38, and 59-60). It is noted that Lin and Dueck are
`
`similarly directed to opticai signal switches (Lin