`571-272-7822
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`Paper No. 28
`Entered: October 25, 2021
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
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`APPLE, INC.,
`Petitioner,
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`v.
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`COREPHOTONICS LTD.,
`Patent Owner.
`____________
`
`IPR2020-00878
`Patent 10,330,897 B2
`____________
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`Record of Oral Hearing
`Held Virtually: September 8, 2021
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`Before BRYAN F. MOORE, MONICA S. ULLAGADDI, and
`JOHN R. KENNY, Administrative Patent Judges.
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`IPR2020-00878
`Patent 10,330,897 B2
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`APPEARANCES:
`
`ON BEHALF OF THE PETITIONER:
`
`
`MICHAEL PARSONS, ESQ.
`Fish & Richardson P.C.
`6000 Headquarters Drive
`Suite 200
`Plano, TX 75024
`(972) 739-6900
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`
`
`ON BEHALF OF THE PATENT OWNER:
`
`
`NEIL RUBIN, ESQ.
`Russ August & Kabat
`12424 Wilshire Boulevard
`12th Floor
`Los Angeles, California 90025
`(310) 826-7474
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`
`
`The above-entitled matter came on for hearing on Wednesday,
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`September 8, 2021, commencing at 3:10 p.m. EST, by video/by telephone.
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`IPR2020-00878
`Patent 10,330,897 B2
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`P R O C E E D I N G S
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` JUDGE MOORE: So this is the hearing in IPR2020-
`00878 I believe. I have with me today -- I'm Judge Moore.
`With me today are Judge Ullagaddi and Judge Kenny. I guess
`I'll get appearances first and then I'll give you a few ground
`rules for today starting with petitioner.
` MR. PARSONS: Your Honor, I'm Michael Parsons, lead
`counsel for petitioner. With me today is Mr. Jordan Maucotel
`who is backup counsel, as well as Mr. Aaron Wang who is
`in-house counsel for Apple.
` JUDGE MOORE: And patent owner?
` MR. RUBIN: Good afternoon. Good afternoon, Your
`Honor. This is Neil Rubin, counsel for the patent owner,
`Corephotonics, and with me are my co-counsel, Marc Fenster,
`James Tsuei, and Jonathan Link.
` JUDGE MOORE: Thank you. I'm having some issues
`here but -- if it's all right with the parties I'll do this
`initial without the video for a moment here. So the parties
`have been given one hour each for their presentations. They
`can -- we'll start with petitioner who's got the burden and
`both parties can request a rebuttal time, no more than half of
`your time to be reserved to rebuttal.
` The parties are reminded that in this video format
`that we have, if you refer to slides or you refer to anything
`in the evidence you should tell us what it is by page number
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`or by what part of the evidence and be aware that it may take
`a few moments for the judges to get a hold of whatever that
`evidence is.
` Parties should hold any objection that they may
`have to what's going on to their own presentation so there's
`no interruption of the other side's presentations. And the
`parties should identify themselves when they speak and when
`they are not speaking try to stay on mute. It helps per the
`overall audio production today.
` The other thing I wanted to mention is that -- I've
`lost the one thing I wanted to say but we'll start with
`petitioner and maybe petitioner can let me know how much time
`they would like to reserve.
` MR. PARSONS: I would like to reserve 20 minutes,
`Your Honor, for rebuttal.
` JUDGE MOORE: Okay. All right. I will keep the
`time and unless there's something from the other two judges
`you can begin whenever you're ready.
` MR. PARSONS: Thank you, Your Honor. Now turning
`to slide 2, what we're discussing in this hearing is the 897
`patent and the 897 patent recites a miniature telephoto lens
`design, just like the other two cases that we have already
`discussed today, and that miniature telephoto lens design has
`five lens elements. But the important aspect here is that it
`is telephoto, not a wide-angle lens.
` As you can see in slide 2, we have presented four
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`grounds in the petition. The first ground which showed how
`the claims were rendered were anticipated by Ogino Example 5
`has not been challenged by patent owner. There's no dispute
`that Ogino Example 5 renders these challenged claims obvious
`in ground 1. All we're discussing today are grounds 2 through
`4. And specifically in ground 2, whether a POSITA would have
`found it obvious to modify the F number of Ogino Example 5 to
`reduce it to 2.8. And then ground 3, whether a person of
`ordinary skill in the art would have found it obvious to
`further reduce the F number from 2.8 to 2.45 based on the
`teachings of Bareau and Kingslake. And then the final ground,
`this addresses the combination of Chen, Iwasaki, and Beich,
`and this ground is based on a combination of Chen replacing
`the cover glass to make it thinner based on the teachings of
`Iwasaki.
` Now in slide 3, we just want to go through this one
`more time to apprise the board of what the relevant case law
`is here. In slide 3 the Federal Circuit said that the
`question for obviousness rests on whether a POSITA would have
`been motivated to combine the teachings of the prior
`references to achieve the claimed invention and that the
`skilled artisan would have had a reasonable expectation of
`success in doing so. And that's what we presented in our
`petition was a showing that a POSITA would have been motivated
`to combine the teachings of the prior art in each ground and
`that a skilled artisan would have had a reasonable expectation
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`of success in achieving those -- in achieving that
`modification to those lens designs.
` Moving to slide 4. The motivation to combine is
`the question of whether there was an apparent reason to
`combine the known elements in the fashion claimed by the
`patent at issue. So what we're looking at here is were there
`specific motivations in the art to modify the prior art and it
`doesn't indicate what type of prior art or why this prior art
`was looked at in the first place. The question is whether or
`not there was -- whether or not there was an apparent reason
`to combine the known elements in the fashioned claim of the
`patent at issue.
` So what are the things a POSITA would have done in
`relation to any of these embodiments is irrelevant to what we
`presented in the petition. What the petition presented were
`distinct five lens miniature telephoto assemblies taught in
`the prior art in Ogino Example 5 and Chen I and we showed
`based on Dr. Milster's testimony how a person of ordinary
`skill would have been motivated to modify those designs in a
`way that meets the challenged claims. Now we've relied on
`teaching for the prior art, not the challenged claims, as
`patent owner has alleged in other cases.
` Flipping to slide 5. With regards to the
`reasonable expectation of success, the Federal Circuit says
`that the case law is clear that obviousness cannot be avoided
`simply by a showing of some degree of unpredictability in the
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`art so long as there is a reasonable probability of success.
`Again, we're not talking about absolute certainty that Dr.
`Sasián's designs could have been achieved. We're talking
`about a reasonable expectation of success which is represented
`by the lens designs presented in the petition.
` Now patent owner is going to argue throughout today
`about manufacturability and tolerancing and other issues
`without any evidence showing that those factors would actually
`make Dr. Sasián's designs fail for some reason. But those are
`all based on unpredictability in the art and there's no
`analysis showing that Dr. Sasián's designs are problematic at
`all using any of those manufacturing considerations that
`patent owner alleges would be considered by a POSITA.
` Now one other issue that I'd like --
` JUDGE MOORE: Counsel --
` MR. PARSONS: Yes, Your Honor?
` JUDGE MOORE: I just want to say I know
`and I give you an award for patience today because you're
`going through much of the same material three times in a row
`for a total of six hours so I totally understand, but I think
`for the reporter and for the new judge here, if you can try
`and pace it down and slow it down a little. I understand
`going through the same stuff can tend to speed you up. But,
`yeah, if we can try and pace it down just a little it would be
`appreciated.
` MR. PARSONS: Thank you, Your Honor. I will take
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`note of that. Thank you. Okay. Now to the extent that the
`patent owner's arguments in this case have attacked the
`process that Dr. Sasián followed in modifying his designs, I
`would like to point the board to Exhibit 1017 on page 172.
`This reference is from Fisher and we cited to this reference
`in every ground where we raised a combination of the prior
`art. What this reference teaches or shows is a lens design
`process that would be implemented by a person of ordinary
`skill going through the process of making a change to a lens,
`and then wanting to modify a lens by making a change, allowing
`the software to find the best result of that change, and then
`following that process over and over and over again until they
`have a design that they're happy with.
` Now step 3 in this process talks about the
`idea -- now let me step back for one second. Step 2 first
`says to select a starting point. The starting point that Dr.
`Sasián selected for the grounds in this case are either Ogino
`Example 5 or Chen I. Those are distinct lens designs that are
`telephoto lens designs and the only parameter that they don't
`meet in the challenged claims are either the -- are mostly due
`to the F number. And Dr. Sasián showed that using this
`process a POSITA would be able to lower the F number to
`something that was more desirable because the F number is
`currently in example 5, in Ogino, for example, at 3.94 is not
`as desirable as it could be based on Ogino's other
`embodiments.
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` Now step 3 in this process is very important. What
`it says is that a POSITA once they've loaded the lens design
`in is supposed to make an adjustment manually and then let the
`software resolve the other variables to produce the best
`change based on that modification. Now a POSITA has a number
`of opportunities here to go through and select which variables
`they want to vary, but a POSITA is counseled in step 3 here on
`page 173 to not vary all of the variables or many of the
`variables at once.
` Down here in the last -- in the second to last
`sentence on page 173 it says, It is important to note that it
`is not imperative nor is it advisable to vary every
`conceivable variable in a lens, especially early in the design
`phase. And so what Dr. Sasián did is he decided to vary a few
`number of variables after introducing a change and allowing
`parameters around the change to vary which allows the software
`to provide the best result based on the change that he
`provided. Now that's what Dr. Sasián did in the petition and
`in his declaration.
` To the extent that patent owner argues for a
`different process or that more parameters should have been
`varied, that's not what the evidence of record says, and
`patent owner hasn't pointed to any evidence describing a
`different lens design process where a POSITA would have
`allowed all of the variables to vary right at the beginning,
`right up front, and so there's no evidence on the record to
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`contradict the process that Dr. Sasián used to go from
`selecting a starting point, modifying that based on a teaching
`in the prior art, and then allowing the software to find the
`best solution based on the modifications that were provided by
`the prior art. And this is the same lens design process that
`a POSITA follows.
` Now moving to slide 6. Our first substantive
`ground that we'd like to discuss is ground 2 because patent
`owner has again not disputed ground 1 in any way, shape, or
`form. In ground 2 the combination here that was presented in
`the petition is to modify Ogino's Example 5 which has an F
`number of 3.94, which is fairly high. A POSITA based on
`Ogino's other examples and the teachings in Bareau would have
`been motivated to lower the F number to something that was
`more in line with Ogino's other teachings and the
`specifications provided in Bareau.
` JUDGE ULLAGADDI: Counsel, can I ask a quick
`question? I know you've been over this several times but
`maybe for Judge Kenny. Why should we look to Bareau to lower
`a telephoto lens F number when Bareau is directed to wide-
`angle lenses?
` MR. PARSONS: Well, that's an important -- that's a
`great question, Your Honor, and the reason is because the F
`number has nothing to do with the field of view of a lens.
`The F number is a ratio that's defined by the focal length
`divided by the diameter of the entrance aperture and the
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`entrance aperture is the part of the lens that controls how
`much light goes through the lens system. So if you're -- so
`the fact that the F number is only based on the focal length
`and the entrance diameter means that those other
`portions -- specifications of Bareau may be able to be met but
`they are not mutually exclusive of one another.
` Implementing the teaching of Bareau to modify the F
`number would be equally applicable regardless of what the
`field of view is because it defines how much light reaches the
`sensor and it's a way to calculate how much light can reach
`the sensor regardless of the focal length because it is a
`measurement of the -- it is a ratio of the focal length
`divided by the entrance diameter. What that means is that
`the focal length gets higher or is extended more. It means
`that the F number is going to increase if the aperture stays
`the same. If the F number moves closer in then the F
`number -- then the focal length will go down and so light will
`be able to get to the focal length easier for a shorter focal
`length versus a longer focal length.
` So the F number is simply measuring -- is a
`representation of the amount of the light that can pass
`through the lens and hit the sensor. It doesn't depend on
`field of view, or relative illumination, or the other
`parameters specified in Bareau.
` And in addition to that, the board in IPR2018-1140
`has already determined that a POSITA -- on page 31 has already
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`determined that a person of ordinary skill in the art wouldn't
`disregard Bareau's teachings just because -- in regards to a
`telephoto lens just because the field of view is represented
`in the specification for between 60 and 66 degrees.
` So based on those two things that's why a person of
`ordinary skill in the art would have in fact looked at the F
`number of Bareau because it's an independent variable that
`shows how much light is able to reach the sensor. And how
`much light reaches the sensor is important regardless of the
`field of view, or the focal length, or the other parameters of
`the lens.
` JUDGE ULLAGADDI: Thank you.
` MR. PARSONS: Thank you. Now moving onto slide 7.
`Again, our modification for ground 2 was the example 5 from
`Ogino and we've proposed -- and the modification is to lower
`it to an F number of 2.8. Now here in the table we've
`provided in slide 7, Ogino Example 5 has the lowest telephoto
`ratio of all of Ogino's examples and that's important here.
`The lower the telephoto ratio the more telephoto the lens
`design is which means the more it can zoom in relative to a
`wide-angle lens.
` Now the reason that a POSITA would have looked to
`modify example 5 versus these other embodiments is because of
`this telephoto ratio. Because, again, what we're talking
`about in the 897 patent is a telephoto lens assembly. Ogino
`is part of the prior art and the test for obviousness is that
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`a POSITA would have been motivated to modify the prior
`art -- would be motivated to combine the teachings of the
`prior art to arrive at what's fashioned in the claims. And
`that's what we showed in the petition, that a POSITA would
`have been motivated to take example 5, which is telephoto like
`what the claim says, and would have modified it to a lower F
`number based on the teachings of Bareau to achieve a brighter,
`faster lens that had better performance than the F number
`being at 3.94.
` Now 3.94 is much darker than 2.8. So a lens with
`an F number of 2.8 would have more light that reaches the
`sensor. The sensor would be able to have a lower exposure
`time which would help in, for example, capturing motion. You
`know, we've all been in a situation where we've taken a
`picture with a camera and we've moved it and there's blur.
`Well, that's because the exposure time on the sensor is fairly
`low. If you can speed up the sensor based on getting more
`light, that's an improvement, and that's why they call these
`lenses with lower F numbers brighter, faster lenses. So a
`POSITA would have been motivated to modify Ogino Example 5 to
`have a lower F number for its telephoto lens based on the
`teachings of Bareau.
` Now moving on to slide 8. Dr. Sasián showed that a
`POSITA applying this teaching to example 5 and using the
`standard lens design process explained in Fisher would have
`been successful at arriving at a design of Ogino Example 5
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`that in fact supports an F number of 2.8.
` Now in slide 9 patent owner has admitted that Dr.
`Sasián didn't have to modify very much in order to achieve
`this. They say that Dr. Sasián kept a number of lens
`elements, the power of the lens elements, their thicknesses,
`and there's basically no change except for a small change to
`the thickness of the first lens element. So in addition to
`opening the aperture to support the F number, Dr. Sasián
`didn't change very much which means that Ogino Example 5 on
`its face was possible to support lower F numbers even though
`it's designated in its example of having an F number of 3.94.
` Now moving on to slide 11. The motivation to do
`this, as we've said before, is because there was a need that
`existed in the art for brighter, faster lenses, and that's
`what the Kingslake reference says that's cited in our petition
`for this ground at page 42. Kingslake says -- Kingslake was
`published in the 90s and even back then it says that the need
`exists for brighter images and faster lenses. Now brighter
`images and faster lenses again means a wider aperture which
`means a lower F number. So this teaching in the art for lower
`F numbers was well known and POSITAs were always desiring to
`have lenses with lower F numbers because they provided
`brighter images and lower exposure times. And patent owner
`has admitted here also on slide 11 that Bareau suggests a
`favorable F number that a POSITA would have looked to.
` Now moving to slide 12. Patent owner's primary
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`argument about this example is that the first lens has
`edges -- that the first lens at the edges are too narrow. In
`other words, patent owner argues that because these edges are
`so narrow that this lens is unmanufacturable. And what
`they've argued in the surreply, they've argued that it's
`unmanufacturable using any method. Now we disagree with that
`and we think that it's wrong and it's based on Dr. Milster's
`flawed analysis of this design.
` Moving to slide 13. What we referenced in the
`reply were other similar lens designs that had a similar shape
`to the first lens here in Dr. Sasián's example with Ogino
`Example 5 lowered to 2.8. And the first box on the left is
`the first lens -- is the top of the first lens in Ogino, in a
`modified version of Ogino Example 5, and the second box is the
`top of the lens from the Mercado reference that we cited in
`the reply, and the last box shows the top of the lens in the
`Konno reference that was also cited in the reply.
` Now the one thing that's common among these is that
`in the lens design software they're all represented with a
`sharp corner at the edge. Now patent owner argues that a lens
`design in reality or when manufactured wouldn't have the sharp
`corner but it would have a -- but it would be rounded due to
`the flow of material or other reasons and because this edge
`here would be rounded Dr. Milster, patent owner's expert,
`argues that there wouldn't be sufficient material for the rays
`to pass through the edge of the lens meaning that Dr. Milster
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`believes that the light passes through the corner and that
`corner with a rounded corner wouldn't provide enough material
`for the ray to pass through like it's supposed to.
` Now Dr. Milster's analysis is flawed for a couple
`of primary reasons. First off, Dr. Milster hasn't provided
`any evidence in the record to show how much of a rounded
`corner actually matters or how much of a rounded corner would
`actually affect the lens design. And as you can see here,
`even at the top of the lens that we proposed in the top of the
`right box, the blue ray that comes in to the front of the lens
`at the very top, it cuts down fairly quickly so it doesn't go
`through the sharp corner of the lens like Dr. Milster assumes
`it does.
` Now Dr. Milster didn't do any independent analysis
`on this lens to blow it up or to figure out how much distance
`that is. He just complains that because the ray passes
`through the edge and it has a sharp corner that it would
`automatically fail. But again, there's no evidence to show
`that a rounded corner here would actually cause this lens to
`fail.
` Now in slide 14 patent owner made a statement in
`their surreply that also proves our point here too. Patent
`owner stated that with regards to Mercado and Konno, which are
`the other two lenses that we've provided in the previous
`slide, they said that a POSITA would understand that plastic
`injected molded lenses taught by Konno would actually have a
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`flange for mounting rather than the sharp edge depicted. Then
`they also said that the Mercado lens would likely have a
`flange and have a different shape from that shown outside the
`clear aperture.
` Now Dr. Milster's analysis didn't apply this
`knowledge of a POSITA. Patent owner has admitted that a
`POSITA would have put flanges on these lenses and in that case
`the flanges would be the same material that would extend
`beyond the useable aperture of the lens. If Dr. Milster would
`have correctly applied this teaching and knowledge of a
`POSITA, which he didn't, then he would have recognized that
`this lens can support flanges and if the flanges are there
`then there's plenty of material for this to go through -- the
`rounded corner would not be there when a flange is used. Dr.
`Milster did not address this issue despite the fact that a
`POSITA would have recognized that these lenses have flanges.
`For that reason Dr. Milster's analysis in this regard is
`entirely flawed and is incomplete and can't be relied upon.
` Now to the extent that thickness is even an issue,
`in slide 15 this references an example that we provided in our
`reply where Dr. Sasián simply increased the size -- increased
`the thickness of the first lens in order to meet Dr. Milster's
`manufacturability requirements. And Dr. Sasián testified that
`this was a simple change. Now this is backed up by the
`teachings of Smith which specifically says on page 25 that in
`many designs element thickness is an insignificant and
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`ineffective variable and one whose effects are easily
`duplicated by an adjacent air space. In this circumstance one
`can arbitrarily select a thickness on the basis of economy or
`ease of fabrication. The elements in such designs are
`typically quite thin. And then he cites the example of a
`(indiscernible).
` Now based on that teaching from Smith, that's what
`Dr. Sasián did here. Now Dr. Sasián doesn't cite to Smith in
`that but Smith is part of the knowledge of a POSITA.
`Increasing the size of a lens does not affect the other
`parameters or if they do they are insignificant. And patent
`owner has not argued that Dr. Sasián's lens to make the first
`lens thicker. There's no argument that this lens does in fact
`meet all the same claims that it did before even with the lens
`being thicker.
` Again, thickness is an inconsequential modification
`made to a lens. But to the extent that Dr. Milster's
`manufacturability requirements are even required of Dr.
`Sasián's lens, which we don't agree they are, it would have
`been an easy modification for somebody to thicken the first
`lens based on the teaching in the art that thickness is an
`inconsequential factor when it comes to designing a lens.
` Now moving onto slide 16. The third ground in the
`petition that we propose was lowering the F number of Ogino's
`Example 5 from 2.8 that we provided in the previous example to
`2.45. Now the reason and the motivation to modify Ogino
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`Example 5 further is based on the teachings of Bareau. Bareau
`provides five -- Bareau provides six examples and four of them
`have a much lower F number. There's no reason why a POSITA
`wouldn't have looked at this and thought to themselves, wow,
`that telephoto F number is pretty high. Maybe I should try
`for a lower one because four of the five examples are
`remarkably similar and rely on the same equation that Ogino
`teaches and the lowest one is 2.45. Also, because Kingslake
`discusses the fact that there was a need in the art for
`brighter, faster lenses, a POSITA would have been motivated to
`try to modify from 3.94 down to 2.45 based on the lowest F
`number that Ogino provides.
` Now in slide 18, when Dr. Sasián applied this
`modification to lower the F number from F equals 2.8 to F
`equals 2.45 he opened the aperture and then he let the rays of
`the first lens -- of both sides of the first lens vary and the
`result of that was the example that you see here which is
`Ogino Example 5 that supports an F number of 2.45. Those are
`the only changes besides optimizing for quality and making the
`L1 edge slightly thicker that he had to make in order to make
`this design work.
` Now in slide 19 one of the arguments that patent
`owner makes is about a typo that was in our petition where it
`showed that the F number that was manually typed in by Dr.
`Sasián was 2.12. Now patent owner is trying to make a
`mountain out of a mole hill here because if they actually
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`would have taken the lens design data that was provided in the
`petition and not the handwritten notes that Dr. Sasián
`provided they would have taken the lens design data and put it
`into a lens design program which Dr. Milster had access to.
`They would have recognized that in fact the design that Dr.
`Sasián was relying on in the petition and the declaration did
`in fact have an F number of 2.45.
` Now to the extent that patent owner in regards to
`this ground wants to argue about the fact that the first lens
`element on this ends up with a convex shape and not a concave
`shape as Ogino's other examples, the board has already
`determined in IPR 1140, page 35 that Ogino is not limited to
`the above embodiments because it discloses modifying the
`values of the radius of curvature and the aspheric
`coefficients of the lens elements.
` In other words, a POSITA would not have thought to
`limit Ogino's Example 5 first lens element to be a certain
`shape based on the teachings of Ogino because Ogino says that
`it itself is not limited to the shapes of those lenses and
`that's defined by the radius of the lens. So Ogino talks
`about the fact that it's not limited to -- that the radius of
`the lens are not limited in any way. That means that you
`could have either convex or concave shapes on each of these
`lens elements and those would still be within the scope of
`Ogino's teachings.
` JUDGE MOORE: Counsel, can you explain to me -- it
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`appears but you could correct me on this that in the prior
`cases there was sort of a specific reference to, and I guess
`redundant, to another prior art reference in order to make the
`change in shape. So in this case can you tell me if in fact
`he's using just knowledge of the art to change the shape or is
`there a particular reference that you're referring to to
`motivate one to change the shape of Ogino in this case?
` MR. PARSONS: Well, the change in the shape of
`the -- the change in the shape of the first lens is due to
`applying -- is due to the lens design software choosing that
`as the best solution for the lens being modified as part of an
`F number of 2.8. It's a natural result of applying the
`teaching of the prior art.
` JUDGE MOORE: Okay. So maybe I need to break it
`down a little bit more. You said a natural choice. I think
`there are -- you know, there are a lot of variables when
`you're dealing with putting it into this Zemax. So maybe if
`you could explain a little more how this becomes a natural
`choice to change the shape of the lens. I'm just pointing
`this out because it feels to me like there's a difference
`between the previous cases and this case when it comes to why
`this shape changed.
` MR. PARSONS: Yes, Your Honor. Give me just a
`minute and I will pull up the expert declaration to show you
`what we're talking about. Yeah, in Exhibit 1003. All right.
`In Exhibit 1003 on page 108. This is Dr. Sasián's analysis
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`for this particular embodiment. Now when he talks about the
`process of optimize, what that means is that it means a
`software optimization. So this is a step further in Exhibit
`1017, the Fisher reference. And step 5 -- that's on page 174.
`Now step 5 in the chart that we cited to said optimize. Just
`to make it clear, we're talking about the optimization step
`that happens after you have introduced a change to the lens
`design. This is the step that takes place where the software
`solves the other lens parameters that are allowed to vary to
`provide the