`
`
`
`Filed on behalf of:
`
`Petitioner
`By: Alison L. McCarthy (Lead Counsel)
`
`Alison.McCarthy@troutman.com
`
`Bryan C. Smith (Back-up Counsel)
`
`Bryan.Smith@troutman.com
`
`Nicholas J. Gallo (Back-up Counsel)
`
`Nicholas.Gallo@troutman.com
`
`Bryan J. Cannon (Back-up Counsel)
`
`Bryan.Cannon@troutman.com
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________
`
`3SHAPE A/S and 3SHAPE INC.,
`Petitioner,
`
`v.
`
`ALIGN TECHNOLOGY, INC.,
`Patent Owner.
`_________________
`
`Case IPR2021-01383
`Patent 10,728,519
`_________________
`
`
`DECLARATION OF DR. DAVID SCHAAFSMA IN SUPPORT OF
`PETITION FOR INTER PARTES REVIEW OF U.S. PATENT NO.
`10,728,519 UNDER 35 U.S.C. §§ 311-319 AND 37 C.F.R. § 42.100 et seq.
`
`
`#118708522
`
`
`
`3SHAPE 1002
`3Shape v Align
`IPR2021-01383
`
`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`TABLE OF CONTENTS
`
`I.
`
`Page
`INTRODUCTION .......................................................................................... 1
`A.
`Scope of Engagement ........................................................................... 1
`B.
`Compensation ....................................................................................... 1
`C.
`Professional Qualifications .................................................................. 2
`D.
`Reservation of Rights ........................................................................... 5
`E.
`List of Materials Considered ................................................................ 6
`SUMMARY OF OPINIONS .......................................................................... 6
`II.
`III. LEGAL STANDARDS .................................................................................. 7
`A. Anticipation .......................................................................................... 8
`B.
`Obviousness ........................................................................................ 10
`IV. LEVEL OF ORDINARY SKILL ................................................................. 15
`V.
`BACKGROUND OF THE TECHNOLOGY ............................................... 17
`A.
`Scanning Systems for Determining Surface Topology were
`Well-Known Prior to the ’519 Patent ................................................. 17
`2D Color Imaging Systems were Well-Known Prior to the ’519
`Patent .................................................................................................. 21
`Combining 3D Scanning Systems and Color 2D Imaging
`Systems was Well-Known Prior to the ’519 Patent ........................... 22
`D. Methods for Associating Color Image Data with Depth Data
`were Well-Known Prior to the ’519 Patent ........................................ 23
`VI. OVERVIEW OF THE ’519 PATENT ......................................................... 24
`A.
`’519 Patent .......................................................................................... 25
`
`B.
`
`C.
`
`
`
`i
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`B.
`C.
`
`Prosecution History of the ’519 Patent .............................................. 25
`Claims of the ’519 Patent ................................................................... 29
`1.
`Independent Claim 1 of the ’519 Patent .................................. 29
`2.
`Dependent Claim 3 of the ’519 Patent ..................................... 30
`3.
`Dependent Claim 4 of the ’519 Patent ..................................... 30
`4.
`Dependent Claim 6 of the ’519 Patent ..................................... 31
`5.
`Independent Claim 13 of the ’519 Patent ................................ 31
`6.
`Dependent Claim 15 of the ’519 Patent ................................... 32
`7.
`Dependent Claim 16 of the ’519 Patent ................................... 32
`8.
`Dependent Claim 17 of the ’519 Patent ................................... 33
`9.
`Dependent Claim 20 of the ’519 Patent ................................... 33
`10. Dependent Claim 21 of the ’519 Patent ................................... 33
`11. Dependent Claim 23 of the ’519 Patent ................................... 34
`12.
`Independent Claim 24 of the ’519 Patent ................................ 35
`13. Dependent Claim 26 of the ’519 Patent ................................... 36
`14. Dependent Claim 27 of the ’519 Patent ................................... 36
`15. Dependent Claim 30 of the ’519 Patent ................................... 37
`16. Dependent Claim 31 of the ’519 Patent ................................... 37
`17. Dependent Claim 32 of the ’519 Patent ................................... 38
`18. Dependent Claim 33 of the ’519 Patent ................................... 38
`19. Dependent Claim 34 of the ’519 Patent ................................... 38
`VII. CLAIM CONSTRUCTION ......................................................................... 39
`
`
`
`ii
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`

`

`C.
`
`D.
`
`E.
`
`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`A.
`B.
`
`“scanning system configured to provide depth data” ......................... 41
`“imaging system configured to provide two-dimensional color
`image data” ......................................................................................... 41
`“illumination unit configured to transmit a first array of incident
`light along a path towards the three-dimensional structure” /
`“array of incident light” ...................................................................... 42
`“detector configured to measure intensity of each of a plurality
`of returned light that returns along the path and from the three-
`dimensional structure” ........................................................................ 44
`“depth data” / “depth data corresponding to a plurality of data
`points defined on a plane substantially orthogonal to a depth
`direction” ............................................................................................ 45
`“light beams” ...................................................................................... 46
`F.
`G. Any Remaining Terms ....................................................................... 46
`VIII. OVERVIEW OF THE PRIOR ART REFERENCES RELIED UPON ....... 47
`A. Overview of Babayoff ........................................................................ 48
`B.
`Overview of Okamoto ........................................................................ 51
`C.
`Overview of Franetzki ........................................................................ 59
`IX. DETAILED ANALYSIS OF GROUNDS BASED ON BABAYOFF
`AND OKAMOTO ........................................................................................ 60
`A. Motivation to Combine Babayoff and Okamoto ................................ 60
`B.
`Challenged Claims 1, 3, 4, 6, 13, 15, 16, 17, 23, 24, 26, 27, 30,
`and 31 of the ’519 Patent Would Have Been Obvious Over
`Babayoff in View of Okamoto ........................................................... 68
`1.
`Independent Claim 1 ................................................................ 68
`a.
`Claim 1: [Preamble] “A system for determining
`surface topology and associated color of at least a
`
`
`
`iii
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`b.
`
`c.
`
`d.
`
`portion of a three-dimensional structure,
`comprising:” ...................................................................69
`Claim 1: Element [1.1] “a hand-held device
`comprising:” ...................................................................71
`Claim 1: Element [1.2] “a scanning system
`configured to provide depth data of said portion,
`the depth data corresponding to a plurality of data
`points defined on a plane substantially orthogonal
`to a depth direction” .......................................................72
`Claim 1: Element [1.3] “an imaging system
`configured to provide two-dimensional color
`image data of said portion associated with said
`plurality of data points;” .................................................78
`Claim 1: Element [1.4] “an illumination unit
`configured to transmit a first array of incident light
`along a path towards the three-dimensional
`structure;” .......................................................................81
`Claim 1: Element [1.5] “a detector configured to
`measure intensity of each of a plurality of returned
`light that returns along the path and from the three-
`dimensional structure; and” ............................................84
`Claim 1: Element [1.6] “a processor operably
`coupled to the hand-held device and configured to
`associate the depth data with the two-dimensional
`color image data.” ...........................................................86
`Dependent Claim 3: “The system according to claim 1,
`wherein the plurality of data points is associated with a
`two-dimensional reference array.” ........................................... 91
`Dependent Claim 4: [Preamble] “The system according
`to claim 1,” ............................................................................... 92
`
`e.
`
`f.
`
`g.
`
`2.
`
`3.
`
`
`
`iv
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`a.
`
`4.
`
`5.
`
`Claim 4: [Element 4.1] “wherein the operation of
`the scanning system is based on confocal imaging
`techniques, and” ..............................................................92
`Claim 4: Element [4.2] “wherein the scanning
`system is configured to: cause the illumination
`system to transmit the first array of incident light
`along the path towards the three-dimensional
`structure;” .......................................................................93
`Claim 4: Element [4.3] “cause the detector to
`measure intensity of each of the plurality of
`returned light that return along the path and from
`the three-dimensional structure.” ....................................95
`Dependent Claim 6: “The system according to claim 1,
`wherein the associated depth data and the two-
`dimensional color image data represent the color and
`surface topology of the portion of the three-dimensional
`structure.” ................................................................................. 97
`Independent Claim 13 .............................................................. 99
`a.
`Claim 13: [Preamble] “A system for determining
`surface topology and associated color of at least a
`portion of a three-dimensional dental structure,
`comprising:” ...................................................................99
`Claim 13: [Element 13.1] “a hand-held device
`comprising:” ...................................................................99
`Claim 13: [Element 13.2] “a scanning system
`configured to provide depth data of the portion, the
`depth data corresponding to a plurality of data
`points defined on a plane substantially orthogonal
`to a depth direction; and” ..............................................100
`Claim 13: [Element 13.3] “an imaging system
`configured to provide color image data of the
`portion associated with said plurality of data
`points;” ..........................................................................100
`
`b.
`
`c.
`
`b.
`
`c.
`
`d.
`
`
`
`v
`
`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`e.
`
`6.
`
`7.
`
`Claim 13: [Element 13.4] “an illumination unit
`configured to transmit a first array of incident light
`along a path towards the three-dimensional
`structure; and” ...............................................................100
`Claim 13: [Element 13.5] “a detector configured to
`measure intensity of each of a plurality of returned
`light that return along the path and from the three-
`dimensional structure; and” ..........................................101
`Claim 13: [Element 13.6] “a processor operably
`coupled with the hand-held device and configured
`to associate the depth data with the color image
`data, wherein the depth data and the color image
`data represent the surface topology and the color of
`the portion of the three-dimensional dental
`structure.” ......................................................................101
`Dependent Claim 15: “The system according to claim 13,
`wherein the plurality of data points is associated with a
`two-dimensional reference array.” ......................................... 103
`Dependent Claim 16: [Preamble] “The system according
`to claim 13,” ........................................................................... 104
`a.
`Claim 16: [Element 16.1] “wherein the operation
`of the scanning system is based on confocal
`imaging techniques, and” .............................................104
`Claim 16: [Element 16.2] “wherein the scanning
`system is configured to: cause the illumination
`system to transmit the first array of incident light
`along the path towards the three-dimensional
`structure;” .....................................................................105
`Claim 16: [Element 16.3] “cause the detector to
`measure intensity of each of the plurality of
`returned light that return along the path and from
`the three-dimensional structure.” ..................................105
`
`f.
`
`g.
`
`b.
`
`c.
`
`
`
`vi
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`8.
`
`9.
`
`b.
`
`Dependent Claim 17: “The system according to claim 13,
`wherein the depth data and the color image data are
`associated by aligning the plurality of data points and the
`color image data in the same frame of reference.” ................ 105
`Dependent Claim 23: [Preamble] “The system according
`to claim 13,” ........................................................................... 106
`a.
`Claim 23: [Element 23.1] “wherein the system
`comprises: a probing member having a sensing
`face;” .............................................................................107
`Claim 23: [Element 23.2] “the illumination unit
`configured to transmit an array of incident light
`beams towards the three-dimensional dental
`structure and through the probing member and the
`sensing face to generate illuminated spots on the
`portion of the structure;” ...............................................107
`Claim 23: [Element 23.3] “an optical system
`configured to focus the incident light beams at
`each of a plurality of focal planes located between
`the sensing face and the structure; and” .......................108
`Claim 23: [Element 23.4] “the detector configured
`to measure intensity of each of a plurality of
`returned light beams originating from the
`illuminated spots; and” .................................................108
`Claim 23: [Element 23.5] “wherein the processor
`is operably coupled to the detector and is further
`configured to:” ..............................................................109
`Claim 23: [Element 23.6] “determine for each of
`the returned light beams a spot specific position,
`each spot specific position corresponding to a
`position of a respective focal plane in the plurality
`of focal planes, each respective focal plane
`corresponding to a maximum intensity of each
`
`c.
`
`d.
`
`e.
`
`f.
`
`
`
`vii
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`10.
`
`g.
`
`b.
`
`c.
`
`d.
`
`respective returned light beam in the plurality of
`returned light beams; and” ............................................109
`Claim 23: [Element 23.7] “generate, based on the
`determined spot specific positions, data
`representing the surface topology of the portion of
`the three-dimensional dental structure.” .......................110
`Independent Claim 24 ............................................................ 110
`a.
`Claim 24: [Preamble] “A method for determining
`surface topology and associated color of at least a
`portion of a three-dimensional dental structure, the
`method comprising:” ....................................................111
`Claim 24: [Element 24.1]: providing a hand-held
`device comprising: ........................................................112
`Claim 24: [Element 24.2] “a scanning system
`configured to provide depth data of the portion, the
`depth data corresponding to a plurality of data
`points defined on a plane substantially orthogonal
`to a depth direction; and” ..............................................112
`Claim 24: [Element 24.3] “an imaging system
`configured to provide color image data of the
`portion associated with said plurality of data
`points;” ..........................................................................112
`Claim 24: [Element 24.4] “an illumination unit
`configured to transmit a first array of incident light
`along a path towards the three-dimensional
`structure; and” ...............................................................113
`Claim 24: [Element 24.5] “a detector configured to
`measure intensity of each of a plurality of returned
`light that return along the path and from the three-
`dimensional dental structure; and” ...............................113
`Claim 24: [Element 24.6] “a processor operably
`coupled to the hand-held device and configured to
`
`e.
`
`f.
`
`g.
`
`
`
`viii
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`h.
`
`associate the depth data with the color image data,
`wherein the depth data and the color image data
`represent the surface topology and the color of the
`portion of the three-dimensional dental structure;
`and” ...............................................................................114
`Claim 24: Element [24:7] “operating the hand-held
`device.” .........................................................................114
`11. Dependent Claim 26: “The method according to claim
`24, wherein the plurality of data points is associated with
`a two–dimensional reference array.” ..................................... 114
`12. Dependent Claim 27: [Preamble] “The method according
`to claim 24,” ........................................................................... 115
`a.
`Claim 27: [Element 27.1] “wherein the operation
`of the scanning system is based on confocal
`imaging techniques, and” .............................................115
`Claim 27: [Element 27.2] “wherein the scanning
`system is configured to: cause the illumination
`system to transmit the first array of incident light
`along the path towards the three-dimensional
`structure;” .....................................................................115
`Claim 27: [Element 27.3] “cause the detector to
`measure intensity of each of the plurality of
`returned light that return along the path and from
`the three-dimensional structure.” ..................................116
`13. Dependent Claim 30: [Preamble] “The system according
`to claim 13,” ........................................................................... 116
`a.
`Claim 30: [Element 30.1] “wherein the scanning
`system is configured to: cause the illumination
`system to transmit the first array of incident light
`along the path towards the three-dimensional
`structure;” .....................................................................116
`
`b.
`
`c.
`
`
`
`ix
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`b.
`
`Claim 30: [Element 30.2] “cause the detector to
`measure intensity of each of the plurality of
`returned light that return along the path and from
`the three-dimensional structure.” ..................................116
`14. Dependent Claim 31: [Preamble] “The method according
`to claim 17,” ........................................................................... 117
`a.
`Claim 31: [Element 31.1] “wherein the scanning
`system is configured to: cause the illumination
`system to transmit the first array of incident light
`along the path towards the three-dimensional
`structure;” .....................................................................117
`Claim 31: [Element 31.2] “cause the detector to
`measure intensity of each of the plurality of
`returned light that return along the path and from
`the three-dimensional structure.” ..................................117
`X. DETAILED ANALYSIS OF GROUNDS BASED ON BABAYOFF,
`OKAMOTO, AND FRANETZKI .............................................................. 118
`A. Motivation to combine Babayoff, Okamoto and Franetzki ............. 118
`B.
`Challenged Claims 20, 21, 32, 33, and 34 of the ’519 Patent
`Would Have Been Obvious Over Babayoff and Okamoto,
`Further in View of Franetzki ............................................................ 123
`1.
`Dependent Claim 20: “The system according to claim 13,
`comprising a color illumination system having at least
`one illumination source configured to transmit light
`beams having different wavelengths in the system.” ............. 123
`Dependent Claim 21: The system according to claim 13,
`wherein the system is configured to provide the depth
`data and the color image data based on the measured
`intensity of the light beams having different wavelengths. ... 127
`Dependent Claim 32: “The system accordingly [sic] to
`claim 1, wherein the two-dimensional color image data is
`
`b.
`
`2.
`
`3.
`
`
`
`x
`
`

`

`4.
`
`5.
`
`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`captured in response to illumination of the portion by a
`first wavelength.” ................................................................... 129
`Dependent Claim 33: “The system accordingly [sic] to
`claim 13, wherein the color image data is captured in
`response to illumination of the portion by a first
`wavelength.” .......................................................................... 131
`Dependent Claim 34: “The method accordingly [sic] to
`claim 24, wherein the color image data is captured in
`response to illumination of the portion by a first
`wavelength.” .......................................................................... 131
`XI. OTHER CONSIDERATIONS ................................................................... 132
`XII. CONCLUSION ........................................................................................... 132
`
`
`
`
`
`xi
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`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`TABLE OF MATERIALS CONSIDERED
`
`
`
`Exhibit
`Number
`1001
`
`1003
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`Description
`
`U.S. Patent No. 10,728,519 to Babayoff
`(“’519 Patent”)
`Curriculum vitae of David Schaafsma, Ph.D. as of April 2021
`File History for U.S. Patent Application Serial No. 16/373,482
`which issued as U.S. Patent No. 10,728,519
`International Publication No. WO 00/08415 to Babayoff et al.
`(“Babayoff”)
`JP Unexamined Patent Application Publication No. 2001-82935 A
`to Okamoto (with Certified Translation)
`(“Okamoto”)
`EP 0 837 659 B1 to Franetzki (with Certified Translation)
`(“Franetzki”)
`U.S. Patent Application Publication No. 2004/0197727 A1 to
`Sachdeva et al.
`(“Sachdeva”)
`U.S. Patent No. 3,013,467 to Minsky
`(the “’467 Patent”)
`Pulli, Kari, “Surface Reconstruction and Display from Range and
`Color Data” (1997), Doctoral dissertation, University of
`Washington,
`https://digital.lib.washington.edu/researchworks/handle/1773/6952
`(“Pulli”)
`U.S. Patent No. 5,864,640 to Miramonti et al.
`(“Miramonti”)
`
`
`
`xii
`
`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`Exhibit
`Number
`1012
`
`1013
`
`1014
`
`1015
`
`1016
`
`1017
`
`1018
`
`1019
`
`1020
`
`1021
`
`1022
`
`Description
`
`U.S. Patent Application Publication No. 2002/0057438 A1 to
`Decker
`(“Decker”)
`U.S. Patent Application Publication No. 2005/0088529 to Geng
`(“Geng”)
`U.S. Patent Application Publication No. 2004/0107080 to
`Deichmann et al.
`(“Deichmann”)
`Joint Claim Construction Statement filed August 2, 2021 in Case
`No. 6:20-cv-00979-ADA (W.D. Tex.) (DI 139)
`U.S. Patent No. 8,363,228 to Babayoff
`(“’228 Patent”)
`U.S. Patent No. 8,451,456 to Babayoff
`(“’456 Patent”)
`U.S. Patent No. 8,675,207 to Babayoff
`(“’207 Patent”)
`Joint Agreed and Disputed Claim Constructions served May 29,
`2018 in U.S. International Trade Commission Investigation No.
`337-TA-1091
`Cogswell, C.J. et al., “Colour Confocal Reflection Microscopy
`Using Red, Green and Blue Lasers,” Journal of Microscopy,
`165(1):103-117 (1992)
`(“Cogswell”)
`U.S. Provisional Application No. 60/580,108 filed June 17, 2004
`(“’108 Provisional”)
`U.S. Provisional Application No. 60/580,109 filed June 17, 2004
`(“’109 Provisional”)
`
`
`
`xiii
`
`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`
`Exhibit
`Number
`1023
`
`1024
`
`1025
`
`1026
`
`1039
`
`Description
`
`U.S. Patent No. 6,575,751 to Lehmann et al.
`(“Lehmann”)
`U.S. Patent No. 7,099,732 to Geng
`(“Geng ’732”)
`U.S. Patent No. 5,766,006 to Murljacic
`(“Murljacic”)
`U.S. Patent No. 6,525,828 to Grosskopf
`(“Grosskopf”)
`Preliminary Constructions emailed August 19, 2021 to Counsel of
`Record in Case No. 6:20-cv-00979-ADA (W.D. Tex.)
`
`
`
`xiv
`
`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`I, DR. DAVID SCHAAFSMA, HEREBY DECLARE:
`INTRODUCTION
`I.
`Scope of Engagement
`A.
`1.
`I have been retained by counsel for Petitioner 3Shape Inc. and 3Shape
`
`A/S (hereinafter “3Shape” collectively and individually) in connection with the
`
`above-captioned Inter Partes Review (“IPR”) proceeding.
`
`2.
`
`I submit this declaration in the above-captioned proceeding
`
`(“Declaration”) to provide my expert opinion in support of 3Shape’s Petition for
`
`Inter Partes Review of U.S. Patent No. 10,728,519 (the “’519 Patent”, EX1001).
`
`3.
`
`The opinions to which I will testify, if asked, are set forth in this
`
`Declaration. My opinions in this Declaration are based upon the information that I
`
`have received to date. They may be supplemented or modified if additional
`
`information is received. They also may be supplemented to rely on additional
`
`information or opinions provided by the parties (or witnesses retained by the
`
`parties) and issues that may arise.
`
`B. Compensation
`I am being compensated at an hourly rate of $375 for my time spent
`4.
`
`working on this proceeding. My compensation is not in any way dependent on the
`
`statements I set forth herein or the outcome of this proceeding.
`
`
`
`1
`
`

`

`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
`
`
`C.
`5.
`
`Professional Qualifications
`I have over 30 years of industry experience in optics. I am currently
`
`President and Principal at California Optical Engineering, Inc. which provides
`
`technology and product development consulting services primarily in the medical
`
`and industrial fields. The company specializes in software and hardware
`
`development for medical devices, communications systems, and sensing. Over the
`
`last 35 years, I have built a wide range of optical systems for research and product
`
`development, including free-space, fiber optic, and waveguide systems. In the
`
`early 1990s, I built a confocal fluorescence microscope with very low noise and
`
`high spatial resolution which I used to study quantum effects in semiconductor
`
`structures. In the mid-1990s, I built the optical train for a near-field scanning
`
`optical microscope, used in conjunction with a free-electron laser to study the
`
`surface morphology of diamond films. I have designed, built, and tested numerous
`
`microscope systems, including confocal, for a wide array of applications.
`
`6.
`
`I have been an adjunct professor of applied physics at California State
`
`University, San Marcos since 2006. I teach physics and electronics courses,
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`including optics courses which I developed as a new curriculum. I have also
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`mentored several undergraduate projects in the areas of lasers and optics.
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`7.
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`From 1989 to 1992, I worked as a Senior Characterization Engineer
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`for Bandgap Technology Corporation in Broomfield, Colorado where I was the
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`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
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`primary quality control officer. Among other duties, part of my work included
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`optical characterization of compound semiconductor films, involving multiple
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`types of microscopic fluorescence and reflectance measurements.
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`8.
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`From 1992 to 1996, I was a Research Associate at National Institutes
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`of Standards and Technology (“NIST”) in Boulder, Colorado doing research and
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`development in the quantum optics of vertical-cavity surface-emitting
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`semiconductor lasers. Of relevance to this case, one of the systems I built at NIST
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`was a photon-counting confocal fluorescence system, which had a noise floor of 4
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`photons and spatial resolution small enough to distinguish single quantum wells in
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`vertical-cavity lasers. This system and its results were published in Physical
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`Review B.
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`9.
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`From 1996 to 1998, I was a Senior Scientist at the U.S. Naval
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`Research Laboratory (“NRL”) in Washington, D.C. My duties included
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`developing devices and applications for chalcogenide (CG) fibers and integrated
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`optics. I authored three patents while at NRL and several publications resulting
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`from my research, and made the world’s first chalcogenide singlemode fused fiber
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`coupler, the first IR singlemode nearfield optical microscope probe, the first model
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`of 1.3 µm CG fiber amplifiers, and made CG fiber Bragg gratings. I also built an
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`electro-mechanical system for fiber tapering and wrote optical amplifier modeling
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`code in C using open source compiler.
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`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
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`10. From 1999 to 2004, I worked for Ipitek/Tetra Tech Data Systems in
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`Carlsbad, California as the Director of Sensor Products. I was responsible for the
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`overall management and technical leadership of the fiber optic sensor group, which
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`included research and development, product management, engineering, business
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`development, sales and marketing. I was also responsible for the design of new
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`products and R&D, which necessitated many instrument design tasks, including
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`photoreceivers and optoelectronics, optomechanical systems and optics, and
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`embedded processing, including CPLD and FPGA design. I also initiated supplier
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`relationships with semiconductor, medical, automotive, and aerospace customers;
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`designed, built, tested, and sold instrumentation for semiconductor metrology
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`(particularly wafer processing machinery and some deposition equipment) and for
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`medical thermal therapy and diagnostic equipment. In the years from 2004 to the
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`present, I have consulted for many different firms, mostly in the medical
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`technology space, on a host of different projects from microscopy and endoscopy
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`to genetic assays to interventional cardiology devices and dental lasers.
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`11. From 2006 to 2009, I was the Vice President of Engineering at
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`Computer Aided Surgery Associates in La Mesa, California. Here, I developed
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`and demonstrated a non-contact alignment system for prosthesis placement during
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`total knee arthroplasty. This image-guided system used a dual-band stereoscopic
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`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
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`camera system with image processing to analyze alignment and provide feedback
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`to surgeons.
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`12.
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`I have a bachelor of arts in physics from Whitman College, a master
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`of science in physics from Brown University, and a doctorate in physics from the
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`University of Colorado, Boulder.
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`13.
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`I am a named inventor on two issued U.S. patents, as well as on five
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`U.S. patent application publications and have been a listed author on over thirty
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`papers. I was the Executive Editor of Fiber & Integrated Optics, a peer-reviewed
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`bi-monthly technical journal.
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`14. A complete listing of these patents and publications is included with
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`my curriculum vitae, a copy of which is submitted herewith as EX1003.
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`D. Reservation of Rights
`15. The opinions to which I will testify, if asked, are set forth in this
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`Declaration. My opinions in this Declaration are based upon the information that I
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`have received to date. They may be supplemented or modified if additional
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`information is received.
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`16. This Declaration and my opinions are based on knowledge and
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`information currently available to me. I reserve the right to supplement the
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`opinions set forth in this Declaration to the extent that additional information
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`becomes available or if I am asked to consider additional information. Further, I
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`IPR2021-01383 (Patent 10,728,519)
`Declaration of David Schaafsma
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`reserve the right to consider and comment on any statements or opinions rendered
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`by any declarants in this matter.
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`List of Materials Considered
`E.
`17. For purposes of this Declaration, I have reviewed and, where
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`applicable, re