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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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`US CONEC LTD.,
`Petitioner
`v.
`SENKO ADVANCED COMPONENTS, INC.,
`Patent Owner
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`Case IPR2024-00115
`U.S. Patent No. 11,307,369
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`DECLARATION OF JAMES F. BRENNAN III, PH.D.
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF CLAIMS
`1-22 OF U.S. PATENT 11,307,369
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`2307149.000 - 4876
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`US Conec EX1011
`IPR2024-00115
`U.S. Patent No. 11,307,369
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`
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`Case IPR2024-00115
`U.S. Patent No. 11,307,369
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`I.
`
`II.
`
`TABLE OF CONTENTS
`INTRODUCTION ....................................................................................... 1
`A.
`Scope of Engagement ........................................................................ 1
`B.
`Compensation .................................................................................... 2
`C.
`Professional Qualifications, Education and Experience ...................... 2
`D.
`Publications and Patents..................................................................... 5
`E. Materials Considered ......................................................................... 6
`LEGAL STANDARDS FOR INVALIDITY ............................................... 6
`A. Anticipation ....................................................................................... 8
`B.
`Obviousness ......................................................................................10
`C. Miscellaneous ...................................................................................12
`III. LEVEL OF ORDINARY SKILL IN THE ART ........................................ 13
`IV. BACKGROUND OF THE TECHNOLOGY ............................................. 15
`A. Data Centers .....................................................................................15
`B.
`Optical Fiber Connector Technology ................................................19
`V. U.S. PATENT NO. 11,307,369 .................................................................. 23
`A.
`Background.......................................................................................23
`B.
`Discussion of Certain Embodiments .................................................25
`C.
`Summary of Relevant Prosecution History .......................................30
`D.
`Claims of the ’369 Patent ..................................................................34
`VI. CLAIM INTERPRETATION .................................................................... 45
`VII. PRIOR ART .............................................................................................. 46
`A. Overview of Scherer .........................................................................46
`B.
`Overview of Lee ...............................................................................50
`C.
`Overview of Gniadek ........................................................................56
`VIII. SUMMARY OF GROUNDS ..................................................................... 60
`IX. GROUND 1: SCHERER IN VIEW OF LEE RENDERS OBVIOUS
`CLAIMS 1-17, 20, AND 21 ....................................................................... 61
`A. Motivation to Combine .....................................................................62
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`U.S. Patent No. 11,307,369
`B.
`Claim 1 .............................................................................................75
`Claim 2 ........................................................................................... 103
`C.
`Claim 3 ........................................................................................... 105
`D.
`Claim 4 ........................................................................................... 109
`E.
`Claim 5 ........................................................................................... 112
`F.
`Claim 6 ........................................................................................... 114
`G.
`Claim 7 ........................................................................................... 116
`H.
`Claim 8 ........................................................................................... 118
`I.
`Claim 9 ........................................................................................... 120
`J.
`Claim 10 ......................................................................................... 122
`K.
`Claim 14 ......................................................................................... 124
`L.
`M. Claim 11 ......................................................................................... 133
`N.
`Claim 12 ......................................................................................... 138
`O.
`Claim 13 ......................................................................................... 142
`P.
`Claim 15 ......................................................................................... 148
`Q.
`Claim 16 ......................................................................................... 149
`R.
`Claim 17 ......................................................................................... 150
`S.
`Claim 20 ......................................................................................... 150
`T.
`Claim 21 ......................................................................................... 156
`X. GROUND 2: SCHERER IN VIEW OF LEE AND FURTHER IN VIEW
`OF GNIADEK RENDERS OBVIOUS CLAIMS 18, 19, AND 22 ...........163
`A. Motivation to Combine ................................................................... 163
`B.
`Claim 18 ......................................................................................... 166
`C.
`Claim 19 ......................................................................................... 170
`D.
`Claim 22 ......................................................................................... 171
`XI. GROUND 3: LEE ANTICIPATES CLAIMS 1-17, 20-21 ........................175
`A.
`Claim 1 ........................................................................................... 175
`B.
`Claim 2 ........................................................................................... 208
`C.
`Claim 3 ........................................................................................... 210
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`U.S. Patent No. 11,307,369
`D.
`Claim 4 ........................................................................................... 212
`Claim 5 ........................................................................................... 214
`E.
`Claim 6 ........................................................................................... 215
`F.
`Claim 7 ........................................................................................... 218
`G.
`Claim 8 ........................................................................................... 220
`H.
`Claim 9 ........................................................................................... 223
`I.
`Claim 10 ......................................................................................... 225
`J.
`Claim 14 ......................................................................................... 228
`K.
`Claim 11 ......................................................................................... 231
`L.
`M. Claim 12 ......................................................................................... 233
`N.
`Claim 13 ......................................................................................... 235
`O.
`Claim 15 ......................................................................................... 237
`P.
`Claim 16 ......................................................................................... 238
`Q.
`Claim 17 ......................................................................................... 239
`R.
`Claim 20 ......................................................................................... 239
`S.
`Claim 21 ......................................................................................... 240
`XII. GROUND 4: LEE RENDERS OBVIOUS CLAIM 18, 19, 21 AND 22....243
`A.
`Claim 18 ......................................................................................... 244
`B.
`Claim 19 ......................................................................................... 246
`C.
`Claim 21 ......................................................................................... 247
`D.
`Claim 22 ......................................................................................... 248
`XIII. CONCLUSION ........................................................................................249
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`U.S. Patent No. 11,307,369
`TABLE OF MATERIALS CONSIDERED
`
`Description
`U.S. Patent No. 11,307,369 to Takano et al. (“’369 Patent”)
`Patent Prosecution History of U.S. Patent No. 11,307,369 to
`Takano et al.
`International Application No. WO 2015/027033 to Scherer et al.
`(“Scherer”)
`International Publication No. WO 2017/127208 to Lee (“Lee”)
`U.S. Patent Application Publication No. 2017/0227720 to Lin
`(“Lin”) (Relevant to Declaration 2)
`Curriculum Vitae of James F. Brennan III, Ph.D.
`Exhibit I of Complaint – Claim Chart U.S. Patent No. 11,307,369
`and MMC, Senko Advanced Components, Inc. v. US Conec, Ltd.,
`No. 1:23-cv-00083 (D. Del. Jan. 24, 2023), ECF No. 1-1
`Childers, Darrell, et al., “Multi-Fiber, MT Ferrule Endface Fiber
`Tip Displacement Model for Physical Contact Interconnects,”
`White Paper (2006)
`U.S. Patent Application Publication No. 2016/0238796 to Nguyen
`et al. (“Nguyen”) (Relevant to Declaration 2)
`U.S. Patent No. 8,465,317
`Declaration of James F. Brennan III, Ph.D. (IPR2024-00116)
`Wenke, I.G., “Report on Fiber Optic Cables,” HSB Technical
`Report (2015)
`Kant, K., “Data Center Evolution: A Tutorial on State of the Art,
`Issues, and Challenges,” Computer Networks, 53:2939-65 (2009)
`Curran, M. & Shirk, B., “Basics of Fiber Optics”, accessed at
`https://www.fibersystems.com/pdf/whitepapers/Basics-of-Fiber-
`Optics.pdf (May 2016)
`“19-Inch Rack,” Lite-On, accessed at https://liteon-
`cips.com/products/racks/19-inch-rack/
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`
`
`Exhibit No.
`1001
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`1002
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`1003
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`1004
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`1005
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`1006
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`1007
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`1008
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`1009
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`1010
`1012
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`1013
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`1014
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`1015
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`1016
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`Exhibit No.
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`1017
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`1018
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`1019
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`1020
`
`Description
`“Fiber Optic Rack Mount Enclosure, 3-Panel 1 RMS,” Computer
`Cable Store, accessed at
`https://www.computercablestore.com/fiber-optic-rack-mount-
`enclosure-3-panel-1-rms
`“Fiber Optic Connector Tutorial,” Fibermart, accessed at
`https://www.fiber-mart.com/news/fiber-optic-connector-tutorial-a-
`848.html
`U.S. Patent No. 5,615,293 to Sayegh (“Sayegh”)
`Complaint, Senko Advanvced Components, Inc. v. US Conec
`Ltd., Case No. 1:23-cv-00083 (D. Del.)
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`I, James F. Brennan III, Ph.D., hereby declare:
`
`I.
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`INTRODUCTION
`Scope of Engagement
`A.
`1.
`I have been retained as an expert witness by counsel for Petitioner US
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`Conec Ltd. (“Petitioner”) in connection with the above-captioned Inter Partes
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`Review (“IPR”) proceeding.
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`2.
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`I submit this Declaration in the above-captioned proceeding to
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`provide my expert opinion in support of Petitioner’s Petition for Inter Partes
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`Review of U.S. Patent No. 11,307,369 (the “’369 Patent,” EX1001). This is my
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`first of two Declarations against the ’369 Patent, where my first declaration covers
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`the alleged invention of claims 1-22 and my second declaration covers the alleged
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`invention of claims 23-40. I submit two declarations as I believe the Patent Owner
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`or Office will consider the claims scope of claims 1-22 and 23-40 to be different
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`requiring different prior art either in anticipation or obviousness of the claims.
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`3.
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`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. They may also be supplemented to rely on additional
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`information or opinions provided by the parties (or witnesses retained by the
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`parties) and issues that may arise.
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`B. Compensation
`Exponent charges a rate of $650 per hour for my time spent working
`4.
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`on this IPR in 2023 and a rate of $750 per hour for my time spent working on this
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`IPR in 2024. My compensation is not in any way dependent on the statements I set
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`forth herein or the outcome of this proceeding.
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`C.
`5.
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`Professional Qualifications, Education and Experience
`I am a Principal in Exponent’s Electrical Engineering and Computer
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`Science practice where I have consulted on numerous projects, many relating to
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`opto-mechanical device development, implementation, and function. I have
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`worked for Exponent since January 2012. Throughout my career, I have built and
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`utilized hundreds of electrical, electromechanical, laser, optical, and LED systems
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`for myriad applications.
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`6.
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`I hold an S.B. in electrical engineering and an S.M. in electrical
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`engineering and computer science from the Massachusetts Institute of Technology,
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`granted in 1987 and 1989, respectively. I also hold an Electrical Engineer degree
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`from the Massachusetts Institute of Technology, which was granted in 1991.
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`Throughout my graduate studies, I taught courses concerning electromagnetic field
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`and wave theory and applications, including optical systems.
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`7.
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`In 1995, I was granted a Ph.D. in physics and electrical engineering
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`from the Massachusetts Institute of Technology. During research for my Ph.D., I
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`designed and built electro-optical instrumentation to diagnose and treat human
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`pathologies, including various cancers and arterial diseases. During this work, I
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`built several investigational medical devices that utilized optical catheters, the
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`majority of which involved the use of optical fibers to deliver light to and collect
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`light from locations within the body. I designed and manufactured custom optical
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`fiber connectors, which often held several optical fibers, to interface these optical
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`catheters with various diagnostic and therapeutic equipment. These systems were
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`used at several locations such as the Cleveland Clinic Foundation, Leonard Morse
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`Hospital, Massachusetts General Hospital, Leiden Hospital in Leiden, The
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`Netherlands, and Erasmus University Medical Center in Rotterdam, The
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`Netherlands.
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`8.
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`I was a Senior Research Specialist at 3M Company’s
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`Telecommunications Systems Division where I developed passive optical
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`components that addressed the telecommunications and sensor industries, which
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`became the cornerstone of the 3M Optical Components business unit. I invented a
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`direct-write laser machining technology for producing fiber gratings of arbitrary
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`reflectivity profiles and lengths and utilized the method to make chromatic
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`dispersion compensators for use in long-haul optical communications systems. I
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`led teams that developed and sold products throughout the world, such as specialty
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`optical fibers, pump stabilizers, dispersion compensators, optical connectors,
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`junction boxes, and Bragg gratings. Many of these components were tested
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`extensively on our optical communications testbed, which I built and maintained. I
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`was on the team that transferred the manufacturing of many of these devices to
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`Singapore facilities.
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`9.
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`I was Vice President of Research and Development at Raydiance,
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`Inc., where I staffed and led the entire development team and designed and built
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`high-power fiber laser systems capable of producing ultrashort pulses at ablation-
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`level energies for use in laser machining and surgery. This work resulted in several
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`recognitions and awards for the product and the corporation, including the Red
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`Herring 100 North America Award and recognition as a finalist in the “Most
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`Innovative Company” category in the 2008 American Business Awards. These
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`laser systems utilized highly specialized optical fibers and optical fiber amplifiers
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`that required innovative optical connections between the various optical fiber
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`components.
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`10.
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`I previously served as the Chief Science Officer at Prescient Medical,
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`Inc., where I led the development of an optical catheter system for the diagnosis of
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`coronary artery disease by utilizing Raman spectroscopy, which incorporated laser
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`light sources. Commercial multi-fiber connectors (MTP/MPO) were adapted to
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`interface these optical catheters with custom spectroscopic equipment.
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`I have been an active researcher with more than 75 journal and
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`11.
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`conference papers and 5 book chapters published. I have been granted 34 United
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`States patents, with others pending. At various times in my career, I have been a
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`member of the Optical Society of America (“OSA”), the International Society for
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`Optics and Photonics, and the Institute for Electrical and Electronics Engineers
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`(“IEEE”). I was a committee member for OSA’s 2007 conference on optical fiber
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`communications and also a committee member for OSA’s Bragg Gratings,
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`Photosensitivity, and Poling topical conference for 1999, 2001, and 2003. I have
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`been a regular reviewer for IEEE Photonics Technology Letters, as well as several
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`other journals.
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`12.
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`I am on the American National Standards Institute’s (“ANSI”)
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`subcommittee for ANSI Z136.3 “Safe Use of Lasers in Health Care,” ANSI
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`Z136.9, “Safe Use of Lasers in Manufacturing Environments,” and ANSI
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`Technical Subcommittee 1 (TSC1), “Biological Effects and Medical Surveillance
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`of the Accredited Standards Committee (ASC Z136) on Laser Safety.”
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`13. My curriculum vitae is filed herewith as EX1006.
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`Publications and Patents
`D.
`14. A comprehensive list of publications and patents is included in my
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`curriculum vitae filed herewith as EX1006.
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`E. Materials Considered
`15. For purposes of this Declaration, I have reviewed and, where
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`applicable, relied upon the information and/or teachings of the documents
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`identified in the “Table of Materials Considered” above. I have used the same
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`exhibit numbers for the same documents and the same full list of exhibits for the
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`Table of Materials Considered in both my first and second Declaration regardless
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`of whether the exhibit is required for both proceedings for consistency and ease of
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`use of my first and second Declarations by the Office.
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`16.
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`I also base my opinions on my education and professional experience
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`in the field of electrical engineering and electro-optics.
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`17.
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`I confirm that to the best of my knowledge the accompanying exhibits
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`are true and accurate copies of what they purport to be, and that an expert in the
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`field would reasonably rely on them to formulate opinions such as those set forth
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`in this Declaration.
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`II. LEGAL STANDARDS FOR INVALIDITY
`I understand that in inter partes review proceedings, a patent claim is
`18.
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`construed using the same standard that would be used in a civil action, and that a
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`claim should be construed in accordance with the ordinary and customary meaning
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`of the claim as it would be understood by a person of ordinary skill in the art
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`(“POSITA”).
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`19. While I am neither a patent lawyer nor an expert in patent law, I have
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`been informed of the applicable legal standards for anticipation and obviousness. I
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`have relied upon these legal principles, as explained to me by counsel, in forming
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`my opinions set forth in this Declaration.
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`20.
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`I understand that a patent may be deemed invalid based on
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`anticipation or obviousness over the prior art. I understand that to anticipate a
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`claim under 35 U.S.C. § 102, a prior art reference must disclose each and every
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`element of the claim.
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`21.
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`It is my understanding that a patent can be found invalid for several
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`reasons. It is my understanding that these reasons include, among others: (i) being
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`anticipated by the prior art; or (ii) being obvious in view of the prior art. My
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`understanding of each of these bases for invalidity is discussed in greater detail
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`below.
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`22.
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`In addition, I understand that objective evidence of non-obviousness
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`such as (i) commercial success, (ii) long-felt but unresolved need, (iii) failure of
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`others, (iv) skepticism by experts, and (v) unexpected results should also be
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`considered in determining whether a claim would have been obvious, if relevant.
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`23.
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`I understand that in undertaking an invalidity analysis, the claims are
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`to be interpreted from the perspective of a POSITA.
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`A. Anticipation
`I understand that one way to show that a patent claim is invalid is to
`24.
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`show that the claim is anticipated by a prior art reference. I understand this to mean
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`that the patent claim is not new or novel in view of the prior art.
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`25.
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`I further understand that to determine whether a prior art reference
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`anticipates a patent claim requires a comparison of the claim language to the prior
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`art on a limitation-by-limitation basis. I have been informed that a prior art
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`reference “anticipates” under 35 U.S.C. § 102 and renders a patent claim invalid if
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`all of the claim’s limitations are expressly or inherently disclosed in that single
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`prior art reference. The disclosure in the prior art reference does not have to use the
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`same words as the claim, but all of the requirements of the claim must be expressly
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`or inherently present.
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`26.
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`I have been informed of the scope of prior art that can be used in an
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`anticipation analysis as set forth in 35 U.S.C. § 102. In particular, I understand that
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`a patent or publication generally qualifies as prior art to an asserted patent claim if
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`it was published prior to the invention of the asserted patent claim or more than
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`one year before the filing date of the application of the asserted patent. I further
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`have been informed that a patent issued on a patent application filed before the
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`invention of the asserted patent claim also is generally prior art to the asserted
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`patent claim. I am aware some exceptions may apply based on, e.g., the same
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`inventors of the asserted patent being the inventors of a prior art reference.
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`27.
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`I understand that a prior art reference anticipates a patent claim when
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`the claim limitations not expressly found in that reference are nonetheless inherent
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`in it. I understand that express disclosure means that the subject matter is clearly
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`described in the prior art reference.
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`28.
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`I understand that when a limitation is inherent in the prior art
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`reference, that limitation is not clearly described in the prior art reference but is a
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`natural result flowing from the explicit disclosure of the prior art. I understand that
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`for a claimed element to be inherently present within a prior art document, it must
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`be necessarily present. That is, the prior art reference must necessarily function in
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`accordance with or include the claimed element. I understand that inherency may
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`not be established by probabilities or possibilities—the mere fact that a certain
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`thing may result from a given set of circumstances is not sufficient.
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`29.
`
`I understand that in some cases, the inherent property corresponds to a
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`claimed new benefit or characteristic of a purported invention otherwise in the
`
`prior art. I further understand that when a prior art method is at issue, the inherent
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`anticipation examines the natural and inherent results in that method without
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`regard to the full recognition of those benefits or characteristics within the art field
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`at the time of the prior art disclosure.
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`B. Obviousness
`I have been informed that a patent claim is invalid as being obvious in
`30.
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`view of the prior art if the differences between the patented subject matter and the
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`prior art are such that the subject matter as a whole would have been obvious at the
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`time of the invention to a person having ordinary skill in the art. See 35 U.S.C.
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`§ 103. In making a determination of obviousness, I understand that the following
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`factors are analyzed: (i) the scope and content of the prior art; (ii) the differences,
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`if any, between the prior art and the claims at issue; (iii) the level of ordinary skill
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`in the pertinent art; and (iv) objective evidence of non-obviousness, if any exists.
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`31.
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`I have been informed that any of the following rationales are some of
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`the acceptable bases for the conclusion that a claim is obvious: (i) the claimed
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`invention is simply a combination of prior art elements according to known
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`methods to yield predictable results; (ii) the claimed invention is a simple
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`substitution of one known element for another to obtain predictable results; (iii) the
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`claimed invention uses known techniques to improve similar devices (methods, or
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`products) in the same way; (iv) the claimed invention was “obvious to try” because
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`it was a choice from a finite number of identified, predictable solutions, with a
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`reasonable expectation of success; (v) there is known work in one field of endeavor
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`that may prompt variations of it for use in either the same field or a different one
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`based on design incentives or other market forces, if the variations would have
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`been predictable to a POSITA; or (vi) there is some teaching, suggestion, or
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`motivation in the prior art that would have led a POSITA to modify the prior art
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`references or to combine prior art reference teachings to arrive at the claimed
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`invention.
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`32.
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`I have been informed that in order for a patent claim to be considered
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`obvious, at the time the invention was made, each and every limitation of the claim
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`must be present within the prior art, or within the prior art in combination with the
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`general knowledge held by a POSITA, and that such a person would have a
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`reasonable expectation of success in combining these teachings to achieve the
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`claimed invention. I also understand that the reason to select and combine features,
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`the predictability of the results of doing so, and a reasonable expectation of success
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`of doing so may be found in the teachings of the prior art themselves, in the nature
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`of any need or problem in the field that was addressed by the patent, in the
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`knowledge of a POSITA in the field at the time, as well as in common sense or the
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`level of creativity exhibited by a POSITA. There need not be an express or explicit
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`suggestion to combine references.
`
`33.
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`I understand that substituting one known element for another known
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`element would have been obvious when it leads to reasonably predictable results.
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`34.
`
`I understand that a combination of elements would have been obvious
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`when a POSITA has a good reason to pursue the combination, which is among a
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`finite number of known options within his or her technical grasp, and leads to
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`reasonably expected results.
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`35. A prior art reference can be said to teach away when a POSITA would
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`be discouraged from following the path set out in the reference or would be led in a
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`direction divergent from the path that was taken in the claimed invention. The
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`mere disclosure of more than one alternative does not constitute a teaching away
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`from alternatives that are not disclosed when the prior art does not criticize,
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`discredit, or otherwise discourage the solution claimed in the alleged invention.
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`Similarly, a prior art reference that merely expresses a general preference for an
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`alternative invention does not teach away.
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`36.
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`I have relied upon this understanding of the applicable legal standards
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`in reaching my opinion set forth in this Declaration.
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`C. Miscellaneous
`I understand that Petitioner has the burden of proving unpatentability
`37.
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`by a preponderance of evidence, which means that the claims are more likely than
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`not to be unpatentable.
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`38.
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`I also understand that the claims are to be construed according to the
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`same claim construction standard that district courts use wherein claim terms are
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`given their ordinary and customary meaning from the perspective of a POSITA at
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`the time of the invention.
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`Case IPR2024-00115
`U.S. Patent No. 11,307,369
`39. The analysis in this Declaration is in accordance with the above-stated
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`legal principles.
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`III. LEVEL OF ORDINARY SKILL IN THE ART
`I understand that the level of ordinary skill may be reflected by the
`40.
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`prior art of record and that a POSITA to which the claimed subject matter pertains
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`would have the capability of understanding the scientific and engineering
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`principles applicable to the pertinent art.
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`41.
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`I understand that there are multiple factors relevant to determining the
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`level of ordinary skill in the pertinent art, including (1) the levels of education and
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`experience of persons working in the field at the time of the invention; (2) the
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`sophistication of the technology; (3) the types of problems encountered in the field;
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`and (4) the prior art solutions to those problems.
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`42.
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`I am very familiar with the knowledge and capabilities that a POSITA
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`would have possessed in the subject area in fiber optics. Specifically, my education
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`and experience in the industry and with engineers practicing in the industry during
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`the relevant time period allowed me to become personally familiar with the
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`knowledge and capabilities of a person of ordinary skill in the area of fiber optics.
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`Unless otherwise stated, my testimony below refers to the knowledge of a POSITA
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`in the field of fiber optics at the time of the priority date of the ’369 Patent, which I
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`understand is July 14, 2017.
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`Case IPR2024-00115
`U.S. Patent No. 11,307,369
`In my opinion, a POSITA of the ’369 Patent at the time of its earliest
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`43.
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`claimed priority date would have been a person having: (1) at least a bachelor’s
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`degree in mechanical engineering, electrical engineering, physics, or a related field
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`and three years of experience in fiber optics and fiber optic connectors; (2) a
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`master’s degree in mechanical engineering, electrical engineering, physics, or a
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`related field and at least one year of experience in fiber optics and fiber optic
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`connectors; or (3) industry experience (at least five years) designing fiber optic
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`connectors in lieu of a formal degree.
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`44.
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`I believe such a POSITA would have been capable of understanding
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`the ’369 Patent and the prior art references discussed herein. This level of skill in
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`the art would apply at the earliest priority date of the ’369 Patent, which I
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`understand is July 14, 2017.
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`45. Based upon my education, training, and professional experience in the
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`field of the claimed invention, I am familiar with the level and abilities of a
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`POSITA at the time of the claimed invention. Additionally, although my
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`qualifications exceed those of the hypothetical POSITA defined above, my
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`analysis and opinions regarding the ’369 Patent have been rendered from the
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`perspective of a POSITA at the time of the invention.
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`46. My analysis is intended to reflect how a POSITA would have
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`understood the ’369 Patent claims as of the priority date, even if I use the present
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`tense.
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`IV. BACKGROUND OF THE TECHNOLOGY
`47. My discussion of the background of the technology is intended to
`
`provide some context for my later analysis of the ’369 Patent and prior art. This
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`discussion provides a high-level overview of the components, but it is not intended
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`to reflect the meaning of any particular claim term in a patent, which must be
`