UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`$’ %&#!
`
`Petitioner,
`
`v.
`
`LARGAN PRECISION CO., LTD.,
`
`Patent Owner.
`__________________
`
`U.S. Patent No. 8,988,796
`
`Filing Date: December 13, 2013
`Issue Date: March 24, 2015
`
`Title: Image Capturing Lens System, Imaging Device and Mobile Terminal
`__________________
`
`DECLARATION OF WILLIAM T. PLUMMER, Ph.D.
`
` Ex.1007
`
`HP,
`
`
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`$’ %&#!
`
`Petitioner,
`
`v.
`
`LARGAN PRECISION CO., LTD.,
`
`Patent Owner.
`__________________
`
`U.S. Patent No. 8,988,796
`
`Filing Date: December 13, 2013
`Issue Date: March 24, 2015
`
`Title: Image Capturing Lens System, Imaging Device and Mobile Terminal
`__________________
`
`DECLARATION OF WILLIAM T. PLUMMER, Ph.D.
`
` Ex.1007
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`HP,
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`
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`TABLE OF CONTENTS
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`Page
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`I.
`
`Introduction ..................................................................................................... 1
`
`II. Qualifications .................................................................................................. 2
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`III. Legal Standards .............................................................................................. 7
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`IV. Bases of Opinions and Materials Considered ................................................. 9
`
`V.
`
`Summary of My Opinions ............................................................................ 10
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`VI. U.S. Patent No. 8,988,796 ............................................................................ 10
`
`A. Overview ............................................................................................ 10
`
`B.
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`File History ......................................................................................... 17
`
`VII. Technology Background & The State of the Art.......................................... 18
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`VIII. Person of Ordinary Skill in the Art ............................................................... 29
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`IX. Claim Construction ....................................................................................... 30
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`X.
`
`Overview of U.S. Patent No. 9,097,860 (“Yu”) ........................................... 30
`
`A.
`
`Taiwan Application No. 102131525 .................................................. 32
`
`XI. Overview of U.S. Patent Application Publication No. 2004/0012861
`(“Yamaguchi”) .............................................................................................. 44
`
`XII. Ground 1: Yu Renders Claims 1-11, and 15-25 Obvious. ........................... 48
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`A.
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`Claim 1 ............................................................................................... 48
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`-i-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`-ii-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`D.
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`Claim 4: “The image capturing lens system of claim 2, wherein
`the axial distance between the object-side surface of the first
`lens element and the image-side surface of the fourth lens
`element is Td, and the following condition is satisfied: 0.8
`mm<Td<2.5 mm.” .............................................................................. 79
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`-iii-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`I.
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`Claim 10: “The image capturing lens system of claim 8,
`wherein a sum of the central thicknesses of the first lens
`element, the second lens element, the third lens element, and
`the fourth lens element is #CT, the axial distance between the
`object-side surface of the first lens element and the image-side
`surface of the fourth lens element is Td, and the following
`condition is satisfied: 0.80<#CT/Td<0.95.” ...................................... 86
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`-iv-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`TABLE OF CONTENTS
`(continued)
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`Page
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`TABLE OF CONTENTS
`(continued)
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`Page
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`-vii-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`XIII. Ground 2: Yamaguchi in View of Yu Renders Claims 1-11, 15-16,
`and 19-24 Obvious. ..................................................................................... 117
`
`A. Obvious Design Changes ................................................................. 117
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`-viii-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`TABLE OF CONTENTS
`(continued)
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`Page
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`G.
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`Claim 6: “The image capturing lens system of claim 2, wherein
`a curvature radius of the object-side surface of the second lens
`element is R3, a curvature radius of the image-side surface of
`the second lens element is R4, and the following condition is
`satisfied: 0.5<(R3+R4)/(R3-R4)<2.5.” ............................................ 170
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`-x-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`L.
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`Claim 11: “The image capturing lens system of claim 8,
`wherein an Abbe number of the first lens element is V1, and the
`following condition is satisfied: 45<V1.” ........................................ 181
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`-xi-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`TABLE OF CONTENTS
`(continued)
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`Page
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`-xiii-
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`TABLE OF CONTENTS
`(continued)
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`Page
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`S.
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`Claim 23: “The image capturing lens system of claim 21,
`wherein an Abbe number of the first lens element is V1, and the
`following condition is satisfied: 45<V1.” ........................................ 195
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`-xiv-
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`EXHIBIT LIST
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`Exhibit 1001 U.S. Patent No. 8,988,796 (“’796 patent”)
`Exhibit 1002 File history of the ’796 patent
`Exhibit 1003 U.S. Patent No. 9,097,860 (“Yu”)
`Exhibit 1004 File history of Yu
`Exhibit 1005 Certified translation of Taiwan Application No. 102131525
`Exhibit 1006 U.S. Patent Application Publication No. 2004/0012861
`(“Yamaguchi”)
`Exhibit 1007 Declaration of William T. Plummer, Ph.D.
`Exhibit 1008 Code V Introductory User’s Guide, Code V 9.7 (October 2006)
`Exhibit 1009 OSLO Optics Reference, Version 6.1 (2001)
`Exhibit 1010 ZEMAX Optical Design Program User’s Guide (August 1, 2006)
`Exhibit 1011 U.S. Patent Application Publication No. 2012/0147249 (“Okano”)
`Exhibit 1012 WO 2013/125248 A1 (“Sugiyama”)
`Exhibit 1013 Certified translation of WO 2013/125248 A1 (“Sugiyama”)
`Exhibit 1014 Arthur Cox, A System of Optical Design (1964)
`Exhibit 1015 Warren J. Smith, Modern Optical Engineering (3d ed. 2000)
`Exhibit 1016 Warren J. Smith, Modern Lens Design (2d ed. 2005)
`Exhibit 1017 Warren J. Smith, Modern Optical Engineering (2d ed. 1990)
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`
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`-xv-
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`I.
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`1.
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`INTRODUCTION
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`I, William T. Plummer, Ph.D. make this declaration on behalf of "$ #&%!
`
`(“"$”) in connection with "$’s petition for inter partes review of U.S. Patent No.
`
`8,988,796 (“’796 patent”) assigned to Largan Precision Co. Ltd.
`
`2.
`
`I make this declaration based on my personal knowledge. I am over the age
`
`of twenty-one and competent to make this declaration. The statements in this
`
`declaration include my opinions, and the bases for those opinions, regarding the
`
`’796 patent.
`
`3.
`
`I have been asked by "$ to provide my opinion as to whether certain claims
`
`of the ’796 patent were disclosed in certain prior art patents that predate the
`
`’796 patent. This declaration contains my opinions and explains how I arrived at
`
`those opinions.
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`4.
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`I am being compensated for my work on this matter at my standard hourly
`
`rate of $520 ($260 for travel). My compensation is in no way dependent on the
`
`outcome of this inter partes review. The opinions expressed in this declaration are
`
`my own.
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`II. QUALIFICATIONS
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`5.
`
`I have been the President of WTP Optics since 2002. WTP Optics provides
`
`consulting services relating to the design, engineering, and manufacture of camera
`
`optical systems.
`
`6.
`
`As set forth below, I have worked in, and taught college-level classes relating
`
`to, the field of optics and optical systems including camera optical systems for more
`
`than 40 years. A copy of my curriculum vitae, detailing my educational
`
`background, professional and teaching experience, patents, and publications is
`
`attached hereto as Appendix A.
`
`7.
`
`I received my B.A. degree in Physics and Mathematics from the Johns
`
`Hopkins University in 1960, and my Ph.D. in Physics from the Johns Hopkins
`
`University in 1965. From 1991 to the present, I have been appointed as Senior
`
`Lecturer in the Mechanical Engineering Department of the Massachusetts Institute
`
`of Technology, and have been a member of various Ph.D. dissertation committees at
`
`MIT from 2004 to the present.
`
`8.
`
` From 1984 to 1988, I served as Visiting Industry Professor, Electro-Optics
`
`Technology Center, Electrical Engineering Department at Tufts University
`
`(Medford, Massachusetts), and in 1991-1992, I personally supervised a Ph.D.
`
`dissertation on lens design for a Tufts University student.
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`9.
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`From 1967 to 1969, I served as Assistant Professor, Physics and Astronomy,
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`at the University of Massachusetts (Amherst). At the University of Massachusetts, I
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`taught a course in astronomical optics, including lens design and geometrical and
`
`physical optics for graduate students. During that time, I cleaned and overhauled the
`
`mechanical and optical systems of the 18” diameter refractive telescope at Amherst
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`College and the 20” diameter reflective telescope at the University of Massachusetts.
`
`10.
`
`From 1960 to 1964, I taught an optics laboratory course for graduate students
`
`at the Johns Hopkins University concerning light, lenses, lens aberrations, and
`
`testing lenses.
`
`11.
`
`From 1969 to 2001, I worked at Polaroid Corporation (Cambridge,
`
`Massachusetts) on lens design, mechanics, electronics, and engineering. My work
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`included optical design of Polaroid’s SX-70 Single Lens Reflex folding camera,
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`OneStep and Sun camera series, Spectra camera, Captiva camera and other Polaroid
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`camera products, and the design and development of the associated manufacturing
`
`instrumentation and tooling required for these products.
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`12. While working at Polaroid, I was appointed Director of Optical Engineering
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`in 1978 and Senior Director / Divisional Vice President in 1997. I directly
`
`collaborated with and supervised the work of several lens designers and other
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`professionals. The lens designers included internationally known designers David S.
`
`Grey, James G. Baker, and Ellis Betensky, each working for me as a consultant.
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`13.
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`In 2000, I was elected to the Polaroid Technology Hall of Fame. I am a
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`named inventor on 102 U.S. patents, mostly relating to the design and manufacture
`
`of optical components and systems. Many of my patents relate to digital and film
`
`cameras. These include U.S. Patent No. 3,836,931, Eye Lens in a Single Lens
`
`Reflex Camera Viewfinder for Providing Field Tilt Compensation; U.S. Patent No.
`
`3,902,792, Landscape Lens; U.S. Patent No. 3,904,294, Automatic Lens Testing
`
`Apparatus; U.S. Patent No. 4,102,581, Unicell Photoelectric Photometer; U.S.
`
`Patent No. 4,105,308, Aspheric Plastic Triplet; U.S. Patent No. 4,157,216, Adaptor
`
`for Optically Coupling a Photographic Camera with a Viewing Device; U.S. Patent
`
`No. 4,443,067, Zone Focusing Optical System; U.S. Patent No. 4,498,748, Camera
`
`for Photographing Scale Models; U.S. Patent No. 4,650,292, Analytic Function
`
`Optical Component; U.S. Patent No. 5,260,828, Methods and Means for Reducing
`
`Temperature-Induced Variation in Lenses and Lens Devices; U.S. Patent No.
`
`5,327,291, Compact Objective Lens; U.S. Patent No. 6,643,390, Compact
`
`Fingerprint Identification System; U.S. Patent No. 7,426,020, System for Print
`
`Imaging with Prism Illumination Optics.
`
`14.
`
`I have published more than forty articles in professional publications,
`
`including Applied Optics and Optics & Photonic News. I have presented more than
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`fifty illustrated optical technical talks before university, scientific, industrial,
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`government, and commercial groups in several countries. A listing of these patents,
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`publications, and presentations is included in my attached curriculum vitae.
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`15.
`
`I am a Fellow of the Optical Society of America and of the Society of Photo-
`
`Optical Instrumentation Engineers, now abbreviated as SPIE. In 1999, I was elected
`
`to membership in the National Academy of Engineering in recognition of my
`
`contributions to optical science and engineering, and for leadership in high-volume
`
`manufacturing of precision optics.
`
`16.
`
`I have received numerous awards from the Optical Society of America and
`
`other organizations in the optics industry. In 1980, I was awarded the David
`
`Richardson Medal for applied optics from the Optical Society of America for my
`
`optical and mechanical contributions to the design team, led by Dr. Edwin H. Land,
`
`which designed the Polaroid SX-70 Land Camera. In 1997, I was awarded the
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`Robert M. Burley Prize for optical engineering, and the Joseph Fraunhofer Award
`
`for optical engineering, for my accomplishments in photographic product design and
`
`development, both from the Optical Society of America. In 2006, I received the
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`Steve Benton Memorial Award from the New England Section, O.S.A.
`
`17. After leaving Polaroid in 2001, I was almost immediately contacted by SMaL
`
`Camera Technologies for help with a problem obtaining their needed production of a
`
`new digital camera lens. I asked whether the problem was with the design or with
`
`the manufacture, and learned that both were issues. I introduced SMaL to my
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`colleagues still at Polaroid and arranged to have a new lens design calculated for
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`their need. The new design comprised four plastic elements of size and complexity
`
`similar to those of the ’796 patent. The third and fourth lens elements were strongly
`
`aspheric to limit the angle by which light rays hit the digital sensor. By September
`
`2004, the new lens was in production by Asia Optical, in DongGuan, China. But
`
`there were minor quality and testing problems. At SMaL’s request, I measured the
`
`optical properties of some sample lenses. I then visited Asia Optical, reviewed the
`
`design, the manufacturing, and the test procedures with them, and suggested new
`
`ways to improve their costs and the quality yield. These suggestions included a
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`method to reduce the design sensitivity to imperfect centering of the two sides of the
`
`third lens element, a way to mold the lenses more consistently, and an improvement
`
`to the test procedure. Asia Optical thanked me for this help. The SMaL camera was
`
`sold commercially under various names, including the Radio Shack Flatfoto, the
`
`same size as a credit card, with a collapsed thickness of 7.5 mm.
`
`18.
`
` As a result of my experience, I am familiar with the design, operation, and
`
`functionality of components of camera optical and mechanical systems.
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`19.
`
`Further details regarding my employment and academic history are included
`
`in my curriculum vitae, attached as Appendix A.
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`III. LEGAL STANDARDS
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`20.
`
`I have been asked to provide my opinion as to whether certain claims of the
`
`’796 patent are anticipated or would have been obvious to a person of ordinary skill
`
`in the art at the time of the invention in view of the prior art.
`
`21.
`
`I am an engineer by training and profession. The opinions I am expressing in
`
`this report involve the application of my knowledge and experience to the evaluation
`
`of certain prior art with respect to the ’796 patent. My formal knowledge of patent
`
`law is no different than that of any lay person. Therefore, I have requested the
`
`attorneys from Maynard Cooper, who represent HP, to provide me with guidance
`
`as to the applicable law in this matter. The paragraphs below express my understanding
`
`of how I must apply current principles related to patent validity to my analysis.
`
`22.
`
`It is my understanding that in determining whether a patent claim is
`
`anticipated or obvious in view of the prior art, the Patent Office must apply the
`
`Phillips standard to construe the claim by giving the claim its ordinary and
`
`customary meaning, consistent with the specification and prosecution history.
`
`23.
`
`It is my understanding that a claim is anticipated under 35 U.S.C. § 102 if
`
`each and every element and limitation of the claim is found either expressly or
`
`inherently in a single prior art reference.
`
`24.
`
`It is my understanding that a claim is unpatentable under 35 U.S.C. § 103 if
`
`the claimed subject matter as a whole would have been obvious to a person of
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`ordinary skill in the art at the time of the invention. I also understand that an
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`obviousness analysis takes into account the scope and content of the prior art, the
`
`differences between the claimed subject matter and the prior art, and the level of
`
`ordinary skill in the art at the time of the invention.
`
`25.
`
`In determining the scope and content of the prior art, it is my understanding
`
`that a reference is considered analogous prior art if it falls within the field of the
`
`inventor’s endeavor. In addition, a reference is analogous prior art if it is reasonably
`
`pertinent to the particular problem with which the inventor was involved. A
`
`reference is reasonably pertinent if it logically would have commended itself to an
`
`inventor’s attention in considering his problem. If a reference relates to the same
`
`problem as the claimed invention, that supports use of the reference as prior art in an
`
`obviousness analysis.
`
`26.
`
`To assess the differences between prior art and the claimed subject matter, it
`
`is my understanding that 35 U.S.C. § 103 requires the claimed invention to be
`
`considered as a whole. This “as a whole” assessment requires showing that one of
`
`ordinary skill in the art at the time of invention, confronted by the same problems as
`
`the inventor and with no knowledge of the claimed invention, would have selected
`
`the elements from the prior art and combined them in the claimed manner.
`
`27.
`
`It is my further understanding that the Supreme Court has recognized several
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`rationales for combining references or modifying a reference to show obviousness of
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`claimed subject matter. Some of these rationales include: combining prior art
`
`elements according to known methods to yield predictable results; simple
`
`substitution of one known element for another to obtain predictable results; a
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`predictable use of prior art elements according to their established functions;
`
`applying a known technique to a known device (method or product) ready for
`
`improvement to yield predictable results; choosing from a finite number of
`
`identified, predictable solutions, with a reasonable expectation of success; and some
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`teaching, suggestion, or motivation in the prior art that would have led one of
`
`ordinary skill in the art to modify the prior art reference or to combine prior art
`
`reference teachings to arrive at the claimed invention.
`
`IV. BASES OF OPINIONS AND MATERIALS CONSIDERED
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`28. My opinions are based on my review of the ’796 patent (Ex. 1001), the file
`
`history of the ’796 patent (Ex. 1002), U.S. Patent No. 9,097,860 (“Yu”) (Ex. 1003),
`
`the file history of Yu (Ex. 1004), the certified translation of Taiwan Application No.
`
`102131525 (Ex. 1005), U.S. Patent Application Publication No. 2004/0012861
`
`(“Yamaguchi”) (Ex. 1006), Code V Introductory User’s Guide (Ex. 1008), OSLO
`
`Optics Reference (Ex. 1009), ZEMAX Optical Design Program User’s Guide (Ex.
`
`1010), U.S. Patent Application Publication No. 2012/0147249 (“Okano”) (Ex.
`
`1011), the certified translation of WO 2013/125248 A1 (“Sugiyama”) (Ex. 1013), A
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`System of Optical Design by Arthur Cox (Ex. 1014), Modern Optical Engineering
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`(3d ed. 2000) by Warren J. Smith (Ex. 1015), Modern Lens Design (2d ed. 2005) by
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`Warren J. Smith (Ex. 1016), Modern Optical Engineering (2d ed. 1990) by Warren
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`J. Smith (Ex. 1017), and the documents referenced within the body of this
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`declaration.
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`V.
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`SUMMARY OF MY OPINIONS
`
`29.
`
`In my opinion Yu renders claims 1-11, and 15-25 of the ’796 patent obvious.
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`30.
`
`In my opinion Yamaguchi in view of Yu renders claims 1-11, 15-16, and 19-
`
`24 of the ’796 patent obvious.
`
`VI. U.S. PATENT NO. 8,988,796
`
`A.
`
`Overview
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`31. U.S. Patent No. 8,988,796 (“’796 patent”) is titled “Image Capturing Lens
`
`System, Imaging Device and Mobile Terminal.” Ex. 1001, [54].
`
`32.
`
`The ’796 patent “relates to a compact image capturing lens system applicable
`
`to a mobile terminal.” Ex. 1001, 1:14-16. The ’796 patent recites that demand
`
`driven by “the popularity of mobile terminals having camera functionalities” and
`
`reductions in “the pixel size of sensors” has increased demand for smaller optical
`
`systems. Ex. 1001, 1:18-25. The ’796 patent asserts that it discloses a lens system
`
`that in an improvement over “conventional compact optical systems provid[ing] a
`
`four-element lens structure.” Ex. 1001, 1:34-41.
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`33.
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`The ’796 patent’s lens system comprises four lens elements. Ex. 1001, 1:45-
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`48. The lens system is described with reference to the object-side (to the left of the
`
`lens system) and image-side (to the right of the lens system). In order from the
`
`object side to the image side, the lens system comprises the first, second, third, and
`
`fourth lens elements. Ex. 1001, 1:45-48. The first lens element 110, second lens
`
`element 120, third lens element 130, and fourth lens element 140 are shown in the
`
`Fig. 1A’s illustration of a first embodiment. Ex. 1001, 7:10-11, 7:17-23.
`
`34. One property of lenses is their refractive power. Lenses can have positive or
`
`negative refractive power. A lens with positive refractive power causes light
`
`entering the lens to converge upon its central axis and is thicker near its central axis.
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`A lens with negative refractive power causes light entering the lens to spread
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`through a wider angle and is thinner near its central axis. One way the ’796 patent
`
`describes its lens system is based on the refractive power of the individual lens
`
`elements. The ’796 patent discloses that “[t]he first lens element has refractive
`
`power”; it is positive in eight embodiments (1st, 2nd, 3rd, 6th, 7th, 8th, 9th, 10th)
`
`and negative in two embodiments (4th, 5th). Ex. 1001, 1:48-49, 7:24-28, 10:65-
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`11:2, 14:4-8, 16:23-27, 18:36-40, 20:38-42, 22:38-42, 24:38-42, 26:38-42, 28:37-41.
`
`The ’796 patent discloses that the second lens element has positive refractive power,
`
`and the third lens element has negative refractive power. Ex. 1001, 1:49-54. The
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`’796 patent discloses that the fourth lens element has refractive power, which is
`
`positive in all ten embodiments. Ex. 1001, 1:54-59, 7:39-43, 11:13-12:3, 14:21-25,
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`16:39-43, 18:52-56, 20:53-57, 22:53-57, 24:53-57, 26:53-57, 28:52-56.
`
`35. Another property of lenses is the shape of their surfaces. A lens has two
`
`surfaces, an object-side surface (on the left) and an image-side surface (on the right).
`
`A lens surface can be convex or concave. A convex surface protrudes outward, and
`
`a concave surface protrudes inward. By convention, this property is defined by the
`
`shape of the lens surface near its central axis, i.e., “in the paraxial region” in the
`
`language of the ’796 patent. The ’796 patent discloses that certain lens surfaces
`
`have a particular shape in all of its embodiments, i.e., the second lens element “has a
`
`convex image-side surface,” the third lens element “has a concave object-side
`
`surface” and “a convex image-side surface,” and the fourth lens element “has a
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`concave image-side surface.” Ex. 1001, 1:48-59. In the ’796 patent’s Fig. 1A, it is
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`easy to see the concave object-side surface (131) and the convex image-side surface
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`(132) of the third lens element (130).
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`36.
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`The concave or convex shape of a lens surface can be identified from other
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`information disclosed in the ’796 patent. For each embodiment, the ’796 patent
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`provides a table of “detailed optical data.” E.g., Ex. 1001, 9:5-6. Table 1 for the
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`first embodiment is reproduced below. The first column in this table identifies the
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`surface number. As indicated by the associated labels, some surfaces are lenses,
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`while others indicate the object (Surface No. 0), aperture stop (Surface No. 3), IR-
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`cut filter (Surface No. 10), or image (Surface No. 12). The numbering scheme
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`begins with the object (Surface No. 0) and increases from left to right (object-side to
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`image-side), ending with the image (Surface No. 12). In the second column, the
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`curvature radius of a surface is listed. For the non-lens surfaces (0, 3, 10-12),
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`“Plano” denotes a flat surface. Each lens surface (1-2, 4-9) has an associated
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`curvature radius defined in millimeters.
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`37.
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` A radius is positive if its center is to the right of the surface, and it is negative
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`if its center is to the left of the surface. For an object-side (left) surface of a lens,
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`this means that a positive radius denotes a convex surface that protrudes outward to
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`the left, and it means that a negative radius denotes a concave surface that protrudes
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`inward to the right. For an image-side (right) surface of a lens, this means that a
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`positive radius denotes a concave surface that protrudes inward to the left, and it
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`means that a negative radius denotes a convex surface protrudes outward to the
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`right.
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`38. As discussed above, the ’796 patent discloses that the third lens element 130
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`has a concave object-side surface 131 and a convex image-side surface 132. Ex.
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`1001, 1:51-54. In Table 1, the radius of curvature for both of these surfaces is
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`negative. The radius of the object-side surface 131 (Surface No. 6) is -0.228 mm,
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`and the radius of the image-side surface 132 (Surface No. 7) is -0.480 mm. Ex.
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`1001, Table 1. Table 1 confirms the text of the ’796 specification because, as
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`explained above, a negative radius denotes a concave object-side surface and a
`
`convex image-side surface.
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`39. Other values specified in the optical-data tables for the ’796 patent’s
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`embodiments include thickness, material, Abbe number, and focal length. E.g., Ex.
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`1001, Table 1. The thickness for a lens surface specifies either the thickness of the
`
`lens at its center from the object-side to the image-side if specified for the object-
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`side surface, or the distance from the image-side surface of a lens to the next surface.
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`For example, the third lens in Table 1 comprises object-side surface 6 and image-
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`side surface 7. Ex. 1001, Table 1. The thickness of 0.230 mm for surface 6 means
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`the third lens is 0.230 mm thick at the center, and the thickness of 0.030 mm for
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`surface 7 means that there is a space of 0.030 mm from the center of the image-side
`
`surface of the third lens to the object-side surface of the fourth lens (Surface No. 8).
`
`Ex. 1001, Table 1. The 0.019 mm thickness of the aperture stop (Surface No. 3) in
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`Table 1 denotes the space between the aperture stop and the object-side surface of
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`the second lens (Surface No. 4). Ex. 1001, Table 1. The material column indicates
`
`if a lens is made of glass or plastic; the index column provides the refractive index
`
`for a lens, which describes how fast light travels through the material; the Abbe
`
`number is a measure of how the material’s refractive index changes with the
`
`wavelength of light; and the focal length is a measure of how strongly the lens
`
`converges (positive focal length) or diverges (negative focal length) light.
`
`40.
`
`The ’796 patent also describes certain lenses as being aspheric. A spherical
`
`lens has a surface that has the shape of the surface of a sphere; an aspherical lens is
`
`non-spherical, having a surface with a more general shape with its height and
`
`curvature changing with distance from the optical axis. Such a surface gives a lens
`
`designer more options for producing a sharp image. The ’796 patent includes the
`
`following “equation of the aspheric surface profiles” and includes a table for each
`
`embodiment showing “the aspheric surface data,” which, along with the curvature
`
`radius defines the shape of the lens surface:
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`Ex. 1001, 7:52-8:2, Tables 2, 4, 6, 8, 10, 12, 14, 16, 18, 20.
`
`B.
`
`File History
`
`41. U.S. Patent Application No. 14/105,811, which issued as the ’796 patent, was
`
`filed on December 13, 2013. Ex. 1001, [21], [22]; Ex. 1002, 1. The ’796 patent
`
`asserts a claim of priority to Taiwan Application No. 102139029 filed in Taiwan on
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`October 29, 2013. Ex. 1001, 1:6-8; Ex. 1002, 4.
`
`42.
`
`The twenty-six claims in U.S. Patent Application No. 14/105,811 where
`
`allowed in the initial office action dated January 27, 2015. Ex. 1002, 210-14. The
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`Examiner provided little explanation of the reasons for allowance. The Examiner
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`stated: “Regarding claims 1, 15 and 21, the prior art fails to satisfy the conditions as
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`claimed.” Ex. 1002, 213. The Examiner also stated: “The prior art taken either
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`singly or in combination fails to anticipate or fairly suggest the limitations of the
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`-17-
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`independent claims, in such a manner that a rejection under 35 USC 102 or 103
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`would be improper.” Ex. 1002, 103.
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`VII. TECHNOLOGY BACKGROUND & THE STATE OF THE ART
`
`43.
`
`The earliest claimed priority date of the ’796 patent is October 29, 2013. By
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`that time, the art of lens design and manufacture was well advanced. The first kind
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`of lens that comes to mind is the popular magnifying glass, usually with a handle
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`attached. A magnifying glass has positive refractive power. This means that light
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`incident on it is caused to converge and may make some kind of image. On a sunny
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`day, that image can be hot enough to burn a leaf or paper. When a ray of light enters
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`the glass (or clear plastic) of a lens, it changes direction according to a well-known
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`relation known as Snel’s Law of refraction, dating from the 17th century. The
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`change in direction can be calculated easily because the ratio of the sines of the ray
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`angle entering the glass and the angle continuing through it is determined by the
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`refractive index of the glass, usually named N. This refractive index changes with
`
`wavelength, or color of the light, in a way that depends on the kind of glass (or
`
`plastic). The amount of change is specified by the Abbe number, commonly called
`
`V. Because of the law of refraction, the passage of light through a lens can be
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`calculated accurately from its geometry.
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`44. A magnifying glass has “positive” refractive power, and is usually made with
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`both of its surfaces convex, so that the lens is thicker at its center. But other shapes
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`are possible, such as one side being convex, and the other side flat or even slightly
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`concave. A lens designer uses these alternate shapes in perfecting the design for
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`some purposes, and would call the use of these other shapes “bending.” The figure
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`below from Jenkins & White, Fundamentals of Optics (attached as Appendix B),
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`illustrates bending.
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`45. A lens of negative refractive power is thinnest at its center. It may be concave
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`on both sides, or concave on one side but flat on the other, or may have one concave
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`side and one weaker convex side. Again, this range is called “bending.” When
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`viewed through a lens with negative refractive power, distant objects will appear
`
`shrunken.
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`46. As well as making printed material look larger, a magnifying glass can be
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`used to make an image of a distant subject, such as a window or a lamp, onto a piece
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`of paper, just as a photographic camera would make an image on film. That image
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`would be recognizable, but would have poor quality because of various kinds of
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`-19-
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`aberration, or blurring. The art of the lens designer is to make a lens that can
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`produce a clear image on the paper, or on photographic film, or on an electronic
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`sensor. Such a lens is more complicated than the magnifying glass. The designer
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`normally makes that improvement by assembling two or more individual lens
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`elements of different materials and shapes.
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`47.
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`Lens designers recognize five fundamental monochromatic “Seidel”
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`aberrations and two fundamental chromatic aberrations. The monochromatic
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`aberrations are Spherical Aberration, Coma, Astigmatism, Curvature of Field, and
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`Distortion. The chromatic aberrations are Axial and Lateral. Spherical Aberration is
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`the result when different annular zones on a lens focus at different distances. Coma
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`occurs when different annular zones on a lens have different effective focal lengths.
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`Astigmatism is a result of a lens having different focal lengths across different axes
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`on its surface. Curvature of Field is a problem when the distance to the focus
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`changes with angles away from the optical axis, forming a concave or convex best
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`image surface. Distorti
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