UNITED STATES INTERNATIONAL TRADE COMNIISSION
`
`WASHINGTON, D.C.
`
`Before the Honorable Paul J. Luckern
`
`Chief Administrative Law Judge
`
`In the Matter of
`
`.
`
`Inv. No. 337-TA-640
`
`PRODUCTS CONTAINING SAME
`
`CERTAIN SHORT-WAVELENGTH LIGHT
`
`EMITTING DIODES, LASER DIODES AND
`
`RESPONDENT TOSI-HBA CORPORATION’S IDENTIFICATION
`OF EXPERT WITNESSES
`
`In accordance with the Procedural Schedule issued in Order No. 50, Respondent Toshiba
`
`Corporation (“Toshiba”) hereby identifies the following individuals as expert witnesses: E. Fred
`
`Schubert, Simon Watkins, Giorgio Riga, Martin Sulsky, James J..Coleman, and Bruce Smith.
`
`Some or all of these experts may be called to testify at the hearing for this investigation either
`
`live, through witness statements, or by deposition and may submit Expert Reports and/or
`
`Rebuttal Expert Reports. The Curriculum Vitae of each named person is included as Exhibits A-
`
`F to this document.
`
`Mr. Schubert is expected to testify on the basic technical background and state of the art
`
`relevant to the asserted claims of the ’499 patent, interpretation of the asserted claims of the ’499
`
`patent, the design and operation of Toshiba’s accused products, Toshiba’s non-infringement of
`
`the asserted claims of the ’499 patent, invalidity of the ’499 patent, unenforceability of the ’499
`
`patent, and lack of domestic industry relevant to the asserted claims of the ’499 patent. Mr.
`
`Schubert is also expected to testify in rebuttal to address Complainant’s expert testimony.
`
`Attached as Exhibit A is a copy of Mr. Schubert’s curriculum vitae.
`
`WEST\2 1 652779.1
`3519l2—0OO009
`
`

`
`Dr. Watkins is expected to testify on the basic technical background and state of the art
`
`relevant to the asserted claims of the ’499 patent, interpretation of the asserted claims of the ’499
`
`patent, the design and operation of Toshiba's accused products, Toshiba’s non-infringement of
`
`the asserted claims of the ’499 patent, invalidity of the ’499 patent, unenforceability of the ’499
`
`patent, and lack of domestic industry relevant to the asserted claims of the ’499 patent. Dr.
`
`Watkins is also expected to testify in rebuttal to address Complainant’s expert testimony.
`
`Attached as Exhibit B is a copy of Dr. Watkins’s curriculum vitae.
`
`Mr. Riga is expected to testify on the basic technical background and state of the art
`
`relevant to the testing and analysis of Toshiba’s devices and Complainant’s domestic industry
`
`devices. Mr. Riga is also expected to testify in rebuttal to address Complainant's expert
`
`testimony with regard to the testing and analysis of Toshiba’s devices and Complainant’s
`
`domestic industry devices. Attached as Exhibit C is a copy of Mr. Riga’s curriculum vitae.
`
`Dr. Coleman is expected to testify on the basic technical background and state of the art
`
`relevant to the asserted claims of the ’499 patent, interpretation of the asserted claims of the ’499
`
`patent, the design and operation of Toshiba’s accused products, Toshiba’s non-infiringement of
`
`the asserted claims of the ’499 patent, invalidity of the ’499 patent, unenforceability of the ’499
`
`patent, and lack of domestic industry relevant to the asserted claims of the ’499 patent. Dr.
`
`Coleman is also expected to testify in rebuttal to address Complainant’s expert testimony.
`
`Attached as Exhibit D is a copy of Dr. Coleman’s curriculum Vitae.
`
`Dr. Sulsky is expected to testify as to‘ the invalidity and unenforceability of the ’499
`
`patent, including the issue of what a reasonable U.S. Patent and Trademark Patent Examiner
`
`would have done with specific knowledge of U.S. Patent No. 4,904,618 (“the ’6l8 patent”) and
`
`the references cited on the European Search Report in the foreign counterpart of the patent-in-
`
`WES'I'\21652779.1
`351912—ooooo9
`
`2
`
`

`
`suit and the ’6l8 patent during examination of the patent-in-suit. Attached as Exhibit E is a copy
`
`of Dr. Sulsky’s curriculum vitae.
`
`Dr. Smith is expected to testify on the basic technical background and state of the art
`
`relevant to the asserted claims of the ’499 patent, interpretation of the asserted claims of the ’499
`
`patent, the design and operation of GaN-based LEDs and/or LDs that may be used in Toshiba’s
`
`accused products, non-infringement of the asserted claims of the ’499 patent by GaN-based
`
`LEDs and/or LDs, invalidity of the ’499 patent, unenforceability of the ’499 patent, and lack of
`
`domestic industry relevant to the asserted claims of the ’499 patent. Dr. Smith is also expected
`
`to testify in rebuttal to address Complainant’s expert testimony. Attached as Exhibit F is a copy
`
`of Dr. Smith’s curriculum vitae.
`
`Toshiba reserves the right to withdraw experts and to supplement its expert witness list to
`
`address any new issues which may arise during ongoing discovery and to designate any
`
`additional expert Witnesses or topics they may opine on, to rebut any expert witnesses or topics
`
`designated by Complainant.
`
`Dated: February 2, 2008
`
`WEST\21652779.1
`351912-000009
`
`3
`
`Respectfully submitted,
`
`. owler, Esq.
`Ronald L. Yin, Esq.
`Gerald T. Sekimura, Esq.
`Megan Whyman Olesek, Esq.
`Vincent S. Lam, Esq.
`Marc C. Belloli, Esq.
`DLA Piper LLP (US)
`2000 University Avenue
`EastPa1o Alto, CA 94303
`Telephone: (650) 833-2000
`Facsimile: (650) 833-2001
`
`

`
`Charles F. Schill
`
`Alice A. Kipel
`Scott D. Watkins
`
`Jamie B. Beaber
`
`R. Whitney Winston
`STEPTOE & JOHNSON LLP
`
`1330 Connecticut Avenue, NW
`Washington, D.C. 20036
`Tel: 202.429.3000
`
`Fax: 202.429.3902
`
`Counselfor Toshiba Corporation
`
`WEST\21652779.1
`3s1912—ooooo9
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`
`

`
`CERTIFICATE OF SERVICE
`
`I, Laurie E. Ouchida, hereby certify that on February 2, 2009, a copy of RESPONDENT
`TOSHIBA CORPORATION’S IDENTIFICATION OF EXPERT WITNESSES Was served
`
`El Via Hand Delivery
`I:I Via Overnight Courier
`E Via E-Filing
`
`K4 Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`CID
`
`ECIEI
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`I:I Via Hand Delivery
`D Via Overnight Courier
`IE Via Electronic mail
`
`EDD
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`on the following as indicated:
`
`The Honorable Marilyn R. Abbott
`Secretary
`U.S. International Trade Commission
`
`500 E Street, S.W.
`Washington, D.C. 20436
`
`The Honorable Paul J. Luckem
`
`Chief Administrative Law Judge
`U.S. International Trade Commission
`
`500 E Street, S.W., Room 317-A
`Washington, D.C. 20436
`(2 copies)
`
`Jeffrey T. Hsu, Esq.
`Office of Unfair Import Investigations
`US. International Trade Commission
`
`500 E Street, S.W., Room 404-]
`Washington, D.C. 20436
`Email: jeffrey.hsu@usitc. gov
`
`For Complainant Gertrude Neumark Rothschild,
`Ltd. :
`
`Albert L. Jacobs, Jr., Esq.
`ALBERT JACOBS LLP
`
`900 Third Avenue, Suite 502
`
`New York, NY 10022
`Email: GNR337@jacobsiplaw.com
`
`Co-Counsel for Respondent Toshiba Corporation:
`
`Charles F. Schill, Esq.
`STEPTOE & JOHNSON LLP
`
`1300 Connecticut Avenue, NW
`Washington, DC 20036
`Email: Toshiba-LED@steptoe.com
`
`WEST\2l588349.l
`
`

`
`EEC!
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`DE!
`
`Via Hand Delivery
`Via Overnight Courier
`K4 Via Electronic mail
`
`EDD
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`For Respondent Avago Technologies:
`
`Smith R. Brittingham IV, Esq.
`FINNEGAN HENDERSON FARABOW GARRETT &
`DUNNER LLP
`
`901 New York Avenue, NW
`Washington, DC 20001
`Email:
`
`ITC-Avago-Kingbright—LiteOn@finnegan.com
`
`For Respondent Ben-Q Corporation:
`
`James C. Yoon, Esq.
`Monica Muchetti Meno, Esq.
`Xiang Long, Esq.
`0
`Craig Tyler, Esq.
`WILSON SONSINI GOODRICH & ROSATI, P.C.
`650 Page Mill Road
`Palo Alto, CA 94304
`Email:
`
`jyoon@wsgr.com
`meno@wsgr.com
`xlong@wsgr.com
`ctyler@wsgr.com
`
`For Respondent Dalian Lumei Optoelectronics Corp:
`
`Joseph W. Bain, Esq.
`Jerold I. Schneider, Esq.
`Jean C. Edwards, Esq.
`AKERMAN SENTERFITT
`
`222 Lakeview Avenue
`
`West Palm Beach, FL 33401
`Tel: 561-653-5000
`
`Fax: 561-659-6313
`Email:
`
`joseph.bain@akerman.com
`jerold.schneider@akeIman.com
`j ean.edwards@akerman.com
`
`WEST\2l588349.l
`
`

`
`For Respondents Hangzhou Silan Azure Co. Ltd.,
`Shenzhen Guoyexing Optoelectronics Co., Ltd.,
`Jiangsu Bring Optelectronic Technology Co., Ltd.,
`Foshan Nationstar Optoeletronics Co. & Arima
`Optoelectronics Corp.:
`
`Smith R. Brittingham IV, Esq.
`FINNEGAN HENDERSON FARABOW GARRETT &
`DUNNER LLP
`
`CID
`
`Via Hand Delivery
`Via Overnight Courier
`K4 Via Electronic mail
`
`901 New York Avenue, NW
`Washington, DC 20001
`Email: smith.brittingham@flnnegan.com
`
`For Respondent Hitachi, Ltd.:
`
`Amalie M. Weber, Esq.
`McDERMOTT WILL & EMERY LLP
`
`600 13th Street, NW
`Washington, DC 20005
`Email: Hitachi640@mwe.com
`
`I:I Via Hand Delivery
`[I Via Overnight Courier
`XI Via Electronic mail
`
`For Respondent Matsushita Electric Industrial Co.,
`Ltd.:
`
`Steven J. Routh, Esq.
`Orrick, Herrington & Sutcliffe LLP
`Columbia Center
`
`EDD
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`1152 15th Street, N.W.
`Washington, DC 20005
`Email:
`
`srouth@orrick.com
`sj ensen@orrick.com
`wWright@orrick.com
`
`For Respondent Motorola, Inc.:
`
`Kristen J. Allen, Esq.
`KIRKLAND & ELLIS LLP
`
`200 East Randolph Drive
`Chicago, IL 60601
`Email: KERothschild@kirkland.com
`
`WEST\2 1588349.1
`
`EDD
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`

`
`I:I Via Hand Delivery
`D Via Overnight Courier
`IE Via Electronic mail
`
`I:] Via Hand Delivery
`E] Via Overnight Courier
`[XI Via Electronic mail
`
`EDD
`
`Via Hand Delivery
`Via Overnight Courier
`Via Electronic mail
`
`I:I Via Hand Delivery
`Ij Via Overnight Courier
`Via Electronic mail
`
`Ralph A. Mittelberger, Esq.
`ARENT FOX
`
`1050 Connecticut Avenue, NW
`Washington, DC 20036
`Email: 337—TA-640@arentfox.com
`
`For Respondent Nokia:
`
`Paul F. Brinkman, Esq.
`ALSTON & BIRD LLP
`
`950 F Street, NW
`Washington, DC 20004
`Email: Rothschild_itc@a1ston.com
`
`For Respondent Pioneer Corporation:
`
`Doris J. Hines, Esq.
`FINNEGAN HENDERSON FARABOW GARRETT &
`DUNNER LLP
`
`901 New York Avenue, NW
`Washington, DC 20001
`Email:
`
`Pioneer_640@fmnegan.com
`
`For Respondent Sony Ericsson Mobile
`Communications AB:
`
`Evelyn G. Heilbrunn, Esq.
`CADWALADER WICKERSHAM & TAFT LLP
`
`1201 F Street, NW
`Washington, DC 20004
`Tel: 202-862-2200
`
`Fax: 202-862-2400
`
`Email:
`
`evelyn.heilbrunn@cWt.com
`christopher.dove@cwt.com
`kent.stevens@cwt.com
`
`WEST\2l588349.1
`
`

`
` Laurie E. Ouchida
`
`.
`
`
`DLA Piper LLP (US)
`2000 University Avenue
`EastPa1o Alto, CA 94303
`Telephone: 650-833-2000
`Facsimile: 650-833-2001
`
`WEST\2 1 588349.1
`
`

`
`
`
`EXHIBIT A
`
`EXHIBIT A
`
`
`
`
`
`

`
`Curriculum Vitae: E. Fred Schubert
`
`
`
`
`
`Contact information
`
`
`
`
`
`
`
`Department of Electrical, Computer, and Systems Engineering
`
`
`Rensselaer Polytechnic institute
`
`
`
`
`
`1 E0 Eighth Street, Troy, NY 12180
`Phone 518-276-8775 Fax 518-276-8042
`
`
`
`
`
`
`Email: E‘FScliubeit@rpi.edu Homepage: http://vvww.rpi.edu/~schuhert
`
`
`
`
`
`Year andplace of birth
`1956
`
`Stuttgart, Germany
`
`
`Home address
`
`
`
`
`
`18 Ledgewoocl Drive, Troy NY 12180
`
`Phone 518-27E-2044
`
`
`Marital status
`
`
`
`
`Married to Iutta M. Schubert
`
`since E980
`
`Education
`
`
`
`
`1978
`(U. S. equivalent BSEE)
`
`
`
`198E
`(U. S. equivaient MSEE)
`1977-4978
`
`
`
`
`(U. S. ecguivaient Ph. D.)
`1986
`
`Vordiptom
`
`
`Diplom Ingenieur (Honors)
`
`Exchange Student
`
`
`Doktor lngenieur (Honors)
`
`
`
`Electrical Engineering
`University ofSmrtgart
`
`
`Electrical Engineering
`University ofStuttgart
`
`
`Oregon State University Electrical Engineering
`
`
`University ofS1ui‘!garr
`Eiectrical Engineering
`
`
`
`
`Current appointments
`
`
`
`
`
`
`
`
`
`
`2003 - present: Wellileet Senior Consteilation Professor, Future Chips, Rensselaer Polytechnic Institute
`
`
`
`
`
`
`
`
`
`Professor of Physics, Applied Physics, and Astronomy (Courtesy appointment), Rensselaer
`2003 - present:
`
`
`
`Polytechnic Institute
`
`
`
`
`
`
`
`
`
`Professor of Eiectrical, Computer, and Systems Engineering, Rensselaer Polytechnic Institute
`
`
`
`2002 - present:
`
`Previous appointments
`
`
`
`Senior Constellation Professor of the Future Chips Constellation, Rensselaer Polytechnic Institute
`
`
`
`
`
`
`
`
`
`
`
`Adjunct ‘Professor, Boston University
`
`
`
`
`
`
`
`
`
`
`Professor, Boston University, Department of Electrical and Computer Engineering; Director of the
`
`Semiconductor Devices Research Laboratory; Affiliated Faculty of the Photonics Center.
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`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Member of Technicai Staff and Principal investigator at AT&T Bell Laboratories in Murray Hill,
`New Jersey.
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`
`
`Post Doctoral Member of Technical Staff at AT&TBe!i Laboratories in Holnidel, New Jersey.
`
`
`
`
`
`
`
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`
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`Scientific Member of Staff at the Max Planck Institute for Solid State Research in Stuttgart,
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`
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`
`
`i‘n. D. Thesis title: “Modem Schotticy gate field-effect
`transistors based on lll—V
`Germany.
`serniconductors”.
`
`
`
`2002 ~ 2003:
`
`
`2002 A 2003:
`
`
`1995 - 2002:
`
`
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`1988 — i995:
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`
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`1985 — l987:
`
`
`l98l »- 1985:
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`
`
`COCO
`
`-
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`Technical Achievements
`
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`First study of hot electron effects in selectively doped A l,,Ci a 1 _4,,As/Ga./as neterostructures (1 983)
`
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`Demonstration and elimination of parallel conduction in Al,,Ga . _,,As/GaAs heterostructures (i984)
`
`
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`First analysis of semiconductors doped with simultaneously shallow and deep donors (1984).
`
`
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`
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`Proposal and demonstration of the 5-doped 1‘ieEd—effcct transistor. Sliort—channel effects in sub-micron fictio-
`effect transistors can be reduced to their theoretical minimum by using 3—doped structures (1985)
`
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`Deveiopmerzt of the theory of alloy broadening in luminescence spectra of alloy semiconductors such as
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`AE,,Ga,._xAs. The current understanding of the tow-temperature spectral Einewidths of ternary and quaternary
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`alloy semiconductors is based on this theoreticai model. The publication analyzing the phenotnenon of alloy
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`broadening has been referenced far in excess of l00 times (i984)
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`c
`First demonstration ofa light-emitting diode with a doping superlattice active region (1985).
`
`
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`- Application of 5-doping to selectively doped heterostructures. Demonstration of high—electron~mobility
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`
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`transistors with the highest free electron concentrations (1986).
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`Demonstration of delta-doped non-alloyed ohmic contacts with very low contact resistance and subsequent
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`demonstration of seffialigned field-effect transistor with detta-doped non~aEloyed ohmic contacts (1986)
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`Demonstration of the spatial
`localization of dopants within 20 A for many doping elements in delta-doped
`semiconcinctors (1983-1988)
`
`
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`Significant improvement of the optical properties of doping superlattices by employment of delta doping.
`
`-
`
`o
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`I
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`

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`
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`Improvement is demonstrated by the first observation of quantized interband transitions in the absorption (1988)
`and in the emission spectra (1989)
`
`
`
`
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`First demonstration of tunable doping superlattice laser (l989)
`
`
`
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`
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`First quantitative anaiysis of the capacitance-voltage (CV) profiling technique in semiconductors with ouanturn—
`
`
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`
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`confined carriers. Demonstration that resolution of CV profiles in quantum-confined semiconductors is not
`
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`limited to the Debye screening length (1990)
`
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`
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`Invention and demonstration a new concept by which heterojunction band discontinuities occurring between
`
`
`
`
`two different semiconductors are eliminated. The elimination of hererojunction barriers is based on paraholic
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`compositional grading of doped heterojunctions. This concept is widely used in the fabrication of verticai cavity
`surface emitting Easers and other heterojunction devices (1991)
`
`
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`
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`Invention and first demonstration of resonant cavity light—emitting diode (RCLED) which uses photon
`
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`quantization in microcavities to enhance the spontaneous emission properties (1992)
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`
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`Demonstration of giant enhancement of luminescence intensity in Er-doped Si»~S i0; inicrocavities (1992)
`First demonstration of a resonant-cavity detector which is useful for wavelengtl1—selective detection (l 993)
`
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`Demonstration of resonant—cavity light—emitting diode (RCLED) with very high brightness. The experimental
`
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`
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`brightness of the RCLED is live times higher than that of conventional i_EDs. Based on calculations,
`the
`
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`brightness of RCLEDS is expected to exceed that of conventional LEDs by more than a factor of ten (i994)
`
`
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`Invention of a new concept, superlarrice doping, for enhanced pwtype doping of Gahl. All acceptors in GaN are
`
`
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`deep, resulting in a low electrical acceptor activation of only 5 %. The new concept of superlattice doping is
`
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`expected to increase the electrical activation of acceptors by more than a factor of ten (with post—doctoral
`associate Dr. W. Grieshabcr, i995)
`
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`Investigation of yellow luminescence in GaN and the use of rnicrocavity effects in Ag / GaN / sapphire
`structures to determine the refractive index ofGaN (with post-doctoral associate Dr. W. Grieshaber, E996)
`
`
`
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`Demonstration of the first GaNf GalnN double heterostructure laser. The laser has cleaved facets and was
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`optically pumped. Laser action was demonstrated hy (2') a threshold in the light—versus-current characteristic,
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`(ii) spectral narrowing below k T above threshold, (iii) a TB / TM polarization ratio greater than one hundred
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`above threshold, and (iv) increased slope efficiency with increasing back—side facet reflectivity (with graduate
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`student D. A. Stocker, I997)
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`John D.
`jointly with group of Prof.
`tight-emitting diode, PC«l_ED,
`C0-inventor of photonic—crystal
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`Joannopoulos at MIT (publication by Sanhui Fan e! at‘.
`in appeared in Physical Review Letters in 1997';
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`US patent 5,955,749 was issued in E999)
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`First demonstration of crystallographic etching of GaN (with graduate student D. A. Stocker, i998)
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`Experimental demonstration of a ten-fold enhancement of p—type doping activation in AlxGa,,,,l\l/GaN doped
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`superlattices as compared to buik Gahl and Ai,GaHN (with graduate students D. A. Stocker and I. D. Goepfert,
`1999)
`Invention and demonstration of the photon—recycling semiconductor light—emitting diode (PRS—l_ED) which
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`emits white light and many other colors with very high luminous performance of > 300 lrn/W (with graduate
`students X. Guo and J. W. Graft‘, 1999). Invention of the monolithically integrated GaInN/‘GaN PRS—LED (with
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`graduate students X. Guo and 5. W. Graff, 2000)
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`Invention and demonstration of polarization-enhanced ohmic contacts in p—type and n—type GaN (with graduate
`students Y.—L. Li and J . W. Grail 2090)
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`invention and demonstration of AEGalnP light-emitting diode with omnidirectional reilector (ODR) for high
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`light extraction efficiency (with post—doctoral associate Th. Gessmann and graduate student J. W. Graft", 200%)
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`Developed novel modei for high diodes ideaiity factors (11 >> 2.0) in UV LEDs hased on multiple rectifying
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`eiements (with graduate student J. M. Shah and Prof. Th. Gessmann, 2003)
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`Developed theory for temperature coefficient of forward voltage in light-emitting diodes, particularly UV light-
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`emitting diodes (with graduate student Yangang “Andrew” Xi, Dr. iong Kyu Kine, and coliaborators at Sandia
`National Laboratories, 2004, 2005)
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`Invented highly efficient “remote phosphor configurations” in white light—emitting diodes (with Dr. long Kyu
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`Kim, graduate student liong Luo, and collaborators at SAIT-Sarnsung) (2064, 2005)
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`Discovered whispering gallery modes in white LEDs with remote phosphors (with graduate student Ilong Luo,
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`Dr. Jong Kyu Kim, Yangang “Andrew” Xi, and collaborators at SAI"i‘~Sarnsung, 2905)
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`Developed new class of materials, low-refractive index materials, or lowwn materials, with an unprecedented
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`low refractive index of I! < l.lt3 (with graduate student Jingqun “JQ” Xi, Dr. long Kyu Kim, Professors Shawn
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`Y. Lin, Joel Plawslcy, Bill Gili, and Toh—l\/ling Lu, 2605)
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`that, unlike conventional anti-reflection coatings, have
`Developed graded-index antireflection coatings
`broadband omni—directional characteristics; the graded-index antireflection coatings use novel iow—r2 materials
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`(with graduate strident Jinguun “JQ” Xi, Prof. long Kyu Kim, 2007}
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`Honors and awards
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`Elected to Senior Member of the IEEE “in recognition of professional standing” (1993)
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`Recipient of the Literature Prize of the Verein Demscher Elektrorechnikcr (I/DE) for “Doping in IIEMV
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`semiconductors” (Cambridge University Press, Cambridge, 1993). Citation: “The book concerns all aspects of
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`doping in lIlwV semiconductors. Fundamental, practical, and technological issues of doping are addressed. The
`boolc. covers the basic theory of shallow donors, shallow acceptors, deep levels, and their influence on the free
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`carrier concentration. It also discusses doping during growth, epitaxy, diffiision, and ion implantation. In the
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`field of semiconductor devices,
`the book emphasizes applications requiring highly controlled doping
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`distributions. it is an excellent monograph equally suited for study, research, and industry" (1994)
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`Elected as a member of the Bohemian Physical Society (Cornell University, lthaca, New York). Citation: “For
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`seminal contributions to the control of spontaneous emission by use of wavelength—size optical cavities,
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`specifically the first demonstration in a glass host using rare earth implanted SifSiO2 resonant microcavities”
`(1994)
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`Listed in “Who’s Who In Science And Engineering” and “Who’s Who in America” published by Marquis
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`Who's Who, publishers of the original Who's Who in America. (Marquis Who’s Who, New Providence, NJ)
`lSBN 0-8379-5755-9 (1996 a present)
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`Elected to Fellow ofthe SPIE “For pioneering research in semiconductor doping and sustained contributions to
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`the development of high-efficiency Eighi—emitting diodes and lasers”. According to the Society’s bylaws, a
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`Fellow “shall be distinguished through his achievements and shall have made outstanding contributions in the
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`field of optics, or optoelectronics, or in a related scientific, technical, or engineering field” (i 999)
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`Recipient of the Alexander von Humboldt Senior Research Award of the Alexander von Humboldt Foundation,
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`a Bonmbased non—profit organization promoting the exchange of scientific knowledge between German and
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`highly qualiiied foreign scholars. According to the Alexander von Humboldt Foundation, academic
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`qualification is the only selection criterion for the award. The award resulted in two extended visits with the
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`Microoptics Laboratory of Professor Juergen lahns at the University of Hagen, Germany (E999)
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`Elected to Fellow ofrfre IEEE “for contributions to semiconductor doping and resonant—cavity devices”.
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`According to the IEEE definition “the grade of Fellow is one of unusual professional distinction conferred by
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`the Board of Directors only upon a person of extraordinary qualifications and experience” (i 999)
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`Listed in the “Dictionary of lnternational Biography, 29*‘ Edition” published by the Inrernationoi Biography
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`Center, Cambridge, United Kingdom (2000)
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`Recipient of the 2000 Discover Magazine Award for Technological Innovation presented by the Ciiristopher
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`Columbus Foundation in the category “Energy“. The prize was awarded “for the invention and demonstration
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`of the photon recycling semiconductor lighcernitting diode”, an alhsemiconductor LED capable of emitting
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`white light with very high efficiency, see < www.discover.corn/awards > (2000)
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`Recipient of the RDIOO Award of the R&D Magazine that honors the “I00 most technologically significant
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`products of the year” (with Klaus Streubel of ()sram~«Sylvania Corp. and Rickard Marcks von Wurternberg of
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`Mitel Corp.) The prize was awarded for the “Resonam-caviry light-emitting diode” that uses enhanced
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`spontaneous emission occurring in resonant cavities. The device is used in plastic optical fiber communication
`links, in telescopes for rifles, and many other applications (2000).
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`Elected to Fellow ofrhe 05.4 “for the invention and demonstration of the resonant~cavity LES and the photon-
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`recycling semiconductor LED”. OSA Fellows are elected by the OSA Board of Directors (200 i)
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`Recipient of the Boston University Provost Innovation Fund Award (Provost Dennis D. Berkey) valued at
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`3 25,000 for research and development of promising technologies (200 E)
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`Elected to Fellow ofthe APS “for pioneering contributions to the doping of semiconductors including delta
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`doping, doping of compositionally graded structures resulting in the elimination of hand discontinuities, and
`superlattice doping to enhance acceptor activation” (2001)
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`Honored with RP} Medal as Senior Constellation Chair during lnvestiture Ceremony (2002)
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`Received “2002 Rcnsselaer Polytechnic institute Trustee Faculty Achievement Awar ” (2002)
`Inducted as Wellfleet Senior Constellation Professor, Future Chips, Rensselaer Polytechnic Institute,
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`November 21 {November 2603)
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`Distinguished Lecturer of the EEEE Electron Devices Society (2003~20{l6)
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`Elected member in Eta Kappa No (2004)
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`“Best Orai Presentation Awar ” was won by Ph. D. student l-tong Luo (who was the presenter), J. K. Kim, Y.
`A. Xi, 5. M. Shah, Th. Gessmann and E. F. Schubert “lrnprovement of extraction efficiency of Ga£nN iight~
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`emitting diodes by employment diffuse ornni-directionai
`reflectors” Comtcclicw MiCI‘0e1eCtr0niCS &
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`Optoelectronic: Consortium (CMOC), l4th annual symposium, New Haven CT, March 17 (March 2005).
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`“Best Student Poster Award” of the International Semic-onafirctor Device Research Symposium (ISDRS) was
`won by Ph. D. student J.Q. Xi (who was the presenter), Jong Kyu Kim, Dexian Ye. Easbir S. Juneia, T.-M. Lu,
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`Shawn-Yu Lin, and E. Fred Schubert “Optical Thin Films with Very Low Refractive index and Their
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`Application in Photonic Devices”, International Semiconductor Device Research Symposium (ISDRS), Dec. 7 —
`9, Bethesda, MD {December 2005)
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`“MRS Silver Award” of the Materiais Research Society was won by Ph. D. student Yangang Andrew Xi (who
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`was the presenter), K. X. Chen, F. Mont, 3. K. Kim, C. Wetzel, E. F. Schubert, W. Liu, X. Li, J. A. Smart
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`“Extremely high quality AIN grown on (0003) sapphire by using nietat-organic vapor—phase epitaxy" Mareriais
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`Research Society (MRS) Fall Meeting, Boston MA, November 27 » December 1 (2006) Boston MA {December
`2006)
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`“25 Most Innovative Micro— and Nano»Products of 2007 Award" in Juiy 2007' issue of R&D Magazine and
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`Micro/Norm Newsletter. This recognition was given for the “Non-Reflective Coating“ product
`that was
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`published in Nature Photoriics in 2007; full citation of pubiication: Xi, J.—Q., Martin F. Schubert, J. K. Kim,
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`B. F. Schubert, Minfeng Chen, Shawn-Yu Lin, Wayne Lin, and Joe A. Smart “Optical thin-Firn materiais with
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`low refractive index for broadband elimination of Fresnel reflection" Nature Phoromics 1, $76, March 2007
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`(Juiy 2007)
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`“SC1ENTiFIC AMERICAN 50 AWARD“ of 2007, as published in the January 2003 issue of Scieiittfic American.
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`According to the Scientyic American Magazine, this award “oeiebratcs visionaries from the worlds of research,
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`industry and politics whose recent accomplishments point toward a brighter technoiogicat future for everyone”
`{January 2008)
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`“ED1"1"0Rs’ CHOICIS” of Science Magazine, Science, Voiurne 319, page IE63, February 29 (February 2008). This
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`distinction was awarded for the publication: Jong Kyu Kim et ai., “Light~extraction enhancement of GainN
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`tight-emitting diodes by gradedwefractive-index indium tin oxide anti-reflection contact” that appeared in
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`Advanced Materials 20, 801 , 2008 (February 1’ March 2008)
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`Member, Program Committee, Light-emitting diodes: Research, Manufacturing, and Appiications, SPEE
`Photonics West 2008, San Jose, California, January 19 — 24 (January 2008)
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`Track Chair, OPTO Track, SPIE Photonics West 2008, San Jose, California, January 19 ~ 24 (January 2008)
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`“Best Oral Presentation Award” won by David J. Poxson (who was the presenter), Frank W. Mont, Bong Kyu
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`Kim, and E. Fred Schubert “Multilayer nano—structured anti—reflection coating with broadband omniw
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`directionai characteristics” Conrzecticut‘ Microelectronics and Optoeiectronics Conference (CMOC), University
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`of Connecticut, Storrs, Connecticut, Aprii 9 (Aprii 2008)
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`Member, Program Committee, China SSL 2008, Shenzhen Convention & Exhibition Center, China, hily 24 —-
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`Member, Program Committee, International Workshop on Nitride Semiconductors, IWN 2008, Montreux,
`Switzeriand, October 6 — E0 (October 2008)
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`Symposium Chair, OPTO, SPIE Photonics West 2009, San Jose, Caiifornia, January 24 -— 29 (January 2009)
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`Books
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`tabie,
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`628 pages, 240 line diagrams,
`Author of “Doping in Ili-V semiconductors" Hardback,
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`ISBN: 0521419190 (Cambridge University Press, Cambridge, UK, 1993). The foliowing excerpt is from a book
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`review by E). L. Miiler, University ofPenn.sylvam'a, University Paric PA, which appeared in Physics Today, Oct.
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`I994, p. 71: “{...] Fred Schubert has written a boot: that very niceiy filis two roles: It serves as a reference
`volume for those of us who use ill-V materials, and it provides enlightening explanations of interesting and
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`important problems in semiconductor physics. [...}