UNITED STATES PATENT AND TRADEMARK OFFICE
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`In re: Inter Partes Review of:
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`U.S. Pat. No. 7,116,710
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`U.S. Pat. No. 7,421,032
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`U.S. Pat. No. 7,421,781
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`and U.S. Pat. No. 8,284,833
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`Inventor: Hui Jin, et al
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`IPR No. Unassigned
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`Assignee: California Institute of Technology
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`Common Title: Serial Concatenation of Interleaved Convolutional Codes
`Forming Turbo-Like Codes
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`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
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`Submitted Electronically via the Patent Review Processing System
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`DECLARATION OF DAVID J.C. MACKAY
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`
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`Hughes, Exh. 1060, p. 1
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`In re: Inter Partes Review of:
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`U.S. Pat. No. 7,116,710
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`U.S. Pat. No. 7,421,032
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`U.S. Pat. No. 7,421,781
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`and U.S. Pat. No. 8,284,833
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`Inventor: Hui Jin, et al
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`IPR No. Unassigned
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`Assignee: California Institute of Technology
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`Common Title: Serial Concatenation of Interleaved Convolutional Codes
`Forming Turbo-Like Codes
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`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
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`Submitted Electronically via the Patent Review Processing System
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`DECLARATION OF DAVID J.C. MACKAY
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`
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`Hughes, Exh. 1060, p. 1
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`
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`
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`Table of Contents
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`Page
`
`I.
`
`II.
`
`A.
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`B.
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`C.
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`Background and Qualifications .................................................................... 1
`
`Publications and Presentations: ................................................................... 4
`
`“Comparison of Constructions of Irregular Gallager Codes” .................... 12
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`“Gallager Codes--Recent Results” ............................................................. 15
`
`“Irregular Turbocodes” .............................................................................. 22
`
`“Turbo Decoding as an Instance of Pearl’s “Belief Propagation”
`D.
`Algorithm” ............................................................................................................ 26
`
`E. “Encyclopedia of Sparse Graph Codes.” ....................................................... 27
`
`F. “Low Density Parity Check Codes over GF(q)” ........................................... 28
`
`G.
`
`H.
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`“Decoding Times of Irregular Gallager Codes” ........................................ 29
`
`“Good Error-Correcting Codes Based on Very Sparse Matrices” ............. 30
`
`I.
`
`“Decoding Times of Repeat-Accumulate Codes” ......................................... 31
`
`J. “Trellis-Constrained Codes” .......................................................................... 32
`
`K.
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`“Turbo Codes are Low Density Parity Check Codes” ............................... 33
`
` Publication of Software: .............................................................................. 34
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`L. RA.code ......................................................................................................... 35
`
`i
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`Hughes, Exh. 1060, p. 2
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`
`
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`Declaration of David J.C. MacKay
`
`I, David J.C. MacKay, declare as follows:
`
`1.
`
`I make this declaration based upon my own personal knowledge and,
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`if called upon to testify, would testify competently to the matters contained herein.
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`2.
`
`I have been asked to provide assistance in the inter partes review of
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`the following U.S. Patents: i) U.S. Patent No. 7,116,710 ("the ’710 Patent"); ii)
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`U.S. Patent No. 7,421,032 ("the ’032 Patent"); iii) U.S. Patent No. 7,421,781 ("the
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`’781 Patent"); and iv) U.S. Patent No. 8,284,833 ("the ’833 Patent").
`
`3.
`
`As described more fully below, this declaration is a statement of facts
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`with regard to the publication of certain prior art authored or co-authored by me
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`relevant to the ‘710, the ‘032, the ‘781, and the ‘833 Patents.
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`4.
`
`I am over the age of 18, have never been convicted of a felony or
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`crime of moral turpitude and am legally competent to make this declaration.
`
`I.
`
`Background and Qualifications
`5. My qualifications are stated more fully in my curriculum vitae
`
`attached herewith. Here I provide a brief summary of my qualifications:
`
`6.
`
`I am currently the Regius Professor of Engineering at the University
`
`of Cambridge in the United Kingdom. I was formerly Professor of Natural
`
`
`
`1
`
`Hughes, Exh. 1060, p. 3
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`
`
`
`Philosophy in the Department of Physics, Cavendish Laboratory at the University
`
`of Cambridge.
`
`7.
`
`I hold a Bachelor of Arts in Natural Sciences (Physics and Theoretical
`
`Physics) from Trinity College at the University of Cambridge, and a Doctor of
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`Philosophy in Computation and Neural Systems from the California Institute of
`
`Technology.
`
`8.
`
`I have been awarded the Melchett Award from the Energy Institute, an
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`Honorary Doctorate from the University of Strathclyde, an Honorary Fellowship of
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`the Chartered Inst. of Building Services Engineers, the Clifford Paterson Lecture of
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`the Royal Society, and the 1999 Communications Society Leonard G. Abraham
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`Prize Paper Award (with R.J. McEliece and J-F. Cheng). I have also been elected
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`a Fellow of the Institution of Civil Engineers, the Institute of Physics, and the
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`Royal Society.
`
`9.
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`I have authored a book entitled “Information Theory, Inference, and
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`Learning Algorithms” that is relevant to the subject matter of this case. In
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`addition, I have authored or co-authored hundreds of articles in peer-reviewed
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`journals, conference proceedings,
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`texts,
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`industry
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`trade publications, and
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`monographs, including dozens of such publications in the field of Information
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`theory and relevant to the subject matter of this case.
`
`
`
`2
`
`Hughes, Exh. 1060, p. 4
`
`
`
`
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`10. Generally, I am credited with the “re-invention” or “re-discovery” of
`
`Gallager codes in 1995, with Radford M. Neal. The original work by Robert
`
`Gallager occurred from 1960 to 1963 at MIT. He developed the first description of
`
`low density parity check codes (“LDPC”). My work reintroduced the concept in
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`the context of modern communications systems.
`
`11.
`
`I was an active contributor and collaborator in the community that
`
`included the inventors and subject matter of the ‘710; ‘032; ‘781; and ‘833 patents
`
`before and after the time of the alleged invention in May 2000. I conducted
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`research upon which these patents are based. Furthermore, I attended talks given
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`by Dr. Robert McEliece, whom I know from my graduate studies at the California
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`Institute of Technology. The talks included the 1998 and 1999 Allerton
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`Conferences held by the University of Illinois Urbana-Champagne in Allerton,
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`Illinois and the August 1999 IMA conference at the University of Minnesota.
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`12.
`
`I have been retained by the law firm of Baker Botts L.L.P., counsel
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`for the petitioner Hughes Networks Systems, LLC and Hughes Communications,
`
`Inc. to provide my opinions as described below. For my efforts in connection with
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`the preparation of this declaration I have been compensated at my standard rate of
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`$590 per hour for this type of consulting activity. My compensation is in no way
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`contingent on the results of these or any other proceedings relating to the above-
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`captioned patent or matter.
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`
`
`3
`
`Hughes, Exh. 1060, p. 5
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`
`
`
`II.
`
`Publications and Presentations:
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`General Publication and Websites:
`13.
`
`In the regular course of the business of my research in information
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`theory from 1991 through the present, I would publish papers, software, abstracts
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`and other information. Generally, anything published in paper form was also
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`published for download on my website, http://wol.ra.phy.cam.ac.uk/mackay/
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`(“MacKay Cambridge Website”), either simultaneously or, more often, in advance
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`of the paper publication. In November 2001 we renamed the webserver for my
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`research group (“the Inference Group Website”) so that my website's canonical
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`URL became http://www.inference.phy.cam.ac.uk/mackay/ , and the previous URL
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`redirected web requests to the identical website. These equivalent websites will be
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`termed the “MacKay Websites”. The MacKay Websites were generally known in
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`the 1990’s by those interested in the field of information theory as a place to find
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`or look for research papers and software.
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`14. The domain abbreviations for the MacKay Websites mean the
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`following: “wol” refers to the particular server at Cambridge University that
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`supports the site; “ra” refers to “radio astronomy” which was the research group
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`that I joined at the Physics department in 1992; “phy” refers to the Physics
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`department, namely the Cavendish Laboratories; “cam” refers to Cambridge
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`University and finally “ac.uk” refers to the “academic, United Kingdom” domain.
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`
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`4
`
`Hughes, Exh. 1060, p. 6
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`
`
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`The extension “mackay” refers to me. The term “inference” refers to the Inference
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`Group at Cambridge University. The Inference Group received significant funding
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`from the Gatsby Foundation and grants from IBM Zurich. The Inference Group
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`has worked on machine learning and information theory for some time. Past
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`projects involve neural networks, automated game playing, the design of record-
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`breaking error-correcting codes and quantum error-correcting codes, and the
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`construction of human-computer interfaces that make use of adaptive language
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`models.
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`15.
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`In addition, I maintained from December 1996 up to August 2004
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`mirrored websites in Canada for the MacKay Websites to aid prompt worldwide
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`access to my material and publications. Generally, but not always, anything
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`published on the UK website was, until August 2004, also published and available
`
`on the Canadian website. The mirror website in Canada was updated three times
`
`per week. The term “The MacKay Websites” referenced above includes these
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`mirrored websites. The MacKay Websites may be further distinguished as with the
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`Canadian Website or the Cambridge Website. Also, to aid in the quick and
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`available access to the material on the MacKay Websites, I provide an index to the
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`papers on the first page of the MacKay Websites and, for each paper, typically
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`provide direct access to both an abstract and a compressed format postscript
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`document. The compressed format is typically in .gz format which stands for
`
`
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`5
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`Hughes, Exh. 1060, p. 7
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`
`
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`“GNU zip” format and is readily understood by all those in the field. When
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`uncompressed, the file within the compressed format may be read and used. The
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`uncompressed files resulting from the .gz files can include files in .ps format, or a
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`modification of .ps format called .dps, which renders the document “double page”
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`or “two-up”. By using a compressed format, particularly in the 1990’s, a
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`document could be quickly downloaded even on a low-bandwidth Internet
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`connection. I believed that this approach of indexing and providing multiple
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`sources for the documents and in compressed format made them more accessible to
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`that portion of the general public interested in this subject matter. Thus, for each
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`article, software program, abstract or paper on the MacKay Websites, there would
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`often be four available links for downloading information: i) UK-based
`
`compressed format .gz paper; ii) UK-based abstract; iii) Canada-based compress
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`format .gz paper; and iv) Canada-based abstract. An example of this is shown in
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`Exhibit 1038 which is the May 7, 1999 Wayback Machine capture of the
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`http://wol.ra.phy.cam.ac.uk/mackay/README.html (“Wayback Machine”) which
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`shows on the first page the index as “Papers arranged by topic” followed by the
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`topics themselves. Under the topic “Gallager Codes and Turbo Codes,” there are
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`twelve examples in which each of the papers has four separate links as described
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`above.
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`6
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`Hughes, Exh. 1060, p. 8
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`16.
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`I personally maintained and managed the MacKay Websites and have
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`maintained them for the period of interest here during the 1990’s including the
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`period 1995 to 2001 approximately. I have personal knowledge of the operation of
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`the MacKay Websites and understand the meaning of the “last-modified date” as
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`used on the website. I also generally understand the meaning of the “last-modified
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`date” as used for files such as those within compressed files. I generally
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`administer the MacKay Websites and have password protected privileges in
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`posting and maintaining entries on them. Other members of my research group
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`were also administrators for my computer and website, but only I posted, edited,
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`and maintained the entries in the MacKay Websites. I believe that the “last
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`modified date” as used on the MacKay Websites is reliable and represents a date
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`certain by which the paper, software or abstract was in fact on the MacKay
`
`Websites and available for download to the general public. I believe that the “last-
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`modified date” associated with uncompressed files from the MacKay websites is
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`reliable and represents a date certain by which the paper, software, or abstract was
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`modified on the webpage. As stated specifically below, the “last-modified date”
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`represents a date that I can from my personal knowledge and experience state the
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`paper, software or abstract was available to the public,
`
`17.
`
`I ran a search on the servers hosting the MacKay Websites to
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`determine the last-modified date of various content therein. A screenshot of the
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`
`
`7
`
`Hughes, Exh. 1060, p. 9
`
`
`
`
`results of searching for the last modified date is included as Exhibit 1040. The
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`terminal view on the left of the picture shows results of searching a Canada mirror
`
`site hosted in Toronto, included in the Canadian Website. The terminal view on
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`the right of the picture shows results of searching the UK site, including the
`
`Cambridge Website. The screenshot shows last modified date of various files that
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`were placed on the MacKay Websites. In some cases, content may have been
`
`posted on the MacKay Websites before the last modified date. For example, a file
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`may have been renamed, and the last modified date may reflect the date that the
`
`file was renamed. Nevertheless, the last modified date of the files shown in
`
`Exhibit 1040 represents a date certain by which the paper, software or abstract was
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`in fact on the MacKay Websites and available for download to the general public.
`
`18.
`
`In the regular course of the business of my research in information
`
`theory, I would include indications of when the publication was made in these
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`documents. These documents would be made available to the public for download
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`via the Internet. Searching on popular search engines for topics such as Gallager,
`
`or even my name alone would bring up my home pages and publications and links
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`to the source code.
`
`19.
`
`I regularly communicated the address of my MacKay Cambridge
`
`Website, http://wol.ra.phy.cam.ac.uk/mackay/
`
`(or,
`
`from November 2001,
`
`http://www.inference.phy.cam.ac.uk/mackay/),
`
`in electronic communication,
`
`
`
`8
`
`Hughes, Exh. 1060, p. 10
`
`
`
`
`papers, and presentations that I made. For example, the following papers
`
`published in print or handed out as printed publications at conferences also
`
`contained the reference to my website. Examples include the “Irregular
`
`Turbocodes” article and the “Gallager Codes--Recent Results” article (Exhibits
`
`1012 and 1048, respectively) which both have the MacKay Cambridge Website
`
`listed under my name. Note that this is not an email address but the location of my
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`website and publications.
`
`20.
`
`It is my intent and therefore my belief that my work and articles
`
`published on the MacKay Websites are indexed and searchable through the
`
`Internet and through any number of search engines including Google. In the
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`1990’s and into 2000’s, the domain for my website is generally associated with
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`academic research namely through Cambridge University and specifically through
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`the Inference Group both of which were associated with information theory in
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`general and with work on coding.
`
`21. A typical publication of one of my papers would generally proceed in
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`a number of ways. First, I would do some research or collaboration on a topic of
`
`interest. During the 1990’s, I worked in a number of fields including the field of
`
`information theory and coding. Much of my work was presented and published at
`
`conferences. Typically, I would be invited to speak on a topic about my research,
`
`or I would submit an abstract to the conference organisers and request to make a
`
`
`
`9
`
`Hughes, Exh. 1060, p. 11
`
`
`
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`presentation. In some cases, I would provide only a slide presentation at the
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`conference. In other cases, the slides would themselves be made available to the
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`attendees of a conference on paper or via a website. In this case, the slides would
`
`generally be available either immediately or very shortly after the conference.
`
`Often I would write one or more papers in addition to my slides, and would
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`distribute these papers in hard copy to interested colleagues at the conference, and
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`put them on my website. Generally, the conference organizers would collate
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`printed articles associated with the conference and publish them. In some cases
`
`articles were collated before the conference, but more commonly final articles
`
`summarizing all or part of
`
`the conference presentation were completed
`
`immediately after the conference and sent to the organizers for publication. At
`
`most conferences, if full papers were not published in time for the conference
`
`itself, abstracts summarizing the presentation were printed in booklets that were
`
`circulated to everyone attending the conference. After the conferences, the
`
`proceedings could also be published in a compilation of the conference
`
`presentations and referred to as the “proceedings.” In still other circumstances, the
`
`proceedings might also include previously unpublished articles related to, but not
`
`identical to, the conference presentation; this was likely to happen if the subject
`
`matter of the presentation itself was already the subject of a published paper.
`
`This occurred at the IMA 1999 conference for example: at that conference, I gave a
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`
`
`10
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`Hughes, Exh. 1060, p. 12
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`
`
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`presentation, the slides of which were distributed and published by the conference
`
`organizers, and the papers that I published in the IMA volume were not identical to
`
`my presentation because I had published a similar paper at another conference. I
`
`also wrote papers and submitted them to journals for publication. At or before the
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`time of submission of the paper to the journal, I would always put a copy of the
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`paper on my website so that any interested colleagues could see the submitted
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`work.
`
`22.
`
`I consider the slides presented at a conference, any printed material
`
`distributed at a conference and any article posted to my website or a conference
`
`website to be printed publications because they can be easily downloaded and
`
`printed. The bound “proceedings” are also printed publications. In general, the
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`scientific community in which I work have moved away from actual paper
`
`publications and now rely heavily upon electronic storage, retrieval and display of
`
`articles and materials. We still call them “papers” however. Typically, posting
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`something to a public website is both faster and easier than the library book that
`
`will eventually follow.
`
`23. With this generally in mind, I provide specific information regarding
`
`the publication of the following articles:
`
`
`
`11
`
`Hughes, Exh. 1060, p. 13
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`
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`
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`A. “Comparison of Constructions of Irregular Gallager Codes”
`24. As part of my research in information theory, I co-authored a paper
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`entitled “Comparison of Constructions of Irregular Gallager Codes” with Simon T.
`
`Wilson and Matthew C. Davey as shown in Exhibit 1039. In the regular course of
`
`business of my research, I placed a copy of a submitted or drafted paper on my
`
`website when it was submitted or drafted, or shortly thereafter. The paper would
`
`include a designation of when it was published. A copy of this paper was
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`published
`
`to
`
`the
`
`MacKay
`
`Cambridge
`
`Website,
`
`http://wol.ra.phy.cam.ac.uk/mackay/, under the filename “ldpc-irreg.ps.gz” on July
`
`30, 1998 and is filed herewith as Exhibit 1039. The compressed file “ldpc-
`
`irreg.ps.gz” may be uncompressed to yield a file called “allerton98.ps”. A copy of
`
`this paper is also available from the Wayback Machine entry for this paper from
`
`the link entitled “ps mirror, Canada.”
`
`25. According to the last-modified dates for the paper and comments in
`
`the paper itself, I completed this paper on July 30, 1998 and submitted it for
`
`publication. In addition, Exhibit 1040 shows a screen print of the modification
`
`data for the symbolic link (shortcut) "ldpc-irreg.ps.gz" and the two files
`
`"allerton98.ps.gz" and "allerton98.dps.gz". The screenshot in Exhibit 1040
`
`establishes that I posted the article "Comparison of Constructions of Irregular
`
`Gallager Codes" to the Canadian Website by no later than August 31, 1998 using
`
`
`
`12
`
`Hughes, Exh. 1060, p. 14
`
`
`
`
`the ".dps" postscript format as shown in the left terminal under the filename
`
`"allerton98.dps.gz". (I am confident that the identical paper was also published on
`
`the same date in ".ps.gz" format, as it was always my habit, when publishing a
`
`".dps" (two-up) file, to derive the ".dps" file from an already-published ".ps" file.)
`
`The screen shot established that I then subsequently reposted the paper as a ".ps"
`
`file under the filename "allerton98.ps.gz" to both the Canadian and Cambridge
`
`Websites (as shown in both the left and right terminals) on April 30, 1999. The
`
`ps.gz file is also available under a second file name, shown as "ldpc-irreg.ps.gz ->
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`allerton98.ps.gz", which is a Unix notation for a file shortcut, or symbolic link.
`
`Also, the paper and the websites state that the paper was "submitted July 30,
`
`1998." It was my general practice that any paper indicated as "submitted" to a
`
`publisher, was also simultaneously posted to my public website on that same date.
`
`In addition, the abstract for this paper was placed on the website as evidenced by
`
`the existence of "ldpc-irreg.html" and its backup "ldpc-irreg.html.bak". Exhibit
`
`1040 illustrates that the Cambridge site (shown on the right) included the abstract
`
`(as illustrated by the backup file) as of July 13, 1998. I therefore believe that this
`
`article was published to the MacKay Websites by July 31, 1998 and that the
`
`MacKay Websites last modified dates established they were there no later than
`
`April 30, 1999 and as early as August 31, 1998 on the Canadian website. The
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`article was available for download anywhere in the world as of those dates.
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`
`
`13
`
`Hughes, Exh. 1060, p. 15
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`
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`26.
`
`I am familiar with the Wayback Machine and use it from time to time
`
`in my work. The Wayback Machine operates the www.archive.org website. It
`
`provides an online archive of information on the Internet as of specific “capture”
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`dates. The capture dates are somewhat arbitrary and controlled by the Wayback
`
`Machine but they also provide proof that a particular webpage existed on the
`
`website as of a particular date in the past.
`
`27. To confirm the publication of my articles, I used the Wayback
`
`Machine. Based on the Internet Archive Wayback Machine capture of my website,
`
`the paper, “Comparison of Constructions of Irregular Gallager Codes”, was
`
`available to the public for download at least by May 7, 1999. The May 7, 1999
`
`Wayback Machine
`
`page
`
`for
`
`the MacKay Cambridge Website
`
`is
`
`http://web.archive.org/web/19990507214922/http://wol.ra.phy.cam.ac.uk/
`
`mackay/README.html and is filed herewith as Exhibit 1038. The copy of the
`
`“Comparison of Constructions of Irregular Gallager Codes” paper as produced
`
`from the Wayback Machine is the same as it appeared on my website as of May 7,
`
`1999. Furthermore, my website was indexed and accessible by search engines and
`
`web browser software at least by May 7, 1999 as shown by the Wayback Machine
`
`archive.
`
`28. The paper also states and I wrote that it was submitted July 30, 1998
`
`to appear in IEEE Transactions in Communications. Based upon my personal
`
`
`
`14
`
`Hughes, Exh. 1060, p. 16
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`
`
`
`recollection, the paper was later published in print in the IEEE Transactions in
`
`Communications in October of 1999. A copy of the IEEE publication is filed as
`
`Exhibit 1023.
`
`B. “Gallager Codes--Recent Results”
`29. By 1999, my research in information theory was known within the
`
`community of researchers, mathematicians, scientists and engineers in the field of
`
`information theory and coding. In the spring of 1999, I was invited to talk at the
`
`1999 Ambleside Conference in England by the organizer, Paddy Farrell of the
`
`University of Lancaster, in Ambleside, UK. The 1999 Ambleside Conference was
`
`held July 11th to 16th. The conference was entitled the “International Symposium
`
`on Communications Theory and Applications” or “ISCTA”. This conference was
`
`directed and advertised to researchers, mathematicians, scientists and engineers in
`
`the information theory and coding fields. The July 1999 Ambleside ISCTA
`
`conference was open to the public and anyone could attend, provided they
`
`registered and paid the admission fees.
`
`30.
`
`I authored a paper entitled “Gallager Codes--Recent Results” which
`
`was an extension of my prior work with Simon T. Wilson and Matthew C. Davey
`
`referenced above. In the regular course of business of my research, I placed a copy
`
`this article on my website shortly after the date I spoke at the 1999 Ambleside
`
`Conference in July 1999. A copy of the “Gallager Codes--Recent Results” paper
`
`
`
`15
`
`Hughes, Exh. 1060, p. 17
`
`
`
`
`was published to the MacKay Canadian Website by July 16, 1999, under the
`
`filename “sparsecodes.ps.gz.” Based on the last modified date on my website, the
`
`file “sparsecodes.ps.gz” was on the MacKay Canadian Website by July 16, 1999 as
`
`shown in the left terminal view in Exhibit 1040. A copy of the full 1999
`
`Ambleside “Gallager Codes-Recent Results” paper as posted to my website is filed
`
`herewith as Exhibit 1041. (I subsequently revised the file in 2005, on the
`
`Cambridge Website only, to bring up to date a citation to a Richardson and
`
`Urbanke paper that was published after 1999. By 2005, the automatic mirroring
`
`from Cambridge to the Canadian website had stopped, so this change did not
`
`propagate to the Canadian website; so the Canadian website still has the version of
`
`the file that was available on both MacKay websites on July 16, 1999.)
`
`31.
`
`In addition to the full paper, before the conference I prepared a short
`
`3-page abstract of the “Gallager Codes-Recent Results” article I was to present and
`
`I also placed it on both the MacKay Cambridge and Canadian Websites before the
`
`conference on
`
`June 2, 1999.
`
` The
`
`filename of
`
`the abstract was
`
`“sparsecodes0.ps.gz”. I believe that paper copies of the abstract were also
`
`available at the 1999 Ambleside Conference and they included the address of my
`
`website on the same line as my name on the first page of the article. This is
`
`confirmed by the website’s last-modified dates for the sparsecodes0.ps.gz file
`
`which indicated it was last modified on June 2, 1999. A copy of the abstract of
`
`
`
`16
`
`Hughes, Exh. 1060, p. 18
`
`
`
`
`“Gallager Codes-Recent Results” as posted to my website is filed herewith as
`
`Exhibit 1042. A screen print from the MacKay Cambridge Website showing the
`
`last-modified dates for the June 2, 1999 abstract and the July 16, 1999 full paper
`
`are shown in Exhibit 1040.
`
`32. During the late 1990’s, I maintained a log of some of the activities
`
`that I conducted in the normal course of my work and research. My log records
`
`that I had correspondence with the program coordinator, Prof. Paddy Farrell, in
`
`which he requested a reformatted “camera ready” copy of the paper on or before
`
`July 16, 1999 and I provided it to him on that day. Exhibit 1044 is a portion of my
`
`electronic log indicating the date “16/7/99” stating: “! Sparse Graph Codes paper,
`
`Gallager Codes - Recent Results Fri 16/7/99 Renamed this paper for Paddy
`
`Farrell, and re-formatted it into tiny page 10pt format. sparsecodes.ps sent off.”
`
`This is completely consistent with the last modified date for this paper: I would
`
`have published the paper to the MacKay Cambridge Website on the same day that
`
`I submitted it for publication.
`
`33. The “Gallager Codes--Recent Results” article appears in the printed
`
`proceedings publication “Coding, Communications and Broadcasting”, edited by
`
`Paddy Farrell, et al, at pages 139-150 shown at Exhibit 1043. The article as
`
`published in “Coding, Communications and Broadcasting” is word-for-word
`
`identical to the article that appears on the MacKay Canadian Website today. I am
`
`
`
`17
`
`Hughes, Exh. 1060, p. 19
`
`
`
`
`therefore certain that the abstract as it appears in Exhibit 1042 was handed out
`
`between July 11-16, 1999 at the Ambleside conference, that I provided a slide
`
`presentation and talk on the same article at the same conference, and that I also
`
`posted the same article as it appears in Exhibit 1041 on my website on July 16,
`
`1999. The three-page abstract of the article, Exhibit 1042, appeared before the
`
`conference on my website on June 2, 1999, and was, I believe, circulated in a paper
`
`booklet of abstracts to everyone attending the conference (the abstract of the article
`
`is entitled “Sparse Graph Codes”, but was renamed “Gallager Codes - Recent
`
`Results” in the final published article).
`
`34.
`
`In addition, based on my work, I was invited to speak at the Institute
`
`for Mathematics and its Applications (“IMA”) at their 1999 Summer Program at
`
`the University of Minnesota on August 2 to 13, 1999 in Minneapolis, Minnesota.
`
`The 1999 IMA workshop was directed and advertised
`
`to researchers,
`
`mathematicians, scientists and engineers in the information theory and coding
`
`fields. The IMA website is a known location for articles and presentations
`
`regarding information theory and coding. As I recall, the August 1999 IMA
`
`workshop on Codes, Systems and Graphical Models was attended by many of the
`
`world's experts in the field of information theory and coding, and most of the
`
`world's experts in modern coding theory (sparse-graph codes). A list of those
`
`
`
`18
`
`Hughes, Exh. 1060, p. 20
`
`
`
`
`presenting
`
`at
`
`the
`
`workshop
`
`is
`
`on
`
`the
`
`IMA's
`
`website
`
`http://www.ima.umn.edu/talks/workshops/aug2-13.99/8-2-13.99.html .
`
`35.
`
`I presented a slide presentation entitled “Gallager Codes—Recent
`
`Results” which occurred during the first week on the first day of the conference on
`
`August 3, 1999. A copy of the slides that I presented is filed as Exhibit 1037. The
`
`IMA made the entire slide presentation available to the public. These slides are
`
`available for download today at https://www.ima.umn.edu/talks/workshops/aug2-
`
`13.99/mackay/mackay.html and are shown in Exhibit 1037. The timestamps for
`
`the files for the slides indicates that they have a last modified date on the IMA
`
`website of August 5, 1999. Exhibit 1046 shows a screen capture of a .ZIP file
`
`containing the slides from the IMA website that show the last modified date of
`
`each slide. The last-modified date of the slides from the IMA website may be
`
`shown by collecting the files using the “wget” utility. I therefore believe that my
`
`slides were personally published at the conference on August 3rd by me and then
`
`placed on the IMA website referenced above on or shortly after August 5, 1999.
`
`The slides are still available for download as of the date of this declaration.
`
`36. At the IMA conference, I referred the attendees to my prior
`
`publication “Gallager Codes--Recent Results” on my website and also provided the
`
`slide presentation. I also believe that printed paper copies of the article were
`
`distributed at the conference either by me or by the conference organizers.
`
`
`
`19
`
`Hughes, Exh. 1060, p. 21
`
`
`
`
`
`37.
`
`In both the August 1999 IMA slide presentation and the June 1999
`
`Ambleside article and abstract “Gallager Codes--Recent Results”, I referred to
`
`regular Gallager or LDPC codes, irregular Gallager codes, turbo codes,
`
`convolutional codes and repeat-accumulate codes as being in the same general
`
`class of codes that the article addressed. See Exhibit 1042 at 2; Exhibit 1041 at 13;
`
`and Exhibit 1037 at 15, 17, 25, 30-37, 45. A figure showing Gallager, repeat-
`
`accumulate, turbo and convolutional codes together appears in all three exhibits.
`
`See Exhibit 1042 at Figure 1; Exhibit 1018 at Figure 1; and Exhibit 1037 at 36. In
`
`the case of the repeat-accumulate codes, I specifically reference the prior work by
`
`Divsalar, Jin and McEliece. In the July 1999 article publications, I refer to a
`
`comparison of the performance of regular and irregular Gallager (LDPC) codes
`
`and repeat-accumulate codes as compared with turbo codes. I noted specifically
`
`that “the best binary Gallager codes found so far are irregular codes whose parity
`
`check matrices
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