`United States Patent No.: 7,149,511
`Inventors: Edward F. Bachner III,
`John Major, Xin Du
`Formerly Application No.: 09/652,734
`Issue Date: December 12, 2006
`Filing Date: August 31, 2000
`Former Group Art Unit: 2617
`Former Examiner: Keith Ferguson
`
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`Attorney Docket No.:
`110797-0020-651
`Customer No.: 28120
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`Petitioners: SAMSUNG
`ELECTRONICS CO., LTD.,
`SAMSUNG ELECTRONICS
`AMERICA, INC., and APPLE
`INC.
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`For: WIRELESS INTELLIGENT PERSONAL SERVER
`
`MAIL STOP PATENT BOARD
`Patent Trial and Appeal Board
`United States Patent and Trademark Office
`Post Office Box 1450
`Alexandria, Virginia 22313-1450
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`
`DECLARATION OF DR. INGRID HSIEH-YEE
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`
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`Samsung Exhibit 1029 Page 00001
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`
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`I, Dr. Ingrid Hsieh-Yee, declare as follows:
`
`1.
`
`I have personal knowledge of the facts set forth herein, and I am competent
`
`to testify to the same.
`
`2.
`
`I am currently a Professor in the Department of Library and Information
`
`Science at the Catholic University of America. I have experience working in an
`
`academic library, a medical library, and a legislative library and have been a
`
`professor for more than 25 years. I hold a Ph.D. in Library and Information Studies
`
`from the University of Wisconsin-Madison and a Masters in Library and
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`Information Studies from the University of Wisconsin-Madison. I am an authority
`
`on library cataloging and classification and have published two books on this
`
`subject, Organizing Audiovisual and Electronic Resources for Access: A
`
`Cataloging Guide (2000, 2006). I teach a variety of courses, including “Cataloging
`
`and Classification,” “Internet Searches and Web Design,” “Advanced Cataloging
`
`and Classification,” “Organization of Internet Resources,” and “Digital Content
`
`Creation and Management.” My research
`
`interests cover cataloging and
`
`classification,
`
`information organization, metadata,
`
`information
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`retrieval,
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`information architecture, digital collections, user interaction with information
`
`systems, and others.
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`-2-
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`Page 00002
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`3. My curriculum vitae is attached as Exhibit A. I am being compensated at
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`my normal hourly rate of $160 per hour for my work on this matter, and I have not
`
`testified as an expert at deposition or trial previously. My compensation is not
`
`contingent upon the results of my study, the substance of my opinions, or the
`
`outcome of any proceeding involving this matter.
`
`4.
`
`In forming my opinions, I have reviewed the exhibits referenced below, each
`
`of these is a type of material that experts in my field would reasonably rely upon
`
`when forming their opinions. As further confirmation of my opinions, I reviewed
`
`records from the FirstSearch system of OCLC Online Computer Library Center
`
`and a letter from OCLC confirming the dates on which the three publications in
`
`questions were entered and indexed in the WorldCat system. As further
`
`confirmation of my opinions, I had e-mail communications with Tricia W.
`
`Mackenzie, Head of Resource Description and Metadata Services at George Mason
`
`University Library, who provided information an expert in the field would
`
`reasonably rely on.
`
`5.
`
`I am fully familiar with a library cataloging standard known as the
`
`“Machine-Readable Cataloging” standard, also known as “MARC,” which is an
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`industry-wide standard method of storing and organizing
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`library catalog
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`-3-
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`Page 00003
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`
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`information. MARC is the primary communications protocol for the transfer and
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`storage of bibliographic metadata in libraries.
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`6.
`
`Online Computer Library Center (OCLC) is the largest bibliographic
`
`network in the world. When an OCLC participating institution acquires a work, it
`
`creates a MARC record for this work in OCLC’s Connexion system, the
`
`bibliographic system used by catalogers to create MARC records, and Connexion
`
`automatically supplies the date when a record is entered into the system. After a
`
`MARC record is entered into Connexion, it becomes available to other OCLC
`
`participating members in Connexion and visible to the public on WorldCat, a Web
`
`search portal of OCLC. WorldCat provides a user-friendly interface for the public
`
`to use the data elements of MARC records without the need to know MARC tags
`
`and codes. WorldCat also provides information on libraries near a searcher that
`
`carry the books the searcher is looking for.
`
`7.
`
`A MARC record contains several fields, each of which contains specific data
`
`about the work. For example, a work’s title is recorded in Field 245. In the Fixed
`
`Field, several data elements encode basic metadata such as language, year of
`
`publication, and date of record entry into OCLC Connexion, and these data
`
`elements are labeled. The date of record entry is of most relevance to this case.
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`Libraries rely on MARC records to help the public understand their collections,
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`-4-
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`Page 00004
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`and many libraries display MARC records on their online catalogs with labels for
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`the data elements to help the public interpret MARC records. Many libraries also
`
`offer an option to display MARC records in MARC tags. For example, Field 100
`
`indicates author information and Field 250 indicates edition statement. The first six
`
`spaces of Field 008 present the date when the record was first entered into OCLC.
`
`8.
`
`I used authoritative databases such as the online catalog at the Library of
`
`Congress, and WorldCat on the Web to confirm citation details of the references
`
`identified in this declaration. I also used the online catalogs for George Mason
`
`University and North Carolina State University to examine their MARC records
`
`for these three publications. Experts in the field would reasonably rely on the data
`
`described herein to establish a date when a publication becomes available to the
`
`public in the libraries.
`
`9.
`
`The Library of Congress (“LC”) is the national library of the United States.
`
`Its bibliographic records are highly valued by libraries around the world, and are
`
`often used to derive records at non-LC libraries. I understand that the Library of
`
`Congress has been building its collections mainly through the copyright
`
`registration process. I further understand that United States copyright law mandates
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`that the owner of copyright deposit copies of works published in the United States
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`with the Copyright Office, which is housed within the Library of Congress, within
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`
`
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`-5-
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`Page 00005
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`
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`three months after the date of such publication in accordance with the Copyright
`
`Act of 1976.
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`10.
`
`I understand Exhibit 1030 is a copy of “Windows CE Developer’s
`
`Handbook” by Terence A. Goggin (hereinafter, “Goggin Reference”), which I
`
`understand was obtained from the Library of Congress. The Goggin Reference
`
`reflects a copyright year of 1999. Exhibit 1030 is “copy 2” from the Library of
`
`Congress’ collection, which means that it was the second copy of the Goggin
`
`Reference the Library of Congress received.
`
`11. The fifth page of Exhibit 1030 is marked with a Library of Congress
`
`Copyright Office stamp that bears the date “DEC 01 1999” or December 1, 1999.
`
`Experts in the field would reasonably understand the date indicated on the Library
`
`of Congress Copyright Office stamp to be the date when the Copyright Office
`
`received the book. Exhibit B is a record from the Copyright Office’s public
`
`catalog for the Goggin Reference, which I downloaded and which shows that the
`
`Goggin Reference was published in April 28, 1999.
`
`12. Exhibit C shows the online catalog information for the Goggin Reference at
`
`the Library of Congress, including a MARC record. Field 260 indicates the work
`
`was published with a copyright date of 1999, and the first six digits of Field 008
`
`shows that the record was entered into the OCLC Connexion in “990219”
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`
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`-6-
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`Page 00006
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`
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`(meaning February 19, 1999). The MARC record’s OCLC number is presented in
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`Field 035 as “41518839.” Field 955 is used by the Library of Congress to track the
`
`movement of materials within the Library of Congress. In this case, Field 955
`
`contains a number of entries, including “jf09 to subj 8-5-99,” which shows the
`
`Goggin Reference went through subject cataloging stages in August 1999. Field
`
`955 also includes an entry that states “copy 2 added jf16 to BCCD 03-22-00,”
`
`which shows that copy 2 was added to the Library of Congress’ collection on “03-
`
`22-00” (meaning March 22, 2000).
`
`13. The fact that the MARC record was created in February 1999 before the
`
`physical book was published on April 28, 1999 (see Exhibit B) is likely a reflection
`
`of the way Cataloging-in-Publication (CIP) records are usually created. A CIP
`
`record is a bibliographic record created by the Library of Congress in advance of
`
`publication. Only U.S. publishers who publish titles most likely to be widely
`
`acquired by U.S. libraries are eligible to participate in the CIP program. If a
`
`publisher would like to include CIP data in a publication, they can send the core
`
`required materials or the galley proof of that publication to the Library of Congress
`
`and the staff at the CIP program will create a CIP MARC record for the publisher
`
`to include in the actual publication. When the book is published, the publisher is
`
`obligated to immediately send a physical copy of the published book to the Library
`
`of Congress, the CIP record will then be updated with more data from the
`
`
`
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`-7-
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`Page 00007
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`
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`published copy. Publishers have found that books with CIP data tend to sell better,
`
`so there is a strong incentive to work with the Library of Congress to have CIP
`
`records created. In this case, it is likely that a CIP record was created in February
`
`1999 (per Field 008), then the book was published in April 1999 (per Exhibit B),
`
`and after that the published book was passed on to various cataloging staff in
`
`August 1999 to add details to the record (per Field 955). When copy 2 was
`
`“added” to the collection on “3-22-00” (meaning March 22, 2000), it was noted in
`
`Field 955. Of course, based on the December 1, 1999 Copyright Office date stamp,
`
`the Library of Congress had possession of the book well-before March 22, 2000.
`
`14.
`
`I understand that Exhibit D is a letter from David Valentine-Elam, a Senior
`
`Attorney at OCLC, which confirms that the Goggin Reference was indexed by
`
`WorldCat on February 19, 1999. Exhibit E is a detailed record from OCLC’s
`
`FirstSearch system, which further confirms that the Goggin Reference was entered
`
`into WorldCat on February 19, 1999.
`
`15. Based on the information above, it is my opinion that the MARC record for
`
`the Goggin Reference was accessible to the public (cataloged) as early as February
`
`19, 1999 and the physical copy was accessible to the public no later than March 22,
`
`2000 when copy 2 was added to the collection, and thus available on the shelves
`
`
`
`
`-8-
`
`Page 00008
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`
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`or, at minimum, could have been requested from a librarian at the Library of
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`Congress.
`
`16.
`
`I understand Exhibit F is a copy of excerpts of the Goggin Reference, which
`
`I understand was obtained from the George Mason University Library. Exhibit F
`
`has a copyright date of 1999.
`
`17. Exhibit G shows the online catalog information for the Goggin Reference at
`
`the George Mason University Library, including a MARC record. Field 260
`
`indicates the work was published with a copyright date of 1999, and the first six
`
`digits of Field 008 shows that the record was entered into the OCLC Connexion in
`
`“990823” (meaning August 23, 1999). The MARC record’s OCLC number is
`
`presented in Field 035 as “41518839.”
`
`18.
`
`I further learned from e-mail communication with Ms. Tricia W. Mackenzie,
`
`Head of Resource Description and Metadata Services at George Mason University
`
`Library, that the Goggin Reference was added to George Mason University
`
`Library’s collection on September 17, 1999. She informed me that the general
`
`practice of George Mason University Library is to add a book to its library shelves
`
`two to four days after a cataloging record is created for the book. Based on my
`
`experience and expertise, it is customary and industry practice for a library to make
`
`
`
`
`-9-
`
`Page 00009
`
`
`
`a book available to the public shortly after the library creates a cataloging record
`
`for it.
`
`19. Based on the information above, it is my opinion that the Goggin Reference
`
`was accessible to the public (e.g., searchable in the library catalog and available in
`
`the library) on September 17, 1999 at George Mason University Library.
`
`20.
`
`I examined the copies of the Goggin Reference that I understand were
`
`obtained from the Library of Congress and George Mason University Library, and
`
`it is my opinion that they are in a condition that creates no suspicion about their
`
`authenticity and that they were found in places (i.e., libraries) where, if authentic,
`
`they would likely be. They appeared internally consistent with no indication of
`
`having been fabricated or altered.
`
`21.
`
`I understand Exhibit H is a copy of excerpts of “Essential Windows CE
`
`Application Programming” by Robert Burdick (hereinafter, “Burdick Reference”),
`
`which I understand was obtained from the Library of Congress. The Burdick
`
`Reference reflects a copyright year of 1999.
`
`22. The ninth page of Exhibit H is marked with a Library of Congress CIP
`
`stamp that bears the date “MAR 22, 1999” or March 22, 1999. Experts in the field
`
`would reasonably understand the date is an indication of when the published book
`
`was received by the CIP Program.
`
`
`
`
`-10-
`
`Page 00010
`
`
`
`23. Exhibit I shows the online catalog information for the Burdick Reference at
`
`the Library of Congress, including a MARC record. Field 260 indicates the work
`
`was published in 1999, and the first six digits of Field 008 shows that the record
`
`was created on “981207” (meaning December 7, 1998).
`
`24. The fact that the MARC record was first created in December 1998 while
`
`the book was published in 1999 may be a reflection of the Cataloging-in-
`
`Publication practice described in Paragraph 13 above. This is further supported by
`
`the fact that the copyright page of the Burdick Reference (the ninth page of Exhibit
`
`H) includes “Library of Congress Cataloging-in-Publication Data.” The date
`
`stamp discussed in Paragraph 22 above indicates the arrival of the physical
`
`published copy of the Burdick Reference on March 22, 1999, and Field 955
`
`reflects “CIP ver. pv08 04-08-99,” which shows that the CIP record was revised on
`
`“04-08-99” (April 8, 1999).
`
`25.
`
`I understand that Exhibit D is a letter from David Valentine-Elam, a Senior
`
`Attorney at OCLC Online Computer Library Center, which confirms that the
`
`Burdick Reference was indexed by WorldCat on December 7, 1998. Exhibit J is a
`
`detailed record from OCLC’s FirstSearch system, which further confirms that the
`
`Burdick Reference was entered into WorldCat on December 7, 1998, and has an
`
`OCLC number 40473691.
`
`
`
`
`-11-
`
`Page 00011
`
`
`
`26. Based on the information above, it is my opinion that the Burdick Reference
`
`was accessible to the public (e.g., searchable in the library catalog and available in
`
`the library) no later than April 8, 1999 at the Library of Congress.
`
`27.
`
`I understand Exhibit 1031 is a copy of the Burdick Reference, which I
`
`understand was obtained from the George Mason University Library. Exhibit
`
`1031 has a copyright date of 1999.
`
`28. Exhibit K shows the online catalog information for the Burdick Reference
`
`at the George Mason University Library, including a MARC record. Field 260
`
`indicates the work was published in 1999, and the first six digits of Field 008
`
`shows that the record was entered into the OCLC Connexion in “981207”
`
`(meaning December 7, 1998). The MARC record’s OCLC number is 40473691.
`
`29.
`
`I further learned from e-mail communication with Ms. Tricia W. Mackenzie,
`
`Head of Resource Description and Metadata Services at George Mason University
`
`Library, that the Burdick Reference was added to George Mason University
`
`Library’s collection on September 17, 1999. She informed me that the general
`
`practice of George Mason University Library is to add a book to its library shelves
`
`two to four days after a cataloging record is created for the book. Based on my
`
`experience and expertise, it is customary and industry practice for a library to make
`
`
`
`
`-12-
`
`Page 00012
`
`
`
`a book available to the public shortly after the library creates a cataloging record
`
`for it.
`
`30. Based on the information above, it is my opinion that the Burdick Reference
`
`was accessible to the public (e.g., searchable in the library catalog and available in
`
`the library) on September 17, 1999 at George Mason University Library.
`
`31.
`
`I understand Exhibit L is a copy of excerpts of the Burdick Reference,
`
`which I understand was obtained from the North Carolina State University Library.
`
`Exhibit L has a copyright date of 1999.
`
`32. Exhibit M shows the online catalog information for the Burdick Reference
`
`at the North Carolina State University Library, including a MARC record. Field
`
`260 indicates the work was published in 1999, and the first six digits of Field 008
`
`shows that the record was entered into the OCLC Connexion in “981207”
`
`(meaning December 7, 1998). The MARC record’s OCLC number is 40473691.
`
`33. The third page of Exhibit L has a checkout slip that lists dates when the
`
`book was due to be returned to the library. The earliest date on this slip is “Nov 06
`
`1999” indicating the book was available at the North Carolina State University
`
`Library sometime before November 6, 1999.
`
`
`
`
`-13-
`
`Page 00013
`
`
`
`34. Based on the information above, it is my opinion that the Burdick Reference
`
`was accessible to the public (e.g., searchable in the library catalog and available in
`
`the library) no later than November 6, 1999 at the North Carolina State University
`
`Library.
`
`35.
`
`I examined the copies of the Burdick Reference that I understand were
`
`obtained from the Library of Congress, George Mason University Library, and the
`
`North Carolina State University Library, and it is my opinion that they are in a
`
`condition that creates no suspicion about their authenticity and that they were
`
`found in places (i.e., libraries) where, if authentic, they would likely be. They
`
`appeared internally consistent with no indication of having been fabricated or
`
`altered.
`
`36.
`
` I understand Exhibit 1032 is a copy of “Programming Microsoft Windows
`
`CE,” by Douglas Boling (hereinafter, the “Boling Reference”), which I understand
`
`was obtained from the North Carolina State University Library. Page 0004 of
`
`Exhibit 1032 has a checkout slip that lists dates when the book was due to be
`
`returned to the library. The earliest date on this slip is “Jun 07 1999” indicating the
`
`book was available at the North Carolina State University Library sometime before
`
`June 7, 1999.
`
`
`
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`-14-
`
`Page 00014
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`
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`37. Exhibit N shows the online catalog information for the Boling Reference at
`
`the North Carolina State University Library, including a MARC record. Field 260
`
`indicates the work was published in 1998, and the first six digits of Field 008 show
`
`that the record was entered into the OCLC Connexion in “980810” (meaning
`
`August 10, 1998).
`
`38.
`
`I understand that Exhibit D is a letter from David Valentine-Elam, a Senior
`
`Attorney at OCLC Online Computer Library Center, which confirms that the
`
`Boling Reference was indexed by WorldCat on August 10, 1998. Exhibit O is a
`
`detailed record from OCLC’s FirstSearch system, which further confirms that the
`
`Boling Reference was entered into WorldCat on August 10, 1998.
`
`39. Based on the information above, it is my opinion that the Boling Reference
`
`was accessible to the public (e.g., searchable in the library catalog and available in
`
`the library) no later than June 7, 1999 at the North Carolina State University
`
`Library.
`
`40.
`
`I reviewed the copy of the Boling Reference that I understand was obtained
`
`from the North Carolina State University Library, and it is my opinion that it is in a
`
`condition that creates no suspicion about its authenticity and that it is in a place
`
`(i.e., a library) where, if authentic, it would likely be. It appeared internally
`
`consistent with no indication of having been fabricated or altered.
`
`
`
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`-15-
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`Page 00015
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`
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`41.
`
`I have been warned that willful false statements and the like are punishable
`
`by fine or imprisonment or both.
`
`I declare under penalty of perjury that the foregoing is true and correct.
`
`Executed on this 12th day ofFebruary, 2016 in Washington, DC .
`
`....
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`-16-
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`Page 00016
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`
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