throbber
Filed on behalf of Petitioner
`By: Richard F. Giunta
`Elisabeth H. Hunt
`Randy J. Pritzker
`WOLF, GREENFIELD & SACKS, P.C.
`600 Atlantic Avenue
`Boston, MA 02210
`Tel: (617) 646-8000
`Fax: (617) 646-8646
`RGiunta-PTAB@wolfgreenfield.com
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`RPX Corporation,
`Petitioner,
`
`v.
`
`Digital Audio Encoding Systems, LLC,
`Patent Owner.
`____________
`
`Case No. TBD
`Patent No. 7,490,037
`_____________
`
`DECLARATION OF WILLIAM RICHARDS ADRION, Ph.D.
`
`RPX Exhibit 12(cid:20)7(cid:3)
`RPX(cid:3)v. DAE
`
`

`
`
`
`I, William Richards Adrion, Ph.D., declare:
`
`1.
`
`I am currently Professor Emeritus of Computer Science in the
`
`College of Information and Computer Sciences (CICS) at the University of
`
`Massachusetts Amherst (“UMass”). The address of the College of
`
`Information and Computer Sciences at UMass is 140 Governors Drive,
`
`Amherst, MA 01003.
`
`2.
`
`I am over 18 years of age and am competent to make this
`
`Declaration.
`
`3.
`
`Attachment A to this declaration details my employment
`
`background and other professional experience and activities in the form of my
`
`curriculum vitae.
`
`4.
`
`From 1986 through 1994, I was Department Chairman of
`
`UMass’s Computer and Information Science (COINS) department (“the
`
`Department”), which was renamed the Department of Computer Science
`
`(CMPSCI) in 1992. The Department later became the School of Computer
`
`Science in 2012, and in 2015 became the College of Information and
`
`Computer Sciences (CICS) which is the name it has today. I remained a
`
`tenured full professor within the Department/School until May 31, 2011, at
`
`which time I transitioned to Emeritus status. I remain active in research and
`
`1
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`RPX Exhibit 1217 - Page 1
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`
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`service, supervise undergraduate and graduate students, and manage
`
`administrative staff associated with my grant-funded activities.
`
`5.
`
`I make this Declaration based on my own personal knowledge of
`
`the standard practices of the Department regarding the management and
`
`distribution of Technical Reports, acquired in my role as Department
`
`Chairman and as a faculty member of the Department.
`
`6.
`
`As Department Chairman, I was responsible for all of the
`
`Department’s business, including directly or indirectly overseeing all
`
`administrative, technical and clerical staff, graduate and undergraduate student
`
`assistants and hourly employees, and tenure-track, research, instructional and
`
`visiting faculty members of the Department. During my tenure as Chairman,
`
`the Department employed over 250 support staff, faculty, and graduate and
`
`undergraduate students on state, institutional and grant/contract funds.
`
`7.
`
`Among the business functions for which I was responsible as
`
`Department Chairman was overseeing and ensuring the Department’s
`
`practices for indexing, cataloguing, storing and disseminating the Technical
`
`Reports that were routinely produced by Department faculty, research staff,
`
`and graduate students in the course of their research.
`
`2
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`RPX Exhibit 1217 - Page 2
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`8.
`
`The number of Technical Reports produced in the Department
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`varied from year to year in a range between 67 and 134 Technical Reports per
`
`year during my time as Department Chairman for the period 1986-1994.
`
`9.
`
`Department faculty, research staff, and graduate students
`
`authored these Technical Reports as reports regarding current research
`
`activities and findings. The reports served purposes of communicating
`
`researchers’ up-to-date research accomplishments to others within the
`
`Department as well as to interested persons at other academic/research
`
`institutions and the general public. A benefit of prompt dissemination of the
`
`Technical Reports was to allow the Department’s researchers’ findings to
`
`become known to the national and international research community as early
`
`as possible in relation to research on similar subject matter that might be
`
`conducted at other institutions.
`
`10. Attachment B to this declaration is a true and accurate copy of
`
`one such Technical Report – i.e., CS Technical Report 92-50, entitled “Voice
`
`Communication Across the Internet: A Network Voice Terminal,” dated July
`
`29, 1992, and authored by a then Department graduate student, Henning
`
`Schulzrinne. This Technical Report is currently available for download from
`
`https://web.cs.umass.edu/publication/docs/1992/UM-CS-1992-050.pdf.
`
`3
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`RPX Exhibit 1217 - Page 3
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`11. All Department Technical Reports in the 1990’s (which would
`
`have included CS Technical Report 92-50 completed in 1992) were made
`
`available to interested persons within and outside the Department and the
`
`university in several forms and locations, pursuant to available venues and
`
`technology and the Department’s standard practices, which were observed
`
`during my time as Department Chairman.
`
`12. The Department’s standard practices and policies for indexing,
`
`cataloguing, storing and disseminating Technical Reports evolved during the
`
`1990’s as new technologies for electronically producing (via text editors,
`
`document formatting software, etc.) and disseminating (via the Internet,
`
`World Wide Web, etc.) documents became available. The Department’s
`
`standard practices and policies and their 1990’s evolution were as detailed
`
`below:
`
`a. Selection: Department faculty, research staff, and graduate students
`
`submitted proposed Technical Reports for approval, with approval
`
`responsibility varying from the Department Chair to faculty
`
`committees to Department staff. Generally all proposed Technical
`
`Reports authored or endorsed by tenure-track faculty were routinely
`
`approved.
`
`4
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`RPX Exhibit 1217 - Page 4
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`
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`b. Printing: Beginning with the first Technical Reports in 1970 and
`
`continuing at least through 1993, all Technical Reports were printed,
`
`and paper copies were catalogued and shelved within the
`
`Department’s internal Technical Report Library. A Technical Report
`
`librarian managed this Library under direction of the Chairman or his
`
`designee.
`
`c. Once a completed Technical Report was submitted by its author to the
`
`Department and approved, the Department’s standard practice was to
`
`index, catalog, and shelve it within the Department’s Library as
`
`quickly as possible. The date of July 29, 1992, on CS Technical
`
`Report 92-50 indicates that it was approved, and that it was printed on
`
`or near that date. Following the Department’s standard practices, a
`
`Technical Report submitted in July 1992 would have been printed,
`
`indexed, catalogued, and a hard copy shelved in the Department’s
`
`Library before the end of 1992, and copies would have been
`
`disseminated through the Department’s distribution mechanisms (see
`
`¶¶ 12(d)(i-v) below) in 1992-1993.
`
`d. Non-Electronic Dissemination:
`
`i. Any member of the public could obtain a copy of any Technical
`
`Report from the Technical Report Library for a nominal fee,
`
`5
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`RPX Exhibit 1217 - Page 5
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`

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`
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`representing the cost of printing, handling and shipping.
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`Technical Report authors were provided a number (25 in the
`
`1990’s) of complimentary copies of their Technical Reports
`
`that they could distribute however they wished; faculty also
`
`could pay from their grants/contracts for additional copies to be
`
`sent or for them to distribute to whomever they wished.
`
`ii. Before widespread electronic distribution was possible, the
`
`Technical Report librarian sent one copy of each newly
`
`catalogued Technical Report to each representative of the
`
`Department’s Industrial Affiliates, which included a number
`
`(approximately 20 in the early 1990’s) of industry companies
`
`that had various established relationships with the Department.
`
`The Department also had agreements with approximately 80
`
`other U.S. and international universities, industrial laboratories,
`
`and federal agencies for sharing reports. The librarian sent lists
`
`including titles and abstracts of available Technical Reports to
`
`the collaborating institutions and would receive requests from
`
`the collaborating institutions for Technical Reports of interest
`
`and mail out copies of the requested Technical Reports at no
`
`charge. Through these agreements, UMass could obtain copies
`
`6
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`RPX Exhibit 1217 - Page 6
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`

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`
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`of technical reports from collaborating institutions when faculty
`
`requested them. Some collaborating institutions routinely sent
`
`all their technical reports to UMass and the librarian would
`
`shelve them by institution, number and date in the Technical
`
`Report Library. To the best of my recollection, the librarian
`
`also sent our Technical Reports as they were published to those
`
`institutions that routinely sent all of their technical reports to
`
`the Department. The Department also had a contract with
`
`Scientific Datalink (later purchased by another firm) to
`
`distribute facsimile copies of Department Technical Reports.
`
`iii. To the best of my recollection, full copies of all Department
`
`Technical Reports produced in the timeframe including 1992-
`
`1993 were sent individually upon request, free to staff of
`
`cooperating universities and for a modest handling, printing,
`
`and shipping fee to others. Depending on the agreement with a
`
`cooperating university, copies of Technical Reports were sent
`
`to a faculty member or researcher at that university on request
`
`either in paper or in electronic form.
`
`iv. Full copies of all Department Technical Reports produced in
`
`the timeframe including 1992-1993 were also sent in batches to
`
`7
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`RPX Exhibit 1217 - Page 7
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`

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`
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`other institutions that routinely sent their technical reports to
`
`UMass pursuant to inter-institution agreements, with each batch
`
`being sent shortly after the Technical Reports in that batch were
`
`archived in the Library. Following the Department’s standard
`
`practices regarding these inter-institution agreements, a 1992
`
`Technical Report (such as CS Technical Report 92-50) would
`
`have been distributed to other research institutions in 1992 or
`
`1993. To the best of my recollection, approximately 30
`
`universities, government agencies and industrial laboratories
`
`routinely sent copies of their technical reports to the
`
`Department and, I believe, would have routinely received
`
`copies of the Department’s Technical Reports produced in the
`
`1992-1993 timeframe. Specific examples of universities I
`
`recall participating in this Technical Report exchange in the
`
`1992-1993 timeframe and that likely routinely would have
`
`received copies of the Department’s Technical Reports include:
`
`Columbia University; Cornell University; University of Illinois,
`
`Urbana/Champaign; John Hopkins University; University of
`
`Maryland; MIT; University of Minnesota; NYU; University of
`
`Oregon; Purdue University; Rutgers University; SMU; Stanford
`
`8
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`RPX Exhibit 1217 - Page 8
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`

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`
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`University; University of Texas Austin; Tulane University;
`
`University of Washington; Wayne State University; University
`
`of Wisconsin Madison; and Yale University.
`
`v. In the 1990’s, the Department also published a newsletter called
`
`“Loose Change” (later renamed “Significant Bits”) that was
`
`printed and mailed to a mailing list including Department
`
`alumni, other computer science departments around the United
`
`States, Industrial Affiliates of the Department, and interested
`
`members of the public. The Department typically added
`
`individuals to the mailing list who were academic or industry
`
`contacts of the Department. To the best of my recollection, the
`
`size of the newsletter’s mailing list in the 1990’s was on the
`
`order of 1,000 individuals. Newsletter editions were published
`
`three times per year. The Loose Change newsletter (a sample
`
`edition (Winter 1997) of which is shown in Attachment C to
`
`this declaration) advertised a mailing address, a fax number,
`
`and the e-mail address at which the librarian could be contacted
`
`to obtain hard copies of Technical Reports. (See, e.g., page 4 of
`
`Attachment C.) The Technical Report librarian had standing
`
`instructions to respond to any such request by sending a hard,
`
`9
`
`RPX Exhibit 1217 - Page 9
`
`

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`
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`paper copy of the requested Technical Report to the recipient at
`
`the address listed on the request for a printing, handling and
`
`shipping fee.
`
`vi. To the best of my recollection, the non-electronic standard
`
`indexing, cataloguing and distribution practices of the
`
`Department described above applied at least to all of the
`
`Department’s Technical Reports completed between 1990 and
`
`1994, and would have applied to CS Technical Report 92-50
`
`dated 1992 (Attachment B).
`
`e. Electronic Dissemination:
`
`i. Universities had some form of Internet access beginning in the
`
`1980’s, and World Wide Web browser access became widely
`
`available in the mid-1990’s. By the mid-1980’s, text-
`
`formatting programs were available and used by the
`
`Department to produce electronic versions of Technical Reports
`
`(usually in Postscript printer format, but later in Adobe PDF).
`
`The availability of electronic versions of Technical Reports
`
`made possible wider distribution.
`
`ii. The first effort by the Department to provide online access
`
`began in 1993, when all reports published in or after 1990 were
`
`10
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`RPX Exhibit 1217 - Page 10
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`

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`
`
`made available on an Internet FTP (file transfer protocol) server
`
`managed by the Department. This technology allowed anyone
`
`with Internet access, the appropriate software, and the filename
`
`for a specific Technical Report to download a full copy of the
`
`report from the UMass FTP server to their computer. As this
`
`approach became common practice in computer science
`
`departments, there were various projects that attempted to
`
`continuously index university FTP sites and to provide
`
`searchable databases that provided the FTP server links.
`
`Department policy did not block or otherwise prevent indexing
`
`programs from locating the materials posted on the Department
`
`FTP server. Also the “Loose Change” newsletter advertised the
`
`address of the Department’s FTP server and indicated that
`
`abstracts of Technical Reports could be viewed on the
`
`Department’s website. (See, e.g., page 4 of Attachment C.) It
`
`is my belief that any interested member of the public with
`
`access to the Internet and the appropriate software could have
`
`located CS Technical Report 92-50 as a document of interest
`
`(e.g., based on its abstract) and downloaded a full electronic
`
`11
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`RPX Exhibit 1217 - Page 11
`
`

`
`
`
`copy from the Department FTP server by at least as early as the
`
`late fall of 1993.
`
`iii. When World Wide Web browser technologies became
`
`available, it became easier to access searchable databases of
`
`Technical Report indexes and links. One project, the
`
`Networked Computer Science Technical Reports Library
`
`(NCSTRL), became available around 1995 as a free service for
`
`multiple participating institutions to make their computer
`
`science technical reports available on the Internet World Wide
`
`Web from a centralized webpage and search interface.
`
`Attachment D to this declaration is an archived screen capture
`
`of the main NCSTRL website (http://www.ncstrl.org/) as it
`
`appeared on December 31, 1996. This screen capture was
`
`retrieved on September 29, 2016, from the Internet Archive
`
`Wayback Machine at
`
`https://web.archive.org/web/19961231081247/http://www.ncstr
`
`l.org/. This screen capture of the NCSTRL website shows that
`
`any member of the public with access to the World Wide Web
`
`could perform searches on bibliographic fields of technical
`
`reports submitted to the collection, could browse reports by
`
`12
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`RPX Exhibit 1217 - Page 12
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`
`
`selecting a participating institution and viewing a list of reports
`
`submitted by that institution, and could search for any word(s)
`
`of interest in the author, title, or abstract of reports in the
`
`collection (e.g., to locate and retrieve reports relating to subject
`
`matter of interest), on the NCSTRL website.
`
`iv. By January 31, 1997, when the Internet Archive Wayback
`
`Machine first archived the Department Technical Reports
`
`webpage at http://www.cs.umass.edu/csinfo/techrep.html, the
`
`webpage linked to NCSTRL indexes for the Department
`
`Technical Reports. See Attachment E to this declaration, which
`
`is the archived screen capture of this Department Technical
`
`Reports webpage as it appeared on January 31, 1997. This
`
`screen capture was retrieved on September 26, 2016, from the
`
`Internet Archive Wayback Machine at
`
`http://web.archive.org/web/19970131082930/http:/www.cs.uma
`
`ss.edu/csinfo/techrep.html. This Technical Reports webpage
`
`could be accessed by any interested member of the public via
`
`the “Papers/Articles/TRs” link on the Department’s main
`
`webpage http://www.cs.umass.edu/. Attachment F to this
`
`declaration is an archived screen capture of this main
`
`13
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`RPX Exhibit 1217 - Page 13
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`

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`
`
`Department webpage as it appeared on January 31, 1997. This
`
`screen capture was retrieved on October 11, 2016, from the
`
`Internet Archive Wayback Machine at
`
`https://web.archive.org/web/19970131082417/http://www.cs.u
`
`mass.edu/.
`
`v. Attachment G to this declaration is an archived screen capture
`
`of the webpage at
`
`http://www.ncstrl.org/Dienst/UI/2.0/ListPublishers, as it
`
`appeared on February 4, 1997, listing the “Participating
`
`Publishers” contributing reports to the NCSTRL at that time.
`
`This webpage is linked from the “participating institutions”
`
`links in the archived capture of the NCSTRL main page
`
`(Attachment D). The screen capture of Attachment G was
`
`retrieved on September 30, 2016, from the Internet Archive
`
`Wayback Machine at
`
`https://web.archive.org/web/19970204215108/http://www.ncstr
`
`l.org/Dienst/UI/2.0/ListPublishers. This screen capture shows
`
`(at page 2) that UMass Amherst was a participating institution
`
`that allowed its CS Technical Reports to be indexed and
`
`included in the NCSTRL collection by at least as early as
`
`14
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`RPX Exhibit 1217 - Page 14
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`

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`
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`February 4, 1997, but likely earlier as the Department was
`
`providing access to its Technical Report library via NCSTRL
`
`on the Department webpage at least by January 31, 1997
`
`(Attachment E).
`
`vi. Attachment H to this declaration is an archived screen capture
`
`of the webpage at
`
`http://www.cs.umass.edu/Dienst/UI/2.0/BrowseYears?authority
`
`=ncstrl.umassa_cs, as it appeared on July 3, 1997. This
`
`“Browse the Collection by Year” webpage is linked from the
`
`“Years” link next to the “University of Massachusetts,
`
`Amherst” entry in the archived capture of the “Participating
`
`Publishers” list page (Attachment G), and includes a list of
`
`years and year ranges selectable for viewing UMass Technical
`
`Reports from the selected year(s). The screen capture of
`
`Attachment H was retrieved on September 30, 2016, from the
`
`Internet Archive Wayback Machine at
`
`https://web.archive.org/web/19970703124801/http://www.cs.u
`
`mass.edu/Dienst/UI/2.0/BrowseYears?authority=ncstrl.umassa_
`
`cs.
`
`15
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`RPX Exhibit 1217 - Page 15
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`

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`
`
`vii. Attachment I to this declaration is an archived screen capture of
`
`the webpage at
`
`http://www.cs.umass.edu/Dienst/UI/2.0/ListYears/1984-
`
`1994?authority=ncstrl.umassa_cs, as it appeared on July 3,
`
`1997. This “Reports Listed by Year” webpage is linked from
`
`the “1984 to 1994” link in the archived capture of the “Browse
`
`the Collection by Year” webpage of Attachment H, and lists the
`
`Department Technical Reports dated between 1984 and 1994
`
`that were made available by UMass via NCSTRL. The screen
`
`capture of Attachment I was retrieved on September 29, 2016,
`
`from the Internet Archive Wayback Machine at
`
`https://web.archive.org/web/19970703171716/http://www.cs.u
`
`mass.edu/Dienst/UI/2.0/ListYears/1984-
`
`1994?authority=ncstrl.umassa_cs. This list includes (at page 20
`
`of Attachment I) an entry and selectable link for “Voice
`
`Communication Across the Interne: A Network Voice Terminal
`
`Schulzrinne Henning. UM-CS-1992-050, July, 1992,”
`
`indicating that CS Technical Report 92-50 was available to any
`
`member of the public with access to the World Wide Web via
`
`the NCSTRL web pages at least as early as July 3, 1997. As
`
`16
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`RPX Exhibit 1217 - Page 16
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`
`
`
`noted, UMass Technical Reports were available via NCSTRL
`
`earlier in 1997 (Attachments E, G), and likely even earlier since
`
`the initial phase of NCSTRL began in 1995.
`
`viii. Based on the archived capture of the Department Technical
`
`Reports webpage from January 1997 (Attachment E), the listing
`
`and link to CS Technical Report 92-50 in the archived capture
`
`of the “Reports Listed by Year” at least as early as July 3, 1997
`
`(Attachment I), and the archived capture of the listing of UMass
`
`as a “Participating Publisher” earlier that year in February 1997,
`
`it is my belief that CS Technical Report 92-50 would have been
`
`available to the public via NCSTRL earlier than July 3, 1997,
`
`including prior to July 1, 1997. Based on the archived capture
`
`of the search functionality of the NCSTRL main page
`
`(Attachment D) and its description that the technical reports in
`
`the NCSTRL were “made available for non-commercial and
`
`educational use” in the “collection” “distributed among a set of
`
`interoperating servers,” it is my belief that any interested
`
`member of the public could have located CS Technical Report
`
`92-50 prior to July 1, 1997, by searching via the NCSTRL user
`
`interface for terms of interest in the report’s abstract, and could
`
`17
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`RPX Exhibit 1217 - Page 17
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`
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`
`
`have downloaded the full Technical Report via the NCSTRL
`
`web interface.
`
`ix. To the best of my recollection, most of the Department’s
`
`research groups had begun by the mid-1990’s to include all
`
`their publications including Technical Reports on the groups’
`
`websites. Thus it is likely that anyone with access to the
`
`Internet could also find Technical Reports from 1990 or later on
`
`subject matter of interest, by entering search terms of interest in
`
`a commercially available Internet search engine, which would
`
`have returned as search results archived Technical Reports that
`
`included those terms in their titles or abstracts, due to the search
`
`engine having “crawled” (i.e., indexed) the research groups’
`
`websites including their Technical Report listings.
`
`f. To the best of my recollection, aside from UMass and author
`
`copyright indications that may have appeared on or accompanied the
`
`documents, the Technical Reports distributed via each of the above
`
`routes had no restrictions on their use by any recipients.
`
`
`
`
`
`18
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`RPX Exhibit 1217 - Page 18
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`

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`I hereby declare, under penalty of perjury, that all statements made in this
`
`declaration of my own personal knowledge are true and that all statements made on
`
`information and belief are believed to be true; and further that these statements are
`
`made with the knowledge that willful false statements and the like are punishable
`
`by fine, imprisonment, or both, under Section 1001 of Title 18 of the U.S. Code.
`
`Executed on: , 2016
`
`\
`
`William Richards Adrion,
`
`11D.
`
`19
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`RPX Exhibit 1217 - Page 19
`RPX Exhibit 1217 - Page 19
`
`

`
`ATTACHMENT A
`
`ATTACHMENT A
`
`RPX Exhibit 1217 - Page 20
`RPX Exhibit 1217 — Page 20
`
`

`
`(cid:23)(cid:35)(cid:40)(cid:40)(cid:35)(cid:27)(cid:41)(cid:1)(cid:18)(cid:35)(cid:29)(cid:34)(cid:27)(cid:46)(cid:30)(cid:47)(cid:1)(cid:2)(cid:30)(cid:46)(cid:35)(cid:43)(cid:42)(cid:1)
`
`(cid:2)(cid:5)(cid:5)(cid:18)(cid:6)(cid:19)(cid:19)(cid:1)
`(cid:4)(cid:43)(cid:40)(cid:40)(cid:31)(cid:33)(cid:31)(cid:1)(cid:43)(cid:32)(cid:1)(cid:10)(cid:42)(cid:32)(cid:43)(cid:46)(cid:41)(cid:27)(cid:48)(cid:35)(cid:43)(cid:42)(cid:1)(cid:27)(cid:42)(cid:30)(cid:1)(cid:4)(cid:43)(cid:41)(cid:44)(cid:49)(cid:48)(cid:31)(cid:46)(cid:1)(cid:19)(cid:29)(cid:35)(cid:31)(cid:42)(cid:29)(cid:31)(cid:47)(cid:1)
`(cid:77)(cid:80)(cid:76)(cid:1)(cid:8)(cid:43)(cid:50)(cid:31)(cid:46)(cid:42)(cid:43)(cid:46)(cid:47)(cid:1)(cid:5)(cid:46)(cid:35)(cid:50)(cid:31)(cid:1)
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