UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Apple Inc.,
`Petitioner
`
`V.
`
`California Institute of Technology,
`Patent Owner.
`
`Case IPR2017-00701
`
`IPR2017-00701
`
`DECLARATION OF THEODORE A. FONS, M.L.S.
`
`(cid:36)(cid:83)(cid:83)(cid:79)(cid:72)(cid:3)(cid:89)(cid:86)(cid:17)(cid:3)(cid:38)(cid:68)(cid:79)(cid:87)(cid:72)(cid:70)(cid:75)
`Apple VS. Caltech
`(cid:36)(cid:83)(cid:83)(cid:79)(cid:72)(cid:3)(cid:89)(cid:86)(cid:17)(cid:3)(cid:38)(cid:68)(cid:79)(cid:87)(cid:72)(cid:70)(cid:75)(cid:3)
`(cid:44)(cid:51)(cid:53)(cid:21)(cid:19)(cid:20)(cid:26)(cid:16)(cid:19)(cid:19)(cid:26)(cid:19)(cid:20)
`IPR2017-OO701
`(cid:44)(cid:51)(cid:53)(cid:21)(cid:19)(cid:20)(cid:26)(cid:16)(cid:19)(cid:19)(cid:26)(cid:21)(cid:27)(cid:3)
`(cid:36)(cid:83)(cid:83)(cid:79)(cid:72)(cid:3)(cid:20)(cid:20)(cid:22)(cid:19)
`Apple 1 130
`(cid:36)(cid:83)(cid:83)(cid:79)(cid:72)(cid:3)(cid:20)(cid:21)(cid:22)(cid:19)
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`I, Theodore A. Fons, M.L.S., declare as follows:
`
`1.
`
`My name is Theodore A. Fons.
`
`I.
`
`BACKGROUND
`
`2.
`
`In 1990, I earned a Bachelor of Arts degree from Marquette
`
`University in International Affairs. In 1995, I earned a Masters in Library Science
`
`from Syracuse University with a focus on library computer systems. At Syracuse,
`
`my core studies included traditional cataloging, reference, and the history of
`
`librarianship. It also included studies in database design and other systems-related
`
`courses overlapping with courses in the computer science secondary degree
`
`programs within the school of Information Studies and Technology.
`
`3.
`
`As a librarian with nearly thirty years of experience, I have deep
`
`experience in bibliographic metadata, program management, team management,
`
`and strategic planning. Beginning with my direct experience in acquisitions at
`
`Marquette University, and cataloging at the Tufts University Library, I have
`
`maintained an interest in library technical services and systems in general and
`
`specifically library metadata throughout my career. Library technical services
`
`encompasses all of the work to acquire physical and electronic materials for a
`
`library and manage the data that represents the collections made available to
`
`library users; this is referred to as metadata—electronically stored data describing
`
`real world and electronically-available or networked materials.
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`4.
`
`My direct experience in library technical services experience includes
`
`positions on the acquisitions team at Marquette University Library (1990-1993)
`
`and as a cataloger at the Tufts University Library (1993-1996). At Tufts, I directly
`
`worked on library cataloging, using the tools and resources that support cataloging
`
`best practices.
`
`5.
`
`In 1996, I joined Innovation Interfaces, Inc. At Innovative Interfaces,
`
`I served as the Product Manager for the acquisitions and serials modules. In this
`
`role, I was responsible for writing technical specifications for the ingest of machine
`
`readable cataloging (MARC) data into Innovative Interfaces’ integrated library
`
`system—an inventory and management system that includes a cataloging module
`
`and online public access catalog. My work at Innovative Interfaces continued until
`
`2008.
`
`6.
`
`From 2008 to 2015, I served as the Executive Director of Data
`
`Services for the Online Computer Library Center (“OCLC”). There I was
`
`responsible for OCLC’s WorldCat global metadata network and, in particular, for
`
`the functions of direct data ingest from libraries. MARC bibliographic data was
`
`WorldCat’s primary means of data exchange. My responsibilities also included the
`
`WorldCat bibliographic database and management of the quality control team
`
`which includes the world’s premier experts on cataloging practice and MARC
`
`formats and standards.
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`7.
`
`I currently serve as a principal consultant With Third Chapter Partners,
`
`LLC. Third Chapter Partners is a consultancy that advises libraries in all aspects
`
`of library management, systems, and library marketing. As a consultant there, I
`
`advise my clients on several library related practice areas including business case
`
`development, product management, marketing, library workflows and operations,
`
`and metadata and metadata standards.
`
`8.
`
`A representative selection of my publications and presentations
`
`relevant to my experience in library metadata includes:
`
`0 Fons, Theodore (2016) Improving Web Visibility: Into the Hands of
`
`the Reader. Library Technology Reports v. 52 no 4 (2016)
`
`0
`
`Information Standards Quarterly: Winter 2013 Issue. Guest content
`
`editor for a special issue on the evolution of bibliographic data
`
`exchange, hflp://Www.niso.org/publications/isg/2013/v25no4/.
`
`o Fons, Theodore, et al. (2012) OCLC's Linked Data Initiative: Using
`
`Schema.org to Make Library Data Relevant on the Web. Information
`
`Standards Quarterly v. 24 no 2-3 (2012) p. 29-33.
`
`http://wwwnisoorg/apps/group public/download.php/9408/IP_Fons-
`
`etal OCLC isgv24no2-3.pdf.
`
`o Fons, Theodore. (2015 April) The Future of Metadata Management
`
`and Making Library Collections Presentations Discoverable on the
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`Web, Keynote address given at the National Library Descriptors
`
`Conference at the National Library of Poland, Warsaw, Poland.
`
`Fons, Theodore (2015 February). Strategies for Exposing Library
`
`Data on the Web and Managing Library Data Quality, Presentation
`
`given at the Europeana Tech 2015 Conference, Paris, France.
`
`Fons, Theodore (2015 January). OCLC and Library of Congress
`
`Collaboration, Presentation given at the Library of Congress
`
`BIBFRAME Update Forum, Chicago, IL.
`
`Fons, Theodore (2014 December). Exposing Library Collections on
`
`the Web, Presentation given at the Coalition for Networked
`
`Information (CNI) Fall Membership Conference, Washington DC.
`
`Fons, Theodore (2014 August). Authorities, Communities and
`
`Entities: The Library Data Revolution, Keynote address given as part
`
`of the Universal Bibliographic Control in the Digital Age joint
`
`program of the Cataloguing, Bibliography, Classification and
`
`Indexing and UNIMARC Strategic Programme sections at the IFLA
`
`World Library and Information Congress, Lyon, France.
`
`Fons, Theodore (2014 August). Workshop on Linked Data for
`
`Practitioners, Workshop convened at the IFLA 2014 Satellite
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`Meeting: Linked Data in Libraries: Let's Make It Happen!
`
`Bibliotheque Nationale de France, Paris.
`
`Fons, Theodore (2014 August). Links and Entities: OCLC and the
`
`Library Data Revolution, Keynote presented as part of the OCLC
`
`Industry Symposium at the IFLA World Library and Information
`
`Congress, Lyon, France.
`
`Fons, Theodore (2014 July). Links and Entities, Keynote address
`
`given at the OhioNet RDA Workshop, Worthington, OH.
`
`Fons, Theodore (2014 February). Growing WorldCat: What the
`
`Global Community Wants, Presentation given at the OCLC EMEA
`
`Regional Council Annual Meeting, Cape Town, South Africa.
`
`Fons, Theodore and Regina Reynolds. (2004 June), Serials Standards:
`
`Envisioning a Solution to the Online Serials Management Mess,
`
`Presentation given at the North American Serials Interest Group
`
`Annual Conference, Milwaukee, WI.
`
`Fons, Theodore. (2004 March), Panel 2: Users, Panel presentation
`
`given at the CONSER Summit on Serials in the Digital Environment,
`
`Washington, DC. IXIFons, Theodore. (2004 January) Preparing for
`
`the Expanding ISBN, Presentation at the NISO Postconference
`
`Workshop, San Diego, CA.
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`9.
`
`My post-secondary education has been furthered by my participation
`
`in the UCLA Graduate School of Library and Information Science’s Senior
`
`Fellows program (2010). This was a selective, in-residence, post-secondary
`
`fellowship designed to further the education of library leaders preparing for
`
`leadership positions in North American academic institutions.
`
`10.
`
`I am attaching a copy of my curriculum vitae as Exhibit A.
`
`II.
`
`SCOPE OF ENGAGEMENT
`
`l.
`
`I have been retained by Apple to provide background on library
`
`cataloging practices, and to review and opine on certain library records relevant to
`
`this inter partes review.
`
`2.
`
`I am being compensated at my normal consulting rate for my work at
`
`$125 dollars per hour.
`
`3.
`
`My compensation is not dependent on the outcome of this inter partes
`
`review, and in no way affects the substance of my statements in this Declaration.
`
`III. OVERVIEW OF LIBRARY CATALOGING PRACTICES
`
`l.
`
`The role of a library is to collect, manage and preserve publications
`
`and other sources of information for the benefit of its community. This work
`
`creates significant benefits for society, where libraries serve as repositories of
`
`knowledge, support education, promote learned societies, support industry, and
`
`advance literacy. In order help achieve these aims, libraries have long ago
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`standardized their method for recording bibliographic descriptions of the materials
`
`in their collections. The purpose of standardization is to ensure that the
`
`bibliographic data on materials held in a library’s collections is uniformly reliable,
`
`highly quality data that can be maintained efficiently. Standardization of this data,
`
`and standardization of the methods of collecting, identifying, and describing this
`
`data also promotes the goals of efficiency in internal operations and effectiveness
`
`in broadcasting the contents of their collections to other libraries and the public at
`
`large.
`
`2.
`
`Catalogers (those Who practice cataloging) in the United States have
`
`been guided and heavily influenced by a set of cataloging rules, called the Anglo-
`
`American Cataloging Rules (“AACRZ”), and by participating in the cooperative
`
`cataloging efforts such as OCLC’s shared bibliographic database and the Library
`
`of Congress’ Program for Cooperative Cataloging. By design, the latter two
`
`efforts seek to avoid redundant cataloging at the local library level and to promote
`
`standard practice in bibliographic description. Through sharing of bibliographic
`
`data by contributing and downloading machine readable cataloging (MARC),
`
`libraries achieve the efficiencies of scale and shared effort.
`
`3.
`
`The typical library cataloging process consists of several pieces. First,
`
`the library maintains a local system holding cataloging records that reflect an
`
`inventory of that particular library’s collections. Those collections are presented to
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`the public through an online public access catalog (“OPAC”). The local library
`
`system also provides the ability to perform acquisitions of references and inventory
`
`references in order to support lending and borrowing. The core of this system
`
`consists of a set of bibliographic records in the MARCZl format. These records
`
`are individual descriptions of the materials that are either on order or fully
`
`available to library patrons.
`
`4.
`
`The MARCZl format is a format developed by the Library of
`
`Congress for the representation and communication of bibliographic and related
`
`information in machine-readable form. It is a set of codes and content designators
`
`for encoding machine-readable record. The format is maintained by the Library of
`
`Congress in consultation with various user communities. The MARCZl formats,
`
`particularly the bibliographic and authority formats, were initially developed to
`
`enable the Library of Congress to improve the efficiency of card catalog printing
`
`and to communicate its catalog records to other institutions. The formats have had
`
`a close relationship to the needs and practices of North American libraries with
`
`universal collections. They reflect both the various cataloging codes applied in the
`
`library community and the requirements of the archives community.
`
`5.
`
`A library’s bibliographic records are typically created and managed
`
`with the following workflow.
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`6.
`
`During the purchasing process, the library’s Acquisitions team Will
`
`enter either “brief” or complete bibliographic data in the local system. A “brief’
`
`record contains only a core access point such as title Without full descriptive or
`
`subject cataloging. It is quite common for Acquisitions teams to use the OCLC’s
`
`WorldCat database as the source for complete bibliographic data. If a suitable
`
`record is not available in WorldCat, the Acquisition team at the library Will
`
`typically create a stub record in the local system for ordering purposes. For
`
`standing order subscriptions, such as scholarly series or scientific proceedings, a
`
`record for the series itself is used for purchasing purposes and a full record created
`
`for individual titles in the series. Such is typically the case for monographs in
`
`series or scientific conference proceedings Where each issue is themed or the
`
`subject cataloging is distinct enough to warrant a separate record. This enhances
`
`the discoverability of the individual item.
`
`7.
`
`Once an item is received by the library, the cataloger is notified that
`
`an item is ready for cataloging. Typically, these items have already been received
`
`by a shipping and receiving clerk and sorted by source or type for the cataloging
`
`team. The cataloger Will then refer to the local system to review the quality of the
`
`existing cataloging data entered by the Acquisition team for the item. If the series
`
`record indicates that an item in series requires individual cataloging, then the
`
`cataloger Will typically refer to WorldCat for a full record. If one does not exist,
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`then the cataloger will refer the item to an expert colleague or proceed with
`
`“original” cataloging. That work can be done directly in WorldCat and the data
`
`exported to the local system, or performed in the local system and later exported to
`
`WorldCat. Local practice will determine which method is used.
`
`8.
`
`Depending on local practice, the cataloger will often use the WorldCat
`
`data as the final cataloging record in the local system. In addition, when necessary,
`
`the cataloger will “upgrade” the record obtained from WorldCat. By upgrading the
`
`record, the cataloger may correct inaccuracies in the current record based on the
`
`piece in hand (this improves access) or add additional elements to distinguish the
`
`record from other similar records. The specific approach depends on local
`
`practice.
`
`9.
`
`By tradition and rule, and to promote quality in cataloging metadata,
`
`catalogers in the AACR2 era catalog with the “piece in hand.” This is codified in
`
`Section 0.24 of AACR2 rules: “The starting point for description is the physical
`
`form of the item in hand, not the original or any preVious form in which the work
`
`has been published.” Joint Steering Committee for Revision of AACR., and
`
`American Library Association. Anglo-American Cataloguing Rules. Library of
`
`Congress. Ottawa: Canadian Library Association, 2002. This means that best
`
`practices require that the cataloger have physical possession of the publication
`
`10
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`Whose bibliographic data is being catalogued. It is rare for a cataloger to not have
`
`physical possession of the publication While cataloging.
`
`10.
`
`Part of the process of descriptive cataloging is to indicate the date of
`
`publication. Catalogers are guided by AACR2 § 4E. Section 4E1 explains: “Give
`
`the year of publication, distribution, etc. of the edition named in the edition area
`
`(see rule 2B). Ignore dates of later issues of the same edition. If there is no edition
`
`statement, give the year of first publication of the item you are describing. Give
`
`the year in Arabic numbers.”
`
`11. AACR2 also provides conceptual guidelines for cataloging. For
`
`conventions of entering data into WorldCat cataloging records, catalogers Will
`
`refer to OCLC’s Formats and Standards documentation. This include the guideline
`
`that, “If a date is unavailable, enter an approximate date. Use brackets [ ] around
`
`the date.” OCLC. Bibliographic Formats and Standards. Dublin, Ohio: OCLC,
`
`2008. Notably, AACR2’s rule in § 4E3(C) provides: “If no date of publication is
`
`found on the item give an approximate year preceded by “ca.” and enclosed in
`
`square brackets.” Joint Steering Committee for Revision of AACR., and American
`
`Library Association. Anglo-American Cataloguing Rules. Library of Congress.
`
`Ottawa: Canadian Library Association, 2002. In my experience, catalogers use
`
`their best judgment to infer the date of publication based on the evidence available
`
`to them, including the piece at hand and any independent research they obtain. By
`
`11
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`placing a date in square brackets, the cataloger confirms that the bracketed date is a
`
`probable and reasonable inference based on the evidence.
`
`IV. OPINION ON ALLERTON CONFERENCE RECORDS
`
`12.
`
`I have been asked to review several catalog records produced by the
`
`Respondent that belong to the Respondent’s Jet Propulsion Laboratory (“JPL”)
`
`Library.
`
`1 have received several OCLC WorldCat records that were obtained at
`
`my direction.
`
`13.
`
`I understand that JPL is a division of the California Institute of
`
`Technology (“Caltech”). See http://www.caltech.edu/content/jet-propulsion-
`
`laboratory.
`
`14. Attached as Exhibit B is a true and correct copy of the JPL Library’s
`
`BEACON record and a MARC view for the Thirty-seventh Annual Allerton
`
`Conference on Communication, Control, and Computing; proceedings, conference
`
`held September 22, September 23, and September 24, 1999, Allerton House,
`
`Monticello, Illinois, which I understand was produced by Respondent in California
`
`Institute of Technology v. Broadcom et. a], Case No. 2: 16-cv-3714, pending in the
`
`United States District Court for the Central District of California. (“JPL’s 37th
`
`Allerton Conference Proceedings Catalog Entry”). JPL’s 37th Allerton
`
`Conference Proceedings Catalog Entry bears the Bates Number
`
`CALTECH_BCMAPL_00184461 .
`
`12
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`15.
`
`JPL’s 37th Allerton Conference Proceedings Catalog Entry is a
`
`printout that combines both the JPL Library’s public facing local system data and
`
`the JPL Library’s MARC View (starting at the page labeled
`
`CALTECH_BCMAPL_00184465) for The Proceedings of the Thirty-seventh
`
`Annual Allerton Conference on Communication, Control, and Computing. JPL’s
`
`37th Allerton Conference Proceedings Catalog Entry indicates that it originated
`
`from OCLC Number 43817443.
`
`16. Attached as Exhibit C is a true and correct copy of OCLC Number
`
`43817443 that was obtained from WorldCat. (“WorldCat OCLC 43817443”).
`
`17.
`
`The following is an explanation of the MARC fields in WorldCat
`
`OCLC 43817443. The first column of this table identifies the OCLC field names.
`
`The second column of this table identifies the data entered for each field for this
`
`specific record. The third column of this table states What the data the cataloger
`
`entered in each field means according to the AARC2 rules and the OCLC Formats
`
`and Standards:
`
` Rec Stat
`
`Corrected or reVised record.
`
`13
`
`

`

`Entered
`
`20000411
`
`System-generated date record entered by
`
`Declaration of Theodore A. Fons, M.L.S.
`
`original cataloging institution. This date
`
`indicates that cataloging work was
`
`complete for transmission to OCLC
`
`WorldCat on April 11, 2000.
`
`Replaced
`
`201508080033499
`
`System-generated date of last record
`
`update to any field.
`
`-- agencyliketheLibraryofCongress
`
`Form
`
`blank
`
`No other code applies. Implies printed
`
`textual material.
`
`-_—
`
`Srce
`
`Not cataloged by a national bibliographic
`
`l4
`
`

`

`Fest
`
`Not a Festschrift
`
`Declaration of Theodore A. Fons, M.L.S.
`
`Audn
`
`Biog
`
`No audience indicated
`
`Implied: not biographical material
`
`0 D
`
`Not fiction
`
`Single date of publication
`
`
`
`LitF
`
`tSt
`
`Ctrl
`
`Not under archival control status.
`
`Implied: not part of an archival set.
`
`Blank
`
`Not modified for entry into machine-
`
`readable form
`
`1
`
`Dates
`
`1999,
`
`Date of publication: 1999
`
`Eng
`
`ilu
`
`040
`
`[unlabeled
`
`subfield a]
`
`Language of publication: English
`
`State/Country of publication: Illinois,
`
`United States
`
`OCLC institution code for the original
`
`cataloging institution: NASA, Langley
`
`Research Center
`
`15
`
`

`

`
`
`111
`
`la Allerton Conference on Uniform title assigned to all records for
`
`Declaration of Theodore A. Fons, M.L.S.
`
`Communication, Control,
`
`the Allerton Conference.
`
`and Computing |n (37th :
`
`|d Subfield (1 represents date the conference
`
`1999 :
`
`|c Monticello, Ill.)
`
`occurred derived With high confidence
`
`from the “piece in hand.”
`
`
`l6
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`|a Thirty-seventh Annual
`
`Title field. Typically taken from the
`
`Allerton Conference on
`
`recto of the title page from the “piece in
`
`Communication, Control,
`
`and Computing : lb
`
`proceedings, conference
`
`hand.”
`
`held September 22,
`
`September 23, and
`
`September 24, 1999,
`
`Allerton House,
`
`Monticello, Illinois / |c
`
`sponsored by the
`
`Coordinated Science
`
`Laboratory and the
`
`Department of Electrical
`
`and Computer
`
`Engineering of
`
`the University of Illinois
`
`at Urbana-Champaign.
`
`l7
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`|a [Urbana-Champaign,
`
`Place of publication, publisher and date
`
`111.] :
`
`|b [University of
`
`of publication. Square brackets indicate
`
`Illinois], |c [1999]
`
`that this publication did not have
`
`considered the probable date.
`
`traditional imprint date indicating those
`
`elements on the recto of the title page.
`
`But the cataloger was able to determine
`
`those elements from other elements of
`
`the item such as the title. As explained
`
`above, this the cataloger’s best inference
`
`based on the piece at hand and any
`
`independent research they obtain. This is
`
`18
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`|a xvi, 1346 pages : lb
`
`Total pages of prefatory material
`
`illustrations ;
`
`|c 24 cm
`
`(subfield a), total number of pages
`
`ruler.
`
`(subfield b), illustrations included, and
`
`vertical dimension of the item (subfield
`
`c). These details are typically verified by
`
`the cataloger including inspection of the
`
`page count and physical measurement of
`
`the physical dimensions With a metric
`
`18.
`
`The MARC data in JPL’s 37th Allerton Conference Proceedings
`
`Catalog Entry is identical to the MARC data in the OCLC WorldCat.
`
`19.
`
`Based on common cataloging practice and my revieW of both JPL’s
`
`MARC record and the OCLC record, I believe it is likely that When the JPL library
`
`received a physical copy of the 37th Annual Allerton Conference Proceedings, that
`
`the JPL Library copied the existing WorldCat cataloging record created by the
`
`NASA Langley Research Center for their local integrated library system. If JPL
`
`had been the first to catalog this item, the OCLC symbol for the JPL Library would
`
`appear in subfield a of the 040 field.
`
`19
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`20.
`
`Based on my analysis of the WorldCat cataloging record for the 37th
`
`Annual Allerton Conference Proceedings, it appears that the catalogers who input
`
`and have subsequently updated this record believe that the publication date of the
`
`item was 1999, but that that date was not present in place where imprint
`
`information is normally found and used for cataloging. However, the catalogers do
`
`not believe that the publication date is unknown. If that were true, they would
`
`have indicated an approximate date according to AACR2 4E3, Section C.
`
`21. Under OCLC procedures, member libraries such as the JPL Library,
`
`can submit corrections to the OCLC WorldCat database. In order to obtain
`
`changes, a library desiring to make a correction must submit evidence that the date
`
`listed is incorrect. Here, it does not appear that either JPL or Caltech have ever
`
`attempted to correct the publication date for this entry. It would be quite typical
`
`that when a library learns that a catalog record is incorrect, for the library to
`
`change that record to reflect the correct data. That is because a library views its
`
`catalog as important information for anyone interested in the information present in
`
`the underlying reference. Based on typical practice, it is reasonable to conclude
`
`that if the JPL Library actually believed that the 37th Annual Allerton Conference
`
`Proceedings were published any other year than 1999 and that it could support that
`
`conclusion with some evidence, it would seek to correct its library record.
`
`20
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`22. Attached as Exhibit D is a true and correct copy of the JPL Library’s
`
`BEACON record for Coding Theorems for “Turbo-like” Codes, D. Divsalar, H.
`
`Jin, R J McEliece, published in the Proceedings of the Annual Allerton Conference
`
`on Communication Control and Computing, 36, (1998); 201-210, which I
`
`understand was produced by Caltech in California Institute of Technology v.
`
`Broadcom et. a], Case No. 2:16-cV-3714, pending in the United States District
`
`Court for the Central District of Califomia. (“Divsalar BEACON Record”.) It
`
`bears the Bates Number CALTECH_BCMAPL_00184420.
`
`23. Attached as Exhibit E is a true and correct copy of the OCLC
`
`41479255 that was obtained from WorldCat. (“WorldCat OCLC 41479255”). It is
`
`WorldCat’s bibliographic record for Divsalar.
`
`24.
`
`The following is an explanation of the MARC fields in WorldCat
`
`OCLC 41479255. This table follows the same format described in paragraph 17
`
`above:
`
`Corrected or reVised record.
`
`Rec Stat
`
`21
`
`

`

`Entered
`
`19990603
`
`System-generated date record entered by
`
`Declaration of Theodore A. Fons, M.L.S.
`
`original cataloging institution. This date
`
`indicates that cataloging work was
`
`complete for transmission to OCLC
`
`WorldCat on June 3, 1999.
`
`Replaced
`
`201508060221304
`
`System-generated date of last record
`
`update to any field.
`
`-- agencyliketheLibraryofCongress
`
`Form
`
`blank
`
`No other code applies. Implies printed
`
`textual material.
`
`-_—
`
`Srce
`
`Not cataloged by a national bibliographic
`
`22
`
`

`

`Fest
`
`Not a Festschrift
`
`Declaration of Theodore A. Fons, M.L.S.
`
`Audn
`
`Biog
`
`No audience indicated
`
`Implied: not biographical material
`
`0 D
`
`Not fiction
`
`Single date of publication
`
`
`
`LitF
`
`tSt
`
`Ctrl
`
`Not under archival control status.
`
`Implied: not part of an archival set.
`
`Blank
`
`Not modified for entry into machine-
`
`readable form
`
`1
`
`Dates
`
`1998,
`
`Date of publication: 1998
`
`Eng
`
`ilu
`
`040
`
`[unlabeled
`
`subfield a]
`
`Language of publication: English
`
`State/Country of publication: Illinois,
`
`United States
`
`OCLC institution code for the original
`
`cataloging institution: Mitre Corporation,
`
`Beford Operations Library
`
`23
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`|a Allerton Conference on
`
`Uniform title assigned to all records for
`the Allerton Conference.
`
`Communication, Control,
`
`Subfield (1 represents date the conference
`
`and Computing |n (36th :
`
`|d
`
`occurred derived With high confidence
`
`1998 :
`
`|c Monticello, 111.)
`
`from the “piece in hand”
`
`la Thirty-sixth Annual
`
`Title field. Typically taken from the
`
`Allerton Conference on
`
`recto of the title page from the “piece in
`
`hand.”
`
`Communication, Control,
`
`and Computing : lb
`
`proceedings, September
`
`23-26, 1998, Allerton
`
`House, Monticello, Illinois
`
`/ |c sponsored by the
`
`Coordinated Science
`
`Laboratory and the
`
`Department of Electrical
`
`and Computer
`
`Engineering of
`
`the University of Illinois
`
`at Urbana-Champaign.
`
`24
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`|a Urbana-Champaign, Ill.
`
`Place of publication, publisher and date
`
`: lb University of Illinois,
`
`of publication. Lack of square brackets
`
`|c 1998
`
`indicate that this publication has
`
`traditional imprint date indicating those
`
`elements on the recto of the title page.
`
`la xi, 831 pages : lb
`
`Total pages of prefatory material, total
`
`illustrations ;
`
`|c 24 cm
`
`number of pages, illustrations included,
`
`ruler.
`
`and vertical dimension of the item.
`
`These details are typically verified by the
`
`cataloger including inspection of the
`
`page count and physical measurement of
`
`the physical dimensions With a metric
`
`25.
`
`Based on my analysis of the WorldCat record for the 36th Annual
`
`Allerton Conference Proceedings, it appears that the catalogers Who input and have
`
`subsequently updated this record believe that the publication date of the item was
`
`1998.
`
`26. As explained above the JPL Library and Caltech can submit
`
`corrections to the OCLC WorldCat database. Here, it does not appear that either
`
`25
`
`

`

`Declaration of Theodore A. Fons, M.L.S.
`
`JPL or Caltech have ever attempted to correct the publication date for this entry.
`
`Based on typical practice, it is reasonable to conclude that if the JPL Library
`
`actually believed that the 36th Annual Allerton Conference Proceedings were
`
`published any other year than 1998 and that it could support that conclusion with
`
`some evidence, it would seek to correct its library record.
`
`27. Also, based on the fact that the bibliographic record indicates that the
`
`record was drafted using AACR2 rules, it is highly likely the cataloger drafted this
`
`with the piece in hand. This is further supported by the fact that the record
`
`identifies the physical dimensions of the book. Most catalogers verify and enter
`
`this physical dimension information only with the piece in hand. Combined with
`
`the fact that the record entry field is June 3, 1999, this confirms that at least by
`
`June 3, 1999, the 36th Annual Allerton Conference Proceedings was in public
`
`circulation.
`
`V.
`
`AVAILABILITY FOR CROSS-EXAMINATION
`
`28.
`
`In signing this declaration, I recognize that the declaration will be
`
`filed as evidence in a contested case before the Patent Trial and Appeal Board of
`
`the United States Patent and Trademark Office. I also recognize that I may be
`
`subject to cross-examination in the case and that cross-examination will take place
`
`within the United States. If cross-examination is required of me, I will appear for
`
`26
`
`

`

`cross-examination within the United States during the time allotted for cross-
`
`Declaration of Theodore A. Fons, M.L.S.
`
`examination.
`
`VI. RIGHT TO SUPPLEMENT
`
`29.
`
`I reserve the right to supplement my opinions in the future to respond
`
`to any arguments that the Patent Owner raises and to take into account new
`
`information as it becomes available to me.
`
`Theodore A. Fons, M.L.S.
`Dublin, Ohio, USA
`
`27
`
`

`

`Exhibit A
`
`(cid:21)(cid:27)
`28
`
`

`

`THEODORE A. FONS
`
`Columbus, Ohio
`www.linkedin.com[inltedfons
`
`614.787.1466
`ted@thirdchapter.com
`
`EXECUTIVE DIRECTOR, PRODUCT MANAGER, 81 PROGRAM MANAGER
`
`Passionate about innovation in information technology, library technology, and making a
`meaningful contribution to organizations that support research and learning.
`
`An experienced executive director with deep experience in bibliographic metadata, program
`management, team management, and strategic planning.
`
`Ten years of experience managing financials of programs including estimation, staffing, and overall
`business case development. Strong stakeholder management skills with executives and line-level staff
`and management of projects through all phases, from business case and cost-benefit analysis to
`project definition through implementation and post-implementation support. Career emphasis has
`been on system interfaces, workflow applications, and data migration projects.
`
`0
`
`°
`
`°
`
`0
`
`Information Technology: technology evaluation, monitoring trends, innovation practice,
`vendor management; SLA and contract oversight.
`Strategic Planning: landscape analysis, team coordination, and integration of enterprise-
`level strategy with team strategic plans.
`Program Management: estimation, staffing, and pricing for projects ranging from $100K—18
`million; Agile and traditional (waterfall) SDLC projects; data migration services; change
`management and user adoption.
`People Management: team management (5-9 direct reports. 30-40 in teams) across
`multiple countries and sub-projects; experience navigating matrixed, politically sensitive
`organizations; stakeholder management with executives including CEO and CIO.
`
`PROFESSIONAL EXPERIENCE
`
`DATA SERVICES & WORLDCAT QUALITY — OCLC, Columbus, Ohio
`
`2008 - 2015
`
`Executive Director
`
`Responsible for managing the data infrastructure that supports OCLC’s $200M+ service portfolios.
`The job of the Executive Director is to effectively manage the bibliographic data infrastructure as a
`product and not just a cost.
`This includes effective strategic planning, pursuing operational
`excellence, and executing a series of programs designed to allow innovation within the business lines
`using the data. Skills required of the Executive Director:
`
`0 Technical Knowledge: knowledge of global bibliographic metadata standards and practices.
`Serve as a resource for staff and customers on bibliographic metadata detail & best practices.
`° Esti