UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`APPLE INC.
`
`Petitioner
`
`- vs. -
`
`SAINT LAWRENCE COMMUNICATIONS LLC
`
`Patent Owner
`
`US. Patent No. 6,807,524
`
`DECLARATION OF INGRID HSIEH—YEE, PHD,
`
`UNDER 37 C.F.R. § 1.68
`
`Ex. 1017 / Page 1 of71
`Apple v. Saint Lawrence
`
`Ex. 1017 / Page 1 of 71
`Apple v. Saint Lawrence
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`APPLE INC.
`
`Petitioner
`
`- vs. -
`
`SAINT LAWRENCE COMMUNICATIONS LLC
`
`Patent Owner
`
`US. Patent No. 6,807,524
`
`DECLARATION OF INGRID HSIEH—YEE, PHD,
`
`UNDER 37 C.F.R. § 1.68
`
`Ex. 1017 / Page 1 of71
`Apple v. Saint Lawrence
`
`Ex. 1017 / Page 1 of 71
`Apple v. Saint Lawrence
`
`
`
`I, Ingrid Hsieh-Yee, Ph.D., do hereby declare as follows:
`
`1.
`
`I have been retained as an independent expert witness on behalf of
`
`Apple Inc. (“Petitioner”) for an Inter Partes Review (“IPR”) of US. Patent No.
`
`6,807,524 (“the ’524 patent”).
`
`2.
`
`I am being compensated for my work in this matter at my accustomed
`
`hourly rate of $160.00. I am also being reimbursed for reasonable and customary
`
`expenses associated with my work and testimony in this investigation. My
`
`compensation is not contingent on the results of my study, the substance of my
`
`opinions, or the outcome of this matter.
`
`3.
`
`In the preparation of this declaration, 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:
`
`(1)
`
`Kroon, et a1. (“Kroon”), 1986, “Regular-Pulse Excitation-A Novel
`
`Approach to Effective and Efficient Multipulse Coding of Speech,”
`
`IEEE Transactions on Acoustics, Speech, and Signal Processing,
`
`ASSP-34(5), pp.1054-1063, obtained from the Library of Congress,
`
`Exhibit 1005;
`
`(2) MARC Record Information for IEEE Transactions on Acoustics,
`
`Speech, and Signal Processing, available at the Library of Congress
`
`online catalog at
`
`https://catalog.loc.gov/vwebv/staffView?searchId=7802&recPointer=
`
`EX. 1017 / Page 2 0f 71
`
`Ex. 1017 / Page 2 of 71
`
`
`
`0&recCount=25&searchType=1&bibId=1 1182211, accessed February
`
`17, 2017, Exhibit 1006;
`
`(3)
`
`Bibliographic Record Information for IEEE Transactions on
`
`Acoustics, Speech, and Signal Processing, available at the Library of
`
`Congress online catalog at
`
`https://catalog.loc.gov/vwebv/search?searchCode=STNO&searchTyp
`
`e=1&recCount=25&searchArg=0096-35l8, accessed February 17,
`
`2017, Exhibit 1007;
`
`(4)
`
`Salami, R., LaFlamme, C., Adoul, J-P. (“Salami”), 1992, “Real-Time
`
`Implementation of a 9.6 Kbit/s ACELP Wideband Speech Coder,”
`
`Orlando Globecom ’92 Communication for Global Users, Vol. 1,
`
`pp.447-451, obtained from the United States Naval Academy Nimitz
`
`Library, Exhibit 1008;
`
`(5)
`
`MARC Record Information for Orlando Globecom "92
`
`Communication for Global Users, available at the online catalog of
`
`the United States Naval Academy Nimitz Library
`
`https://1ibrary.usna.edu/search~S4?/tglobecom+92/tglobecom+++92/1
`
`%2C1%2C1%2CB/marc&FF=tglobecom+++92&1%2C1%2C,
`
`accessed March 8, 2017, Exhibit 1009;
`
`(6)
`
`Bibliographic Record Information for Orlando Globecom "92
`
`Communication for Global Users, available at the online catalog of
`
`the United States Naval Academy Nimitz Library
`
`https://library.usna.edu/search/?searchtype=t&SORT=D&searcharg=g
`
`lobecom+92&searchscope=4, accessed March 8, 2017, Exhibit 1010;
`
`(7)
`
`MARC Record Information for Orlando Globecom "92
`
`EX. 1017 / Page 3 0f 71
`
`Ex. 1017 / Page 3 of 71
`
`
`
`Communication for Global Users, available at the Library of Congress
`
`online catalog at
`
`https ://catalog.loc.gov/vwebv/staffView?searchId=7 122&recPointer=
`
`lO&recCount=25&bibId=11454684, accessed February 17, 2017,
`
`Exhibit 1011;
`
`(8)
`
`Salami, R., LaFlamme, C., Adoul, J-P., 1992, “Real-Time
`
`Implementation of a 9.6 Kbit/s ACELP Wideband Speech Coder,”
`
`Orlando Globecom ’92 Communication for Global Users, Vol. 1,
`
`pp.447-451, obtained from the Library of Congress, Exhibit 1012;
`
`(9)
`
`Bibliographic Record Information for Orlando Globecom "92
`
`Communication for Global Users, available at the Library of Congress
`
`online catalog at
`
`https://catalog.loc.gov/vwebv/holdingslnfo?searchId=7122&recPointe
`
`r=10&recCount=25&bibId=l1454684, accessed February 17, 2017,
`
`Exhibit 1013;
`
`(10)
`
`Lim, J., Oppenheim, Alan (“Lim”), 1979, “Enhancement and
`
`Bandwidth Compression of Noisy Speech,” Proceedings ofthe IEEE,
`
`Vol. 67, pp.1586-l604, obtained from the Library of Congress,
`
`Exhibit 1014;
`
`(11)
`
`MARC Record Information for Proceedings ofthe IEEE, available at
`
`the Library of Congress online catalog at
`
`https://catalog.loc.gov/vwebv/staffView?searchId=12413&recPointer
`
`=0&recCount=25&searchType=2&bibId=1 1315346, accessed March
`
`8, 2017, Exhibit 1015; and
`
`(12) Bibliographic Record Information for Proceedings ofthe IEEE,
`
`EX. 1017 / Page 4 0f 71
`
`Ex. 1017 / Page 4 of 71
`
`
`
`available at the Library of Congress online catalog at
`
`https://catalog.loc.gov/vwebv/holdingsInfo?searchId= 124 13 &recPoint
`
`er=0&recCount=25&searchType=2&bibId=1 1315346, accessed
`
`March 8, 2017, Exhibit 1016.
`
`4.
`
`In forming the opinions expressed within this declaration, I have
`
`considered:
`
`(1)
`
`The documents listed above;
`
`(2)
`
`The reference materials cited herein; and
`
`(3) My own academic background and professional experiences, as
`
`described below.
`
`5.
`
`My complete qualifications and professional experience are described
`
`in my curriculum vitae, a copy of which is attached as Appendix A. The following
`
`is a brief summary of my relevant qualifications and professional experience.
`
`6.
`
`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 Information Studies from the University of Wisconsin-Madison.
`
`7.
`
`I am an expert on library cataloging and classification and have
`
`EX. 1017 / Page 5 0f 71
`
`Ex. 1017 / Page 5 of 71
`
`
`
`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,” “Advanced Information Retrieval and Analysis Strategies,” and
`
`“Digital Content Creation and Management.” My research interests cover
`
`cataloging and classification, information organization, metadata, information
`
`retrieval, information architecture, digital collections, scholarly communication,
`
`user interaction with information systems, and others.
`
`8.
`
`I am fully familiar with a library cataloging encoding standard known
`
`as the “Machine-Readable Cataloging” standard, also known as “MARC,” which
`
`became the national standard for sharing bibliographic data in the United States by
`
`1971 and the international standard by 1973. MARC is the primary
`
`communications protocol for the transfer and storage of bibliographic metadata in
`
`libraries. Experts in my field would reasonably rely upon MARC records when
`
`forming their opinions.
`
`9.
`
`A MARC record comprises several fields, each of which contains
`
`specific data about the work. Each field is identified by a standardized, unique,
`
`three-digit code corresponding to the type of data that follow. Appendix B is a true
`
`and correct copy of Parts 7 to 10 of “Understanding MARC Bibliographic”
`
`6
`
`EX. 1017 / Page 6 0f 71
`
`Ex. 1017 / Page 6 of 71
`
`
`
`(http://www.loc.gov/marc/umb/) from the Library of Congress that explains
`
`commonly used MARC fields. For example, the personal author of the work is
`
`recorded in Field 100, the title is recorded in Field 245, publisher information is
`
`recorded in Field 260, and the physical volume and characteristics of a publication
`
`are recorded in Field 300, and topical subjects are recorded in the 650 fields.
`
`10. Online Computer Library Center (OCLC) is the largest bibliographic
`
`network of the world, with more than 380 million records and more than 16,900
`
`member institutions (many of which are libraries of some type) from 122 countries.
`
`OCLC was created “to establish, maintain and operate a computerized library
`
`network and to promote the evolution of library use, of libraries themselves, and of
`
`librarianship, and to provide processes and products for the benefit of library users
`
`and libraries, including such objectives as increasing availability of library
`
`resources to individual library patrons and reducing the rate of rise of library per—
`
`unit costs, all for the fundamental public purpose of furthering ease of access to
`
`and use of the ever-expanding body of worldwide scientific, literary and
`
`educational knowledge and information.”1
`
`1 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`Library Center, Incorporated (available at http://www.oclc.org/en-
`
`US/membership/councils.html).
`
`EX. 1017 / Page 7 0f 71
`
`Ex. 1017 / Page 7 of 71
`
`
`
`11. OCLC members can contribute original cataloging records in MARC
`
`to the system or derive cataloging records from existing records, an activity
`
`referred to as “copy cataloging”. When an OCLC participating institution acquires
`
`a work, it can create an original MARC record for this work in OCLC’s Connexion
`
`system (a system for catalogers to create and share MARC records), and the
`
`system will automatically generate a code for the date of record creation in the
`
`yymmdd format, and the creating library’s OCLC symbol is recorded in subfield a
`
`of the 040 field. Once the MARC record is in Connexion, it becomes available to
`
`other OCLC members for adoption to their local online catalogs. The record—
`
`presented in a labeled format, not MARC—also becomes searchable and viewable
`
`on WorldCat, which is a web portal to more than 10,000 libraries worldwide.
`
`12.
`
`Library online catalogs are based on MARC records that represent
`
`their collections and help the public understand what materials are publicly
`
`accessible in those libraries. Most libraries with online catalogs have made their
`
`catalogs freely available on the Web. These online catalogs offer user-friendly
`
`search interfaces, often in the form of a single search box, to support searching by
`
`author, title, subject, keywords and other data elements. They also offer features
`
`for users to narrow their search results by language, year, format, and other
`
`elements. Many libraries display MARC records on their online catalogs with
`
`labels for the data elements to help the public interpret MARC records. Many
`
`EX. 1017 / Page 8 0f 71
`
`Ex. 1017 / Page 8 of 71
`
`
`
`libraries also offer an option to display MARC records in MARC fields. For non-
`
`serial publications, after a MARC record is created and made searchable on a
`
`library catalog, it is customary library practice to have the physical volume
`
`processed for public access soon after, usually within a week.
`
`13.
`
`Libraries create MARC records for works they acquire, including
`
`books, serials, motion picture films, and publications in other formats. According
`
`to the glossary of the RDA: Resource Description and Access cataloging standard,
`
`a serial is “a resource issued in successive parts, usually having numbering, that
`
`has no predetermined conclusion (e.g., a periodical, a monographic series, a
`
`newspaper).” Because the publisher of a serial makes new issues of the serial
`
`available successively, a customary cataloging practice is to create one
`
`bibliographic record for the serial, and the MARC serial record typically provides
`
`information on the beginning date and frequency of the serial, not the dates of
`
`individual issues. In other words, libraries typically do not create MARC records
`
`for individual issues of a journal. Instead, they rely on a serial check-in system to
`
`track the receipt of new issues and communication with serial publishers. A
`
`common check-in practice is to date stamp a new issue when it arrives. This
`
`practice has become automated since the late 1990s, and libraries now vary in how
`
`they share the receipt date of a new journal issue with the public. Some libraries
`
`use a date stamp, some affix a label to indicate the receipt date, some pencil in the
`
`EX. 1017 / Page 9 0f 71
`
`Ex. 1017 / Page 9 of 71
`
`
`
`receipt date, and some do not provide the receipt date information to the public.
`
`14. When libraries receive new issues of a periodical from a periodical
`
`publisher, because the MARC serial record for the periodical already exists, no
`
`MARC records are created for the new issues. Instead, it is standard library
`
`practice to perform what is called a “serial check-in” for each received issue. The
`
`process usually takes less than an hour, and one of the steps involves placing a date
`
`stamp on the new issue to reflect the date the issue is checked in. After serial
`
`check-in, the new issue will be placed on the shelf with the previous issues of the
`
`periodical. After a new issue is checked in, the holdings information of the
`
`periodical is updated in the library’s catalog so that users know which issues are
`
`available for request or access. Because information presented in periodicals often
`
`reflects latest discovery, a general practice of libraries is to make new issues of
`
`periodicals available for user access soon after they are checked in, usually within
`
`a week.
`
`15.
`
`I used authoritative information systems such as WorldCat
`
`(http://www.worldcat.org) and the online catalogs at the Library of Congress
`
`(https://catalog.loc.gov) and the United States Naval Academy Nimitz Library
`
`(http://library.usna.edu) to search for records. These records are identified and
`
`discussed in this declaration. Experts in the field would reasonably rely on the data
`
`described herein to form their opinions.
`
`10
`
`EX. 1017/Page 10 0f71
`
`Ex. 1017 / Page 10 of 71
`
`
`
`EXHIBIT 1005
`
`16.
`
`Exhibit 1005 is a true and correct photocopy of portions of Vol.
`
`ASSP-34, No. 5 of the IEEE Transactions on Acoustics, Speech, and Signal
`
`Processing periodical, which contains Kroon, that I made during my personal visit
`
`to the Library of Congress on February 21, 2017. Exhibit 1005 includes the front
`
`cover, the spine, the title page, the copyright information, the table of contents, and
`
`the article by Peter Kroon entitled “Regular-Pulse Excitation — A Novel approach
`
`to Effective and Efficient Multipulse Coding of Speech” (“Kroon”) found on pages
`
`1054-1063 of the periodical. When I was originally asked to prepare this
`
`declaration, I searched WorldCat for “IEEE transactions on acoustics, speech, and
`
`signal processing” and identified the Library of Congress as one of the libraries
`
`that hold the IEEE Transactions on Acoustics, Speech, and Signal Processing
`
`periodical. I then searched the online catalog of the Library of Congress to verify
`
`the holdings information. The system confirmed all 17 volumes of IEEE
`
`Transactions on Acoustics, Speech, and Signal Processing periodical were held by
`
`the Library of Congress and were available.
`
`17. As already noted above, Exhibit 1005 is a true and correct photocopy
`
`that I made from portions of Vol. ASSP-34, No. 5 of the IEEE Transactions on
`
`Acoustics, Speech, and Signal Processing periodical owned by the Library of
`
`Congress.
`
`11
`
`Ex.1017/Page11of71
`
`Ex. 1017 / Page 11 of 71
`
`
`
`a. Library of Congress — MARC Record
`
`18.
`
`Exhibit 1006 is a true and correct copy of the MARC record for the
`
`IEEE Transactions on Acoustics, Speech, and Signal Processing periodical (Ex-
`
`1005) that I retrieved from the Library of Congress through the Library of
`
`Congress Online Catalog (LC-0C) (https://catalog.loc.gov). I personally identified
`
`and located this MARC record, which experts in my field would reasonably rely
`
`upon when forming their opinion. Exhibit 1006 shows bibliographic details of the
`
`IEEE Transactions on Acoustics, Speech, and Signal Processing periodical and
`
`indicates that 17 volumes of the IEEE Transactions on Acoustics, Speech, and
`
`Signal Processing periodical are held by the Library of Congress, including
`
`volume 22 to volume 38, published from February 1974 to December 1990.
`
`19.
`
`Exhibit 1007 is a true and correct copy from the LC-OC showing the
`
`Bibliographic Record Information for the IEEE Transactions on Acoustics, Speech,
`
`and Signal Processing periodical (Ex-1005) that I retrieved from the Library of
`
`Congress through the LC-OC (https://catalog.loc.gov). I personally identified and
`
`located this MARC record, which experts in my field would reasonably rely upon
`
`when forming their opinion. Exhibit 1007 shows that the IEEE Transactions on
`
`Acoustics, Speech, and Signal Processing periodical (Ex-1005), which contains
`
`Kroon, is held at the Library of Congress and can be requested in the Jefferson or
`
`Adams Building Reading Rooms of the Library of Congress.
`
`12
`
`EX. 1017 / Page 12 0f71
`
`Ex. 1017 / Page 12 of 71
`
`
`
`20.
`
`Field 245 of the MARC record (Ex-1006) and the main title of
`
`Bibliographic record (Ex-1007) identify the publication title as “IEEE transactions
`
`on acoustics, speech, and signal processing”. Field 260 of the MARC record (Ex-
`
`1006) and the published/created field of Bibliographic record (Ex-1007) show that
`
`the IEEE Transactions on Acoustics, Speech, and Signal Processing periodical is
`
`published by the Institute of Electrical and Electronics Engineers in New York.
`
`The first six digits of Field 008 of the MARC record (Ex-1006) inform me that the
`
`record for the periodical was first entered into the OCLC Connexion in “750130”
`
`(i.e., January 30, 1975). Field 300 shows that the periodical consists of 17 volumes.
`
`Field 090 of the MARC record (Ex-1006) and the LC classification (full) field of
`
`the Bibliographic record (Ex-1007) inform me that the volumes are assigned the
`
`call number “TK5981.I2.” Field 022 of the MARC record (Ex-1006) and the
`
`International Standard Serial Number (ISSN) field of the Bibliographic record (Ex-
`
`1007) inform me that the ISSN of the periodical is “0096-3518”. Field 321 shows
`
`that the IEEE Transactions on Acoustics, Speech, and Signal Processing periodical
`
`was published on a bimonthly basis from 1974-1986, and Field 310 shows that
`
`from 1987-1990, the periodical was published on a monthly basis. Field 362 of the
`
`MARC record (Ex-1006) and the publication history field of the Bibliographic
`
`record (Ex-1007) inform me that the IEEE Transactions on Acoustics, Speech, and
`
`Signal Processing periodical was first published in Feb. 1974 and ceased
`
`13
`
`EX. 1017/Page 13 0f71
`
`Ex. 1017 / Page 13 of 71
`
`
`
`publication in Dec. 1990. The volume numberings range from v. 22 to V. 38. Field
`
`780 of the MARC record (Ex-1006) informs me that this periodical’s predecessor
`
`is “IEEE transactions on audio and electroacoustics” and Field 785 of the MARC
`
`record (Ex-1006) shows this journal is continued by “IEEE transactions on signal
`
`processing”. The MARC record of the Library of Congress makes the IEEE
`
`Transactions on Acoustics, Speech, and Signal Processing periodical, including
`
`Vol. ASSP-34, No. 5 (Ex-1005), searchable on its library catalog.
`
`21.
`
`Based on the information above, it is my opinion that the IEEE
`
`Transactions on Acoustics, Speech, and Signal Processing periodical (Ex-1005) is
`
`a long running periodical that has been made available by the Library of Congress,
`
`meaning that anyone who was interested in the topic would be able to search for
`
`and access the IEEE Transactions on Acoustics, Speech, and Signal Processing
`
`periodical.
`
`22. When libraries receive new issues of a periodical from a periodical
`
`publisher, it is standard library practice to perform what is called a “serial check-
`
`in” for each received issue. The process usually takes less than an hour, and one of
`
`the steps involves placing a date stamp on the new issue to reflect the date the issue
`
`is checked in. After serial check-in, the new issue will be placed on the shelf with
`
`the previous issues of the journal. After a new issue is checked in, the holdings
`
`information of the journal is updated in the library’s catalog so that users know
`
`14
`
`EX. 1017/Page 14 0f71
`
`Ex. 1017 / Page 14 of 71
`
`
`
`which issues are available for request or access. Because information presented in
`
`journals often reflects latest discovery, a general practice of libraries is to make
`
`new issues ofjournals available for user access soon after they are checked in.
`
`b. Library of Congress -— Date Stamp
`
`23. Vol. ASSP-34, No. 5, page 1029 of the IEEE Transactions on
`
`Acoustics, Speech, and Signal Processing periodical in Exhibit 1005 bears a stamp
`
`of “LIBRARY OF CONGRESS COPYRIGHT OFFICE MAR 16 1987.” The
`
`stamp has the appearance and distinctive characteristics of a typical check-in date
`
`stamp utilized by libraries to indicate the date a particular periodical issue was
`
`received by the library. As I noted above, it is ordinary and regular practice for a
`
`library, as part of its regularly conducted activity, to maintain intake records,
`
`including date stamping periodical issues during the check-in process, and to make
`
`an issue of a periodical available to the public in the library shortly after the library
`
`receives and date stamps the issue for serial check-in, usually within a week. In
`
`this case, it is my understanding that the Library of Congress, upon receiving Vol.
`
`ASSP-34, No. 5 of the IEEE Transactions on Acoustics, Speech, and Signal
`
`Processing periodical (Ex-1005), date stamped it on March 16, 1987 (as shown in
`
`Ex. 1005), and, shortly thereafter, would have placed it with other recent issues of
`
`the periodical in the periodical room so as to make the issue findable and
`
`accessible to the public.
`
`15
`
`EX. 1017/Page 15 0f71
`
`Ex. 1017 / Page 15 of 71
`
`
`
`24.
`
`Based on the date stamp placed on page 1029 in Exhibit 1005, which
`
`has a date of March 16, 1987, and my understanding of the ordinary and customary
`
`check-in practices of libraries, it is my opinion that Vol. ASSP-34, No. 5 of the
`
`IEEE Transactions on Acoustics, Speech, and Signal Processing periodical (Ex-
`
`1005) (and, therefore, Kroon included therein) was accessible at the Library of
`
`Congress to the public shortly afier being received on March 16, 1987.
`
`25.
`
`In View of the foregoing, it is my opinion that the IEEE Transactions
`
`on Acoustics, Speech, and Signal Processing periodical is a long standing
`
`publication with wide readership (spanning from 1974 to 1990) and that the
`
`Library of Congress received Volume ASSP-34, No. 5 of the IEEE Transactions
`
`on Acoustics, Speech, and Signal Processing periodical, which includes a copy of
`
`the Kroon article (Ex-1005), on March 16, 1987, and made it available to the
`
`public shortly thereafter.
`
`26. Actual usage of the Kroon article (Ex-1005), which was published in
`
`Vol. ASSP-34, No. 5 of the IEEE Transactions on Acoustics, Speech, and Signal
`
`Processing periodical, is reflected by articles that make reference to it. The article
`
`citation history provided by Google Scholar shows the Kroon article has been cited
`
`212 times. Two patents and three citing articles are selected to demonstrate actual
`
`usage:
`
`(1) US. Patent No. 4,817,157 (1989);
`
`16
`
`EX. 1017/Page 16 0f71
`
`Ex. 1017 / Page 16 of 71
`
`
`
`(2) US. Patent No. 4,896,361 (1990);
`
`(3) Kleijn, W. B., Krasinski, D. J., & Ketchum, R. H. (1988, April),
`
`“Improved speech quality and efficient vector quantization in SELP,”
`
`Acoustics, Speech, and Signal Processing, 1988. ICASSP-88., 1988
`
`International Conference on (pp. 155-158), IEEE. (Kroon article as
`
`Reference #10);
`
`(4) Vary, P., Hellwig, K., Hofmann, R., Sluyter, R. J., Galand, C., & Rosso,
`
`M. (1988, April), “Speech codec for the European mobile radio system,”
`
`Acoustics, Speech, and Signal Processing, 1988. ICASSP-88., 1988
`
`International Conference on (pp. 227-230), IEEE. (Kroon article as
`
`Reference #7); and
`
`(5) Singhal, S., & Atal, B. S. (1989), “Amplitude optimization and pitch
`
`prediction in multipulse coders,” IEEE Transactions on Acoustics,
`
`Speech, and Signal Processing, 37(3), 317-327. (Kroon article as
`
`Reference #17).
`
`27.
`
`Taken together, the MARC record, the Bibliographic Record, the date
`
`stamp, and the citations support my opinion that the Kroon article (Ex-1005) was
`
`publicly accessible shortly after March 16, 1987 and no later than April 1988 when
`
`two citing articles were published.
`
`EXHIBIT 1008
`
`28.
`
`Exhibit 1008 is a true and correct photocopy of Vol. 1 (December
`
`1992) of Globecom ’92, which contains Salami, that I made during my personal
`
`visit to the United States Naval Academy Nimitz Library (USNA-NL) on March 7,
`
`17
`
`Ex. 1017/Page 17 0f71
`
`Ex. 1017 / Page 17 of 71
`
`
`
`2017. Exhibit 1008 includes the front cover, the spine, the title page, the
`
`copyright information, conference details, the table of contents, and the article by
`
`R. Salami entitled “Real-time Implementation of a 9.6 kbit/s ACELP Wideband
`
`Speech Coder” found on pages 447-451 of the issue. When I was originally asked
`
`to prepare this declaration, I searched WorldCat for “Globecom ’92” and identified
`
`the USNA-NL as one of the libraries that hold Globecom ’92. I then searched the
`
`online catalog of the USNA-NL to verify the holdings information. The system
`
`confirmed all four volumes of Globecom ’92 were stored on the third floor of the
`
`library and were available.
`
`29. As already noted above, Exhibit 1008 is a true and correct photocopy
`
`that I made from portions of Vol. 1 of the Globecom ’92 owned by the USNA-NL.
`
`a. USNA-NL — MARC Record
`
`30.
`
`Exhibit 1009 is a true and correct copy of a MARC record for
`
`Globecom ’92 that I retrieved from the United States Naval Academy Online
`
`Catalog (USNA-OC). I personally identified and located this record after searching
`
`for “globecom 92” in the online catalog. Experts in my field would reasonably rely
`
`upon the MARC record when forming their opinion. Exhibit 1009 shows
`
`bibliographic details of the Globecom ’92 conference and indicates the four
`
`volumes of Globecom ’92 were published in 1992 and available from the IEEE
`
`Service Center (IEEE catalog number 92CH3130-2). The MARC record also
`
`1 8
`
`EX. 1017/Page 18 0f71
`
`Ex. 1017 / Page 18 of 71
`
`
`
`indicates the fourth volume is “Communication theory, mini-conference volume.”
`
`31.
`
`Exhibit 1010 is a true and correct copy of a library bibliographic
`
`record for Globecom ’92 that I retrieved from USNA-OC. I personally identified
`
`and located this record. Exhibit 1010 shows that the four volumes of the
`
`Globecom ’92 conference proceedings (Ex-1008), which contains Salami, are held
`
`at the United States Naval Academy Nimitz Library on the third floor and are
`
`available.
`
`32.
`
`Field 245 of the MARC record (Ex-1009) and the title of the
`
`Bibliographic record (Ex-1010) identify the publication title as “Globecom ’92
`
`Communication for global users” and Field 260 of the MARC record (Ex-1009)
`
`and the imprint field of the Bibliographic record (Ex-1010) show that the
`
`proceedings of Globecom ’92 is published by Institute of Electrical and Electronics
`
`Engineers in New York, NY. Field 300 shows the proceedings consist of four
`
`volumes, including Volume Four, which is “Communication theory, mini-
`
`conference volume.” Field 090 of the MARC record (Ex-1009) and the call
`
`number field of the Bibliographic record (Ex-1010) inform me that the volumes
`
`are assigned the call number “TK5101.ISS4 1992.” Field 020 of the MARC record
`
`(Ex-1009) and the ISBN field of the Bibliographic record (Ex-1010) inform me
`
`that the International Standard Book Number (ISBN) of the softbound version of
`
`the book is “0780306082”. The MARC record of USNA-OC makes Globecom ’92,
`
`19
`
`EX. 1017/Page 19 0f71
`
`Ex. 1017 / Page 19 of 71
`
`
`
`including Vol. 1 (Ex-1009), searchable on its library catalog.
`
`33.
`
`Referring to Exhibit 1008, the copyright page of Vol. 1 of Globecom
`
`’92 (Ex-1008) includes the ISBN “0780306082,” which matches the ISBN found
`
`in Field 020 of the USNA-NL’s MARC record (Ex-1009) for Globecom ’92.
`
`34. On my visit to USNA-NL, I found Vol. 1 of Globecom ’92 (Ex-1008)
`
`on the shelf with other volumes of this conference proceedings, and details on the
`
`.physical copy of Vol. 1 of Globecom ’92 are the same as those recorded in the
`
`MARC record (Ex-1009). The USNA-NL MARC record (Ex-1009) has “UNA”
`
`listed in subfield d of the 040 field to indicate the Naval Academy Library
`
`modified the original record. This means the MARC record (Ex-1009) is a copy
`
`cataloging record derived from an original record, and subfield “a” of the 040 field
`
`identifies the record creating library as “EZT”. The Directory of OCLC Members
`
`(http://www.oclc.org/en/contacts/libraries.html) shows that EZT is the OCLC
`
`symbol for Michigan Technological University Library in Houghton, Michigan.
`
`Field 008 shows “930128” (i. e., January 28, 1993) as the date when EZT created
`
`the original record for Globecom ’92 (Ex-1008).
`
`35.
`
`The USNA-NL MARC record (Ex-1009) also identifies the original
`
`MARC record as OCLC record number 27335838 (Field 001 is the control
`
`number), and the Bibliographic record lists OCLC # as “27335838”. Referring to
`
`Exhibit 1008, the copyright page of Vol. 1 of Globecom ’92 (Ex-1008) includes
`
`20
`
`EX. 1017 / Page 20 of 71
`
`Ex. 1017 / Page 20 of 71
`
`
`
`the handwritten mark “2-14-94 DM/Oclc 27335838.” The mark is consistent with
`
`the reference to OCLC record number in the USNA-NL MARC record. Libraries
`
`vary in how they keep track of record creation dates locally. In this case, my
`
`opinion is that the cataloger at the USNA-NL used the mark to record the date
`
`when the copy cataloging work was performed and identify the original MARC
`
`record from which the USNA-NL MARC record was derived. Based on these data,
`
`my opinion is the physical copy of Vol. 1 of Globecom ’92 (Ex-1008) was
`
`available at USNA-NL shortly after the copy cataloging work was done on
`
`February 14, 1994, no more than a week after the copy cataloging record was
`
`created.
`
`36.
`
`Based on the USNA-NL MARC record (Ex-1009) and the mark
`
`placed on the copyright page in Exhibit 1008, which has a date of February 14,
`
`1994, and my understanding of the ordinary and customary MARC adaption
`
`practices of libraries, it is my opinion that Vol. 1 of Globecom ’92 (Ex-1008) (and,
`
`therefore, Salami included therein) was accessible at the United States Naval
`
`Academy Nimitz Library to the public shortly after February 14, 1994, or no more
`
`than a week after the copy cataloging MARC record was created.
`
`37. After reviewing all of the referenced evidence, it is my opinion that
`
`Vol. 1 of Globecom ’92 (Ex-1008), and therefore Salami in particular, was
`
`publicly available through a library at least as early as a week after January 28,
`
`21
`
`EX. 1017 / Page 21 of 71
`
`Ex. 1017 / Page 21 of 71
`
`
`
`1993 when Michigan Technological University Library created the original MARC
`
`record, and no later than a week after the copy cataloging record was completed at
`
`the Naval Academy Nimitz Library on February 14, 1994.
`
`b. Library of Congress — Date Stamp
`
`38.
`
`Exhibit 1012 is a true and correct photocopy of portions of Vol. 1 of
`
`Globecom ’92 (Ex-1012) that I made during my personal visit to the Library of
`
`Congress on February 21, 2017. Exhibit 1012 includes the front cover, the table of
`
`contents, and the Salami article “Real-time Implementation of a 9.6 kbit/s ACELP
`
`Wideband Speech Coder” found on pages 447-451 of the issue. When I was
`
`originally asked to prepare this declaration, I searched WorldCat for “Globecom
`
`’92” and “global telecommunications conference” and identified the Library of
`
`Congress as one of the libraries that hold these conference proceedings. I then
`
`searched the Library of Congress online catalog to confirm the holdings
`
`information. Field 362 of the MARC record (Ex—1011) and the publication history
`
`field of the Bibliographic record (Ex-1013) inform me the Library of Congress
`
`treats “IEEE Global Telecommunications Conference” as a serial, not as a
`
`monograph like the United States Naval Academy Nimitz Library. Field 310 of the
`
`MARC record (Ex-1011) and the current frequency field of the Bibliographic
`
`record (Ex-1013) show that this title is published on an “annual” basis. Field 300
`
`of the MARC record (Ex-1011) informs me the Library of Congress holds the
`
`22
`
`EX. 1017 / Page 22 of 71
`
`Ex. 1017 / Page 22 of 71
`
`
`
`volumes of the conference proceedings published in 1992 and 1993, and Field 515
`
`of the MARC record (Ex-1011) shows the proceedings were “issued in 1992 in 3
`
`vols.; 1993 in 4 vols.” The MARC record from the United States Naval Academy
`
`Nimitz Library (Ex-1009) shows that Globecom ’92 consists of four volumes,
`
`including the “Communication Theory mini-conference” volume. The MARC
`
`record from the Library of Congress (Ex-1011) shows that Globecom ’92 consists
`
`of three volumes, and Field 525 clarifies that “Communication Theory Mini-
`
`Conference” is treated as a supplement to Globecom ’92.
`
`39.
`
`The front cover of Vol. 1
Accessing this document will incur an additional charge of $.
After purchase, you can access this document again without charge.
Accept $ Charge
Still Working On It
This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.
Give it another minute or two to complete, and then try the refresh button.
A few More Minutes ... Still Working
It can take up to 5 minutes for us to download a document if the court servers are running slowly.
Thank you for your continued patience.
This document could not be displayed.
We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.
Your account does not support viewing this document.
You need a Paid Account to view this document. Click here to change your account type.
Your account does not support viewing this document.
Set your membership
status to view this document.
With a Docket Alarm membership, you'll
get a whole lot more, including:
- Up-to-date information for this case.
- Email alerts whenever there is an update.
- Full text search for other cases.
- Get email alerts whenever a new case matches your search.
One Moment Please
The filing “” is large (MB) and is being downloaded.
Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.
Your document is on its way!
If you do not receive the document in five minutes, contact support at support@docketalarm.com.
Sealed Document
We are unable to display this document, it may be under a court ordered seal.
If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.
Access Government Site
