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`––––––––––––––––––
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`––––––––––––––––––
`
`RIOT GAMES, INC.,
`Petitioner,
`
`v.
`
`PALTALK HOLDINGS, INC.,
`Patent Owner.
`
`––––––––––––––––––
`
`Case No. IPR2017-
`U.S. Patent Nos. 5,822,523 and 6,226,686
`
`––––––––––––––––––
`
`DECLARATION OF DAVID H. CROCKER
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`Petitioner Riot Games, Inc. - Ex. 1026, Cover
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`
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`Declaration of David H. Crocker
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`TABLE OF CONTENTS
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`I.
`
`II.
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`Introduction ...................................................................................................... 1
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`The Internet Engineering Task Force (“IETF”) .............................................. 2
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`III. Requests for Comments (“RFCs”) .................................................................. 3
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`A.
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`B.
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`C.
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`D.
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`Overview and History ........................................................................... 3
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`RFC Approval Process .......................................................................... 4
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`Publication and Dissemination of RFCs ............................................... 6
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`RFC Editor’s Official Repository ......................................................... 7
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`IV.
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`Publication of Specific RFCs .......................................................................... 9
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`A.
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`B.
`
`C.
`
`D.
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`RFC 1692: Transport Multiplexing Protocol (TMux) ......................... 9
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`RFC 791: Internet Protocol DARPA Internet Program Protocol
`Specification ........................................................................................ 10
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`RFC 1001: Protocol Standard for a NetBIOS Service on a TCP/UDP
`Transport: Concepts and Methods ..................................................... 12
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`RFC 1459: Internet Relay Chat Protocol ........................................... 13
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`i
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`Petitioner Riot Games, Inc. - Ex. 1026, p. i
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`1011
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`Internet Protocol DARPA Internet Program Protocol Specification,
`RFC 791 (Sept. 1981)
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`1018
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`Protocol Standard for a NetBIOS Service on a TCP/UDP Transport:
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`Declaration of David H. Crocker
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`EXHIBIT LIST
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`m Exhibit Description
`1010
`Transport Multiplexing Protocol (TMUX), RFC 1692 (Aug. 1994)
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`Concepts and Methods, RFC 1001 (Mar. 1987)
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`ii
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`Petitioner Riot Games, Inc. - Ex. 1026, p. ii
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`
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`Declaration of David H. Crocker
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`I.
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`Introduction
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`1.
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`I, David H. Crocker, make this declaration. I am over 21 and
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`otherwise competent to make this declaration.
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`2.
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`All statements herein made of my own knowledge are true, and all
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`statements herein made based on information and belief are believed to be true.
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`Unless a specific time period is noted, all statements herein refer to the time period
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`relevant to the above-captioned proceeding.
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`3.
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`I am a principal at Brandenburg InternetWorking (“Brandenburg”),
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`which I founded in 1991, and I have participated in the development of technical
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`specifications for the Internet and its predecessor, the Advanced Research Projects
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`Agency Network (“ARPANET”), since 1972. I understand that my CV has been
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`filed as Exhibit 1027.
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`4.
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`I have been retained by counsel for Petitioner as an expert witness in
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`the above-captioned proceeding. I have been asked to provide my opinion about
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`the publication status of several Request for Comments (“RFC”) documents. My
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`opinions in this declaration are informed by my substantial background and
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`expertise in the RFC development and publication process, as well as the specific
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`RFC documents I discuss below and the other evidence I cite in this declaration.
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`Although I am being compensated for my time in preparing this declaration, the
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`opinions herein are my own.
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`1
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`Declaration of David H. Crocker
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`II. The Internet Engineering Task Force (“IETF”)
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`5.
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`The principal Internet technical standards body is the Internet
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`Engineering Task Force (“IETF”). The IETF produces technical documents
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`relating to the design, use, and management of the Internet. The IETF has no
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`formal membership or membership requirements, and all participants and
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`managers are volunteers; it has a very small paid support staff.
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`6.
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`Prior to 1997, the IETF was entirely or partially supported by the U.S.
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`government. Since then, the IETF has been independently funded by participants
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`and through its association with the Internet Society, which is an international
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`membership-based non-profit organization.
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`7.
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`The IETF comprises working groups that are organized into areas by
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`subject matter. Each IETF area is overseen by an Area Director. The Area
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`Directors, together with the IETF Chair, form the Internet Engineering Steering
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`Group (“IESG”), which is responsible for the overall operation of the IETF. I was
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`the first Area Director for the area of Network Management. I served as an Area
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`Director for six years, from 1989 to 1995.
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`8.
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`The IETF’s Administrative Oversight Committee (“IAOC”)
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`comprises ten members and provides logistical and administrative support for the
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`IETF. I served on the IAOC for two years, from 2011 to 2013.
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`Declaration of David H. Crocker
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`9.
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`The IETF Nominating Committee (“NomCom”) comprises ten voting
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`members and is vested with the power to select members of the IESG, IAOC, and
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`two related groups, the Internet Architecture Board (“IAB”) and the IETF
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`Administrative Support Activity. I served on the NomCom for a total of five one-
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`year terms between 1995 and 2013.
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`10.
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`IETF working groups comprise experts and other individuals
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`interested in the working group topic. Each working group has a chairperson who
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`is appointed by the Area Director. I have chaired several working groups,
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`including Fax (facsimile over email) and EDI (electronic data interchange).
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`III. Requests for Comments (“RFCs”)
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`A. Overview and History
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`11. The IETF oversees the development and publication of standards and
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`related documents. These are published as RFCs, which are documents that
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`describe methods, procedures, protocols, specifications, and similar concepts
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`related to the Internet or Internet-connected systems. RFCs are widely considered
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`by the Internet technical community to be the official documents for the standards
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`that govern the design, use, and management of core Internet services. RFCs are
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`maintained as part of a single document series. The RFC document series was
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`established by my brother, Dr. Stephen D. Crocker, in 1969.
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`3
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`12.
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`The RFC document series has been well-known throughout the
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`Internet technical community since 1969. Anyone working in the areas of the
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`Internet or Internet-connected systems would have been aware of the RFC
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`document series, would have considered RFCs widely publicly accessible, and
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`would have known where and how to find copies of RFCs. My opinion is
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`informed by my numerous experiences evaluating, discussing, and retrieving RFCs
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`with other members of the Internet technical community around the world.
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`13.
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`The formal process of preparing, publishing, and widely distributing
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`RFCs is a very important part of Internet culture, which works to develop
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`standards in an open and transparent process. It is also important to the adoption
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`of these standards and the stability and functionality of the Internet for developers
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`to adhere to standards and evolving best practices.
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`14.
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`I have authored more than 60 RFCs and have contributed to the
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`development of many others. I have been involved with the development of RFCs
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`since 1972. I consider myself an expert with respect to RFC development and their
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`publication process.
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`B.
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`RFC Approval Process
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`15. RFCs are developed through several activity streams, one of which is
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`pursuant to the IETF’s Internet Standards Process. The formal Internet Standards
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`Process has been in existence since the late 1980s, although its essential
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`4
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`Declaration of David H. Crocker
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`characteristics date back to the Internet’s inception. The Internet Standards
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`Process was formally documented in the RFC series in March of 1992 as RFC
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`1310. Ex. 1028 (RFC 1310). It was revised in March of 1994 as RFC 1602 and
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`again in October of 1996 as RFC 2026. Ex. 1021 (RFC 1602); Ex. 1029 (RFC
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`2026). The purpose of formally publishing the Internet Standards Process as an
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`RFC was to keep the Internet technical community informed as to the current
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`status of policies and procedures for work related to Internet standards.
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`16.
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`Internet Standards are typically developed through IETF working
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`groups. IETF working groups are open to all who want to participate; anyone may
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`observe and contribute to discussions. A majority of working group discussions
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`are held via a mailing list for the group, to which anyone may subscribe. Some
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`working group discussions are held in person and anyone may attend those
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`meetings. The dates and locations for in-person meetings are announced via the
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`working group’s mailing list, and more widely.
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`17.
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`In developing specifications, working groups generally seek to
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`explore competing views and select among them based on technical superiority.
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`Rather than formal voting, working group decisions are made through a “rough
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`consensus” process, where the “strongly dominant” sense of the group is assessed.
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`18. Some working group documents (e.g., draft specifications) are
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`eventually published as RFCs. The process to publish a working group document
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`5
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`Declaration of David H. Crocker
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`as an approved standard and published as an RFC is initiated when the working
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`group makes a recommendation to its cognizant Area Director. The Area Director
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`then presents the recommendation to the IESG, which circulates the document to
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`the wider IETF community, for comment, and then decides whether to publish the
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`document as an RFC.
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`C.
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`Publication and Dissemination of RFCs
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`19. The RFC Editor is the official source for RFCs on the Internet and is
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`responsible for publishing RFCs. If the IESG approves a draft specification for
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`publication as an RFC, the RFC is transferred to the RFC Editor for editorial
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`refinement. After any necessary editorial work is completed, the RFC Editor
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`publishes the specification for distribution on the Internet. It has been the IETF’s
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`standard practice since at least the 1980s to publish RFCs as soon as possible
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`following final approval for publication.
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`20. The publication date of each RFC is typically on every page of the
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`document, and the cover page of each RFC typically lists the title of the RFC, the
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`RFC’s authors, and the working group through which the RFC was developed.
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`21. The publication of RFCs is announced through a mailing list to which
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`anyone may subscribe. The existence of the mailing list, and the process for
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`signing up to receive mailing list announcements, has been well-known to
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`members of the Internet technical community since the late 1980s. Anyone with
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`6
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`Declaration of David H. Crocker
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`an interest in Internet and Internet-connected technologies would have been able to
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`locate this mailing list, subscribe, and then receive announcements of new RFCs.
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`A similar mechanism existed within the earlier Internet research and development
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`community.
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`22. Published RFCs are widely distributed without any restrictions. All
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`published RFCs are available publicly through “anonymous FTP” login and
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`through the World Wide Web from a number of Internet hosts. The RFC Editor
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`also maintains its own database of RFCs that is regularly updated with new RFCs.
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`23. The RFC Editor periodically publishes an “Internet Official Protocol
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`Standards” RFC, which summarizes the status of all Internet protocol and service
`
`specifications. These RFCs are made publicly available pursuant to the standard
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`RFC publication process.
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`24.
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`In the 1990s, an official summary of published RFCs appeared in each
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`issue of the Internet Society’s newsletter. The Internet Society’s newsletter was
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`well-known to members of the Internet technical community as a source for an
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`official summary of published RFCs.
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`D. RFC Editor’s Official Repository
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`25. Almost any published RFC can be retrieved from the RFC Editor’s
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`website: https://www.rfc-editor.org. Specific RFCs can be retrieved directly from
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`the RFC Editor’s website by entering a standard URL form that includes the host
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`Declaration of David H. Crocker
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`name “www.rfc-editor.org” followed by the file path “/rfc/rfc[NUMBER].txt,”
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`where “[NUMBER]” is the specific RFC number to be retrieved. For example,
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`RFC 1602 can be retrieved by entering the following URL: https://www.rfc-
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`editor.org/rfc/rfc1602.txt.
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`26. The RFC Editor’s site is well-known to persons in the Internet
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`networking industry. Since the early 1990s, the RFC Editor repository has been
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`freely accessible to the general public with no login, password, or membership
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`requirement, and was similarly available to the Internet technical community since
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`the 1970s. The RFC Editor’s website today is the authoritative source page for
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`RFCs on the Internet.1
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`27. Visitors to the RFC Editor’s website may search, browse, and
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`download any RFC without restriction. The website’s search function allows
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`visitors to search by numerous fields, including RFC number, title/keyword,
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`publication date, area, and author surname. In addition to the RFC Editor, many
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`publicly accessible sites maintain informal copies of the RFC archive, for example,
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`http://rfc-archive.org and http://www.faqs.org/rfcs/.
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`
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`1 “Below are links to RFCs, as available from ietf.org and from rfc-editor.org.
`Note that there is a brief time period when the two sites will be out of sync. When
`in doubt, the RFC Editor site is the authoritative source page.”
`http://ietf.org/rfc.html (emphasis added).
`8
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`Petitioner Riot Games, Inc. - Ex. 1026, p. 8
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`Declaration of David H. Crocker
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`IV. Publication of Specific RFCs
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`A. RFC 1692: Transport Multiplexing Protocol (TMux)
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`28. Request for Comments 1692 (“RFC 1692”) is titled “Transport
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`Multiplexing Protocol (TMux).” Ex. 1010 (RFC 1692). I authored RFC 1692
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`along with Peter Cameron, Danny Cohen, and Jon Postel. RFC 1692 was
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`developed through the Network Working Group and was published as a “Standards
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`Track” RFC. I became involved with what would ultimately become RFC 1692
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`after receiving a draft specification through the working group’s mailing list. I
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`thought I could improve on the draft and subsequently drafted my own
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`specification. I presented my draft specification at an in-person meeting of the
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`working group. The “rough consensus” of the working group preferred the
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`specification I drafted over the draft that had been previously circulated. After the
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`meeting, additional discussion took place via the working group’s mailing list.
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`Eventually, the working group reached a consensus and recommended to the Area
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`Director that the specification be published as an RFC. The IESG considered the
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`working group’s recommendation and ultimately approved the specification, which
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`the RFC Editor assigned as RFC 1692.
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`29. RFC 1692 was published in August of 1994 pursuant to the process
`
`described above, as indicated by the date on the top right corner of the document.
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`9
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`Declaration of David H. Crocker
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`Ex. 1010 (RFC 1692). As explained above, this is the date it was released for
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`public distribution on the Internet.
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`30. RFC 1692 has been available for anonymous FTP and web access
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`from a number of Internet hosts since its publication date. Anyone involved with
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`the Internet technical community during the 1993-1995 time period would have
`
`known where and how to obtain a copy of RFC 1692.
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`31.
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`In November 1994, pursuant to the Internet Standards Process in place
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`at the time, the IAB published its quarterly “Internet Official Protocol Standards”
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`as RFC 1720. RFC 1692 is listed within the section of RFC 1720 titled “New
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`RFCs.” Ex. 1022 (RFC 1720).
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`32. RFC 1692 has been maintained by the RFC Editor since its
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`publication date, in accordance with the process described above. RFC 1692 is
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`publicly available via the following URL: https://www.rfc-
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`editor.org/rfc/rfc1692.txt. This is where one would expect to find RFC 1692 if it
`
`was published by the RFC Editor pursuant to standard publication process
`
`described above. I downloaded RFC 1692 from this URL and compared it to
`
`Exhibit 1010. They are the same document.
`
`B. RFC 791: Internet Protocol DARPA Internet Program Protocol
`Specification
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`33. Request for Comments 791 (“RFC 791”) is titled “Internet Protocol
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`DARPA Internet Program Protocol Specification.” Ex. 1011 (RFC 791). RFC 791
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`Declaration of David H. Crocker
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`was prepared for the Defense Advanced Research Projects Agency by the
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`Information Sciences Institute at the University of Southern California. Id.
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`34. RFC 791 was published in September of 1981 through a process
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`within the Internet research community that was a precursor to the process
`
`described above, as indicated by the date on the top right corner of the document.
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`Ex. 1011 (RFC 791). As explained above, this is the date it was released for
`
`general distribution on the Internet.
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`35. RFC 791 has been available for anonymous FTP from a number of
`
`Internet hosts since its publication date. Anyone involved with the Internet
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`technical community during the 1993-1995 time period would have known where
`
`and how to obtain a copy of RFC 791.
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`36. RFC 791 has been maintained by the RFC Editor since its publication
`
`date, in accordance with the process described above. RFC 791 is publicly
`
`available via the following URL: https://www.rfc-editor.org/rfc/rfc791.txt. This is
`
`where one would expect to find RFC 791 if it was published by the RFC Editor
`
`pursuant to standard publication process described above. I downloaded RFC 791
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`from this URL and compared it to Exhibit 1011. They are the same document.
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`37.
`
`I am personally familiar with RFC 791 based on my research and
`
`experience in the area of Internet systems, and I can confirm that it was widely
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`publicly available during the 1993-1995 time period.
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`C. RFC 1001: Protocol Standard for a NetBIOS Service on a
`TCP/UDP Transport: Concepts and Methods
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`38. Request for Comments 1001 (“RFC 1001”) is titled “Protocol
`
`Standard for a NetBIOS Service on a TCP/UDP Transport: Concepts and
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`Methods.” Ex. 1018 (RFC 1001). RFC 1001 was developed under the auspices of
`
`the Internet Activities Board, especially the End-to-End Services Task Force. Id. I
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`participated in the development of RFC 1001.
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`39. RFC 1001 was published in March of 1987 pursuant to the process
`
`described above, as indicated by the date on the top right corner of the document.
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`Ex. 1018 (RFC 1001). As explained above, this is the date it was released for
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`public distribution on the Internet.
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`40. RFC 1001 has been available for anonymous FTP from a number of
`
`Internet hosts since its publication date. Anyone involved with the Internet
`
`technical community during the 1993-1995 time period would have known where
`
`and how to obtain a copy of RFC 1001. I am personally familiar with RFC 1001
`
`based on my research and experience in the area of Internet systems, and I can
`
`confirm that it was widely publicly available during the 1993-1995 time period.
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`41. RFC 1001 has been maintained by the RFC Editor since its
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`publication date, in accordance with the process described above. RFC 1001 is
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`publicly available via the following URL: https://www.rfc-
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`editor.org/rfc/rfc1001.txt. This is where one would expect to find RFC 1001 if it
`12
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`Declaration of David H. Crocker
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`was published by the RFC Editor pursuant to standard publication process
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`described above. I downloaded RFC 1001 from this URL and compared it to
`
`Exhibit 1018. They are the same document.
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`D.
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`RFC 1459: Internet Relay Chat Protocol
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`42. Request for Comments 1459 (“RFC 1459”) is titled “Internet Relay
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`Chat Protocol.” Ex. 1025 (RFC 1459). RFC 1459 was authored by Jarkko
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`Oikarinen and Darren Reed. Id.
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`43. RFC 1459 was published in May of 1993 pursuant to the process
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`described above, as indicated by the date on the top right corner of the document.
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`Ex. 1025 (RFC 1459). As explained above, this is the date it was released for
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`public distribution on the Internet.
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`44. RFC 1459 has been available for anonymous FTP from a number of
`
`Internet hosts since its publication date. Anyone involved with the Internet
`
`technical community during the 1993-1995 time period would have known where
`
`and how to obtain a copy of RFC 1459. I am personally familiar with RFC 1459
`
`based on my research and experience in the area of Internet systems, and I can
`
`confirm that it was widely publicly available during the 1993-1995 time period.
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`45. RFC 1459 has been maintained by the RFC Editor since its
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`publication date, in accordance with the process described above. RFC 1459 is
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`13
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`Declaration of David H. Crocker
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`publicly available via the following URL: httpsz/lwunwrfc-
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`editorora/rfc/rfc]459txt. This is where one would expect to find RFC 1459 if it
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`was published by the RFC Editor pursuant to standard publication process
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`described above.
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`I downloaded RFC 1459 from this URL and compared it to
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`Exhibit 1025. They are the same document.
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`3!!
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`:1:
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`it:
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`46.
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`1 do hereby declare and state, that all statements made herein of my
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`Own knowledge are true and that all statements made on information and belief are
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`believed to be true; and further that these statements were made with the
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`knowledge that willful false statements and the like so made are punishable by fine
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`or imprisonment, under Section 100] of Title 18 of the United States Code.
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`Dated: October 18, 2017
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`By:
`Printed Name: David H. Crocker
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`\rL CELL}?flflzfléflyfl'
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`]4
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