`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`LG ELECTRONICS, INC.
`Petitioners
`v.
`
`UNILOC LUXEMBOURG, S.A.,
`Patent Owner
`
`
`———————
`
`
`INTER PARTES REVIEW OF U.S. PATENT NO. 6,216,158
`Case IPR No.: IPR2018-01503
`
`
`
`DECLARATION OF INGRID HSIEH-YEE, PHD,
`UNDER 37 C.F.R. § 1.68
`
`LGE Exhibit-1026/Page 1 of 62
`LGE v. Uniloc
`
`
`
`
`
`I, Ingrid Hsieh-Yee, Ph.D., do hereby declare as follows:
`
`1.
`
`I have been retained as an independent expert witness on behalf of LG
`
`Electronics, Inc. (“LG”) for an Inter Partes Review (“IPR”) of U.S. Patent No.
`
`6,216,158 (“the ’158 patent”).
`
`2.
`
`I am being compensated for my work in this matter at my accustomed
`
`hourly rate of $180.00. 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. I hold no interest in LG Electronics, Inc.,
`
`LG Electronics U.S.A., LG Electronics MobileComm USA, Inc., or the Patent
`
`Owner Uniloc Luxembourg S.A.
`
`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) Ed. S. McCann, Dec. 7, 1998, “Jini: Quick Study” (“Jini-QS”),
`Computerworld Vol. 32, No. 49 at p. 29, December 7, 1998
`(“Computerworld Dec-98”), obtained from the University of
`Wisconsin-Madison Libraries, EX-1005;
`
`(2) Bibliographic Record Information for the journal, Computerworld,
`available at the UW-Madison Libraries online catalog at
`https://search.library.wisc.edu/serial/999486938702121, accessed
`
`– 2 –
`
`LGE Exhibit-1026/Page 2 of 62
`
`
`
`
`
`Dec. 12, 2017, EX-1021;
`
`(3) MARC Record Information for the journal, Computerworld, available
`at the UW-Madison Libraries online catalog at
`https://search.library.wisc.edu/serial/999486938702121 (“staff view”
`link at end of bibliographic record displays the MARC record),
`accessed Dec. 15, 2017, EX-1022;
`
`(4) M. McCandless (“McCandless”), Dec. 3, 1997, “The PalmPilot and
`the Handheld Revolution” IEEE Intelligent Systems & Their
`Applications Vol. 12, No. 6 at pp. 6-8, November/December 1997
`(“IEEE ISTA Dec-97”), obtained from the Library of Congress, EX-
`1007;
`
`(5) Bibliographic Record Information for the journal, IEEE Expert,
`available at the Library of Congress online catalog at
`https://lccn.loc.gov/88659426, accessed Dec. 12, 2017, EX-1023;
`
`(6) Bibliographic Record Information for the journal, IEEE
`Intelligent Systems & Their Applications, available at the Library of
`Congress online catalog at https://lccn.loc.gov/98658586, accessed
`Dec. 12, 2017, EX-1024;
`
`(7) MARC Record Information for the journal, IEEE Intelligent Systems
`& Their Applications, available at the Library of Congress online
`catalog at
`https://catalog.loc.gov/vwebv/staffView?searchId=2296&recPointer=
`0&recCount=25&bibId=11503311, accessed Dec. 12, 2017, EX-
`1025.
`
`4.
`
`In forming the opinions expressed within this declaration, I have
`
`– 3 –
`
`LGE Exhibit-1026/Page 3 of 62
`
`
`
`
`
`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
`
`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
`
`– 4 –
`
`LGE Exhibit-1026/Page 4 of 62
`
`
`
`
`
`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 follows. Appendix B is a
`
`true and correct copy of Parts 7 to 10 of “Understanding MARC Bibliographic”
`
`(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
`
`– 5 –
`
`LGE Exhibit-1026/Page 5 of 62
`
`
`
`
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`recorded in Field 260, 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
`
`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
`
`1 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`Library Center, Inc. Revised Nov. 30, 2016 (available at
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf).
`
`– 6 –
`
`LGE Exhibit-1026/Page 6 of 62
`
`
`
`
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`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
`
`libraries also offer an option to display MARC records in MARC fields. For non-
`
`serial publications such as monographs, after a MARC record is created and made
`
`searchable on a library catalog, it is customary library practice to have the physical
`
`– 7 –
`
`LGE Exhibit-1026/Page 7 of 62
`
`
`
`
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`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
`
`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
`
`– 8 –
`
`LGE Exhibit-1026/Page 8 of 62
`
`
`
`
`
`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. Libraries with a public periodical room typically place new issues in the
`
`periodical room for easy user access.
`
`15.
`
`I used authoritative information systems such as WorldCat
`
`(http://www.worldcat.org) and the online catalog at the Library of Congress
`
`(https://catalog.loc.gov) and the online catalog of the University of Wisconsin-
`
`Madison (https://search.library.wisc.edu/search/system) 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.
`
`EX-1005
`
`16. EX-1005 is a true and correct photocopy of portions of the Dec. 7,
`
`– 9 –
`
`LGE Exhibit-1026/Page 9 of 62
`
`
`
`
`
`1998 issue of Computerworld (“Computerworld Dec-98”) that contains S.
`
`McCann, Dec. 7, 1998, “Jini: Quick Study” (“Jini-QS”), Computerworld Vol. 32,
`
`No. 49 at p. 29. When I was originally asked to prepare this declaration, I searched
`
`WorldCat for “Computerworld” and identified the University of Wisconsin-
`
`Madison general library system as one of the libraries that hold this journal. I then
`
`searched the online catalog of the University of Wisconsin-Madison to confirm the
`
`holdings information. The search results informed me that the University of
`
`Wisconsin-Madison Libraries holds the Dec. 7, 1998 issue of Computerworld that
`
`provides access to the paper version of “Jini: Quick Study.”
`
`17. On Nov. 30, 2017, I requested Computerworld Dec-98 (in which
`
`“Jini: Quick Study” is located) via Wisconsin TechSearch (WTS), a document
`
`delivery service of the University of Wisconsin-Madison Libraries system. I
`
`received a copy of Computerworld Dec-98 on Dec. 5, 2017 (EX-1005), which was
`
`scanned and e-mailed to me from WTS.
`
`18. EX-1005 is a true and correct copy of Computerworld Dec-98 that I
`
`received via email from WTS and the University of Wisconsin-Madison Libraries
`
`on Dec. 5, 2017. WTS followed my instructions to provide EX-1005 by scanning
`
`the front matter (the front cover, title page and table of contents, and copyright
`
`notice) and the article “Jini: Quick Study” found on page 29 of the periodical.
`
`a. UW-Madison Bibliographic and MARC Records
`
`– 10 –
`
`LGE Exhibit-1026/Page 10 of 62
`
`
`
`
`
`19. EX-1021 is a true and correct copy of the Bibliographic record for the
`
`Computerworld journal that I retrieved from the UW-Madison Libraries online
`
`catalog (https://search.library.wisc.edu/). I personally identified and located this
`
`Bibliographic Record Information, which experts in my field would reasonably
`
`rely upon when forming their opinion. EX-1021 shows that issues of
`
`Computerworld, including volume 32 (1998), are stored at the Verona Shelving
`
`Facility and physically available for checkout. Volume 32, No. 49 is the
`
`Computerworld Dec-98 issue (EX-1005) that contains “Jini: Quick Study.”
`
`20. EX-1022 is a true and correct copy of the MARC records for the
`
`Computerworld journal that I retrieved from the UW-Madison Libraries online
`
`catalog (https://search.library.wisc.edu/). The Vol. 32, No. 49, December 7, 1998
`
`issue is the Computerworld Dec-98 issue (EX-1005) of the Computerworld
`
`journal. I personally identified and located these MARC records, which experts in
`
`my field would reasonably rely upon when forming their opinion. The first MARC
`
`record is a more recent record updated on “20150420” (i.e., April 20, 2015) that
`
`shows the journal is also available online and in microform. This record was based
`
`on Vol. 16, no. 23 (June 7, 1982) of the journal. The second MARC record begins
`
`with “LEADER----nas-- 2200745---4500” and shows the journal was first
`
`published in 1967 and ceased with v. 48, no. 11 (June 23, 2014). The following
`
`discussion focuses on the second MARC record because it provides more details
`
`– 11 –
`
`LGE Exhibit-1026/Page 11 of 62
`
`
`
`
`
`on the print version of the journal.
`
`21. Field 245 of the MARC record (EX-1022) and the title of the
`
`Bibliographic record (EX-1021) identify the publication title as “Computerworld.”
`
`Field 260 of the MARC record and the “Publication” field of the Bibliographic
`
`record show that Computerworld is published by Computerworld Inc. in
`
`Framingham, Massachusetts. The first six digits of Field 008 of the MARC record
`
`inform me that the record for the journal was first created on “760620” (i.e., Jun.
`
`20, 1976). Field 022 of the MARC record and the “International Standard Serial
`
`Number (ISSN)” field of the Bibliographic record inform me that the ISSN of the
`
`journal is “0010-4841.” Field 321 of the MARC record shows that the journal was
`
`published weekly, except for the last week in December and the first week in
`
`January, from 1967 to August 2009. Field 310 of the MARC record indicates the
`
`publication frequency changed to semi-monthly in September 2009. Field 362
`
`shows that the journal began publication in 1967 and ceased on June 23, 2014.
`
`Three 650 fields of the MARC record show that the subjects of this journal include
`
`“computers,” “computer industry,” and “electronic data processing,” and subfield v
`
`indicates that this publication is a periodical. Users interested in these topics
`
`would be able to search by these subject headings to locate this journal. The
`
`MARC records of the University of Wisconsin-Madison Libraries make the
`
`Computerworld journal, including the Computerworld Dec-98 issue (EX-1005),
`
`– 12 –
`
`LGE Exhibit-1026/Page 12 of 62
`
`
`
`
`
`searchable in the UW-Madison Libraries online catalog.
`
`22. Based on the information above, it is my opinion that the
`
`Computerworld journal was a long running periodical that has been made available
`
`by the University of Wisconsin-Madison Libraries, meaning that anyone who was
`
`interested in the topic would be able to search for and access the Computerworld
`
`journal.
`
`b. UW-Madison Libraries Date Stamp
`
`23. The cover page of the Computerworld Dec-98 issue in EX-1005 bears
`
`a date stamp of “Dec 07 1998” and a library stamp of “Business Library Univ. of
`
`Wisconsin-Madison.” The date 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
`
`Business Library of the University of Wisconsin-Madison, upon receiving the
`
`Computerworld Dec-98 issue (EX-1005), date stamped it on Dec. 7, 1998 (as
`
`shown in EX-1005), and, shortly thereafter, would have placed it with other recent
`
`– 13 –
`
`LGE Exhibit-1026/Page 13 of 62
`
`
`
`
`
`issues of the periodical in the periodical room so as to make the issue findable and
`
`accessible to the public.
`
`24. As mentioned above, I received my Ph.D. from the University of
`
`Wisconsin-Madison, and therefore I have personal knowledge regarding the
`
`University’s library procedures regarding putting journal publications on the shelf
`
`for public access. Based on the date stamp placed on the cover page in EX-1005,
`
`which has a date of Dec. 7, 1998, and my understanding of the ordinary and
`
`customary check-in practices of the University of Wisconsin-Madison Libraries, it
`
`is my opinion that the Computerworld Dec-98 issue (EX-1005) (and, therefore,
`
`“Jini: Quick Study” included therein) was accessible through the University of
`
`Wisconsin-Madison Libraries to the public shortly after being received, usually
`
`within a week, on Dec. 14, 1998.
`
`25.
`
`In view of the foregoing, it is my opinion that the Computerworld
`
`journal is a long standing publication with wide readership (beginning in 1967) and
`
`that the University of Wisconsin-Madison Libraries received the Computerworld
`
`Dec-98 issue of the Computerworld journal, which includes a copy of the “Jini:
`
`Quick Study” article (EX-1005), on Dec. 7, 1998, and made it available to the
`
`public shortly thereafter, by at least Dec. 14, 1998.
`
`26. Taken together, the Bibliographic record, the MARC record, and the
`
`date stamp support my opinion that the “Jini: Quick Study” article (EX-1005) was
`
`– 14 –
`
`LGE Exhibit-1026/Page 14 of 62
`
`
`
`
`
`publicly accessible as early as or shortly after Dec. 7, 1998 when the Business
`
`Library of the University of Wisconsin-Madison received the Dec. 7, 1998 issue of
`
`the Computerworld journal.
`
`EX-1007
`
`27. EX-1007 is a true and correct photocopy of portions of the IEEE ISTA
`
`Dec-97 issue of November/December 1997 that contains M. McCandless, “The
`
`PalmPilot and the Handheld Revolution,” IEEE Intelligent Systems & Their
`
`Applications Vol. 12, No. 6, November/December 1997 (“IEEE ISTA Dec-97”) at
`
`pp. 6-8, which I obtained from the Library of Congress. When I was originally
`
`asked to prepare this declaration, I searched the WorldCat
`
`(https://www.worldcat.org/) for “IEEE Expert” and the results informed me that
`
`the Library of Congress is one the libraries holding this journal. I then searched
`
`the Library of Congress online catalog (https://catalog.loc.gov/) to confirm the
`
`holdings information, and the Bibliographic records (EX-1023, EX-1024) show
`
`that the last issue of IEEE Expert was published in September/October 1997, and
`
`thereafter, starting with the November/December 1997 issue, the journal was
`
`continued under a new title: IEEE Intelligent Systems & Their Applications. The
`
`search results informed me that the Library of Congress holds the
`
`November/December 1997 issue of IEEE Intelligent Systems & Their Applications
`
`(IEEE ISTA Dec-97), which contains “The PalmPilot and the Handheld
`
`– 15 –
`
`LGE Exhibit-1026/Page 15 of 62
`
`
`
`
`
`Revolution” (EX-1007).
`
`28. On Dec. 8, 2017, I requested IEEE ISTA Dec-97 (in which “The
`
`PalmPilot and the Handheld Revolution” is located) via the Library of Congress
`
`online catalog. I received IEEE ISTA Dec-97 on Dec. 13, 2017, and on the same
`
`day, I made scans/photocopies of “The PalmPilot and the Handheld Revolution”
`
`(EX-1007) as well as the additional pages found in EX-1007.
`
`29. EX-1007 is a true and correct copy of IEEE ISTA Dec-97 that I made
`
`on Dec. 13, 2017, while the volume was in my possession at the Library of
`
`Congress. I obtained EX-1007 by personally scanning the front matter (the front
`
`cover, the title page and copyright notice, and the table of contents) and the article
`
`“The PalmPilot and the Handheld Revolution,” found on pages 6-8 of the
`
`periodical.
`
`a. LC Bibliographic and MARC Records
`
`30. EX-1023 is a true and correct copy of the Bibliographic record for the
`
`IEEE Expert journal and EX-1024 is a true and correct copy of the Bibliographic
`
`record for the IEEE Intelligent Systems & Their Applications journal (formerly
`
`known as the IEEE Expert journal) that I retrieved from the Library of Congress
`
`online catalog (https://catalog.loc.gov/). The Vol. 12, No. 6, November/December
`
`1997 issue is the IEEE ISTA Dec-97 issue (EX-1007) of the journal IEEE
`
`– 16 –
`
`LGE Exhibit-1026/Page 16 of 62
`
`
`
`
`
`Intelligent Systems & Their Applications. I personally identified and located this
`
`Bibliographic Record Information, which experts in my field would reasonably
`
`rely upon when forming their opinion. EX-1024 shows that the Library of
`
`Congress holds issues of the journal, including the IEEE ISTA Dec-97 issue (EX-
`
`1007), which contains “The PalmPilot and the Handheld Revolution.” Users can
`
`request these issues in the Jefferson or Adams Building Reading Rooms.
`
`31. EX-1025 is a true and correct copy of the MARC record for the IEEE
`
`Intelligent Systems & Their Applications journal (formerly known as the IEEE
`
`Expert journal) that I retrieved from the Library of Congress online catalog
`
`(https://catalog.loc.gov/). The Vol. 12, No. 6, November/December 1997 issue is
`
`the IEEE ISTA Dec-97 issue (EX-1007) of the journal IEEE Intelligent Systems &
`
`Their Applications. I personally identified and located this MARC record, which
`
`experts in my field would reasonably rely upon when forming their opinion.
`
`32. Field 245 of the MARC record (EX-1025) and the “Main title” field
`
`of the Bibliographic record (EX-1024) identify the publication title as “IEEE
`
`Intelligent Systems & Their Applications.” Two 246 fields for variant titles show
`
`that the November/December 1997 issue has an alternative publication title, “IEEE
`
`Expert Intelligent Systems & Their Applications” and a running title “IEEE
`
`Expert.” Field 780 of the MARC record and the “Continues” field of the
`
`Bibliographic record show the predecessor of “IEEE Intelligent Systems & Their
`
`– 17 –
`
`LGE Exhibit-1026/Page 17 of 62
`
`
`
`
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`Applications” is “IEEE Expert.” Field 362 of the MARC record shows that the
`
`new journal title, IEEE Intelligent Systems & Their Applications, began with Vol.
`
`12, No. 6, November/December 1997 (i.e., the IEEE ISTA Dec-97 issue) and
`
`ceased with Vol. 15, No. 6, November/December 2000. Thus, the
`
`November/December 1997 issue (i.e., the IEEE ISTA Dec-97 issue, containing the
`
`article “The PalmPilot and the Handheld Revolution,” EX-1007) was published
`
`under the journal name “IEEE Intelligent Systems & Their Applications.”
`
`33. Field 260 of the MARC record and the “Published/Created” field of
`
`the Bibliographic record show that IEEE Intelligent Systems & Their Applications
`
`is published by the IEEE Computer Society in Los Alamitos, California. The first
`
`six digits of Field 008 of the MARC record inform me that the record for the
`
`journal was first created on “970717” (i.e., Jul. 17, 1997). Field 022 of the MARC
`
`record and the “ISSN” (International Standard Serial Number) field of the
`
`Bibliographic record inform me that the ISSN of the journal is “1094-7167.” Field
`
`310 of the MARC record shows that the publication frequency of this journal is
`
`bimonthly. Two 650 fields of the MARC record show that the subjects of this
`
`journal are “expert systems (computer science)” and “artificial intelligence,” with
`
`subfield v indicating that this publication is a periodical. Users interested in these
`
`topics would be able to use these subject headings to locate this journal. The
`
`MARC record of the Library of Congress makes the IEEE Intelligent Systems &
`
`– 18 –
`
`LGE Exhibit-1026/Page 18 of 62
`
`
`
`
`
`Their Applications journal, including the IEEE ISTA Dec-97 issue (EX-1007),
`
`searchable in the Library of Congress online catalog.
`
`34. Based on the information above, it is my opinion that the IEEE
`
`Intelligent Systems & Their Applications journal 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 Intelligent
`
`Systems & Their Applications journal.
`
`b. Library of Congress Date Stamp
`
`35. The interior title page of the IEEE ISTA Dec-97 issue in EX-1007
`
`bears a stamp of “Dec 03 1997.” 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 the IEEE ISTA Dec-97 issue (EX-1007), date
`
`stamped it on Dec. 3, 1997 (as shown in EX-1007), and, shortly thereafter, would
`
`have placed it with other recent issues of the periodical in the periodical room so as
`
`– 19 –
`
`LGE Exhibit-1026/Page 19 of 62
`
`
`
`
`
`to make the issue findable and accessible to the public.
`
`36. Based on the date stamp placed on the interior title page in EX-1007,
`
`which has a date of Dec. 3, 1997, and my understanding of the ordinary and
`
`customary check-in practices of libraries, it is my opinion that the IEEE ISTA Dec-
`
`97 issue (EX-1007) (and, therefore, “The PalmPilot and the Handheld Revolution”
`
`included therein) was accessible through the Library of Congress to the public
`
`shortly after being received, usually within a week, at least by Dec. 10, 1997.
`
`37.
`
`In view of the foregoing, it is my opinion that the IEEE Intelligent
`
`Systems & Their Applications journal (also known as IEEE Expert Intelligent
`
`Systems & Their Applications) is a long standing publication with wide readership
`
`and that the Library of Congress received the IEEE ISTA Dec-97 issue of the IEEE
`
`Intelligent Systems & Their Applications journal, which includes a copy of the
`
`“The PalmPilot and the Handheld Revolution” article (EX-1007), on Dec. 3, 1997,
`
`and made it available to the public shortly thereafter.
`
`38. Taken together, the Bibliographic records, the MARC record, and the
`
`date stamp support my opinion that the “The PalmPilot and the Handheld
`
`Revolution” article (EX-1007) was publicly accessible as early as or shortly after
`
`Dec. 3, 1997 when the Library of Congress received the November/December
`
`1997 issue (IEEE ISTA Dec-97) of the IEEE Intelligent Systems & Their
`
`Applications journal.
`
`– 20 –
`
`LGE Exhibit-1026/Page 20 of 62
`
`
`
`CONCLUSION
`
`39.
`
`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. If cross-examination is required of me,I
`
`will appear.
`
`40.
`
`[hereby declare that all statements made herein on my own
`
`knowledge are true and thatall statements made on information andbelief are
`
`believed to be true, and further, that these statements were made with the
`
`knowledge that willful false statements and the like so made are punishable by fine
`
`or imprisonment, or both, under Section 1001 of Title 18 of the United States
`
`Code.
`
`Date:
`
`_f-a-2g
`
`
`Executed: Gre Lo, ihJ
`Ingrid Hsieh-Yee, Ph.D.
`
`
`
`_2]-
`
`LGE Exhibit-1026/Page 21 of 62
`
`LGE Exhibit-1026/Page 21 of 62
`
`
`
`APPENDIX A
`APPENDIX A
`
`LGEExhibit-1026/Page 22 of 62
`
`LGE Exhibit-1026/Page 22 of 62
`
`
`
`
`
`Ingrid Hsieh-Yee
`Professor
`Dept. of Library and Information Science
`Catholic University of America
`Washington, D.C. 20064
`E-mail: hsiehyee@cua.edu
`Phone: (202) 319-5085
`Fax: (202) 319-5574
`
`
`Education
`
`Ph.D. Library and Information Studies, University of Wisconsin-Madison
`
`Minors: Sociology and Psychology
`
`M.A. Library and Information Studies, University of Wisconsin-Madison.
`
`M.A. Comparative Literature, University of Wisconsin-Madison.
`
`B.A. Foreign Languages and Literature, National Taiwan University.
`
`
`Work Experience
`
`Professor, School/Dept. of Library and Information Science, Catholic University of America,
`2004- (Assistant Professor, 1990-1996; Associate Professor, 1997-2004)
`
`
`Co-Chair, Dept. of Library and Information Science, Catholic University of America, June 2015-
`August 2016.
`
`
`Acting Dean, School of Library and Information Science, Catholic University of America,
`January 2010-June 2012.
`
`
`Cataloger, Dept. of Legislative Reference Library, Annapolis, Maryland, 1989-1990.
`
`Lecturer, School of Library and Information Studies, University of Wisconsin-Madison, 1988.
`
`Teaching Assistant, School of Library and Information Studies, University of Wisconsin-
`Madison, 1986-1988.
`
`
`Cataloger, Health Sciences Library, University of Wisconsin-Madison, 1984-1986.
`
`Areas of Teaching and Research Interests
`
`Information Organization and Access; Metadata; Cataloging & Classification; Information
`Architecture; Information Retrieval; Digital Collections; Scholarly Communication; Information
`
`LGE Exhibit-1026/Page 23 of 62
`
`
`
`
`Behavior; Health Informatics; Human Computer Interaction; Usability Studies
`
`Grants & Honors
`
`Cultural Heritage Information Management Project. IMLS grant. Amount: $498,741. Period:
`Aug. 2012 to July 2015. Co-PI with Dr. Youngok Choi.
`
`2
`
`
`D.C. Health Information Technology (HIT4): Building Capacity & Providing Access in Our
`Nation’s Capital. Dept. of Labor H2B Training Grant. Grant amount: $4,175,500. Grant
`period: Nov. 2011 to Dec. 2015. Partner with the Metropolitan School of Professional
`Studies of the
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