UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`NETFLIX, INC.
`Petitioner
`
`v.
`
`REALTIME ADAPTIVE STREAMING, LLC
`Patent Owner
`____________
`
`Case No. IPR2018-01630
`Patent 9,769,477
`____________
`
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
`
`NETFLIX, INC
`Exhibit 1023
`IPR2018-01630
`
`Page 1
`
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`NETFLIX, INC.
`Petitioner
`
`v.
`
`REALTIME ADAPTIVE STREAMING, LLC
`Patent Owner
`____________
`
`Case No. IPR2018-01630
`Patent 9,769,477
`____________
`
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
`
`NETFLIX, INC
`Exhibit 1023
`IPR2018-01630
`
`Page 1
`
`
`
`I.
`
`INTRODUCTION
`
`1.
`
`My name is Sylvia D. Hall-Ellis. I have been retained by Netflix,
`
`Inc., in connection with petitions it is preparing for inter partes review.
`
`2.
`
`I have written this declaration to provide my expert opinion regarding
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`the authenticity and public availability of several books, journal articles, and
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`webpages. My declaration sets forth my opinions in detail and provides the basis
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`for my opinions regarding the public availability of these publications.
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`3.
`
`I reserve the right to supplement or amend my opinions, and bases
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`for them, in response any additional evidence, testimony, discovery, argument,
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`and/or other additional information that may be provided to me after the date of
`
`this declaration.
`
`4.
`
`I am being compensated for my time spent working on this matter at
`
`my normal consulting rate of $300 per hour, plus reimbursement for any additional
`
`reasonable expenses. My compensation is not in any way tied to the content of this
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`declaration, the substance of my opinions, or the outcome of the proceedings. I
`
`have no other interests in this proceeding or with any of the parties.
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`5.
`
`All of the materials that I considered are discussed explicitly in this
`
`declaration.
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`1
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`Page 2
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`
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`II. QUALIFICATIONS
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`6.
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`I am currently an Adjunct Professor in the School of Information at
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`San José State University. I obtained a Masters of Library Science from the
`
`University of North Texas in 1972 and a Ph.D. in Library Science from the
`
`University of Pittsburgh in 1985. Over the last forty-five years, I have held various
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`positions in the field of library and information resources. I was first employed as
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`a librarian in 1966, and have been involved in the field of library sciences since,
`
`holding numerous positions.
`
`7.
`
`I am a member of the American Library Association (ALA) and its
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`Association for Library Collections & Technical Services (ALCTS) Division, and I
`
`served on the Committee on Cataloging: Resource and Description (which wrote
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`the new cataloging rules) and as the chair of the Committee for Education and
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`Training of Catalogers and the Competencies and Education for a Career in
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`Cataloging Interest Group. I also served as the Chair of the ALCTS Division’s
`
`Task Force on Competencies and Education for a Career in Cataloging.
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`Additionally, I have served as the Chair for the ALA Office of Diversity’s
`
`Committee on Diversity.
`
`8.
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`I have also given over one hundred presentations in the field,
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`including several on library cataloging systems and Machine-Readable Cataloging
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`2
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`Page 3
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`
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`(“MARC”) standards. My current research interests include library cataloging
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`systems, metadata, and organization of electronic resources.
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`9.
`
`My full curriculum vitae is attached hereto as Appendix A to this
`
`declaration.
`
`III. LIBRARY CATALOGING PRACTICES
`
`10.
`
`I am fully familiar with the library cataloging standard known as the
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`MARC standard, which is an industry-wide standard method of storing and
`
`organizing library catalog information.1 MARC was first developed in the 1960’s
`
`by the Library of Congress. A MARC-compatible library is one that has a catalog
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`consisting of individual MARC records for each of its items. Today, MARC is the
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`primary communications protocol for the transfer and storage of bibliographic
`
`metadata in libraries.2
`
`
`
`1 The full text of the standard is available from the Library of Congress at
`
`http://www.loc.gov/marc/bibliographic/.
`
`2 Almost every major library in the world is MARC-compatible. See, e.g., MARC
`
`Frequently Asked Questions (FAQ), Library of Congress,
`
`https://www.loc.gov/marc/faq.html (last visited September 4, 2018) (“MARC is
`
`the acronym for Machine-Readable Cataloging. It defines a data format that
`
`emerged from a Library of Congress-led initiative that began nearly forty years
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`3
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`Page 4
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`
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`11. A MARC record comprises several fields, each of which contains
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`specific data about the work. Each field is identified by a standardized, unique,
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`three-digit code corresponding to the type of data that follow. For example, a
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`work’s title is recorded in field 245, the primary author of the work is recorded in
`
`field 100, an item’s International Standard Book Number (“ISBN”) is recorded in
`
`field 020, an item’s Library of Congress call number is recorded in field 050, and
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`the publication date is recorded in field 260 under the subfield “c.” If a work is a
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`periodical, then its publication frequency is recorded in field 310, and the
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`publication dates (e.g., the first and last publication) are recorded in field 362,
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`which is also referred to as the enumeration/chronology field.
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`12.
`
`The library that created the record is recorded in field 040 in subfield
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`“a” with a unique library code. When viewing the MARC record online via Online
`
`Computer Library Center’s (“OCLC”) Connexion database, hovering over this
`
`code with the mouse reveals the full name of the library. I used this method of
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`“mousing over” the library codes in the OCLC database to identify the originating
`
`
`
`ago. It provides the mechanism by which computers exchange, use, and interpret
`
`bibliographic information, and its data elements make up the foundation of most
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`library catalogs used today.”). MARC is the ANSI/NISO Z39.2-1994 (reaffirmed
`
`2016) standard for Information Interchange Format.
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`4
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`Page 5
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`
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`library for the MARC records discussed in this declaration. Where this “mouse
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`over” option was not available, I consulted the Directory of OCLC Libraries in
`
`order to identify the institution that created the MARC record.3
`
`13. MARC records also include several fields that include subject matter
`
`classification information. An overview of MARC record fields is available
`
`through the Library of Congress at http://www.loc.gov/marc/bibliographic/. For
`
`example, 6XX
`
`fields
`
`are
`
`termed
`
`“Subject Access Fields.”
`
` See
`
`http://www.loc.gov/marc/bibliographic/bd6xx.html. Among these, for example, is
`
`the 650 field; this is the “Subject Added Entry – Topical Term” field. See
`
`http://www.loc.gov/marc/bibliographic/bd650.html. The 650 field is a “[s]ubject
`
`added entry in which the entry element is a topical term.” Id. These entries “are
`
`assigned to a bibliographic record to provide access according to generally
`
`accepted thesaurus-building rules (e.g., Library of Congress Subject Headings
`
`(LCSH), Medical Subject Headings (MeSH)).” Id. Further, MARC records
`
`include call numbers, which themselves include a classification number. For
`
`example, the 050 field is the “Library of Congress Call Number.” See
`
`http://www.loc.gov/marc/bibliographic/bd050.html. A defined portion of the
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`Library of Congress Call Number is the classification number, and “source of the
`
`
`
`3 http://www.oclc.org/contacts/libraries.en.html.
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`5
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`Page 6
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`
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`classification number
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`is Library of Congress Classification and
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`the LC
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`Classification-Additions and Changes.” Id. Thus, included in the 050 field is a
`
`subject matter classification. Each item in a library has a single classification
`
`number. A library selects a classification scheme (e.g., the Library of Congress
`
`Classification scheme just described or a similar scheme such as the Dewey
`
`Decimal Classification scheme) and uses it consistently. When the Library of
`
`Congress assigns the classification number, it appears as part of the 050 field. If a
`
`local library assigns the classification number, it appears in a 090 field. In either
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`scenario, the MARC record includes a classification number that represents a
`
`subject matter classification.
`
`14.
`
`The 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
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`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.” 4 Among other services,
`
`
`
`4 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`6
`
`Page 7
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`
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`OCLC and its members are responsible for maintaining the WorldCat database
`
`(http://www.worldcat.org/), used by
`
`independent and
`
`institutional
`
`libraries
`
`throughout the world.
`
`15. OCLC also provides its members online access to MARC records
`
`through its OCLC Connexion database. When an OCLC member institution
`
`acquires a work, it creates a MARC record for this work in its computer catalog
`
`system in the ordinary course of its business. MARC records created at the Library
`
`of Congress are tape-loaded into the OCLC database through a subscription to
`
`MARC Distribution Services daily or weekly. Once the MARC record is created
`
`by a cataloger at an OCLC member institution or is tape-loaded from the Library
`
`of Congress, the MARC record is then made available to any other OCLC
`
`members online, and therefore made available to the public. Accordingly, once the
`
`MARC record is created by a cataloger at an OCLC member institution or is tape-
`
`loaded from the Library of Congress or another library anywhere in the world, any
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`publication corresponding to the MARC record has been cataloged and indexed
`
`according to its subject matter such that a person interested in that subject matter
`
`could, with reasonable diligence, locate and access the publication through any
`
`
`
`Library Center, Incorporated (available at
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf ).
`
`7
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`Page 8
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`
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`library with access to the OCLC Connexion database or through the Library of
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`Congress.
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`16. When an OCLC member institution creates a new MARC record,
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`OCLC automatically supplies the date of creation for that record. The date of
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`creation for the MARC record appears in the fixed field (008), characters 00
`
`through 05. The MARC record creation date reflects the date on which, or shortly
`
`after which, the item was first acquired or cataloged. Initially, field 005 of the
`
`MARC record is automatically populated with the date the MARC record was
`
`created in year, month, day format (YYYYMMDD) (some of the newer library
`
`catalog systems also include hour, minute, second (HHMMSS)). Thereafter, the
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`library’s computer system may automatically update the date in field 005 every
`
`time the library updates the MARC record (e.g., to reflect that an item has been
`
`moved to a different shelving location within the library). Field 005 is visible
`
`when viewing a MARC record via an appropriate computerized interface, but
`
`when a MARC record is printed to hardcopy, no “005” label appears. The initial
`
`field 005 date (i.e., the date the MARC record was created) does appear, however,
`
`next to the label “Entered.”5 The date upon which the most recent update to field
`
`
`
`5
`
`In this declaration, I sometimes refer to the “Entered” entry as field 008,
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`characters 00-05.
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`8
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`Page 9
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`
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`005 occurred also appears, next to the label “Replaced.” Thus, when an item’s
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`MARC record has been printed to hardcopy—as is the case with the exhibits to this
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`declaration—the date reflected next to the label “Entered” is necessarily on or after
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`the date the library first cataloged and indexed the underlying item.
`
`17. Once one library has cataloged and indexed a publication by creating
`
`a MARC record for that publication, other libraries that receive the publication do
`
`not create additional MARC records—the other libraries instead rely on the
`
`original MARC record. They may update or revise the MARC record to ensure
`
`accuracy, but they do not replace or duplicate it. This practice does more than save
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`libraries from duplicating labor. It also enhances the accuracy of MARC records.
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`Further, it allows librarians around the world to know that a particular MARC
`
`record is authoritative (in contrast, a hypothetical system wherein duplicative
`
`records were created would result in confusion as to which record is authoritative).
`
`18.
`
`The date of creation of the MARC record by a cataloger at an OCLC
`
`member institution reflects when the underlying item is accessible to the public.
`
`Upwards of two-thirds to three-quarters of book sales to libraries come from a
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`jobber or wholesaler for online and print resources. These resellers make it their
`
`business to provide books to their customers as fast as possible, often providing
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`turnaround times of only a single day after publication. Libraries purchase a
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`significant portion of the balance of their books directly from publishers
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`9
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`Page 10
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`
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`themselves, which provide delivery on a similarly expedited schedule. In general,
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`libraries make these purchases throughout the year as the books are published and
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`shelve the books as soon thereafter as possible in order to make the books available
`
`to their patrons. Thus, books are generally available at libraries across the country
`
`within just a few days of publication.
`
`19.
`
`Catalogers can create MARC records for all types of print, online,
`
`and digital resources. For example, MARC records cover serial publications,
`
`including both serially-published monographs and journals. OCLC hosts MARC
`
`records for more than 320 million serial publications. Serial publications are those
`
`publications that have the same collective title but are intended to be continued
`
`indefinitely with enumeration such as a volume or issue number (e.g., magazines,
`
`journals, etc.). In the OCLC Connexion database, the first issue of the serial
`
`publication is typically cataloged (i.e., a corresponding MARC record is created),
`
`but the date is left open-ended with the use of a punctuation mark such as a dash.
`
`OCLC serial publication MARC records represent the entire run of the serial title.
`
`With knowledge of the first issue published, future issues can be predicted based
`
`on the information provided in the MARC record, for example in field 362. In my
`
`extensive professional experience, is it highly unusual for a library to stop
`
`collecting and shelving a serial publication prior to the end of its publication run.
`
`If a subscription to a serial publication ends its run or is cancelled before the end of
`
`10
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`Page 11
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`
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`its run, the library will denote that it has stopped receiving new volumes by filling
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`in the end date in the MARC record.
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`20.
`
`The handling of printed journal subscriptions is shown on the covers
`
`of individual issues. As was the best practice among libraries, issues arrived at a
`
`central facility and were immediately received, verified as part of a subscription,
`
`checked in, and stamped with the institution’s name and date. Determining that the
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`issue was part of the library subscription ensured that the entire set of publications
`
`for the year had been received so that they could be professionally bound and
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`retained. This process also verified that all of the published issues arrived so that
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`the library staff did not have to request or claim an issue that did not arrive as
`
`expected. In large public libraries with branches and multi-campus libraries within
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`academic institutions, the journals were sorted and delivered to the subscribing
`
`unit. The issues were frequently stamped again to acknowledge receipt. The new
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`issue was placed in the public area; the older issue was stored so that it remained
`
`available.
`
`21.
`
`The foregoing process has been standard library practice longer than
`
`I have been working in the profession. I first learned the steps in the process in the
`
`late 1970s and later supervised it. Although the checking in process has become
`
`automated and now links electronically to holdings records for the MARC record
`
`for each serial title, the manual stamping and placing the issue in a public area has
`
`11
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`Page 12
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`
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`not changed for 50 years. Unless I note otherwise below in reference to a specific
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`serial publication, it is my expert opinion that this standard protocol was followed
`
`for each of the serial publications discussed below.
`
`22.
`
`In preparing this declaration, I used authoritative databases, such as
`
`the OCLC Connexion database and the Library of Congress Online Catalog, to
`
`confirm citation details of the various publications discussed. Unless I note
`
`otherwise below in reference to a specific serial publication, it is my expert opinion
`
`that this standard protocol was followed for each of the serial publications
`
`discussed below.
`
`23.
`
`Indexing. A researcher may discover material relevant to his or her
`
`topic in a variety of ways. One common means of discovery is to search for
`
`relevant information in an index of periodical and other publications. Having
`
`found relevant material, the researcher will then normally obtain it online, look for
`
`it in libraries, or purchase it from the publisher, a bookstore, a document delivery
`
`service, or other provider. Sometimes, the date of a document’s public
`
`accessibility will involve both indexing and library date information. However,
`
`date information for indexing entries is often unavailable. This is especially true
`
`for online indices.
`
`12
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`Page 13
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`
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`24.
`
`Indexing services use a wide variety of controlled vocabularies to
`
`provide subject access and other means of discovering the content of documents.
`
`The formats in which these access terms are presented vary from service to service.
`
`25. Online
`
`indexing
`
`services
`
`commonly provide bibliographic
`
`information, abstracts, and full-text copies of the indexed publications, along with
`
`a list of the documents cited in the indexed publication. These services also often
`
`provide lists of publications that cite a given document. A citation of a document
`
`is evidence that the document was publicly available and in use by researchers no
`
`later than the publication date of the citing document.
`
`26.
`
`Prominent indexing services include the following:
`
`- ACM Digital Library. This index is produced by the Association for
`
`Computing Machinery, the world’s largest scientific and educational
`
`computing society. AMC Digital Library contains the full text of all
`
`AMC publications, hosted full-text publications from selected publishers,
`
`and the ACM Guide to Computing Literature—a comprehensive
`
`bibliography of computing literature beginning in the 1950s with more
`
`than a million entries. All metadata in the database are freely available
`
`on the Web, including abstracts, linked references, citing work, and usage
`
`statistics. Full-text articles are available with subscription.
`
`13
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`Page 14
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`
`
`-
`
`IEEE Xplore. This scholarly
`
`research database includes
`
`indexes,
`
`abstracts,
`
`and
`
`full-text
`
`for
`
`articles
`
`and papers on computer
`
`science, electrical engineering, and electronics. The database mainly
`
`covers material from
`
`the Institute of Electrical and Electronics
`
`Engineers (IEEE)
`
`and
`
`the Institution
`
`of
`
`Engineering
`
`and
`
`Technology. The IEEE Xplore digital library provides Web access to
`
`more than 4.5-million full-text documents from some of the world's most
`
`highly cited publications. The content comprises over 180 journals, over
`
`1,400 conference proceedings, more than 3,800 technical standards, over
`
`1,800 eBooks and over 400 educational courses. Approximately 20,000
`
`new documents are added to IEEE Xplore each month. Abstracts are free
`
`to access, but access to full text requires a subscription or institutional
`
`login.
`
`IV. PRELIMINARIES
`
`27.
`
`Scope of this declaration. I am not an attorney and will not offer
`
`opinions on the law. I am, however, rendering my expert opinion on the
`
`authenticity of the documents referenced herein and on when and how each of
`
`these documents was disseminated or otherwise made available to the extent that
`
`persons interested and ordinarily skilled in the subject matter or art, exercising
`
`reasonable diligence, could have located the documents.
`
`14
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`Page 15
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`
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`28.
`
`I am informed by counsel that a printed publication qualifies as
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`publicly accessible as of the date it was disseminated or otherwise made available
`
`such that a person interested in and ordinarily skilled in the relevant subject matter
`
`could locate it through the exercise of ordinary diligence.
`
`29. While I understand that the determination of public accessibility
`
`under the foregoing standard rests on a case-by-case analysis of the facts particular
`
`to an individual publication, I also understand that a printed publication is rendered
`
`“publicly accessible” if it is cataloged and indexed by a library such that a person
`
`interested in the relevant subject matter could locate it (i.e., I understand that
`
`cataloging and indexing by a library is sufficient, though there are other ways that
`
`a printed publication may qualify as publicly accessible). One manner of sufficient
`
`indexing is indexing according to subject matter category. I understand that the
`
`cataloging and indexing by a single library of a single instance of a particular
`
`printed publication is sufficient, even if the single library is in a foreign country. I
`
`understand that, even if access to a library is restricted, a printed publication that
`
`has been cataloged and indexed therein is publicly accessible so long as a
`
`presumption is raised that the portion of the public concerned with the relevant
`
`subject matter would know of the printed publication. I also understand that the
`
`cataloging and indexing of information that would guide a person interested in the
`
`relevant subject matter to the printed publication, such as the cataloging and
`
`15
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`Page 16
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`
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`indexing of an abstract for the printed publication, is sufficient to render the
`
`printed publication publicly accessible.
`
`30.
`
`I understand that routine business practices, such as general library
`
`cataloging and indexing practices, can be used to establish an approximate date on
`
`which a printed publication became publicly accessible.
`
`31.
`
`Persons of ordinary skill in the art. I am told by counsel that the
`
`subject matter of this proceeding relates to data compression technology.
`
`32.
`
`I have been informed by counsel that a “person of ordinary skill in
`
`the art at the time of the inventions” is a hypothetical person who is presumed to be
`
`familiar with the relevant field and its literature at the time of the inventions. This
`
`hypothetical person
`
`is also a person of ordinary creativity, capable of
`
`understanding the scientific principles applicable to the pertinent field.
`
`33.
`
`I am told by counsel that persons of ordinary skill in this subject
`
`matter or art would have had a B.Sc. degree. in mechanical engineering, electrical
`
`engineering, computer science, or a similar field with at least two years of
`
`experience in data compression or a person with a master’s degree in mechanical
`
`engineering, electrical engineering, computer science, or a similar field with a
`
`specialization in data compression. I am also told by counsel that a person with less
`
`education but more relevant practical experience may also meet this standard.
`
`16
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`Page 17
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`
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`34.
`
`It is my opinion that such a person would have been engaged in
`
`research, learning though study and practice in the field and possibly through
`
`formal instruction the bibliographic resources relevant to his or her research. In the
`
`1990s and early 2000s such a person would have had access to a vast array of long-
`
`established print resources in electrical engineering as well as to a rich set of online
`
`resources providing indexing information, abstracts, and full text services for
`
`electrical engineering.
`
`V. Document 1: Exhibit 1009 (“SPANIAS”)
`
`35. Attached as Exhibit 1009 is true and correct sealed certified copy
`
`from the United States Library of Congress of the cover page, title page, copyright
`
`page, table of contents pages, and two chapters from the book, Audio Signaling
`
`Processing and Coding, by Andreas Spanias, Ted Painter, and Venkatraman Atti
`
`(hereafter “Spanias”) published by Wiley & Sons in 2007. The text includes
`
`Chapter 1, “Introduction” (pages 1-11) and Chapter 10, “Audio Coding Standards
`
`and Algorithms” (pages 263-342). The certification letter from the Library of
`
`Congress with its embossed seal in gold foil includes the raised words “Library of
`
`Congress” and covers the official blue ribbon; this is true for each of the certified,
`
`sealed documents I have included in the exhibits hereto.
`
`17
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`Page 18
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`
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`36.
`
`The sealed certified copy of Exhibit 1009 is from the Library of
`
`Congress, with official ribbon affixed thereto, and is signed by Deirdre Scott,
`
`Business Enterprises Officer, Office of Business Enterprises, Library of Congress.
`
`37.
`
`Exhibit 1009 is in a condition that creates no suspicion about its
`
`authenticity. Specifically, the text of each chapter is not missing any intermediate
`
`pages; the text on each page appears to flow seamlessly from one page to the next;
`
`and, there are no visible alterations to the document.
`
`38. Attached hereto as Attachment 1a is a true and correct copy of the
`
`MARC record for the Spanias book from the Library of Congress. The library
`
`ownership is indicated by the presence of the library’s code (DLC) in the 040 field.
`
`As can be seen in Field 008 in Attachment 1a, a cataloger at the Library of
`
`Congress created this MARC record on January 5, 2006. The MARC record
`
`includes OCLC record number 62896540 in Field 035. I personally identified and
`
`retrieved the library catalog record which is Attachment 1a.
`
`39. Attached hereto as Attachment 1b is a true and correct copy of the
`
`MARC record for the Spanias book from the Gemmill Library of Engineering,
`
`Mathematics and Physics at the University of Colorado – Boulder. The library
`
`ownership is indicated by the presence of the library’s code (COD) in the 049 field.
`
`The library continues to update this MARC record and enhanced the MARC record
`
`to meet current cataloging rules. As can be seen in Field 008 in Attachment 1b, a
`
`18
`
`Page 19
`
`
`
`cataloger at the University of Colorado – Boulder Library created this MARC
`
`record on January 5, 2006. The MARC record includes OCLC record number
`
`62896540 in Field 035. I personally identified and retrieved the library catalog
`
`record which is Attachment 1b.
`
`40. Attached hereto as Attachment 1c is a true and correct copy of the
`
`MARC record for the Spanias book that I harvested from the OCLC Connexion
`
`database. As previously noted, the library that created the record is recorded in
`
`field 040 with a unique library code and for the Spanias book that the library code
`
`is “DLC,” which means that the MARC record was created at the Library of
`
`Congress. As can be seen in the “Entered” field in this exhibit, a cataloger at the
`
`Library of Congress created OCLC record number 62896540 on January 5, 2006.
`
`41.
`
`The MARC record in Attachment 1c includes an entry in field 050
`
`(“TX5102.92 ‡b .S73 2007”)—as described above, this includes a subject matter
`
`classification number consistent with the Library of Congress classification system
`
`(analogous to the Dewey Decimal System), which indicates where in a research
`
`library the book would be shelved. Attachment 1c further includes three English
`
`language field 650 entries reading “Coding theory,” “Signal processing ‡x Digital
`
`techniques,” and “Sound ‡x Recording and reproducing ‡x Digital techniques.”
`
`Thus, as of its cataloging, the Spanias book was indexed according to its subject
`
`19
`
`Page 20
`
`
`
`matter by virtue of at least two independently sufficient classifications: the field
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`050 entry and the field 650 entries.
`
`42. Attachment 1c indicates that the Spanias book as cataloged at the
`
`Library of Congress is currently available from 179 libraries. In view of above, the
`
`Spanias book was publicly available no later than January 5, 2006, because by that
`
`date it had been cataloged and indexed at the Library of Congress, made part of the
`
`OCLC Connexion database, and received at the Gemmill Library of Engineering,
`
`Mathematics and Physics at the University of Colorado – Boulder. For these
`
`reasons, I find that Exhibit 1009 was published and accessible to the public no later
`
`than January 5, 2006, and one ordinarily skilled in the art could have found the
`
`Spanias book exercising by reasonable diligence using various indexes, such as the
`
`call numbers, the library’s shelving procedures, and the classification number in
`
`the MARC record.
`
`VI. DOCUMENT 2: EXHIBIT 1010 (“WESTWATER”)
`
`43. Attached as Exhibit 1010 is true and correct sealed certified copy
`
`from the United States Library of Congress of the cover page, title page, copyright
`
`page, table of contents pages, preface, and four chapters from the book, Real-Time
`
`Video Compression Techniques and Algorithms, by Raymond Westwater and
`
`Borko Furht (hereafter “Westwater”) published by Kluwer in 1997. The text
`
`includes Chapter 1, “The Problem of Video Compression” (pages 1-13); Chapter 2,
`
`20
`
`Page 21
`
`
`
`“The MPEG Video Compression Standard” (pages 15-21); Chapter 3, “The
`
`H.261/H.263 Standard for Video Telecommunications” (pages 23-28); and Chapter
`
`7, “Entropy Coding” (pages 73-81). The certification letter from the Library of
`
`Congress with its embossed seal in gold foil includes the raised words “Library of
`
`Congress” and covers the official blue ribbon; this is true for each of the certified,
`
`sealed documents I have included in the exhibits hereto.
`
`44.
`
`The sealed certified copy of Exhibit 1010 is from the Library of
`
`Congress, with official ribbon affixed thereto, and is signed by Deirdre Scott,
`
`Business Enterprises Officer, Office of Business Enterprises, Library of Congress.
`
`45.
`
`Exhibit 1010 is in a condition that creates no suspicion about its
`
`authenticity. Specifically, the text of the preface and each chapter is not missing
`
`any intermediate pages; the text on each page appears to flow seamlessly from one
`
`page to the next; and, there are no visible alterations to the document.
`
`46. Attached hereto as Attachment 2a is a true and correct copy of the
`
`MARC record for the Westwater book from the Library of Congress. The library
`
`ownership is indicated by the presence of the library’s code (DLC) in the 040 field.
`
`As can be seen in Field 008 in Attachment 2a, a cataloger at the Library of
`
`Congress created this MARC record on August 14, 1996. The MARC record
`
`includes an International Standard Book Number (ISBN) number 0792397878 in
`
`21
`
`Page 22
`
`
`
`Field 020. I personally identified and retrieved the library catalog record which is
`
`Attachment 2a.
`
`47. Attached hereto as Attachment 2b is a true and correct copy of the
`
`MARC record for the Westwater book from the University of Denver Library. The
`
`library ownership is indicated by the presence of the library’s code (DVP) in the
`
`049 field. As can be seen in Field 008 in Attachment 2b, a cataloger at the
`
`University of Denver Library created this MARC record on August 14, 1996. The
`
`MARC record includes an International Standard Book Number (ISBN) number
`
`0792397878 in Field 020. I personally identified and retrieved the library catalog
`
`record which is Attachment 2b.
`
`48. Attached hereto as Attachment 2c is a true and correct copy of the
`
`MARC record for the Westwater book that I harvested from the OCLC Conne
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