UNITED STATES PATENT AND TRADEMARK OFFICE
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`APPLE INC. (“APPLE”)
`Petitioner
`
`- vs. -
`COREPHOTONICS, LTD. (“COREPHOTONICS”)
`Patent Owner
`
`U.S. Patent No. 9,857,568
`———————
`
`DECLARATION OF INGRID HSIEH-YEE, PHD,
`UNDER 37 C.F.R. § 1.68
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`———————
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`APPLE INC. (“APPLE”)
`Petitioner
`
`- vs. -
`COREPHOTONICS, LTD. (“COREPHOTONICS”)
`Patent Owner
`
`U.S. Patent No. 9,857,568
`———————
`
`DECLARATION OF INGRID HSIEH-YEE, PHD,
`UNDER 37 C.F.R. § 1.68
`
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`Page 1 of 550
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`I, Ingrid Hsieh-Yee, Ph.D., do hereby declare as follows:
`
`1.(cid:1)
`
`I have been retained as an independent expert witness on behalf of
`
`Apple Inc. (“Apple”) for an Inter Partes Review (“IPR”) of U.S. Patent No.
`
`9,857,568 (“the ’568 patent”).
`
`2.(cid:1)
`
`I am being compensated for my work in this matter at my accustomed
`
`hourly rate. I am also being reimbursed for reasonable and customary expenses
`
`associated with my work and testimony in this investigation. My compensation is
`
`not contingent on the results of my study, the substance of my opinions, or the
`
`outcome of this matter.
`
`3.(cid:1)
`
`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)(cid:1) Warren J. Smith (“Smith”), MODERN LENS DESIGN (1992), obtained
`from the Library of Congress, Appendix C;
`
`(2)(cid:1) Max Born et al. (“Born”), PRINCIPLES OF OPTICS, 6th Ed. (1980),
`obtained from the Library of Congress, Appendix D;
`
`(3)(cid:1)
`
`Jane Bareau et al. (“Bareau”), “The optics of miniature digital camera
`modules,” SPIE Proceedings Volume 6342, International Optical
`Design Conference 2006; 63421F (2006), obtained from the Library
`of Congress, Appendix E;
`
`(4)(cid:1) Michael P. Schaub (“Schaub”), THE DESIGN OF PLASTIC OPTICAL
`
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`SYSTEMS (2009), obtained from the Library of Congress, Appendix F;
`
`(5)(cid:1) Optical Society of America (“Handbook of Optics”), HANDBOOK OF
`OPTICS, vol. II 2nd ed. (1995), obtained from the Library of Congress,
`Appendix G;
`
`(6)(cid:1) MARC Record Information for HANDBOOK OF OPTICS, vol. II 2nd ed.
`(1995), available at the Library of Congress online catalog at
`https://catalog.loc.gov/vwebv/staffView?searchId=20956&recPointer
`=0&recount=25&searchType=2&bibId=2068733, accessed June 12,
`2018, Appendix H;
`
`(7)(cid:1) Bibliographic Record Information for HANDBOOK OF OPTICS, vol. II
`2nd ed. (1995), available at the Library of Congress online catalog at
`https://lccn.loc.gov/94019339, accessed June 12, 2018, Appendix I;
`
`(8)(cid:1) Copyright Registration for HANDBOOK OF OPTICS, vol. II 2nd ed.
`(1995), available at https://cocatalog.loc.gov/cgi-
`bin/Pwebrecon.cgi?v1=3&ti=1,3&Search_Arg=Handbook%20of%20
`optics&Search_Code=TALL&CNT=25&PID=ImyGYjD7XXbibjVv
`G1mOABNTznL&SEQ=20180619221237&SID=1, accessed June 19,
`2018, Appendix J;
`
`(9)(cid:1) William S. Beich et al. (“Beich”), “Polymer Optics: A manufacturer’s
`perspective on the factors that contribute to successful programs,”
`SPIE Proceedings Volume 7788, Polymer Optics Design, Fabrication,
`and Materials, obtained from the Library of Congress, Appendix K;
`
`(10)(cid:1) MARC Record Information for Polymer Optics Design, Fabrication,
`and Materials, available at the Library of Congress online catalog at
`https://catalog.loc.gov/vwebv/staffView?searchId=22415&recPointer
`
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`
`
`=0&recount=25&searchType=1&bibId=16762353, accessed June 13,
`2018, Appendix L;
`
`(11)(cid:1) Bibliographic Record Information for Polymer Optics Design,
`Fabrication, and Materials, available at the Library of Congress
`online catalog at https://lccn.loc.gov/2011289200, accessed June 13,
`2018, Appendix M;
`
`(12)(cid:1) Copyright Registration for Polymer Optics Design, Fabrication, and
`Materials, available at https://cocatalog.loc.gov/cgi-
`bin/Pwebrecon.cgi?Search_Arg=Polymer+Optics+Design%2C+Fabri
`cation%2C+and+Materials&Search_Code=TALL&PID=cXf7Q99L7
`h_q9-
`aeWMbj2t8gCQg&SEQ=20180619221210&CNT=25&HIST=1,
`accessed June 18, 2018, Appendix N.
`
`4.(cid:1)
`
`In forming the opinions expressed within this declaration, I have
`
`considered:
`
`(1)(cid:1) The documents listed above;
`
`(2)(cid:1) The reference materials cited herein; and
`
`(3)(cid:1) My own academic background and professional experiences, as
`
`described below.
`
`5.(cid:1) 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.
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`6.(cid:1)
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`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.(cid:1)
`
`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
`
`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.(cid:1)
`
`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
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`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.(cid:1)
`
`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
`
`recorded in Field 260, and the physical volume and characteristics of a publication
`
`are recorded in Field 300, and topical subjects are recorded in the 650 fields.
`
`10.(cid:1) 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-
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`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.(cid:1) OCLC members can contribute original cataloging records in MARC
`
`to the system or derive cataloging records from existing records, an activity
`
`referred to as “copy cataloging”. When an OCLC participating institution acquires
`
`a work, it can create an original MARC record for this work in OCLC’s Connexion
`
`system (a system for catalogers to create and share MARC records), and the
`
`system will automatically generate a code for the date of record creation in the
`
`yymmdd format, and the creating library’s OCLC symbol is recorded in subfield a
`
`of the 040 field. Once the MARC record is in Connexion, it becomes available to
`
`other OCLC members for adoption to their local online catalogs. The record—
`
`presented in a labeled format, not MARC—also becomes searchable and viewable
`
`on WorldCat, which is a web portal to more than 10,000 libraries worldwide.
`
`12.(cid:1) Library online catalogs are based on MARC records that represent
`
`their collections and help the public understand what materials are publicly
`
`
`1 Third Article, Amended Articles of Incorporation of OCLC Online Computer Library Center,
`
`Inc. Revised May 20, 2008 (available at
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf)
`
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`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
`
`volume processed for public access soon after, usually within a week.
`
`13.(cid:1)
`
`I used authoritative information systems such as WorldCat
`
`(http://www.worldcat.org), the online catalog at the Library of Congress
`
`(https://catalog.loc.gov) and the public catalog of the United States Copyright
`
`Office (http://cocatalog.loc.gov/cgi-bin/Pwebrecon.cgi?DB=local&PAGE=First) 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.
`
`Appendix C
`
`14.(cid:1) Appendix C is a true and correct photocopy of portions of MODERN
`
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`LENS DESIGN (“Smith”) that I made on June 15, 2018 during my personal visit to
`
`the Library of Congress. When I was originally asked to prepare this declaration, I
`
`searched WorldCat for “Modern Lens Design” and identified the Library of
`
`Congress as one of the libraries that hold this monograph. I then searched the
`
`Library of Congress online catalog to confirm the holdings information. The search
`
`results informed me that the Library of Congress provides access to Smith.
`
`15.(cid:1) Appendix C is a true and correct copy of portions of Smith that I
`
`made on June 15, 2018, while the book was in my possession at the Library of
`
`Congress. I obtained Appendix C by personally scanning the front matter (the
`
`front cover, the title page, and the copyright page) and select content pages from
`
`Smith, specifically, pages 1-62 and 169-182 of the book, and the back cover.
`
`Appendix D
`
`16.(cid:1) Appendix D is a true and correct copy of portions of PRINCIPLES OF
`
`OPTICS (“Born”) that I made on June 20, 2018 during my personal visit to the
`
`Library of Congress. When I was originally asked to prepare this declaration, I
`
`searched WorldCat for “Principles of Optics” and identified the Library of
`
`Congress as one of the libraries that hold this monograph. I then searched the
`
`Library of Congress online catalog to confirm the holdings information. The
`
`search results informed me that the Library of Congress provides access to Born.
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`17.(cid:1) Appendix D is a true and correct copy of portions of Born that I made
`
`on June 20, 2018, while the book was in my possession at the Library of Congress.
`
`I obtained Appendix D by personally scanning the front matter (the front cover,
`
`the title page, and the copyright page) and select content pages from Born,
`
`specifically, pages 156-197, and the back cover of the book.
`
`Appendix E
`
`18.(cid:1) Appendix E is a true and correct copy of portions of “The optics of
`
`miniature digital camera modules” (“Bareau”) and additional pages from
`
`International Optical Design Conference 2006 that I made on June 16, 2018 during
`
`my personal visit to the Library of Congress. When I was originally asked to
`
`prepare this declaration, I accessed WorldCat for “International Optical Design
`
`Conference” because the conference proceeding is the volume that contains
`
`Bareau. The search results identified the Library of Congress as one of the libraries
`
`that hold this monograph. I then searched the Library of Congress online catalog to
`
`confirm the holdings information. The search results informed me that the Library
`
`of Congress provides access to International Optical Design Conference 2006 that
`
`contains Bareau.
`
`19.(cid:1) Appendix E is a true and correct copy of portions of International
`
`Optical Design Conference 2006 that contains Bareau that I made on June 15,
`
`2018, while the book was in my possession at the Library of Congress. I obtained
`
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`Appendix E by personally scanning the front matter (the front cover, the title page,
`
`and the copyright page) and Bareau that appears from pages 63421F-1 to 63421F-
`
`11, and the back cover of the book.
`
`Appendix F
`
`20.(cid:1) Appendix F is a true and correct copy of portions of THE DESIGN OF
`
`PLASTIC OPTICAL SYSTEMS (“Schaub”) that I made on June 15, 2018 during my
`
`personal visit to the Library of Congress. When I was originally asked to prepare
`
`this declaration, I searched WorldCat for “Design of Plastic Optical Systems” and
`
`identified the Library of Congress as one of the libraries that hold this monograph.
`
`I then searched the Library of Congress online catalog to confirm the holdings
`
`information. The search results informed me that the Library of Congress provides
`
`access to Schaub.
`
`21.(cid:1) Appendix F is a true and correct copy of portions of Schaub that I
`
`made on June 15, 2018, while the book was in my possession at the Library of
`
`Congress. I obtained Appendix F by personally scanning the front matter (the
`
`front cover, the title page, and the copyright page) and select content pages from
`
`Schaub, specifically, the Introduction, Preface, pages 1-13 and 39-168, and the
`
`back cover of the book.
`
`Appendix G
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`22.(cid:1) Appendix G is a true and correct copy of portions of the HANDBOOK
`
`OF OPTICS, vol. II, 2nd ed. (the “Handbook of Optics”) that I made on June 18, 2018
`
`during my personal visit to the Library of Congress. When I was originally asked
`
`to prepare this declaration, I searched WorldCat for “Handbook of Optics” and
`
`identified the Library of Congress as one of the libraries that hold this monograph.
`
`I then searched the Library of Congress online catalog to confirm the holdings
`
`information. The search results informed me that the Library of Congress provides
`
`access to the Handbook of Optics.
`
`23.(cid:1) Appendix G is a true and correct copy of portions of the Handbook of
`
`Optics that I made on June 18, 2018, while the book was in my possession at the
`
`Library of Congress. I obtained Appendix G by personally scanning the front
`
`matter (the front cover, the title page, and the copyright page) and select content
`
`pages from the Handbook of Optics, specifically, pages 1.3-1.41 and 34.1-34.21,
`
`and the back cover of the book.
`
`a.(cid:1) Library of Congress – MARC and Bibliographic Records
`
`24.(cid:1) Appendix H is a true and correct copy of the MARC record for the
`
`HANDBOOK OF OPTICS, a four volume set, whose vol. II (“Handbook of Optics”) is
`
`presented as Appendix G. I retrieved this record from the online catalog of the
`
`Library of Congress after searching for the book by searching “Handbook of
`
`Optics.” I personally identified and located this record, which experts in my field
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`would reasonably rely upon when forming their opinions.
`
`25.(cid:1) Appendix I is a true and correct copy of the Bibliographic record
`
`for the HANDBOOK OF OPTICS, a four volume set, whose vol. II (“Handbook of
`
`Optics”) is presented as Appendix G. I retrieved this record from the online
`
`catalog of the Library of Congress, which experts in my field would reasonably
`
`rely upon when forming their opinions.
`
`26.(cid:1) Field 245 of the MARC record (Appendix H) and the title field of the
`
`Bibliographic record (Appendix I) identify the book title as “Handbook of
`
`Optics.” Field 260 of the MARC record (Appendix H) and the published/created
`
`field of the Bibliographic record (Appendix I) show that the four volumes of the
`
`Handbook of Optics were published by McGraw-Hill in New York, NY from 1995
`
`to 2001. Field 010 shows the Library of Congress control number (LCCN) as
`
`“94019339.” The Library of Congress has used LCCNs since 1898 to uniquely
`
`identify items in their cataloged collections. Librarians use LCCNs to locate
`
`Library of Congress cataloging records in national databases quickly. The year
`
`portion of LCCN indicates the year when a LCCN is assigned. The reason that the
`
`Handbook whose Volumes 1 and 2 were first published in 1995 was assigned the
`
`LCCN in 1994 is because of the Library of Congress Preassigned Control Number
`
`(PNC) Program. The purpose of the PNC Program is to assign control numbers in
`
`advance of publication to titles that may be added to the Library of Congress
`
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`collection. The second Field 020 in the MARC record shows the International
`
`Standard Book Number for Volume 2 as “0070479747,” which matches the ISBN
`
`on the copyright page and the back cover of Appendix G.
`
`27.(cid:1) The first six digits of Field 008 of the MARC record (Appendix H)
`
`inform me that the record for the book was first created on “940520” (i.e., May 20,
`
`1994), and subfield a of Field 040 indicates “DLC” (i.e., Library of Congress) was
`
`the creator. The reason a bibliographic record was created in 1994 for a publication
`
`with a copyright date of 1995 and beyond is because the record is a Cataloging in
`
`Publication (CIP) record. The Cataloging in Publication (CIP) Program of the
`
`Library of Congress is responsible for cataloging books in advance of publication
`
`to alert the library community to forthcoming publications and to facilitate
`
`acquisition. The initial CIP record is created based on information submitted by the
`
`publisher. When the CIP record is ready, it is sent to the publisher for inclusion in
`
`the publication. The Library of Congress also distributes CIP records in MARC
`
`format to large libraries, bibliographic services, and book vendors worldwide.
`
`After the book is published, the publisher is obligated to send CIP a copy, and CIP
`
`catalogers use the newly received publication to verify and update data in the
`
`original CIP record. The local note in Field 955 of the MARC record informs me
`
`of the cataloging process dates and indicates the CIP record was completed on “5-
`
`26-94” (i.e., May 26, 1994) and verified on “12-01-94” (i.e., Dec. 1, 1994).
`
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`28.(cid:1) Field 050 of the MARC Record (Appendix H) and the LC
`
`classification field of the Bibliographic record (Appendix I) show that the
`
`Handbook of Optics has a Library of Congress Classification (LCC) number of
`
`“QC369 .H35 1995,” and QC369 represents the class number for “Optics. Light,”
`
`while “H35” is the author number based on the first word of this title, “handbook.”
`
`Field 082 shows the book has a Dewey Decimal Classification (DDC) number of
`
`“535,” which represents the class number for “Light and related radiation.” Two
`
`subject headings in Field 650s indicate this book is about “Optics” and “Optical
`
`instruments,” and subfield v “Handbooks, manuals, etc.” indicates that handbook is
`
`the publication format. Field 300 shows this title consists of four volumes, and
`
`Field 505, the contents note, lists the title of each volume. Field 991 is a local note
`
`indicating that the Handbook of Optics has a call number of “QC369 .H35 1995”
`
`and is part of the General Collection. The MARC record makes the Handbook of
`
`Optics (Appendix G) searchable in the Library of Congress online catalog. Users
`
`interested in optics or optical instruments would be able to search for and retrieve
`
`this book by the subject areas represented by the LCC number and the DDC
`
`number, and by the subject headings in Field 650s. They could also find this book
`
`by ISBN and title.
`
`29.(cid:1) Based on the information above, it is my opinion that the HANDBOOK
`
`OF OPTICS, vol. II, 2nd ed. (Appendix G) is a book that has been made available by
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`the Library of Congress, meaning that anyone who was interested in the topic
`
`would be able to search for and access the Handbook of Optics.
`
`b.(cid:1) Library of Congress – Date Stamp
`
`30.(cid:1) The copyright page of the Handbook of Optics in Appendix G bears a
`
`stamp of “LIBRARY OF CONGRESS FEB 08 1995 COPYRIGHT OFFICE” that
`
`indicates the date when the Library of Congress received the physical volume. The
`
`stamp has the appearance and distinctive characteristics of a typical check-in date
`
`stamp utilized by libraries to indicate the date a particular volume was received by
`
`the library. While the MARC record does not indicate when the Handbook of
`
`Optics was added to the Library of Congress collection, this date stamp on the
`
`copyright page shows this volume was received by the Copyright Office on “Feb
`
`08 1995.” Because Field 955 of the MARC record shows that the cataloging record
`
`was verified on Dec. 1, 1994, adding this volume, Handbook of Optics, to the
`
`collection would not have involved the creation of a new cataloging record.
`
`Instead, the existing record would have been updated and this process would not
`
`have taken a lot of time. However, no data in the MARC or Bibliographic record
`
`indicates how soon this volume was delivered from the Copyright Office to the
`
`Cataloging Unit for cataloging and processing. Based on my understanding of the
`
`ordinary and customary cataloging and processing practices of libraries and
`
`considering the workload at the Library of Congress, my conservative estimate is
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`that it would not take more than one year for this volume to become available to
`
`the public, that is, the Handbook of Optics would have been available to the public
`
`by February 8, 1996.
`
`c.(cid:1) United States Copyright – Copyright Registration
`
`31.(cid:1) Appendix J is a true and accurate copy of the copyright registration
`
`record obtained from the Library of Congress. I obtained Appendix J by first
`
`accessing the http://www.copyright.gov/ website, selecting the hyperlink “Search
`
`Copyright Records,” and performing a search by the title, “Handbook of optics,” to
`
`retrieve the record. I personally identified and located this record, which experts in
`
`my field would reasonably rely upon when forming their opinions. The copyright
`
`record shows that the Handbook of optics: vol. 2, devices measurements, and
`
`properties was sponsored by the Optical Society of America and Michael Bass was
`
`the Editor in Chief. The 2nd edition of vol. 2 has an imprint date of 1995.
`
`32.(cid:1) The date of creation field of Appendix J shows “1994” as the creation
`
`date, the date of publication field shows “1994-10-04” (i.e., Oct. 4, 1994) as the
`
`publication date, and the registration number/date field shows “TX0003992602/
`
`1995-02-08” as the date when the copyright registration number was assigned.
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`33.(cid:1) Based on the “Feb. 8, 1995” date stamp on the copyright page of
`
`Appendix G, the copyright record of Appendix J, and my understanding of the
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`ordinary and customary cataloging and processing practices of libraries, it is my
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`opinion that the Handbook of Optics (Appendix G) would have been publicly
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`available at the Library of Congress no later than Feb. 8, 1996, a year after the
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`volume was received by the Copyright Office.
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`Appendix K
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`34.(cid:1) Appendix K is a true and correct copy of the portions of the book
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`Polymer Optics Design, Fabrication, and Materials containing “Polymer optics: a
`
`manufacturer’s perspective on the factors that contribute to successful programs”
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`by Beich et al. (“Beich”). I made this copy on June 15, 2018 during my personal
`
`visit to the Library of Congress. When I was originally asked to prepare this
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`declaration, I searched WorldCat for “Polymer Optics Design, Fabrication, and
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`Materials” and identified the Library of Congress as one of the libraries that hold
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`this monograph. I then searched the Library of Congress online catalog to confirm
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`the holdings information. The search results informed me that the Library of
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`Congress provides access to Polymer Optics Design, Fabrication, and Materials,
`
`which contains Beich.
`
`35.(cid:1) Appendix K is a true and correct copy of the portions of Polymer
`
`Optics Design, Fabrication, and Materials containing Beich. I made this copy on
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`June 15, 2018, while the book was in my possession at the Library of Congress. I
`
`obtained Appendix K by personally scanning the front matter (the front cover, the
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`title page, the copyright page, the table of contents, and preface), the Beich article
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`that appears from pages 778805-1 to 77805-9, and the back cover of the book.
`
`a.(cid:1) Library of Congress – MARC and Bibliographic Records
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`36.(cid:1) Appendix L is a true and correct copy of the MARC record for
`
`Polymer Optics Design, Fabrication, and Materials, which contains Beich
`
`(Appendix K). I retrieved the MARC record from the online catalog of the Library
`
`of Congress after searching for the book title “Polymer Optics Design, Fabrication,
`
`and Materials.” I personally identified and located this record, which experts in my
`
`field would reasonably rely upon when forming their opinions.
`
`37.(cid:1) Appendix M is a true and correct copy of the Bibliographic record
`
`for Polymer Optics Design, Fabrication, and Materials, which contains Beich
`
`(Appendix K). I retrieved the Bibliographic record from the online catalog of the
`
`Library of Congress, which experts in my field would reasonably rely upon when
`
`forming their opinions.
`
`38.(cid:1) Field 245 of the MARC record (Appendix L) and the title of the
`
`Bibliographic record (Appendix M) identify the book title as “Polymer optics
`
`design, fabrication, and materials.” Field 260 of the MARC record (Appendix L)
`
`and the published/created field of Bibliographic record (Appendix M) show that
`
`Polymer Optics Design, Fabrication, and Materials, which contains Beich, was
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`published by SPIE in Bellingham, WA in 2010. Field 010 shows the Library of
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`Congress control number as “2011289200,” which matches the label bearing the
`
`same number on the copyright page of Appendix K. Field 490 shows that the book
`
`belongs to the series, “Proceedings of SPIE,” whose International Standard Serial
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`Number (ISSN) is presented in subfield x as “0277-786X,” which matches the
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`ISSN on the copyright page of Appendix K.
`
`39.(cid:1) Field 042 informs me that this record is a “lccopycat,” meaning it is a
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`copy cataloging record based on a record first created by another library. Field 040
`
`subfield a indicates the record originated from “CAI” which is the OCLC symbol
`
`for the National Research Council of Canada, according to the Directory of OCLC
`
`members (https://www.oclc.org/en/contacts/libraries.html). The first six digits of
`
`Field 008 and the dates in Field 955 of the MARC record (Appendix L) inform me
`
`that this LC record for the book was created on “110504” (i.e., May 4, 2011).
`
`While academic libraries typically make newly cataloged items available to the
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`public soon after the cataloging work is completed, usually within a week,
`
`processing of a newly cataloged item may take longer at the Library of Congress
`
`because of the large volume of materials for processing. My estimate is that the
`
`processing may take no more than three months, meaning Polymer Optics Design,
`
`Fabrication, and Materials, which contains Beich, would have been available to
`
`the public at the Library of Congress no later than August 2011, three months after
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`the cataloging record was completed.
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`40.(cid:1) Field 050 of the MARC Record (Appendix L) shows that this book
`
`has a Library of Congress Classification number of “QD381.9.O66 P6483 2010,”
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`and QD381.9.O66 represents the class number for “Optical properties.” Four
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`subject headings in Field 650s indicate this book is about “Polymers $x Optical
`
`properties,” “Optical materials $x Design and construction,” “Optical films,” and
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`“Optical coatings,” with subfield v “Congresses” indicating these topics were
`
`presented at a conference. This MARC record makes the book that contains Beich
`
`(Appendix K) searchable in the Library of Congress online catalog. Interested
`
`users would be able to search for and retrieve this book by the subject areas
`
`represented by the LC classification number and by the subject headings in Field
`
`650s. They could also find the book by its title, ISBN, editors, and SPIE, the
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`Society of Photo-Optical Instrumentation Engineers.
`
`41.(cid:1) Based on the information above, it is my opinion that Polymer Optics
`
`Design, Fabrication, and Materials, which contains Beich (Appendix K), is a
`
`book 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 this book and
`
`access the Beich article at the Library of Congress.
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`b.(cid:1) Library of Congress – Bindery Date Indication
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`42.(cid:1) The back cover of Polymer Optics Design, Fabrication, and Materials
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`(p.20 in Appendix K) bears a sticker with a date “8/30/2011” that indicates the
`
`bindery date of this volume. It supports my opinion that this publication would
`
`have been available to the public in August 2011 at the Library of Congress.
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`c.(cid:1) United States Copyright – Copyright Registration
`
`43.(cid:1) Appendix N is a true and accurate copy of the copyright registration
`
`record obtained from the Library of Congress that confirms the publication of
`
`Polymer Optics Design, Fabrication, and Materials, which contains Beich. I
`
`obtained Appendix N by first accessing the http://www.copyright.gov/ website,
`
`selecting the hyperlink “Search Copyright Records,” and performing a search by
`
`the title, “Polymer optics design, fabrication, and materials,” to retrieve the record.
`
`I personally identified and located this record, which experts in my field would
`
`reasonably rely upon when forming their opinions. The title field includes a note
`
`“Published: 2010-08-12. Issue: vol. 7788, 01-02 August 2010” and the registration
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`number/date shows “TX0007236151/ 2010-10-12,” meaning the copyright
`
`registration number was assigned on Oct. 12, 2010.
`
`44.(cid:1) Based on the record creation date in the MARC record (Appendix L),
`
`the LCCN sticker on the copyright page of Appendix K, the bindery date sticker
`
`on the back cover of Appendix K, the date information on the copyright record of
`
`Appendix N, and my understanding of the ordinary and customary cataloging and
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