UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`
`APPLE INC.,
`Petitioner
`
`v.
`
`MPH TECHNOLOGIES OY,
`Patent Owner
`
`––––––––––
`
`Case IPR2019-00821
`Patent 8,037,302
`––––––––––
`
`DECLARATION OF JAMES L. MULLINS, Ph.D.
`
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`Ex. 1013
`Apple v. MPH Techs. Oy
`IPR2019-00821
`
`
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`
`APPLE INC.,
`Petitioner
`
`v.
`
`MPH TECHNOLOGIES OY,
`Patent Owner
`
`––––––––––
`
`Case IPR2019-00821
`Patent 8,037,302
`––––––––––
`
`DECLARATION OF JAMES L. MULLINS, Ph.D.
`
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`Ex. 1013
`Apple v. MPH Techs. Oy
`IPR2019-00821
`
`
`
`I, James L. Mullins, Ph.D., hereby declare as follows:
`
`I.
`
`
`
`INTRODUCTION
`I have personal knowledge of the facts and opinions set forth in this
`1.
`
`declaration, I believe them to be true, and if called upon to do so, I would testify
`
`competently to them. I have been warned that willful false statements and the like
`
`are punishable by fine or imprisonment, or both.
`
`2.
`
`I am a retired academic librarian working as the founder and owner of
`
`the firm Prior Art Documentation Librarian Services, LLC, located at 106 Berrow,
`
`Williamsburg, VA 23188. Attached as Exhibit 1015 is a true and correct copy of
`
`my Curriculum Vitae describing my background and experience. Further
`
`information about my firm, Prior Art Documentation Librarian Services, LLC
`
`(PADLS), is available at www.priorartdoclib.com.
`
`3.
`
`I have been retained by Sterne, Kessler, Goldstein & Fox P.L.L.C. to
`
`investigate the authenticity and dates of public accessibility of certain documents
`
`for use in one or more inter partes review proceedings. For this service, I am being
`
`paid my usual hourly fee. My compensation in no way depends on the substance of
`
`my testimony or the outcome of the proceeding.
`
`II. BACKGROUND AND QUALIFICATIONS
`
`4.
`
`Since 2018 I have been serving as Dean of Libraries Emeritus and
`
`Esther Ellis Norton Professor Emeritus at Purdue University.
`
`
`
`- 1 -
`
`
`
`5.
`
`I was previously employed as follows:
`
`• Dean of Libraries and Professor & Esther Ellis Norton Professor,
`
`Purdue University, West Lafayette, IN, 2004-2017.
`
`• Assistant/Associate Director
`
`for Administration, Massachusetts
`
`Institute of Technology (MIT) Libraries, Cambridge, MA, 2000-2004.
`
`• University Librarian and Director, Falvey Memorial Library,
`
`Villanova University, Villanova, PA, 1996-2000.
`
`• Director of Library Services, Indiana University South Bend, South
`
`Bend, IN, 1978-1996.
`
`• Part-time instructor, School of Library and Information Science,
`
`Indiana University, Bloomington, IN, 1977-1996.
`
`• Associate Law Librarian, and associated titles, Indiana University
`
`School of Law, Bloomington, IN, 1974-1978.
`
`• Catalog Librarian, Assistant Professor, Georgia Southern College
`
`(now University), Statesboro, GA, 1973-1974.
`
`6.
`
`Over the course of my career as a librarian, instructor of library
`
`science, author of scholarly publications, and presenter at national and
`
`international conferences, I have had experience with catalog records and online
`
`library management systems built around Machine-Readable Cataloging (MARC)
`
`standards.
`
`
`
`- 2 -
`
`
`
`7.
`
`In the course of more than forty-four years as an academic librarian
`
`and scholar, I have been an active researcher. In my years as a librarian I have
`
`facilitated the research of faculty colleagues either directly or through providing
`
`and granting access to requisite print and/or digital materials and services at the
`
`universities where I worked. I have kept current on the professional library science
`
`literature and served on the editorial board of the most prominent library journal,
`
`College and Research Libraries. This followed service as the chair of the Research
`
`Committee of the Association of College and Research Libraries (ACRL), a
`
`division of the American Library Association (ALA). As an academic library
`
`administrator, I have had the responsibility of ensuring students were educated on
`
`identifying, locating, assessing, and integrating information garnered from library
`
`resources.
`
`III. PRELIMINARIES
`I am not a lawyer and I am not rendering an opinion on the legal
`8.
`
`question of whether a particular document is, or is not, a “printed publication”
`
`under the law.
`
`9.
`
`I am, however, rendering my expert opinion on the authenticity of the
`
`documents referenced herein and on when and how these documents were
`
`disseminated or otherwise made available to the extent that persons interested and
`
`
`
`- 3 -
`
`
`
`ordinarily skilled in the subject matter or art, exercising reasonable diligence, could
`
`have located the documents in the late 1990s.
`
`10.
`
`I understand that an item is considered authentic if there is sufficient
`
`evidence to support a finding that the item is what it is claimed to be. I am also
`
`informed that authenticity can be established based on the contents of the
`
`documents themselves, such as the appearance, content, substance, internal
`
`patterns, or other distinctive characteristics of the item, taken together with all of
`
`the circumstances.
`
`11.
`
`I understand that a printed publication qualifies as 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 reasonable diligence.
`
`12. 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., 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 customary
`
`indexing is indexing according to subject matter category. I understand that, even
`
`
`
`- 4 -
`
`
`
`if access to a library is restricted, a printed publication that has been cataloged and
`
`indexed therein is publicly accessible so long as 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 indexing of an abstract for the printed publication, is sufficient
`
`to render the printed publication publicly accessible.
`
`13.
`
`I also 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.
`
`A. MATERIALS CONSIDERED
`In forming the opinions expressed in this declaration, I have reviewed
`14.
`
`the documents and appendices referenced herein. These materials are records
`
`created in the ordinary course of business by publishers, libraries, indexing
`
`services, and others. From my years of experience, I am familiar with the process
`
`for creating many of these records, and I know that these records are created by
`
`people with knowledge of the information contained in the record. Further, these
`
`records are created with the expectation that researchers and other members of the
`
`public will use them. All materials cited in this declaration and its appendices are
`
`
`
`- 5 -
`
`
`
`of a type that experts in my field would reasonably rely upon and refer to in
`
`forming their opinions.
`
`B.
`15.
`
`PERSONS OF ORDINARY SKILL IN THE ART
` I am told by counsel that the subject matter of this proceeding relates
`
`to secure forwarding of messages in a telecommunications network.
`
`16.
`
`I understand 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.
`
`17.
`
`I have been informed by counsel that persons of ordinary skill in this
`
`subject matter or art would have had at least a bachelor’s (B.S.) degree in
`
`Computer Science, Computer Engineering, Electrical Engineering, or an equivalent
`
`field, as well as at least 2-5 years of academic or industry experience in the field of
`
`Internet security.
`
`18.
`
`In 2002 and 2003, such a person would have had access to a vast array
`
`of print resources regarding secure network communications, access to reference
`
`librarians (e.g., at universities), and access to a fast-changing set of online
`
`resources.
`
`
`
`- 6 -
`
`
`
`C. LIBRARY CATALOG RECORDS
`19. Some background on MARC (“Machine-Readable Cataloging”)
`
`formatted records, Online Computer Library Center, Inc. (“OCLC”), and WorldCat
`
`is helpful to understand the library catalog records discussed in this declaration. I
`
`am fully familiar with the library cataloging standard known as the MARC
`
`standard, which is an industry-wide standard method of storing and organizing
`
`library catalog information.1 MARC practices have been consistent since the
`
`MARC format was developed by the Library of Congress in the 1960s, and by the
`
`early 1970s they became the U.S. national standard for disseminating bibliographic
`
`data. By the mid-1970s, MARC format became the international standard, and this
`
`preeminence persists through the present. A MARC-compatible library is one that
`
`has a catalog consisting of individual MARC records for each of its items. Today,
`
`MARC is the primary communications protocol for the transfer and storage of
`
`bibliographic metadata in libraries.2 The MARC practices discussed below were in
`
`place during the 1998 timeframe relevant to the documents referenced herein.
`
`1 The full text of the standard is available from the Library of Congress at
`
`http://www.loc.gov/marc/bibliographic/ (Attachment 1F) (last visited March 23,
`
`2019).
`
`2 Almost every major library in the world is MARC-compatible. See, e.g., MARC
`
`Frequently
`
`Asked
`
`Questions
`
`(FAQ),
`
`LIBRARY
`
`OF
`
`CONGRESS,
`
`
`
`- 7 -
`
`
`
`20. Similarly, OCLC practices have been consistent since the 1970s
`
`through the present, and the OCLC practices discussed below were in place during
`
`the 1998 timeframe relevant to the documents referenced herein. 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 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.”3 Among other services, OCLC and its members are responsible
`
`https://www.loc.gov/marc/faq.html (Attachment 1G) (last visited March 23, 2019)
`
`(“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 ago. It provides the mechanism by which computers exchange, use, and
`
`interpret bibliographic information, and its data elements make up the foundation
`
`of most library catalogs used today.”). MARC is the ANSI/NISO Z39.2-1994
`
`(reaffirmed 2009) standard for Information Interchange Format.
`
`3 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`Library Center, Incorporated (last visited March 23, 2019 and available at
`
`
`
`- 8 -
`
`
`
`for maintaining the WorldCat database (http://www.worldcat.org/), used by
`
`independent and institutional libraries throughout the world.
`
`21. Libraries worldwide used the machine-readable MARC (Machine-
`
`Readable Cataloging) format for catalog records. MARC formatted records have
`
`provided a variety of subject access points based on the content of the document
`
`being cataloged. 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. For example,
`
`MARC Field 610 identifies corporate names used as subjects and MARC Field 650
`
`identifies topical terms. A researcher could discover material relevant to his or her
`
`topic by a search using the terms employed in the MARC Fields 6XX; 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 the
`
`publication date is recorded in field 260 under the subfield “c.” If a work is a
`
`periodical, then its publication frequency is recorded in field 310, and the
`
`publication dates (e.g., the first and last publication) are recorded in field 362,
`
`which is also referred to as the enumeration/chronology field.
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf
`
`(Attachment 1H)
`
`
`
`- 9 -
`
`
`
`22. The MARC Field 040, subfield “a,” identifies the library or other
`
`entity that created the original catalog record for a given document and transcribed
`
`it into machine-readable form. The MARC Field 008 identifies the date when this
`
`first catalog record was entered on the file. This date persists in subsequent uses of
`
`the first catalog record, although newly-created records for the same document,
`
`separate from the original record, will show a new date.
`
`23. 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.”4 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. Thus, a researcher
`
`might discover material relevant to his or her topic by a search using the terms
`
`employed in the MARC Fields 6XX.
`
`4 See http://www.loc.gov/marc/bibliographic/bd6xx.html. (Attachment 1I) (visited
`
`March 23, 2019)
`
`
`
`- 10 -
`
`
`
`24. The 9XX fields are not part of the standard MARC 21 format.5 OCLC
`
`has defined the following 9XX fields for use by the Library of Congress and for
`
`internal OCLC use: 936, 938, 956, 987, 989, and 994. 955 is used by the Library of
`
`Congress to track the progress of a new acquisition from the time it is submitted
`
`for Cataloging in Publication (CIP) review until it is published, fully cataloged,
`
`and available for use within the Library of Congress. Fields 901-907, 910, and
`
`945-949 have been defined by OCLC for local use and will pass OCLC validation.
`
`Fields 905 or 910 are often used by an individual library for internal processing
`
`purposes, for the date of cataloging and the initials of the cataloger, for example.
`
`25. Further, MARC records include call numbers, which themselves
`
`include a classification number. For example, the 050 field is the “Library of
`
`Congress Call Number.”6 A defined portion of the Library of Congress Call
`
`Number is the classification number.7 Thus, included in the 050 field is a subject
`
`matter classification. Each item in a library has a single classification number. A
`
`5 See https://www.oclc.org/bibformats/en/9xx.html. (Attachment 1J) (visited March
`
`23, 2019)
`
`6 See http://www.loc.gov/marc/bibliographic/bd050.html. (Attachment 1K)
`
`(Visited March 23, 2019)
`
`7 See https://www.loc.gov/aba/publications/FreeLCC/freelcc.html#About
`
`(Attachment 1L)
`
`
`
`- 11 -
`
`
`
`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
`
`scenario, the MARC record includes a classification number that represents a
`
`subject matter classification.
`
`26. WorldCat is the world’s largest public online catalog, maintained by
`
`the Online Computer Library Center, Inc., or OCLC, and built with the records
`
`created by the thousands of libraries that are members of OCLC. OCLC has
`
`provided bibliographic and abstract information to the public based on MARC
`
`records through its OCLC WorldCat database. WorldCat requires no knowledge of
`
`MARC tags and codes, and does not require a log-in or password. WorldCat is
`
`easily accessible through the World Wide Web to all who wish to search it; there
`
`are no restrictions to become a member of a particular community, etc. The date a
`
`given catalog record was created (corresponding to the MARC Field 008) appears
`
`in some detailed WorldCat records as the Date of Entry, but not necessarily in all
`
`records. Whereas WorldCat records are widely available, the availability of MARC
`
`formatted records varies from library to library and when made available will be
`
`identified as MARC record or librarian/staff view.
`
`
`
`- 12 -
`
`
`
`27. When an OCLC member institution acquires a work, it creates a
`
`MARC record for this work in its computer catalog system as part of the ordinary
`
`course of its business. MARC records created at the Library of Congress have
`
`historically been tape-loaded daily or weekly into the OCLC database through a
`
`subscription to MARC Distribution Services. 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
`
`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 with access to the OCLC WorldCat database or through the Library of
`
`Congress.
`
`28. When an OCLC member institution creates a new MARC record,
`
`OCLC automatically supplies the date of creation for that record. The date of
`
`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 the item
`
`was first acquired or cataloged. Initially, field 005 of the MARC record is
`
`
`
`- 13 -
`
`
`
`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 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).
`
`29. 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
`
`libraries from duplicating labor. It also enhances the accuracy of MARC records.
`
`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).
`
`30. 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
`
`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
`
`
`
`- 14 -
`
`
`
`turnaround times of only a single day after publication. Libraries purchase a
`
`significant portion of their books directly from publishers themselves, which
`
`provide delivery on a similarly expedited schedule. In general, libraries make these
`
`purchases throughout the year as the books are published and 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
`
`weeks of publication.
`
`PERIODICAL PUBLICATIONS
`D.
`31. A library typically creates a catalog record for a periodical publication
`
`when the library receives its first issue. When the institution receives subsequent
`
`issues/volumes of the periodical, the issues/volumes are checked in (often using a
`
`date stamp), added to the institution’s holding records, and made available very
`
`soon thereafter – normally within a few days of receipt or (at most) within a few
`
`weeks of receipt.
`
`32. The initial periodicals record will sometimes not reflect all subsequent
`
`changes in publication details (including minor variations in title, etc.).
`
`E.
`
`PUBLICATIONS IN SERIES: CONFERENCE
`PROCEEDINGS/TECHNICAL REPORT PUBLICATIONS
`33. A library typically creates a MARC catalog record for a series of
`
`closely related publications, such as the proceedings of an annual conference or a
`
`technical report, when the library receives its first issue and assumes there will be
`
`
`
`- 15 -
`
`
`
`annual or succeeding issues/volumes/reports. When the institution receives
`
`subsequent issues/volumes/reports of the series, the issues/volumes/reports are
`
`checked in (sometimes using a date stamp), added to the institution’s holdings
`
`records, and made available very soon thereafter—normally within a few days of
`
`receipt or (at most) within a few weeks of receipt. The initial series record may not
`
`reflect all subsequent changes in publication details (including minor variations in
`
`title, etc.).
`
`F. OWNERSHIP AND DATE STAMP
`34. Every library sets its own practice or policy on whether or not to date
`
`stamp, but all will have an ownership stamp somewhere in the publication—
`
`typically on the cover page, verso of the cover page, or a designated page within
`
`the publication, sometimes even on the top, side, or bottom edge of the monograph
`
`or periodical. The timing of the ownership and date stamp can also vary from one
`
`library to another. The stamp can occur when the monograph or periodical is
`
`received in acquisitions after shipment to the library, or it can be at time of
`
`cataloging. Therefore, there could be instances when the date of receipt precedes
`
`the cataloging date.
`
`INDEXING
`
`G.
`35. 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
`
`
`
`- 16 -
`
`
`
`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. Date information for indexing
`
`entries is, however, often unavailable. This is especially true for online indices.
`
`36.
`
`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.
`
`37. 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.
`
`38. One such indexing service is SpringerLink, which provides researchers
`
`with
`
`access
`
`to
`
`millions
`
`of
`
`scientific
`
`documents
`
`from
`
`journals, books, series, protocols, reference works, and proceedings.8
`
`
`8 https://link.springer.com/ (Attachment 1M) (Last visited March 23, 2019)
`
`
`
`- 17 -
`
`
`
`IV. OPINION REGARDING AUTHENTICITY AND PUBLIC
`ACCESSIBILITY
`A. Vipul Gupta, et al., “Complete Computing”. Worldwide
`Computing and Its Applications – WWCA’98. Second
`International Conference, Tsukua, Japan, March 4-5, 1998.
`Proceedings: 174-189. Yoshifumi Masunaga, et al., editors.
`Lecture Notes in Computer Science, 1368. Springer-Verlag.
`(Gupta)
`Authentication
`1.
`39. As described above, Gupta is an article by Vipul Gupta, et al., titled
`
`“Complete Computing” published by Springer-Verlag in Worldwide Computing
`
`and Its Applications – WWCA’98, Second International Conference, Tsukua,
`
`Japan, March 4-5, 1998, Proceedings, pages 174-189, published by Springer-
`
`Verlag.
`
`40. Attachment 1A is a scan provided to me, at my request, on February
`
`8, 2019 by the Wisconsin TechSearch (WTS) from Cornell University Libraries.
`
`Attachment 1A includes scans of the front cover; the inside flyleaf to the back
`
`cover with the stamp of the Cornell University Libraries’ Engineering Library, the
`
`stamp having a date of July 21, 1998; the title page with Cornell University Library
`
`inventory bar code; the verso of the title page (copyright page) with ownership
`
`stamp plus handwritten in pencil the call number QA75.5 .W18x, 1998; the Table
`
`of Contents; and the Gupta article.
`
`41. Attachment 1B, Gupta, is also available digitally within SpringerLink:
`
`https://link-springer-com.ezproxy.lib.purdue.edu/chapter/10.1007/3-540-64216-
`- 18 -
`
`
`
`
`
`1_48. Attachment 1B is a download from SpringerLink I made on February 17,
`
`2019 through Purdue University Libraries. Paid access is available to Gupta
`
`through: https://link.springer.com/chapter/10.1007/3-540-64216-1_48.
`
`42. After comparing Attachment 1A and Attachment 1B, I saw no
`
`difference between the two. Having retrieved Attachment 1A and Attachment 1B
`
`on my own from reliable sources, a research library (Cornell University Libraries)
`
`and a research database (SpringerLink), which I and other librarians regularly use,
`
`I determined that Gupta is an authentic document and reflects a true and accurate
`
`copy of Gupta.
`
`2.
`43. Attachment 1A, received from Wisconsin TechSearch at my request,
`
`Public Accessibility
`
`includes a Cornell University Libraries ownership and date stamp of July 21, 1998.
`
`Based on my experience, I affirm this ownership stamp has the general appearance
`
`of ownership stamps that libraries have long affixed to items during processing. I
`
`do not see any indications or have any reason to believe this ownership label was
`
`made by anyone other than library personnel.
`
`44. As described above, WorldCat is the world’s largest public online
`
`catalog. WorldCat is maintained by OCLC and is comprised of records created by
`
`thousands of libraries that are members of OCLC. The WorldCat record would
`
`have been available soon after the date in the MARC 008 field, which for this
`
`
`
`- 19 -
`
`
`
`record would have been February 13, 1998. WorldCat provides a user-friendly
`
`interface for the public to use MARC records and requires no knowledge of
`
`MARC tags and codes to effectively search for references. WorldCat is easily
`
`accessible through the internet to all who wish to search it and there are no
`
`restrictions to a user’s ability to search for references within a particular field.
`
`45. Attachment 1C is a download from WorldCat for the Worldwide
`
`Computing and Its Applications – WWCA’98: Second International Conference
`
`publication. As I discuss above, WorldCat provides unmediated online access to
`
`bibliographic
`
`information
`
`to
`
`the public. Worldwide Computing and Its
`
`Applications – WWCA’98: Second International Conference could have been
`
`located on WorldCat by title; by editor, Y Masunaga; by series, Lecture Notes in
`
`Computer Science; and by subject: Electronic data processing – Congresses. The
`
`searches discussed above could have been performed anywhere in the world by
`
`anyone who accessed WorldCat or its predecessor First Search. Among the 301
`
`libraries identified as holding Worldwide Computing and Its Applications – the
`
`WWCA’98 is Cornell University Library.
`
`46. Attachment 1D is a download I made on February 13, 2019 from the
`
`Cornell University Libraries OPAC (online catalog). As I have experienced during
`
`my professional career, it was typical for a research library’s online catalog to
`
`make the document/book accessible when it was cataloged, in this instance, June
`
`
`
`- 20 -
`
`
`
`24, 1998. A researcher could have located Worldwide Computing and Its
`
`Applications – WWCA’98 by title; editor, Masunaga, Y. (Yoshifumi); and by
`
`subject, Electronic data processing – Congresses. It was shelved under the call
`
`number QA75.5 .W18x 1998.
`
`47. Attachment 1E is the MARC record for Worldwide Computing and Its
`
`Applications – WWCA’98 as retrieved from Cornell University Libraries OPAC.
`
`Cornell University Libraries has designated the 905 field (see 9XX field
`
`description above) to indicate date of cataloging. The 905 field in this record reads:
`905‡a 19980624120000.0
`905 Subfield: “a 19980624…” indicates it was cataloged on June 24,
`
`48.
`
`
`
`1998. This would be consistent with the date stamped on the book, July 21, 1998,
`
`since it would take time for labeling and for transport to the Engineering Library.
`
`Document 1 would have been accessible to the public no later than end of July
`
`1998.
`
`3.
`49. Based on the evidence presented here—publication in the widely held
`
`Conclusion
`
`publication, online indexing, and library processing and cataloging—it is my
`
`opinion that Gupta is an authentic document and was publicly accessible no later
`
`than the end of July 1998.
`
`
`
`- 21 -
`
`
`
`V.
`
`CONCLUSION
`
`50.
`
`I reserve the right to supplement my opinions in the future to respond
`
`to any arguments that Patent Owner or its expert(s) may raise and to take into account
`
`new information as it becomes available to me.
`
`51.
`
`I declare that all statements made herein of my own knowledge are true,
`
`and that all statements made on information and belief are believed to be true, and
`
`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 1 00 l.
`
`of Title 18 of the United States Code.
`
`52.
`
`Executed this 25‘" day of March 2019 in Williamsburg, Virginia.
`
` James L. Mullins, PhD
`
`
`
`
`
`
`
`
`
`
`
`
`
`ATTACHMENT 1A
`
`ATTACHMENT 1A
`
`
`
`CORNELL UNIVERSITY LiBRARY
`
`
`_lflfll|||IIWIllllllllllllllllllllI
`
`
`
`
`
`
`
`_--:M1chlham Tsukamom (Eda) I
`
`f
`
`
`
`
`
`
`
`
Accessing this document will incur an additional charge of $.
After purchase, you can access this document again without charge.
Accept $ Charge
Still Working On It
This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.
Give it another minute or two to complete, and then try the refresh button.
A few More Minutes ... Still Working
It can take up to 5 minutes for us to download a document if the court servers are running slowly.
Thank you for your continued patience.
This document could not be displayed.
We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.
Your account does not support viewing this document.
You need a Paid Account to view this document. Click here to change your account type.
Your account does not support viewing this document.
Set your membership
status to view this document.
With a Docket Alarm membership, you'll
get a whole lot more, including:
- Up-to-date information for this case.
- Email alerts whenever there is an update.
- Full text search for other cases.
- Get email alerts whenever a new case matches your search.
One Moment Please
The filing “” is large (MB) and is being downloaded.
Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.
Your document is on its way!
If you do not receive the document in five minutes, contact support at support@docketalarm.com.
Sealed Document
We are unable to display this document, it may be under a court ordered seal.
If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.
Access Government Site
