UNITED STATES PATENT AND TRADEMARK OFFICE
`
`____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________________
`
`GOOGLE LLC
`Petitioner
`
`v.
`
`UNILOC 2017 LLC
`Patent Owner
`____________________
`
`Patent No. 7,012,960
`____________________
`
`DECLARATION OF DR. INGRID HSIEH-YEE
`
`Page 1 of 130
`
`GOOGLE EXHIBIT 1017
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`V.
`
`
`INTRODUCTION .......................................................................................1
`I.
`II. MATERIALS CONSIDERED .....................................................................2
`III. BACKGROUND AND QUALIFICATIONS ..............................................6
`IV. EXHIBIT 1005 (KEESMAN) .................................................................... 12
`A.
`British Library Records .................................................................... 14
`B.
`British Library Date Stamps ............................................................. 17
`C.
`Public Availability Date Letter Issued by the British Library ........... 17
`D. Actual usage of Keesman ................................................................. 20
`E.
`Summary of Findings Regarding Keesman ...................................... 20
`EXHIBIT 1006 (NERI) .............................................................................. 23
`A.
`British Library Records .................................................................... 25
`B.
`British Library Date Stamps ............................................................. 28
`C.
`Public Availability Date Letter Issued by the British Library ........... 28
`D. Actual usage of Neri ........................................................................ 30
`E.
`Summary of Findings Regarding Neri .............................................. 30
`VI. EXHIBIT 1018 (MITCHELL) ................................................................... 33
`A.
`Library of Congress – Bibliographic and MARC Records ............... 34
`B.
`Library of Congress – Date Stamp ................................................... 38
`C.
`Actual Usage.................................................................................... 39
`D.
`Summary of Findings Regarding Mitchell ....................................... 40
`VII. CONCLUSION.......................................................................................... 42
`
`
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`
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`i
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`Page 2 of 130
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`I, Ingrid Hsieh-Yee, Ph.D., do hereby declare as follows:
`
`I.
`
`INTRODUCTION
`
`1.
`
`I have been retained by Google, LLC (“Google”) as independent expert
`
`consultant in this Inter Partes Review (“IPR”) proceeding before the United States
`
`Patent and Trademark Office (“PTO”) regarding U.S. Patent No. 7,012,960 (“the
`
`’960 patent”).
`
`2.
`
`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.
`
`
`
`
`
`
`
`
`
`1
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`Page 3 of 130
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`

`

`II.
`
`MATERIALS CONSIDERED
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`3.
`
`In the preparation of this declaration, I have reviewed the exhibits
`
`referenced below, each of these is a type of material that experts in my field would
`
`reasonably rely upon when forming their opinions:
`
`(1) Keesman, G., Hellinghuizen, R., Hoeksema, F., & Heideman, G.,
`
`(“Keesman”), “Transcoding of MPEG bitstreams,” Signal
`
`Processing: Image Communication, vol. 8, no. 6 (September 1996),
`
`pp. 481-500, obtained from the British Library, Ex. 1005;
`
`(2) Bibliographic
`
`record
`
`for
`
`Signal
`
`Processing:
`
`Image
`
`Communication, whose vol. 8, no. 6 contains Keesman, available at
`
`the
`
`online
`
`catalog
`
`of
`
`the
`
`British
`
`Library
`
`at
`
`http://explore.bl.uk/BLVU1:LSCOP-ALL:BLL01009876007,
`
`accessed and obtained on December 12, 2019, Appendix 1005-A;
`
`(3) MARC
`
`record
`
`for
`
`Signal
`
`Processing:
`
`Image
`
`Communication, whose vol. 8, no. 6 contains Keesman, available at
`
`the
`
`online
`
`catalog
`
`of
`
`the
`
`British
`
`Library
`
`at
`
`http://explore.bl.uk/BLVU1:LSCOP-ALL:BLL01009876007
`
`(select MARC display to view the MARC record), accessed and
`
`obtained on December 12, 2019, Appendix 1005-B;
`
`
`
`
`
`2
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`
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`Page 4 of 130
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`Public Availability Date Letter on Keesman, obtained from the
`
`(4)
`
`British Library, Appendix 1005-C;
`
`(5) Early citations of Keesman, Appendix 1005-D;
`
`(6) Neri, A., Russo, G., & Talone, P., (“Neri”), “Inter-block filtering
`
`and downsampling in DCT domain,” Signal Processing: Image
`
`Communication, vol. 6, no. 4 (August 1994), pp. 303-317, obtained
`
`from the British Library, Exhibit 1006;
`
`(7) Bibliographic
`
`record
`
`for
`
`Signal
`
`Processing:
`
`Image
`
`Communication, whose vol. 6, no. 4 contains Neri, available at the
`
`online
`
`catalog
`
`of
`
`the
`
`British
`
`Library
`
`at
`
`http://explore.bl.uk/BLVU1:LSCOP-ALL:BLL01009876007,
`
`accessed and obtained on December 12, 2019, Appendix 1006-A;
`
`(8) MARC
`
`record
`
`for
`
`Signal
`
`Processing:
`
`Image
`
`Communication, whose vol. 6, no. 4 contains Neri, available at the
`
`online
`
`catalog
`
`of
`
`the
`
`British
`
`Library
`
`at
`
`http://explore.bl.uk/BLVU1:LSCOP-ALL:BLL01009876007
`
`(select MARC display to view the MARC record), accessed and
`
`obtained on December 12, 2019, Appendix 1006-B;
`
`
`
`
`
`3
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`Page 5 of 130
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`

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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`Public Availability Date Letter on Neri, obtained from the British
`
`(9)
`
`Library, Appendix 1006-C;
`
`(10) Early citations of Neri, Appendix 1006-D;
`
`(11) Mitchell, J. L., Pennebaker, W. B., Fogg, C. E., & LeGall, D. J.,
`
`(“Mitchell”), MPEG VIDEO: COMPRESSION STANDARD, Chapman &
`
`Hall, 1996, obtained from the Library of Congress, Ex. 1018;
`
`(12) Bibliographic record for MPEG VIDEO: COMPRESSION STANDARD
`
`(“Mitchell”), available at the online catalog of the Library of
`
`Congress at https://lccn.loc.gov/96031124, accessed and obtained
`
`on August 28, 2019, Appendix 1018-A;
`
`(13) MARC record for MPEG VIDEO: COMPRESSION STANDARD
`
`(“Mitchell”), available at the online catalog of the Library of
`
`Congress
`
`at
`
`https://catalog.loc.gov/vwebv/staffView?searchId=19882&recPoin
`
`ter=0&recCount=25&searchType=2&bibId=1635594,
`
`accessed
`
`and obtained on August 28, 2019, Appendix 1018-B; and
`
`(14) Early citations of Mitchell, Appendix 1018-C.
`
`4.
`
`In forming the opinions expressed within this declaration, I have
`
`
`
`
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`4
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`Page 6 of 130
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`

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`considered:
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`(1) The documents listed above;
`
`(2) The reference materials cited herein; and
`
`(3) My own academic background and professional experiences, as
`
`described below.
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`
`
`
`
`
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`5
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`Page 7 of 130
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`III. BACKGROUND AND QUALIFICATIONS
`5. My complete qualifications and professional experience are described
`
`in my academic curriculum vitae, a copy of which is provided as Appendix A. The
`
`following is a brief summary of my relevant qualifications and professional
`
`experience.
`
`6.
`
`I am currently a Professor in the Department of Library and Information
`
`Science at the Catholic University of America. I have experience working in an
`
`academic library, a medical library, and a legislative library and have been a
`
`professor for more than 25 years. I hold a Ph.D. in Library and Information Studies
`
`from the University of Wisconsin-Madison and a Masters in Library and Information
`
`Studies from the University of Wisconsin-Madison.
`
`7.
`
`I am an expert on library cataloging and classification and have
`
`published two books on this subject, Organizing Audiovisual and Electronic
`
`Resources for Access: A Cataloging Guide (2000, 2006). I teach a variety of courses,
`
`including Cataloging and Classification, Advanced Cataloging and Classification,
`
`Organization of Internet Resources, Organization of Information, Digital Content
`
`Creation and Management, Internet Searches and Web Design, Information Literacy
`
`Instruction, Advanced Information Retrieval and Analysis Strategies, and The
`
`Information Professions in Society. My research interests cover cataloging and
`
`
`
`
`
`6
`
`
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`Page 8 of 130
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`

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`information organization, metadata,
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`retrieval,
`
`information
`
`classification,
`
`information architecture, digital collections, scholarly communication, user
`
`interaction with information systems, and others.
`
`8.
`
`I am fully familiar with a library cataloging encoding standard known
`
`as the “Machine-Readable Cataloging” standard, also known as “MARC,” which
`
`became the national standard for sharing bibliographic data in the United States by
`
`1971 and the international standard by 1973. MARC is the primary communications
`
`protocol for the transfer and storage of bibliographic metadata in libraries. Experts
`
`in my field would reasonably rely upon MARC records when forming their opinions.
`
`9.
`
`A MARC record is composed of 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: Machine-
`
`Readable Cataloging” (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, the physical volume and
`
`characteristics of a publication are recorded in Field 300, and topical subjects are
`
`recorded in the 650 fields.
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`
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`
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`7
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`Page 9 of 130
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`10. The Online Computer Library Center (OCLC)
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`largest
`
`is
`
`the
`
`bibliographic network of the world, with more than 453 million records and
`
`thousands of libraries from more than 100 countries. According to the “Third Article,
`
`Amended Articles of Incorporation of OCLC Online Computer Library Center,
`
`Inc.,” OCLC was created “to establish, maintain and operate a computerized library
`
`network and to promote the evolution of library use, of libraries themselves, and of
`
`librarianship, and to provide processes and products for the benefit of library users
`
`and libraries, including such objectives as increasing availability of library resources
`
`to individual library patrons and reducing the rate of rise of library per-unit costs, all
`
`for the fundamental public purpose of furthering ease of access to and use of the
`
`ever-expanding body of worldwide scientific, literary and educational knowledge
`
`and information.”1 (Appendix C).
`
`11. OCLC members can contribute original cataloging records in MARC
`
`to the system or derive cataloging records from existing records, an activity referred
`
`to as “copy cataloging.” When an OCLC participating institution acquires a work, it
`
`can create an original MARC record for the work in OCLC’s Connexion system (a
`
`
`1 The Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`Library Center, Inc. was last revised on November 30, 2016 and is available at
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf
`
`
`
`
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`8
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`Page 10 of 130
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`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 (i.e., copy cataloging).
`
`12. After a MARC record is created in Connexion, it also becomes
`
`searchable and viewable on WorldCat, which is a web portal to more than 10,000
`
`libraries worldwide. The record in WorldCat, however, is not presented in MARC
`
`fields. Instead, the data elements are labeled to help users interpret the record.
`
`13. WorldCat (http://www.worldcat.org) is “the world’s largest network of
`
`library content and services” and its features are summarized in “What is WorldCat”
`
`(http://www.worldcat.org/whatis/default.jsp). Through WorldCat, users can search
`
`for information in their local libraries and libraries around the world. WorldCat
`
`allows users to search for books, CDs, videos, and many new types of digital content,
`
`such as audiobooks, in many languages. Users can also retrieve research materials
`
`and article citations with links to their full text. After an item is retrieved, WorldCat
`
`helps users identify a library nearby that holds the item or all the libraries that hold
`
`the item. WorldCat is an efficient way to explore the content held by more than
`
`10,000 libraries around the world.
`
`
`
`
`
`9
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`14. Libraries create MARC records for works they acquire, including
`
`books, serials, motion pictures, and publications in other formats. The MARC
`
`records are searchable in library online catalogs and enable users to discover and
`
`access library collections. The cataloging of serials and the serial check-in process
`
`are discussed here to show how libraries usually provide access to newly received
`
`serial issues. According to the glossary of the RDA: Resource Description and
`
`Access cataloging standard, a serial is “a mode of issuance of a manifestation issued
`
`in successive parts, usually bearing numbering, that has no predetermined
`
`conclusion. A serial includes a periodical, monographic series, newspaper, etc.”
`
`Because the publisher of a serial makes new issues of the serial available
`
`successively, a customary cataloging practice is to create one bibliographic record
`
`for the entire serial, and the MARC serial record typically provides information on
`
`the beginning date and frequency of the serial, not the dates of individual issues. In
`
`other words, libraries typically do not create MARC records for individual issues of
`
`a serial. Instead, they rely on a serial check-in system to keep track of the receipt of
`
`new issues. A common check-in practice is to date stamp a new issue when it arrives.
`
`This practice has become automated since the late 1990s, and libraries now vary in
`
`how they share the receipt date of a new serial issue with the public. Some libraries
`
`use a date stamp, some affix a label to indicate the receipt date, some pencil in the
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`receipt date, and some do not provide the information to the public.
`
`
`
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`10
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
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`15. The serial check-in process usually takes less than an hour, and one of
`
`the steps involves placing a date stamp on the new issue to document the date the
`
`issue is checked in. After that, the holdings information of the serial is updated in
`
`the library’s catalog so that users know which issues are available for request or
`
`access. After serial check-in is completed, the new issue is placed on the shelf with
`
`the previous issues of the serial. Libraries with a public periodical room typically
`
`place new issues in the periodical room for easy user access. Because information
`
`presented in serials often reflects latest discovery, a general practice of libraries is to
`
`make new issues of serials available for user access soon after they are checked in,
`
`often on the date when serial check-in is completed, and usually no more than a week
`
`after serial check-in.
`
`16.
`
`I am personally familiar with many online catalogs, databases, and
`
`search engines. In preparing for this declaration I used authoritative information
`
`systems, including WorldCat (https://www.worldcat.org), the online catalog of the
`
`British Library (http://explore.bl.uk/primo_library/libweb/action/search.do), and
`
`Google Scholar (https://scholar.google.com) 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.
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`
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`Page 13 of 130
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`IV.
`
`EXHIBIT 1005 (KEESMAN)
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`17. Exhibit 1005 is a true and correct copy of “Transcoding of MPEG
`
`bitstreams” by Keesman et al., in Signal Processing: Image Communication, vol. 8,
`
`no. 6 (September 1996), pp. 481-500, which I obtained from the British Library,
`
`with the assistance of Wisconsin TechSearch (WTS), a document delivery service
`
`based at the University of Wisconsin-Madison. When I began preparing this
`
`declaration I searched “Transcoding of MPEG bitstreams”
`
`in WorldCat
`
`(https://www.worldcat.org) for records, and the search results informed me that the
`
`British Library held the journal that published Keesman. After that, I searched the
`
`online
`
`catalog
`
`of
`
`the
`
`British
`
`Library
`
`(http://explore.bl.uk/primo_library/libweb/action/search.do) by “Transcoding of
`
`MPEG bitstreams” for records, and the search results led me to the journal record
`
`that confirmed the British Library held the journal containing Keesman. I then asked
`
`WTS to obtain a scanned copy of Keesman and the front matter of the journal issue
`
`containing Keesman from the British Library for me. I received the scanned pages
`
`from the British Library on December 17, 2019. The pages include the cover page,
`
`copyright page, table of contents of the vol. 8, no. 6 (September 1996) issue of Signal
`
`Processing: Image Communication, and the Keesman article.
`
`18. Page 1 of Exhibit 1005 is the cover of the “Volume 8, No. 6, September
`
`1996” issue of Signal Processing Image Communication Theory, Techniques &
`
`12
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`Page 14 of 130
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`Applications. It shows the ISSN (International Standard Serial Number) of this
`
`journal is “0923-5965” and this issue (signified by “8(6)” in the top-right corner
`
`under the ISSN number, where “8” is for Volume 8 and “(6)” indicates No. 6)
`
`contains pages “475-568 (1996).” The cover shows the table of contents of this issue,
`
`including “Transcoding of MPEG bitstreams” by Keesman et al. that begins on page
`
`481 and ends on page 500. The cover also indicates that the journal is “A publication
`
`of the European Association for Signal Processing (EURASIP)” published by
`
`Elsevier. The cover shows a label of “(P) RU 45 – E(16)” that has the appearance of
`
`a shelfmark. Page 2 of Exhibit 1005 is the copyright page that shows Signal
`
`Processing: Image Communication is “published in one volume (six issues) a year”
`
`(under the “Membership and Subscription Information” heading near the middle-
`
`right of Page 2) and the vol. 8, no. 6 (September 1996) issue has a copyright date of
`
`“1996” with “Elsevier Science B.V.”, the journal publisher, as the copyright holder.
`
`Page 3 is the table of contents page of vol. 8, no. 6 (September 1996) of Signal
`
`Processing: Image Communication that presents the same content information as the
`
`cover and a date stamp of “The British Library … 22 AUG 1996.”
`
`19. Page 4 of Exhibit 1005 is the first page of Keesman that shows the title,
`
`authors, abstract and keywords of this article, and indicates the article was “received
`
`25 May 1995.” The bottom of this page shows the article has a “1996” copyright
`
`date with “Elsevier Science B.V.” as the copyright holder. The Keesman article is
`
`13
`
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`20 pages long, containing 23 figures and 12 references.
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`A. British Library Records
`20. Appendix 1005-A is a true and correct copy of the bibliographic record
`
`for Signal Processing: Image Communication whose vol. 8, no. 6 (September 1996)
`
`issue contains Keesman. I retrieved the record from the online catalog of the British
`
`Library by searching for the title of Keesman’s article, and the record includes a link
`
`to the journal Signal Processing: Image Communication. I personally identified,
`
`located, and obtained this bibliographic record, which experts in my field would
`
`reasonably rely upon when forming their opinion.
`
`21. Appendix 1005-A
`
`shows
`
`that
`
`“Signal processing.
`
`Image
`
`communication” is the title of this journal, “Image communication” is a variant title
`
`by which users can find this journal, and “European Association for Signal
`
`Processing” is the contributor. The record also shows that Elsevier of Amsterdam
`
`has been the publisher since 1989. The Shelfmark(s) field indicates the British
`
`Library owns two copies of this journal, one in “Document Supply” with a shelfmark
`
`of “8275.985600” and the other in the “Science, Technology & Business” Division
`
`with a shelfmark of “(P) RU 45 -E(16).” The “(P) RU 45 -E(16)” shelfmark matches
`
`the shelfmark on Page 1 of Exhibit 1005 (the cover of the vol. 8, no. 6 (September
`
`1996) issue containing Keesman.
`
`
`
`
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`14
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`22. Appendix 1005-B is a true and correct copy of the MARC record for
`
`Signal processing: Image communication whose vol. 8, no. 6 (September 1996)
`
`issue contains Keesman. The bibliographic record that I retrieved for this journal
`
`(Appendix 1005-A) has a link for “MARC display,” which brings up the MARC
`
`record. This is the type of records experts in my field would reasonably rely upon
`
`when forming their opinion.
`
`23. The first six digits of Field 008 in the MARC record (Appendix 1005-
`
`B) show that the serial record was created on “891003” (i.e., October 3, 1989). The
`
`code of “c19899999” following the record creation date in Field 008 means the
`
`journal is a continuing resource that began publication in 1989 and is an ongoing
`
`publication. Field 040 shows “Uk” is the original creator of this serial record.
`
`According to the MARC Codes for Organizations in the UK and Its Dependencies
`
`(http://www.bl.uk/bibliographic/pdfs/marc-codes-directory.pdf), “UK” is the code
`
`for the British Library.
`
`24. Field 245 of the MARC record (Appendix 1005-B) shows the title of
`
`this publication is “Signal processing. Image communication.” Field 246 shows
`
`“Image communication” is a variant title for this journal. Field 260 shows Elsevier
`
`of Amsterdam has been the publisher since 1989. Field 022 shows the journal’s ISSN
`
`is “0923-5965.” Field 362 shows the journal began published with “Vol. 1, no. 1
`
`
`
`
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`15
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`Page 17 of 130
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
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`(June 1989).” A Field 500 note indicates the journal is “a publication of the European
`
`Association for Signal Processing” and Field 710 presents this organization as an
`
`additional access point so that users can find this journal by the name of this
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`organization. Field 776 shows the journal is also available online, and “1879-2677”
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`is the ISSN of the online version of this journal. The title, ISSN (print version),
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`publisher, shelfmark of “(P) RU 45 – E(16)” and contributing organization match
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`the information presented on the cover (page 1) of Exhibit 1005.
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`25. Subject matters of this journal are represented by a Dewey Decimal
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`Classification number in Field 082 as “621.388,” which is the class number for the
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`“Television” class; by a British Library – Science reference information service
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`subject classification (blsrissc) number in Field 084 as “RU 45”; and by a Library of
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`Congress subject heading in Field 650 as “Image processing |v Periodicals,” (“|v” is
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`a form subdivision that indicates the format of the publication).
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`26. This MARC record (Appendix 1005-B) makes Signal Processing:
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`Image Communication, whose vol. 8, no. 6 contains Keesman, searchable in the
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`online catalog of the British Library. As a result, users interested in the topics
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`covered by this title are able to search for and retrieve this journal title by the Dewey
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`classification number and Library of Congress subject term. Users can also search
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`for this publication by its title, variant title and the contributing organization,
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`
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`European Association for Signal Processing.
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
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`B. British Library Date Stamps
`27. As I noted above, the cover of Exhibit 1005 has a shelfmark of “(P)
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`RU 45 – E(16)” and the table of contents page (Page 3 of Exhibit 1005) bears a date
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`stamp of “The British Library … 22 August 1996.” The stamp has the appearance
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`and distinctive characteristics of a typical check-in date stamp utilized by libraries
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`to indicate the date a particular publication was received by the library. As I noted
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`above, it is ordinary and regular practice for a library to maintain intake records,
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`including date stamping serial issues during the check-in process, updating the
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`holdings record and making a newly received serial issue available to the public in
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`the library shortly after the library receives and date stamps the issue, usually within
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`a week after serial check in. In this case, it is my understanding that the British
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`Library date stamped vol. 8, no. 6 of Signal Processing: Image Communication on
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`August 22, 1996, and shortly thereafter, would have made the issue accessible for
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`the public as early as on August 22, 1996, and no later than August 29, 1996.
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`C. Public Availability Date Letter Issued by the British Library
`28. Appendix 1005-C is a true and accurate copy of a Public Availability
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`Date (PAD) letter about Keesman that I received from the British Library on
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`December 17, 2019. This is the type of record experts in my field would reasonably
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`rely upon when forming their opinions. Appendix 1005-C includes a letter stating
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
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`that, regarding “Transcoding of MPEG bitstreams” by Keesman et al., the British
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`Library has two copies but only one of the copies “is available for inspection.” The
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`letter further states that “we can only give you the date of the one copy that is
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`currently available. We can confirm that the British Library Public Availability Date
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`(PAD) for one of the two copies held is the 21st of August 1996. This particular copy
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`of the item would have been available for public use from that date onwards.”
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`29. The PAD letter includes “a scan of the cover page and table of contents
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`page with date stamp” of vol. 8, no. 6 (September 1996) of Signal Processing: Image
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`Communication. The cover of this issue (page 3 of Appendix 1005-C) shows a label
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`of “21-AUG-1996 BLDSC Boston SPA” (i.e., August 21, 1996 at the British Library
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`Document Supply Center of the Boston Spa Branch) that includes the title of the
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`journal, the numbering of this particular issue, and a barcode followed by
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`“8275.985600,” which is the shelfmark of the copy held by the Document Supply
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`Center. The cover also shows the table of contents of vol. 8, no. 6, including
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`“Transcoding of MPEG bitstreams” by Keesman et al. that begins on page 481 and
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`ends on page 500. The cover also shows a label of “LOAN BAN expires 19 FEB
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`1997” that is placed above the publisher’s name. Based on my knowledge and
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`understanding of library cataloging and processing practice, I understand this stamp
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`to be a temporary access control practice to ensure that this title was not circulated
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`outside of the British Library for a limited period of time so that users could access
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`it at the Library. This type of short-term access control practice is used by libraries
`
`to manage access to heavily used materials. In this case, the time between the receipt
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`date (August 21, 1996) and the ban expiration date (February 19, 1997) would have
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`ensured that, for nearly six months, users would have access to this title at least in
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`the British Library.
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`30.
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`I have closely examined and compared Exhibit 1005, which I obtained
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`from the British Library with the assistance of WTS, and the cover and copyright
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`page included in the Public Availability Date letter of the British Library (Appendix
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`1005-C), and found them to have the same cover page and copyright page. The
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`shelfmark labels on these two copies inform me that Exhibit 1005 comes from the
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`copy held at the Science, Technology & Business Division of the British Library,
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`while Appendix 1005-C comes from the copy held by the Document Supply Center
`
`of the British Library. One difference is Exhibit 1005 has a date stamp of “22-AUG-
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`1996” while Appendix 1005-C has a date stamp of “21-AUG-1996.” The shelfmark
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`details match the information documented by the bibliographic and MARC records
`
`I discussed above (with reference to Appendices 1005-A and 1005-B) of Signal
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`Processing: Image Communication at the British Library and confirm that the
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`British Library has two copies of this journal. The two receipt dates of these copies
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`indicate that these copies of the issue of Signal Processing: Image Communication
`
`that contains Keesman were received by the British Library in August 1996.
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`
`D. Actual usage of Keesman
`31. Actual usage of a publication is reflected by the papers that make
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`reference to it. My research on Google Scholar has found 337 citations of Keesman,
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`including 25 citations published between 1997 and 1998, with the earliest citation
`
`published in February 1997. Appendix 1005-D presents these citations to Keesman
`
`to demonstrate early usage, further supporting my opinion that vol. 8, no. 6
`
`(September 1996) of Signal Processing: Image Communication (including Keesman
`
`contained therein) was publicly accessible in August 1996.
`
`E. Summary of Findings Regarding Keesman
`32.
`In view of the British Library records, British Library date stamps,
`
`MARC record, PAD letter, and the citation history of Keesman, it is my opinion that:
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`(a) Two copies of “Transcoding of MPEG bitstreams,” by Keesman et al.
`
`(Exhibit 1005) were received by the British Library on August 21 and
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`August 22, 1996, as reflected by the date stamps on these copies that
`
`indicate the dates when the British Library received copies of vol. 8,
`
`no. 6 of the physical journal containing Keesman.
`
`(b) MARC Record: This record shows that the record for this journal was
`
`first created on October 3, 1989, as a continuing resource, making it
`
`searchable in the online catalog of the British Library. As a result, users
`
`interested in the topics covered by this title are able to search for and
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`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 7,012,960
`
`retrieve this journal title by the Dewey classification number and
`
`Library of Congress subject term. Users can also search for this
`
`publication by its title, variant title and the contributing organization,
`
`European Association for Signal Processing.
`
`(c)
`
`PAD Letter: The PAD Letter from the British Library, and my
`
`knowledge and experience with the cataloging and processing practices
`
`of libraries inform my opinion that Signal Processing: Image
`
`Communication, which contains Keesman, was date stamped by the
`
`British Library on August 21, 1996 (the Document Supply Center copy)
`
`and August 22, 1996 (the Science, Technology & Business Division
`
`copy). The physical copies would have been available soon after serial
`
`check-in was completed. As the PAD Letter indicates, the copy held by
`
`the Document Supply Center would have been available for public
`
`access from “the 21st of August 1996.”
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`(d) Citation history: Keesman has been cited at least 337 times, including
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`25 citations published between 1997 and 1998, demonstrating the early
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`usage of this article.
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`(e) Taken together, these records and data inform my opinion that the
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`journal that contains Keesman is held by the British Library, and is
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`
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