throbber

`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`MICROCHIP TECHNOLOGY, INC.,
`Petitioner
`
`v.
`
`HD SILICON SOLUTIONS LLC,
`Patent Owner
`
`Case IPR2021-01265
`U.S. Patent No. 7,870,404
`
`
`
`
`DECLARATION OF SYLVIA HALL-ELLIS, PH.D. IN SUPPORT OF
`PETITIONER’S PETITION FOR INTER PARTES REVIEW
`
`
`
`
`
`
`
`
`
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 001
`
`

`

`
`
`I, Sylvia D. Hall-Ellis, Ph.D., declare as follows:
`
`I.
`
`INTRODUCTION
`
`1. My name is Sylvia D. Hall-Ellis. I have been retained as an expert by
`
`Microchip Technology Inc. (“the Petitioner”), who I am informed is the Petitioner
`
`seeking for the Patent Trial and Appeal Board to institute inter partes review (IPR)
`
`proceeding.
`
`2.
`
`I have written this declaration at the request of the Petitioner to provide
`
`my expert opinion regarding the public availability of several publications, identified
`
`below. My Declaration sets forth my opinions in detail and provides the basis for
`
`my opinions regarding the public availability of these publications.
`
`3.
`
`I reserve the right to supplement or amend my opinions, and bases for
`
`them, in response to any additional evidence, testimony, discovery, argument, and/or
`
`other additional information that may be provided to me after the date of this
`
`Declaration.
`
`4.
`
`As of the preparation and signing of this declaration, many libraries
`
`across the nation are closed or permit only limited access due to the COVID-19 virus.
`
`However, were the libraries open, I would expect to be able to obtain paper copies
`
`of at least some of the documents in this declaration. I reserve the right to supplement
`
`my declaration when the libraries reopen to provide such information.
`
`5.
`
`I am being compensated for my time spent working on this matter at
`
`1
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 002
`
`

`

`
`
`my normal consulting rate of $325 per hour, plus reimbursement for any additional
`
`reasonable expenses. My compensation is not in any way tied to the content of this
`
`report, the substance of my opinions, or the outcome of this litigation. I have no
`
`other interests in this proceeding or with any of the parties.
`
`6.
`
`All of the materials that I considered and relied upon are discussed
`
`explicitly in this declaration.
`
`II. QUALIFICATIONS
`
`7.
`
`I am currently an Adjunct Professor in the School of Information at San
`
`José State University in San José, California. I obtained a Master of Library Science
`
`from the University of North Texas in 1972 and a Ph.D. in Library Science from the
`
`University of Pittsburgh in 1985. Over the last fifty years, I have held various
`
`positions in the field of library and information resources. I was first employed as a
`
`librarian in 1966 and have been involved in the field of library sciences since,
`
`holding numerous positions.
`
`8.
`
`I am a member of the American Library Association (ALA) and its
`
`Association for Library Collections & Technical Services (ALCTS) Division, and I
`
`served on the Committee on Cataloging: Resource and Description (which wrote the
`
`new cataloging rules) and as the chair of the Committee for Education and Training
`
`of Catalogers and the Competencies and Education for a Career in Cataloging
`
`Interest Group. I also served as the Chair of the ALCTS Division’s Task Force on
`
`2
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 003
`
`

`

`
`
`Competencies and Education for a Career in Cataloging. Additionally, I have served
`
`as the Chair for the ALA Office of Diversity’s Committee on Diversity, as a member
`
`of the REFORMA National Board of Directors, and as a member of the Editorial
`
`Board for the ALCTS premier cataloging journal, Library Resources and Technical
`
`Services. Currently I serve as a Co-Chair for the Library Research Round Table of
`
`the American Library Association.
`
`9.
`
`I have also given over one hundred presentations in the field, including
`
`several on library cataloging systems and Machine-Readable Cataloging (“MARC”)
`
`standards. My current research interests include library cataloging systems,
`
`metadata, and organization of electronic resources.
`
`10. My full curriculum vitae is attached hereto as Exhibit A.
`
`III. PRELIMINARIES
`
`A.
`
`Scope of Declaration and Legal Standards
`
`11.
`
`I am not an attorney and will not offer opinions on the law. I am,
`
`however, rendering my expert opinion on the authenticity of the documents
`
`referenced herein and on when and how each of these documents was disseminated
`
`or otherwise made available to the extent that persons interested and ordinarily
`
`skilled in the subject matter or art, exercising reasonable diligence, could have
`
`located the documents before the dates discussed below with respect to the specific
`
`documents.
`
`3
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 004
`
`

`

`
`
`12.
`
`I am informed by counsel 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 ordinary diligence.
`
`13. While I understand that the determination of public accessibility under
`
`the foregoing standard rests on a case-by-case analysis of the facts particular to an
`
`individual publication, I also understand that a printed publication is rendered
`
`“publicly accessible” if it is cataloged and indexed by a library such that a person
`
`interested in the relevant subject matter could locate it (i.e., I understand that
`
`cataloging and indexing by a library is sufficient, though there are other ways that a
`
`printed publication may qualify as publicly accessible). One manner of sufficient
`
`indexing is indexing according to subject matter category. I understand that the
`
`cataloging and indexing by a single library of a single instance of a particular printed
`
`publication is sufficient, even if the single library is in a foreign country. I
`
`understand that, even if access to a library is restricted, a printed publication that has
`
`been cataloged and indexed therein is publicly accessible so long as a presumption
`
`is raised that the portion of the public concerned with the relevant subject matter
`
`would know of the printed publication. I also understand that the cataloging and
`
`indexing of information that would guide a person interested in the relevant subject
`
`matter to the printed publication, such as the cataloging and indexing of an abstract
`
`4
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 005
`
`

`

`
`
`for the printed publication, is sufficient to render the printed publication publicly
`
`accessible.
`
`14.
`
`I understand that routine business practices, such as general library
`
`cataloging and indexing practices, can be used to establish an approximate date on
`
`which a printed publication became publicly accessible.
`
`B.
`
`Persons of Ordinary Skill in the Art
`
`15.
`
`I am told by counsel that the subject matter of this proceeding generally
`
`relates to reducing the power consumed by processors and voltage regulators in a
`
`computer system.
`
`16.
`
`I have been informed by counsel that a “person of ordinary skill in the
`
`art at the time of the invention” (POSITA) 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 am told by counsel that a POSITA as of October 23, 2000, would have
`
`possessed a bachelor’s degree in electrical engineering, computer engineering, or
`
`computer science, with two years of experience in computer system development,
`
`including experience in developing power/voltage regulation systems for portable
`
`devices. A person could also have qualified as a POSITA with some combination
`
`of (1) more formal education (such as a master’s of science degree) and less technical
`
`5
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 006
`
`

`

`
`
`experience or (2) less formal education and more technical or professional
`
`experience in the fields listed above. I have been further informed by counsel that a
`
`POSITA would have been familiar with and able to understand the information
`
`known in the art relating to these fields, including the publications discussed in this
`
`declaration. I have been further informed by counsel that a POSITA would have
`
`been familiar with and able to understand the information known in the art relating
`
`to these fields, including the publication discussed in this declaration.
`
`C. Use of Authoritative Databases
`
`18.
`
`In preparing this report, I used authoritative databases, such as the
`
`OCLC bibliographic database and the Library of Congress Online Catalog, to
`
`confirm citation details of the publication discussed.
`
`19. A researcher may discover material relevant to his or her topic in a
`
`variety of ways. One common means of discovery is to search for relevant
`
`information in an index of periodical and other publications. Having found relevant
`
`material, the researcher will then normally obtain it online, look for it in libraries, or
`
`purchase it from the publisher, a bookstore, a document delivery service, or other
`
`provider. Sometimes, the date of a document’s public accessibility will involve both
`
`indexing and library date information.
`
`20.
`
`Indexing services use a wide variety of controlled vocabularies to
`
`provide subject access and other means of discovering the content of documents.
`
`6
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 007
`
`

`

`
`
`The formats in which these access terms are presented vary from service to service.
`
`21. Online indexing services and digital repositories 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.
`
`D.
`
`Summary of Opinions
`
`22.
`
`I am informed by counsel that the priority date for the patent at issue is
`
`October 23, 2000. As I will explain below, it is my opinion that the printed
`
`publication discussed in my Declaration was publicly accessible more than one year
`
`before the October 23, 2000, priority date.
`
`IV. LIBRARY CATALOGING PRACTICES
`
`A. MARC Records and OCLC
`
`23.
`
`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. MARC was first developed in the 1960’s by
`
`the Library of Congress. A MARC-compatible library is one that has a catalog
`
`consisting of individual MARC records for works made available at that library.
`
`24. Since at least the early 1970s and continuing to the present day, MARC
`
`has been the primary communications protocol for the transfer and storage of
`
`7
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 008
`
`

`

`
`
`bibliographic metadata in libraries.1 As explained by the Library of Congress:
`
`You could devise your own method of organizing the bibliographic
`
`information, but you would be isolating your library, limiting its options, and
`
`creating much more work for yourself. Using the MARC standard prevents
`
`duplication of work and allows libraries to better share bibliographic
`
`resources. Choosing to use MARC enables libraries to acquire cataloging data
`
`that is predictable and reliable. If a library were to develop a “home-grown”
`
`system that did not use MARC records, it would not be taking advantage of
`
`an industry-wide standard whose primary purpose is to foster communication
`
`of information.
`
`Using the MARC standard also enables libraries to make use of commercially
`
`available library automation systems to manage library operations. Many
`
`systems are available for libraries of all sizes and are designed to work with
`
`the MARC format. Systems are maintained and improved by the vendor so
`
`that libraries can benefit from the latest advances in computer technology. The
`
`
`1 A complete history of the development of MARC can be found in MARC: Its
`
`History and Implications by Henrietta D. Avram (Washington, DC: Library of
`
`Congress, 1975) and available online from the Hathi Trust
`
`(https://babel.hathitrust.org/cgi/pt?id=mdp.39015034388556;view=1up;seq=1; last
`
`visited July 15, 2021).
`
`8
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 009
`
`

`

`
`
`MARC standard also allows libraries to replace one system with another with
`
`the assurance that their data will still be compatible.
`
`Why
`
`Is
`
`a MARC Record Necessary? LIBRARY OF CONGRESS,
`
`http://www.loc.gov/marc/umb/um01to06.html#part2 (last visited July 15, 2021).
`
`25. Thus, almost every major library in the world is MARC-compatible.
`
`See, e.g., MARC Frequently Asked Questions (FAQ), LIBRARY OF CONGRESS,
`
`https://www.loc.gov/marc/faq.html (last visited July 15, 2021) (“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 fifty 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 standard
`
`(reaffirmed in 2016) for Information Interchange Format. The full text of the
`
`standard
`
`is
`
`available
`
`from
`
`the
`
`Library
`
`of
`
`Congress
`
`at
`
`http://www.loc.gov/marc/bibliographic/ (last visited July 15, 2021).
`
`26. 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 follow. See, e.g.,
`
`http://www.loc.gov/marc/umb/um07to10.html
`
`(last visited July 15, 2021);
`
`http://www.loc.gov/marc/bibliographic/ (last visited July 15, 2021). For example, a
`
`9
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 010
`
`

`

`
`
`work’s title is recorded in field 245, the primary author of the work is recorded in
`
`field 100, a work’s International Standard Book Number (“ISBN”) is recorded in
`
`field 020, a work’s International Standard Serial Number (“ISSN”) is recorded in
`
`field 022, and the publication date is recorded in field 260 under the subfield “c.”
`
`Id.2 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. See
`
`http://www.loc.gov/marc/bibliographic/bd3xx.html (last visited July 15, 2021).3
`
`
`2 In some MARC records, field 264 is used rather than field 260 to record
`
`publication information. See http://www.loc.gov/marc/bibliographic/bd264.html
`
`(last visited July 15, 2021) (“Information in field 264 is similar to information in
`
`field 260 (Publication, Distribution, etc. (Imprint)). Field 264 is useful for cases
`
`where the content standard or institutional policies make a distinction between
`
`functions”).
`
`3 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
`
`turnaround times of only a single day after publication. Libraries purchase a
`
`significant portion of the balance 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
`
`10
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 011
`
`

`

`
`
`27. The library that initially created the MARC record is reflected in field
`
`040 in subfield “a” with that library’s unique library code. See, e.g.,
`
`http://www.loc.gov/marc/umb/um07to10.html
`
`(last visited July 15, 2021);
`
`http://www.loc.gov/marc/bibliographic/ (last visited July 15, 2021). Once a MARC
`
`record for a particular work is originally created by one library, other libraries can
`
`use that original MARC record to then create their own MARC records for their own
`
`copies of the same work. These other libraries may modify or add to the original
`
`MARC record as necessary to reflect data specific to their own copies of the work.
`
`However, the library that created the original MARC record would still be reflected
`
`in these modified MARC records (corresponding to other copies of the same work
`
`at other libraries) in field 040, subfield “a”. The modifying library (or libraries) is
`
`reflected
`
`in
`
`field
`
`040,
`
`subfield
`
`“d”.
`
`See
`
`http://www.loc.gov/marc/bibliographic/bd040.html (last visited July 15, 2021).
`
`28.
`
`I
`
`consulted
`
`the
`
`Directory
`
`of
`
`OCLC
`
`Libraries
`
`(http://www.oclc.org/contacts/libraries.en.html; last visited July 15, 2021) in order
`
`to identify the institution that created or modified the MARC record. Moreover,
`
`when viewing the MARC record online via Online Computer Library Center’s
`
`(“OCLC”) bibliographic database, which I discuss further below, hovering over a
`
`
`to their patrons. Thus, books are generally available at libraries across the country
`
`within just a few days of publication.
`
`11
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 012
`
`

`

`
`
`library code in field 040 with the mouse reveals the full name of the library. I also
`
`used this method of “mousing over” the library codes in the OCLC database to
`
`identify the originating and modifying libraries for the MARC records discussed in
`
`this report.
`
`29. MARC records also include one or more fields that show information
`
`regarding subject matter classification. For example, 6XX fields are termed
`
`“Subject Access Fields.” See http://www.loc.gov/marc/bibliographic/bd6xx.html
`
`(last visited July 15, 2021). 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 (last visited July 15, 2021). 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.
`
`30. Further, MARC records can include call numbers, which themselves
`
`contain a classification number. For example, a MARC record may identify a 050
`
`field, which
`
`is
`
`the
`
`“Library of Congress Call Number.”
`
` See
`
`http://www.loc.gov/marc/bibliographic/bd050.html (last visited July 15, 2021). A
`
`defined portion of the Library of Congress Call Number is the classification number,
`
`and “source of the classification number is Library of Congress Classification and
`
`12
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 013
`
`

`

`
`
`the LC Classification-Additions and Changes.” Id. Thus, the 050 field may be used
`
`to show information regarding subject matter classification.
`
`31. Each item in a library has a single classification number. A library
`
`selects a classification scheme (e.g., the Library of Congress Classification scheme
`
`just described or a similar scheme such as the Dewey Decimal Classification
`
`scheme) and uses it consistently. When the Library of Congress assigns the
`
`classification number, it appears as part of the 050 field, as discussed above. For
`
`MARC records created by libraries other than the Library of Congress (e.g., a
`
`university library or a local public library), the classification number may appear in
`
`a 09X (e.g., 090) field. See http://www.loc.gov/marc/bibliographic/bd09x.html (last
`
`visited July 15, 2021).
`
`32. When a MARC-compatible library acquires a work, it creates a MARC
`
`record for its copy of the work in its computer catalog system in the ordinary course
`
`of its business. This MARC record (for the copy of a work available at the particular
`
`library) may be later accessed by researchers in a number of ways. For example,
`
`many libraries, including the Library of Congress, make their MARC records
`
`available through their website. As an example, the MARC record for the copy of
`
`The Unlikely Spy, by Daniel Silva,4 available at the Library of Congress can be
`
`
`4 The Unlikely Spy is a 1996 novel written by Daniel Silva, who happens to be one
`
`of my favorite authors.
`
`13
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 014
`
`

`

`
`
`viewed
`
`through
`
`the
`
`Library
`
`of
`
`Congress
`
`website,
`
`at
`
`https://catalog.loc.gov/vwebv/staffView?searchId=20265&recPointer=1&recCount
`
`=25&bibId=2579985 (last visited July 15, 2021). One could, of course, always
`
`physically visit the library at which the work is available, and request to see that
`
`library’s MARC record for the work. Moreover, members of the Online Computer
`
`Library Center (“OCLC”) can access the MARC records of other member
`
`institutions through OCLC’s online bibliographic database, as I explain further
`
`below.
`
`33. 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.”5 Among other services, OCLC and
`
`
`5 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`Library Center, Incorporated (available at
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf;
`
`last visited July 15, 2021).
`
`14
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 015
`
`

`

`
`
`its members are
`
`responsible
`
`for maintaining
`
`the WorldCat database
`
`(http://www.worldcat.org/; last visited July 15, 2021), used by independent and
`
`institutional libraries throughout the world. All libraries that are members of OCLC
`
`are MARC-compatible. See, e.g., https://help.oclc.org/Metadata_Services/OCLC-
`
`MARC records/About OCLC-MARC records
`
`(last visited July 15, 2021)
`
`(“OCLC-MARC records describes records produced since November 1993.”);
`
`https://www.oclc.org/support/services/worldcat/documentation/cataloging/electron
`
`icresources.en.html (last visited July 15, 2021) (“Like the two superseded OCLC
`
`documents, this revised set of guidelines is intended to assist catalogers in creating
`
`records for electronic resources in WorldCat, the OCLC Online Union Catalog.
`
`These guidelines pertain to OCLC-MARC tagging (that is, content designation).
`
`Cataloging rules and manuals (such as AACR2) govern the content of records. You
`
`should implement these guidelines immediately.”).
`
`34. When an OCLC member institution acquires a publication, like the
`
`other MARC-compatible libraries discussed above, it creates a MARC record for
`
`this publication in its computer catalog system in the ordinary course of its business.
`
`MARC records created at the Library of Congress are tape-loaded into the OCLC
`
`database through a subscription to MARC Distribution Services daily or weekly.
`
`Once the MARC record is created by a cataloger at an OCLC member library or is
`
`tape-loaded from the Library of Congress, the MARC record is then made available
`
`15
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 016
`
`

`

`
`
`to any other OCLC members online, and thereby made available to the public.
`
`Accordingly, once the MARC record is created by a cataloger at an OCLC member
`
`library or is tape-loaded from the Library of Congress, 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 bibliographic database or through the Library of Congress.
`
`35. Fields 008, 005, and 955 in MARC Records as Indicators of Public
`
`Accessibility. When a MARC-compatible library creates an original MARC record
`
`for a work, the library records the date of creation of that MARC record in field 008,
`
`characters 00 through 05, in the ordinary course of its business.
`
` See
`
`http://www.loc.gov/marc/bibliographic/bd008a.html (last visited July 15, 2021).
`
`For OCLC member institutions that use OCLC software to create original MARC
`
`records, the date of creation in field 008 is automatically supplied by the OCLC
`
`software. The MARC record creation date in field 008 thus reflects the date on
`
`which, or shortly after which, a work was first acquired and cataloged by the library
`
`that created the original MARC record.
`
`36. When other MARC-compatible libraries subsequently acquire their
`
`own copies of the same work, as mentioned, they create MARC records in their own
`
`16
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 017
`
`

`

`
`
`computer catalog systems for their copies in the ordinary course of business.6 They
`
`may use a MARC record previously created for that work (by another MARC-
`
`compatible library) to create their own MARC records for their own copies of that
`
`same work.7 The previously created MARC record used by subsequently-acquiring
`
`libraries to create MARC records for their own copies may be obtained through the
`
`OCLC bibliographic database, as described above. If, when creating a MARC
`
`record to represent its own copy of the work, the subsequently-acquiring library uses
`
`the master MARC record in its original form, the subsequently-acquiring library
`
`cannot reenter data into the 008 field; therefore, the date in the 008 field will continue
`
`to reflect the date the MARC record was initially created by the originating library.
`
`On the other hand, if the subsequently-acquiring library modifies the previously
`
`created MARC record when creating its own MARC record for its own copy of the
`
`work, the subsequently-acquiring library may enter into the 008 field of its own
`
`MARC record the date its own MARC record was created.8 But the library that
`
`
`6 Initial contributions to the bibliographic database for a work are called “master
`
`records.”
`
`7 When a local library uses a master record in OCLC and produces (or downloads)
`
`it to the in-house system, the three-character symbol for the subsequent library is
`
`added to the holdings for the work.
`
`8 This practice is not required by, but is nevertheless consistent with, the MARC
`
`standard. Many MARC records exist today whose 008 fields indicate when the
`
`17
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 018
`
`

`

`
`
`created the original MARC record used by the subsequently-acquiring library would
`
`still be reflected in the MARC record of the subsequently-acquiring library in field
`
`040, subfield “a”. Thus, the work identified by any MARC record possessed by any
`
`MARC-compatible library would have been accessible to the public at least as of the
`
`date shown in the 008 field, or shortly thereafter, either from the library that
`
`possesses the MARC record itself, or from the originating library indicated in field
`
`040, subfield “a”. As discussed, a MARC-compatible library in the ordinary course
`
`of its business creates a MARC record in its own catalog system for a work when it
`
`acquires a copy of that work.
`
`37. Moreover, when a MARC record is created by a library for its own copy
`
`of a work, field 005 is automatically populated with the date that MARC record was
`
`created
`
`in
`
`year, month,
`
`day
`
`format
`
`(YYYYMMDD).
`
`
`
`See
`
`http://www.loc.gov/marc/bibliographic/bd005.html (last visited July 15, 2021).9
`
`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
`
`
`first original MARC record for a work was created, rather than when a derivative
`
`record was created based on the original MARC record by a subsequently-
`
`acquiring library for its own computer catalog system.
`
`9 Some of the newer library catalog systems also include hour, minute, second
`(HHMMSS).
`
`18
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 019
`
`

`

`
`
`been moved to a different shelving location within the library). Id.10 Thus, the work
`
`identified by any MARC record possessed by any MARC-compatible library would
`
`have been accessible to the public at least as of the date shown in the 005 field, or
`
`shortly thereafter, from the library that possesses the MARC record itself. As noted,
`
`because the 005 field may be updated each time the library updates its MARC record,
`
`the work identified by the MARC record may, in fact, have been accessible to the
`
`public from that library much earlier than the date indicated in the 005 field.
`
`38. Moreover, MARC records for copies of works available at the Library
`
`of
`
`Congress
`
`can
`
`have
`
`a
`
`955
`
`field.
`
`
`
`See
`
`http://www.loc.gov/cds/PDFdownloads/dcm/DCM 2007-03.pdf (last visited July
`
`15, 2021). The 955 field in MARC records obtained from the Library of Congress
`
`provides Local Tracking Information, which is a record of internal steps in the
`
`cataloging process followed by the Library of Congress. Id. Entries in the 955 field
`
`for a particular work are generated by Library of Congress staff as the work
`
`progresses through the cataloging process. Id. One of the mandatory fields that
`
`library staff must enter for each step is the date (in the form of “yyyy-mm-dd” or
`
`
`10 Field 005 is visible when viewing a MARC record via an appropriate
`
`computerized interface. But when a MARC record is printed directly to hardcopy
`
`from the OCLC database, the “005” label is not shown. The date in the 005 field
`
`instead appears next to the label “Replaced.”
`
`19
`
`MICROCHIP TECH. INC. - EXHIBIT 1038
`MICROCHIP TECH. INC. V. HD SILICON SOLS. - IPR2021-01265 - Page 020
`
`

`

`
`
`“yy-mm-dd”) the step was taken. Id. Thus, the work identified by a MARC record
`
`possessed by the Library of Congress would have been accessible to the public at
`
`least as of the earliest date shown in the 955 field, or shortly thereafter, from the
`
`Library of Congress.
`
`39. Based on my personal experience as a professional librarian using the
`
`MARC and OCLC resources, it has been my experience that both of these resources
`
`were continuously operational and available since at least 1992. Indeed, in the
`
`course of my work, I have extensively used both of these resources over the past 30+
`
`years, and I have consistently found the information contained within these resources
`
`to be complete and reliable. I have never found the date of accessibility as indicated
`
`in fields 008, 005, or 955 to be incorrect. And in only a minute number of cases
`
`have I found any errors at all in these records – none

This document is available on Docket Alarm but you must sign up to view it.


Or .

Accessing this document will incur an additional charge of $.

After purchase, you can access this document again without charge.

Accept $ Charge
throbber

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.

throbber

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.

Become a Member

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

We are redirecting you
to a mobile optimized page.





Document Unreadable or Corrupt

Refresh this Document
Go to the Docket

We are unable to display this document.

Refresh this Document
Go to the Docket