UNITED STATES PATENT AND TRADEMARK OFFICE
`
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________
`
`APPLE INC.,
`
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`
`Patent Owner
`
`_________________
`
`Inter Partes Review Case No. IPR2022-00457
`
`U.S. Patent No. 9,509,440
`
`DECLARATION OF JAMES L. MULLINS, PhD
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 9,509,440
`
`IPR2022-00457
`Apple EX1010 Page 1
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`
`
`_________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`_________________
`
`APPLE INC.,
`
`Petitioner
`
`v.
`
`TELEFONAKTIEBOLAGET LM ERICSSON,
`
`Patent Owner
`
`_________________
`
`Inter Partes Review Case No. IPR2022-00457
`
`U.S. Patent No. 9,509,440
`
`DECLARATION OF JAMES L. MULLINS, PhD
`IN SUPPORT OF PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 9,509,440
`
`IPR2022-00457
`Apple EX1010 Page 1
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`
`
`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`
`TABLE OF CONTENTS
`
`I. INTRODUCTION ............................................................................................. 1
`
`II. BACKGROUND AND QUALIFICATIONS ........................................................... 2
`
`III. BACKGROUND ON PUBLIC ACCESSIBILITY ..................................................... 4
`
`A. SCOPE OF THIS DECLARATION ............................................................................... 4
`
`B. PERSON OF ORDINARY SKILL IN THE ART .................................................................. 6
`
`C. LIBRARY CATALOG RECORDS AND OTHER RESOURCES ................................................. 8
`
`D. MONOGRAPH PUBLICATIONS ............................................................................. 15
`
`IV. OPINION REGARDING AUTHENTICITY AND PUBLIC ACCESSIBILITY .......... 17
`
`A. DOCUMENT A: ARUNABHA GHOSH, ET AL., FUNDAMENTALS OF LTE. PRENTICE-HALL, 2011.
`
`418 PAGES. (“GHOSH”) ......................................................................................... 17
`
`B. DOCUMENT B: HARRI HOLMA AND ANTTI TOSKALA, EDITORS. LTE FOR UMTS: EVOLUTION
`
`TO LTE-ADVANCED. 2D EDITION. WILEY, 2011. 543 PAGES. (“HOLMA”) .......................... 26
`
`C. DOCUMENT C: STEFANIA SESIA, ISSAM TOUFIK, AND MATTHEW BAKER, EDITORS. LTE: THE
`
`UMTS LONG TERM EVOLUTION FROM THEORY TO PRACTICE. 2D EDITION. WILEY, 2011.
`
`(“SESIA”) ............................................................................................................ 31
`
`ii
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`Declaration of James L. Mullins, PhD
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`V. AVAILABILITY FOR CROSS-EXAMINATION ................................................... 36
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`VI. RIGHT TO SUPPLEMENT ............................................................................. 37
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`VII. SIGNATURE ............................................................................................... 37
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
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`I, James L. Mullins, PhD declare as follows:
`
`I.
`
`INTRODUCTION
`1.
`I have been retained in this matter by Apple Inc. (“Petitioner” or
`
`“Apple”) in the above-captioned inter partes review relating to U.S. Patent
`
`9,509,440 to provide an opinion on a specific document.
`
`2.
`
`I am presently Dean Emeritus of Libraries and Esther Ellis Norton
`
`Professor Emeritus at Purdue University. My career as a professional and
`
`academic/research spanned more than 44 years including library positions at
`
`Indiana University, Villanova University, Massachusetts Institute of Technology,
`
`and Purdue University. Appendix A is a true and correct copy of my curriculum
`
`vitae describing my background and experience.
`
`3.
`
`In 2018, I founded the firm Prior Art Documentation Librarian
`
`Services, LLC, located at 205 St. Cuthbert, Williamsburg, VA 23188 after
`
`purchasing the intellectual property of and successor to Prior Art Documentation,
`
`LLC located at 711 South Race Street, Urbana, IL 61801. Further information about
`
`my firm, Prior Art Documentation Librarian Services, LLC (PADLS), is available
`
`at www.priorartdoclib.com.
`
`4.
`
`I have been retained by Petitioner to offer my opinion on the
`
`authenticity and dates of public accessibility of various documents. For this service,
`
`I am being paid my usual hourly fee of $275.00. I have no stake in the outcome of
`
`1
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`this proceeding or any related litigation or administrative proceedings, and my
`
`compensation in no way depends on the substance of my testimony or the outcome
`
`of this proceeding.
`
`II. BACKGROUND AND QUALIFICATIONS
`5.
`I received a Bachelor of Arts degree in History, Religion and Political
`
`Science in 1972 as well as a Master of Arts degree in Library Science in 1973
`
`from the University of Iowa. I received my Ph.D. in Academic Library Management
`
`in 1984 from Indiana University. Over the past forty-four years, I have held various
`
`positions and as a leader in the field of library and information sciences.
`
`6.
`
`I am presently Dean Emeritus of Libraries and Esther Ellis Norton
`
`Professor Emeritus at Purdue University, and have been since January 1, 2018. I
`
`have been previously employed as follows:
`
`•
`
`•
`
`Dean of Libraries and Professor and 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)
`
`2
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`•
`
`•
`
`•
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`•
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`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 (1979-1996)
`
`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)
`
`7.
`
`I am a member of the American Library Association (“ALA”), where
`
`I served as the chair of the Research Committee of the Association of College and
`
`Research Libraries (“ACRL”). My service to ALA included service on the editorial
`
`board of the most prominent library journal, College and Research Libraries. I also
`
`served on the Standards Committee, College Section of the Association of College
`
`and Research Libraries, where I was instrumental in developing a re-issue of the
`
`Standards for College Libraries in 2000.
`
`8.
`
`I am an author of numerous publications in the field of library science,
`
`and have given presentations in library sciences at national and international
`
`conferences. During more than 44 years as an academic librarian and library
`
`science scholar, I have gained extensive experience with catalog records and online
`
`library management systems (LMS) built using Machine-Readable Cataloging
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`3
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`(“MARC”) standards. As an academic
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`library administrator, I have had
`
`responsibility to ensure that students were educated to identify, locate, assess, and
`
`integrate information garnered from research library resources. I have also
`
`facilitated the research of faculty colleagues either directly or through the
`
`provision of and access to the requisite print and/or digital materials and services
`
`at the universities where I worked.
`
`9.
`
`Based on my experience identified above and detailed in my
`
`curriculum vitae, which is attached hereto as Appendix A, I consider myself to be an
`
`expert in the field of library science and academic library administration. I have
`
`previously offered my opinions on the public availability and authenticity of
`
`documents in over 40 cases. I have been deposed in one case.
`
`III. BACKGROUND ON PUBLIC ACCESSIBILITY
`A.
`Scope of This Declaration
`10.
`I am not a lawyer, and I am not rendering an opinion on the legal
`
`question of whether a particular document is, or is not, a “printed publication”
`
`under the law. I am, however, rendering my expert opinion on the authenticity of
`
`the document referenced herein and when and how this document 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 document.
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`I am informed by counsel that an item is considered authentic if there
`
`11.
`
`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
`
`document itself, such as the appearance, content, substance, internal patterns, or
`
`other distinctive characteristics of the item.
`
`12.
`
`I am informed by counsel that a given reference qualifies as “publicly
`
`accessible” if 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. I understand that it is
`
`not necessary to prove someone actually looked at the printed publication in order
`
`to show it was publicly accessible by virtue of a library’s cataloging and indexing
`
`thereof. I understand that cataloging and indexing by a single library of a single
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`instance of a particular printed publication is sufficient. 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 for the
`
`printed publication, is sufficient to render the printed publication publicly
`
`accessible.
`
`14.
`
`I understand that evidence showing the specific date when a printed
`
`publication became publicly accessible is not necessary. Rather, 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.
`15.
`
`Person of Ordinary Skill in the Art
`In forming the opinions expressed in this declaration, I have reviewed
`
`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
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`people with knowledge of the information contained within 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 of a type that experts in my field would reasonably rely upon and
`
`refer to in forming their opinions.
`
`16.
`
`I have been informed by counsel that the subject matter of this
`
`proceeding relates to the use of modulation and coding schemes in a wireless
`
`communication network.
`
`17.
`
`I have been informed by counsel that a “person of ordinary skill in
`
`the art at the time of the inventions” (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.
`
`18.
`
`I have been informed by counsel that persons of ordinary skill in this
`
`subject matter or art would have included someone with a Master’s degree in
`
`Electrical Engineering, Computer Science, Applied Mathematics, Physics or
`
`equivalent and three to five years of experience working with wireless digital
`
`communication systems including physical layer of such systems, and that
`
`additional education might compensate for less experience, and vice-versa. It is my
`
`opinion that such a person would have been actively engaged in academic research
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`Declaration of James L. Mullins, PhD
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`and learning through study and practice in the field, and possibly through formal
`
`instruction through the bibliographic resources relevant to his or her research. By
`
`the 2000s, such a person would have had access to a vast array of print resources,
`
`including at least the documents referenced below, as well as to a fast-changing set
`
`of online resources.
`
`C. Library Catalog Records and Other Resources
`19. Some background on MARC
`(Machine-Readable Cataloging)
`
`formatted records, 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 became the U.S. national
`
`standard for disseminating bibliographic data. By the mid-1970s, MARC format
`
`became the international standard, and persists through the present. A MARC-
`
`compatible library is one that has a catalog consisting of individual MARC records
`
`for each of its items. The underlying MARC format (computer program) underpins
`
`
`
`1 The full text of the standard is available from the Library of Congress at
`
`http://www.loc.gov/marc/bibliographic/.
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`the online public access catalog (OPAC) that is available to library users to locate
`
`a particular holding of a library. 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 2000s time frame
`
`relevant to the documents referenced herein.
`
`20. Online Computer Library Center (OCLC) is a not-for-profit worldwide
`
`consortium of libraries. Similar to MARC standards, OCLC’s practices have been
`
`consistent since the 1970s through to the present. Accordingly, the OCLC practices
`
`discussed below were in place during the time frame discussed in my opinions
`
`
`
`2 Almost every major library in the world uses a catalog that is MARC-compatible.
`
`See, e.g., Library of Congress, MARC Frequently Asked Questions (FAQ),
`
`https://www.loc.gov/marc/faq.html (last visited Jan. 24, 2018) (“MARC is the
`
`acronym for MAchine-Readable Cataloging. It defines a data format that emerged
`
`from a Library of Congress-led initiative that began nearly forty years 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.
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`Declaration of James L. Mullins, PhD
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`section. 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 for maintaining the WorldCat database (http://www.worldcat.org/), used
`
`by libraries throughout the world.
`
`21. Libraries worldwide use the machine-readable MARC format for
`
`catalog records. MARC-formatted records include a variety of subject access points
`
`based on the content of the document being cataloged. A MARC record for a
`
`particular work comprises several fields, each of which contains specific data about
`
`the work. Each field is identified by a standardized, unique, three-digit code
`
`
`
`3 OCLC Online Computer Library Center, Inc., Amended Articles of Incorporation
`
`of OCLC Online Computer Library Center, Inc., Third Article (OCLC, Dublin,
`
`Ohio) Revised November 30, 2016, https://www.oclc.org/content/dam/oclc/
`
`membership/articles-of-incorporation.pdf.
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`Declaration of James L. Mullins, PhD
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`corresponding to the type of data that follows. For example, a 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, and the
`
`work’s Library of Congress call number (assigned by Library of Congress) is
`
`recorded in field 050. Some fields can contain subfields, which are indicated by
`
`letters. For example, a work’s publication date is recorded in field 260 under the
`
`subfield “c.”
`
`22. The MARC Field 040, subfield “a,” identifies the library or other entity
`
`that created the catalog record in the MARC format. The MARC Field 008
`
`identifies the date when this first MARC record was created. The MARC Field
`
`005 identifies the most recent catalog activity including location assignment, by
`
`the holding library, that is, the library which owns the book and is identified in the
`
`OPAC.
`
`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.4 For example, 6XX fields are termed “Subject Access
`
`Fields.”5 Among these, for example, is the 650 field; this is the “Subject Added
`
`
`
`4 See http://www.loc.gov/marc/bibliographic/.
`
`5 See http://www.loc.gov/marc/bibliographic/bd6xx.html.
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`Entry – Topical Term” field.6 The 650 field is a “[s]ubject added entry in which the
`
`entry element is a topical term.” Id. The 650 field 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 can easily discover material
`
`relevant to a topic of interest with a search using the terms employed in the MARC
`
`Fields 6XX.
`
`24. Further, MARC records include call numbers, which themselves
`
`include a classification number. For example, the 050 field is dedicated as the
`
`“Library of Congress Call Number”7 as assigned by the Library of Congress. 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 the LC Classification-Additions and Changes.” Id. Thus,
`
`included in the 050 field is a subject matter classification. As an example:
`
`TK5105.59 indicates books on computer networks – security measures. When a
`
`local library assigns a classification number, most often a Library of Congress
`
`derived classification number created by a local library cataloger or it could be a
`
`
`
`6 See http://www.loc.gov/marc/bibliographic/bd650.html.
`
`7 See http://www.loc.gov/marc/bibliographic/bd050.html.
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`Dewey Decimal classification number for example, 005.8, computer networks –
`
`security measures, it appears in the 090 field. In either scenario, the MARC record
`
`includes a classification number in the call number field that represents a subject
`
`matter classification.
`
`25. The 9XX fields, which are not part of the standard MARC 21 format,8
`
`were defined by OCLC for use by the Library of Congress, processing or holding
`
`notes for a local library, and for internal OCLC use. For example, the 955 field is
`
`reserved for use 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 and fully cataloged and publicly 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, 910, 980 etc., are often used by an
`
`individual library for internal processing purposes, for example the date of receipt
`
`or cataloging and/or the initials of the cataloger.
`
`26. WorldCat is the world’s largest public online catalog, maintained by
`
`the OCLC, a not-for-profit international library consortium, and built with the
`
`records created by the thousands of libraries that are members of OCLC. OCLC
`
`
`
`8 See https://www.oclc.org/bibformats/en/9xx.html.
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`provides bibliographic and abstract information to the public based on MARC-
`
`compliant records through its OCLC WorldCat database. WorldCat requires no
`
`knowledge of MARC tags and code and does not require a login or password.
`
`WorldCat is easily accessible through the World Wide Web to all who wish to search
`
`it; there are no restrictions to be 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 all.
`
`WorldCat does not provide a view of the underlying MARC format for a specific
`
`WorldCat record. In order to see the underlying MARC format the researcher must
`
`locate the book in a holding library listed among those shown in WorldCat, and
`
`search the online public catalog (OPAC) of a holding library. Whereas WorldCat
`
`records are widely available, the availability of library specific MARC formatted
`
`records varies from library to library. When a specific library wishes to make the
`
`underlying MARC format available there will be a link from the library’s OPAC
`
`display, often identified as a MARC record or librarian/staff view.
`
`27. When a MARC record is created by the Library of Congress or an
`
`OCLC member institution, the date of creation for that record is automatically
`
`populated in the fixed field (008), with characters 00 through 05 in year, month, day
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`format (YYMMDD).9 Therefore, the MARC record creation date reflects the date
`
`on which the publication associated with the record was first cataloged. Thereafter,
`
`the local 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, or a reload of the
`
`bibliographic data with the introduction of a new library management system that
`
`creates and manages the OPAC).
`
`D. Monograph Publications
`28. Monograph publications are written on a single topic, presented at
`
`length and distinguished from an article and include books, dissertations, and
`
`technical reports. A library typically creates a catalog record when the monograph
`
`is acquired by the library. First, it will search OCLC to determine if a record has
`
`already been created by the Library of Congress or another OCLC institution. If a
`
`record is found in OCLC, the record is downloaded into the library’s LMS (Library
`
`Management System) that includes typically the OPAC (online public access
`
`catalog by which researchers locate a particular library holding in a user-friendly
`
`format), acquisitions, cataloging, and circulation integrated functions. Once the
`
`
`
`9 Some of the newer library catalog systems also include hour, minute, second
`
`(HHMMSS).
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`item is downloaded into the library’s LMS, the library adds its identifier to the
`
`OCLC database so when a search is completed on WorldCat, the library will be
`
`indicated as an owner of the title. Once a record is created in a Library’s LMS, it is
`
`searchable and viewable through the library’s OPAC, typically by author, title, and
`
`subject heading, at that library and from anywhere in the world through the internet
`
`by accessing that library’s OPAC. The OPAC also connects with the circulation
`
`function of the library, which typically indicates whether the record is available, in
`
`circulation, etc., with
`
`its call number and
`
`location
`
`in a
`
`specific
`
`departmental/disciplinary library, if applicable. The OPAC not only provides
`
`immediate bibliographic access on-site, it also facilitates the interlibrary loan
`
`process, which is when one publication is loaned from one library to another.
`
`29. O’Reilly Online Learning - O’Reilly learning provides individuals,
`
`teams, and businesses with expert-created and curated information covering all the
`
`areas that will shape our future—including artificial intelligence, operations, data,
`
`UX design, finance, leadership, and more.10
`
`
`
`10 See https://www.oreilly.com/online-learning/.
`
`16
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`30. Google Books - find a book, click on the “Buy this book” and “Borrow
`
`this book” links to see where it can be purchased as an e-book from the Google
`
`Play Store.11
`
`31. Wisconsin TechSearch (WTS) – WTS is a set of services offered by the
`
`University of Wisconsin Libraries. WTS offers an array of article delivery and
`
`research services to any retrieving information, regardless of whether the individual
`
`is affiliated with the University of Wisconsin.12
`
`IV. OPINION REGARDING AUTHENTICITY AND
`ACCESSIBILITY
`A. Document A: Arunabha Ghosh, et al., Fundamentals of LTE.
`Prentice-Hall, 2011. 418 pages. (“Ghosh”)
`I have been asked to opine on a book authored by Arunabha Ghosh,
`
`PUBLIC
`
`32.
`
`et al, Fundamentals of LTE published by Prentice-Hall in 2011, “Ghosh”. Ghosh
`
`contains 418 pages, 10 Chapters, and an Index.
`
`33.
`
`I have evaluated Exhibit 1007, the Ghosh reference several ways: (1)
`
`by assessing scans of a print copy of Ghosh owned by the University of Notre Dame
`
`Libraries, provided to me at my request by the Wisconsin TechSearch (WTS) on
`
`January 21, 2021 (Attachment A-1); (2) by assessing a digital copy accessed through
`
`
`
`11 See https://books.google.com/googlebooks/about/index.html.
`
`12 See (https://wts.wisc.edu/).
`
`17
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`Purdue University Libraries (Attachment B-1) from the O’Reilly Online Learning;
`
`(3) by purchasing a digital copy of Ghosh through Kindle (Attachment C-1); and
`
`(4) accessing and assessing the OPAC and MARC records for Ghosh at the Library
`
`of Congress (Attachments H-1 and Attachment I-1).
`
`34. Attachment A-1 is the scan provided to me at my request from the
`
`University of Notre Dame Libraries by the Wisconsin Tech Search (WTS) on January
`
`21, 2021. Attachment A-1 includes: Cover; title page; copyright page with
`
`handwritten call number that reads “Engin TK5103.48325.F86 2011; Contents,
`
`includes pages: ix-xvi.
`
`35. All identifying characteristics, such as stamps and notations on
`
`Attachment A-1 are consistent with library practice and procedure that I have
`
`observed during my career as a professional librarian. I have no cause for concern
`
`about the authenticity or accuracy of these identifying attributes. In addition,
`
`Attachment A-1 was found within the custody of a research library, the University
`
`of Notre Dame Libraries, one of the most likely locations for an authentic
`
`publication to be located.
`
`36. Attachment B-1 are screenshots from Ghosh that include: cover; title
`
`page; copyright page; and contents. This digital version was accessible to me from
`
`the O’Reilly Online Learning database through Purdue University Libraries, and
`
`was downloaded on January 27, 2021, due to license limitations it was not
`
`18
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`Patent No. 9,509,440
`possible to download Ghosh in its entirety from O’Reilly Online Learning,13
`
`hence the reason for screen shots.
`
`37. Attachment C-1 is screenshots from Google Books. I purchased a
`
`digital copy of Ghosh through Google Books on January 26, 2021. It was
`
`downloaded to my Kindle platform. I did call up the copy that I downloaded to
`
`compare the content of Ghosh purchased from Google Books and the copy I
`
`accessed through Purdue University Libraries from O’Reilly Online Learning.
`
`38. The digital version of Ghosh is available to anyone for a fee through
`
`Google books.14
`
`39. To verify authenticity of Attachment A-1, Attachment B-1, and
`
`Attachment C-1, I assessed the title page, copyright page and table of contents, from
`
`all three, they are identical. Having located Ghosh in a research library, University
`
`of Notre Dame Libraries, and in a publisher data base, O’Reilly Online Learning,
`
`
`
`13 See https://learning.oreilly.com/library/view/fundamentals-of-
`
`lte/9780137033638/title.html
`
`
`14 See https://www.google.com/books/edition/_/HjxmKq5MABcC?hl=en&gbpv=
`
`1&pg=PT21&dq=Fundamentals+of+LTE+
`
`
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`and a digital copy through Google Books, I can verify that Ghosh is an authentic
`
`document published by Prentice-Hall in 2011 in print and made available in digital
`
`format.
`
`40.
`
`I conclude and affirm that Ghosh is an authentic document.
`
`Public Accessibility
`41. Attachment D-1 is the University of Notre Dame Library OPAC
`
`(online catalog) record that I downloaded on January 20, 2021. The document
`
`cataloged in this record is Ghosh as verified by author: Arunabha Ghosh; title:
`
`Fundamentals of LTE; publisher and publication date: Prentice Hall in 2011; and
`
`ISBN: 978-0-13-703311-9.
`
`42.
`
`I
`
`also
`
`compared
`
`the LC Classification
`
`(call
`
`number):
`
`TK5103.48325.F86 2011 with that handwritten on the copyright pages of
`
`Attachment A-1 and it is the same on both, and on the OPAC record it indicates it
`
`is available in the “Lower Level Engineering Collection” also identified as a part
`
`of the call number. Ghosh could have been located by searching on the University
`
`of Notre Dame Libraries OPAC for the author: Arunabha Ghosh; title:
`
`Fundamentals of LTE; or by searching the subject heading: Long-term Evolution
`
`(Telecommunications).
`
`43. As mentioned above the MARC Field 005 and 9XX often indicate
`
`the date of receipt and cataloging, depending upon the practice and procedure of the
`
`20
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`Declaration of James L. Mullins, PhD
`Patent No. 9,509,440
`library. Attachment E-1 is a download I made on January 20, 2021 of the MARC
`
`record from the University of Notre Dame Libraries OPAC through the link: “Staff
`
`MARC View.” It provides detailed information about the ordering/receipt/
`
`cataloging/indexing of Ghosh.
`
`44.
`
`In Attachment E-1, the MARC 980 Field is: 20101018 (October 18,
`
`2010) and the MARC 005 Field is: 20101202123027, i.e., December 2, 2010 (the
`
`remaining digits are check di
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