UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`LZLABS GMBH
`
`Petitioner
`
`v.
`
`INTERNATIONAL BUSINESS MACHINES CORPORATION
`
`Patent Owner
`____________
`
`IPR2023-00274
`Patent 8,713,289
`____________
`
`DECLARATION OF JAMES L. MULLINS, Ph.D
`PERTAINING TO PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 8,713,289
`
`LzLabs GmbH. Ex. 1017-1
`
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`____________
`
`LZLABS GMBH
`
`Petitioner
`
`v.
`
`INTERNATIONAL BUSINESS MACHINES CORPORATION
`
`Patent Owner
`____________
`
`IPR2023-00274
`Patent 8,713,289
`____________
`
`DECLARATION OF JAMES L. MULLINS, Ph.D
`PERTAINING TO PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO. 8,713,289
`
`LzLabs GmbH. Ex. 1017-1
`
`
`
`TABLE OF CONTENTS
`
`Page
`INTRODUCTION ........................................................................................... 3
`I.
`QUALIFICATIONS ........................................................................................ 4
`II.
`III. BACKGROUND ON PUBLIC ACCESSIBILITY ........................................ 6
`IV. OPINION REGARDING AUTHENTICITY AND PUBLIC
`ACCESSIBILITY .......................................................................................... 18
`AVAILABILITY FOR CROSS-EXAMINATION ...................................... 40
`V.
`VI. RIGHT TO SUPPLEMENT .......................................................................... 40
`VII.
`JURAT ........................................................................................................... 40
`
`LzLabs GmbH. Ex. 1017-2
`
`
`
`I, James L. Mullins, PhD, declare as follows:
`INTRODUCTION
`
`I.
`
`1.
`
`I have been retained by petitioner LzLabs GmbH (“LzLabs”) in the
`
`above-captioned inter partes review relating to U.S. Patent 8,713,289 to provide
`
`opinions on various documents.
`
`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 librarian/professor 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, now located at 205 Saint 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 LzLabs 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 this
`
`LzLabs GmbH. Ex. 1017-3
`
`
`
`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. 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 forty-four years, I held various positions 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)
`
`for Administration, Massachusetts
`Assistant/Associate Director
`Institute of Technology (MIT) Libraries, Cambridge, MA (2000-2004)
`
`University Librarian and Director, Falvey Memorial Library, Villanova
`University, Villanova, PA (1996-2000)
`
`Director of Library Services, Indiana University South Bend, South
`Bend, IN (1978-1996)
`
`Part-time Instructor, School of Library and Information Science,
`Indiana University, Bloomington, IN (1979-1996)
`
`Associate Law Librarian, and associated titles, Indiana University
`School of Law, Bloomington, IN (1974-1978)
`
`LzLabs GmbH. Ex. 1017-4
`
`
`
`
`
`7.
`
`Catalog Librarian, Assistant Professor, Georgia Southern College (now
`University), Statesboro, GA (1973-1974)
`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 (“MARC”)
`
`standards. As an academic 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.
`
`LzLabs GmbH. Ex. 1017-5
`
`
`
`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
`
`100 cases. I have been deposed in one case in February 2019.
`
`III. BACKGROUND ON PUBLIC ACCESSIBILITY
`
`10.
`
`Scope of This Declaration. 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 researchers
`
`interested and ordinarily skilled in the subject matter or art, exercising reasonable
`
`diligence, could have located the document.
`
`11.
`
`I am informed by counsel that an item is considered authentic if there
`
`is sufficient evidence to support a finding that the item is what it is claimed to be. I
`
`am also informed that authenticity can be established based on the contents of the
`
`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 were disseminated or otherwise made available such that a person
`
`LzLabs GmbH. Ex. 1017-6
`
`
`
`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 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
`
`LzLabs GmbH. Ex. 1017-7
`
`
`
`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.
`
`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 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 generally to the emulation of computer system architectures and,
`
`LzLabs GmbH. Ex. 1017-8
`
`
`
`more particularly, to methods of emulating instructions designed for one computer
`
`architecture on another system with a different set of executable instructions.
`
`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.
`
`It is my opinion that such a person would have been actively engaged
`
`in academic research 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.
`
`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
`
`LzLabs GmbH. Ex. 1017-9
`
`
`
`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 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
`
`1 The full text of the standard is available from the Library of Congress at
`http://www.loc.gov/marc/bibliographic/.
`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.
`
`LzLabs GmbH. Ex. 1017-10
`
`
`
`below were in place during the late 1990s 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 the present. Accordingly, the OCLC practices
`
`discussed below were in place during the time frame discussed in my opinions
`
`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.
`
`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.
`
`LzLabs GmbH. Ex. 1017-11
`
`
`
`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
`
`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. MARC Field 008 identifies the
`
`date when this first MARC record was created.
`
`23. MARC Field 008 provides the date the book was first originally
`
`cataloged, that is the first record created, typically in the United States, by the
`
`Library of Congress. The 005 date is the earliest date a book would have been
`
`available after publication.
`
`LzLabs GmbH. Ex. 1017-12
`
`
`
`24. MARC Field 005 indicates when the book was last ‘touched’ by the
`
`local library, typically when it was cataloged by accessing the catalog record from
`
`OCLC WorldCat that had been created by the Library of Congress on the date shown
`
`in MARC Field 008.
`
`25. MARC records also include several fields that include subject matter
`
`classification information. An overview of MARC record fields is available through
`
`the Library of Congress at http://www.loc.gov/marc/bibliographic/. For example,
`
`6XX fields are termed “Subject Access Fields.”4 Among these, for example, is the
`
`650 field; this is the “Subject Added Entry – Topical Term” field. See
`
`http://www.loc.gov/marc/bibliographic/bd650.html. The 650 field is a “[s]ubject
`
`added entry in which the entry element is a topical term.” Id. 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 MARC Fields 6XX.
`
`26.
`
`Further, MARC records include call numbers, which themselves
`
`include a classification number. For example, the 050 field is dedicated as the
`
`4 See http://www.loc.gov/marc/bibliographic/bd6xx.html.
`
`LzLabs GmbH. Ex. 1017-13
`
`
`
`“Library of Congress Call Number”5 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 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.
`
`27.
`
`The 9XX fields, which are not part of the standard MARC 21 format,6
`
`were defined by OCLC for use by the Library of Congress, processing or holding
`
`notes for a local library, and for internal OCLC use.
`
`28.
`
`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
`
`5 See http://www.loc.gov/marc/bibliographic/bd050.html.
`6 See https://www.oclc.org/bibformats/en/9xx.html.
`
`LzLabs GmbH. Ex. 1017-14
`
`
`
`945-949 have been defined by OCLC for local use and will pass OCLC validation.
`
`Fields 905 or 910 are often used by an individual library for internal processing
`
`purposes, for example the date of cataloging and/or the initials of the cataloger.
`
`29. 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
`
`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
`
`LzLabs GmbH. Ex. 1017-15
`
`
`
`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.
`
`30. 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
`
`format (YYMMDD).7 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).
`
`Monograph Publications
`
`31. Monograph publications are written on a single topic, presented at
`
`length, and distinguished from an article and include books, dissertations,
`
`proceedings of a conference, 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
`
`7 Some of the newer library catalog systems also include hour, minute, second
`(HHMMSS).
`
`LzLabs GmbH. Ex. 1017-16
`
`
`
`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 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, but it also facilitates the
`
`interlibrary loan process, which is when one publication is loaned from one library
`
`to another.
`
`32.
`
`IEEE Xplore – The Institute of Electrical and Electronics Engineers is
`
`the world’s largest organization for the advancement of technology with some
`
`430,000 members in 160 countries. Known by its acronym IEEE, it has created a
`
`database, IEEE Xplore, that provides access to its hundreds of publications and those
`
`LzLabs GmbH. Ex. 1017-17
`
`
`
`of it publishing partners. This includes the content of over 170 journals, more than
`
`1,400 conference proceedings, some 5,100 technical standards, 2,000 eBooks and
`
`400 educational courses. In all, more than 3 million documents, dating from 1872
`
`on, are searchable and available for purchase either through subscription or
`
`individually. Many of these records are accessible via Google Scholar.
`
`https://ieeexplore.ieee.org/Xplore/home.jsp
`
`33. 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 individual or organization who requests the specialized
`
`skills of WTS staff in locating and retrieving information, regardless of whether the
`
`individual is affiliated with the University of Wisconsin. https://wts.wisc.edu/
`
`IV. OPINION REGARDING AUTHENTICITY AND PUBLIC
`ACCESSIBILITY
`Document A. EX 1009: Gerry Kane. MIPS R2000 RISC Architecture. Prentice
`Hall, 1987, 1988. 1 volume, various paging. (“Kane”)
`
`34.
`
`I have been asked to opine for a book authored by Gerry Kane titled
`
`MIPS R2000 RISC Architecture published by Prentice Hall [first edition] in 1987,
`
`1988, and 1989. It is one volume with various paging containing Chapters 1-8;
`
`Appendices A-E and an Index. (“Kane”)
`
`LzLabs GmbH. Ex. 1017-18
`
`
`
`Authenticity
`
`35.
`
`I have evaluated the Kane reference for authenticity in two ways: (1)
`
`by assessing a copy of Kane, Ex 1009, published in 1989, provided to me by counsel;
`
`and (2) by assessing scans of a print copy of Kane published in print in 1987, owned
`
`by the Library of Congress, that I requested through the Wisconsin TechSearch
`
`(WTS) which I received on August 10, 2022 and in a follow-up request for additional
`
`pages on October 25, 2022, Attachment A-1.
`
`36. Attachment A-1 is a scan provided to me on August 10, 2022 and in a
`
`follow-up request on October 25, 2022 by the WTS obtained from the print copy
`
`owned by the Library of Congress. Attachment A-1 includes: a library bound front
`
`cover and spine, on the spine it reads:
`
` “Kane
`
` MIPS R2000 RISC
`
`ARCHITECTURE’ and a label that reads: “FT MEADE GenColl QA76.8 .M52 K36
`
`1987” (as shown below) and a bar code that identifies the Library of Congress (as
`
`shown below); published front cover of Kane; title page; verso of the title page
`
`(copyright page) that has a handwritten call number that reads: “QA 76.8.M52K36
`
`1987” and a stamp that reads “LIBRARY OF CONGRESS JUN 01 1988
`
`COPYRIGHT OFFICE (as shown below); About this Book; Organization; Contents,
`
`vi-xii; ; Pages: 5-18; A-1 – A-7; A-9 – A-13; A-22; A-35 – A-40; A-56 – A-58; A-
`
`LzLabs GmbH. Ex. 1017-19
`
`
`
`62 – A-64; A-70 – A-71; A-85; C-1 – C-2; C-8 – C-9; D-1 – D-2; and published
`
`back cover.
`
`37. 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, specifically with those items
`
`held by the Library of Congress. I have no cause for concern about the authenticity
`
`or accuracy of these identifying attributes. In addition, Kane was found within the
`
`custody of a library, the Library of Congress, one of the most likely locations for an
`
`authentic publication to be located.
`
`LzLabs GmbH. Ex. 1017-20
`
`
`
`38.
`
`Evidence of the ownership of Kane by the Library of Congress will
`
`further be explored and detailed in the section below on public access.
`
`39. After comparing Exhibit 1009 and the corresponding pages of
`
`Attachment A-1, I found no difference between the two except as noted below when
`
`discussing public accessibility. Therefore, upon finding Kane in the Library of
`
`Congress, I have determined that EX1009, Kane, is an authentic document.
`
`40.
`
`I conclude and affirm that Kane, EX1009, is an authentic document.
`
`Public Accessibility
`
`41. Attachment A-2 is a screen capture of the WorldCat entry for Kane as
`
`copyrighted in 1987 that I completed on November 21, 2022. I obtained Attachment
`
`A-2 by completing a search on WorldCat by searching geographical location
`
`‘District of Columbia (Library of Congress)’. Library of Congress was first among
`
`the 272 libraries holding Kane, 1987.
`
`42.
`
`The copyright date, 1987, and the date of receipt, June 1, 1988, by the
`
`Library of Congress varies by one year, 1987 to 1988, due to the Library of Congress
`
`practice of assigning call numbers to the manuscript submitted to the copyright
`
`office, which more likely than not, was in 1987. The final published book was not
`
`received and cataloged/indexed by the Library of Congress until June 1, 1988 as
`
`shown by the stamp above.
`
`LzLabs GmbH. Ex. 1017-21
`
`
`
`43. Attachment A-2 shows that Kane is the document associated with this
`
`WorldCat entry, as verified by author: Gerry Kane; title: MIPS R2000 RISC
`
`Architecture; publisher and publication (copyright) date; Prentice-Hall in 1987: and
`
`ISBN: 0-13-5844749-4.
`
`44. Kane, 1987, could have been located by searching for the author: Gerry
`
`Kane; title; MIPS R2000 RISC Architecture: and/or by searching the subject
`
`heading: C-1-PROCESSS0R ARCHITECTURES.
`
`45. Attachment A-3 is a screen capture of the WorldCat entry for Kane,
`
`copyrighted in 1989, that I completed on November 21, 2022. I obtained Attachment
`
`A-3 by completing a search on WorldCat on November 21, 2022 by searching
`
`geographical location, District of Columbia (Library of Congress). Library of
`
`Congress was first among the 190 libraries holding Kane, 1989.
`
`46. Attachment A-3 is the OCLC WorldCat record for Kane as copyrighted
`
`in 1989, Exhibit 1009, as provided to me by counsel. Attachment A-3 shows that
`
`Kane, 1989, is the document associated with this WorldCat entry, as verified by
`
`author: Gerry Kane; title: MIPS R2000 RISC Architecture; publisher and publication
`
`(copyright) date; Prentice-Hall in 1989: and ISBN: 0-13-584293-X;
`
`0-13-5844749-4.
`
`LzLabs GmbH. Ex. 1017-22
`
`
`
`47. Kane, 1989, could have been located by searching for the author: Gerry
`
`Kane; title; MIPS R2000 RISC Architecture: and/or by searching the subject
`
`headings: Computer architecture; and/or MIPS R2000 series microprocessors.
`
`48.
`
`The searches discussed above could have been performed anywhere in
`
`the world by anyone who accessed WorldCat and its predecessor database,
`
`FirstSearch, through an OCLC member library in the 1990s through 2005.
`
`49. As discussed above, after a comparison between all pages included in
`
`Exhibit 1009 with those in Attachment A-1, I found no difference in the text or
`
`content of Kane except on the title page where a paragraph has been inserted on
`
`Kane 1989, as shown below, an “Acknowledgements” section on the verso of the
`
`title page (copyright page) in Kane 1987 rather than a separate page as in Kane 1989,
`
`and revisions to text on the “About this Book” page between Kane 1987 and Kane
`
`1989, all of which would be consistent with its release as a new printing, but not a
`
`new edition which would indicate changes in the text or content of Kane.
`
`50. Attachment A-4 is a download I made from the Library of Congress
`
`OPAC (online catalog) on August 10, 2022. The document cataloged in this record
`
`LzLabs GmbH. Ex. 1017-23
`
`
`
`is Kane as verified by the OPAC record fields including author: Gerry Kane; main
`
`title: MIPS R2000 RISC Architecture; and publisher and publication date; Prentice
`
`Hall in 1987; and ISBN 01358447494.
`
`51.
`
`I compared the Library of Congress Classification (call number):
`
`QA76.8.M52 K36 1987 with that shown on the bound cover and the verso of the
`
`title page (copyright) of Attachment A-1, it is the same on bound cover and on the
`
`verso of the title page (copyright).
`
`52. Kane could have been located in the Library of Congress OPAC by
`
`searching for author: Gerry Kane: title: MIPS R2000 RISC Architecture; and/or by
`
`searching the subject headings: MIPS R2000 series microprocessors; Computer
`
`architecture; and/or Reduced instruction set computers.
`
`53.
`
`The date stamped on Attachment A-1, June 1, 1988 (as shown below),
`
`indicates receipt of Kane by the Library of Congress, after which it would have been
`
`sent to the cataloging department for verification of the “CIP” information
`
`cataloging and the final descriptive cataloging completed and accessible through
`
`Library of Congress OPAC.
`
`LzLabs GmbH. Ex. 1017-24
`
`
`
`54. Once Kane was entered into the general collection of the Library of
`
`Congress, members of the public could access the book by having it brought to either
`
`the Jefferson or Adams Reading Rooms.
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