UNITED STATES PATENT AND TRADEMARK OFFICE
`_________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________________
`
`TREND MICRO, INC.
`
`v.
`
`TAASERA LICENSING LLC.
`_________________________
`
`Petition for Inter Partes Review of
`
`U.S. Patent No. 8,327,441
`
`_________________________
`
`DECLARATION OF INGRID HSIEH-YEE, PH.D.
`
`Trend Micro, Inc.
`EX1007-1
`
`IPR2023-01464
`CrowdStrike EX1007 Page 1
`
`
`_________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_________________________
`
`TREND MICRO, INC.
`
`v.
`
`TAASERA LICENSING LLC.
`_________________________
`
`Petition for Inter Partes Review of
`
`U.S. Patent No. 8,327,441
`
`_________________________
`
`DECLARATION OF INGRID HSIEH-YEE, PH.D.
`
`Trend Micro, Inc.
`EX1007-1
`
`IPR2023-01464
`CrowdStrike EX1007 Page 1
`
`
`
`
`I.
`
`TABLE OF CONTENTS
`
`Introduction .................................................................................................... 3
`
`A. Qualifications and Professional Experience ........................................ 3
`
`B.
`
`C.
`
`D.
`
`Scope of This Declaration .................................................................. 11
`
`Person of Ordinary Skills in the Art .................................................. 12
`
`Evidence Considered in Forming My Opinions ................................ 13
`
`II.
`
`Authenticity and Public Availability of Munetoh (EX1005) ....................... 15
`
`A. Authentication .................................................................................... 15
`
`B.
`
`C.
`
`Linda Hall Library Copy .................................................................... 16
`
`Linda Hall Library Records ............................................................... 18
`
`D. Usage Record ..................................................................................... 20
`
`E.
`
`Summary of My Opinion on Munetoh ............................................... 20
`
`III. Authenticity and Public Availability of Rajan (EX1006) ............................ 21
`
`A. Authentication .................................................................................... 21
`
`B.
`
`C.
`
`University of Texas at Austin Library Copy ...................................... 22
`
`University of Texas at Austin Library Records ................................. 24
`
`D. Usage Record ..................................................................................... 28
`
`E.
`
`Summary of My Opinion on Rajan ................................................... 28
`
`IV. Conclusion .................................................................................................... 29
`
`
`
`
`
`
`
`
`2
`
`Trend Micro, Inc.
`EX1007-2
`
`IPR2023-01464
`CrowdStrike EX1007 Page 2
`
`
`
`I.
`
`Introduction
`
`I, Ingrid Hsieh-Yee, Ph.D., do hereby declare as follows:
`
`1.
`
`I have personal knowledge of all of the matters about which I testify in
`
`this declaration.
`
`2.
`
`I have been retained as an independent expert witness on behalf of
`
`Trend Micro, Inc. (“TREND”) for proceedings before the United States Patent and
`
`Trademark Office (“PTO”) regarding the authenticity and public availability of
`
`certain prior art references in relation to US Patent No. 8,327,441 (“the ’441 patent”).
`
`3.
`
`I am being compensated for my work in this matter at my customary
`
`hourly rate. I am also being reimbursed for any reasonable expenses associated with
`
`my work and testimony in this investigation. My compensation is not contingent on
`
`the results of my study, the substance of my opinions, or the outcome of this matter.
`
`A. Qualifications and Professional Experience
`
`4. My complete qualifications and professional experience are described
`
`in my academic curriculum vitae (Appendix A). The following is a brief summary
`
`of my relevant qualifications and professional experience.
`
`5.
`
`In 2022 I was conferred the title of Professor Emerita after 32 years as
`
`a professor in the Department of Library and Information Science of the Catholic
`
`University of America. I have experience working in an academic library, a medical
`
`library, and a legislative library. I hold a Ph.D. in Library and Information Studies
`
`
`
`3
`
`Trend Micro, Inc.
`EX1007-3
`
`IPR2023-01464
`CrowdStrike EX1007 Page 3
`
`
`
`from the University of Wisconsin-Madison and a Masters in Library and Information
`
`Studies from the University of Wisconsin-Madison.
`
`6.
`
`I am an expert on library cataloging and classification and have
`
`published two editions on this subject, Organizing Audiovisual and Electronic
`
`Resources for Access: A Cataloging Guide (2000 and 2006). I taught a variety of
`
`courses, including Cataloging and Classification, Advanced Cataloging and
`
`Classification, Organization of Internet Resources, Organization of Information,
`
`Digital Content Creation and Management, Metadata, Internet Searches and Web
`
`Design, Information Literacy Instruction, Advanced Information Retrieval and
`
`Analysis Strategies, and The Information Professions in Society. I am familiar with
`
`metadata schema design and implementation. In my teaching I covered the design
`
`and implementation of metadata in libraries, databases, search engines, digital
`
`repositories, digital libraries, and digital archives. I also covered how information
`
`organization affects the discovery and access to digital resources on the Internet. My
`
`research interests cover cataloging and classification, information organization,
`
`metadata, information retrieval, information architecture, digital collections,
`
`scholarly communication, social media, user interaction with information systems,
`
`and others.
`
`7.
`
`I am very familiar with a library cataloging encoding standard known
`
`as the “Machine-Readable Cataloging” standard, also known as “MARC,” which
`
`
`
`4
`
`Trend Micro, Inc.
`EX1007-4
`
`IPR2023-01464
`CrowdStrike EX1007 Page 4
`
`
`
`became the national standard for sharing bibliographic data in the United States by
`
`1971 and the international standard by 1973. MARC is the primary communications
`
`protocol for the transfer and storage of bibliographic metadata in libraries. Experts
`
`in my field reasonably rely upon MARC records when forming their opinions.
`
`8.
`
`A MARC record consists of several fields, each of which contains
`
`specific data about the work. Each field is identified by a standardized, unique,
`
`three-digit code corresponding to the type of data that follows. Appendix B is a
`
`true and correct copy of Parts VII to X of “Understanding MARC Bibliographic:
`
`Machine-Readable Cataloging”
`
`(http://www.loc.gov/marc/umb/um07to10.html)
`
`from Library of Congress. Understanding MARC Bibliographic was originally
`
`published by the Follett Software Co. and copyrighted in 1988. Editions in 1989,
`
`1990, 1994, 1998, 2000, 2003 and 2009 include changes. The latest edition was
`
`copyrighted in 2009. This document explains commonly-used MARC fields. For
`
`example, the personal author of the work is recorded in Field 100, the title is recorded
`
`in Field 245, publisher information is recorded in Field 260, the physical volume and
`
`characteristics of a publication are recorded in Field 300, and topical subjects are
`
`recorded in Fields 650.
`
`9.
`
`The Online Computer Library Center (OCLC)
`
`is
`
`the
`
`largest
`
`bibliographic network of the world, with more than 554 million records and
`
`thousands of member institutions (many of which are libraries of some type) in more
`
`
`
`5
`
`Trend Micro, Inc.
`EX1007-5
`
`IPR2023-01464
`CrowdStrike EX1007 Page 5
`
`
`
`than 100 countries. OCLC was founded in 1967 to promote and support library
`
`cooperation. According to the “Third Article, Amended Articles of Incorporation of
`
`OCLC Online Computer Library Center, Inc.,” OCLC was created “to establish,
`
`maintain and operate a computerized library network and to promote the evolution
`
`of library use, of libraries themselves, and of librarianship, and to provide processes
`
`and products for the benefit of library users and libraries, including such objectives
`
`as increasing availability of library resources to individual library patrons and
`
`reducing the rate of rise of library per-unit costs, all for the fundamental public
`
`purpose of furthering ease of access to and use of the ever-expanding body of
`
`worldwide scientific, literary and educational knowledge and information” (source:
`
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf).
`
`10. OCLC members can contribute original cataloging records in MARC
`
`to the system or derive cataloging records from existing records, an activity referred
`
`to as “copy cataloging.” When an OCLC participating institution acquires a work, it
`
`can create an original MARC record for the work in OCLC’s Connexion system (a
`
`system for catalogers to create and share MARC records), and the system will
`
`automatically generate a code for the date of record creation in the yymmdd format,
`
`and the creating library’s OCLC symbol is recorded in subfield “a” of Field 040.
`
`Once the MARC record is in Connexion, it becomes available to other OCLC
`
`members for adoption to their local online catalogs (i.e., copy cataloging).
`
`
`
`6
`
`Trend Micro, Inc.
`EX1007-6
`
`IPR2023-01464
`CrowdStrike EX1007 Page 6
`
`
`
`11. After a MARC record is created in Connexion, it also becomes
`
`searchable and viewable on WorldCat, which is a free web portal for users to explore
`
`more than 10,000 libraries worldwide. The record in WorldCat, however, is not
`
`presented in MARC fields. Instead, the data elements are labeled to help users
`
`interpret the record. Thus, the information stored in MARC records in Connexion
`
`is available to the interested public through the user-friendly WorldCat web portal.
`
`12. WorldCat (http://www.worldcat.org) is “the world’s largest network of
`
`library content and services” and its features are summarized in “About WorldCat”
`
`(https://www.worldcat.org/about). WorldCat began operation in January 1998 as a
`
`free web portal to more than 10,000 library collections worldwide. Through
`
`WorldCat, users can search for information resources in their local libraries and
`
`libraries around the world. WorldCat allows users to search for books, CDs, videos,
`
`and many new types of digital content, such as audiobooks, in many languages.
`
`Users can also retrieve research materials and article citations with links to their full
`
`text. After an item is retrieved, WorldCat helps users identify a library nearby that
`
`holds the item or all the libraries that hold the item. WorldCat is an efficient way to
`
`explore the content held by more than 10,000 libraries around the world. WorldCat
`
`is publicly accessible, and there is no fee to conduct searches on WorldCat.
`
`13. Library online catalogs gained acceptance in the early 1980s and many
`
`libraries migrated their systems to the World Wide Web in the mid-1990s. Library
`
`
`
`7
`
`Trend Micro, Inc.
`EX1007-7
`
`IPR2023-01464
`CrowdStrike EX1007 Page 7
`
`
`
`online catalogs are based on MARC records that represent their collections in order
`
`to help the public understand what materials are publicly accessible in those
`
`libraries. Most libraries with online catalogs have made their catalogs freely
`
`available on the Web. These online catalogs offer user-friendly search interfaces.
`
`Strong user interest in keyword searches and the popularity of Google have led to
`
`the “googlization” of library search systems. As a result, many library catalogs now
`
`provide a single search box for users to conduct keyword searches, with additional
`
`support for searches by author, title, subject terms, and other data elements such as
`
`ISBN (International Standard Book Number). Library catalogs these days also offer
`
`features for users to narrow their search results by language, year, format, and other
`
`elements. Many libraries display MARC records on their online catalogs with labels
`
`for the data elements to help the public interpret MARC records. Many libraries also
`
`offer the option to display MARC records in MARC fields.
`
`14. Libraries create MARC records for works they acquire, including
`
`books, serials, motion pictures, and publications in other formats. Monograph
`
`cataloging is fairly common in libraries, and most libraries make a newly cataloged
`
`monograph available to the public soon after the cataloging work is completed,
`
`usually within a week. Libraries can create original cataloging records or use an
`
`existing record in OCLC to create a copy cataloging record. As soon as the
`
`cataloging record is completed, it is added to the library’s online catalog for users.
`
`
`
`8
`
`Trend Micro, Inc.
`EX1007-8
`
`IPR2023-01464
`CrowdStrike EX1007 Page 8
`
`
`
`If the record is an original record, it is also entered into the OCLC system. If it is a
`
`copy cataloging record, the library’s holding symbol is attached to the existing
`
`original record in the OCLC system to facilitate searching and interlibrary loan.
`
`15. The cataloging of serials and the serial check-in process are discussed
`
`here to show how libraries usually provide access to newly received serial issues.
`
`According to the glossary of the RDA: Resource Description and Access cataloging
`
`standard, a serial is “a mode of issuance of a manifestation issued in successive parts,
`
`usually bearing numbering, that has no predetermined conclusion. A serial includes
`
`a periodical, monographic series, newspaper, etc.” Because the publisher of a serial
`
`makes new issues of the serial available successively, a customary cataloging
`
`practice is to create one bibliographic record for the serial, and the serial record
`
`(encoded in MARC) typically provides information on the beginning date and
`
`frequency of the serial, not the dates of individual issues. In other words, libraries
`
`typically do not create MARC records for individual issues of a serial. Instead, they
`
`rely on a serial check-in system to track the receipt of new issues. A common check-
`
`in practice is to date stamp a new issue when it arrives. This practice has become
`
`automated since the late 1990s, and libraries now vary in how they share the receipt
`
`date of a new serial issue with the public. Some libraries use a date stamp, some affix
`
`a label to indicate the receipt date, some pencil in the receipt date, and some do not
`
`provide the information to the public.
`
`
`
`9
`
`Trend Micro, Inc.
`EX1007-9
`
`IPR2023-01464
`CrowdStrike EX1007 Page 9
`
`
`
`16. The serial check-in process usually takes less than an hour, and one of
`
`the steps involves placing a date stamp on the new issue to document the date the
`
`issue is checked in. After that, the holdings information of the serial is updated in
`
`the library’s catalog so that users know which issues are available for request or
`
`access. After serial check-in is completed, the new issue is placed on the shelf with
`
`the previous issues of the serial. Libraries with a public periodical room typically
`
`place new issues in the periodical room for easy user access. Because information
`
`presented in serials often reflects latest discovery, a general practice of libraries is to
`
`make new issues of serials available for user access soon after they are checked in,
`
`usually within a week.
`
`17.
`
`I am personally familiar with many online catalogs, databases, and
`
`search engines. In preparing for this declaration, I used the following authoritative
`
`information systems to search for records:
`
`• Google Scholar (https://scholar.google.com)
`
`• IEEE Xplore Digital Library (https://ieeexplore.ieee.org/Xplore/home.jsp)
`
`• Online catalog of the library of the University of Texas at Austin
`
`(https://search.lib.utexas.edu)
`
`• Online
`
`catalog
`
`of
`
`the
`
`Linda
`
`Hall
`
`Library
`
`(https://catalog.lindahall.org/discovery/search?vid=01LINDAHALL_INS
`
`T:LHL)
`
`
`
`10
`
`Trend Micro, Inc.
`EX1007-10
`
`IPR2023-01464
`CrowdStrike EX1007 Page 10
`
`
`
`• WorldCat (https://www.worldcat.org)
`
`B.
`
`18.
`
`Scope of This Declaration
`
`I have been asked to offer opinions on the authenticity and public
`
`availability date of the following documents:
`
`Munetoh, S., Nakamura, M., Yoshihama, S., & Kudo, M., (2008, May),
`
`“Integrity management infrastructure for trusted computing,” IEICE
`
`Transactions on Information and Systems, vol. 91, no. 5, pp. 1242-
`
`1251, EX1005 (“Munetoh”);
`
`
`
`Rajan, H., & Hosamani, M., (2008), “Tisa: Toward trustworthy services
`
`in a service-oriented architecture,” IEEE Transactions on Services
`
`Computing, vol. 1, no. 4, pp. 201-213, EX1006 (“Rajan”).
`
`19.
`
`I am rendering my expert opinion on the authenticity of the documents
`
`referenced herein and on whether they were published. I will provide my opinion on
`
`when and how these documents were publicly disseminated or otherwise made
`
`publicly available to the extent that persons interested and ordinarily skilled in the
`
`subject matter or art, exercising reasonable diligence, could have located and
`
`retrieved these documents.
`
`20.
`
`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
`
`
`
`11
`
`Trend Micro, Inc.
`EX1007-11
`
`IPR2023-01464
`CrowdStrike EX1007 Page 11
`
`
`
`am also informed that authenticity can be established based on the contents of the
`
`documents themselves, such as the appearance, content, substance, internal patterns,
`
`protocols followed or other distinctive characteristics of the item.
`
`21.
`
`I am informed by counsel that a given reference is “published” if it is
`
`publicly accessible upon a satisfactory showing that such a document has been
`
`disseminated or otherwise made publicly available to the extent that persons
`
`interested and ordinarily skilled in the subject matter or art could locate it exercising
`
`reasonable diligence and obtain the document. I have also been informed by counsel
`
`that materials available in a library constitute “printed publications” if they are
`
`cataloged and indexed according to general library practices and protocols that make
`
`the references available and accessible to members of the interested public.
`
`22.
`
`I have been informed by counsel that the ’441 patent was filed in the
`
`United States on February 17, 2012, and that it claims priority to the provisional
`
`application filed on February 17, 2011. I have assessed public accessibility of the
`
`documents referenced below as of this claimed priority date.
`
`C.
`23.
`
`Person of Ordinary Skills in the Art
`I am told by counsel that the subject matter of this article relates to a
`
`system and method to provide attestation of applications at runtime.
`
`24.
`
`I have been informed by counsel that a “person having ordinary skill in
`
`the art at the time of the inventions” (PHOSITA) is a hypothetical person who is
`
`
`
`12
`
`Trend Micro, Inc.
`EX1007-12
`
`IPR2023-01464
`CrowdStrike EX1007 Page 12
`
`
`
`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 and literature applicable to the pertinent
`
`field.
`
`25.
`
`I am told by counsel that persons of ordinary skill in this subject matter
`
`or art would have had a bachelor’s degree in computer science, or a related field, or
`
`an equivalent technical degree or equivalent work experience, and an additional one
`
`to two years of education or experience in the field of computer security topics such
`
`as malware/exploit detection and/or network forensics. More education can
`
`supplement practical experience and vice versa.
`
`26.
`
`It is my opinion that such a person would have been actively engaged
`
`in learning about the field, possibly through formal instruction through the
`
`bibliographic resources. By at least February 17, 2011, such a person would have
`
`had access to a vast array of print and electronic resources, including at least the
`
`documents referenced below.
`
`D. Evidence Considered in Forming My Opinions
`
`27.
`
`In the preparation of this declaration, I have reviewed the documents
`
`referenced below and any other documents I reference herein, and each of these is a
`
`type of material that experts in my field would reasonably rely upon when forming
`
`their opinions:
`
`
`
`13
`
`Trend Micro, Inc.
`EX1007-13
`
`IPR2023-01464
`CrowdStrike EX1007 Page 13
`
`
`
`(1) The document referenced above in Section I.B;
`
`(2) Library copy of Munetoh, obtained from Linda Hall Library,
`Appendix 1005A;
`
`(3) Bibliographic and MARC records for IEICE Transactions on
`
`Information and Systems that contains Munetoh, available at
`
`https://catalog.lindahall.org/permalink/01LINDAHALL_INST/19l
`
`da7s/alma992684223405961 from the online catalog of the Linda
`
`Hall Library, accessed and obtained on March 24, 2023, Appendix
`
`1005B;
`
`(4) Citations to Munetoh, obtained from Google Scholar, Appendix
`1005C;
`
`(5) Library copy of Rajan, obtained from the library of the University
`
`of Texas at Austin, Appendix 1006A;
`
`
`
`(6) Bibliographic and MARC records for IEEE Transactions on
`
`Services Computing
`
`that
`
`contains Rajan,
`
`available
`
`at
`
`https://search.lib.utexas.edu/permalink/01UTAU_INST/19i7hhk/al
`
`ma991024341559706011 from the online catalog of the library of
`
`the University of Texas, Austin, accessed and obtained on March
`
`24, 2023, Appendix 1006B.
`
`
`
`
`
`14
`
`Trend Micro, Inc.
`EX1007-14
`
`IPR2023-01464
`CrowdStrike EX1007 Page 14
`
`
`
`These records are identified and discussed in this declaration. Experts in the field
`
`would reasonably rely on the data described herein to form their opinions.
`
`II. Authenticity and Public Availability of Munetoh (EX1005)
`
`A. Authentication
`
`28. EX1005 is a true and correct copy of “Integrity management
`
`infrastructure for trusted computing,” (“Munetoh”), by Munetoh et al., IEICE
`
`Transactions on Information and Systems, vol. 91, no. 5 (2008, May), pp. 1242-
`
`1251, that I obtained from the Institute of Electronics, Information and
`
`Communication Engineers (IEICE) of Japan. When I began preparing this
`
`declaration, I searched Google Scholar for Munetoh for records, and a record link
`
`led me
`
`to
`
`an
`
`IEICE metadata
`
`record
`
`for
`
`this
`
`article
`
`at
`
`https://search.ieice.org/bin/summary.php?id=e91-d_5_1242. I then followed the
`
`PDF link in the record to purchase this article from the publisher. This IEICE copy
`
`is presented as EX1005 in this declaration.
`
`29. EX1005 is a true and correct copy of Munetoh obtained from IEICE.
`
`Page 1 (internal page 1242) shows the title, authors, summary and key words
`
`(“trusted computing, integrity management, vulnerability management”) of this
`
`article. The top of this page indicates Munetoh is an invited paper for the “Special
`
`Section on Information and Communication System Security” and appears in
`
`“IEICE TRANS. INF. & SYST., VOL.E91-D, NO.5 May 2008.” The bottom of this
`
`
`
`15
`
`Trend Micro, Inc.
`EX1007-15
`
`IPR2023-01464
`CrowdStrike EX1007 Page 15
`
`
`
`page shows the manuscript was received on November 27, 2007, the article DOI
`
`(Digital Object Identifier) is “10.1093/ietisy/e91-d.5.1242,” the article carries a
`
`“2008” copyright date, and The Institute of Electronics, Information and
`
`Communication Engineers is the copyright holder. EX1005 shows Munetoh has a
`
`total of 10 pages, including six figures, two tables and 27 references.
`
`30. EX1005 is in a condition that creates no suspicion about its
`
`authenticity. Specifically, this copy is not missing any intermediate pages, the text
`
`on each page appears to flow seamlessly from one page to the next, and there are no
`
`visible alterations to the document. Moreover, EX1005 was found in the custody of
`
`the publisher, a place where, if authentic, it would likely be found. Accordingly, I
`
`see no reason to question the authenticity of the IEICE copy of Munetoh (EX1005).
`
`B.
`
`Linda Hall Library Copy
`
`31. To determine if Munetoh was available in libraries, I searched
`
`WorldCat for records for IEICE Transactions on Information and Systems that
`
`contains Munetoh,
`
`and
`
`found
`
`a
`
`record
`
`for
`
`this
`
`journal
`
`at
`
`https://www.worldcat.org/title/25533102 that identifies Linda Hall Library as one
`
`of the holding libraries. After I verified the holdings information in the library’s
`
`online catalog, I requested a copy of Munetoh from their Document Delivery
`
`Service. This library copy is presented as Appendix 1005A in this declaration.
`
`32. Appendix 1005A is a true and correct copy of Munetoh obtained from
`
`
`
`16
`
`Trend Micro, Inc.
`EX1007-16
`
`IPR2023-01464
`CrowdStrike EX1007 Page 16
`
`
`
`Linda Hall Library. Pages 1 to 10 (internal pages 1242 to 1251) are the full text of
`
`this article. I have closely compared this copy with the publisher copy (EX1005) and
`
`found them to have the same content.
`
`33. Page 11 is the issue cover that shows the journal title, ISSN, and the
`
`issue number. It also shows this journal is a publication of the Information and
`
`Systems Society of the Institute of Electronics, Information and Communication
`
`Engineers of Japan. The issue cover carries a date stamp of “Linda Hall Library JUN
`
`09 2008” that indicates this issue was received by the library on June 9, 2008. This
`
`cover also shows the issue is a “Special Section on Information and Communication
`
`System Security” and Munetoh is an invited paper that runs from internal pages 1242
`
`to 1251. Pages 11 to 13 show the table of contents of this issue and page 13 shows
`
`this issue has a “2008” copyright with the IEICE as the copyright holder.
`
`34. The date stamp on the issue cover (page 11 of Appendix 1005A) shows
`
`Linda Hall Library received this issue on June 9, 2008. As discussed earlier, a
`
`customary library practice in managing journal issues is to create a record for the
`
`entire journal, and use a serial check-in system to document the receipt of a new
`
`journal issue. After a newly received issue goes through the serial check-in process,
`
`it is processed promptly to make it available for user access, usually within a week
`
`after serial check-in. It is therefore my opinion that after the issue containing
`
`Munetoh was received by the library on June 9, 2008, the copy would have become
`
`
`
`17
`
`Trend Micro, Inc.
`EX1007-17
`
`IPR2023-01464
`CrowdStrike EX1007 Page 17
`
`
`
`publicly accessible no later than June 16, 2008.
`
`C.
`
`Linda Hall Library Records
`
`35. Appendix 1005B is a true and correct copy of the bibliographic and
`
`MARC records for IEICE Transactions on Information and Systems that contains
`
`Munetoh. I personally located, identified and obtained these records from the online
`
`catalog of the Linda Hall Library. These are the type of records experts in my field
`
`would reasonably rely upon when forming their opinions.
`
`36. Pages 1 to 3 of Appendix 1005B are the bibliographic record that
`
`shows this publication is a journal that is available at “Linda Hall Library Closed
`
`Stacks – Serials (I.E.I.C.E. transactions on information and systems).” The record
`
`also shows the title, other titles, creator, subject, identifiers, related title, publisher,
`
`creation date, format, publication frequency, and general notes.
`
`37. Page 4 is the MARC record for this journal. The first six digits of Field
`
`008 show the record was created on “920326” (i.e., March 26, 1992), and the
`
`“c19929999” code following the record creation date indicates this journal is a
`
`continuing resource that began publication in 1992 and has no end date of
`
`publication yet. Subfields “a” and “c” of Field 040 show that this MARC record was
`
`first created by “COD” and subfield “d” shows “LHL” modified the record later.
`
`According
`
`to
`
`the
`
`Directory
`
`of
`
`OCLC
`
`Members
`
`(https://www.oclc.org/en/contacts/libraries.html), COD is the OCLC library symbol
`
`
`
`18
`
`Trend Micro, Inc.
`EX1007-18
`
`IPR2023-01464
`CrowdStrike EX1007 Page 18
`
`
`
`for the University of Colorado at Boulder, and LHL is the OCLC library symbol for
`
`the Linda Hall Library. Data in Fields 008 and 040 inform my opinion that the library
`
`of the University of Colorado at Boulder cataloged this journal and created the
`
`original MARC record on March 26, 1992, and Linda Hall Library used that record
`
`to create their copy cataloging record later.
`
`38. Field 022 of the MARC record shows the ISSN of this journal, Field
`
`245 shows the title, Fields 246 show three variant titles are included to help users
`
`discover this journal, Field 260 shows the Institute of Electronics, Information and
`
`Communication Engineers of Tokyo, Japan has been the publisher since 1992, Field
`
`362 shows the journal began with “Vol. E75-D, no. 1” in January 1992, and Field
`
`310 shows the current publication frequency is “Bimonthly.” Field 710 shows the
`
`Japanese name of IEICE is included in the MARC record to help users discover this
`
`journal. The original MARC record includes a Library of Congress Classification
`
`number in Field 050, but Linda Hall Library does not use this number because they
`
`shelve journal by title. Subject of this journal is represented in Field 650 by a Library
`
`of Congress subject heading, with “Information technology” as the main heading,
`
`followed by a form subheading “Periodicals” encoded in subfield “v” (“$v”) to
`
`indicate the main topic is treated in a journal.
`
`39. This MARC record (Appendix 1005B) shows the journal containing
`
`Munetoh is a long-running journal, and the MARC record has made it discoverable
`
`
`
`19
`
`Trend Micro, Inc.
`EX1007-19
`
`IPR2023-01464
`CrowdStrike EX1007 Page 19
`
`
`
`in the library catalog of the Linda Hall Library. Because the date stamp on the Linda
`
`Hall Library copy of Munetoh (Appendix 1005A) shows the issue containing this
`
`article was received by the library on June 9, 2008, interested users would have been
`
`able to search for this journal in the library catalog by at least June 9, 2008. Interested
`
`users would have been able to discover this journal by the ISSN, title, variant titles,
`
`publisher, and the subject heading in the MARC record. The physical copy would
`
`have become publicly accessible by June 16, 2008, at Linda Hall Library.
`
`D. Usage Record
`
`40. Actual usage of a publication is reflected by the papers that make
`
`reference to it. The citation history on Google Scholar shows Munetoh has been
`
`cited 12 times. Appendix 1005C is a citation list I compiled from Google Scholar
`
`to demonstrate early usage. The earliest citation appeared in October 2008.
`
`E.
`
`Summary of My Opinion on Munetoh
`
`41. The date stamp on the Linda Hall Library copy of Munetoh (Appendix
`
`1005A) shows the library received the journal issue containing this article on June
`
`9, 2008. It is therefore my opinion that vol. 91, no. 5 (2008, May) of IEICE
`
`Transactions on Information and Systems (and Munetoh contained therein) would
`
`have been publicly accessible by June 16, 2008. Citation history shows the earliest
`
`citation was published by IEEE in October 2008.
`
`
`
`20
`
`Trend Micro, Inc.
`EX1007-20
`
`IPR2023-01464
`CrowdStrike EX1007 Page 20
`
`
`
`III. Authenticity and Public Availability of Rajan (EX1006)
`
`A. Authentication
`
`42. EX1006 is a true and correct copy of “Tisa: Toward trustworthy
`
`services in a service-oriented architecture,” (“Rajan”), by H. Rajan and M.
`
`Hosamani, IEEE Transactions on Services Computing, vol. 1, no. 4, (October-
`
`December 2008), pp. 201-213, that I obtained from IEEE Explore of the Electrical
`
`and Electronics Engineers, Inc. (IEEE). When I began preparing this declaration, I
`
`searched Google Scholar by the title of Rajan for records, and a link led me to an
`
`IEEE
`
`metadata
`
`record
`
`for
`
`this
`
`article
`
`at
`
`https://ieeexplore.ieee.org/abstract/document/4731232 that shows this article was
`
`published in vol. 1, issue 4 (Oct.-Dec. 2008) of IEEE Transactions on Services
`
`Computing, and its DOI (digital object identifier) is “10.1109/TSC.2008.18.” I then
`
`followed the PDF link in this record to purchase this article. This IEEE copy is
`
`presented as EX1006 in this declaration.
`
`43. EX1006 is a true and correct copy of Rajan obtained from IEEE. Page
`
`1 (internal page 201) shows the title, authors, abstract, and index terms (“Service-
`
`Oriented Architecture (SOA), Web services, verification, trust, client-side data
`
`privacy”) of this article. The page also shows the publication history of this work,
`
`indicating the manuscript was “received 29 Feb. 2008; revised 28 July 2008;
`
`accepted 10 Dec. 2008;” and “published online 18 Dec. 2008.” The bottom of this
`
`
`
`21
`
`Trend Micro, Inc.
`EX1007-21
`
`IPR2023-01464
`CrowdStrike EX1007 Page 21
`
`
`
`page shows this article’s Digital Object Identifier as “10.1109/TSC.2008.18.” It also
`
`shows Rajan appears in a journal whose ISSN (International Standard Serial
`
`Number) is “1939-1374” and is published by the IEEE Computer Society. Page 1
`
`also shows Rajan carries a “2008” copyright date, and IEEE is the copyright holder.
`
`EX1006 shows Rajan has a total of
Accessing this document will incur an additional charge of $.
After purchase, you can access this document again without charge.
Accept $ Charge
Still Working On It
This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.
Give it another minute or two to complete, and then try the refresh button.
A few More Minutes ... Still Working
It can take up to 5 minutes for us to download a document if the court servers are running slowly.
Thank you for your continued patience.
This document could not be displayed.
We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.
Your account does not support viewing this document.
You need a Paid Account to view this document. Click here to change your account type.
Your account does not support viewing this document.
Set your membership
status to view this document.
With a Docket Alarm membership, you'll
get a whole lot more, including:
- Up-to-date information for this case.
- Email alerts whenever there is an update.
- Full text search for other cases.
- Get email alerts whenever a new case matches your search.
One Moment Please
The filing “” is large (MB) and is being downloaded.
Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.
Your document is on its way!
If you do not receive the document in five minutes, contact support at support@docketalarm.com.
Sealed Document
We are unable to display this document, it may be under a court ordered seal.
If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.
Access Government Site
