UNITED STATES PATENT AND TRADEMARK OFFICE
`____________________________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`CIRRUS LOGIC, INC.;
`OMNIVISION TECHNOLOGIES, INC.; AND
`AMS SENSORS USA INC.
`Petitioner
`v.
`
`GREENTHREAD LLC,
`
`Patent Owner
`
`________________________________
`U.S. Patent No. 10,510,842
`
`Case IPR2024-TBD
`_______________
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, Ph.D.
`
`CIRRUS EX. 1036 - 1/30
`
`
`____________________________________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________________________________________
`
`CIRRUS LOGIC, INC.;
`OMNIVISION TECHNOLOGIES, INC.; AND
`AMS SENSORS USA INC.
`Petitioner
`v.
`
`GREENTHREAD LLC,
`
`Patent Owner
`
`________________________________
`U.S. Patent No. 10,510,842
`
`Case IPR2024-TBD
`_______________
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, Ph.D.
`
`CIRRUS EX. 1036 - 1/30
`
`
`
`I.
`
`INTRODUCTION
`1.
`My name is Sylvia D. Hall-Ellis. I have been retained as an expert by
`
`GlobalFoundries, Incorporated (“GlobalFoundries”).
`
`2.
`
`I have written this declaration at the request of GlobalFoundries to
`
`provide my expert opinion regarding the authenticity and public availability of
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`several publications. My declaration sets forth my opinions in detail and provides
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`the basis for my opinions regarding the authenticity and public availability of these
`
`publications.
`
`3.
`
`I reserve the right to supplement or amend my opinions, and bases for
`
`them, in response to any additional evidence, testimony, discovery, argument, and/or
`
`other additional information that may be provided to me after the date of this
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`declaration.
`
`4.
`
`I am being compensated for my time spent working on this matter at
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`my normal consulting rate of $325 per hour, plus reimbursement for any additional
`
`reasonable expenses. My compensation is not in any way tied to the content of this
`
`declaration, the substance of my opinions, or the outcome of this proceeding. I have
`
`no other interests in this proceeding or with any of the parties.
`
`5.
`
`All of the materials that I considered and relied upon are discussed
`
`explicitly in this declaration.
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`1
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`CIRRUS EX. 1036 - 2/30
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`
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`II. QUALIFICATIONS
`I am currently an Adjunct Professor in the School of Information at San
`6.
`
`José State University in San José, California. I obtained a Master of Library Science
`
`from the University of North Texas in 1972 and a Ph.D. in Library and Information
`
`Science from the University of Pittsburgh in 1985. Over the last fifty years, I have
`
`held various positions in the field of library and information resources. I was first
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`employed as a librarian in 1966 and have been involved in the field of library
`
`sciences since, holding numerous positions.
`
`7.
`
`I am a member of the American Library Association (ALA) and its
`
`Association for Library Collections & Technical Services (ALCTS) Division, and I
`
`served on the Committee on Cataloging: Resource and Description (which wrote the
`
`new cataloging rules) and as the chair of the Committee for Education and Training
`
`of Catalogers and the Competencies and Education for a Career in Cataloging
`
`Interest Group. I also served as the founding Chair of the ALCTS Division’s Task
`
`Force on Competencies and Education for a Career in Cataloging. Additionally, I
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`have served as the Chair for the ALA Office of Diversity’s Committee on Diversity,
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`as a member of the REFORMA National Board of Directors, as a member of the
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`Editorial Board for the ALCTS premier cataloging journal, Library Resources and
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`Technical Services, as a Co-Chair of the Membership Committee for the Library
`
`2
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`CIRRUS EX. 1036 - 3/30
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`
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`Research Round Table (LRRT) of the American Library Association, and as a
`
`member of the LRRT Nominating Committee.
`
`8.
`
`I have also given over one hundred presentations in the field, including
`
`several on library cataloging systems and Machine-Readable Cataloging (“MARC”)
`
`standards. My current research interests include library cataloging systems,
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`metadata, and organization of electronic resources.
`
`9. My full curriculum vitae is attached as an Appendix to this declaration.
`
`III. PRELIMINARIES
`
`A.
`
`10.
`
`Scope of Declaration and Legal Standards
`
`I am not an attorney and will not offer opinions on the law. I am,
`
`however, rendering my expert opinion on the authenticity of the documents
`
`referenced herein and on when and how each of these documents was disseminated
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`or otherwise made available to the extent that persons interested and ordinarily
`
`skilled in the subject matter or art, exercising reasonable diligence, could have
`
`located the documents before September 3, 2004.
`
`11.
`
`I am informed by counsel that a printed publication qualifies as publicly
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`accessible as of the date it was disseminated or otherwise made available such that
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`a person interested in and ordinarily skilled in the relevant subject matter could
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`locate it through the exercise of ordinary diligence.
`
`12. While I understand that the determination of public accessibility under
`
`3
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`CIRRUS EX. 1036 - 4/30
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`
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`the foregoing standard rests on a case-by-case analysis of the facts particular to an
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`individual publication, I also understand that a printed publication is rendered
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`“publicly accessible” if it is cataloged and indexed by a library such that a person
`
`interested in the relevant subject matter could locate it exercising reasonable
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`diligence (i.e., I understand that cataloging and indexing by a library in a manner
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`that permits a person of ordinary skill in the relevant subject matter to locate the
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`publication is sufficient, though there are other ways that a printed publication may
`
`qualify as publicly accessible). One manner of sufficient indexing is indexing
`
`according to subject matter category. I understand that the cataloging and indexing
`
`by a single library of a single instance of a particular printed publication is sufficient,
`
`even if the single library is in a foreign country. I understand that, even if access to
`
`a library is restricted, a printed publication that has been cataloged and indexed
`
`therein is publicly accessible so long as a presumption is raised that the portion of
`
`the public concerned with the relevant subject matter would know of the printed
`
`publication. I also understand that the cataloging and indexing of information that
`
`would guide a person interested in the relevant subject matter to the printed
`
`publication, such as the cataloging and indexing of an abstract for the printed
`
`publication, is sufficient to render the printed publication publicly accessible.
`
`13.
`
`I understand that routine business practices, such as general library
`
`cataloging and indexing practices, can be used to establish an approximate date on
`
`4
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`CIRRUS EX. 1036 - 5/30
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`
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`which a printed publication became publicly accessible.
`
`B.
`
`14.
`
`Persons of ordinary skill in the art.
`
`I am told by counsel that the subject matter of this proceeding relates to
`
`Complementary Metal-Oxide Semiconductor (CMOS) devices having graded
`
`dopant concentrations.
`
`15.
`
`I have been informed by counsel that a “person of ordinary skill in the
`
`art at the time of the invention” (“POSITA”) is a hypothetical person who is
`
`presumed to be familiar with the relevant field and its literature at the time of the
`
`inventions. This hypothetical person is also a person of ordinary creativity, capable
`
`of understanding the scientific principles applicable to the pertinent field.
`
`16.
`
`I am told by counsel that persons of ordinary skill in this subject matter
`
`or art would have had a Bachelor’s degree in electrical engineering, material science,
`
`applied physics, or a related field, and four years of experience in semiconductor
`
`design and manufacturing or equivalent work experience. I understand that this level
`
`of skill is approximate, and more experience would compensate for less formal
`
`education, and vice versa. I have been further informed by counsel that a person of
`
`ordinary skill in the art would have been familiar with and able to understand the
`
`information known in the art relating to these fields, including the publications
`
`discussed in this declaration.
`
`17.
`
`It is my opinion that such a person would have been engaged in
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`5
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`CIRRUS EX. 1036 - 6/30
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`
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`research, learning, study, and practice in the field, and formal instruction so that the
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`bibliographic resources relevant to his or her research would be familiar. Before
`
`September 3, 2004, such a person would have had access to a vast array of long-
`
`established print resources in electrical engineering as well as to a rich set of online
`
`resources providing indexing information, abstracts, and full text services.
`
`IV. LIBRARY PROFESSIONAL PRACTICES
`
`18.
`
`In preparing this declaration, I used authoritative databases, such as the
`
`OCLC bibliographic database, the Library of Congress Online Catalog, and the
`
`Library of Congress Subject Authorities, to confirm citation details of the various
`
`publications discussed. Unless I note otherwise below in reference to a specific serial
`
`publication, it is my expert opinion that this standard protocol was followed for the
`
`serial publication discussed below.
`
`19.
`
`Indexing. A researcher may discover material relevant to his or her
`
`topic in a variety of ways. One common means of discovery is to search for relevant
`
`information in an index of periodicals and other publications. Having found relevant
`
`material, the researcher will then normally obtain it online, look for it in libraries, or
`
`purchase it from the publisher, a bookstore, a document delivery service, or other
`
`provider. Sometimes, the date of a document’s public accessibility will involve both
`
`indexing and library date information. However, date information for indexing
`
`entries is often unavailable. This is especially true for online indices.
`
`6
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`CIRRUS EX. 1036 - 7/30
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`20.
`
`Indexing services use a wide variety of controlled vocabularies to
`
`provide subject access and other means of discovering the content of documents.
`
`The Library of Congress Subject Authorities includes standard forms of terms and
`
`cross references that are included in bibliographic records. Subject headings are
`
`terms that an individual seeking a document regardless of format can enter in the
`
`search bar of the online catalog. Subjects also connect an authenticated term (one
`
`included in the Library of Congress subject headings list) with related, broader, and
`
`narrower terms. The formats in which these access terms are presented vary from
`
`service to service.
`
`21. Online indexing services commonly provide bibliographic information,
`
`abstracts, and full-text copies of the indexed publications, along with a list of the
`
`documents cited in the indexed publication. These services also often provide lists
`
`of publications that cite a given document. A citation of a document is evidence that
`
`the document was publicly available and in use by researchers no later than the
`
`publication date of the citing document. Prominent indexing services include
`
`Scopus, the IEEE Xplore database, the ACM Digital Library, Google Scholar, and
`
`the Internet Archive.
`
`V. LIBRARY CATALOGING PRACTICES
`
`A. MARC RECORDS AND THE ONLINE CATALOG
`22. MARC is a framework into which descriptive bibliographic data are
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`7
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`CIRRUS EX. 1036 - 8/30
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`
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`transcribed to interact with the software in online library catalogs to provide access
`
`to books, journals, and other resources in the collection. The bibliographic data
`
`provide points of access and can be searched by a POSITA to identify and obtain
`
`resources in the library collection. An information seeker (or POSITA) can search a
`
`local online library catalog or the holdings of a group of libraries in a state or region
`
`or in the global catalog WorldCat.
`
`23. MARC records are not designed for public viewing. Although a
`
`significant number of libraries provide access to the MARC version of a
`
`bibliographic record, the public display is designed to show information in a succinct
`
`manner that is quickly understood and useful to the information seeker. Libraries
`
`determine the default search for the online catalog to make the entry of search terms
`
`efficient and result in a successful search. Information seekers can enter a keyword,
`
`title, author, or standard number for the item. Libraries may also provide a search
`
`capability called “Summon” that allows the information seeker to enter known
`
`information about the item to conduct a search.
`
`24. Learning to use an online library catalog begins in elementary school
`
`and continues through high school and post-secondary studies. Undergraduate
`
`students further develop their skills to use the online catalog at the academic
`
`institution where they are studying through information literacy instruction which is
`
`provided by professional reference and user experience librarians. The skills
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`8
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`CIRRUS EX. 1036 - 9/30
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`
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`required to search, identify, and obtain the resources identified in this declaration are
`
`fundamental to using the online catalogs in libraries and information centers.
`
`Therefore, a POSITA who has attained the undergraduate and/or graduate
`
`educational levels described above (see paragraph xx) possesses the searching and
`
`retrieval skills needed to search library catalogs.
`
`25. Professional catalog and metadata librarians prepare and enhance
`
`MARC records to provide points of access for each item in the library collection.
`
`Using a set of internationally adopted guidelines, rules for the assignment of
`
`classification numbers, and the assignment of subject headings from standardized
`
`lists, taxonomies, folksonomies, locally developed lists. An information seeker
`
`(including POSITAs) can search the online library catalog in a number of ways to
`
`identify a specific item or resources on a defined topic.
`
`26. The continued development of the software that supports integrated
`
`online library catalogs resulted in the potential to search by an individual creator or
`
`author, title proper or variant title, a series that contains the desired item, subjects,
`
`corporate bodies responsible in part for the creation of an item, or standard
`
`identification numbers associated with the item (e.g., International Standard Book
`
`Numbers (ISBN), International Standard Serial Numbers (ISSN), and Publisher’s
`
`Numbers). Each of these data elements appears in a prescribed location within the
`
`MARC framework so that the software can parse, index, and display data elements
`
`9
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`CIRRUS EX. 1036 - 10/30
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`resulting from a user-initiated search.
`
`27. Examining the MARC records for a specific item reveals the
`
`comprehensive data transcribed about a particular item at the time that cataloging
`
`and classification occurred. In addition to the creator, title, subjects, and standard
`
`numbers, additional information may provide additional and relevant data depending
`
`on the type of resource. Understanding the full extent of bibliographic data for an
`
`item and the points of access associated with it provides essential information that
`
`can be used to determine the indexing and public availability for documents
`
`described in this declaration.
`
`B. MARC RECORDS
`I am fully familiar with the library cataloging standard known as the
`28.
`
`MARC standard, which is an industry-wide standard method of storing and
`
`organizing library catalog information.1 MARC was first developed in the 1960’s by
`
`the Library of Congress. A MARC-compatible library is one that has a catalog
`
`consisting of individual MARC records for each of its items. Today, MARC is the
`
`primary communications protocol for the transfer and storage of bibliographic
`
`
`1 The full text of the standard is available from the Library of Congress at
`http://www.loc.gov/marc/bibliographic/ (last visited August 25, 2023).
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`10
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`CIRRUS EX. 1036 - 11/30
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`
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`metadata in libraries.2
`
`29. Since at least the early 1970s and continuing to the present day, MARC
`
`has been the primary communications protocol for the transfer and storage of
`
`bibliographic metadata in libraries.3 As explained by the Library of Congress:
`
`You could devise your own method of organizing the
`bibliographic information, but you would be isolating your library,
`limiting its options, and creating much more work for yourself. Using
`the MARC standard prevents duplication of work and allows libraries
`to better share bibliographic resources. Choosing to use MARC enables
`libraries to acquire cataloging data that is predictable and reliable. If a
`
`
`2 Almost every major library in the world is MARC-compatible. See, e.g., MARC
`Frequently Asked Questions (FAQ), Library of Congress,
`https://www.loc.gov/marc/faq.html (last visited August 25, 2023) (“MARC is the
`acronym for MAchine-Readable Cataloging. It defines a data format that emerged
`from a Library of Congress-led initiative that began nearly fifty years ago. It
`provides the mechanism by which computers exchange, use, and interpret
`bibliographic information, and its data elements make up the foundation of most
`library catalogs used today.”). MARC is the ANSI/NISO Z39.2-1994 (reaffirmed
`2016) standard for Information Interchange Format.
`3 A complete history of the development of MARC can be found in MARC: Its
`History and Implications by Henrietta D. Avram (Washington, DC: Library of
`Congress, 1975) and available online from the Hathi Trust
`(https://babel.hathitrust.org/cgi/pt?id=mdp.39015034388556;view=1up;seq=1; last
`visited August 25, 2023).
`
`11
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`CIRRUS EX. 1036 - 12/30
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`
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`library were to develop a “home-grown” system that did not use MARC
`records, it would not be taking advantage of an industry-wide standard
`whose primary purpose is to foster communication of information.
`Using the MARC standard also enables libraries to make use of
`commercially available library automation systems to manage library
`operations. Many systems are available for libraries of all sizes and are
`designed to work with the MARC format. Systems are maintained and
`improved by the vendor so that libraries can benefit from the latest
`advances in computer technology. The MARC standard also allows
`libraries to replace one system with another with the assurance that their
`data will still be compatible. Why Is a MARC Record Necessary?
`LIBRARY OF CONGRESS. 4
`
`30. Thus, almost every major library in the world is MARC-compatible.
`
`See, e.g., MARC Frequently Asked Questions (FAQ), LIBRARY OF CONGRESS. 5
`
`(“MARC is the acronym for MAchine-Readable Cataloging. It defines a data format
`
`that emerged from a Library of Congress-led initiative that began fifty years ago. It
`
`provides the mechanism by which computers exchange, use, and interpret
`
`bibliographic information, and its data elements make up the foundation of most
`
`library catalogs used today.”). MARC is the ANSI/NISO Z39.2-1994 standard
`
`(reaffirmed in 2016) for Information Interchange Format. The full text of the
`
`
`4 http://www.loc.gov/marc/umb/um01to06.html#part2
`5 https://www.loc.gov/marc/faq.html
`
`12
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`CIRRUS EX. 1036 - 13/30
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`
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`standard is available from the Library of Congress.6
`
`31. A MARC record comprises several fields, each of which contains
`
`specific data about the work. Each field is identified by a standardized, unique, three-
`
`digit code corresponding to the type of data that follow. For example, a work’s title
`
`is recorded in Field 245; the primary author of the work is transcribed in Field 100;
`
`an item’s International Standard Book Number (“ISBN”) consisting of ten or
`
`thirteen digits is transcribed in Field 020; an item’s International Standard Serial
`
`Number (“ISSN”) is transcribed in Field 022; the Library of Congress classification
`
`notation is recorded in Field 050; and the publication date is recorded in Field 260
`
`under the subfield “c.” If a work is a periodical, then its publication frequency is
`
`recorded in Field 310, and the publication dates (e.g., the first and last publication)
`
`are recorded in Field 362, which is also referred to as the enumeration/chronology
`
`field.7
`
`32. The library that created the record is recorded in Field 040 in subfield
`
`“a” with a unique library code. When viewing the MARC record online via Online
`
`Computer Library Center’s (“OCLC”) bibliographic database, hovering over this
`
`code with the mouse reveals the full name of the library. I used this method of
`
`“mousing over” the library codes in the OCLC database to identify the originating
`
`
`6 http://www.loc.gov/marc/bibliographic/
`7 http://www.loc.gov/marc/bibliographic/bd3xx.html
`
`13
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`CIRRUS EX. 1036 - 14/30
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`
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`library for the MARC records discussed in this declaration. Where this “mouse over”
`
`option was not available, I consulted the Directory of OCLC Libraries to identify the
`
`institution that created the MARC record.8
`
`33. 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.9 For example, 6XX fields are termed “Subject Access
`
`Fields.”10 Among these, for example, is the 650 field; this is the “Subject Added
`
`Entry – Topical Term” field.11 The 650 field is a “[s]ubject added entry in which the
`
`entry element is a topical term.” These entries “are assigned to a bibliographic record
`
`to provide access according to generally accepted thesaurus-building rules (e.g.,
`
`Library of Congress Subject Headings (LCSH), Medical Subject Headings
`
`(MeSH)).” Id. Further, MARC records include call numbers, which themselves
`
`include a classification number. For example, the 050 field is the “Library of
`
`Congress Call Number.”12 A defined portion of the Library of Congress Call (LCC)
`
`Number is the classification number, and “source of the classification number is
`
`
`8 https://www.oclc.org/en/contacts/libraries.html
`9 http://www.loc.gov/marc/bibliographic/
`10 http://www.loc.gov/marc/bibliographic/bd6xx.html
`11 http://www.loc.gov/marc/bibliographic/bd650.html
`12 http://www.loc.gov/marc/bibliographic/bd050.html
`
`14
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`CIRRUS EX. 1036 - 15/30
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`Library of Congress Classification and the LC Classification-Additions and
`
`Changes.” Thus, included in the 050 field is a subject matter classification. Further,
`
`the 082 field is the “Dewey Decimal Call Number.” 13 A defined portion of the
`
`Dewey Decimal Call (DDC) Number is the classification number, and “source of
`
`the classification number is the Dewey Decimal Classification and Relative Index.”
`
`Thus, included in the 082 field is a subject matter classification. Each item in a
`
`library has a single classification number. A library selects a classification scheme
`
`(e.g., the Library of Congress classification scheme just described or a similar
`
`scheme such as the Dewey Decimal classification scheme) and uses it consistently.
`
`When the Library of Congress assigns the LCC classification number, it appears as
`
`part of the 050 field. When the Library of Congress assigns the DDC classification
`
`number, it appears as part of the 082 field. If a local library assigns the classification
`
`number, it appears in a 090 field. In either scenario, the MARC record includes a
`
`classification number that represents a subject matter classification.
`
`C. OCLC
`34. The OCLC was created “to establish, maintain and operate a
`
`computerized library network and to promote the evolution of library use, of libraries
`
`themselves, and of librarianship, and to provide processes and products for the
`
`benefit of library users and libraries, including such objectives as increasing
`
`
`13 http://www.loc.gov/marc/bibliographic/bd082.html
`
`15
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`CIRRUS EX. 1036 - 16/30
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`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.”14 Among other services, OCLC and
`
`its members are
`
`responsible
`
`for maintaining
`
`the WorldCat database
`
`(http://www.worldcat.org/), used by
`
`independent and
`
`institutional
`
`libraries
`
`throughout the world.
`
`35. OCLC also provides its members online access to MARC records
`
`through its OCLC bibliographic database. When an OCLC member institution
`
`acquires a work, it creates a MARC record for this work in its computer catalog
`
`system in the ordinary course of its business. MARC records created at the Library
`
`of Congress are tape-loaded into the OCLC database through a subscription to
`
`MARC Distribution Services daily or weekly. Once the MARC record is created by
`
`a cataloger at an OCLC member institution or is tape-loaded from the Library of
`
`Congress, the MARC record is then made available to any other OCLC members
`
`online, and therefore made available to the public. Accordingly, once the MARC
`
`record is created by a cataloger at an OCLC member institution or is tape-loaded
`
`
`14 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`Library Center, Incorporated (available at
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf).
`
`16
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`CIRRUS EX. 1036 - 17/30
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`from the Library of Congress or another library anywhere in the world, any
`
`publication corresponding to the MARC record has been cataloged and indexed
`
`according to its subject matter such that a person interested in that subject matter
`
`could, with reasonable diligence, locate and access the publication through any
`
`library with access to the OCLC bibliographic database or through the Library of
`
`Congress.
`
`36. When an OCLC member institution creates a new MARC record,
`
`OCLC automatically supplies the date of creation for that record. The date of
`
`creation for the MARC record appears in the fixed Field (008), characters 00 through
`
`05. The MARC record creation date reflects the date on which, or shortly after
`
`which, the item was first acquired or cataloged. Initially, Field 005 of the MARC
`
`record is automatically populated with the date the MARC record was created in
`
`year, month, day format (YYYYMMDD) (some of the newer library catalog systems
`
`also include hour, minute, second (HHMMSS)). Thereafter, the library’s computer
`
`system may automatically update the date in Field 005 every time the library updates
`
`the MARC record (e.g., to reflect that an item has been moved to a different shelving
`
`location within the library). Field 005 is visible when viewing a MARC record via
`
`an appropriate computerized interface, but when a MARC record is printed to
`
`hardcopy, no “005” label appears. The initial Field 005 date (i.e., the date the MARC
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`17
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`CIRRUS EX. 1036 - 18/30
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`record was created) does appear, however, next to the label “Entered.”15 The date
`
`upon which the most recent update to Field 005 occurred also appears, next to the
`
`label “Replaced.” Thus, when an item’s MARC record has been printed to
`
`hardcopy—as is the case with the exhibits to this declaration—the date reflected next
`
`to the label “Entered” is necessarily on or after the date the library first cataloged
`
`and indexed the underlying item.
`
`37. Once one library has cataloged and indexed a publication by creating a
`
`MARC record for that publication, other libraries that receive the publication do not
`
`create additional MARC records—the other libraries instead rely on the original
`
`MARC record. They may update or revise the MARC record to ensure accuracy, but
`
`they do not replace or duplicate it. This practice does more than save libraries from
`
`duplicating labor. It also enhances the accuracy of MARC records. Further, it allows
`
`librarians around the world to know that a particular MARC record is authoritative
`
`(in contrast, a hypothetical system wherein duplicative records were created would
`
`result in confusion as to which record is authoritative).
`
`38. Catalogers can create MARC records for all types of print, online, and
`
`
`15 Field 005 is visible when viewing a MARC record via an appropriate
`computerized interface. But when a MARC record is printed directly to hardcopy
`from the OCLC database, the “005” label is not shown. The date in the 005 field
`instead appears next to the label “Replaced.”
`
`18
`
`CIRRUS EX. 1036 - 19/30
`
`
`
`digital resources. The date of creation of the MARC record by a cataloger at an
`
`OCLC member institution reflects when the underlying item is accessible to the
`
`public. Upwards of two-thirds to three-quarters of book sales to libraries come from
`
`a jobber or wholesaler for online and print resources. These resellers make it their
`
`business to provide books to their customers as fast as possible, often providing
`
`turnaround times of only a single day after publication. Libraries purchase a
`
`significant portion of the balance of their books directly from publishers themselves,
`
`which provide delivery on a similarly expedited schedule. In general, libraries make
`
`these purchases throughout the year as the books are published and shelve the books
`
`as soon thereafter as possible to make the books available to their patrons. Thus,
`
`books are generally available at libraries across the country within just a few days
`
`of publication.
`
`39.
`
`Journals. MARC records that cover serial publications include both
`
`serially-published monographs and journals. OCLC hosts MARC records for more
`
`than 320 million serial publications. Serial publications are those publications that
`
`have the same collective title but are intended to be continued indefinitely with
`
`enumeration such as a volume or issue number (e.g., magazines, journals, etc.). In
`
`the OCLC bibliographic database, the first issue of the serial publication is typically
`
`cataloged (i.e., a corresponding MARC record is created), but the date is left open-
`
`ended with the use of a punctuation mark such as a dash. OCLC serial publication
`
`19
`
`CIRRUS EX. 1036 - 20/30
`
`
`
`MARC records represent the entire run of the serial title. With knowledge of the
`
`first issue published, future issues can be predicted based on the information
`
`provided in the MARC record, for example in field 362. In my extensive
`
`professional experience, is it highly unusual for a library to stop collecting and
`
`shelving a serial publication prior to the end of its publication run. If a subscription
`
`to a serial publication ends its run or is cancelled before the end of its run, the library
`
`will denote that it has stopped receiving new volumes by filling in the end date in
`
`the MARC record.
`
`40. The handling of printed journal subscriptions is shown on the cover or
`
`the first few pages of individual issues. As was the best practice among libraries,
`
`issues arrived at a central facility and were immediately received, verified as part of
`
`a subscription, checked in, and stamped or labeled with the institution’s name and
`
`date. Determining that the issue was part of the library subscription ensured that the
`
`entire set of publications for the year had been received so that they could be
`
`professionally bound and retained. This process also verified that all of the
`
`published issues arrived so that the library staff did not have to request or claim an
`
`issue that did not arrive as expected. In large public libraries with branches and
`
`multi-campus libraries within academic institutions, the journals were sorted and
`
`delivered to the subscribing unit. The new issue was placed in the public area; the
`
`older issue was stored so that it remained available.
`
`20
`
`CIRRUS EX. 1036 - 21/30
`
`
`
`41. The foregoing process has been standard library practice longer than I
`
`have been working in the profession. I first learned the steps in the process in the
`
`late 1970s and later supervised it. Although the checking in process has become
`
`automated and now links electronically to holdings records for the MARC record
`
`for each serial title, the manual placement of a stamp or label and placing the issue
`
`in a public area has not changed for 50 years. Unless I note otherwise below in
`
`reference to a specific serial publication, it is my expert opinion that this standard
`
`protocol was followed for the serial publication discussed below.
`
`VI. Silicon Processing for the VLSI Era, 2nd edition, 4 volumes, by Stanley
`Wolf and Richard N. Tauber. EXHIBIT 1008 (“Wolf”)
`
`42. Exhibit 1008 is a set of copies from the four-volume series titled Silicon
`
`
`
`Processing for the VLSI Era, 2nd edition, by Stanley Wolf and Richard N. Tauber.
`
`Each
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