Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`U.S. Patent No.:
`Petitioner:
`
`Patent Owner:
`Case No.:
`
`9,138,862
`SAMSUNG ELECTRONICS CO. LTD.,
`SAMSUNG ELECTRONICS AMERICA, INC.,
`SAMSUNG SEMICONDUCTOR, INC., and
`SAMSUNG AUSTIN SEMICONDUCTOR, LLC
`CHIEN-MIN SUNG
`IPR2024-00534
`
`DECLARATION OF INGRID HSIEH-YEE, PH.D.
`ON BEHALF OF PETITIONER
`
`IPR2024-00534
`Samsung Electronics Co. Ltd. et al v. Chien-Min Sung
`Samsung's Exhibit 1027
`Ex. 1027, Page 1
`
`
`U.S. Patent No. 9,138,862
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`U.S. Patent No.:
`Petitioner:
`
`Patent Owner:
`Case No.:
`
`9,138,862
`SAMSUNG ELECTRONICS CO. LTD.,
`SAMSUNG ELECTRONICS AMERICA, INC.,
`SAMSUNG SEMICONDUCTOR, INC., and
`SAMSUNG AUSTIN SEMICONDUCTOR, LLC
`CHIEN-MIN SUNG
`IPR2024-00534
`
`DECLARATION OF INGRID HSIEH-YEE, PH.D.
`ON BEHALF OF PETITIONER
`
`IPR2024-00534
`Samsung Electronics Co. Ltd. et al v. Chien-Min Sung
`Samsung's Exhibit 1027
`Ex. 1027, Page 1
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`TABLE OF CONTENTS
`
`
`
`Page
`Introduction ..................................................................................................... 1
`
`I.
`
`II. Qualifications and Professional Experience ................................................... 2
`
`III. Library Cataloging .......................................................................................... 3
`
`A. Machine-Readable Cataloging (“MARC”) ........................................... 3
`
`B. OCLC, WorldCat & FirstSearch ........................................................... 4
`
`C.
`
`D.
`
`E.
`
`Library Online Catalogs ....................................................................... 7
`
`Scope Of This Declaration .................................................................. 10
`
`Evidence Considered in Forming My Opinion ................................... 12
`
`IV. Authenticity and Public Availability of SungICPT (EX1005) ..................... 14
`
`A. Authenticity of SungICPT .................................................................. 14
`
`1.
`
`Copy of SungICPT from IEEE Xplore Digital Library ............ 14
`
`B.
`
`Public Availability of SungICPT ........................................................ 16
`
`1.
`
`2.
`
`3.
`
`4.
`
`German National Library Records ........................................... 16
`
`TIB Records .............................................................................. 20
`
`ICPT 2007 Conference Program .............................................. 22
`
`Internet Archive Records .......................................................... 24
`
`C.
`
`Summary of My Conclusions on SungICPT ...................................... 27
`
`V. Availability for Cross-Examination .............................................................. 28
`
`VI.
`
`Jurat ............................................................................................................... 29
`
`i
`
`
`Ex. 1027, Page 2
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`I, Ingrid Hsieh-Yee, declare as follows.
`
`I.
`
`Introduction
`
`1. My name is Ingrid Hsieh-Yee.
`
`
`
`2.
`
`I have been retained by Samsung Electronics Co. Ltd., Samsung
`
`Electronics America, Inc., Samsung Semiconductor, Inc., and Samsung Austin
`
`Semiconductor, LLC (hereinafter collectively “Samsung”).
`
`3.
`
`I have written this report at the request of Samsung to provide my
`
`expert opinion regarding the authenticity and public availability of certain prior art
`
`reference in relation to US Patent No. 9,138,862 (the “’862 patent”). My report sets
`
`forth my opinions in detail and provides the basis for my opinions regarding the
`
`public availability of this publication.
`
`4.
`
`I am working as an independent consultant in this matter, and I am
`
`being compensated for my time at my customary hourly rate. I am also being
`
`reimbursed for any reasonable expenses associated with my work and testimony in
`
`this investigation.
`
`5. My compensation is not contingent on the results of my study, the
`
`substance of my opinions, or the outcome of this matter.
`
`6.
`
`I have no financial interest in the outcome of this case. Likewise, I
`
`have no financial interest in Samsung or in the ’862 Patent.
`
`1
`
`Ex. 1027, Page 3
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`7.
`
`
`I do not have any personal knowledge of nor have I had any contact
`
`
`
`with Dr. Chien-Min Sung, who is the named inventor of the ’862 Patent.
`
`8.
`
`All of the materials that I considered are discussed explicitly in this
`
`declaration.
`
`II. Qualifications and Professional Experience
`
`9. My complete qualifications and professional experience are described
`
`in my academic curriculum vitae, which is attached hereto as Appendix A.
`
`10.
`
`I was a professor in the Department of Library and Information
`
`Science at the Catholic University of America for 32 years and was conferred the
`
`title of Professor Emerita in December 2022. I have experience working in an
`
`academic library, a medical library, and a legislative library. I hold a Ph.D. and a
`
`Masters in Library and Information Studies from the University of Wisconsin-
`
`Madison.
`
`11.
`
`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,
`
`Metadata, Digital Content Creation and Management, Internet Searches and Web
`
`2
`
`
`Ex. 1027, Page 4
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`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 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.
`
`III. Library Cataloging
`
`A. Machine-Readable Cataloging (“MARC”)
`
`12.
`
`I am familiar with a library cataloging encoding standard known as
`
`the “Machine-Readable Cataloging” standard, also known as “MARC,” which
`
`became the national standard for sharing bibliographic data in the United States by
`
`1971 and the international standard by 1973.1 MARC is the primary
`
`communications protocol for the transfer and storage of bibliographic metadata in
`
`
`1 The full text of the standard is available from the Library of Congress at
`http://www.loc.gov/marc/bibliographic/.
`
`3
`
`
`Ex. 1027, Page 5
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`libraries. Experts in my field would reasonably rely upon MARC records when
`
`
`
`forming their opinions.
`
`13. 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.
`
`14. 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 the Library of Congress that
`
`explains commonly used MARC fields.
`
`15. For example, the personal author of a 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.
`
`B. OCLC, WorldCat & FirstSearch
`
`16. The Online Computer Library Center (OCLC) is the largest
`
`bibliographic network in the world, with more than 554 million records and
`
`thousands of member institutions (many of which are libraries of some type) in
`
`more than 100 countries. OCLC was founded in 1967 to promote and support
`
`library cooperation. According to the “Third Article, Amended Articles of
`
`4
`
`
`Ex. 1027, Page 6
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`
`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).
`
`17. 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 the 040 field. 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).
`
`5
`
`
`Ex. 1027, Page 7
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`
`18. 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. Records in WorldCat, however, are
`
`not presented in MARC fields. Instead, the data elements are labeled to help users
`
`interpret the records. Thus, the information stored in MARC records in Connexion
`
`is available to the interested public through the user-friendly WorldCat web portal.
`
`19. WorldCat (http://www.worldcat.org) is “the world’s largest network
`
`of library content and services” and its features are summarized in “What is
`
`WorldCat?” (https://www.worldcat.org/about). WorldCat began operation in
`
`January 1998 as a free web portal to more than 10,000 libraries 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 perform a search on
`
`WorldCat.
`
`6
`
`
`Ex. 1027, Page 8
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`
`
`20. OCLC FirstSearch is a reference search system provided by OCLC for
`
`users to explore many proprietary databases, including the WorldCat database. The
`
`WorldCat database on OCLC has more than 554 million records for publications in
`
`various formats. OCLC provides access to this database in three ways. The general
`
`public can use WorldCat, a free web portal, to explore the collections in more than
`
`10,000 libraries worldwide. Librarians can use OCLC Connexion to create and
`
`share library records for cataloging, collection management, and interlibrary loan
`
`services. Researchers and reference librarians can use OCLC FirstSearch to
`
`explore the WorldCat database. The difference between the free web portal of
`
`WorldCat and the WorldCat database on OCLC FirstSearch is that the latter
`
`provides more technical details than the former and requires a subscription for
`
`access. For example, the “Date of Entry” field on an OCLC FirstSearch record
`
`shows the date when the record was entered into the WorldCat database, indicating
`
`the date when the record became discoverable on WorldCat the free web portal, on
`
`OCLC Connexion, and on OCLC FirstSearch.
`
`C. Library Online Catalogs
`
`21. 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 online catalogs are based on MARC records that represent their collections
`
`in order to help the public understand what materials are publicly accessible in
`
`7
`
`
`Ex. 1027, Page 9
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`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’s search
`
`engine have led to the “googlization” of library search systems. As a result, many
`
`library catalogs nowadays 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.
`
`22. 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.
`
`If the record is an original record, it is also entered into the OCLC system. If it is a
`8
`
`
`Ex. 1027, Page 10
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`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.
`
`23.
`
`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 (listed in alphabetical order):
`
`•
`
`German National Library of Science and Technology
`
`(Technische Informationsbibliothek (TIB)) Classic catalog
`
`(https://opac.tib.eu/DB=1/LNG=EN/); Search engine
`
`(https://www.tib.eu/en/)
`
`•
`
`•
`
`Google Scholar (https://scholar.google.com/)
`
`IEEE Xplore Digital Library
`
`(https://ieeexplore.ieee.org/Xplore/home.jsp)
`
`•
`
`•
`
`•
`
`Internet Archive (https://archive.org/)
`
`OCLC FirstSearch (https://firstsearch.oclc.org/)
`
`Online catalog of the German National Library (Deutsche
`
`National Bibliothek) (https://www.dnb.de/DE/Home/home_node.html)
`
`• WorldCat (https://search.worldcat.org/).
`
`9
`
`
`Ex. 1027, Page 11
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`D.
`
`Scope Of This Declaration
`
`
`
`
`
`24.
`
`I have been asked to offer an opinion on the authenticity and public
`
`availability date of the following document:
`
`Sung, J. C., Chou, C. S., Pai, Y. L., & Sung, M. (2007, October). “The
`Organic Diamond Disk (ODD) for Dressing Polishing Pads of Chemical
`Mechanical Planarization,” in Proceedings: ICPT, International Conference
`on Planarization/CMP Technology, October 25 – 27, 2007, Dresden,
`Germany, published by VDE, 6 pages, obtained from IEEE, (EX1005)
`(“SungICPT”).
`25.
`I am rendering my expert opinion on the authenticity of the document
`
`referenced herein and on whether this document was published. I provide my
`
`opinion on when and how this document was publicly disseminated or otherwise
`
`made publicly available such that persons interested and ordinarily skilled in the
`
`subject matter or art, exercising reasonable diligence, could have located and
`
`retrieved this document.
`
`26.
`
`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
`
`documents themselves, such as the appearance, content, substance, internal
`
`patterns, protocols followed or other distinctive characteristics of the item.
`
`27.
`
`I am informed by counsel that a given reference is “published” upon a
`
`satisfactory showing that such a document has been disseminated or otherwise
`
`10
`
`
`Ex. 1027, Page 12
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`made publicly available such 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.
`
`28.
`
`I have been informed by counsel that the earliest claimed priority date
`
`of the ’862 patent is May 23, 2011. I have assessed the public accessibility of the
`
`documents referenced below as of this claimed priority date.
`
`29.
`
`I have been informed by counsel and understand that that the subject
`
`matter of the ’862 patent generally relates to semiconductor fabrication and the
`
`associated techniques, and more specifically, to chemical mechanical planarization
`
`or polishing (“CMP”) of a semiconductor device and/or a semiconductor wafer. In
`
`particular, the subject matter of the ’862 patent is directed to components for
`
`conditioning a CMP pad, such as a CMP pad conditioner or dresser.
`
`30.
`
`I have been informed by counsel that a person of ordinary skill in the
`
`art (“POSITA”) is a hypothetical individual who is presumed to be familiar with
`
`the relevant field and its literature at the time of the invention. This hypothetical
`
`11
`
`
`Ex. 1027, Page 13
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`person is also a person of ordinary creativity, capable of understanding the
`
`
`
`scientific principles and literature applicable to the pertinent field.
`
`31.
`
`I have been informed by counsel that a POSITA would have had at
`
`least a bachelor’s degree in material science, mechanical engineering, electrical
`
`engineering, or physics, and a minimum of two to three years of experience in the
`
`field of integrated circuit processing and fabrication techniques. A higher level of
`
`education or specific skill might make up for less experience, and vice versa.
`
`32.
`
`It is my opinion that such a person would have been engaged in
`
`research, learning through study and practice in the field and the bibliographic
`
`resources relevant to his or her research. At the time and before the earliest claimed
`
`priority date of the ’862 patent, such a person would have had access to a vast
`
`array of print resources in the design, specification, or manufacturing of CMP pad
`
`dressers or similar devices, as well as to online resources providing indexing
`
`information, abstracts, and full text services for design, specification, or
`
`manufacturing of CMP pad dressers or similar devices.
`
`E.
`
`33.
`
`Evidence Considered in Forming My Opinion
`
`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
`
`12
`
`
`Ex. 1027, Page 14
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`a type of material that experts in my field would reasonably rely upon when
`
`
`
`forming their opinions:
`
`Exhibit No.
`1005
`
`1019
`1020
`
`1021
`
`1022
`
`1023
`
`1024
`
`DESCRIPTION
`Sung et al. (2007, October). “The Organic Diamond Disk (ODD)
`for dressing of Polishing Pads of Chemical Mechanical
`Planarization,” International Conference on Planarization / CMP
`Technology, 25-27 October 2007, Dresden, Germany
`(“SungICPT”)
`Electronic Copy of SungICPT obtained from IEEE, the publisher
`Records for Proceedings ICPT 2007 available at
`https://search.worldcat.org/title/198200505 from WorldCat; at
`https://d-nb.info/985874066 (bibliographic record and MARC21-
`XML record) from the online catalog of the German National
`Library; and from OCLC FirstSearch (subscription required for
`access)
`TIB records for Proceedings ICPT 2007, available at
`https://search.worldcat.org/title/552588043 from WorldCat; at
`https://opac.tib.eu/DB=1/LNG=EN/CLK?IKT=12&TRM=5859180
`58 from the classic catalog of TIB; at
`https://www.tib.eu/en/search/id/TIBKAT:585918058/Proceedings-
`ICPT-International-Conference-on-
`Planarization?cHash=aa6c9dc952dc92d0d78d53ec988dc7a5from
`the TIB portal; and from OCLC FirstSearch (subscription required
`for access)
`Program and Invitation, ICPT International Conference on
`Planarization/CMP Technology, October 25 – 27, 2007, Hilton
`Hotel, Dresden, Germany, available at
`https://www.yumpu.com/en/document/read/19588721/program-
`and-invitation-eusar
`ICPT 2007 Conference Registration website, archived by Internet
`Archive on October 13, 2007, available at
`https://web.archive.org/web/20071013155043/http://icpt2007.com/
`Conferences_en/ICPT+2007/Conference+Registration/ from
`Internet Archive
`ICPT 2007 Program order form webpage, archive by Internet
`Archive on November 3, 2007, available at
`https://web.archive.org/web/20071103025949/http://icpt2007.com/
`13
`
`
`Ex. 1027, Page 15
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`Exhibit No.
`
`
`
`
`DESCRIPTION
`Conferences_en/ICPT+2007/Conference+Program/Program+Order
`+Form.htm
`Online catalog of the German National Library archived on January
`1, 2011 by Internet Archive, available at
`https://web.archive.org/web/20110101165839/www.d-nb.de/ from
`Internet Archive
`GetInfo Portal of the German National Library of Science and
`Technology (TIB), archived on October 22, 2007 by the Internet
`Archive, available at
`https://web.archive.org/web/20071022114354/http://www.tib-
`hannover.de/en/getinfo-portal/ from Internet Archive
`
`1025
`
`1026
`
`
`
`IV. Authenticity and Public Availability of SungICPT (EX1005)
`
`A. Authenticity of SungICPT
`
`34. Based on a copy of SungICPT from IEEE Xplore Digital Library, I
`
`conclude that the copy of SungICPT received from counsel (EX1005) is authentic.
`
`1.
`
`Copy of SungICPT from IEEE Xplore Digital Library
`
`35.
`
`I obtained a copy of “The Organic Diamond Disk (ODD) for Dressing
`
`Polishing Pads of Chemical Mechanical Planarization,” (“SungICPT”), by Sung et
`
`al. in Proceedings: ICPT, International Conference on Planarization/CMP
`
`Technology, October 25 – 27, 2007, Dresden, Germany, six pages, published by
`
`VDE, from the IEEE Xplore Digital Library of IEEE. I am providing the obtained
`
`copy of SungICPT as EX1019.
`
`36. When I began my research on this article, I searched WorldCat for
`
`libraries that held this conference proceedings, and learned that no U.S. libraries
`14
`
`
`Ex. 1027, Page 16
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`held the print version of this proceedings. I then searched for records for
`
`
`
`SungICPT at Google Scholar and a record entry led me to an IEEE metadata
`
`record (https://ieeexplore.ieee.org/abstract/document/5760451) in the IEEE Xplore
`
`Digital Library for this article. I followed the PDF link in this article to obtain a
`
`copy. This IEEE copy of SungICPT is presented as EX1019 in this declaration.
`
`37. EX1019 is a true and correct copy of SungICPT obtained from IEEE.
`
`Page 1 shows the conference at which this article was presented, the title, authors,
`
`abstract, and keywords (“CMP, Diamond Dresser, Pad Conditioner, Epoxy”) of
`
`SungICPT. EX1019 shows SungICPT has a total of six pages, including seven
`
`color figures and four references. The pages are not numbered.
`
`38. EX1019 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, EX1019 is in the custody of
`
`IEEE, a trust-worthy indexer of scholarly publications in science and technology. I
`
`therefore see no reason to question the authenticity of this copy of SungICPT
`
`(EX1019).
`
`39.
`
`I have compared EX1019 with EX1005 (which was provided to me by
`
`counsel) and confirmed that the two documents are the same.
`
`15
`
`
`Ex. 1027, Page 17
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`
`* * *
`
`
`
`40. Accordingly, I conclude that EX1005 is an authentic copy of
`
`SungICPT.
`
`B.
`
`Public Availability of SungICPT
`
`41. Based on the library records of SungICPT, available conference
`
`records and information I located in Internet Archive, I conclude that a person
`
`interested and ordinarily skilled in the subject matter of the ’862 Patent, exercising
`
`reasonable diligence, could have located and retrieved SungICPT before the
`
`priority date of the ’862 Patent.
`
`1. German National Library Records
`
`42. The German National Library (DNB; German: Deutsche
`
`Nationalbibliothek) is one of the largest libraries in the world. It is the central
`
`archival library and national bibliographic center for Germany.
`
`43. EX1025 is a true and correct copy of the online catalog of DNB
`
`obtained from Internet Archive. I personally located, identified, and obtained this
`
`archived copy. This is the type of record experts in my field would rely upon when
`
`forming their opinions. I used screen captures to produce this exhibit.
`
`44. Page 1 is a screen capture of a Wayback Machine that shows the
`
`online catalog of DNB (http://www.d-nb.de/) was captured 722 times between “2
`
`16
`
`
`Ex. 1027, Page 18
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`Jul 2006” and “25 Dec 2023” and this particular copy was captured on January 1,
`
`
`
`2011. Pages 2 and 3 are the PDF version of this website. EX1026 shows that by
`
`January 1, 2011, DNB has had an active online catalog to support the discovery
`
`and access to its collections.
`
`45. EX1020 is a true and correct copy of records for the conference
`
`proceedings containing SungICPT obtained from WorldCat, the German National
`
`Library, and OCLC FirstSearch. I personally located, identified, and obtained these
`
`records. They are the type of record experts in my field would rely upon when
`
`forming their opinions.
`
`46. Pages 1 and 2 are the WorldCat record
`
`(https://search.worldcat.org/title/198200505) for the print version of Proceedings /
`
`ICPT 2007 incl. CD-ROM that shows the proceedings was published by VDE-
`
`Verl, Berlin, in 2007. The record also shows this publication is in English, is about
`
`a 2007 conference, has two ISBNs (International Standard Book Numbers), has an
`
`OCLC number, and includes several German subject terms. The “Find a Copy at a
`
`Library” area shows three German libraries hold this publication. The link for
`
`“Deutsche Nationalbibliothek Frankfurt am Main” (the German National Library at
`
`Frankfurt) leads to the library’s record (https://d-nb.info/985874066) for this
`
`proceedings. Page 3 is a screen capture of the first page of the library record. Pages
`
`17
`
`
`Ex. 1027, Page 19
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`4 to 6 are the PDF version of this record that shows the title, editor (“Zwicker,
`
`
`
`Gerfried”), publishing body, publisher (“VDE-Verl.”), physical description (“493
`
`S. : Ill., graph. Darst. ; 25 cm + 1 CD-ROM”), two ISBNs, language, two keywords
`
`(“Schlagwörter” in German), two Dewey Decimal Classification numbers (DDC),
`
`and two subject groups (“Sachgruppen” in German). It also shows this publication
`
`is stored at the Frankfurt and Leipzig sites of the German National Library.
`
`47. Page 6 shows a MARC21-XML representation of this record is
`
`available. I downloaded the record, used a text editor to view it, then saved it in
`
`WORD, as presented on pages 7 to 13. On page 7, Field 008 shows this MARC
`
`record was created on “070928” (i.e., September 28, 2007), and the “s2007” code
`
`after the record creation date indicates this publication has a single publication date
`
`of 2007. Field 035 shows this record’s OCLC number is “198200505” (page 7) and
`
`subfield “c” of Field 040 shows “DE-101” is the library that entered this record
`
`into the WorldCat database of OCLC (pages 7 and 8). According to the ISIL
`
`database (the German database for International Standard Identifiers for Libraries,
`
`Archives, Museums and related Organisations) at https://sigel.staatsbibliothek-
`
`berlin.de/en/suche, “DE-101” is the identifier for the German National Library.
`
`Data in Fields 008 and 040 inform my opinion that the German National Library
`
`cataloged the conference proceedings containing SungICPT on September 28,
`
`2007, making this publication discoverable in their online catalog from that date
`18
`
`
`Ex. 1027, Page 20
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`on. Users would have been able to search for this publication by its title, editor,
`
`
`
`related organizations, ISBNs. They would also have been able to conduct subject
`
`searches by the subject keywords, DDC numbers, and subject groups to find this
`
`conference proceedings.
`
`48. To verify the record creation date of the MARC record of the German
`
`National Library for the conference proceedings, I searched the OCLC FirstSearch
`
`system by the ISBN of the conference proceedings, and located a bibliographic
`
`record, presented as pages 14 and 15 of EX1020. This FirstSearch record shows
`
`three German holding libraries (two sites of the national library and a vendor). The
`
`title, editor, publishing body, physical description, language, and ISBNs match the
`
`MARC21-XML representation of the German National Library. The Accession
`
`Number field shows this record’s OCLC number is “198200505,” which is the
`
`same as the OCLC number in the German National Library record for the
`
`proceedings containing SungICPT. The “database” field shows this record is in the
`
`WorldCat database. The “Entry” field shows the record was entered into OCLC on
`
`“20070928” (i.e., September 28, 2007).
`
`49. Based on my review and analysis of the records in EX1020, it is my
`
`opinion that the German National Library cataloged the conference proceedings
`
`containing SungICPT on September 28, 2007, making this work discoverable from
`
`19
`
`
`Ex. 1027, Page 21
`
`
`
`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,138,862
`
`
`that date on their online catalog. After the record was entered into the WorldCat
`
`
`
`database on OCLC, the record became available on WorldCat, the free web portal
`
`for the general public to explore library collections worldwide. The record also
`
`became available to OCLC members for cataloging, interlibrary loan and other
`
`collect management purposes. In addition, the record became discoverable in the
`
`OCLC FirstSearch system, which is available to subscribers that provide it as a
`
`research tool for their user communities.
`
`2.
`
`TIB Records
`
`50. The German National Library of Science and Technology (Technische
`
`Informationsbibliothek, abbreviated TIB) was founded in 1959, and is the largest
`
`science and technology library in the world.
`
`51. EX1026 is a true and correct copy of the GetInfo Portal of TIB
`
`obtained from Internet Archive. I personally located, identified, and obtained this
`
`copy. This is the type of record experts in my field would rely upon when forming
`
`their opinions. I used screen captures to produce this exhibit.
`
`52. Page 1 is a screen capture of a Wayback Machine calendar that shows
`
`the GetInfo Portal webs
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