Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`U.S. Patent No.:
`Petitioner:
`
`Patent Owner:
`Case No.:
`
`9,724,802
`SAMSUNG ELECTRONICS CO. LTD.,
`SAMSUNG ELECTRONICS AMERICA, INC.,
`SAMSUNG SEMICONDUCTOR, INC., and
`SAMSUNG AUSTIN SEMICONDUCTOR, LLC
`CHIEN-MIN SUNG
`IPR2024-00535
`
`__________________
`
`DECLARATION OF INGRID HSIEH-YEE, PH.D.
`ON BEHALF OF PETITIONER
`
`IPR2024-00535
`Samsung Electronics Co. Ltd. et al v. Chien-Min Sung
`Samsung's Exhibit 1028
`Ex. 1028, Page 1
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`TABLE OF CONTENTS
`
`Page
`Introduction ..................................................................................................... 1
`
`
`
`I.
`
`II.
`
`Qualifications and Professional Experience ................................................... 2
`
`III. Library Cataloging .......................................................................................... 3
`
`A. Machine-Readable Cataloging (“MARC”) ........................................... 3
`
`B.
`
`C.
`
`D.
`
`E.
`
`OCLC & WorldCat ............................................................................... 4
`
`Library Online Catalogs ....................................................................... 7
`
`Scope Of This Declaration .................................................................. 10
`
`Evidence Considered in Forming My Opinion ................................... 13
`
`IV. Authenticity and Public Availability of Tsai (EX1004) ............................... 14
`
`A. Authenticity of Tsai ............................................................................ 14
`
`1.
`
`Copy of Tsai from Elsevier ...................................................... 14
`
`B.
`
`Public Availability of Tsai .................................................................. 16
`
`1.
`
`2.
`
`Internet Archive Record ........................................................... 16
`
`Citations .................................................................................... 18
`
`C.
`
`Summary of My Conclusions on Tsai ................................................ 19
`
`V. Authenticity and Public Availability of Tsai2011 (EX1008) ....................... 20
`
`A. Authenticity of Tsai2011 .................................................................... 20
`
`1.
`
`2.
`
`Copy of Tsai2011 from Springer .............................................. 20
`
`Linda Hall Library Copy .......................................................... 22
`
`B.
`
`Public Availability of Tsai2011 .......................................................... 23
`i
`
`
`Ex. 1028, Page 2
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`
`Linda Hall Library Records ...................................................... 23
`
`1.
`
`2.
`
`Citations .................................................................................... 27
`
`C.
`
`Summary of My Conclusions on Tsai2011 ........................................ 28
`
`VI. Availability for Cross-Examination .............................................................. 29
`
`VII. Jurat ............................................................................................................... 29
`
`ii
`
`
`Ex. 1028, Page 3
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`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
`
`references in relation to US Patent No. 9,724,802 (the “’802 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 at my 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 ’802 Patent.
`
`1
`
`Ex. 1028, Page 4
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`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 ’802 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. 1028, Page 5
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`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. 1028, Page 6
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`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
`
`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. 1028, Page 7
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`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. 1028, Page 8
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`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. 1028, Page 9
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`C. Library Online Catalogs
`
`
`
`
`
`20. 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
`
`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.
`
`21. 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
`7
`
`
`Ex. 1028, Page 10
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`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
`
`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.
`
`22. 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.” (source:
`
`MARC proposal no. 2021-09, https://www.loc.gov/marc/mac/2021/2021-09.html).
`
`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
`8
`
`
`Ex. 1028, Page 11
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`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.
`
`23. 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.
`
`24.
`
`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:
`
`9
`
`
`Ex. 1028, Page 12
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`Google Scholar (https://scholar.google.com/);
`
`•
`
`
`
`•
`
`•
`
`Internet Archive (https://archive.org/);
`
`Online catalog of the Linda Hall Library
`
`https://catalog.lindahall.org/discovery/search?vid=01LINDAHALL_I
`
`NST:LHL);
`
`•
`
`ScienceDirect (https://www.sciencedirect.com/);
`
`• WorldCat (https://search.worldcat.org/);
`
`Scope Of This Declaration
`
`I have been asked to offer an opinion on the authenticity and public
`
`D.
`
`25.
`
`availability date of the following documents:
`
`a)
`Tsai, M. Y., Li, P. H., & Sung, J. C. (2012, March). Organic
`diamond disk versus brazed diamond disk for dressing a chemical–
`mechanical polishing pad. Diamond and Related Materials, vol. 23, pp.
`144-149, EX1004 (“Tsai”);
`b)
`Tsai, M. Y., & Chen, W. K. (2011, July). Effect of CMP
`conditioner diamond shape on pad topography and oxide wafer
`performances. The International Journal of Advanced Manufacturing
`Technology, vol. 55, nos. 1-4, pp. 253-262, EX1008 (“Tsai2011”).
`26.
`I am rendering my expert opinion on the authenticity of the
`
`documents referenced herein and on whether these documents were published. I
`
`provide my opinion on when and how these documents were publicly disseminated
`
`or otherwise made publicly available such that persons interested and ordinarily
`
`10
`
`
`Ex. 1028, Page 13
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`skilled in the subject matter or art, exercising reasonable diligence, could have
`
`
`
`located and retrieved these documents.
`
`27.
`
`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.
`
`28.
`
`I am informed by counsel that a given reference is “published” upon a
`
`satisfactory showing that such a document has been disseminated or otherwise
`
`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.
`
`29.
`
`I have been informed by counsel that the ’802 patent was filed in the
`
`United States on October 3, 2014. I have assessed public accessibility of the
`
`documents referenced below as of this claimed priority date.
`
`11
`
`
`Ex. 1028, Page 14
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`30.
`
`
`I have been informed by counsel and understand that that the subject
`
`
`
`matter of the ’802 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 ’802 patent is directed to components for
`
`conditioning a CMP pad, such as a CMP pad conditioner or dresser.
`
`31.
`
`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
`
`person is also a person of ordinary creativity, capable of understanding the
`
`scientific principles and literature applicable to the pertinent field.
`
`32.
`
`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 at 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.
`
`33.
`
`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
`
`12
`
`
`Ex. 1028, Page 15
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`priority date of the ’802 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.
`
`34.
`
`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
`
`a type of material that experts in my field would reasonably rely upon when
`
`forming their opinions:
`
`Exhibit No.
`1004
`
`1008
`
`1020
`1021
`1022
`
`1023
`1024
`1025
`
`DESCRIPTION
`Tsai et al. (2012, March). “Organic diamond disk versus brazed
`diamond disk for dressing a chemical-mechanical polishing pad,”
`Diamond and Related Materials, vol. 23, 2012, pp. 144-149
`(“Tsai”)
`Tsai et al. (2011, July). “Effect of CMP conditioner diamond shape
`on pad topography and oxide wafer performances,” International
`Journal of Advanced Manufacturing Technology, vol. 55, nos. 1-4,
`pp. 253-262 (“Tsai2011”)
`Electronic Copy of Tsai obtained from publisher (Elsevier)
`Electronic Copy of Tsai2011 obtained from publisher (Springer)
`Webpage of Diamond and Related Materials vol. 23, archived on
`May 9, 2012, by Internet Archive, available at
`https://web.archive.org/web/20120509185427/http://www.sciencedi
`rect.com/science/journal/09259635/23, accessed and obtained on
`February 11, 2024
`List of citations to Tsai, obtained from Google Scholar
`Library copy of Tsai2011 obtained from Linda Hall Library
`Bibliographic and MARC records for International Journal of
`13
`
`
`Ex. 1028, Page 16
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`Exhibit No.
`
`
`
`
`DESCRIPTION
`Advanced Manufacturing Technology that contains Tsai2011,
`available at
`https://catalog.lindahall.org/permalink/01LINDAHALL_INST/19ld
`a7s/alma992717493405961 from the online catalog of the Linda
`Hall Library, accessed and obtained on February 11, 2024
`List of citations to Tsai2011, obtained from Google Scholar
`Webpage of Linda Hall Library online catalog archived on January
`7, 2011, by Internet Archive, available at
`https://web.archive.org/web/20110107125151/http://leonardo.linda
`hall.org/ipac20/ipac.jsp?profile=lhlopen, accessed and obtained on
`February 18, 2024
`
`1026
`1027
`
`
`
`IV. Authenticity and Public Availability of Tsai (EX1004)
`
`A. Authenticity of Tsai
`
`35. Based on the copy of Tsai from Elsevier, I conclude that the counsel
`
`copy of Tsai (EX1004) is authentic.
`
`1.
`
`Copy of Tsai from Elsevier
`
`36.
`
`I obtained a copy of “Organic diamond disk versus brazed diamond
`
`disk for dressing a chemical–mechanical polishing pad,” (“Tsai”), by Tsai et al.,
`
`Diamond and Related Materials, vol. 23, pp. 144-149 from the publisher’s website.
`
`I am providing the obtained copy of Tsai as EX1020.
`
`37. When I began researching this article, I searched Google Scholar for
`
`records, and a record link led me to the publisher’s webpage for Tsai at
`
`https://www.sciencedirect.com/science/article/pii/S0925963512000106?casa_toke
`
`n=AoFE35dMWCsAAAAA:RlpLTnSoBEIDjgc1aP1UnoS7BfcFwrccNeaLuUHeF
`14
`
`
`Ex. 1028, Page 17
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`QtdevlOAgGN7XVfcfA-k4MH3Z33cXzC3i6Y on ScienceDirect. The article was
`
`
`
`free for public access, so I used the “View PDF” link to obtain a copy. This
`
`publisher’s copy of Tsai is presented as EX1020 in this declaration.
`
`38. EX1020 is a true and correct copy of Tsai obtained from the publisher
`
`Elsevier. The top of page 1 shows this article appears in “Diamond & Related
`
`Materials 23 (2012) 144-149.” Page 1 shows the title, authors, abstract and
`
`keywords (“Chemical mechanical polishing, Polyurethane pad, Diamond
`
`conditioner”) of Tsai. The “Article Info” area shows this article became
`
`“[a]vailable online 10 January 2012.” The bottom of this page shows the journal’s
`
`ISSN (International Standard Serial Number) is “0925-9635,” and the article’s doi
`
`(digital object identifier) is “10.1016/j.diamond.2011.12.048.” This page also
`
`shows the abstract and the article both show a “2012” copyright date, and Elsevier
`
`B.V. is the copyright holder. EX1020 shows Tsai has a total of six pages, including
`
`nine figures (most of them in color) and 11 references.
`
`39. EX1020 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, EX1020 was found on
`
`ScienceDirect, which is “a website that provides access to a large bibliographic
`
`15
`
`
`Ex. 1028, Page 18
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`database of scientific and medical publications of the Dutch publisher Elsevier. It
`
`
`
`hosts over 18 million pieces of content from more than 4,000 academic journals
`
`and 30,000 e-books of this publisher” (source:
`
`https://en.wikipedia.org/wiki/ScienceDirect). ScienceDirect was launched in
`
`March 1997. I therefore see no reason to question the authenticity of this copy of
`
`Tsai (EX1020).
`
`40.
`
`I have compared EX1020 with EX1004 (which was provided to me by
`
`counsel) and confirmed that the two documents are the same.
`
`* * *
`
`41. Accordingly, I conclude that EX1004 is an authentic copy of Tsai.
`
`B.
`
`Public Availability of Tsai
`
`42. Based on the records from internet archive and evidence of public use
`
`of Tsai, I conclude that a person interested and ordinarily skilled in the subject
`
`matter of the ’802 Patent, exercising reasonable diligence, could have located and
`
`retrieved Tsai before the priority date.
`
`1.
`
`Internet Archive Record
`
`43. Because Tsai was published in print and also online, to determine
`
`when and how this article became publicly accessible, I searched Internet Archive
`
`for records. EX1022 is the journal webpage for vol. 23 of Diamond and Related
`
`Materials. I personally located, identified, and obtained this record from Internet
`16
`
`
`Ex. 1028, Page 19
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`Archive. This is the type of records experts in my field would reasonably rely upon
`
`when forming their opinion.
`
`44. Page 1 of EX1022 is a screen capture of a Wayback Machine calendar
`
`that shows this journal
`
`(http://www.sciencedirect.com/science/journal/09259635/23) was archived six
`
`times between “9 May 2012” and “13 Aug 2016” and this particular copy was
`
`archived on May 9, 2012, and is available at
`
`https://web.archive.org/web/20120509185427/http://www.sciencedirect.com/scien
`
`ce/journal/09259635/23.
`
`45.
`
`Internet Archive is a digital library that archives scholarly materials,
`
`cultural artifacts, and other web resources on the Internet and provides the public
`
`with free access to its collections. I have used the Internet Archive in the past and
`
`am familiar with their practice of assigning an extended URL to an archived
`
`resource in the format of http://www.archive.org/web/[Year in yyyy][Month in
`
`mm][Day in dd][Time code in hh:mm:ss]/[Archived URL] to show the point of
`
`time the archived file was captured. The URL of this archived copy shows this file
`
`was archived on “20120509185427” (i.e., May 9, 2012, at 6 p.m., 54 minutes, 27
`
`seconds). Because Internet Archive does not usually archive web resources as soon
`
`as they appear on the Internet, the archive date is not the first public availability
`
`17
`
`
`Ex. 1028, Page 20
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`date of an archived resource. Furthermore, a web resource will need to be available
`
`on the Internet before it can be archived. For these reasons, the archive date in the
`
`extended URL means that an archived copy of a web resource was available
`
`before, and definitely no later than, the archive date. It is therefore my opinion that
`
`this archived copy of the publisher’s webpage for vol. 23 of Diamond and Related
`
`Materials would have been publicly available by May 9, 2012.
`
`46. Pages 2 to 8 are the PDF version of this webpage for vol. 23. Page 7
`
`shows that Entry #28 is for “Organic diamond disk versus brazed diamond disk for
`
`dressing a chemical-mechanical polishing pad” by Tsai et al. that appears from
`
`pages 144 to 149 of vol. 23, and a “Purchase” link is next to this entry for
`
`interested users to purchase this article from the publisher.
`
`47. Since the journal webpage for vol. 23 of Diamond and Related
`
`Materials archived on May 9, 2012, shows Tsai was available for user purchase, it
`
`is my opinion that Tsai would have been publicly discoverable and accessible no
`
`later than May 9, 2012, on the Internet.
`
`2.
`
`Citations
`
`48. Actual usage of a publication is reflected by other publications that
`
`make reference to it. I used Google Scholar to identify citations to Tsai and found
`
`18
`
`
`Ex. 1028, Page 21
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`two citations published before October 2014, the critical date. EX1023 shows the
`
`
`
`two early citations. The earliest citation appeared in September 2012.
`
`C.
`
`Summary of My Conclusions on Tsai
`
`49. The copy of Tsai in EX1004 is authentic because it is identical to the
`
`copy obtained from the publisher’s website (Elsevier) (EX1020) which does not
`
`show any marks or signs of alteration, and is obtained from a trust-worthy source.
`
`50. Tsai would have been publicly available before the priority date of the
`
`’802 Patent.
`
`51. The publisher’s webpage for this article shows Tsai was published
`
`online on January 10, 2012, meaning subscribers to the ejournal would have access
`
`to this article from that date on. The journal webpage for vol. 23 of Diamond and
`
`Related Materials archived by Internet Archive on May 9, 2012, shows Tsai was
`
`available for purchase on the Internet (EX1022). Citation records show the earliest
`
`citation appeared in September 2012.
`
`52.
`
`It is therefore my opinion that Tsai would have been publicly
`
`discoverable and accessible online on January 10, 2012, to subscribers of the
`
`ejournal, and Tsai would have been publicly discoverable and accessible on the
`
`Internet no later than May 9, 2012.
`
`19
`
`
`Ex. 1028, Page 22
`
`

`

`Declaration of Dr. Ingrid Hsieh-Yee
`U.S. Patent No. 9,724,802
`
`
`
`V. Authenticity and Public Availability of Tsai2011 (EX1008)
`
`
`
`A. Authenticity of Tsai2011
`
`53. Based on the copies of Tsai2011 from Springer (EX1021) and Linda
`
`Hall Library (EX1024), I conclude that the counsel copy of Tsai2011 (EX1008) is
`
`authentic.
`
`1.
`
`Copy of Tsai2011 from Springer
`
`54. EX1021 is a true and correct copy of “Effect of CMP conditioner
`
`diamond shape on pad topography and oxide wafer performances,” (“Tsai2011”),
`
`by Tsai et al., International Journal of Advanced Manufacturing Technology, vol.
`
`55, nos. 1-4, pp. 253-262, that I obt