UNITED STATES PATENT AND TRADEMARK OFFICE
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`CISCO SYSTEMS, INC. (“CISCO”)
`
`Petitioner
`
`- vs. -
`
`HEWLETT PACKARD ENTERPRISE DEVELOPMENT LP (“HP”)
`
`Patent Owner
`
`U.S. Patent No. 8,478,799
`———————
`
`DECLARATION OF INGRID HSIEH-YEE, PHD,
`UNDER 37 C.F.R. § 1.68
`
`CSCO-1054
`Page 1 of 77
`
`
`
`———————
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`———————
`
`CISCO SYSTEMS, INC. (“CISCO”)
`
`Petitioner
`
`- vs. -
`
`HEWLETT PACKARD ENTERPRISE DEVELOPMENT LP (“HP”)
`
`Patent Owner
`
`U.S. Patent No. 8,478,799
`———————
`
`DECLARATION OF INGRID HSIEH-YEE, PHD,
`UNDER 37 C.F.R. § 1.68
`
`CSCO-1054
`Page 1 of 77
`
`
`
`I, Ingrid Hsieh-Yee, Ph.D., do hereby declare as follows:
`
`1.
`
`I have been retained as an independent expert witness on behalf of
`
`Cisco Systems, Inc. (“Cisco”) for an Inter Partes Review (“IPR”) of U.S. Patent
`
`No. 8,478,799 (“the ’799 patent”).
`
`2.
`
`I am being compensated for my work in this matter at my accustomed
`
`hourly rate of $160.00. I am also being reimbursed for reasonable and customary
`
`expenses associated with my work and testimony in this investigation. My
`
`compensation is not contingent on the results of my study, the substance of my
`
`opinions, or the outcome of this matter.
`
`3.
`
`In the preparation of this declaration, I have reviewed the exhibits
`
`referenced below, each of these is a type of material that experts in my field would
`
`reasonably rely upon when forming their opinions:
`
`(1) Muthitacharoen, A., et al. (“Muthitacharoen”), 2002, “Ivy: A
`Read/Write Peer-to-Peer System,” Operating Systems Review 36(SI),
`31-44 – Proceedings of the Fifth ACM Symposium on Operating
`Systems Design and Implementation (OSDI’02), OSR Special Issue,
`obtained from the George Washington University Library, CSCO-
`1007;
`
`(2) MARC Record Information for the journal, Operating Systems
`Review, available at the WRLC online catalog at
`http://catalog.wrlc.org/cgi-
`
`
`
`
`
`Page 2 of 77
`
`
`
`bin/Pwebrecon.cgi?v2=2&ti=1,2&SEQ=20170807173321&PID=Zjc
`NMglWj6hdiUmx9nzgwd4&SID=1, accessed July 20, 2017, CSCO-
`1042;
`
`(3) Bibliographic Record Information for the journal, Operating Systems
`Review, available at the WRLC online catalog at
`http://catalog.wrlc.org/cgi-
`bin/Pwebrecon.cgi?v1=2&ti=1,2&=&=&=&=&PID=sp0gofZLch68Z
`ECvDIG2J8q&SEQ=20170807173315&SID=1, accessed July 20,
`2017, 2017, CSCO-1043;
`
`(4) Dabek, F., et al. (“Dabek”), 2001, “Wide-area cooperative storage
`with CFS,” Operating Systems Review 35(5), 202-215 – SOSP ’01
`Proceedings of the 18th ACM Symposium on Operating Systems
`Principles, obtained from the Library of Congress, CSCO-1008;
`
`(5) MARC Record Information for the journal, Operating Systems
`Review, available at the online catalog of the Library of Congress at
`https://catalog.loc.gov/vwebv/staffView?searchId=13511&recPointer
`=8&recCount=25&bibId=11244591, accessed July 31, 2017, CSCO-
`1044;
`
`(6) Bibliographic Record Information for the journal, Operating Systems
`Review, available at the online catalog of the Library of Congress at
`https://catalog.loc.gov/vwebv/holdingsInfo?searchId=13511&recPoint
`er=8&recCount=25&bibId=11244591, accessed July 31, 2017,
`CSCO-1045;
`
`(7) Dabek, F., et al. (“Dabek”), 2001, “Wide-area cooperative storage
`with CFS,” Proceedings of the 18th ACM Symposium on Operating
`
`Page 3 of 77
`
`
`
`Systems Principles (SOSO’01), obtained from a CD-ROM from the
`Auburn University Library, CSCO-1051;
`
`(8)
`
`Scans of Proceedings of the 18th ACM Symposium on Operating
`Systems Principles (SOSO’01), obtained from a CD-ROM from the
`Auburn University Library, CSCO-1046;
`
`(9) MARC Record Information for Proceedings of the 18th ACM
`Symposium on Operating Systems Principles (SOSO’01) CD-ROM,
`available at the Auburn University Library online catalog at
`http://aubiecat.auburn.edu/vwebv/staffView?bibId=2000144, accessed
`July 28, 2017, CSCO-1047;
`
`(10) Bibliographic Record Information for Proceedings of the 18th ACM
`Symposium on Operating Systems Principles (SOSO’01) CD-ROM,
`available at the Auburn University Library online catalog at
`http://aubiecat.auburn.edu/vwebv/holdingsInfo?bibId=2000144,
`accessed July 28, 2017, CSCO-1048; and
`
`(11) Scan of CD-ROM and CD-ROM Case, Proceedings of the 18th ACM
`Symposium on Operating Systems Principles (SOSO’01) CD-ROM
`obtained from the Auburn University Library, CSCO-1049;
`
`(12) Marshall Kirk McKusick, et al., THE DESIGN AND
`IMPLEMENTATION OF THE FREEBSD OPERATING SYSTEM
`(2005), obtained from the Library of Congress, CSCO-1011;
`
`(13) MARC Record Information for THE DESIGN AND IMPLEMENTATION OF
`THE FREEBSD OPERATING SYSTEM (2005), available at the online
`catalog of the Library of Congress at
`https://catalog.loc.gov/vwebv/staffView?searchId=13576&recPointer
`
`Page 4 of 77
`
`
`
`=1&recCount=25&bibId=13582959, accessed August 3, 2017,
`CSCO-1057;
`
`(14) Bibliographic Record Information for THE DESIGN AND
`IMPLEMENTATION OF THE FREEBSD OPERATING SYSTEM (2005),
`available at the online catalog of the Library of Congress at
`https://catalog.loc.gov/vwebv/holdingsInfo?searchId=13576&recCoun
`t=25&recPointer=1&bibId=13582959, accessed August 3, 2017,
`CSCO-1058;
`
`(15) Marshall Kirk McKusick, et al., The Design and Implementation of
`the FreeBSD Operating System (2005), obtained from the George
`Mason University Library, CSCO-1059;
`
`(16) MARC Record Information for THE DESIGN AND IMPLEMENTATION OF
`THE FREEBSD OPERATING SYSTEM (2005), available at the online
`catalog of the George Mason University Library at
`http://magik.gmu.edu/cgi-
`bin/Pwebrecon.cgi?BBRecID=1204012&v3=1&SEQ=201708091756
`12&PID=H7OyU1EwC5upI5Cw7BQjOQyTKw, accessed August 3,
`2017, CSCO-1060; and
`
`(17) Bibliographic Record Information for THE DESIGN AND
`IMPLEMENTATION OF THE FREEBSD OPERATING SYSTEM (2005),
`available at the online catalog of the George Mason University
`Library at http://magik.gmu.edu/cgi-
`bin/Pwebrecon.cgi?BBID=1204012, accessed August 3, 2017,
`CSCO-1061.
`
`4.
`
`In forming the opinions expressed within this declaration, I have
`
`Page 5 of 77
`
`
`
`considered:
`
`(1) The documents listed above;
`
`(2) The reference materials cited herein; and
`
`(3) My own academic background and professional experiences, as
`
`described below.
`
`5.
`
`My complete qualifications and professional experience are described
`
`in my curriculum vitae, a copy of which is attached as Appendix A. The following
`
`is a brief summary of my relevant qualifications and professional experience.
`
`6.
`
`I am currently a Professor in the Department of Library and
`
`Information Science at the Catholic University of America. I have experience
`
`working in an academic library, a medical library, and a legislative library and
`
`have been a professor for more than 25 years. I hold a Ph.D. in Library and
`
`Information Studies from the University of Wisconsin-Madison and a Masters in
`
`Library and Information Studies from the University of Wisconsin-Madison.
`
`7.
`
`I am an expert on library cataloging and classification and have
`
`published two books on this subject, Organizing Audiovisual and Electronic
`
`Resources for Access: A Cataloging Guide (2000, 2006). I teach a variety of
`
`courses, including “Cataloging and Classification,” “Internet Searches and Web
`
`Design,” “Advanced Cataloging and Classification,” “Organization of Internet
`
`Page 6 of 77
`
`
`
`Resources,” “Advanced Information Retrieval and Analysis Strategies,” and
`
`“Digital Content Creation and Management.” My research interests cover
`
`cataloging and classification, information organization, metadata, information
`
`retrieval, information architecture, digital collections, scholarly communication,
`
`user interaction with information systems, and others.
`
`8.
`
`I am fully 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. MARC is the primary
`
`communications protocol for the transfer and storage of bibliographic metadata in
`
`libraries. Experts in my field would reasonably rely upon MARC records when
`
`forming their opinions.
`
`9.
`
`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 follows. Appendix B is a
`
`true and correct copy of Parts 7 to 10 of “Understanding MARC Bibliographic”
`
`(http://www.loc.gov/marc/umb/) from the Library of Congress that explains
`
`commonly used MARC fields. For example, the personal author of the work is
`
`recorded in Field 100, the title is recorded in Field 245, publisher information is
`
`recorded in Field 260, and the physical volume and characteristics of a publication
`
`
`
`
`
`Page 7 of 77
`
`
`
`are recorded in Field 300, and topical subjects are recorded in the 650 fields.
`
`10. Online Computer Library Center (OCLC) is the largest bibliographic
`
`network of the world, with more than 380 million records and more than 16,900
`
`member institutions (many of which are libraries of some type) from 122 countries.
`
`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.”1
`
`11. 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 this work in OCLC’s Connexion
`
`
`1 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`
`Library Center, Incorporated (available at http://www.oclc.org/en-
`
`US/membership/councils.html).
`
`
`
`
`
`Page 8 of 77
`
`
`
`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. The record—
`
`presented in a labeled format, not MARC—also becomes searchable and viewable
`
`on WorldCat, which is a web portal to more than 10,000 libraries worldwide.
`
`12. Library online catalogs are based on MARC records that represent
`
`their collections and 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, often in the form of a single search box, to support searching by
`
`author, title, subject, keywords and other data elements. They 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 an option to display MARC records in MARC fields. For non-
`
`serial publications such as monographs, after a MARC record is created and made
`
`searchable on a library catalog, it is customary library practice to have the physical
`
`volume processed for public access soon after, usually within a week.
`
`
`
`
`
`Page 9 of 77
`
`
`
`13.
`
`Libraries create MARC records for works they acquire, including
`
`books, serials, motion picture films, and publications in other formats. According
`
`to the glossary of the RDA: Resource Description and Access cataloging standard,
`
`a serial is “a resource issued in successive parts, usually having numbering, that
`
`has no predetermined conclusion (e.g., a periodical, a monographic series, a
`
`newspaper).” 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 MARC serial record 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 journal. Instead, they rely on a serial check-in system to
`
`track the receipt of new issues and communication with serial publishers. 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 journal 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 receipt date information to the public.
`
`14. When libraries receive new issues of a periodical from a periodical
`
`publisher, because the MARC serial record for the periodical already exists, no
`
`MARC records are created for the new issues. Instead, it is standard library
`
`Page 10 of 77
`
`
`
`practice to perform what is called a “serial check-in” for each received issue. The
`
`process usually takes less than an hour, and one of the steps involves placing a date
`
`stamp on the new issue to reflect the date the issue is checked in. After serial
`
`check-in, the new issue will be placed on the shelf with the previous issues of the
`
`periodical. After a new issue is checked in, the holdings information of the
`
`periodical is updated in the library’s catalog so that users know which issues are
`
`available for request or access. Because information presented in periodicals often
`
`reflects latest discovery, a general practice of libraries is to make new issues of
`
`periodicals available for user access soon after they are checked in, usually within
`
`a week. Libraries with a public periodical room typically place new issues in the
`
`periodical room for easy user access.
`
`15.
`
`I used authoritative information systems such as WorldCat
`
`(http://www.worldcat.org) and the online catalogs at the Library of Congress
`
`(https://catalog.loc.gov) and the Washington Research Library Consortium
`
`(https://www.wrlc.org) to search for records. These records are identified and
`
`discussed in this declaration. Experts in the field would reasonably rely on the data
`
`described herein to form their opinions.
`
`CSCO-1007
`
`16. CSCO-1007 is a true and correct photocopy of portions of the
`
`Operating Systems Review Special Issue of Winter 2002 that contains Proceedings
`
`Page 11 of 77
`
`
`
`of the Fifth ACM Symposium on Operating Systems Design and Implementation
`
`(“OSDI’02”), including Muthitacharoen that I made on July 22, 2017. When I was
`
`originally asked to prepare this declaration, I searched the Washington Research
`
`Library Consortium (WRLC) Catalog at https://catalog.wrlc.org/search/index.php
`
`for the “Operating Systems Review” journal, and the search results informed me
`
`that the George Washington University Library holds a special issue of Volume 36
`
`that provides access to the paper version of proceedings of OSDI’02. I requested
`
`access to this special issue from the Shared Collections Facility of the Washington
`
`Research Library Consortium (WRLC) of which the George Washington
`
`University is a member.
`
`17. On July 20, 2017, I requested OSDI’02 (in which Muthitacharoen is
`
`located) via the Washington Research Library Consortium (WRLC) loan service. I
`
`received OSDI’02 on July 22, 2017, and on July 22, 2017, made photocopies of
`
`Muthitacharoen (CSCO-1007) as well as the additional pages found in CSCO-
`
`1007.
`
`18. CSCO-1007 is a true and correct copy of OSDI’02 that I made on
`
`July 22, 2017, while the volume was in my possession via the WRLC loan service.
`
`I obtained CSCO-1007 by personally scanning the front matter (the front cover,
`
`the title page, the Operating Systems Review, the symposium organizers, and the
`
`table of contents) and the article “Ivy: A Read/Write Peer-to-Peer File System,”
`
`Page 12 of 77
`
`
`
`found on pages 31-44 of the periodical.
`
`a. WRLC– MARC Record
`
`19. CSCO-1042 is a true and correct copy of the MARC record for the
`
`Operating Systems Review journal whose volume 36 special issue of 2002 contains
`
`the OSDI’02 issue (CSCO-1007) that I retrieved from the WRLC Online Catalog
`
`(http://catalog.wrlc.org). I personally identified and located this MARC record,
`
`which experts in my field would reasonably rely upon when forming their opinion.
`
`20. CSCO-1043 is a true and correct copy of the Bibliographic record for
`
`the Operating Systems Review journal whose volume 36 special issue of 2002
`
`contains the OSDI’02 issue (CSCO-1007), that I retrieved from the WRLC Online
`
`Catalog (http://catalog.wrlc.org). I personally identified and located this
`
`Bibliographic Record Information, which experts in my field would reasonably
`
`rely upon when forming their opinion. CSCO-1043 shows that the OSDI’02 issue
`
`(CSCO-1007), which contains Muthitacharoen, is stored at the WRLC Center and
`
`can be requested via the WRLC loan service.
`
`21. Field 245 of the MARC record (CSCO-1042) and the title of the
`
`Bibliographic record (CSCO-1043) identify the publication title as “Operating
`
`systems review”. Field 264 of the MARC record (CSCO-1042) and the
`
`published/created field of the Bibliographic record (CSCO-1043) show that
`
`
`
`
`
`Page 13 of 77
`
`
`
`Operating Systems Review is published by ACM Special Interest Group on
`
`Operating Systems in New York, NY. The first six digits of Field 008 of the
`
`MARC record (CSCO-1042) inform me that the record for the journal was first
`
`entered into the OCLC Connexion in “750720” (i.e., July 20, 1975). The
`
`supplements field of the Bibliographic record (CSCO-1043) show that the George
`
`Washington University Library has the volume 36 special issue of 2002 (“Special
`
`Issue: v.36(2002:Win)”). Field 022 of the MARC record (CSCO-1042) and the
`
`International Standard Serial Number (ISSN) field of the Bibliographic record
`
`(CSCO-1043) inform me that the ISSN of the journal is “0163-5980”. Field 321
`
`shows that the publication frequency of this journal varied from 1969 to 2008. The
`
`second Field 321 of the MARC record (CSCO-1042) shows the journal was
`
`published three times per year since 2009. Field 310 of the MARC record (CSCO-
`
`1042) indicates the current publication frequency, since 2015, has been two to
`
`three times per year. Field 362 of the MARC record (CSCO-1042) and the
`
`publication history field of the Bibliographic record (CSCO-1043) inform me that
`
`the Operating Systems Review journal was first published in Dec. 1969. Field 780
`
`of the MARC record (CSCO-1042) informs me that this journal’s predecessor is
`
`“SIGOPS bulletin”. Field 711 shows the Symposium on Operating Systems Design
`
`and Implementation (OSDI) is an additional access point for this journal, meaning
`
`users searching for the proceedings of this Symposium will retrieve this journal
`
`Page 14 of 77
`
`
`
`record. Field 650 shows the subject of this journal as “Operating systems
`
`(Computers),” with subfield v indicating this publication is a periodical. Users
`
`interested in this topic treated in periodicals would be able to use this subject
`
`heading string to locate this journal. The MARC record (CSCO-1042) of the
`
`George Washington University Library makes the Operating Systems Review
`
`journal, including thee Winter 2002 special Issue (CSCO-1007), searchable in the
`
`WRLC catalog.
`
`22. Based on the information above, it is my opinion that the Operating
`
`Systems Review journal is a long running periodical that has been made available
`
`by the George Washington University Library in the WRLC catalog, meaning that
`
`anyone who was interested in the topic would be able to search for and access the
`
`Operating Systems Review journal.
`
`b. WRLC – Date Stamp
`
`23.
`
`The interior title page of the OSDI’02 issue in CSCO-1007 bears a
`
`stamp of “CURRENT PERIODICALS The Gelman Library APR 03 2003 George
`
`Washington University Washington, DC 20052.” The stamp has the appearance
`
`and distinctive characteristics of a typical check-in date stamp utilized by libraries
`
`to indicate the date a particular periodical issue was received by the library. As I
`
`noted above, it is ordinary and regular practice for a library, as part of its regularly
`
`conducted activity, to maintain intake records, including date stamping periodical
`
`Page 15 of 77
`
`
`
`issues during the check-in process, and to make an issue of a periodical available to
`
`the public in the library shortly after the library receives and date stamps the issue
`
`for serial check-in, usually within a week. In this case, it is my understanding that
`
`the George Washington University Library, upon receiving the OSDI’02 issue
`
`(CSCO-1007), date stamped it on April 3, 2003 (as shown in CSCO-1007), and,
`
`shortly thereafter, would have placed it with other recent issues of the periodical in
`
`the periodical room so as to make the issue findable and accessible to the public.
`
`24. Based on the date stamp placed on the interior title page in CSCO-
`
`1007, which has a date of April 3, 2003, and my understanding of the ordinary and
`
`customary check-in practices of libraries, it is my opinion that the OSDI’02 issue
`
`(CSCO-1007) (and, therefore, Muthitacharoen included therein) was accessible
`
`through the George Washington University Library to the public shortly after being
`
`received, usually within a week, on April 3, 2003.
`
`25.
`
`In view of the foregoing, it is my opinion that the Operating Systems
`
`Review journal is a long standing publication with wide readership (beginning in
`
`1969) and that the George Washington University Library received the OSDI’02
`
`issue of the Operating Systems Review journal, which includes a copy of the
`
`Muthitacharoen article (CSCO-1007), on April 3, 2003, and made it available to
`
`the public shortly thereafter.
`
`26. Actual usage of the Muthitacharoen article (CSCO-1007), which was
`
`Page 16 of 77
`
`
`
`published in the OSDI’02 issue of the Operating Systems Review journal, is
`
`reflected by articles that make reference to it. The article citation history provided
`
`by Google Scholar shows the Muthitacharoen article has been cited 585 times. Five
`
`citing articles are selected to demonstrate actual usage:
`
`(1) Cuenca-Acuna, F. M., Peery, C., Martin, R. P., & Nguyen, T. D. (2003,
`June). Planetp: Using gossiping to build content addressable peer-to-peer
`information sharing communities. In High Performance Distributed
`Computing, 2003. Proceedings. 12th IEEE International Symposium on
`(pp. 236-246). IEEE.
`(http://ieeexplore.ieee.org/abstract/document/1210033/; as Reference
`#17);
`
`(2) Goh, E. J., Shacham, H., Modadugu, N., & Boneh, D. (2003, February).
`SiRiUS: Securing Remote Untrusted Storage. In NDSS (Vol. 3, pp. 131-
`145).
`(http://www.isoc.org/isoc/conferences/ndss/03/proceedings/papers/9.pdf;
`as Reference #25);
`
`(3) Kallahalla, M., Riedel, E., Swaminathan, R., Wang, Q., & Fu, K. (2003,
`March). Plutus: Scalable Secure File Sharing on Untrusted Storage. In
`Fast (Vol. 3, pp. 29-42).
`(https://www.usenix.org/legacy/events/fast03/tech/full_papers/
`kallahalla/kallahalla.pdf; as Reference #36);
`
`(4) Rhea, S. C., Eaton, P. R., Geels, D., Weatherspoon, H., Zhao, B. Y., &
`Kubiatowicz, J. (2003, March). Pond: The OceanStore Prototype. In
`FAST (Vol. 3, pp. 1-14).
`
`Page 17 of 77
`
`
`
`(https://www.usenix.org/legacy/events/fast03/tech/rhea/rhea.pdf ;
`as Reference #21); and
`
`(5) Bhagwan, R., Tati, K., Cheng, Y., Savage, S., & Voelker, G. M. (2004,
`March). Total Recall: System Support for Automated Availability
`Management. In Nsdi (Vol. 4, pp. 25-25).
`
`(https://www.usenix.org/legacy/publications/library/proceedings/nsdi04/t
`ech/full_papers/bhagwan/bhagwan.pdf; as Reference #15).
`
`27.
`
`Taken together, the MARC record, the Bibliographic record, the date
`
`stamp, and the citations support my opinion that the Muthitacharoen article
`
`(CSCO-1007) was publicly accessible as early as February 2003 when the first
`
`citing paper was published or shortly after April 3, 2003 when the George
`
`Washington University Library received the winter 2002 special issue of the
`
`Operating Systems Review journal.
`
`CSCO-1008
`
`28. CSCO-1008 is a true and correct photocopy of Vol. 35, Number 5
`
`(December 2001) of the Operating Systems Review journal, that publishes
`
`Proceedings of the 18th ACM Symposium on Operating Principles (SOSP’01),
`
`which contains Dabek, that I made on July 31, 2017 during my personal visit to the
`
`Library of Congress. When I was originally asked to prepare this declaration, I
`
`accessed WorldCat for “Operating Systems Review” and identified the Library of
`
`Congress as one of the libraries that hold these conference proceedings. I then
`
`Page 18 of 77
`
`
`
`searched the Library of Congress online catalog to confirm the holdings
`
`information. The search results informed me that the Library of Congress provides
`
`access to the paper version of SOSP’01.
`
`29. CSCO-1008 is a true and correct copy of SOSP’01 that I made on
`
`July 31, 2017, while the volume was in my possession at the Library of Congress. I
`
`obtained CSCO-1008 by personally scanning the front matter (the front cover, the
`
`title page, the copyright page, the conference organizers, and the table of contents)
`
`and the article “Wide-area cooperative storage with CFS,” found on pages 202-215
`
`of the journal.
`
`a. Library of Congress – MARC Record
`
`30. CSCO-1044 is a true and correct copy of the MARC record for the
`
`Operating Systems Review journal, which contains Dabek (CSCO-1008), that I
`
`retrieved from the online catalog of the Library of Congress after searching for the
`
`journal by its title “Operating Systems Review”. I personally identified and located
`
`this record, which experts in my field would reasonably rely upon when forming
`
`their opinions.
`
`31. CSCO-1045 is a true and correct copy of a Bibliographic Record
`
`for the Operating Systems Review journal, which contains Dabek (CSCO-1008),
`
`that I retrieved from the online catalog of the Library of Congress, which experts in
`
`Page 19 of 77
`
`
`
`my field would reasonably rely upon when forming their opinions. CSCO-1045
`
`shows the holdings of this journal and indicates issues can be requested in the
`
`Jefferson or Adams Building Reading Rooms of the Library of Congress.
`
`32.
`
`Field 245 of the MARC record (CSCO-1044) and the main title of the
`
`Bibliographic record (CSCO-1045) identify the publication title as “Operating
`
`systems review”. Field 260 of the MARC record (CSCO-1044) and the
`
`published/created field of Bibliographic record (CSCO-1045) show that SOSP’01
`
`is published by ACM Special Interest Group on Operating Systems in New York,
`
`NY. The first six digits of Field 008 of the MARC record (CSCO-1044) inform me
`
`that the record for the journal was first entered into the OCLC Connexion in
`
`“750720” (i.e., July 20, 1975). Field 022 of the MARC record (CSCO-1044) and
`
`the International Standard Serial Number (ISSN) field of the Bibliographic record
`
`(CSCO-1045) inform me that the ISSN of the journal is “0163-5980”. Field 321
`
`shows that the journal frequency of this periodical varied from 1969 to 2008. The
`
`second Field 321 of the MARC record (CSCO-1044) shows the journal was
`
`published three times per year since 2009. Field 310 of the MARC record (CSCO-
`
`1044) indicates the current publication frequency, since 2015, has been two to
`
`three times per year. Field 362 of the MARC record (CSCO-1044) and the
`
`publication history field of the Bibliographic record (CSCO-1045) inform me that
`
`the Operating Systems Review journal was first published in Dec. 1969. Field 780
`
`Page 20 of 77
`
`
`
`of the MARC record (CSCO-1044) informs me that this journal’s predecessor is
`
`“SIGOPS bulletin”. Field 711 informs me that Symposium on Operating Systems
`
`Design and Implementation (OSDI) is an additional access point for this journal.
`
`The MARC record of the Library of Congress makes the Operating Systems
`
`Review journal that contains Dabek (CSCO-1008) searchable on its library catalog.
`
`33. Based on the information above, it is my opinion that the Operating
`
`Systems Review journal that contains Dabek (CSCO-1008) is a long running
`
`periodical that has been made available by the Library of Congress, meaning that
`
`anyone who was interested in the topic would be able to search for and access the
`
`Operating Systems Review journal, which contains Dabek (CSCO-1008).
`
`b. Library of Congress – Date Stamp
`
`34. CSCO-1008 is a true and correct photocopy of portions of Vol. 35,
`
`Number 5 (December 2001) of the Operating Systems Review journal, specifically,
`
`the SOSP’01 issue that includes Dabek (CSCO-1008) that I made during my
`
`personal visit to the Library of Congress on July 31, 2017. CSCO-1008 includes
`
`the front cover, the title page, the copyright page, the conference organizers, and
`
`the table of contents, and the article “Wide-area cooperative storage with CFS,”
`
`found on pages 202-215 of the issue. When I was originally asked to prepare this
`
`declaration, I searched WorldCat for “Operating Systems Review” and identified
`
`the Library of Congress as one of the libraries that hold these conference
`
`Page 21 of 77
`
`
`
`proceedings. I then searched the Library of Congress online catalog to confirm the
`
`holdings information
`
`35.
`
`The front cover of the SOSP’01 issue in CSCO-1008 bears a stamp of
`
`“LIBRARY OF CONGRESS COPYRIGHT OFFICE OCT 29 2001.” The stamp
`
`has the appearance and distinctive characteristics of a typical check-in date stamp
`
`utilized by libraries to indicate the date a particular periodical issue was received
`
`by the library. As I noted above, it is ordinary and regular practice for a library, as
`
`part of its regularly conducted activity, to maintain intake records, including date
`
`stamping periodical issues during the check-in process, and to make an issue of a
`
`periodical available to the public in the library shortly after the library receives and
`
`date stamps the issue for serial check-in, usually within a week. In this case, it is
`
`my opinion that the Library of Congress, upon receiving SOSP’01, date stamped it
`
`on October 29, 2001 (as shown in CSCO-1008), and, shortly thereafter, would
`
`have placed it with other issues of the periodical in the periodical room so as to
`
`make the issue findable and accessible to the public.
`
`36. Based on the date stamp placed on the cover page in CSCO-1008,
`
`which has a date of October 29, 2001, and my understanding of the ordinary and
`
`customary check-in practices of libraries, it is my opinion that the SOSP’01 issue
`
`(CSCO-1008) (and, therefore, Dabek included therein) was accessible at the
`
`Library of Congress to the public shortly after being received on October 29, 2001.
`
`Page 22 of 77
`
`
`
`c. Auburn University – MARC Record
`
`37. CSCO-1051 is a true and correct copy of Dabek, found in Vol. 35,
`
`Number 5 (December 2001) of the Operating Systems Review journal that
`
`publishes the Proceedings of the 18th ACM Symposium on Operating Systems
`
`Principles (SOSP’01), that I made on July 28, 2017 during my personal visit to the
`
`Catholic University of America Library. When I was originally asked to prepare
`
`this declaration, I accessed WorldCat for “Operating Systems Review.” The search
`
`results informed me that the Auburn University Library provides access to the
`
`proceedings of SOSP’01.
`
`38. On July 22, 2017, I requested SOSP’01 (in which Dabek is located)
`
`via the interlibrary loan service of the Catholic University of America. I received
`
`the CD-ROM version of SOSP’01 owned by the Auburn University Library on
`
`July 28, 2017, and on July 28, 2017, printed copies of Dabek (CSCO-1051) as well
`
`as the additional pages found in CSCO-1046.
`
`39.
`
`I have compared CSCO-1008 and CSCO-1051, and I have found that
`
`both copies of Dabek found in each exhibit are identical.
`
`40. CSCO-1051 is a true and correct copy of Dabek that I made on July
`
`28, 2017, while the CD-ROM was in my possession via the Catholic University of
`
`America inter-library loan service. I obtained CSCO-1051 by personally opening
`
`Page 23 of 77
`
`
`
`the file on the CD-ROM and printing the article “Wide-area cooperative storage
`
`with CFS”. I also obtained CSCO-1046 by personally opening the file on the CD-
`
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