U.S. Patent 7,246,027
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`
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`INTEL CORPORATION
`Petitioner
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`V.
`
`VLSI Technology LLC
`Patent Owner
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`
`
`IPR2019-01196
`Patent No. 7,246,027
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`
`DECLARATION OF GRETCHENL. HOFFMAN,Ph.D., INSUPPORT OF
`INTEL CORPORATION’S PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO.7,246,027
`
`INTEL 1019
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`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`INTEL CORPORATION
`Petitioner
`
`V.
`
`VLSI Technology LLC
`Patent Owner
`
`
`
`IPR2019-01196
`Patent No. 7,246,027
`
`
`DECLARATION OF GRETCHENL. HOFFMAN,Ph.D., INSUPPORT OF
`INTEL CORPORATION’S PETITION FOR INTER PARTES REVIEW OF
`U.S. PATENT NO.7,246,027
`
`INTEL 1019
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`
`
`U.S. Patent 7,246,027
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`I, Gretchen L. Hoffman, declare as follows:
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`I have personal knowledgeofthe facts set forth in this Declaration and,if
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`called to testify as a witness, could and would do so competently.
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`I.
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`INTRODUCTION
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`l.
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`I am currently an Associate Professor in the School of Library and
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`Information Studies at Texas Woman’s University in Denton, Texas.
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`2.
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`I have been retained by Intel Corporation (“Intel’’) in this proceeding
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`before the United States Patent and Trademark Office’s Patent Trial and Appeal
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`Board (the “PTAB”’)as an independentexpert consultant in the field of library
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`cataloging.
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`I understandthat Intel is submitting Petitions for Inter Partes Review
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`challenging claims of U.S. Patent No.7,246,027.
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`I also understand that this
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`Declaration will be used in support of Intel’s Petitions.
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`3.
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`This Declaration sets forth my opinions based on the information
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`identified and the analysis I have performed through the date of this Declaration.
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`This Declaration, and my opinions contained herein, are subject to change or
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`modification if additional relevant information becomesavailable that bears on my
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`analysis.
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`U.S. Patent 7,246,027
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`4.
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`I am being compensated at my normal consulting rate of $250 per
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`hour for my time. My compensation does not depend in any way onthe substance
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`of my conclusionsandis not affected by the outcome ofthis proceeding.
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`5.
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`I have no financial interest in any of the parties to the Petition, the
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`outcomeof any resulting proceedings, or the outcomeofanyrelatedlitigation.
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`I
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`similarly have no financial interest in the challenged patent, and I have had no
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`contact with the named inventors of the patent.
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`I.
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`EXPERIENCE AND QUALIFICATIONS
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`6.
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`I received a Bachelor of Arts degree in Music from the University of
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`Nevada, Reno in 1995 and a Master of Library Science degree from Emporia State
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`University in 2000.
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`I received a doctoral degree in Library and Information
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`Management from Emporia State University in 2008.
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`I have been a professional
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`librarian for more than 17 years, and I am recognized as a leading authority in
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`library cataloging and information management, both as a professor and as a
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`practitioner.
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`7.
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`I am a longstanding memberofstate, regional, and national
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`professional organizations.
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`I am a memberof the American Library Association
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`(“ALA”), and its Association for Library Collections and Technical Services
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`(“ALCTS”), Library Research Round Table (“LRRT’’), and Competencies and
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`U.S. Patent 7,246,027
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`Education for a Career in Cataloging Interest Group. I served as the Co-Chair of
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`the ALA ALCTS Cataloging and Metadata ManagementSection, Research and
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`Publications Committee from 2017 to present, and the Co-Chair of the
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`Competencies and Education for a Career in Cataloging Interest Group from 2018
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`to present. I am also a memberof the Association for Information Science and
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`Technology (“ASIS&T”), the Association for Library and Information Science
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`Education (““ALISE”), the International Society for Knowledge Organization
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`(“ISKO”), and the Texas Library Association (“TLA”).
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`I served as the Chair of
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`the Cataloging and Metadata Round Table of the Texas Library Association
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`between 2011 and 2012.
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`I have also served as a peer reviewer and subject matter
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`expert for several publications within the library and information sciencefield,
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`including Competency Index for the Library Field, Journal ofLibrary Metadata,
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`and Cataloging & Classification Quarterly.
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`8.
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`I have given numerouspresentationsin the field of library cataloging
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`and information management, including presentations on the topics of library
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`cataloging andclassification systems, bibliographic control, cataloging ethics, and
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`metadata.
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`I have also conducted numerousfield-based research studies, and
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`published numerous book chapters andarticles. In addition, I currently have a
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`U.S. Patent 7,246,027
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`textbook in press that focuses on the theory and practice of organizing library
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`collections. It is scheduled to be publishedin the fall of 2019.
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`9.
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`Additional details concerning myprofessional qualifications,
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`experience, and publications are set forth in my current curriculum vitae, attached
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`as Appendix A.
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`Hil. LEGAL STANDARDS
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`10.
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`Iam notan attorney and have not been asked to offer my opinion on
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`the law. As an expert offering an opinion on whether documents qualify as printed
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`publications, however, I understand that I am obliged to follow existing law. For
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`the purposesof this Declaration, I have been informed about certain aspects of the
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`law that are relevant to my opinions. My understanding of the law is summarized
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`below.
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`11.
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`[have been informed and understand that under 35 U.S.C. § 102,
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`certain materials may qualify as prior art in proceedings before the PTAB when
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`that material constitutes a “printed publication.” I understand that to qualify as a
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`printed publication, the material in question mustbe sufficiently accessible to the
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`public interested in the art. In turn, material is sufficiently accessible if it was
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`disseminated or otherwise madeavailable to the extent that persons interested and
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`ordinarily skilled in the subject matter or art exercising reasonable diligence, can
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`U.S. Patent 7,246,027
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`locate it.
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`I further understand that accessibility goes to the issue of whether
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`interested members of the relevant public could obtain the information if they
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`wanted to, and not whether any particular memberof the public actually retrieved
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`the material.
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`12.
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`[have been informed and understand that one way to demonstrate
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`public accessibility is to show competent evidence of general library practices that
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`indicate an approximate date on whichthe material in question became publicly
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`accessible. For example, I understand that cataloging or indexing material in a
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`library can show the material was sufficiently accessible to those interested in the
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`art.
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`I also understandthat this is not the only way to prove public accessibility.
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`Amongother ways, public accessibility can be proven by the copyright date of the
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`material in question or by citations to the material in question that are contained in
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`other materials.
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`13.
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`I have been informed and understandthat a “person of ordinary skill
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`in the art at the time of the inventions”is a hypothetical person who is presumedto
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`be familiar with the relevant field andits literature at the time of the inventions and
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`would be part of the public interested in the art. This hypothetical personis also a
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`person of ordinary creativity, capable of understanding the scientific principles
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`applicable to the pertinentfield.
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`U.S. Patent 7,246,027
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`14.
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`T have been informed and understand that a person of ordinary skill in
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`the art at the time of the alleged invention included someone withat least a
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`Master’s degree in Electrical Engineering or Computer Engineering, plusat least
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`two years of experience in integrated circuit design, or alternatively a Bachelor’s
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`degree in one of those fields plus at least four years of experience in integrated
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`circuit design.
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`IV. LIBRARY CATALOGING
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`15.
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`OCLC is a worldwide library cooperative that is owned and governed
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`by its participating members, and oneofits goals is to establish, maintain, and
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`operate a computerized library network. Over 23,000 libraries, archives, and
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`museumsin over 170 countries (including many libraries in the United States) are
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`members of OCLC.
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`16. When an OCLCparticipating institution acquires a work, a cataloger
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`creates a bibliographic record for this work using the Machine-Readable
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`Cataloging (“MARC”) format in its computer catalog system and OCLC
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`automatically supplies the date of creation. The MARC format is an industry-wide
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`standard method of encoding, storing, and organizing library catalog information.
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`MARC1sthe primary communicationsprotocol for the transfer and storage of
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`bibliographic metadatain libraries.
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`U.S. Patent 7,246,027
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`17.
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`The creation date of a bibliographic record encoded in the MARC
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`format reflects the date on or shortly after the item wasfirst acquired and
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`cataloged. Once the bibliographic record is created by a cataloger at an OCLC
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`participating memberinstitution, it is instantaneously available to any OCLC
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`participating members, and therefore available to the public. The general public
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`has free online access to records created by OCLC memberlibraries in OCLC’s
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`WorldCat database.
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`18.
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`A bibliographic record encoded in the MARC format includesseveral
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`fields that contain specific data about the work. For example, a work’s title is
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`recordedin field 245. Ifa work is a part of a series, then the series information is
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`recorded in fields 490 and 830. An individual determined to be the primary creator
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`of a work appears in field 100; secondary creators and other contributors appear in
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`field 700. If a corporate body is determinedto be responsible for creating the
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`intellectual content of a work in lieu of one or more individuals, then its name
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`appears in field 110 (whena creator) or field 710 (when a contributor). Notes are
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`added in 5XX fields. The library that creates a bibliographic record on OCLCis
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`recorded in the first position of field 040 with a unique library code. Field 008
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`records, among other things, the date a bibliographic record was created. Field 005
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`records the date a bibliographic record waslast updated.
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`U.S. Patent 7,246,027
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`19.
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`Bibliographic records are indexed in several waysin library catalogs.
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`Titles are indexed so users may perform keywordsearchesor direct searches for
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`titles, includingtitles, series titles, and variant titles. Namesare indexed so users
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`may perform keyword searchesor direct searches for names, including personal
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`names, corporate names, and family names. Subjects are indexed by adding
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`subject headings andclassification numbers based on subject. Subjects are
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`indexed by using various subject headingslists and classification schemes
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`maintained by the library profession, such as the Library of Congress Subject
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`Headings and the Library of Congress Classification scheme. In addition, users
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`are able to search bibliographic records using keyword searches, which allow users
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`to search the entire bibliographic record, includingtitles, names, subjects, and
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`whenaddedto bibliographic records, table of contents and notes.
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`20.
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`In addition to the creation and indexing of MARCbibliographic
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`records, of interest to this Declaration is the Library of Congress’s Cataloging in
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`Publication (CIP) program. The Library of Congress’s Cataloging in Publication
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`program catalogs books before they are published. A publisher is responsible for
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`sending the information to the Library of Congress, and the Library of Congress
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`will create cataloging information. In addition, the Library of Congress can assign
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`a Library of Congress control numberto the book. A publisher can choose to
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`U.S. Patent 7,246,027
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`publish the CIP information and/or the Library of Congress control number on the
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`title page verso of the book. The Library of Congressalso will create a
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`prepublication MARCbibliographic record in the OCLC bibliographic database
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`with the CIP information. The purposeof the program is to help libraries perform
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`quick and efficient cataloging and processing oflibrary materials. However, the
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`CIP informationis not set in stone. Becauseit is created before a book is
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`published, bibliographic information maybe different on the actual book than in
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`the CIP information. In the OCLC bibliographic database, a prepublication
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`bibliographic record created by the Library of Congress is converted into a full
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`bibliographic record whenthe bookis actually published and available in libraries.
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`This usually happens within one year after a prepublication record is created, but it
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`may take longerif there is a publication delay. The bibliographic informationis
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`modified and updated according to the published book. However, the date the
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`bibliographic record wasoriginally created in OCLC willstill reflect the original
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`prepublication bibliographic record created from the CIP information.
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`21. Onthe OCLCbibliographic database, there is supposed to be one
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`bibliographic record per edition of a book, and this bibliographic record is referred
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`to as the “master record.” Because a prepublication bibliographic record created
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`by the Library of Congress has preliminary information, libraries who catalog the
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`U.S. Patent 7,246,027
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`bookafter it is published may choose to update the OCLC bibliographic record to
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`full cataloging or they may choose to create a new bibliographic record from
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`scratch. Unfortunately, this practice can result in multiple duplicate records on
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`OCLC. To handle this issue, OCLC routinely merges duplicate records together,
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`and the record chosenasthe “master record”is often the record created by the
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`Library of Congress, and the duplicate records are removed from the OCLC
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`bibliographic database. The OCLC numbersof records removed from the
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`bibliographic databaseare retained in field 019, because libraries may have these
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`bibliographic recordsin their library catalogs. Individual libraries may update
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`their bibliographic records in their online catalogs to match the information on the
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`master record in OCLC ornot.
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`V. MCGRAW-HILL DICTIONARY OF ELECTRICAL AND
`COMPUTER ENGINEERING(EX.1008)
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`22.
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`[understandthat Intel’s Petition relies on Ex. 1008—a dictionary
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`titled, McGraw-Hill Dictionary ofElectrical and Computer Engineering—asa
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`prior art publication in this proceeding.
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`23.
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`Based on myreview of Ex. 1008, it appears to be parts of a dictionary
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`titled, McGraw-Hill Dictionary ofElectrical and Computer Engineering, published
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`by McGraw-Hill, with a copyright date of 2004 (hereafter “McGraw-Hill
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`U.S. Patent 7,246,027
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`Dictionary”). Exhibit 1008 contains parts of a copy of the McGraw-Hill
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`Dictionary, including the front cover, the spine, the inside front cover,thetitle
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`page and verso, contents, page 561, page 586, and the back cover, made from a
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`print copy obtained from The University of Texas at Austin Library. The book’s
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`title page verso showsa copyright date of 2004, shows an ISBN: 0-07-144210-3,
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`showsa call number: TK7885.A2M37 2004, and shows a Library of Congress
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`control number: 2004049888. The inside front cover bears a stamp indicating The
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`Library of The University of Texas At Austin. The spine bears a call number
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`label: TK 7885 A2 M37 2004 LIFE SCIENCE. The back coverbearsa label:
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`University of Texas At Austin — Gen Libs 0 5917 3011427781(barcode).
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`I
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`received a copy of this book from counsel, who obtained it from The University of
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`Texas at Austin Library and who madethe copy which comprises Ex. 1008.
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`I note
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`that those parts of the text that comprise the exhibit appear to be complete and
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`there appearsto be no visible alterations to the document.
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`24. Attached hereto as Attachment 1008A is a true and correct copy of the
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`online catalog record for the McGraw-Hill Dictionary from the University of Texas
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`at Austin (UT-Austin) Library online catalog that I obtained. The document
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`cataloged in this record is the McGraw-Hill Dictionary as verified by the fields
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`listing the title: McGraw-Hill dictionary of electrical and computer engineering;
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`U.S. Patent 7,246,027
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`publisher and publication date: McGraw-Hill in 2004, and ISBN: 0071442103.
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`I
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`also compared the LC Classification (call number): TK 7885 A2 M37 2004 with
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`that shown on the spine of Ex. 1008, and the values are the same on both. The
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`record indicates that a print copy of the bookis held by the Library. The
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`Attachmentindicates that the McGraw-Hill Dictionary as cataloged at the UT-
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`Austin Library is currently held by that institution. All identifying characteristics,
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`including stampsand notations, on Ex. 1008 are consistent with library practice
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`and procedure that I have observed during mycareeras a professionallibrarian.
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`Based on my review of Ex. 1008, in my opinion, Ex. 1008 is a true and correct
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`copy in a condition that creates no suspicion aboutits authenticity.
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`25. Attached hereto as Attachment 1008Bisa true and correct copy of the
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`MARCbibliographic record for a dictionary titled, McGraw-Hill Dictionary of
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`Electrical and Computer Engineering, published by McGraw-Hill, with a
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`copyright date of 2004, that I obtained from the OCLC bibliographic database.
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`The bibliographic identifiers, such astitle (245), publisher (260), ISBN (020), and
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`so on, match Ex. 1008, therefore confirming that the bibliographic record
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`correspondsto the dictionary in Ex. 1008. As previously noted,the library that
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`created the record 1s recorded at the beginning offield 040 with a unique library
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`code. For Attachment 1008B, that library code is “DLC”, which means the MARC
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`U.S. Patent 7,246,027
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`bibliographic record for this book was created by the Library of Congress. As can
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`be seen in the “Entered”field in the MARCbibliographic record for this
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`attachment, a cataloger at the Library of Congress created OCLC record number
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`55008482 on April 16, 2004. Although this date fits the copyright year, it is highly
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`likely that this bibliographic record wascreated originally as a prepublication
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`record through the Library of Congress’s Cataloging in Publication program,
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`described previously in the Declaration. After the book was published, the OCLC
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`bibliographic record was converted into a full record by modifying and updating
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`the information to match the published book.
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`26.
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`Because the OCLC bibliographic record mostlikely originated as a
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`prepublication record, the date it was created on OCLCisnotreflective of the date
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`that the McGraw-Hill Dictionary was madepublicly available in libraries.
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`However, bibliographic records from library catalogs can assist in determining the
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`approximate date the McGraw-Hill Dictionary was madepublicly available. To
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`determinethis date, I looked at the bibliographic record on the online catalog of the
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`University of North Texas (UNT) Library. Attached hereto as Attachment 1008C
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`is a true and correct copy of the MARCbibliographic record for the McGraw-Hill
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`Dictionary from the UNT Library’s online catalog that I obtained. The
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`bibliographic identifiers of the McGraw-Hill Dictionary match the bibliographic
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`U.S. Patent 7,246,027
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`information in the bibliographic record, suchastitle (245), publisher (260), ISBN
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`(020), and so on. Field 035 on this bibliographic record indicatesthat it is OCoLC
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`record number 55008482, which matches the OCLC record numberin the OCLC
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`bibliographic database. Field 008 on the bibliographic record showsthat the
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`bibliographic record wascreated on April 16, 2004, which matchesthe date the
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`prepublication record wascreated in the OCLC bibliographic database. Field 005
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`explains when the bibliographic record waslast updated. The bibliographic record
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`waslast updated on October 13, 2004. This date is within a year the prepublication
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`bibliographic record was created in OCLC, so the date is an indication when the
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`McGraw-Hill Dictionary was cataloged and madeavailable at the UNT Library. It
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`is my opinion that Ex. 1008 was published and accessible to the public nolater
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`than October 13, 2004.
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`27. My opinion concerning Exhibit 1008 is further substantiated by
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`bibliographic recordsin other libraries that hold the McGraw-Hill Dictionary.
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`Attached hereto as Attachment 1008Dis a true and correct copy of the MARC
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`bibliographic record for the McGraw-Hill Dictionary from the online catalog of
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`The University of Texas at Austin (UT-Austin) Library that I obtained. The
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`bibliographic identifiers of the McGraw-Hill Dictionary match the bibliographic
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`information in the bibliographic record suchastitle (245), publisher (260), ISBN
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`U.S. Patent 7,246,027
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`(020), and so on. Field 001 on this bibliographic record indicates that it is OCLC
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`record number 55008482, which matches the OCLC record numberin the OCLC
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`bibliographic database. Field 008 on the bibliographic record showsthat the
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`bibliographic record wascreated on April 16, 2004, which matchesthe date the
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`prepublication record wascreated on the OCLC bibliographic database. Field 005
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`explains when the bibliographic record waslast updated. The bibliographic record
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`waslast updated on September 23, 2004. This date is within a year the
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`prepublication bibliographic record was created in OCLC, as well as around three
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`weeks before the date the book was cataloged by the UNT Library, so the date is
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`an indication when the McGraw-Hill Dictionary was cataloged and madeavailable
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`at the UT-Austin Library. The date falls before October 13, 2004, the date the
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`book was madeavailable at the UNT Library.
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`28. Attached hereto as Attachment 1008Eis a true and correct copy of the
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`MARCbibliographic record for the McGraw-Hill Dictionary from the online
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`catalog of the Tennessee State University Libraries and Media CentersthatI
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`obtained. The bibliographic identifiers of the McGraw-Hill Dictionary match the
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`bibliographic information in the bibliographic record, suchastitle (245), publisher
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`(260), ISBN (020), and so on. Field 001 on this bibliographic record indicates that
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`it is OCLC record number 55008482, which matches the OCLC record numberin
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`U.S. Patent 7,246,027
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`the OCLC bibliographic database. Field 008 on the bibliographic record shows
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`that the bibliographic record wascreated on April 16, 2004, which matchesthe
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`date the prepublication record was created on the OCLC bibliographic database.
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`Field 005 explains whenthe bibliographic record waslast updated, whichis
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`September 15, 2004. This date is within a year the prepublication bibliographic
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`record wascreated in OCLC, as well as around one month before the date the book
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`wascataloged by the UNT Library, so the date is an indication when the McGraw-
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`Hill Dictionary was cataloged and madeavailable at the Tennessee State
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`University Library. The date falls before October 13, 2004, the date the book was
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`madeavailable at the UNT Library.
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`29.
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`Furthermore, the bibliographic records in Attachments 1008A, 1008B,
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`1008C, 1008D, and 1008E include two English-language subject headings in field
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`650 reading “Computer engineering {tv Dictionaries” and “Electrical engineering
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`tv Dictionaries”, or their equivalents. The “0” in field 650 on the MARCrecords
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`indicates the subject headings were taken from the Library of Congress Subject
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`Headings. Attachments 1008A, 1008B, 1008C, 1008D, and 1008Ealso include a
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`classification numberbased on subjectin field 050 (e.g., “T'K7885.A2 tb M37
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`2004”). The “00”in field 050 on the MARCrecords indicates it was assigned by
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`the Library of Congress and taken from the Library of Congress Classification
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`scheme. Thefirst part of this classification number (“TK7885.A2”) represents the
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`subject “Computer engineering. Computer hardware”andis assigned to
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`dictionaries and encyclopedias about the subject. Thus, as of its cataloging, the
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`McGraw-Hill Dictionary—as shownin the online catalog and MARC
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`bibliographic records in Attachments 1008A, 1008B, 1008C, 1008D, and 1008E—
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`was indexed accordingto its subject matter. Accordingly, because of various dates
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`that the McGraw-Hill Dictionary was cataloged, indexed, and made available in
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`libraries, it is my opinion that Attachments 1008D and 1008E support my
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`conclusion that Ex. 1008 wasaccessible to the public no later than October 13,
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`2004 as described with reference to the MARCbibliographic records discussed
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`above.
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`30.
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`Based on my review of Ex. 1008, my review of the bibliographic
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`record in the OCLC bibliographic database, the UNT Library’s online catalog, the
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`UT-Austin Library’s online catalog, and the Tennessee State University Library’s
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`online catalog, as well as my experiencein library cataloging, it is my opinion that
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`Ex. 1008 is a book that was publicly accessible at least as early as October 13,
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`2004.
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`31.
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`In signing this Declaration, I recognize that the Declaration will be
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`filed as evidence in a case before the Patent Trial and Appeal Board of the United
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`U.S. Patent 7,246,027
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`States Patent and Trademark Office.
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`I also recognize that I may be subject to
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`cross-examination in the case and that cross-examination will take place within the
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`United States. If cross-examination is required of me, I will appear for cross-
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`examination within the United States during the time allotted for cross-
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`examination.
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`VI. YANNIS TSIVIDIS, OPERATION AND MODELING OF THE MOS
`TRANSISTOR, SECOND EDITION(EX.1011)
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`32.
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`J understand that Intel’s Petition relies on Ex. 101 1—the second
`
`edition of a book titled, Operation and Modeling of the MOS Transistor—asa
`
`prior art publication in this proceeding.
`
`33.
`
`Based on my review of Ex. 1011, it appears to be parts of the second
`
`edition of a book titled, Operation and Modeling of the MOSTransistor, written by
`
`Yannis Tsividis, published by WCB/McGraw-Hill, with a copyright date of 1999
`
`(hereafter “Tsividis Book’). Ex. 1011 contains parts of a copy of the Tsividis
`
`Book, including the front cover, spine, Selected List of Symbols, Values for some
`
`useful quantities, half title page, title page and verso, dedication page, About the
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`Author, Preface, Contents, pages 189-191 of the text, and the back cover, made
`
`from a print copy obtained from the Library of Congress. The book’s title page
`
`verso shows a copyright date of 1999, shows an ISBN: 0-07-065523-5, and bears a
`
`
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`U.S. Patent 7,246,027
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`stamp indicating Library of Congress Nov. 17, 1998 CIP. The Selected List of
`
`Symbols page bears a stamp: The Library of Congress. Thetitle page verso bears
`
`a handwritten call number: TK7871 .99 .M44T77 1999,and the spine bearsa call
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`numberlabel: TK 7871 .99 .M44 T77 1999. The back cover bears a label: Library
`
`of Congress, 0 007 296 413 5 (barcode).
`
`I received a copy of this book from
`
`counsel, who obtainedit from the Library of Congress and who madethe copy
`
`which comprises Ex. 1011.
`
`I note that those parts of the text that comprise the
`
`exhibit appear to be complete; no pages are missing, and the text on each page
`
`appears to flow seamlessly from one page to the next; further, there appears to be
`
`no visible alterations to the document.
`
`34. Attached hereto as Attachment 1011A is a true and correct copy of the
`
`online catalog record for the Tsividis Book from the Library of Congress online
`
`catalog that I obtained. The documentcataloged in this record is the Tsividis Book
`
`as verified by the fields listing the author: Yannis Tsividis; title: Operation and
`
`modeling of the MOS transistor; publisher and publication date: WCB/McGraw-
`
`Hill in 1999, and ISBN: 0070655235.
`
`I also compared the LC Classification (call
`
`number): TK7871.99.M44 T77 1999 with that shown onthetitle page verso and
`
`spine of Ex. 1011, and the values are equivalent on both. The recordindicates that
`
`one print copy of the book is held by the Library. The Attachment indicates that
`
`20
`
`
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`U.S. Patent 7,246,027
`
`the Tsividis Book as cataloged at the Library of Congressis currently held by that
`
`institution. All identifying characteristics, including date stamps and notations, on
`
`Ex. 1011 are consistent with library practice and procedure that I have observed
`
`during mycareeras a professionallibrarian. Based on my review of Ex. 1011, in
`
`my opinion, Ex. 1011 is a true and correct copy in a condition that creates no
`
`suspicion aboutits authenticity.
`
`35. Attached hereto as Attachment 1011B is a true and correct copy of the
`
`MARCbibliographic record for the second edition of a booktitled, Operation and
`
`Modeling of the MOSTransistor, written by Yannis Tsividis, published by
`
`WCB/McGraw-Hill, with a copyright date of 1999, that I obtained from the OCLC
`
`bibliographic database. The bibliographic identifiers, such astitle (245), author
`
`(245), edition (250), publisher (260), and so on, match Ex. 1011, therefore
`
`confirming that the bibliographic record correspondsto the book in Ex. 1011. As
`
`previously noted, the library that created the record is recorded at the beginning of
`
`field 040 with a unique library code. For Attachment 1011B, that library code is
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`“DLC”, which means the MARCbibliographic record for this book was created by
`
`the Library of Congress. As can be seen in the “Entered”field in the MARC
`
`bibliographic record for this attachment, a cataloger at the Library of Congress
`
`created OCLC record number 39042960 on April 24, 1998. This date is earlier
`
`21
`
`
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`U.S. Patent 7,246,027
`
`than the copyright date of the book, which 1s an indication the bibliographic record
`
`wascreated originally as a prepublication record through the Library of Congress’s
`
`Cataloging in Publication program, described previously in the Declaration. After
`
`the book waspublished, the OCLC bibliographic record was converted into a full
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`record by modifying and updating the information to match the published book.
`
`36.
`
`Because the OCLC bibliographic record in Attachment 1011B most
`
`likely originated as a prepublication record, the date it was created on OCLC1s not
`
`reflective of the date that the Tsividis Book was made publicly available in
`
`libraries. However, bibliographic records from library catalogs can assist in
`
`determining the approximate date the Tsividis Book was madepublicly available.
`
`To determinethis date, I looked at the bibliographic record on the online catalog of
`
`the Stanford University Library. Attached hereto as Attachment 1011C is a true
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`and correct copy of the MARCbibliographic record for the Tsividis Book from the
`
`Stanford University Library’s online catalog that I obtained. The bibliographic
`
`identifiers of the Tsividis Book match the bibliographic information in the
`
`bibliographic record, suchastitle (245), authors (245), edition (250), publisher
`
`(260), and so on. Thefirst field 035 on this bibliographic record indicatesthatit is
`
`OCoLC record number 39042960, which matches the OCLC record numberin the
`
`OCLC bibliographic database. Field 008 on the bibliographic record showsthat
`
`22
`
`
`
`U.S. Patent 7,246,027
`
`the bibliographic record was created on April 24, 1998, which matchesthe date the
`
`prepublication record wascreated in the OCLC bibliographic database. Field 916
`
`on the bibliographic record shows whenthe book wascataloged by Stanford
`
`University Library. Field 916 records that the Stanford University Library
`
`cataloged the Tsividis Book on December 17, 1998. This date is within a year the
`
`prepublication bibliographic record wascreated in OCLC. It is my opinion that
`
`Ex. 1011 was published andaccessible to the public no later than December 17,
`
`1998.
`
`37. My opinion concerning Ex. 1011 is further substantiated by
`
`bibliographic recordsin otherlibraries that hold the Tsividis Book. Attached
`
`hereto as Attachment 1011D is a true and correct copy of the MARCbibliographic
`
`record for the Tsividis Book from the online catalog of the University of Virginia
`
`Library that I obtained. The bibliographic identifiers of the Tsividis Book match
`
`the bibliographic information in the bibliographic record suchastitle (245),
`
`authors (245), edition (250), publisher (260), and so on. The secondfield 035 on
`
`this bibliographic record indicates that it is OCoLC record number 39042960,
`
`which matches the OCLC record number in the OCLC bibliographic database.
`
`Field 008 on the bibliographic record showsthat the bibliographic record was
`
`created on April 24, 1998, which matchesthe date the prepublication record was
`
`23
`
`
`
`U.S. Patent 7,246,027
`
`created on the OCLC bibliographic database. Field 005 explains when the
`
`bibliographic record waslast updated. The bibliographic record was last updated
`
`on November20, 1998. This date is within a year the prepublication bibliographic
`
`record wascreated in OCLC, as well as around one month before the date the book
`
`wascataloged by the Stanford University Library, so the date is an indication when
`
`the Tsividis Book was cataloged and made available at the University of Virginia
`
`Library. The date falls before December 17, 1998, the date the book was made
`
`available at the Stanford University Library.
`
`38. Attached hereto as Attachment 1011E is a true and correct copy of the
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`MARCbibliographic record for the Tsividis Book from the online catalog of the
`
`North Carolina State University (NC State) Librar
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