UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`Google LLC,
`Petitioner
`
`v.
`
`Kove IO, Inc.,
`Patent Owner
`
`
`__________________
`
`Case No. IPR2024-01018
`Patent No. 7,103,640
`
`
`
`DECLARATION OF NANCY E. ADAMS Ed.D.
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`__________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`
`Google LLC,
`Petitioner
`
`v.
`
`Kove IO, Inc.,
`Patent Owner
`
`
`__________________
`
`Case No. IPR2024-01018
`Patent No. 7,103,640
`
`
`
`DECLARATION OF NANCY E. ADAMS Ed.D.
`
`
`
`
`
`
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`EX2002
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`IPR2024-01018
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`TABLE OF CONTENTS
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`
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`I.
`
`INTRODUCTION ........................................................................................... 1
`A. Qualifications and Professional Experience .......................................... 1
`B.
`Scope of This Declaration ..................................................................... 3
`C.
`Evidence Considered in Forming My Opinions.................................... 3
`PUBLIC AVAILABILITY OF VINGRALEK ............................................... 4
`II.
`III. CONCLUSION .............................................................................................. 22
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`I.
`
`INTRODUCTION
`I, Nancy E. Adams Ed.D., do hereby declare as follows:
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`1.
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`I have been retained as an independent expert witness on behalf
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`of Patent Owner for proceedings before the United States Patent and Trademark
`
`Office (“PTO”) regarding the public availability of a document (Exhibit 1007,
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`discussed further below) in relation to the above-named Inter Partes Review
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`(“IPR”).
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`2.
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`I am being compensated for my work in this matter at my
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`customary hourly rate, which is $250/hour. I am also reimbursed for any reasonable
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`expenses associated with my work on this matter. My compensation is not
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`contingent on the results of my study, the substance of my opinions, or the outcome
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`of this matter.
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`3.
`
`I understand that this Declaration accompanies a Preliminary
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`Patent Owner Response (“POPR”).
`
`A. Qualifications and Professional Experience
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`4. My complete qualifications and professional experience are
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`described in my curriculum vitae (Exhibit 2003). The following is a brief summary
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`of my relevant qualifications and professional experience.
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`5.
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`I am the Librarian for Scholarly Communication and Education
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`at Harrell Health Sciences Library, a Penn State University Library. I have held this
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`position since July of 2024. Prior to that, I held the position of Assistant Dean of
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`Foundational Sciences at Penn State College of Medicine and Librarian for
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`Education and Instruction at Harrell Health Sciences Library, a combined position
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`that I held between July of 2017 to July of 2024. Prior to that, I held the position of
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`Associate Director of the Harrell Health Sciences Library, which began in 2010.
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`Prior to that, I held numerous Librarian positions at the University level, such as
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`Harrisburg University of Science and Technology, The University of Maine, and
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`Wayne State University. I have accumulated a total of 27 years of experience
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`working in academic library and medical library settings.
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`6.
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`I hold an Ed.D. in Adult Education from Pennsylvania State
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`University and a Masters in Library and Information Science from Wayne State
`
`University.
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`7.
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`I am an expert on library cataloging, classification, and
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`searching. I have published contributed chapters to editions on this subject,
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`Curriculum Mapping: A Match Made for Librarian Skill (2020) and Making it
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`better: library and student services collaboration at a new university (2012). I have
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`taught workshops on literature searching to a myriad of undergraduate students,
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`graduate students, and advanced-degree professionals for decades. I have given
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`presentations, such as “Searching PubMed like an Expert: The Evolution, a PubMed
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`Searching Discussion Forum.” I have served as the search specialist on a systematic
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`review team in which my role was to formulate, execute, and document an
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`exhaustive search of the literature answering a specific research question.
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`8.
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`I am
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`familiar with metadata
`
`schematic design and
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`implementation. As a librarian, I routinely use the metadata associated with
`
`publications to answer reference questions or track down items that researchers rely
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`on for their work. I have used online cataloging systems to create new catalog
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`records for materials archived by libraries.
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`9.
`
`I am personally familiar with many online catalogs, databases,
`
`and search engines, including all of the particular catalogs, databases, and search
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`engines that I reviewed and relied upon in forming my opinions herein.
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`B.
`
`Scope of This Declaration
`10.
`I have been asked to review Dr. Sylvia D. Hall-Ellis’s
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`Declaration (Exhibit 1020) regarding the of public availability of a document,
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`Vingralek et al., “Distributed file organization with scalable cost/performance”
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`(“Vingralek”), which document was filed as Exhibit 1007 in the above-named IPR,
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`and to provide my opinions regarding Dr. Hall-Ellis’s methodology and conclusions
`
`based upon that review.
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`C. Evidence Considered in Forming My Opinions
`11.
`In preparing this Declaration, I have reviewed the documents I
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`reference herein, and each of these is a type of material that experts in my field of
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`library cataloging and reference classification would reasonably rely upon when
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`forming their opinions.
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`12.
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` I have been informed and understand that a printed publication
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`qualifies as publicly available or accessible as of the date it was disseminated or
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`otherwise made available such that a person interested in the field of art could locate
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`it through ordinary diligence. I have been and informed and understand that a date
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`of publication alone is insufficient to qualify a printed publication as publicly
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`available.
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`13.
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`I have also been informed and understand that a printed
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`publication may be deemed publicly available if it is cataloged and indexed by a
`
`library such that a person interested in the field of art could locate it through
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`reasonable diligence.
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`II.
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`PUBLIC AVAILABILITY OF VINGRALEK
`14.
`I have reviewed Dr. Hall-Ellis’s Declaration (submitted as
`
`Exhibit 1020) and the copy of Vingralek (submitted as Exhibit 1007). According
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`to Dr. Hall-Ellis, “Exhibit 1007 is a copy of the journal article titled ‘Distributed File
`
`Organization with Scalable Cost/Performance’ by Radek Vingralek, Yuri Breitbart,
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`Gerhard Weikum, and Raj Yavatkar (hereafter ‘Vingralek’).” Ex. 1020, ¶46. Dr.
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`Hall-Ellis further alleges that “[t]he Vingralek article was published on pages 3-26
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`in Volume 207 dated December 1993 of the open access Jahresbericht [Annual
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`Report] issue of the journal Eidgenössische Technische Hochschule [Federal
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`Technical University] Zürich (ETH Zürich) and was found in the digital repository
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`Zeitschriftendatenbank [German Union Catalog of Serials] (ZDB) (Berlin,
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`Germany).” Ex. 1020, ¶46. I cannot corroborate Dr. Hall-Ellis’s findings that
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`Vingralek (Exhibit 1007) was published in December 1993 based on the evidence
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`submitted by Dr. Hall-Ellis and Petitioner because Dr. Hall-Ellis’s findings are
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`incorrect and inconclusive, and the evidence demonstrates that Vingralek was not
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`actually published in the Jahresbericht [Annual Report]. As I explain further below,
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`contrary to Dr. Hall-Ellis’s assertions, my investigation leads me to conclude that
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`Vingralek (Exhibit 1007) was not published in “Volume 207 dated December 1993
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`of
`
`the open access Jahresbericht [Annual Report]
`
`issue of
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`the
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`journal
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`Eidgenössische Technische Hochschule [Federal Technical University] Zürich
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`(ETH Zürich).”
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`15. As an initial matter, I cannot find any information indicating that
`
`Vingralek was publicly available in December 1993 from the face of the copy of
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`Vingralek submitted by Petitioner. The Vingralek document (Exhibit 1007) appears
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`to be a scanned copy of a printed hardcopy. Vingralek, on page 2,1 contains what
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`1 The pages that I reference here are those found on the lower left corner of Exhibit
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`1007 (e.g., “Page 2 of 27”).
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`appears to be an inked stamp of the ETH Zurich library in the lower right quadrant
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`of the document page. Ex. 1007, 2. I have excerpted page 2 from Exhibit 1007
`
`below and added a red box around the stamp:
`
`
`
`Ex. 1007, 2. The stamp does not indicate a date.
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`
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`16. The same stamp also appears at the bottom of the final page of
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`Vingralek (page 27 of the Exhibit). Ex. 1007, 27. I have excerpted this below:
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`Ex. 1007, 27. This stamp similarly does not include any date information.
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`17.
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`I do not see the words Jahresbericht or Annual Report written on
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`the title page of Vingralek or on any other pages. Page 1 of the Vingralek document
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`(Exhibit 1007) states that Vingralek was originally published in: “ETH,
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`Eidgenössische Technische Hochschule Zürich, Departement Informatik, Institut für
`
`Informationssysteme 207.” Ex. 1007, 1. From the information present in Exhibit
`
`1007, I cannot see any evidence to support Dr. Hall-Ellis’s assertion that Vingralek
`
`was published in the Jahresbericht (Annual Report) of the ETH Zurich.
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`18.
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`I note that “Attachment 1A” to Dr. Hall-Ellis’s declaration
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`(Exhibit 1020) identifies that the Jahresbericht she relies upon was printed in the
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`German language. Ex. 1020, 91 (Attachment 1A) (“Language[:] German”). I also
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`note that “Attachment 1C” to Dr. Hall-Ellis’s declaration provides a “Language
`
`Code” of German and that “Attachment 1D” to Dr. Hall-Ellis’s declaration (a
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`WorldCat entry for Jahresbericht) states that it is a “Journal, Magazine, German…”
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`Ex. 1020, 99, 103. These entries are consistent with a librarian’s understanding that
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`the languages identified in each “Attachment” indicate the language in which the
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`journal and its contents were published (here, that the Jahresbericht and its contents
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`are in German). The German-language indication is in contrast to Vingralek
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`(Exhibit 1007), which is written in English and bears no indication that it was
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`translated from another language.
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`19. Despite
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`the discrepancy between
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`the
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`language of
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`the
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`Jahresbericht (German) and Vingralek (English)—which alone indicates that
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`Vingralek (Exhibit 1007) was not part of a German-language Jahresbericht—I
`
`nonetheless investigated Dr. Hall-Ellis’s claim that Vingralek (Exhibit 1007) was
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`published “on pages 3-26 in Volume 207 dated December 1993 of the open access
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`Jahresbericht [Annual Report] issue of the journal Eidgenössische Technische
`
`Hochschule [Federal Technical University] Zürich (ETH Zürich),” as claimed in
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`paragraph 46 of Dr. Hall-Ellis’s declaration. To do this, I searched for a copy of the
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`1993 Annual Report of ETH Zurich in the ETH Zurich Repository for Publications
`
`and Research Data at <https://www.research-collection.ethz.ch>, to which Dr. Hall-
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`Ellis refers in footnotes 19 and 20 in paragraphs 47 and 48 of her Declaration
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`(Exhibit 1020). I searched the database for Jahresbericht ETH Zurich and found
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`that the Annual Report is cataloged in the database with an entry for each year. I
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`began by entering “Jahresbericht ETH Zurich” into the search query on the URL,
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`<https://www.research-collection.ethz.ch>. The search returned 51 total results. I
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`then used the “refine by” option to narrow the date range from 1990 to 1999, which
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`returned 10 results (one entry to each year from 1990 to 1999) and selected the entry
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`for ETH Zurich Jahresbericht 1993, which led to the 1993 annual report being found
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`at
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`the
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`following
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`URL:
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`<https://www.research-
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`collection.ethz.ch/handle/20.500.11850/643838> (webpage submitted as Exhibit
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`2004).
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`20. Upon finding the entry for Annual Report 1993 (titled also ETH
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`Zurich Jahresbericht 1993 at the top of the database record for the report), I
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`downloaded the entire report, which appears to be a scanned copy of a printed
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`hardcopy of the 1993 annual report (the scanned copy that I downloaded is submitted
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`as Exhibit 2005).2 This document (Exhibit 2005) is written entirely in German—
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`consistent with Attachments 1A, 1C, and 1D from Dr. Hall-Ellis’s declaration
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`(Exhibit 1020) which I discussed above and further below—whereas Vingralek
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`(Exhibit 1007) is written in English. The document (Exhibit 2005) appears to be
`
`authored by ETH Zurich authors generally. Ex. 2005, 13. Inspecting the entire 77-
`
`page scanned copy (Exhibit 2005), I see no part of the document that visually
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`matches Vingralek (Exhibit 1007), nor do I see any reference to the name
`
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`2 Similar to Exhibit 1007, Exhibit 2005 also is a scanned copy of a print hardcopy.
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`I note, for example, that there are highlighting and handwritten markings on certain
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`pages (e.g., “Page 13 of 77” and “Page 14 of 77”, which correspond to the numbered
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`pages 10 and 11 of the document). Ex. 2005, 13-14.
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`3 The pages that I reference here are those found on the lower right corner of Exhibit
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`2005 (e.g., “Page 1 of 77”).
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`“Vingralek” or “Radek Vingralek”. Additionally, I did not see reference to any
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`“Volume 207” of the Jahresbericht anywhere in the document (Exhibit 2005).
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`21.
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` I have been provided with what I have been informed is a
`
`certified translation of Exhibit 2005, from German to English (Exhibit 2011). I have
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`reviewed this translation for the purpose of visually discerning whether or not
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`Vingralek (in its form as Exhibit 1007) is present. It is my opinion that it is not. I
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`did not find any reference to the name “Vingralek”, “Radek Vingralek,” or “Volume
`
`207” anywhere in the document (Exhibit 2011). I also did not find any reference to
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`the
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`title of Vingralek,
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`“Distributed
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`file organization with
`
`scalable
`
`cost/performance,” or the contents of the Vingralek document (Exhibit 1007)
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`anywhere in the English translation (Exhibit 2011).
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`22. Thus, my opinion is that Vingralek (Exhibit 1007) was not
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`published “on pages 3-26 in Volume 207 dated December 1993 of the open access
`
`Jahresbericht [Annual Report] issue of the journal Eidgenössische Technische
`
`Hochschule [Federal Technical University] Zürich (ETH Zürich),” contrary to Dr.
`
`Hall-Ellis’s claim.
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`23. Additional information about the Vingralek document is found
`
`on the metadata of the entry for Vingralek in the ETH Zurich repository, at the link
`
`referenced in paragraph 48 of Dr. Hall-Ellis’ declaration: <https://www.research-
`
`collection.ethz.ch/handle/20.500.11850/68912> (webpage submitted as Exhibit
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`2006). The metadata can be accessed on this page by clicking on the “Show all
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`metadata” link of the above URL (red box added):
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`Ex. 2006 <https://www.research-collection.ethz.ch/handle/20.500.11850/68912>.
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`24. When I click on the “Show all metadata,” I am taken to
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`<https://www.research-collection.ethz.ch/handle/20.500.11850/68912?show=full>
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`(submitted at Exhibit 2007), which I have excerpted below:
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`
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`Ex.
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`2007
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`(metadata,
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`available
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`at
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`<https://www.research-
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`collection.ethz.ch/handle/20.500.11850/68912?show=full>).
`
`25. Although Dr. Hall-Ellis does not reference this metadata in her
`
`declaration, it shows that Vingralek (Exhibit 1007) was first made available in
`
`digital format in the ETH Zurich online repository in 2017 (as can be seen in the
`
`excerpt shown above).
`
`26.
`
`In summary, the only way I was able to access Vingralek
`
`(Exhibit 1007) was through a repository that does not connect it to the 1993 Annual
`
`Report of the ETH Zurich, or any other annual report; that repository shows that
`
`Vingralek was uploaded to the online repository in 2017; Vingralek was written in
`
`English and contains no indicia of date of public availability; and the 1993 annual
`
`report (Exhibit 2005) was written in German and does not include Vingralek.
`
`27.
`
`I also inspected the attachments provided in Dr. Hall-Ellis’s
`
`declaration (Exhibit 1020). I first inspected Attachment 1A, described in paragraph
`
`46 of Dr. Hall-Ellis’s declaration as a copy of the webpage where Vingralek is found
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`in the Zeitschriftendatenbank (ZDB), the German Union Catalog of Serials.
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`Attachment 1A appears to be the entry for the Annual Report of the ETH Zurich,
`
`indicating that it is published yearly beginning in 1973. Attachment 1A describes
`
`this serial as an entity but does not describe any individual articles published within
`
`it; that is not its purpose. Furthermore, Attachment 1A does not provide any
`
`indication that there was a “volume 207” of this serial published in 1993, which is
`
`where Dr. Hall-Ellis claimed Vingralek was published. There is no reference to any
`
`articles, any individual authors, or any volume. I again note that Attachment 1A
`
`identifies that the journal was published in German (not English, as in Vingralek,
`
`Exhibit 1007). Thus, I also find that the information in Attachment 1A does not
`
`support (and, in fact, contradicts) the claims made in Dr. Hall-Ellis’s declaration.
`
`28.
`
`I then inspected Attachment 1B, which is described in paragraph
`
`49 of Dr. Hall-Ellis’s declaration (Exhibit 1020) as “the MARC record for the open
`
`access Jahresbericht [Annual Report] of the journal Eidgenössische Technische
`
`Hochschule [Federal Technical University] Zürich in the ETH Zürich Library online
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`catalog.” Ex. 1020, ¶49. Dr. Hall-Ellis does not describe the search terms or steps
`
`she used to find the “MARC record” in Attachment 1B, but she provides a link in
`
`footnote 21 of paragraph 49 which automatically generates a search of the ETH
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`Zurich Library online catalog yielding three results, as excerpted below and shown
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`in Exhibit 2008:
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`Ex. 2008.
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`29. Attachment 1B appears to match the first result, which is for the
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`online version of the Jahresbericht which began in that format in 2002. I have
`
`excerpted this entry below:
`
`
`
`30. To access the MARC record for this result so that I could match
`
`it to “Attachment 1B” in Dr. Hall-Ellis’s declaration, I clicked the link “Jahresbericht
`
`– Eidgenossische Technische Hochschule” in the entry which led me to the full
`
`
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`
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`record
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`for
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`this
`
`journal
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`at
`
`<https://eth.swisscovery.slsp.ch/discovery/fulldisplay?docid=alma9911722495130
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`5503&context=L&vid=41SLSP_ETH:ETH&lang=en&search_scope=DiscoveryNe
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`twork&adaptor=Local%20Search%20Engine&tab=discovery_network&query=an
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`y,contains,1015-4191&mode=basic> (submitted as Exhibit 2009). I then scrolled
`
`to the “Source Record” link at the bottom of the page which led me to the full MARC
`
`record
`
`for
`
`the
`
`journal. The MARC
`
`record
`
`is
`
`found at
`
`the URL
`
`<https://eth.swisscovery.slsp.ch/discovery/sourceRecord?vid=41SLSP_ETH%3AE
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`TH&docId=alma99117224951305503&recordOwner=41SLSP_NETWORK> and
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`my own copy of the MARC record is submitted as Exhibit 2010. I confirmed that
`
`the alphanumeric coding in the initial “leader” line of this record matched the
`
`“leader” line of Attachment 1B from Dr. Hall-Ellis’ declaration, as well as the
`
`remainder of the record.
`
`31. The record for the online version of Jahresbericht that I found
`
`(Exhibit 2010), and that matches Attachment 1B in Dr. Hall-Ellis’s declaration, is
`
`not the same version as the print version of ETH Jahresbericht 1993, which is where
`
`it is claimed that Vingralek (Exhibit 1007) was published and which version I
`
`described above. Attachment 1B and Exhibit 2010 specify in field 300 that the
`
`physical description of this version of Jahresbericht is an “online resource” rather
`
`than a printed report, where Vingralek is claimed to have been published as
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`established by the indicia found on the face of Vingralek as I described above.
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`Furthermore, Attachment 1B contains no information about the volume numbers of
`
`Jahresbericht ETH Zurich, including whether there was a “volume 207”, which is
`
`the volume in which it is claimed that Vingralek was published. Attachment 1B does
`
`not connect Vingralek to the Jahresbericht ETH Zurich publication and does not
`
`provide any evidence that Vingralek (Exhibit 1007) was published in the
`
`Jahresbericht. Using my search of the ETH Zurich Library online catalog, I can find
`
`no support for Dr. Hall-Ellis’s statements made in paragraph 49 of her declaration
`
`(Exhibit 1020) that Attachment 1B is the true and correct copy of the MARC record
`
`for the print copy of Jahresbericht ETH Zurich 1993, where she claimed Vingralek
`
`was published. There is no reference to any articles, any individual authors, or any
`
`volume. Thus, I also find that the information in Attachment 1B does not support
`
`(and, in fact, contradicts) the claims made in Dr. Hall-Ellis’s declaration.
`
`32.
`
`I then inspected Attachment 1C, which is described in paragraph
`
`52 of Dr. Hall-Ellis’s declaration as a “copy of the MARC record for the journal
`
`Eidgenössische Technische Hochschule [Federal Technical University] Zürich
`
`obtained from the OCLC bibliographic database.” Ex. 1020, ¶52. I can corroborate
`
`the statements made in Dr. Hall-Ellis’s declaration in paragraphs 52 and 53
`
`regarding the interpretation of the data contained in the various fields of this MARC
`
`record, with the exception that I do not find that the information contained in this
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`MARC record provides any link between Vingralek and the journal ETH Zurich as
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`stated in the last sentence of paragraph 52 of Dr. Hall-Ellis’s declaration (Exhibit
`
`1020). I also cannot use the information in Attachment 1C to establish that there was
`
`a volume 207 of the journal ETH Zurich published in 1993, which is where
`
`Vingralek is claimed to be published. There is no reference to any articles, any
`
`individual authors, or any volume. I again note that Attachment 1C provides
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`“Language Code” of German, that is, the journal was published in German (not
`
`English, as in Vingralek, Exhibit 1007). Thus, I also find that the information in
`
`Attachment 1C does not support (and, in fact, contradicts) the claims made in Dr.
`
`Hall-Ellis’s declaration (Exhibit 1020).
`
`33.
`
`I then inspected Attachment 1D, which is described in paragraph
`
`54 of Dr. Hall-Ellis’s declaration (Exhibit 1020) as the web page where the Annual
`
`Report of ETH Zurich is found on WorldCat, the publicly available version of the
`
`OCLC database. I can corroborate the statements made in the declaration in
`
`paragraph 54 regarding the interpretation of the data contained in the various fields
`
`of the Worldcat record, but I do not find that the information in Attachment 1D
`
`provides any connection between Vingralek and the Annual Report of ETH Zurich
`
`nor that there was a volume 207 of the journal ETH Zurich published in 1993. There
`
`is no reference to any articles, any individual authors, or any volume. I again note
`
`that Attachment 1D identifies that it was published in German (not English, as in
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`Vingralek, Exhibit 1007). Thus, I also find that the information in Attachment 1D
`
`does not support (and, in fact, contradicts) the claims made in Dr. Hall-Ellis’s
`
`declaration (Exhibit 1020).
`
`34.
`
` I have also reviewed Exhibit 1015, which Dr. Hall-Ellis
`
`describes as “a copy the journal article titled ‘The Database Research Group at ETH
`
`Zurich,’ by Moira C. Norrie, Stephen M. Blott, Hans-Jörg Schek, and Gerhard
`
`Weikum (hereafter ‘Norrie’),” as well as Dr. Hall-Ellis’s declaration as it concerns
`
`“Norrie” (Exhibit 1015) and its reference in footnote 3 to:
`
`
`
`Ex. 1015, 8 (i.e., page 121 of Norrie using Norrie’s pagination).
`
`35. According to Dr. Hall-Ellis in paragraph 63 of her declaration
`
`(Exhibit 1020), she “understand[s] that this citation in Norrie refers to Vingralek”
`
`and it “confirms that Vingralek was published and publicly accessible on or shortly
`
`after the date discussed above for Vingralek and/or at least published and publicly
`
`accessible on March 1, 1994 as discussed for Norrie.” I disagree that footnote 3 of
`
`Norrie confirms publication and public accessibility of Vingralek on March 1, 1994
`
`(or any other date).
`
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`36.
`
`Initially, in paragraphs 52-61 of Dr. Hall-Ellis’s declaration
`
`discussing Norrie (Exhibit 1015), Dr. Hall-Ellis describes the cataloging of the
`
`SIGMOD Record generally. The Attachments she provides (Attachments 2A, 2B,
`
`2C, 2D, and 2E) also focus on the SIGMOD Record itself. They do not provide any
`
`indication of the contents of any article, nor any indication of how anyone would
`
`search for and locate a particular article within any record. In other words, Dr. Hall-
`
`Ellis does not describe the cataloging or indexing of any article within any SIGMOD
`
`Record. Thus, based on the evidence submitted by Dr. Hall-Ellis, someone
`
`searching for Norrie would need to review each SIGMOD Record, its table of
`
`contents, and the documents within the record, to find the particular article at issue.
`
`And, for Norrie (Exhibit 1015), the title is simply “The Database Research Group
`
`at ETH Zurich,” which appears to generally refer to the group at the university and
`
`does not describe any particular content or topic.
`
`37. Moreover, Dr. Hall-Ellis does not provide any evidence or
`
`assertion as to when Norrie may have been published in an online form. In footnote
`
`23
`
`of
`
`paragraph
`
`55,
`
`she
`
`provides
`
`a
`
`link
`
`to
`
`a URL
`
`<https://dl.acm.org/doi/pdf/10.1145/181550.181567> and states that “[t]he Norrie
`
`article is available in the ACM Digital Library which indicates a March 1, 1994,
`
`publication date.” Ex. 1020, ¶55. I note that the document available at the link is
`
`not the same as the version that was submitted as Exhibit 1015. I downloaded the
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`document available at the link, which is submitted as Exhibit 2012. In particular,
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`the online version is 6 pages (compared to 8 pages for Norrie (Exhibit 1015)) and
`
`does not include the general cover page or table of contents included in Norrie
`
`(Exhibit 1015), which Dr. Hall-Ellis appears to indicate is a “print copy.” Ex. 1020,
`
`¶57. Further, there is no indication or evidence as to when an online version was
`
`first made publicly available.
`
`38. However, regardless of whether Norrie (Exhibit 1015) was
`
`indexed and cataloged, I note Norrie (Exhibit 1015) shares common authorship with
`
`Vingralek (Exhibit 1007), in particular, both include Gerhard Weikum as an author
`
`and also both are from the department of the same university (Department of
`
`Computer Science at ETH Zurich). I further note Dr. Hall-Ellis does not assert or
`
`provide any evidence that the “Technical Report” referenced in footnote 3 was ever
`
`indexed or cataloged or how or if it was publicly accessible by anyone (apart from
`
`being listed in Norrie and being put into the online database, which occurred in 2017,
`
`as I discussed above). There is no indication or evidence from Norrie (Exhibit 1015)
`
`that Vingralek (Exhibit 1007) was published in any publication (whether in the
`
`Annual Report that I have discussed above or elsewhere), made available and
`
`indexed in any library, or ever made available in an online repository. Nor is there
`
`any indication or evidence that Vingralek was known to anyone outside of the
`
`authors, let alone anyone else in the department, the university, or the public. More
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`generally, I note Dr. Hall-Ellis does not assert or provide any evidence that any
`
`“Technical Report” was ever indexed or cataloged or how or if it was publicly
`
`accessible by anyone (again, apart from Vingralek being put into the online database,
`
`which occurred in 2017, as I discussed above).
`
`39.
`
`I also note that the title of Vingralek (Exhibit 1007) is spelled
`
`differently than the document in footnote 3 of Norrie, in particular, the spelling of
`
`“Organization” versus “Organisation.” This raises further questions about the
`
`document referenced in footnote 3 of Norrie relative to Vingralek (Exhibit 1007),
`
`especially when Norrie does not include or describe the contents of the document
`
`referenced in footnote 3.
`
`40.
`
`In my opinion, the common authorship, department, and
`
`university, together with the lack of any other indication that Vingralek was
`
`cataloged and indexed or known outside of the authors or department, further
`
`confirms that Vingralek (Exhibit 1007) was not published and publicly accessible
`
`as of December 1993 (based on Dr. Hall-Ellis’s Annual Report theory discussed
`
`above) or March 1994 (based on the footnote 3 in Norrie). Also in my opinion, and
`
`in my experience, given these commonalities, it is highly probable that the Vingralek
`
`document referenced in footnote 3 (even assuming it is the same as Vingralek
`
`(Exhibit 1007)) was known to the Norrie authors simply because of the common
`
`authorship and department, rather than being published and publicly accessible. I
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`further note that all three citations in the section of Norrie containing footnote 3
`
`include Gerhard Weikum as an author, which in my opinion, provides further
`
`indication that the reference in footnote 3 was most likely known because of
`
`common authorship, and is not indicative of being indexed or cataloged anywhere
`
`(for which Dr. Hall-Ellis provides no evidence of regardless).
`
`III. CONCLUSION
`41.
`I declare that all statements made herein of my own knowledge
`
`are true and that all statements made on information and belief are believed to be
`
`true; and further, that these statements were made with the knowledge that willful
`
`false statements and the like so made are punishable by fine or imprisonment, or
`
`both, under Section 1001 of Title 18 of the United States Code.
`
`
`
` November 18, 2024
`Date
`
`
`
`
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`
`
`
`
`
`
`Nancy E. Adams, Ed.D.
`
`
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`
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