UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`CANADIAN SOLAR INC.,
`Petitioner,
`
`v.
`
`MAXEON SOLAR PTE. LTD.
`Patent Owner
`
`Patent No. 8,878,053
`Issued: November 4, 2014
`Filed: June 13, 2012
`Inventor: Peter John Cousins
`Title: Front Contact Solar Cell with Formed Emitter
`Inter Partes Review No. IPR2024-01040
`
`DECLARATION OF SYLVIA HALL-ELLIS REGARDING
`U.S. PATENT NO. 8,878,053
`________________________
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. Cover-1
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`CANADIAN SOLAR INC.,
`Petitioner,
`
`v.
`
`MAXEON SOLAR PTE. LTD.
`Patent Owner
`
`Patent No. 8,878,053
`Issued: November 4, 2014
`Filed: June 13, 2012
`Inventor: Peter John Cousins
`Title: Front Contact Solar Cell with Formed Emitter
`Inter Partes Review No. IPR2024-01040
`
`DECLARATION OF SYLVIA HALL-ELLIS REGARDING
`U.S. PATENT NO. 8,878,053
`________________________
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. Cover-1
`
`
`
`I, Sylvia D. Hall-Ellis, do hereby declare andstate, that all statements made
`
`herein of my own knowledgearetrue andthat 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 andthe like so made are punishable by
`
`fine or imprisonment, under Section 1001 of Title 18 of the United States Code.
`
`Executed on:
`
`June 23, 2024
`
`Sylvia D. Hall-Ellis
`
`Petitioner Canadian SolarInc. - Ex. 1032, p. 1
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 1
`
`
`
`INTRODUCTION
`1.
`My name is Sylvia D. Hall-Ellis. I have been retained as an expert by
`
`Counsel for Canadian Solar, Incorporated (referred to herein as “Canadian”).
`
`2.
`
`I have written this report at the request of Canadian to provide my
`
`expert opinion regarding the authenticity and public availability of several
`
`publications. My report sets forth my opinions in detail and provides the basis for
`
`my opinions regarding the public availability of these publications.
`
`3.
`
`I reserve the right to supplement or amend my opinions, and basis for
`
`them, in response any additional evidence, testimony, discovery, argument, and/or
`
`other additional information that may be provided to me after the date of this
`
`report.
`
`4.
`
`I am being compensated for my time spent working on this matter at
`
`my normal consulting rate of $400 per hour, plus reimbursement for any additional
`
`reasonable expenses. My compensation is not in any way tied to the content of this
`
`report, the substance of my opinions, or the outcome of this proceeding. I have no
`
`other interests in this proceeding or with any of the parties.
`
`5.
`
`All of the materials that I considered are discussed explicitly in this
`
`report.
`
`2
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 2
`
`
`
`I.
`
`SUMMARY OF OPINIONS
`It is my opinion that the publications described below were publicly
`6.
`
`available on the corresponding date listed in the table below, and in any event
`
`earlier than February 20, 2007:
`
`1013
`
`Publication
`Exhibit
`1008 Kwark, Young H., Ron Sinton, and Richard M.
`Swanson. “SIPOS Heterojunction Contacts to
`Silicon.” Proceedings of the 1984 International
`Electron Devices Meeting Technical Digest (pp.
`742-745). New York: Institute of Electrical and
`Electronics Engineers, 1984.
`Sivoththaman, S., W. Laureys, P. De Schepper, J.
`Nijs, and R. Mertens. “Rapid Thermal Processing
`of Conventionally and Electromagnetically Cast
`100 cm2 Multicrystalline Silicon.” Conference
`Record of the 25th IEEE Photovoltaic Specialists
`Conference -1996 (pp. 621-624). New York;
`Piscataway, NJ: Institute of Electrical and
`Electronics Engineers ; IEEE Service Center,
`1996.
`1019 Handbook of Photovoltaic Science and
`Engineering, edited by Antonio Luque and
`Steven Hegedus. Hoboken, NJ: Wiley, c2003.
`1007 Gan, Jon-Yiew, and R. M. Swanson. “Polysilicon
`Emitters for Silicon Concentrator Solar Cells.”
`Conference Record of the 21st IEEE Conference
`on Photovoltaic Specialists, 2 vols. (vol 1, pp.
`245-250). New York, Institute of Electrical and
`Electronics Engineers, 1990.
`1012 Hartiti, B., S. Sivoththaman, R. Schindler, J. Nijs,
`J. C. Muller, and P. Siffert. “Low Temperature
`Formation of Emitter and EEF by Rapid Thermal
`Co-Diffusion of P, AI or B.” 1994 IEEE 1st
`World Conference on Photovoltaic Energy
`Conversion - WCPEC 1994. 2 vols. (vol. 2, pp.
`1519-1522). Piscataway, NJ: IEEE, 1994.
`3
`
`Date
`February 1, 1986,
`but no later than
`August 26, 1997 or
`August 9, 2005.
`
`September 1997,
`but no later than
`August 6, 2002
`
`August 7, 2003
`
`1994, but no later
`than August 6,
`2002
`
`June 29, 1995, but
`no later than
`August 6, 2002
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 3
`
`
`
`II. QUALIFICATIONS
`7.
`I am currently an Adjunct Professor in the School of Information at
`
`San José State University. I obtained a Master of Library Science from the
`
`University of North Texas in 1972 and a Ph.D. in Library and Information Science
`
`from the University of Pittsburgh in 1985. Over the last fifty years, I have held
`
`various positions in the field of library and information resources. I was first
`
`employed as a librarian in 1966 and have been involved in the field of library
`
`sciences since, holding numerous positions.
`
`8.
`
`I am a member of the American Library Association (“ALA”) and its
`
`Association for Library Collections & Technical Services (“ALCTS”) Division,
`
`and I served on the Committee on Cataloging: Resource and Description (which
`
`wrote the new cataloging rules) and as the chair of the Committee for Education
`
`and Training of Catalogers and the Competencies and Education for a Career in
`
`Cataloging Interest Group. I also served as the Chair of the ALCTS Division’s
`
`Task Force on Competencies and Education for a Career in Cataloging.
`
`Additionally, I served as the Chair for the ALA Office of Diversity’s Committee
`
`on Diversity, as a member of the REFORMA National Board of Directors, and as a
`
`member of the Editorial Board for the ALCTS premier cataloging journal, Library
`
`Resources and Technical Services, as a Co-Chair of the Membership Committee
`
`for the Library Research Round Table (LRRT) of the American Library
`4
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 4
`
`
`
`Association, and as a member of the LRRT Nominating Committee. Currently I
`
`serve as a member of the CORE Margaret Mann Citation Committee.
`
`9.
`
`I have also given over one-hundred presentations in the field,
`
`including several on library cataloging systems and Machine-Readable Cataloging
`
`(“MARC”) standards. My current research interests include library cataloging
`
`systems, metadata, and organization of electronic resources.
`
`10.
`
`I have been deposed thirty-five times: (1) Symantec Corp. vs. Finjan,
`
`Inc., Petition for Inter Partes Review of U.S. Patent No. 7,613,926, May 26, 2016,
`
`on behalf of Symantec Corp.; (2) Symantec Corp. vs. Finjan, Inc., Northern
`
`District of California, 14-cv-299-HSG, on behalf of Symantec Corp., September
`
`14, 2017; (3) one deposition for ten matters: Intellectual Ventures I LLC vs. AT&T
`
`Mobility LLC; AT&T Mobility II LLC, New Cingular Wireless Services, Inc., SBC
`
`Internet Services, Inc., Wayport, Inc., and Cricket Wireless LLC, C.A. No. 12-193
`
`(LPS); Intellectual Ventures II LLC vs. AT&T Mobility LLC; AT&T Mobility II
`
`LLC, New Cingular Wireless Services, Inc., SBC Internet Services, Inc., Wayport,
`
`Inc., and Cricket Wireless LLC, C.A. No. 13-1631 (LPS); Intellectual Ventures I
`
`LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc., C.A. No. 13-1632 (LPS);
`
`Intellectual Ventures II LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc., C.A.
`
`No. 13-1633 (LPS); Intellectual Ventures I LLC, vs. Nextel Operations, Inc., Sprint
`
`Spectrum L.P., Boost Mobile, LLC and Virgin Mobile USA, L.P., C.A. No. 13-1634
`
`5
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 5
`
`
`
`(LPS); Intellectual Ventures II LLC vs. Nextel Operations, Inc., Sprint Spectrum
`
`L.P., Boost Mobile, LLC and Virgin Mobile USA, L.P., C.A. No. 13-1635 (LPS);
`
`Intellectual Ventures I LLC, vs. United States Cellular Corporation, C.A. No. 13-
`
`1636 (LPS); Intellectual Ventures I LLC vs. United States Cellular Corporation,
`
`C.A. No. 13-1637 (LPS); Intellectual Ventures II LLC vs. AT&T Mobility LLC,
`
`AT&T Mobility II LLC, New Cingular Wireless Services, Inc., C.A. No. 15-799
`
`(LPS); Intellectual Ventures I LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc.,
`
`C.A. No. 15-800 (LPS), on behalf of AT&T Mobility LLC; AT&T Mobility II
`
`LLC, Boost Mobile, LLC Cricket Wireless LLC, Nextel Operations, Inc., New
`
`Cingular Wireless Services, Inc., SBC Internet Services, Inc., Sprint Spectrum
`
`L.P., T-Mobile USA, Inc., T-Mobile US, Inc., United States Cellular Corporation
`
`Virgin Mobile USA, L.P., and Wayport, Inc., November 15, 2016; (4) Hitachi
`
`Maxell, LTD., v. Top Victory Electronics (Taiwan) Co. Ltd., et al., Eastern District
`
`of Texas, 2:14-cv-1121 JRG-RSP (E.D. Texas), on behalf of Top Victory
`
`Electronics (Taiwan) Co. LTD, et. al., January 20, 2016; (5) Sprint Spectrum, L.P.
`
`vs. General Access Solutions, Ltd., Petition for Inter Partes Review of U.S. Patent
`
`No. 7,173,916, on behalf of Sprint Spectrum L.P., July 13, 2018; (6) Nichia
`
`Corporation vs. Vizio, Inc., Central District of California, 8:16-cv-00545; on behalf
`
`of Vizio, Inc., October 12, 2018; (7) Intellectual Ventures I LLC, vs. T-Mobile
`
`USA, Inc., T-Mobile US, Inc., Ericsson Inc., and Telefonaktiebolaget LM Ericsson,
`
`6
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 6
`
`
`
`Middle District of Florida, 2:17-cv-00557 (JRG), on behalf of T-Mobile USA, Inc.,
`
`T-Mobile US, Inc., Ericsson Inc., and Telefonaktiebolaget LM Ericsson, October
`
`19, 2018; (8) Pfizer, Inc. vs. Biogen, Inc., Petition for Inter Partes Review of U.S.
`
`Patent No. 8,821,873, on behalf of Pfizer, November 3, 2018; (9) Finjan, Inc. vs.
`
`ESET, LLC and ESET SPOL. S.R.O., Southern District of California, 3:17-cv-
`
`00183-CAB-BGS, on behalf of ESET, January 15, 2019; (10) Finjan, Inc. vs.
`
`Cisco Systems, Inc., Northern District of California, 5:17-cv-00072-BLF-SVK, on
`
`behalf of Cisco Systems, Inc., September 6, 2019; (11) Facebook, Inc., Instagram,
`
`LLC and Whatsapp Inc. vs. Blackberry Limited, Petition for Inter Partes Review of
`
`U.S. Patent No. 9,349,120 B2, on behalf of Facebook, Inc., Instagram, LLC and
`
`Whatsapp Inc. December 20, 2019; (12) 3Shape A/S and Shape Inc. v. Align
`
`Technology, Inc., Petition for Inter Partes Review of U.S. Patent No. 7,156,661,
`
`IPR2020-00222 and IPR2020-00223, August 10, 2020, on behalf of 3Shape A/S
`
`and 3Shape Inc.; (13) Finjan Inc. v. Rapid7, Inc. and Rapid7 LLC, District of
`
`Delaware, 1:18-cv-01519-MN, September 15, 2020; (14) VLSI Technology LLC v.
`
`Intel Corporation, Western District of Texas, 6:19-cv-00254, 6:19-cv-00255, 6:19-
`
`cv-00256, on behalf of Intel Corporation, September 23, 2020; (15) Finjan Inc. v.
`
`Sonicwall, Inc., Northern District of California, 5:17-cv-04467-BLF-HRL, on
`
`behalf of Sonicwall, Inc., October 27, 2020; (16) VLSI Technology, LLC v. Intel
`
`Corporation, District of Delaware, 1:18-cv-00966-CFC-CJB, February 5, 2021, on
`
`7
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 7
`
`
`
`behalf of the Intel Corporation; (17) Unified Patents, LLC v. Good Kaisha IP
`
`Bridge 1, Petition for Inter Partes Review of U. S. Patent 7,817,868, February 11,
`
`2021, on behalf of Unified Patents; (18) Finjan, Inc. v. Qualsys, Inc., Northern
`
`District of California, 4:18-cv-07229-YGR, March 1, 2021, on behalf of Qualsys,
`
`Inc.; (19) Qualcomm, Inc. v. Monterey Research LLC, Petition for Inter Partes
`
`Review of U. S. Patent 6,534,805, May 6, 2021, on behalf of Qualcomm, Inc.; (20)
`
`Hulu, LLC v. Sound View Innovations, LLC, Petition for Inter Partes Review of U.
`
`S. Patent 5,806,062, May 14, 2021, on behalf of Hulu, LLC; (21) VLSI Technology
`
`LLC v. Intel Corporation, Western District of Texas, 6:19-cv-00254, 6:19-cv-
`
`00255 and 6:19-cv-00256, August 3, 2021, on behalf of Intel Corporation; (22)
`
`Liquidia Technologies, Inc. v. United Therapeutics Corporation, Petition for Inter
`
`Partes Review of U. S. Patent 10,716,793 B2, October 20, 2021, on behalf of
`
`Liquidia Technologies, Inc.; (23) EcoFactor, Inc. v. Google, Inc., Western District
`
`of Texas, 6:20-cv-00075 (ADA), 6:20-0078-ADA, and 6:20-cv-00080 ADA,
`
`October 27, 2021, on behalf of Google, Inc.; (24) Liquidia Technologies, Inc. v.
`
`United Therapeutics Corporation, Petition for Inter Partes Review of U. S. Patent
`
`10,716,793 B2, March 11, 2022, on behalf of Liquidia Technologies, Inc.; (25)
`
`Juniper Networks, Inc. v. Swarm Technology LLC, Petition for Inter Partes Review
`
`of U. S. Patent 9,852,004, May 5, 2022, on behalf of Juniper Networks, Inc.; (26)
`
`ParkerVision, Inc. v. Intel Corporation, Western District of Texas, 6:20-cv-108
`
`8
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 8
`
`
`
`(ADA), October 26, 2022, on behalf of the Intel Corporation; (27) CommScope v.
`
`TQ Delta, Petition for Inter Partes Review of U. S. Patents 9,094,348 and
`
`10,833,809, February 16, 2023, on behalf of CommScope; (28) WSOU Investments
`
`d/b/a Brazos v. Salesforce.com, Inc. for Western District of Texas, 6:20-cv-01164-
`
`ADA and 6:20-cv-01170-ADA, April 18, 2023, on behalf of Salesforce; (29)
`
`Regents of the University of Minnesota v. AT&T Mobility LLC, District of
`
`Minnesota, 14:cv-4999-JRT-TNL & 14-cv-4669-JRT-TNL, May 18, 2023, on
`
`behalf of AT & T Mobility LLC; (30) VLSI Technology LLC v. Intel Corporation,
`
`Northern District of California, 5:17-cv-0571-BLF-NC, July 11, 2023, on behalf of
`
`Intel Corporation; (31) Trustees of Purdue University v. ST Microelectronics,
`
`Western District of Texas, 6:21-cv-00727-ADA, July 27, 2023, on behalf of ST
`
`Microelectronics; (32) Advanced Micro Devices, Inc. v. Realtek Semiconductor
`
`Corp., Petition for Inter Partes Review of U. S. Patents 7,936,245 & 9,590,582,
`
`August 10, 2023, on behalf of Advanced Micro Devices, Inc.; (33) Motif
`
`Foodworks, Inc. v. Impossible Foods, Inc., Petition for Inter Partes Review of U.
`
`S. Patent 9,943,096, August 24, 2023, on behalf of Motif Foodworks, Inc.; (34)
`
`Network System Technologies, LLC v. Texas Instruments, Inc., Eastern District of
`
`Texas, 2:22-cv-00482-RWS, March 20, 2024, on behalf of Texas Instruments, Inc.;
`
`and, (35) Pardalis Technology Licensing, LLC v. International Business Machines,
`
`Corporation, Eastern District of Texas, 2:22-cv-00452, May 23, 2024, on behalf of
`
`9
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 9
`
`
`
`International Business Machines, Corporation. I have testified at trial three times:
`
`(1) Advanced Micro Devices, Inc. v. Realtek Semiconductor Corp., U. S. Patents
`
`7,936,245 & 9,590,582, October 20, 2023, International Trade Commission,
`
`Washington, DC, on behalf of Advanced Micro Devices, Inc.; (2) Trustees of
`
`Purdue University v. ST Microelectronics, Western District of Texas, 6:21-cv-
`
`00727-ADA, November 29, 2023, on behalf of ST Microelectronics; and, (3)
`
`Certain Power Converter Modules and Computing Systems Containing the Same,
`
`Investigation ITC-337-TA-1370, International Trade Commission, May 1, 2024,
`
`on behalf of Delta Electronics, Inc.
`
`11. My full curriculum vitae is submitted herewith as Exhibit 1033.
`
`III. PRELIMINARIES
`12.
`Scope of this report. I am not an attorney and will not offer opinions
`
`on the law. I am, however, rendering my expert opinion on the authenticity of the
`
`documents referenced herein and on when and how each of these documents was
`
`disseminated or otherwise made available to the extent that persons interested and
`
`ordinarily skilled in the subject matter or art, exercising reasonable diligence, could
`
`have located the documents before February 20, 2007.
`
`13.
`
`I am informed by counsel that an item is considered authentic if there
`
`is sufficient evidence to support a finding that the item is what it is claimed to be. I
`
`am also informed that authenticity can be established based on the contents of the
`
`10
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 10
`
`
`
`documents themselves, such as the appearance, contents, substance, internal
`
`patterns, or other distinctive characteristics of the item, taken together with all of
`
`the circumstances. I am further informed that an item is considered authentic if it
`
`is at least 20 years old, in a condition that creates no suspicion of its authenticity,
`
`and in a place where, if authentic, it would likely be. Lastly, I have been informed
`
`that a document’s authenticity can be established by comparison with an authentic
`
`specimen.
`
`14.
`
`I am informed by counsel that a printed publication qualifies as
`
`publicly accessible as of the date it was disseminated or otherwise made available
`
`such that a person interested in and ordinarily skilled in the relevant subject matter
`
`could locate it through the exercise of ordinary diligence.
`
`15. While I understand that the determination of public accessibility under
`
`the foregoing standard rests on a case-by-case analysis of the facts particular to an
`
`individual publication, I also understand that a printed publication is rendered
`
`“publicly accessible” if it is cataloged and indexed by a library such that a person
`
`interested in the relevant subject matter could locate it (i.e., I understand that
`
`cataloging and indexing by a library is sufficient, though there are other ways that
`
`a printed publication may qualify as publicly accessible). One manner of sufficient
`
`indexing is indexing according to subject matter category. I understand that the
`
`cataloging and indexing by a single library of a single instance of a particular
`
`11
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 11
`
`
`
`printed publication is sufficient, even if the single library is in a foreign country. I
`
`understand that, even if access to a library is restricted, a printed publication that
`
`has been cataloged and indexed therein is publicly accessible so long as a
`
`presumption is raised that the portion of the public concerned with the relevant
`
`subject matter would know of the printed publication. I also understand that the
`
`cataloging and indexing of information that would guide a person interested in the
`
`relevant subject matter to the printed publication, such as the cataloging and
`
`indexing of an abstract for the printed publication, is sufficient to render the
`
`printed publication publicly accessible.
`
`16.
`
`I understand that routine business practices, such as general library
`
`cataloging and indexing practices, can be used to establish an approximate date on
`
`which a printed publication became publicly accessible.
`
`A. Persons of Ordinary Skill in the Art
`I am told by counsel that the subject matter of this proceeding relates
`17.
`
`generally to solar cell design and manufacturing.
`
`18.
`
`I have been informed by counsel that a “person of ordinary skill in the
`
`art at the time of the inventions” is a hypothetical person who is presumed to be
`
`familiar with the relevant field and its literature at the time of the inventions. This
`
`hypothetical person
`
`is also a person of ordinary creativity, capable of
`
`understanding the scientific principles applicable to the pertinent field.
`
`12
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 12
`
`
`
`19.
`
`I am told by counsel that persons of ordinary skill in this subject
`
`matter or art would have been someone with an advanced degree in electrical
`
`engineering, applied physics, chemistry, or materials science, and at least two years
`
`of experience designing, developing, or researching in the field. Alternatively, that
`
`person would have had a bachelor’s degree in electrical engineering, applied
`
`physics, or materials science, and at least three years of experience designing,
`
`developing, or researching in the field.
`
`20.
`
`It is my opinion that such a person would have been engaged in
`
`research, learning through study, and practice in the field and possibly through
`
`formal instruction the bibliographic resources relevant to his or her research. By
`
`not later than the late 1990s (and more specifically, 1998), such a person would
`
`have had access to a vast array of long-established print resources in the field, as
`
`well as to a rich set of online resources providing indexing information, abstracts,
`
`and full text services for publications relevant to the field of this dispute.
`
`B. Authoritative Databases
`21.
`In preparing this report, I used authoritative databases, such as the
`
`OCLC WorldCat, the Library of Congress Online Catalog, and the U. S. Copyright
`
`Office database, to confirm citation details of the various publications discussed.
`
`22. OCLC WorldCat Database. The OCLC was created “to establish,
`
`maintain and operate a computerized library network and to promote the evolution
`
`13
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 13
`
`
`
`of library use, of libraries themselves, and of librarianship, and to provide
`
`processes and products for the benefit of library users and libraries, including such
`
`objectives as increasing availability of library resources to individual library
`
`patrons and reducing the rate of rise of library per-unit costs, all for the
`
`fundamental public purpose of furthering ease of access to and use of the ever-
`
`expanding body of worldwide scientific, literary and educational knowledge and
`
`information.”1 Among other services, OCLC and its members are responsible for
`
`maintaining the WorldCat database, 2 used by independent and institutional
`
`libraries throughout the world.
`
`23. U. S. Copyright Office. Created by Congress in 1897, the Copyright
`
`Office is responsible for administering a complex and dynamic set of laws, which
`
`include registration, the recordation of title and licenses, a number of statutory
`
`licensing provisions, and other aspects of the 1976 Copyright Act and the 1998
`
`Digital Millennium Copyright Act. The public catalog in the Copyright Office
`
`includes information filed since 1978.3 Individuals can search by title, personal or
`
`corporate name, key word, registration number, and document number. Works
`
`1 Third Article, Amended Articles of Incorporation of OCLC Online Computer
`Library Center, Incorporated (available at
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf)
`2 http://www.worldcat.org/
`3 https://cocatalog.loc.gov/cgi-bin/Pwebrecon.cgi?DB=local&PAGE=First
`14
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 14
`
`
`
`filed before 1978 can be located through the Copyright Public Records Reading
`
`Room. 4 A researcher can find the date on which an item was published and
`
`deposited for copyright.
`
`24.
`
`ResearchGate. 5 A social networking site designed for scientists and
`
`researchers to share papers, ask and answer questions, and find collaborators,
`
`ResearchGate is the largest academic social network in terms of active users. As of
`
`September 2023, ResearchGate had more than 25 million users, with its largest
`
`user-bases coming from Europe and North America.6
`
`25.
`
`Features available to ResearchGate members include following a
`
`research interest and the work of other individual participants, a blogging feature
`
`for users to write short reviews on peer-reviewed articles, private chat rooms for
`
`sharing data, editing documents, or discussing confidential topics, and a research-
`
`focused job board. ResearchGate indexes self-published information on user
`
`profiles and suggests members connect with others who have similar
`
`interests. Member questions are fielded to others who have identified relevant
`
`expertise on their profiles.
`
`4 https://www.copyright.gov/circs/circ23.pdf
`5 www.researchgate.net
`6 https://en.wikipedia.org/wiki/ResearchGate
`15
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 15
`
`
`
`26. ResearchGate restricts its user accounts to people at recognized
`
`institutions and published researchers. Most of ResearchGate's users are involved
`
`in medicine, biology, engineering, computer science, agricultural sciences, and
`
`psychology. ResearchGate publishes a citation impact measurement in the form of
`
`an “RG Score,” which is reported to be correlated with existing citation impact
`
`measures. ResearchGate does not charge fees for putting content on the site and
`
`does not require peer review.
`
`27.
`
`Semantic Scholar. 7 A project developed at the Allen Institute for
`
`Artificial Intelligence and publicly released in November 2015, Semantic Scholar
`
`is designed to be an AI-backed search engine for scientific journal articles which
`
`uses a combination of machine learning, natural language processing, and machine
`
`vision to add a layer of semantic analysis to the traditional methods of citation
`
`analysis, and to extract relevant figures, entities, and venues from papers. Semantic
`
`Scholar is designed to highlight important, influential papers, and to identify the
`
`connections between them.
`
`28. As of January 2018, following a 2017 project that added biomedical
`
`papers and topic summaries, the Semantic Scholar corpus included more than 40
`
`million papers from computer science and biomedicine. In March 2018, Doug
`
`Raymond, who developed machine
`
`
`7 https://www.semanticscholar.org
`
`learning
`
`initiatives for
`
`the Amazon
`
`16
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 16
`
`
`
`Alexa platform, was hired to lead the Semantic Scholar project. As of August
`
`2019, the number of included papers had grown to more than 173 million after the
`
`addition of the Microsoft Academic Graph records, already used by Lens.org.
`
`29.
`
`IEEE Xplore. 8 Librarians in academic, special, and large public
`
`libraries are familiar with the IEEE Xplore digital database. In working with
`
`undergraduate and graduate students, researchers, scientists, and the public,
`
`librarians are intimately familiar with the IEEE Xplore digital database and rely on
`
`its content for access to reliable, accurate publications. Established to serve as a
`
`digital database for the IEEE’s ebooks, standards, conference papers, technical
`
`reports, and journal articles, and related documents dating from 1988 to the present
`
`and
`
`selectively
`
`from 1913
`
`to 1987,
`
`IEEE Xplore
`
`is a
`
`scholarly
`
`research database that includes 6.3 million documents which is known for its
`
`reputable curation and maintenance of documents and publication information.
`
`IEEE Xplore is and has been text searchable, such as by author, publication, title,
`
`year, and content or subject matter. The IEEE Xplore digital database accurately
`
`reports dates of publications and events and accurately reports locations of events
`
`in accordance with standard practices for major industry journals. Approximately
`
`20,000 new documents are added to IEEE Xplore each month. Abstracts are free
`
`
`
`8 https://ieeexplore.ieee.org/Xplore/home.jsp
`
`17
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 17
`
`
`
`to access, but access to full text requires a subscription or institutional login. IEEE
`
`Xplore was launched in May 2000 to store IEEE publications.9 Older publications
`
`were added to the database gradually, and hence, the date IEEE Xplore added a
`
`document may be later than the earliest publication date of a document (e.g., a
`
`publication from 1990 could have been added to IEEE Xplore after 2000). Thus,
`
`while IEEE Xplore reliably reports the date a document was added to IEEE Xplore
`
`for download by the public, that date does not necessarily correspond to the first
`
`time the document was publicly available. However, the date a pre-2000
`
`publication was added to IEEE Xplore demonstrates that the pre-2000 publication
`
`was publicly available and disseminated no later than the date it was added to
`
`IEEE Xplore.
`
`30.
`
`The IEEE Xplore requires peer review before publishing content. I
`
`have used IEEE publications in print and online for nearly 50 years. Currently I
`
`have access to IEEE documents as part of the resources for faculty through the
`
`King Library at San José State University. In addition to covering material from
`
`the IEEE, the IEEE Xplore also covers materials from the Institution of
`
`Engineering and Technology. The IEEE Xplore digital library provides Web
`
`access to more than 5.3-million full-text documents from some of the world's most
`
`9 https://innovate.ieee.org/ieee-xplore-reaches-5-million-
`documents/#:~:text=In%20May%202000%2C%20the%20IEEE,and%20views%20
`in%20that%20time
`
`18
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 18
`
`
`
`highly cited publications. Approximately 20,000 new documents are added to
`
`IEEE Xplore each month. Abstracts are free to access, but access to full text
`
`requires a subscription or institutional login.
`
`Indexing
`C.
`31. A researcher may discover material relevant to his or her topic in a
`
`variety of ways. One common means of discovery is to search for relevant
`
`information in an index of periodical and other publications. Having found
`
`relevant material, the researcher will then normally obtain it online, look for it in
`
`libraries, or purchase it from a publisher, a bookstore, a document delivery service,
`
`or other provider. Sometimes, the date of a document’s public accessibility will
`
`involve both indexing and library date information. However, date information for
`
`indexing entries is often unavailable. This is especially true for online indices.
`
`32.
`
`Indexing services use a wide variety of controlled vocabularies to
`
`provide subject access and other means of discovering the content of documents.
`
`The formats in which these access terms are presented vary from service to service.
`
`33. Before the widespread development of online databases to index
`
`articles in journals, magazines, conference papers, and technical reports, libraries
`
`purchased printed volumes of indices. Graduate library school education mandated
`
`that students learn about the bibliographic control of disciplines, the prominent
`
`indexing volumes, and searching strategies required to use them effectively and
`
`19
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 19
`
`
`
`efficiently. Half of the courses that I studied in library school were focused on
`
`bibliography and resources in academic disciplines.
`
`34. Librarians consulted with information seekers to verify citations,
`
`check availability in union catalogs, printed books catalogs, and the OCLC
`
`database, and make formal requests for materials, e.g., books, conference
`
`proceedings, journal articles. Requests were transmitted using Telex machines,
`
`rudimentary email systems, and the United States Postal Service. During my
`
`career, I have performed and supervised staff who handled these resource sharing
`
`tasks.
`
`35. A major firm known for the breadth of subjects and comprehensive
`
`treatment in the preparation of index volumes, the H. W. Wilson Company offered
`
`these reference resources since the firm was founded in 1898. The Reader’s Guide
`
`to Periodical Literature is one of the best-known titles available from H. W.
`
`Wilson. Each volume includes a comprehensive index for 300 of the most popular
`
`and important periodicals published in the United States and Canada. Information
`
`seekers have subject access expressed in plain language terminology, author
`
`access, and cross references to find the desired results from their searches. The
`
`family of index titles included Science & Technology Index, Business Periodicals,
`
`Applied Science & Technology Index, Humanities Index, Biological & Agricultural
`
`20
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 20
`
`
`
`Index, and Industrial Arts Index. These printed indices have been superseded by
`
`digital database offerings available to information seekers through Ebsco.
`
`36. Online
`
`indexing
`
`services
`
`commonly provide bibliographic
`
`information, abstracts, and full-text copies of the indexed publications, along with
`
`a list of the documents cited in the indexed publication. These services also often
`
`provide lists of publications that cite a given document. A citation of a document
`
`is evidence that the document was publicly available and in use no later than the
`
`publication date of the citing document.
`
`IV. LIBRARY CATALOGING PRACTICES
`
`A. MARC RECORDS AND THE ONLINE LIBRARY CATALOG
`I am fully familiar with the library cataloging standard known as the
`37.
`
`MARC standard, which is an industry-wide standard method of storing and
`
`organizing library catalog information.10 MARC was first developed in the 1960s
`
`by the Library of Congress. A MARC-compatible library is one that has a catalog
`
`consisting of individual MARC records for each of its items. Today, MARC is the
`
`
`
`10 The full text of the standard is available from the Library of Congress at
`http://www.loc.gov/marc/bibliographic/.
`21
`
`Petitioner Canadian Solar Inc. - Ex. 1032, p. 21
`
`
`
`primary communications protocol for the transfer and storage of bibliographic
`
`metadata in libraries.11
`
`38. MARC is a framework into which descriptive bibliographic data are
`
`transcribed to interact with the software in online library cata
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