1 DAVID W.

SHAPIRO (NYSB 2054054) ORIGINAL

I United States Attorney FILEQ
2
J. DOUGLAS wn.sON (P A BAR 44915)
3 Chief, Criminal Division HAR ~ .~
4 SCOTf FREWING (CSBN 191311) RfCHAi~[;
C
JOSEPH SULLIVAN (FLSBN 988723) u.s. OIS';
5 Assistant United StatesAttorneys NO. DIST
6 280 S. First Street,Room 371
SanJose,California 95113
1 Telephone:(408) 535-5060
FAX: (408) 535-5066
8
Attorneysfor Plaintiff
9

1.0 ~rrw STATESDISTRICI'COURT

11 NORmERN DISTRICf OFCALIFORNIA
1.2 SANJOSEDNISION
1.3

1.4 UNTrHD STATES OF AMERIGA, No. CROI-20138 RMW

1.S Plaintiff,
DECLARATION OF SPECIAL AGENT
1.6 v. DANIEL J. O'CONNELL IN SUPPORT
OF UNITED STATES' OPPOSITION
1.7 ELCOM LTD., TO DEFENDANT'S MOTIONS TO
a/k/a ELCOMSOFf CO. LTD., DISMISS ON CONSTITUTIONAL
18 GROUNDS
Defendant.
19 Date:April 1, 2002
Time: 9:00 am
20 Court: Hon. RonaldM. Whyte
21
I, Daniel J. O'Connell, SpecialAgent, FederalBureauof Investigation(FBI), San
22
FranciscoDivision, SanJoseResidentAgency,statethe following:
23
1 I havebeenemployedasa SpecialAgent for the FederalBureauof Investigation
24
for over twenty-five years.I am currentlyassignedto the High Tech Squadat SanJose,
25
California which hasresponsibilityfor the theft of intellectualproperty,theft of tradesecrets,
26
andviolations of U.S. copyright laws.I haveparticipatedin a numberof suchinvestigationsby
27
28
DECLARAllON OF SPECIAL AGENT
DANIEL J. O'CONNELL
[CR 01-20138][RMW]

~
1 this squadin the past. I participatedasthe leadcaseagentin the investigationresultingin the

2 prosecutionof defendantElcomsoft.

3 2. During the courseof this investigationI identified andinterviewedcertain

4 individualswho hadpUrchasedthe AdvancedeBookReaderprogram("AEBPR") from

5 Elcomsoftusing recordsobtainedfrom RegNow!,an online distributor of softwarethat had

6 managedtransactionsfor Elcomsoft.

7 3. Following contactswith certainpurchasersof the AEBPR program,I attemptedto

8 identify and contactcertaindistributorsor publishersof the ebooksto which purchasersof the

9 AEBPRprogramhad either attemptedto apply, or did apply, the AEBPR program. My contacts

1.0 with publishersor ,distributorsincludedthe following:

1.1. A On January2,2002, I spokeon the telephonewith ThomasP. McCormick,

12 Director of the EmployeeBenefit Instituteof America ("EBIA 'j in Seattle,Washington. I had

13 previouslydetenninedthat EBIA hadpublishedan employeebenefitsmanualpurchasedby

1.4 Daniel Sarazin,oneof the purchasersof the AEBPR programfrom Elcomsoft.

15 B. On January2 and3, 2002, I spokeon the telephonewith Kristene

16 0' Callaghan,Contractand LicenseManager,Sybexmc. in Alameda,California. I had

1.7 previouslydeterminedthat SybexhadpublishedCisco Certified Network AssociatesStudy

1.8 ~ purchasedby ShaidNajee-Ullah,one of the purchasersof the AEBPR programfrom

1.9 Elcomsoft.
20 c. On January 2 and 3, 2002, I spoke on the telephone with Elizabeth D.

23. Rather,attorneyfor Forth, Inc., in Hawthorne,California. I had previouslydeterminedthat

22 Forthhadpublisheda softwareprogrammingmanualpurchasedby Ralph Brooks, one of the

23 purchasersof the AEBPR programfrom Elcomsoft.

24 4. ThomasMcConnick ofEBIA informedme that EBIA publishesfive different

25 manualsdealingwith various employeebenefit topics. He statedthe manualsare very largeand

26 aredistributedin both paperand ebookformat. He further statedthat the ebookversionsof the

27 manualsare availablein the Adobe AcrobateBookReaderfonnat with certainprotectionsand

28
DECLARAllON OF SPECIAL AGENT
DANIELJ. O'CONNELL
[CROl-20138] [RMW] 2
1 restrictionsenabled.For example,accordingto McCormick, pursuantto an End User License

2 Agreement("HULA"), EBIA allows printing of a smallnumberof pagesof the ebookversionof

3 its manuals,but not all of the pages,andEBIA only allows the manualsto be usedon one

4 computer.McCormick informed me that EBIA considersthe contentof the manualsto be their

5 intellectualproperty,andthat EBIA placedrestrictionson the ebookversionsof its manualsto

6 protectits copyrightrights. Subsequent

to my telephoneconversationwith McConnick he sent

7 me via facsimile a copy of the EBIA EULA in effect in July 2001. A true and correctcopyof the

8 EULA I receivedfrom McConnick is attachedasExhibit A to this declaration.

9 5. KristeneO'CallaghanofSybex informedme that Sybexspecializesin publishing

1.0 booksrelatedto computersoftwareandhardware. Shestatedthat a softwaremanual Sybex

1.1. publishestitled CiscoCertified Network AssociateStudyGuide is accompaniedby a CD-ROM

1.2 that canbe readusing a home computerand an AdobeAcrobat Reader.According to

1.3 0' Callaghan,the contentsof the CD-ROM arein PDF fontlat with certaindigital rights
14 managementprotectionsthat preventprinting, copying,or moving the contentsof the CD-ROM
1.5 to morethan one computer. Shefurtherstatedthat Sybexintendsthe CD-ROM to only be used

J.6 asa searchtool for the large amountof information in the text, and that Sybexintendsthat users

1.7 of the CD-ROM not be able to makeadditionalcopiesof the text. O'Callaghanstatedthat one

1.8 exceptionto Sybex'spolicy is that Sybexundera properlicenseagreementallows the blind or

1.9 dyslexiccustomerto removethe protectionsfrom the CD-ROM to makethe contentsan audible

20 book in a Microsoft Word fonnat. Sybexrequiresthat customersobtain a specific grantof

21. pennissionfrom Sybexfor this use. Subsequentto my telephoneconversationwith O'Callaghan,

22 sheprovidedme via facsimile an EULA that shestatedappliedto the Sybexbook and CD-ROM

23 A true andcorrectcopy of the EULA I receivedfrom Q'Callaghanis attachedas Exhibit B to

24 this declaration.
25 6. ElizabethRather,the attorneyfor Forth, Inc., infonned me that Forth publishes

26 softwareand accompanyingman~, andthat Forth doesnot publish ebooks. Ratherstatedthat

27 the manualsthat Forthpublishesto accompanyits softwareare availableonline asPDF files.

28
DECLARAnON OF SPECIAL AGENT
DANIEL J. O'CONNELL
[CROl-20138] [RMW] 3
 1 Accordingto Rather,Forth customerswho purchasethe softwarecan downloadthe manualand
2 accompanyingdocumentationas a PDF file upon which certainrestrictionshavebeenplaced.
3 Ratherstatedthat in somecases,Forthplacesrestrictionson the PDF files to preventthem from
4 beingcopiedor modified, and that ForthregardstheserestrictionsasprotectingsForth's
5 copyrightrights. Shefurther statedthat Forth distributesits productssubjectto an EULA that
6 covers both the usageof the software and the accompanyingmanuals. Subsequentto my

7 telephoneconversationwith Rather,sheprovided me via facsimile an EULA that shestated

8 appliedto Forth's products,including the manuals. A true and correctcopy of the EULA.I
.:9 receivedfrom Ratheris attachedasExhibit C to this declaration.
10 7. During the course of this investigation I obtained from Darryl Spano, a technical

1.1. investigatorfor Adobe Systems,variousdocumentshe had obtainedduring Adobe's

1.2 investigationofElcomsoft's AdvancedeBook Processor. One of thesedocuments,datedJune

13 22,2001, appearsto be the web pageof the Elcomsoftwebsiteadvertisingthe AEBPR program.
1.4 During the courseof the investigation,I haveexaminedversionsof this web pagethat appearto

1.5 havebeendraftedfollowing the disputebetweenElcomsoftand Adobe. Thesesubsequent

1.6 versionsof the AEBPR web pageincludeadditionaltext not presenton the version of the page
1.7 datedJune22,2001. A true and correctcopy of the pagedatedJune22,2001, that I received
18 from Spanois attachedasExhibit D to this declaration.
1.9 I declare under penalty of perjury that the foregoing is true and correct.

20

21 Executedon March 4, in SanJose,California.

22
tAl ) '/Z.?'[M
DANIEL .tl ~ /~
1. OlJ:i:)NNELL A
- "- ~

23
SpecialAgent
24 FederalBureauof Investigation
25
26
27
28
DECLARATION OF SPECIAL AGENT
DANIEL J. O'CONNELL
[CR 01-20138][RMW] 4
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(reviscd 3/22/01) ,...,.~

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C~ri~hl !O; 2001, EmployeeBenctits Institutc of America LLC. All riglllS rc-d.
lan-O3-02 11: 56A
Untitled Documenl Pagc6 of R

/
2001 Sybex Inc.

!,)'1~
tq t:[lj~

Sybex Product
Sybex has tried to problems you may experience using the software on
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aII(\may be pnI\ect~ ~ applicableI.w ThIs Li- p..cs ~ 00 rishts 10IIIdI
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SOI\{E JURISD!c."11Om00 NOT ALLOW E.XCLUSIONSOF AN L"B'UED WARRA.'lTY. beNin.
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unimemlpted a.-1hadid ~i.-. of \be SoI,-.- win ~ ciw.frw FORTH elm WmU51bat CONTRAcr. OR OnfER\\'ISfi, SHALL R*-n! OR ITS Sl'P1'1.1ERSOR RESELLIiRS BE
the JD6baaUItain... Ihc s..c~--. if..-idod by FORl1l, is Iiec mxn defectsin lDakriei ..d UABlE TO YOU OR .AJl/Y OrnER PERSON fOR ANY INDIRIiCT, SPECIAl..
w~ end ."ill ... Ian8in (or nincty (~) daysft.-n Ibc dMe }"OU~ the Softw- INCIDfiNTAL, OR CO~"SEQUENrL~ DAMAGES ~ A.~Y CH.~<"'"TER INCL()DfNO.
FORTH'. sole liability f« my ~8I:h oflhis W8n81\yshall ~. in FORTH"s.ole dacretjon (i) WnHOli'T UJ.aTAnON. DA.'fAO6S FOR LOSS OF GOOOWIlL. WORK STOPPAGE.
to Nplao:~~ dcf~.. media; ,or (ii) \CIad\'ioe~ bow \0 ~'e .llb.lanliaJ1ythe -- COMPUT1iR FAILURE OR. MALFt1Nc.-"1l0N. OR AN)' AND ALL OrnER
J1JIIdlonali~willa Ibc s..Rw- u desc:ribcdm theDcJCumcIIIation IMouaI1a ~ dift'- COMMERCIAL DA...iAaES OR LOSSES.IN NO B\'E?'T \\'lLL roR11i BE LIABLE fOR
frnm ~ ~ forth In Ibc [k)Caaen\aIiUI ~ ~ ~ ~~ SoJ\w- aa.J ANY DMIAGES IN 1!.'CCE3S OF mE AMOUNT FORm RECEIVED FR~1 YOL' FOR A
DocumcnIalion ..1 N ~ by this limJt~ W8Tan1yfor Ibc pcriocIrcmaillills ... the UCEN:."E TO THE SOFT\VARE.E\'EN IF FORni SHAlJ.. HAVE B£EN 1.NFOR.'-mI> OF
warranty~ .:uVeI.I1bc oriIinaJ SG1t or if I~, for th~' (30) daysa&r Ibc dale (aj of 11m POSSmlLlTY Of" SUCH DAAfAGES. OR roR ANY CLAIM BY A.~y OnJER
shipment 10'-- of the rcpaJraJOX""'PI.-J ~, ..r (b) FOR11i you how to PARTY nus LlMIT."noN Of LIABILITY SHALL NOT APPLY TO UABILIT'i FOR
~TH OR PISRSONAL INJURY TO THE S-'CmI-.T APPLICABLE L~W PROHIBITS

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opcra1e\be sott.ve ... .. 10achievethe I\InCIi...,.jjIYdescri~d In ~ ~IXI Only if
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awJ pru~ n~ of did d.t.e you ~ 11- '" the Suaw- wiU FORTH N E.'CCLUSJONOR U...lIT A nON OF L..CIDENT AI. OR CONSEQ(JE.'"nAL DA.'JAGES. so
ubl.-. 10 ,. Ibis w8fUliy FOR1,.. will UK _bl~ cummcmal dfCXts\G rcpear, nus ~{JTAnON A~E.'(t-'Lu"SION ~tAy NOT APPL\' TO YOU.
repl..,... d.J\"i»Cox-fur i.,di,.iduaI ~.-.DnerS. MftInd p~U8I\ to 1M f,~ing W8I1"city-.Bin ),USCELLA..."EOUS
Ji)cIaysof ~ing .0 r¥JCif1.:.!. If 11.:~ of Ihc Sodwerc)"011 ~ed was8Ccompmied ~ I priDIeIIl)f othcr fO)rlnof ""bard-
11US IS A LL\irrED WARI?.~'TY A.~ IT IS 1"HE O~'LY W,o\RRA.~Y M~ BY ~" £oJ L'- Liceasc A.-- tot..- tanu "NY &om Ihis ,~ IbcII tbc ~'-'PY
FORTH FORnI).i.\};:ES NO OTHER E.XFRESSWARR.~.."TYA~D NO WARRA.~Y OF End U- Liccnsc ~ &O\~ your .- of she Son- Thia ~s rcp-acDb Ihc
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"'tQ l1IE AOOVE LJ).nTED WARRA.'lTY PERIl1D; SOME fu1USDICTJONSDO NOT }..!ADE CO~"DITIONAI. ON YOl.'R .-\SSE:-.-r1.0 THE TER.'IS SET FORni HEREIN. A,,\O
.A.I).;OW LL~IITATIONS ox HOW LONO ~~ ~{PLJE1) W,-\RR.~.Y LASTS. so NOT nlOSE IN YOli"R PURCHASEORDER
LIMITA110NS ~-lAY NOT APPLY TO YOU NO FORm DEAlER. AGENT. OR If 8rYpro\uionof !his-~ isheldII) be1menf1XC~.0IIdIpN\.won.IIaI\bcr~fd
£}.,1Pt.O~"EEIS ,~L"THORImD TO M~ AN~' MOD[f1CATIONS. E."'<TENSIONS. OR only 1011.:m~ -ur 10DIMe it enf~ble CaliflXDialaw (except fIX ~a of law
ADDITIONS .TO nIlS \VARRANTY If you m.1keany modifi.,.ions 10\be Soft (oIbcT pitM ) sbaU.,-. Ihn AF-. The appI~ \he Uniled N~ C~~ of
1'- modifiC8bOllS~ifice1ly .-mv.-Ic.J an 1M ~ ~) dI81ng the ConIracUfor d1CInlaJlati.-JIIals.tc ofOoods is ~Iy ~xcll.led
w ty period; if ~ mcdia ia aubjeclcd\0 ~deOL. ~, ox impvpd" --. or if you viol.
Ihc lams oI'lbJ.- AlJ-I, lhallbis wcnnty IiIaII ill8Dediuly be IeImma\cd 11Ii$wamnly US OOVER~m~'T RES1lUt-'TED RIOI-rrS
sheUnot apply if Ihc Soft is used00 or In """'J\RICtioowith h.nIw.~ ... aGdWlrCGdterthan UK. ~Ji.,.;on w diacl-.e b). tbc GO\"elmnenl i$ aII~1 \0 ~ons Jet f~ in
dieu.-.di\icd \~i'X1 of hardwarc
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u.d a d-=ribed ID\be ~ 11llS \VARRANT~' OI\'ES YOl' SPECIFICLEGAl 52227.19 -ilen appiicabk. ... as Sllbp88lJa{iI ("XI Xii) of the RiIhIs ill Technical Data ..II
RIGln'S, ,-\.",D YOU ~1.~¥ IfAVE OTHER LEOAl RIOIITS THAT VARY BY l'ompIJICf Sodw- clall8C at DF.~ 252227-7013. or .252211.7015, or to FORni'.
Jt:"RI:;DIc:TION standard ..ocxnm=ial liccnse. as oppiicable, and in sima!. cl- in Ihc N.-\SA F.~
p ,~T Ill. TER.\IS ,'\PPLICABLE TO .-\LL U("ENSfi OR.~",'TS Suppicm;:ot CooiI "tor!mmufad18a"i.
S<."OroOF ORAl-.'T FORnJ,lnc.
111 N. SepulYrd8Blvd.. SuiU JOG

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Ihc Software 011a nc(w..t. ~ thai.och pefS(XI-IDlIbc ~\warc through ~
M8nh8tt8n BcKh. c..\. ~66
(-'10)371-8493 (leG) SSJo"()RTH(\'OKe) (310)318,7IJO (&x)
UK http://www.rorth.eom rorthsalea@rorth.eom
MIWoct must ~ a copy li~ \0 \bet rer-;
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http://www.elcomsoft.com/aebpr.htmi 6/22/200
1
 1
2 CERTIFICATE OF SERVICE
U.S. v. ELCOM Lm.. a/k/a ELCOMSOFT
3 CR-Ol-20138(RMW)

4 I, Lauri Gomez,declarethat I am a citizen of the United States,over the ageof 18yearsand

5
not a party to the within action.
6
I herebycertify that a copyof the foregoing:
7
1. DECLARAnON OF SPECIAL AGENT DANIEL O'CONNELL IN SUPPORT
OF UNITED STATES' oPPOSmON TO DEFENDANT'S MOTIONS TO
8 DISMISS THE INDICTMENT BASED ON FIRST AMENDMENT AND
9 VIOLATION OF DUE PROCESS.

10 was served today_by hand; -X- by facsimile;- by Federal Express -X- by first class

mail by placing a true copy of eachsuchdocument(s)in a sealedenvelopewith postagethereonfully

11

12 Daid,eitherin a U.S. Mail mailbox or in the designatedareafor outgoingU.S. Mail in accordance

by placing in the Public
13 with the nonnal practiceof the United StatesAttorney's Office;.
14 Defender'spickup box locatedin theU.S. District Courthouseand addressedto the following
15 Counselof Record:
16 JOSEPH BURTON, ESQ. CINDY COHN
Duane, Morris & Hecksher LLP ElectronicFrontier Foundation
17 100 Spear Street, Suite 1500 454 Shotwell Street
SanFrancisco,California 94105 SanFrancisco,California 94110
18 .t'ax:(415) 371-2201 Fax: (415) 436-9993
Phone:(415) 371-2214 Phone:(415) 436-9333ext. 104
19
JOHN KEKER, ESQ. JULIE COHEN
Keker & Van Nest Professor of Law
20
710 SansomeStreet 600 New Jersey Avenue, N. W.
San Francisco, Ca.1ifornia94111-1704 Washington D.C. 20001
21
Fax: (415) 397-7188 Fax: (202) 662-9411
Phone:(415) 391-5400 Phone: (202) 662-9871
22
23
24
I declareunderpenaltyof perjurythat the foregoingis true andcorrect,and that this certificate
25 wasexecutedat SanJose,California.

26 IDATED: March 4, 2002

Q
UgAl Secretary
('-u~
Gomez
'"-"