`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________
`
`UNIFIED PAENTS, INC.
`Petitioner
`
`v.
`
`CATONIAN IP MANAGEMENT, LLC
` Patent Owner
`____________
`
`United States Patent No. 8,799,468
`___________
`
`
`
`
`DECLARATION OF SCOTT BENNETT, Ph.D.
`10 August 2017
`
`
`
`Unified Patents Ex. 1010, pg. 1
`
`

`

`
`
`I.
`
`II.
`
`TABLE OF CONTENTS
`
`Page
`
`INTRODUCTION .......................................................................................... 1
`
`BACKGROUND AND QUALIFICATIONS ................................................ 1
`
`III.
`
`PRELIMINARIES .......................................................................................... 3
`
`IV. OPINIONS REGARDING INDIVIDUAL DOCUMENTS .......................... 9
`
`V.
`
`ATTACHMENTS ........................................................................................15
`
`VI.
`
`CONCLUSION ............................................................................................16
`
`
`
`Unified Patents Ex. 1010, pg. 2
`
`

`

`
`
`I, Scott Bennett, hereby declare under penalty of perjury:
`
`I.
`
`INTRODUCTION
`
`1.
`
`I have personal knowledge of the facts and opinions set forth in this
`
`declaration, I believe them to be true, and if called upon to do so, I would testify
`
`competently to them. I have been warned that willful false statements and the like
`
`are punishable by fine or imprisonment, or both.
`
`2.
`
`I am a retired academic librarian working as a Managing Partner of
`
`the firm Prior Art Documentation LLC at 711 South Race Street, Urbana, IL,
`
`61801-4132. Attached as Appendix A is a true and correct copy of my Curriculum
`
`Vitae describing my background and experience. Further information about my
`
`firm, Prior Art Documentation Services LLC, is available at
`
`www.priorartdocumentation.com.
`
`3.
`
`I have been retained by Oblon, McClelland, Maier & Neustadt, LLP
`
`to authenticate and establish the dates of public accessibility of certain documents
`
`in an inter partes review proceedings for U.S. Patent No. 8,799,468. For this
`
`service, I am being paid my usual hourly fee of $91/hour. My compensation in no
`
`way depends on the substance of my testimony or the outcome of this proceeding.
`
`II. BACKGROUND AND QUALIFICATIONS
`
`4.
`
`
`
`
`
`I was previously employed as follows:
`
`University Librarian, Yale University, New Haven, CT, 1994-2001;
`
`1
`
`Unified Patents Ex. 1010, pg. 3
`
`

`

`
`
`
`
`
`
`
`
`
`
`Director, The Milton S. Eisenhower Library, The Johns Hopkins
`
`University, Baltimore, MD, 1989-1994;
`
`Assistant University Librarian for Collection Management,
`
`Northwestern University, Evanston, IL, 1981-1989;
`
`Instructor, Assistant, and Associate Professor of Library
`
`Administration, University of Illinois at Urbana-Champaign, Urbana,
`
`IL, 1974-1981; and
`
`Assistant Professor of English, University of Illinois at Urbana-
`
`Champaign, 1967-1974.
`
`5. Over the course of my work as a librarian, professor of English,
`
`researcher, and author of nearly fifty scholarly papers and other publications, I
`
`have had extensive experience with catalog records and online library management
`
`systems built around Machine-Readable Cataloging (MARC) standards. I also
`
`have substantial experience in authenticating printed documents and establishing
`
`the date when they were accessible to researchers.
`
`6.
`
`In the course of more than fifty years of academic life, I have myself
`
`been an active researcher. I have collaborated with many individual researchers
`
`and, as a librarian, worked in the services of thousands of researchers at four
`
`prominent research universities. Over the years, I have read some of the
`
`voluminous professional literature on the information seeking behaviors of
`
`
`
`2
`
`Unified Patents Ex. 1010, pg. 4
`
`

`

`
`
`academic researchers. And as an educator, I have a broad knowledge of the ways
`
`in which students in a variety of disciplines learn to master the bibliographic
`
`resources used in their disciplines. In all of these ways, I have a general
`
`knowledge of how researchers work.
`
`III. PRELIMINARIES
`
`7.
`
`Scope of this declaration. I am not a lawyer and I am not rendering an
`
`opinion on the legal question of whether any particular document is, or is not, a
`
`“printed publication” under the law.
`
`8.
`
`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 18 November 2003.
`
`9.
`
`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 claims to be. I
`
`am also informed that authenticity can be established based on the contents of the
`
`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
`
`
`
`3
`
`Unified Patents Ex. 1010, pg. 5
`
`

`

`
`
`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.
`
`10.
`
`I am informed by counsel that a given reference is publicly accessible
`
`upon a satisfactory showing that such document has been disseminated or
`
`otherwise made available to the extent that persons interested and ordinarily skilled
`
`in the subject matter or art exercising reasonable diligence, can locate it. I have
`
`also been informed by counsel that materials available in a library constitute
`
`printed publications if they are cataloged and indexed (such as by subject)
`
`according to general library practices that make the references available to
`
`members of the interested public.
`
`11. Materials considered. In forming the opinions expressed in this
`
`declaration, I have reviewed the documents and attachments referenced herein.
`
`These materials are records created in the ordinary course of business by
`
`publishers, libraries, indexing services, and others. From my years of experience, I
`
`am familiar with the process for creating many of these records, and I know these
`
`records are created by people with knowledge of the information in the record.
`
`Further, these records are created with the expectation that researchers and other
`
`members of the public will use them. All materials cited in this declaration and its
`
`attachments are of a type that experts in my field would reasonably rely upon and
`
`refer to in forming their opinions.
`
`
`
`4
`
`Unified Patents Ex. 1010, pg. 6
`
`

`

`
`
`12. Persons of ordinary skill in the art. I am told by counsel that the
`
`subject matter of this proceeding relates to computer networking and distributed
`
`systems.
`
`13.
`
`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.
`
`14.
`
`I am told by counsel that persons of ordinary skill in this subject
`
`matter or art would have had a bachelor’s degree in Computer Science, or related
`
`discipline, and two years of relevant experience and knowledge of regulating
`
`network access and designing such systems, TCP/IP-based networking as practiced
`
`in the Internet, routers, web proxies, web caches, and web servers, and distributed
`
`systems and their advantages and management.
`
`15.
`
`It is my opinion that such a person would have been engaged in
`
`academic research, learning though study and practice in the field, through formal
`
`instruction, and through the bibliographic resources relevant to his or her research.
`
`In the 1980s and 1990s such a person would have had access to a vast array of
`
`long-established print resources in the areas of computer science and
`
`electrical/computer engineering, as well as to a rich and fast changing set of online
`
`
`
`5
`
`Unified Patents Ex. 1010, pg. 7
`
`

`

`
`
`resources providing indexing information, abstracts, and full text services in those
`
`same areas.
`
`16. Library catalog records. Some background on MARC formatted
`
`records, OCLC, WorldCat, and OCLC’s Connexion is needed to understand the
`
`library catalog records discussed in this declaration.
`
`17. Libraries world-wide use the MARC format for catalog records; this
`
`machine readable format was developed at the Library of Congress in the 1960s.
`
`18. MARC formatted records provide a variety of subject access points
`
`based on the content of the document being cataloged. All may be found in the
`
`MARC Fields 6XX. For example, MARC Field 600 identifies personal names
`
`used as subjects and the MARC Field 650 identifies topical terms. A researcher
`
`might discover material relevant to his or her topic by a search using the terms
`
`employed in the MARC Fields 6XX.
`
`19. The MARC Field 040, subfield a, identifies the library or other entity
`
`that created the original catalog record for a given document and transcribed it into
`
`machine readable form. The MARC Field 008 identifies the date when this first
`
`catalog record was entered on the file. This date persists in all subsequent uses of
`
`the first catalog record, although newly-created records for the same document,
`
`separate from the original record, will show a new date. It is not unusual to find
`
`multiple catalog records for the same document.
`
`
`
`6
`
`Unified Patents Ex. 1010, pg. 8
`
`

`

`
`
`20. WorldCat is the world’s largest public online catalog, maintained by
`
`the Online Computer Library Center, Inc., or OCLC, and built with the records
`
`created by the thousands of libraries that are members of OCLC. WorldCat
`
`provides a user-friendly interface for the public to use MARC records; it requires
`
`no knowledge of MARC tags and codes. WorldCat records appear in many
`
`different catalogs, including the Statewide Illinois Library Catalog. The date a
`
`given catalog record was created (corresponding to the MARC Field 008) appears
`
`in some detailed WorldCat records as the Date of Entry.
`
`21. Whereas WorldCat records are very widely available, the availability
`
`of MARC formatted records varies from library to library.
`
`22. When an OCLC participating institution acquires a document for
`
`which it finds no previously created record in OCLC, or when the institution
`
`chooses not to use an existing record, it creates a record for the document using
`
`OCLC’s Connexion, the bibliographic system used by catalogers to create MARC
`
`records. Connexion automatically supplies the date of record creation in the
`
`MARC Field 008.
`
`23. Once the MARC record is created by a cataloger at an OCLC
`
`participating member institution, it becomes available to other OCLC participating
`
`members in Connexion and also in WorldCat, where persons interested and
`
`
`
`7
`
`Unified Patents Ex. 1010, pg. 9
`
`

`

`
`
`ordinarily skilled in the subject matter or art, exercising reasonable diligence, can
`
`locate it.
`
`24. When a book has been cataloged, it will normally be made available
`
`to readers soon thereafter—normally within a few days or (at most) within a few
`
`weeks of cataloging.
`
`25.
`
`Indexing. 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 the 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. Date
`
`information for indexing entries is, however, often unavailable. This is especially
`
`true for online indices.
`
`26.
`
`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.
`
`27. 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
`
`
`
`8
`
`Unified Patents Ex. 1010, pg. 10
`
`

`

`
`
`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 by researchers no
`
`later than the publication date of the citing document.
`
`28. Prominent indexing services include:
`
`29. ACM Digital Library. This index is produced by the Association for
`
`Computing Machinery, the world’s largest scientific and educational computing
`
`society. AMC Digital Library contains the full text of all AMC publications,
`
`hosted full-text publications from selected publishers, and the ACM Guide to
`
`Computing Literature—a comprehensive bibliography of computing literature
`
`beginning in the 1950s with more than a million entries. All metadata in the
`
`database are freely available on the Web, including abstracts, linked references,
`
`citing work, and usage statistics. Full-text articles are available with subscription.
`
`IV. OPINIONS REGARDING INDIVIDUAL DOCUMENTS
`
`Document 1. Norbert Pohlmann and Tim Crothers, Firewall Architecture
`for the Enterprise (New York: Wiley, 2002).
`
`Authentication
`
`30. Document 1 is a book by Norbert Pohlmann and Tim Crothers
`
`published by John Wiley & Sons in 2002.
`
`31. Attachment 1a is a true and accurate copy of the book’s cover, half
`
`title, title page, title page verso, table of contents, and pp.114-135, 149-155, 174-
`
`181, and 308-315 from the Library of Congress. Attachment 1b is a true and
`
`
`
`9
`
`Unified Patents Ex. 1010, pg. 11
`
`

`

`
`
`accurate copy of the Library of Congress catalog record, in MARC format, for
`
`Document 1, showing the book’s bibliographic information and, in MARC Field
`
`020, the book’s International Standard Book Number (ISBN), 076459926X. Since
`
`1970, each published book has had an ISBN unique to it.
`
`32. Attachment 1a is in a condition that creates no suspicion about its
`
`authenticity. Specifically, the sequences of pages copied in Attachment 1a are not
`
`missing any intermediate pages, the text on each page appears to flow seamlessly
`
`from one page to the next, and there are no visible alterations to the document.
`
`Attachment 1a was found within the custody of a library – a place where, if
`
`authentic, it would likely be found.
`
`33. Attachment 1c is a true and accurate copy of the ACM Digital Library
`
`index record for Document 1, showing the International Standard Book Number
`
`(ISBN) 076454926X, identical (except for format) to that provided on the verso of
`
`the title page in Attachment 1a: 076459926X.
`
`34.
`
`I conclude, based on finding Document 1 in a library and on finding
`
`library catalog records and an online record for Document 1, that Document 1 is an
`
`authentic document and that Attachment 1a is an authentic copy of Document 1.
`
`Public accessibility
`
`35. Attachment 1d is a true and accurate copy of a Statewide Illinois
`
`Library catalog record for Document 1, showing this book held by 108 libraries
`
`
`
`10
`
`Unified Patents Ex. 1010, pg. 12
`
`

`

`
`
`world-wide. Attachment 1d also indicates that Document 1 was cataloged or
`
`indexed in a meaningful way—including being cataloged by subject. The date of
`
`entry in Attachment 1d is 27 April 2002, somewhat before the publication of
`
`Document 1 (discussed below). This is the same date as in the Attachment 1b, the
`
`Library of Congress catalog record for Document 1, where the MARC Field 008
`
`date is 27 April 2002. In my opinion, Document 1 was bibliographically
`
`identifiable by 27 April 2002.
`
`36. Attachment 1e is a true and accurate copy of the United States
`
`Copyright Office record for Document 1. It shows the book was published on 3
`
`July 2002 and registered for copyright on 2 August 2002.1 I conclude from this
`
`copyright record that Document 1 was publicly available from its publisher on or
`
`about 3 July 2002.
`
`37. Attachment 1f is a true and accurate copy of the Northern Michigan
`
`University Library catalog record, in MARC format, for Document 1. In
`
`Attachment 1f, the MARC Field 008 indicates this catalog record was created on
`
`
`1 On the half title page of Attachment 1a, a cop of Document 1 from the Library of
`
`Congress, there is a 2 August 2002 date stamp of the Library of Congress
`
`Copyright Office.
`
`
`
`11
`
`Unified Patents Ex. 1010, pg. 13
`
`

`

`
`
`16 August 2002.2 Allowing for some time between the cataloging of Document 1
`
`and its arrival on library shelves, where it would be publicly available, I conclude
`
`that Document 1 was accessible to the public interested in the art, and that an
`
`ordinarily skilled researcher, exercising reasonable diligence, would have had no
`
`difficulty finding Document 1 in at least one library by September 2002.
`
`38. Based on the evidence presented here—book publication, Copyright
`
`Conclusion
`
`Office record, online indexing, and library cataloging—it is my opinion that
`
`Document 1 is an authentic document that was bibliographically identifiable by 27
`
`April 2002, was publicly available from its publisher on or about 3 July 2002, was
`
`publicly available in at least one library by September 2002.
`
`Document 2. Andrew S. Tanenbaum, Computer Networks, 3rd ed. (Upper
`Saddle River, NJ: Prentice Hall, 1996).
`
`Authentication
`
`39. Document 2 is a book by Andrew Tanenbaum published by Prentice
`
`Hall in 1996.
`
`40. Attachment 2a is a true and accurate copy of the book’s fly leaves
`
`(one with a circulation slip and circulation stamps), half title, title page, title page
`
`
`2 MARC Field 040, subfield a, indicates this record was created by GSA, a now
`
`obsolete OCLC member code that may have identified the Georgia State Library.
`
`
`
`12
`
`Unified Patents Ex. 1010, pg. 14
`
`

`

`
`
`verso, table of contents, and pp.4-8, 50-56, and 408-413 from the University of
`
`Illinois at Urbana-Champaign Library. Attachment 2b is a true and accurate copy
`
`of that library’s catalog record, in MARC format, for Document 2, showing the
`
`book’s bibliographic information and, in MARC Field 020, the book’s
`
`International Standard Book Number (ISBN), 0133499456. Since 1970, each
`
`published book has had an ISBN unique to it.
`
`41. Attachment 2a is in a condition that creates no suspicion about its
`
`authenticity. Specifically, the sequences of pages copied in Attachment 2a are not
`
`missing any intermediate pages, the text on each page appears to flow seamlessly
`
`from one page to the next, and there are no visible alterations to the document.
`
`Attachment 2a was found within the custody of a library – a place where, if
`
`authentic, it would likely be found.
`
`42. Attachment 2c is a true and accurate copy of the ACM Digital Library
`
`index record for Document 2, showing the International Standard Book Number
`
`(ISBN) 0-13-349945-6, identical to that provided on the verso of the title page in
`
`Attachment 2a and, except for format, to the ISBN in the Attachment 2b catalog
`
`record for Document 2.
`
`43.
`
`I conclude, based on finding Document 2 in a library and on finding
`
`library catalog records and an online record for Document 2, that Document 2 is an
`
`authentic document and that Attachment 2a is an authentic copy of Document 2.
`
`
`
`13
`
`Unified Patents Ex. 1010, pg. 15
`
`

`

`
`
`Public accessibility
`
`44. Attachment 2d is a true and accurate copy of a Statewide Illinois
`
`Library catalog record for Document 2, showing this book held by 710 libraries
`
`world-wide. Attachment 2d also indicates that Document 2 was cataloged or
`
`indexed in a meaningful way—including being cataloged by subject. The date of
`
`entry in Attachment 2d is 2 January 1996, identical to the MARC Field 008 date in
`
`the Attachment 2b catalog record for Document 2, and somewhat before the
`
`publication of Document 1 (discussed below). That this is a cataloging-in-
`
`publication (CIP) record is indicated by the presence of CIP information on the
`
`verso of the title page in Attachment 2a In my opinion, Document 2 was
`
`bibliographically identifiable by 2 January 1996.
`
`45. Attachment 2e is a true and accurate copy of the United States
`
`Copyright Office record for Document 2. It shows the book was published on 6
`
`March 1996 and registered for copyright on 23 May 1996. I conclude from this
`
`copyright record that Document 2 was publicly available from its publisher on or
`
`about 6 March 1996.
`
`46. Attachment 2f is a true and accurate copy of a second Statewide
`
`Illinois Library catalog record for Document 2, showing this book held by an
`
`additional 9 libraries world-wide. Attachment 2f also indicates that Document 2
`
`was cataloged or indexed in a meaningful way—including being cataloged by
`
`
`
`14
`
`Unified Patents Ex. 1010, pg. 16
`
`

`

`
`
`subject. The date of entry in Attachment 2f is 10 June 1996. Allowing for some
`
`time between the cataloging of Document 2 and its arrival on library shelves,
`
`where it would be publicly available, I conclude that Document 2 was accessible to
`
`the public interested in the art, and that an ordinarily skilled researcher, exercising
`
`reasonable diligence, would have had no difficulty finding Document 2 in at least
`
`one library by July 1996.
`
`Conclusion
`
`47. Based on the evidence presented here—book publication, Copyright
`
`Office record, online indexing, and library cataloging—it is my opinion that
`
`Document 2 is an authentic document that was bibliographically identifiable by 2
`
`January 1996, was publicly available from its publisher on or about 6 March 1996,
`
`was publicly available in at least one library by July 1996.
`
`V. ATTACHMENTS
`
`48. The attachments attached hereto are true and correct copies of the
`
`materials identified above. Helen Sullivan is a Managing Partner in Prior Art
`
`Documentation Services LLC (see http://www.priorartdocumentation.com/hellen-
`
`sullivan/ ). One of her primary responsibilities in our partnership is to secure the
`
`bibliographic documentation used in attachments to our declarations.
`
`49. Ms. Sullivan and I work in close collaboration on the bibliographic
`
`documentation needed in each declaration. I will sometimes request specific
`
`
`
`15
`
`Unified Patents Ex. 1010, pg. 17
`
`

`

`
`
`bibliographic documents or, more rarely, secure them myself. In all cases, I have
`
`carefully reviewed the bibliographic documentation used in my declaration. My
`
`signature on the declaration indicates my full confidence in the authenticity,
`
`accuracy, and reliability of the bibliographic documentation used.
`
`50. Each Attachment has been marked with an identifying label on the top
`
`of each page. However, no alterations other than these noted labels appear in these
`
`attachments, unless otherwise noted. All attachments were created on 4-10 August
`
`2017 and all URLs referenced in this declaration were available 6 August 2017.
`
`
`
`
`
`
`
`
`
`VI. CONCLUSION
`
`51.
`
`I reserve the right to supplement my opinions in the future to respond
`
`to any arguments that Patent Owner or its expert(s) may raise and to take into
`
`account new information as it becomes available to me.
`
`52.
`
`I declare that all statements made herein of my knowledge are true,
`
`and that all statements made on information and belief are believed to be true, and
`
`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.
`
`
`
`16
`
`Unified Patents Ex. 1010, pg. 18
`
`

`

`
`
`
`
`
`
` Executed this 10th day of August, 2017 in Urbana, Illinois.
`
`
`
`
`____________________________
`Scott Bennett
`
`
`
`17
`
`Unified Patents Ex. 1010, pg. 19
`
`

`

`
`
`Appendix A
`
`SCOTT BENNETT
`Yale University Librarian Emeritus
`
`711 South Race
`Urbana, Illinois 61801-4132
`2scottbb@gmail.com
`217-367-9896
`
`
`
`EMPLOYMENT
`
`
`Retired, 2001. Retirement activities include:
` Managing Partner in Prior Art Documentation Services, LLC, 2015-. This firm provides
`documentation services to patent attorneys; more information is available at
`http://www.priorartdocumentation.com
` Consultant on library space design, 2004- . This consulting practice is rooted in a research,
`publication, and public speaking program conducted since I retired from Yale University in
`2001. I have served more than 50 colleges and universities in the United States and abroad
`with projects ranging in likely cost from under $50,000 to over $100 million. More
`information is available at http://www.libraryspaceplanning.com/
` Senior Advisor for the library program of the Council of Independent Colleges, 2001-2009
` Member of the Wartburg College Library Advisory Board, 2004-
` Visiting Professor, Graduate School of Library and Information Science, University of
`Illinois at Urbana-Champaign, Fall 2003
`
`
`University Librarian, Yale University, 1994-2001
`
`Director, The Milton S. Eisenhower Library, The Johns Hopkins University, Baltimore, Maryland,
`1989-1994
`
`Assistant University Librarian for Collection Management, Northwestern University, Evanston,
`Illinois, 1981-1989
`
`Instructor, Assistant and Associate Professor of Library Administration, University of Illinois at
`Urbana-Champaign, 1974-1981
`
`Assistant Professor of English, University of Illinois at Urbana-Champaign, 1967-1974
`
`Woodrow Wilson Teaching Intern, St. Paul’s College, Lawrenceville, Virginia, 1964-1965
`
`EDUCATION
`
`
`University of Illinois, M.S., 1976 (Library Science)
`Indiana University, M.A., 1966; Ph.D., 1967 (English)
`Oberlin College, A.B. magna cum laude, 1960 (English)
`
`
`
`HONORS AND AWARDS
`
`
`
`18
`
`Unified Patents Ex. 1010, pg. 20
`
`

`

`
`
`
`
`Morningside College (Sioux City, IA) Doctor of Humane Letters, 2010
`
`American Council of Learned Societies Fellowship, 1978-1979; Honorary Visiting Research
`Fellow, Victorian Studies Centre, University of Leicester, 1979; University of Illinois Summer
`Faculty Fellowship, 1969
`
`Indiana University Dissertation Year Fellowship and an Oberlin College Haskell Fellowship, 1966-
`1967; Woodrow Wilson National Fellow, 1960-1961
`
`
`PROFESSIONAL ACTIVITIES
`
`American Association for the Advancement of Science: Project on Intellectual Property and
`Electronic Publishing in Science, 1999-2001
`
`American Association of University Professors: University of Illinois at Urbana-Champaign
`Chapter Secretary and President, 1975-1978; Illinois Conference Vice President and President, 1978-
`1984; national Council, 1982-1985, Committee F, 1982-1986, Assembly of State Conferences
`Executive Committee, 1983-1986, and Committee H, 1997-2001 ; Northwestern University Chapter
`Secretary/Treasurer, 1985-1986
`
`Association of American Universities: Member of the Research Libraries Task Force on
`Intellectual Property Rights in an Electronic Environment, 1993-1994, 1995-1996
`
`Association of Research Libraries: Member of the Preservation Committee, 1990-1993; member of
`the Information Policy Committee, 1993-1995; member of the Working Group on Copyright, 1994-
`2001; member of the Research Library Leadership and Management Committee, 1999-2001; member
`of the Board of Directors, 1998-2000
`
`Carnegie Mellon University: Member of the University Libraries Advisory Board, 1994
`
`Center for Research Libraries: Program Committee, 1998-2000
`
`Johns Hopkins University Press: Ex-officio member of the Editorial Board, 1990-1994; Co-
`director of Project Muse, 1994
`
`Library Administration and Management Association, Public Relations Section, Friends of the
`Library Committee, 1977-1978
`
`Oberlin College: Member of the Library Visiting Committee, 1990, and of the Steering Committee
`for the library’s capital campaign, 1992-1993; President of the Library Friends, 1992-1993, 2004-
`2005; member, Friends of the Library Council, 2003-
`
`Research Society for Victorian Periodicals: Executive Board, 1971-1983; Co-chairperson of the
`Executive Committee on Serials Bibliography, 1976-1982; President, 1977-1982
`
` A
`
` Selected Edition of W.D. Howells (one of several editions sponsored by the MLA Center for
`Editions of American Authors): Associate Textual Editor, 1965-1970; Center for Editions of
`American Authors panel of textual experts, 1968-1970
`
`Victorian Studies: Editorial Assistant and Managing Editor, 1962-1964
`
`
`
`19
`
`Unified Patents Ex. 1010, pg. 21
`
`

`

`
`
`
`
`
`
`
`Wartburg College: member, National Advisory Board for the Vogel Library, 2004-
`
`Some other activities: Member of the Illinois State Library Statewide Library and Archival
`Preservation Advisory Panel; member of the Illinois State Archives Advisory Board; member of a
`committee advising the Illinois Board of Higher Education on the cooperative management of
`research collections; chair of a major collaborative research project conducted by the Research
`Libraries Group with support from Conoco, Inc.; active advisor on behalf of the Illinois
`Conference AAUP to faculty and administrators on academic freedom and tenure matters in northern
`Illinois.
`
`Delegate to Maryland Governor’s Conference on Libraries and Information Service; principal in
`initiating state-wide preservation planning in Maryland; principal in an effort to widen the use of
`mass deacidification for the preservation of library materials through cooperative action by the
`Association of Research Libraries and the Committee on Institutional Cooperation; co-instigator
`of a campus-wide information service for Johns Hopkins University; initiated efforts with the
`Enoch Pratt Free Library to provide information services to Baltimore’s Empowerment Zones;
`speaker or panelist on academic publishing, copyright, scholarly communication, national and
`regional preservation planning, mass deacidification.
`
`Consultant for the University of British Columbia (1995), Princeton University (1996), Modern
`Language Association, (1995, 1996), Library of Congress (1997), Center for Jewish History
`(1998, 2000-), National Research Council (1998); Board of Directors for the Digital Library
`Federation, 1996-2001; accreditation visiting team at Brandeis University (1997); mentor for
`Northern Exposure to Leadership (1997); instructor and mentor for ARL’s Leadership and
`Career Development Program (1999-2000)
`
`At the Northwestern University Library, led in the creation of a preservation department and in the
`renovation of the renovation, for preservation purposes, of the Deering Library book stacks.
`
`At the Milton S. Eisenhower Library, led the refocusing and vitalization of client-centered services;
`strategic planning and organizational restructuring for the library; building renovation planning.
`Successfully completed a $5 million endowment campaign for the humanities collections and
`launched a $27 million capital campaign for the library.
`
`At the Yale University Library, participated widely in campus-space planning, university budget
`planning, information technology development, and the promotion of effective teaching and learning;
`for the library has exercised leadership in space planning and renovation, retrospective conversion of
`the card catalog, preservation, organizational development, recruitment of minority librarians,
`intellectual property and copyright issues, scholarly communication, document delivery services
`among libraries, and instruction in the use of information resources. Oversaw approximately $70
`million of library space renovation and construction. Was co-principal investigator for a grant to plan
`a digital archive for Elsevier Science.
`
`Numerous to invitations speak at regional, national, and other professional meetings and at alumni
`meetings. Lectured and presented a series of seminars on library management at the Yunnan
`University Library, 2002. Participated in the 2005 Int