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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`BAYERISCHE MOTOREN WERKE AKTIENGESELLSCHAFT & BMW OF
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`NORTH AMERICA, LLC,
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`V.
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`PAICE LLC & The ABELL FOUNDATION, INC,
`Patent Owner
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`Patent Case Review No.2 To Be Assigned
`US. Patent No. 8,630,761
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`
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`DECLARATION OF SYLVIA HALL-ELLIS, PH.D. IN SUPPORT OF
`PETITION
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`I, Sylvia D. Hall—Ellis, Ph.D., declare as follows:
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`I.
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`INTRODUCTION
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`1.
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`My name is Sylvia D. Hall-Ellis. I have been retained as an expert by
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`Bayerische Motoren Werke Aktiengesellschafi and BMW of North America, LLC
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`(“BMW”) who I am informed are the Petitioners to this inter partes review (IPR)
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`proceeding.
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`2.
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`I have written this declaration at the request of the Petitioners to
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`provide my expert opinion regarding the authenticity and public availability of the
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`publication identified in Section V below. My declaration sets forth my opinions in
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`detail and provides the basis for my opinions regarding the authenticity and public
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`availability of this publication. If called to testify in the above-captioned matter, I
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`will testify with regard to the opinions and bases set forth below.
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`3.
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`I reserve the right to supplement or amend my opinions, and bases for
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`them, in response to any additional evidence, testimony, discovery, argument,
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`and/or other additional information that may be provided to me after the date of
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`this declaration.
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`4.
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`As of the preparation and signing of this declaration, libraries across
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`the nation are closed pursuant to an order of the federal and state governments due
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`to the COVID-l9 virus. However, were the libraries open, I would expect to be
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`able to obtain paper copies of the documents in this declaration. Additionally, it is
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`my typical practice to obtain a paper copy of each publication to further confirm
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`my opinions. I reserve the right to supplement my declaration when the libraries
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`reopen to provide such information. Libraries are not fully open; therefore, getting
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`materials remains a challenge. The book in this proceeding is available from the
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`British Library — which is closed. The Governor of Colorado has issued a return to
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`more restrictions, stay at home guidance, and required wearing of masks.
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`5.
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`I am being compensated for my time spent working on this matter at
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`my normal consulting rate of $300 per hour, plus reimbursement for any additional
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`reasonable expenses. My compensation is not in any way tied to the content of this
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`report, the substance of my opinions, or the outcome of this proceeding. I have no
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`other interests in this proceeding or with any of the parties.
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`6.
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`All of the materials that I considered and relied upon are discussed
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`explicitly in this declaration.
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`II.
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`QUALIFICATIONS
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`7.
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`I am currently an Adjunct Professor in the School of Information at
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`San José State University in San José, California. I obtained a Masters of Library
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`Science from the University of North Texas in 1972 and a PhD. in Library Science
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`from the University of Pittsburgh in 1985. Over the last fifty years, I have held
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`various positions in the field of library and information resources. I was first
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`employed as a librarian in 1966 and have been involved in the field of library
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`sciences since, holding numerous positions.
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`8.
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`I am a member of the American Library Association (ALA) and its
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`Association for Library Collections & Technical Services (ALCTS) Division, and I
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`served on the Committee on Cataloging: Resource and Description (which wrote
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`the new cataloging rules) and as the chair of the Committee for Education and
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`Training of Catalogers and the Competencies and Education for a Career in
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`Cataloging Interest Group. I also served as the Chair of the ALCTS Division’s
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`Task Force on Competencies and Education for a Career in Cataloging.
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`Additionally, I have served as the Chair for the ALA Office of Diversity’s
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`Committee on Diversity, as a member of the REFORMA National Board of
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`Directors, and as a member of the Editorial Board for the ALCTS premier
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`cataloging journal, Library Resources and Technical Services.
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`9.
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`I have also given over one hundred presentations in the field,
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`including several on library cataloging systems and Machine-Readable Cataloging
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`(“MARC”) standards. My current research interests include library cataloging
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`systems, metadata, and organization of electronic resources.
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`10.
`
`I have been deposed eleven times: (1) Symantec Corp. vs. Finjan,
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`Ina, Petition for Inter Partes Review of US. Patent No. 7,613,926, May
`
`26, 2016, on behalf of Symantec Corp.; (2) Symantec Corp. vs. Finjcm, Ina,
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`14—cv—299-HSG (ND. Cal.), on behalf of Symantec Corp., September 14,
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`2017; (3) one deposition for ten matters: Intellectual Ventures I LLC vs. A T&T
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`Mobility LLC; AT&T Mobility II LLC, New Cingular Wireless Services, Inc., SEC
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`Internet Services, Inc., Wayport, Inc., and Cricket Wireless LLC, C.A. No. 12-193
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`(LPS); Intellectual Ventures II LLC vs. A T&TMobility LLC; AT&T Mobility II
`
`LLC, New Cingular Wireless Services, Inc., SEC Internet Services, Inc., Wayport,
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`Inc., and Cricket Wireless LLC, CA. No. 13-1631 (LPS); Intellectual Ventures I
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`LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc, CA. No. 13-1632 (LPS);
`
`Intellectual Ventures II LLC vs. T-Mobile USA, Inc. and T~Mobile US, Inc, CA.
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`No. 13—1633 (LPS); Intellectual Ventures I LLC, vs. Nextel Operations, Ina, Sprint
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`Spectrum L.P., Boost Mobile, LLC and Virgin Mobile USA, L.P., CA. No. 13-1634
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`(LPS); Intellectual Ventures II LLC vs. Nextel Operations, Ina, Sprint Spectrum
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`L.P., Boost Mobile, LLC and Virgin Mobile USA, L.P., CA. No. 13~l635 (LPS);
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`Intellectual Ventures I LLC, vs. United States Cellular Corporation, C.A. No. 13-
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`1636 (LPS); Intellectual Ventures I LLC vs. United States Cellular Corporation,
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`CA. No. 13-1637 (LPS); Intellectual Ventures IILLC vs. AT&TM0bility LLC,
`
`AT&T Mobility II LLC, New Cingular Wireless Services, Inc, CA. No. 15-799
`
`(LPS); Intellectual Ventures I LLC vs. T-Mobile USA, Inc. and T—Mobile US, Inc,
`
`CA. No. 15-800 (LPS), on behalf of AT&T Mobility LLC; AT&T Mobility II
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`LLC, Boost Mobile, LLC Cricket Wireless LLC, Nextel Operations, Inc., New
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`Cingular Wireless Services, Inc., SEC Internet Services, Inc., Sprint Spectrum
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`L.P., T-Mobile USA, Inc., T-Mobile US, Inc., United States Cellular Corporation
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`Virgin Mobile USA, L.P., and Wayport, Inc., November 15, 2016; (4) Hitachi
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`Maxell, LTD, v. Top Victory Electronics (Taiwan) Co. Ltd, et al., 2:14-CV-l 121
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`JRG-RSP (ED. Texas), on behalf of Top Victory Electronics (Taiwan) Co. LTD,
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`et. 61]., January 20, 2016; (5) Sprint Spectrum, LP. vs. General Access Solutions,
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`Ltd., Petition for Inter Partes Review of US. Patent No. 7,173,916, on behalf of
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`Sprint Spectrum L.P., July 13, 2018; (6) Nichia Corporation vs. Vizio, Inc., 8: 16-
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`cv—00545; on behalf of Vizio, Inc., October 12, 2018; (7) Intellectual Ventures I
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`LLC, vs. T-Mobile USA, Inc., T-Mobile US, Inc., Ericsson Inc., and
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`Telefonoktiebolaget LMEricsson, 2:17-cv-00557 (JRG), on behalf of T-Mobile
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`USA, Inc., T-Mobile US, Inc., Ericsson Inc., and Telefonaktiebolaget LM
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`Ericsson, October 19, 2018; (8) Pfizer, Inc. vs. Biogen, Inc., Petition for Inter
`
`Partes Review of US. Patent No. 8,821,873, on behalf of Pfizer, November 3,
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`2018; (9) Finjan, Inc. vs. ESET, LLC and ESET SPOL. S.R.O., 3:17-cv-00183—
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`CAB-BGS, on behalf of ESET, January 15, 2019; (10) Finjan, Inc. vs. Cisco
`
`Systems, Inc., 5:17-cv—00072-BLF-SVK, on behalf of Cisco Systems, Inc.,
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`September 6, 2019; and, (11) Facebook, Inc., Instagram, LLC and Whatsapp Inc.
`
`vs. Blackberry Limited, Petition for Inter Partes Review of US. Patent No.
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`9,349,120 B2, on behalf of Facebook, Inc., Instagram, LLC and Whatsapp Inc.
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`December 20, 2019.
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`1 I. My full curriculum vitae is attached hereto as Attachment 1.
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`III.
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`PRELIMINARIES
`
`A.
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`Scepe of Declaration and Legal Standards
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`12.
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`I am not an attorney and will not offer opinions on the law. I am,
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`however, rendering my expert opinion on the authenticity of the documents
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`referenced herein and on when and how each of these documents was disseminated
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`or otherwise made available to the extent that persons interested and ordinarily
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`skilled in the subject matter or art, exercising reasonable diligence, could have
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`located the documents before the dates discussed below with respect to the specific
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`documents.
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`13.
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`I am informed by counsel that a printed publication qualifies as
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`publicly accessible as of the date it was disseminated or otherwise made available
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`such that a person interested in and ordinarily skilled in the relevant subject matter
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`could locate it through the exercise of ordinary diligence.
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`14. While I understand that the determination of public accessibility under
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`the foregoing standard rests on a case-by—case analysis of the facts particular to an
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`individual publication, I also understand that a printed publication is rendered
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`“publicly accessible” if it is cataloged and indexed by a library such that a person
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`interested in the relevant subject matter could locate it (i.e., I understand that
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`cataloging and indexing by a library is sufficient, though there are other ways that
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`a printed publication may qualify as publicly accessible). One manner of sufficient
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`indexing is indexing according to subject matter category. I understand that the
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`cataloging and indexing by a single library of a single instance ofa particular
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`printed publication is sufficient, even if the single library is in a foreign country. I
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`understand that, even if access to a library is restricted, a printed publication that
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`has been cataloged and indexed therein is publicly accessible so long as a
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`presumption is raised that the portion of the public concerned with the relevant
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`subject matter would know of the printed publication. I also understand that the
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`cataloging and indexing of information that would guide a person interested in the
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`relevant subject matter to the printed publication, such as the cataloging and
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`indexing of an abstract for the printed publication, is sufficient to render the
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`printed publication publicly accessible.
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`15.
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`I understand that routine business practices, such as general library
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`cataloging and indexing practices, can be used to establish an approximate date on
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`which a printed publication became publicly accessible.
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`B.
`
`Persons of Ordinary Skill in the Art
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`16.
`
`I am told by counsel that the subject matter of this proceeding
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`generally relates to relates to the control of hybrid vehicles.
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`17.
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`I have been informed by counsel that a “person of ordinary skill in the
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`art at the time of the invention” (POSITA) is a hypothetical person who is
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`presumed to be familiar with the relevant field and its literature at the time of the
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`inventions. This hypothetical person is also a person of ordinary creativity, capable
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`of understanding the scientific principles applicable to the pertinent field.
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`18.
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`I have been informed that a POSA in the art ot‘the ’761 patent would
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`have either: (1) a graduate degree in mechanical, electrical or automotive
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`engineering with at least some experience in the design and control of combustion
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`engines, electric or hybrid electric vehicle propulsion systems, or design and
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`control of automotive transmissions, or (2) a bachelor’s degree in mechanical,
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`electrical or automotive engineering and at least five years of experience in the
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`design of combustion engines, electric vehicle propulsion systems, or automotive
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`transmissions. I have been further informed by counsel that a person of ordinary
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`skill in the art would have been familiar with and able to understand the
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`information known in the art relating to these fields, including the publications
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`discussed in this declaration.
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`C.
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`Use of Authoritative Databases
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`19.
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`In preparing this report, I used authoritative databases, such as the
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`OCLC bibliographic database and the Library of Congress Online Catalog, to
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`confirm citation details of the publication discussed. Unless I note otherwise below
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`in reference to a specific serial publication, it is my expert opinion that this
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`standard protocol was followed for the publications discussed in Section V below.
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`20.
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`Indexing. A researcher may discover material relevant to his or her
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`topic in a variety of ways. One common means of discovery is to search for
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`relevant information in an index of periodical and other publications. Having found
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`relevant material, the researcher will then normally obtain it online, look for it in
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`libraries, or purchase it from the publisher, a bookstore, a document delivery
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`service, or other provider. Sometimes, the date of a document’s public accessibility
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`will involve both indexing and library date information.
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`21.
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`Indexing services use a wide variety of controlled vocabularies to
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`provide subject access and other means of discovering the content of documents.
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`The formats in which these access terms are presented vary from service to service.
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`22. Online indexing services and digital repositories commonly provide
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`bibliographic information, abstracts, and full-text copies of the indexed
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`publications, along with a list of the documents cited in the indexed publication.
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`These services also often provide lists of publications that cite a given document.
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`A citation of a document is evidence that the document was publicly available and
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`in use by researchers no later than the publication date of the citing document.
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`23.
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`Google Scholar. Google Scholar] is a freely accessible web search
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`engine that indexes the full text or metadata of scholarly literature across an array
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`of publishing formats and disciplines. Released in beta in November 2004, the
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`' https://scholar.google.com
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`Google Scholar index includes a significant number of peer-reviewed
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`online academic journals, books, conference papers, selected theses and
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`dissertations, preprints, abstracts, technical reports, and other scholarly
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`literature. While Google does not publish the size of Google Scholar's database,
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`scientometric researchers estimated it to contain roughly 389 million documents
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`including articles, citations and patents making it the world's largest academic
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`search engine in January 2018.
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`24.
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`Because many of Google Scholar's search results link to commercial
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`journal articles, searchers will be able to access only an abstract and the citation
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`details of an article and may have to pay a fee to access the entire article. The most
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`relevant results for the searched keywords will be listed first, in order of the
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`author‘s ranking, the number of references that are linked to it and their relevance
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`to other scholarly literature, and the ranking of the publication that the journal
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`appears in. Through its "cited by” feature, Google Scholar provides access to
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`abstracts of articles that have cited the article being viewed. Through its "Related
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`articles" feature, Google Scholar presents a list of closely related articles, ranked
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`primarily by how similar these articles are to the original result, but also taking into
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`account the relevance of each paper.
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`IV.
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`LIBRARY CATALOGING PRACTICES
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`A. MARC Records and OCLC
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`25.
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`I am fillly familiar with the library cataloging standard known as the
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`MARC standard, which is an industry-wide standard method of storing and
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`organizing library catalog information. MARC was first developed in the 1960’s
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`by the Library of Congress. A MARC-compatible library is one that has a catalog
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`consisting of individual MARC records for works made available at that library.
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`26.
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`Since at least the early 19705 and continuing to the present day,
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`MARC has been the primary communications protocol for the transfer and storage
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`of bibliographic metadata in libraries.2 As explained by the Library of Congress:
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`You could devise your own method of organizing the bibliographic
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`information, but you would be isolating your library, limiting its options,
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`and creating much more work for yourself. Using the MARC standard
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`prevents duplication of work and allows libraries to better share
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`bibliographic resources. Choosing to use MARC enables libraries to acquire
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`cataloging data that is predictable and reliable. If a library were to develop a
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`“home-grown” system that did not use MARC records, it would not be
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`2 A complete history of the development of MARC can be found in MARC: Its
`History and Implications by Henrietta D. Avram (Washington, DC: Library of
`Congress, 1975) and available online from the Hathi Trust
`(htt s://babel.hathitrust.or
`c i/ t?id=md .39015034388556'view=1u 'se =1; last
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`visited May 20, 2020).
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`taking advantage of an industry-Wide standard whose primary purpose is to
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`foster communication of information.
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`Using the MARC standard also enables libraries to make use of
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`commercially available library automation systems to manage library
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`operations. Many systems are available for libraries of all sizes and are
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`designed to work with the MARC format. Systems are maintained and
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`improved by the vendor so that libraries can benefit from the latest advances
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`in computer technology. The MARC standard also allows libraries to replace
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`one system with another with the assurance that their data will still be
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`compatible.
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`Why Is a MARC Record Necessary? LIBRARY OF CONGRESS.3
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`27.
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`Thus, almost every major library in the world is MARC-compatible.
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`See, e.g., MARC Frequently Asked Questions (FAQ), LIBRARY OF Corteasss.“
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`(“MARC is the acronym for MAchine-Readable Cataloging. It defines a data
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`format that emerged from a Library of Congress-led initiative that began nearly
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`[fifty] years ago. It provides the mechanism by which computers exchange, use,
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`and interpret bibliographic information, and its data elements make up the
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`foundation of most library catalogs used today”). MARC is the ANSI/NISO
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`3
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`http://www.loc.gov/marc/umb/umO1t006.html#part2
`4 httgs://www.loc.gov/marc/fag.html
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`2392-1994 standard (reaffirmed in 2016) for Information Interchange Format. The
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`full text of the standard is available from the Library of Congress.5
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`28. A MARC record comprises several fields, each of which contains
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`specific data about the work. Each field is identified by a standardized, unique,
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`three-digit code corresponding to the type of data that follow.6 For example, a
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`work’s title is recorded in field 245, the primary author of the work is recorded in
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`field 100, a work’s International Standard Book Number (“ISBN”) is recorded in
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`field 020, a work’s International Standard Serial Number (“ISSN”) is recorded in
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`field 022, and the publication date is recorded in field 260 under the subfield “c.” 7
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`In some MARC records, field 264 is used rather than field 260 to record
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`publication information.8 Information in field 264 is similar to information in field
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`260 (Publication, Distribution, etc. (Imprint)). Field 264 is useful for cases where
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`the content standard or institutional policies make a distinction between functions.
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`If a work is a periodical, then its publication frequency is recorded in field 310, and
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`the publication dates (e.g., the first and last publication) are recorded in field 362,
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`5 http://www.loc.gov/marc/bibliographic/
`6 http://www.loc.gov/marc/umb/um07to1 0.html;
`http://wwaoc.gov/marc/bibliographic/
`7 http://WWWJOC.gov/marc/bibliographic/
`3 http://wwaoc.gov/marc/bibliographic/bd264.html
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`which is also referred to as the enumeration/chronology field.9' 1”
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`29.
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`The library that initially created the MARC record is reflected in field
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`040 in subfield “a” with that library’s unique library code.ll Once a MARC record
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`for a particular work is originally created by one library, other libraries can use that
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`original MARC record to then create their own MARC records for their own
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`copies of the same work. These other libraries may modify or add to the original
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`MARC record as necessary to reflect data specific to their own copies of the work.
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`However, the library that created the original MARC record would still be
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`reflected in these modified MARC records (corresponding to other copies of the
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`same work at other libraries) in field 040, subfield “a”. The modifying library (or
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`libraries) is reflected in field 040, subfield “d.”'2
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`30.
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`I consulted the Directory of OCLC Libraries'3 in order to identify the
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`9 http://www.10c.gov/marc/bibliographic/bd3xx.html
`‘0 Upwards of two-thirds to three-quarters of book sales to libraries come from a
`jobber or wholesaler for online and print resources. These resellers make it their
`business to provide books to their customers as fast as possible, ofien providing
`turnaround times of only a single day after publication. Libraries purchase a
`significant portion of the balance of their books directly from publishers
`themselves, which provide delivery on a similarly expedited schedule. In general,
`libraries make these purchases throughout the year as the books are published and
`shelve the books as soon thereafter as possible in order to make the books available
`to their patrons. Thus, books are generally available at libraries across the country
`within just a few days of publication.
`'
`' http://www.loc.gov/marc/umb/um07tol 0.html;
`http://wwaoc.gov/marc/bibliographic/
`'2 http://wwaoc.gov/marc/bibliographic/bd040.html
`'3 http://www.oclc.orgjcontacts/libraries.en.html
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`institution that created or modified the MARC record. Moreover, when viewing the
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`MARC record online via Online Computer Library Center’s (“OCLC”)
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`bibliographic database, which I discuss further below, hovering over a library code
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`in field 040 with the mouse reveals the filll name of the library. I also used this
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`method of “mousing over” the library codes in the OCLC database to identify the
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`originating and modifying libraries for the MARC records discussed in this report.
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`31. MARC records also include one or more fields that show information
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`regarding subject matter classification. For example, 6XX fields are termed
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`“Subject Access Fields.”I4 Among these, for example, is the 650 field; this is the
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`“Subject Added Entry — Topical Term” field.15 The 650 field is a “[s]ubject added
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`entry in which the entry element is a topical term.” Id. These entries “are assigned
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`to a bibliographic record to provide access according to generally accepted
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`thesaurus-building rules (e.g., Library of Congress Subject Headings (LCSH),
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`Medical Subject Headings (MeSH)).” Id.
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`32.
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`Further, MARC records can include call numbers, which themselves
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`contain a classification number. For example, a MARC record may identify a 050
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`field, which is the “Library of Congress Call Number.”[6 A defined portion of the
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`Library of Congress Call Number is the classification number, and “source of the
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`'4 http://wwaoc.gov/marc/bibliographic/bd6xx.html
`'5 http://wwaoc.gov/marc/bibliographic/bd650.html
`1" http://WWWJOC.gov/marc/bibliographic/deS0.html
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`classification number is Library of Congress Classification and the LC
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`Classy‘ication-Ada’itions and Changes.” Id. Thus, the 050 field may be used to
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`show information regarding subject matter classification. Further, the 082 field is
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`the “Dewey Decimal Call Number?”7 A defined portion of the Dewey Decimal
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`Call (DDC) Number is the classification number, and “source of the classification
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`number is the Dewey Decimal Classification and Relative Index. Thus, included in
`
`the 082 field is a subject matter classification.
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`33.
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`Each item in a library has a single classification number. A library
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`selects a classification scheme (e.g., the Library of Congress Classification scheme
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`just described or a similar scheme such as the Dewey Decimal Classification
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`scheme) and uses it consistently. When the Library of Congress assigns the
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`classification number, it appears as part of the 050 field, as discussed above. For
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`MARC records created by libraries other than the Library of Congress (e.g., a
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`university library or a local public library), the classification number may appear in
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`a 09X (e.g., 090) field.18
`
`34. When a MARC-compatible library acquires a work, it creates a
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`MARC record for its copy of the work in its computer catalog system in the
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`ordinary course of its business. This MARC record (for the copy of a work
`
`‘7 http://wwwloc.gov/rnarc/bibliographic/deSthml.
`‘8 http_://www.loc.gov/marc/bibliographic/bd09x.html
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`_ 16 _
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`available at the particular library) may be later accessed by researchers in a number
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`of ways. For example, many libraries, including the Library of Congress, make
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`their MARC records available through their website. As an example, the MARC
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`record for the copy of The Unlikely Spy, by Daniel Silva,19 available at the Library
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`of Congress can be viewed through the Library of Congress website, at
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`https ://catalog. loc.gov/vwebv/staffV iew?searchld=20265&recPointer= l &recC ount
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`=25&bibld=2579985 (last visited May 20, 2020). One could, of course, always
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`physically visit the library at which the work is available, and request to see that
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`library’s MARC record for the work. Moreover, members of the Online Computer
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`Library Center (“OCLC”) can access the MARC records of other member
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`institutions through OCLC’s online bibliographic database, as I explain further
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`below.
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`B.
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`OCLC
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`35.
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`The OCLC was created “to establish, maintain, and operate a
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`computerized library network and to promote the evolution of library use, of
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`libraries themselves, and 0f librarianship, and to provide processes and products
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`for the benefit of library users and libraries, including such objectives as increasing
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`availability of library resources to individual library patrons and reducing the rate
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`‘9 The Unlikely Spy is a 1996 novel written by Daniel Silva, who happens to be one
`of my favorite authors.
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`of rise of library per-unit costs, all for the fundamental public purpose of furthering
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`ease of access to and use of the ever-expanding body of worldwide scientific,
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`literary, and educational knowledge and information.”20 Among other services,
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`OCLC and its members are responsible for maintaining the WorldCat database,21
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`used by independent and institutional libraries throughout the world. All libraries
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`that are members of OCLC are MARC-compatible.22 OCLC-MARC records
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`describes records produced since November 1993.23 Like the two superseded
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`OCLC documents, this revised set of guidelines is intended to assist catalogers in
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`creating records for electronic resources in WorldCat, the OCLC Online Union
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`Catalog. These guidelines pertain to OCLC—MARC tagging (that is, content
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`designation). Cataloging rules and manuals (such as AACRZ) govern the content
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`of records. You should implement these guidelines immediately.
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`36. When an OCLC member institution acquires a publication, like the
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`other MARC-compatible libraries discussed above, it creates a MARC record for
`
`20 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;
`last visited May 20, 2020).
`2‘ http://www.worldcat.org[
`22 https://help.oclc.0rg/Metadata Services/OCLC—MARC records/About OCLC—
`MARC records
`23
`
`https ://www.oclc.org/support!services/worldcat/documentation/catalo ging/electron
`icresources.en.html
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`this publication in its computer catalog system in the ordinary course of its
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`business. MARC records created at the Library of Congress are tape-loaded into
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`the OCLC database through a subscription to MARC Distribution Services daily or
`
`weekly. Once the MARC record is created by a cataloger at an OCLC member
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`library or is tape—loaded from the Library of Congress, the MARC record is then
`
`made available to any other OCLC members online, and thereby made available to
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`the public. Accordingly, once the MARC record is created by a cataloger at an
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`OCLC member library or is tape-loaded from the Library of Congress, any
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`publication corresponding to the MARC record has been cataloged and indexed
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`according to its subject matter such that a person interested in that subject matter
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`could, with reasonable diligence, locate and access the publication through any
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`library with access to the OCLC bibliographic database or through the Library of
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`Congress.
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`37. When a MARC-compatible library creates an original MARC record
`
`for a work, the library records the date of creation of that MARC record in field
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`008, characters 00 through 05, in the ordinary course of its business.24 For OCLC
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`member institutions that use OCLC software to create original MARC records, the
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`date of creation in field 008 is automatically supplied by the OCLC software. The
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`MARC record creation date in field 008 thus reflects the date on which, or shortly
`
`24
`
`http ://www. loc.gov/marc/bibliographicfdeOSahtml
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`into the 008 field of its own MARC record the date its own MARC record was
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`created.27 But the library that created the original MARC record used by the
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`subsequently-acquiring library would still be reflected in the MARC record of the
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`subsequently-acquiring library in field 040, subfield “a”. Thus, the work identified
`
`by any MARC record possessed by any MARC-compatible library would have
`
`been accessible to the public at least as of the date shown in the 008 field, or
`
`shortly thereafter, either from the library that possesses the MARC record itself, or
`
`from the originating library indicated in field 040, subfield “a”. As discussed, a
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`MARC-compatible library in the ordinary course of its business creates a MARC
`
`record in its own catalog system for a work when it acquires a copy of that work.
`
`39. Moreover, when a MARC record is created by a library for its own
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`copy of a work, field 005 is automatically pOpulated with the date that MARC
`
`record was created in year, month, day format (YYYYMMDD).28 Thereafter, the
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`library’s computer system may automatically update the date in field 005 every
`
`time the library updates the MARC record (e.g., to reflect that an item has been
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`27 This practice is not required by, but is nevertheless consistent with, the MARC
`standard. Many MARC records exist today whose 008 fields indicate when the first
`original MARC record for a work was created, rather than when a derivative
`record was created based on the original MARC record by a subsequently-
`acquiring library for its own computer catalog system.
`28 http://wwaoc.gov/marc/bibliographic/deOS.html
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`moved to a different shelving location within the library). [61.29 Thus, the work
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`identified by any MARC record possessed by any MARC-compatible library
`
`would have been accessible to the public at least as of the date shown in the 005
`
`field, or shortly thereafter, from the library that possesses the MARC record itself.
`
`As noted, because the 005 field may be updated each time the library updates its
`
`MARC record, the work identified by the MARC record may, in fact, have been
`
`accessible to the public from that library much earlier than the date indicated in the
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`005 field.
`
`40.
`
`Based on my personal experience as a professional librarian using the
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`MARC and OCLC resources, it has been my experience that both of these
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`resources were continuously operational and available since at least 1992. Indeed,
`
`in the course of my work, I have extensively used both of these resources over the
`
`past 30+ years, and I have consistently found the information contained within
`
`these resources to be complete and reliable. I have never found the date of
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`accessibility as indicated in fields 008, 005, or 955 to be incorrect. And in on