Filed on behalf of: Bank of America, N.A.
`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`Bank of America, N.A.
`Petitioner,
`
`v.
`
`Nant Holdings IP, LLC,
`Patent Owner.
`
`Case No. IPR2021-001080
`U.S. Patent No. 8,463,030
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
`
`BANK OF AMERICA
`
`IPR2021-01080
`
`Ex. 1019, p. 1 of 105
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`

`

`I, Sylvia D. Hall-Ellis, Ph.D., declare as follows:
`
`
`I.
`
`INTRODUCTION
`1. My name is Sylvia D. Hall-Ellis. I have been retained as an
`
`expert by Bank of America, N.A., who I am informed is the Petitioner in
`
`this inter partes review proceeding (“the Petitioner”). I am also informed
`
`that Bank of America, N.A. and Bank of America Corporation are the real
`
`parties-in-interest in this inter partes review proceeding.
`
`2.
`
`I have written this Report at the request of the Petitioner to
`
`provide my expert opinion regarding the public availability of a certain
`
`publication, identified below. My Report sets forth my opinions in detail
`
`and provides the basis for my opinions regarding the public availability of
`
`this publication.
`
`3.
`
`I reserve the right to supplement or amend my opinions, and
`
`bases for my opinions, in response to any additional evidence, testimony,
`
`discovery, argument, and/or other additional information that may be
`
`provided to me after the date of this Report.
`
`4.
`
`I am being compensated for my time spent working on this
`
`matter at my negotiated consulting rate of $200 per hour, plus
`
`reimbursement for any additional reasonable expenses. My compensation
`
`is not in any way tied to the content of this report, the substance of my
`
`
`
`2
`
`BANK OF AMERICA
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`Ex. 1019, p. 2 of 105
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`

`

`opinions, or the outcome of this proceeding. I have no other interests in
`
`this proceeding or with any of the parties.
`
`5.
`
`All the materials that I considered and relied upon are
`
`discussed explicitly in this Report.
`
`Il. QUALIFICATIONS
`6.
`I am currently an Adjunct Professor in the School of
`
`Information at San Jose State University in San Jose, California. I obtained
`
`a Master of Library Science from the University of North Texas in 1972 and
`
`a Ph.D. in Library Science from the University of Pittsburgh in 1985. Over
`
`the last fifty years, I have held various positions in the field of library and
`
`information resources. I was first employed as a librarian in 1966 and have
`
`been involved in and held numerous positions in the field of library
`
`sciences since then.
`
`7.
`
`I am a member of the American Library Association (ALA)
`
`and its Association for Library Collections & Technical Services (ALCTS)
`
`Division, and I served on the Committee on Cataloging: Resource and
`
`Description (which wrote the new cataloging rules) and as the chair of the
`
`Committee for Education and Training of Catalogers and the Competencies
`
`and Education for a Career in Cataloging Interest Group. I also served as
`
`the Chair of the ALCTS Division’s Task Force on Competencies and
`
`
`
`3
`
`BANK OF AMERICA
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`IPR2021-01080
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`Ex. 1019, p. 3 of 105
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`Education for a Career in Cataloging. Additionally, I have served as the
`
`Chair for the ALA Office of Diversity’s Committee on Diversity, as a
`
`member of the REFORMA National Board of Directors, and as a member
`
`of the Editorial Board for the ALCTS premier cataloging journal, Library
`
`Resources and Technical Services. Currently I serve as a Co-Chair for the
`
`Library Research Round Table of the American Library Association.
`
`8.
`
`I have also given over one hundred presentations in the field,
`
`including several on library cataloging systems and Machine-Readable
`
`Cataloging (“MARC”) standards. My current research interests include
`
`library cataloging systems, metadata, and organization of electronic
`
`resources.
`
`9. My full curriculum vitae is attached hereto as Attachment 2.
`
`III. PRELIMINARIES
`A.
`Scope of Report and Legal Standards
`10.
`I am not an attorney and will not offer opinions on the law. I
`
`am, however, rendering my expert opinion on the authenticity of the
`
`document referenced herein and on when and how the document was
`
`disseminated or otherwise made available to the extent that persons
`
`interested and ordinarily skilled in the subject matter or art, exercising
`
`4
`
`
`
`
`
`BANK OF AMERICA
`
`IPR2021-01080
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`Ex. 1019, p. 4 of 105
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`

`

`reasonable diligence, could have located the document before November
`
`6, 2000.
`
`11.
`
`I am informed by counsel that an item is considered authentic
`
`if there is sufficient evidence to support a finding that the item is what it is
`
`claimed to be. I am also informed that authenticity can be established based
`
`on the contents of the documents themselves, such as the appearance,
`
`contents, substance, internal patterns, or other distinctive characteristics of
`
`the item, taken together with all the circumstances. I am further informed
`
`that an item is considered authentic if it is at least 20 years old, in a
`
`condition that creates no suspicion of its authenticity, and in a place where,
`
`if authentic, it would likely be.
`
`12.
`
`I am informed by counsel that a printed publication qualifies
`
`as publicly accessible as of the date it was disseminated or otherwise made
`
`available such that a person interested in and ordinarily skilled in the
`
`relevant subject matter could locate it through the exercise of reasonable
`
`diligence.
`
`13. While I understand
`
`that
`
`the determination of public
`
`accessibility under the foregoing standard rests on a case-by-case analysis
`
`of the facts particular to an individual publication, I also understand that a
`
`
`
`5
`
`BANK OF AMERICA
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`

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`printed publication is rendered “publicly accessible” if it is cataloged and
`
`indexed by a library such that a person interested in the relevant subject
`
`matter could locate it (i.e., I understand that cataloging and indexing by a
`
`library is sufficient, though there are other ways that a printed publication
`
`may qualify as publicly accessible). One manner of sufficient indexing is
`
`indexing according to subject matter category. I understand that the
`
`cataloging and indexing by a single library of a single instance of a
`
`particular printed publication is sufficient. I understand that, even if access
`
`to a library is restricted, a printed publication that has been cataloged and
`
`indexed therein is publicly accessible so long as a presumption is raised
`
`that the portion of the public concerned with the relevant subject matter
`
`would know of the printed publication. I also understand that the cataloging
`
`and indexing of information that would guide a person interested in the
`
`relevant subject matter to the printed publication, such as the cataloging and
`
`indexing of an abstract for the printed publication, is sufficient to render the
`
`printed publication publicly accessible. I also understand that a printed
`
`publication may be “publicly accessible” if presented at a public
`
`conference, seminar, or trade show.
`
`14.
`
`I understand that routine business practices, such as general
`
`
`
`6
`
`BANK OF AMERICA
`
`IPR2021-01080
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`Ex. 1019, p. 6 of 105
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`

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`library cataloging and indexing practices, can be used to establish an
`
`approximate date on which a printed publication became publicly
`
`accessible.
`
`B. Ordinarily Skilled Researcher
`15.
`I am told by counsel that the subject matter of this proceeding
`
`generally relates to image processing, pattern recognition, and image or
`
`object detection.
`
`16.
`
`I have been informed by counsel that a “person of ordinary
`
`skill in the art at the time of the invention” is a hypothetical person who
`
`is presumed to be familiar with the relevant field and its literature at the
`
`time of the invention. This hypothetical person is also a person of ordinary
`
`creativity, capable of understanding the scientific principles applicable to
`
`the pertinent field.
`
`17.
`
`I understand that the opinion of Dr. Jeffrey Rodriguez, a
`
`technical expert on behalf of the Petitioner, is that the definition of a person
`
`of ordinary skill in this subject matter or art would have been someone with
`
`knowledge roughly equivalent to the knowledge and/or training of a person
`
`holding the degree of Bachelor of Science in Electrical Engineering,
`
`Computer Science, Computer Engineering, or equivalent, and one to two
`
`
`
`7
`
`BANK OF AMERICA
`
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`

`

`years of experience working with image processing, image recognition, or
`
`a related field. I further understand that it is Dr. Rodriguez’s opinion that
`
`individuals with additional education or additional practical experience
`
`could still be of ordinary skill in the art if that additional aspect
`
`compensates for a deficit in the other aspect of the requirements stated
`
`above. I have been further informed by counsel that a person of ordinary
`
`skill in the art would have been familiar with and able to understand the
`
`information known in the art relating to these fields, including the
`
`publication discussed in this Report.
`
`18.
`
`I understand from Dr. Rodriguez that as of November 6, 2000
`
`persons of ordinary skill in this subject matter exercising reasonable
`
`diligence would have been able to locate documents related to computer
`
`science, computer engineering, electrical and computer engineering,
`
`electrical engineering, or electronics, and in particular image processing,
`
`pattern recognition, and image or object detection, that are indexed and
`
`cataloged at libraries by this or related subject matter in accordance with
`
`general library practices.
`
`19. As described below, because the publication referenced herein
`
`was indexed and cataloged in accordance with general library practices, it
`
`is my opinion that an ordinarily skilled researcher (i.e., a person of ordinary
`
`
`
`8
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`BANK OF AMERICA
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`

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`skill in the art as described above) would have been able, through
`
`reasonable diligence, to search public library catalogues and indexes by
`
`subject matter concerning computer science, computer engineering,
`
`electrical and computer engineering, electrical engineering, or electronics,
`
`image processing, pattern recognition, and image or object detection, and
`
`locate this publication at the dates given below.
`
`C. Use of Authoritative Databases
`20.
`In preparing this report, I used authoritative databases, such as
`
`the U.S. Copyright Office Online Catalog, OCLC bibliographic database,
`
`and the Library of Congress Online Catalog, to confirm citation details of
`
`the publication discussed.
`
`21. U.S. Copyright Office. Created by Congress in 1897, the
`
`Copyright Office is responsible for administering a complex and dynamic
`
`set of laws, which include registration, the recordation of title and licenses,
`
`a number of statutory licensing provisions, and other aspects of the 1976
`
`Copyright Act and the 1998 Digital Millennium Copyright Act. The public
`
`catalog in the Copyright Office includes information filed since 1978.
`
`Individuals can search by title, personal or corporate name, keyword,
`
`registration number, and document number. Works filed before 1978 can
`
`
`
`9
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`

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`be located through the Copyright Public Records Reading Room.1 A
`
`researcher can find the date on which an item was published and deposited
`
`for copyright.
`
`22.
`
`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.
`
`23.
`
`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.
`
`24. Before the widespread development of online databases to
`
`index articles in journals, magazines, conference papers, and technical
`
`reports, libraries purchased printed volumes of indices. Graduate library
`
`
`1 The Copyright Card Catalog and the Online Files of the Copyright Office, U.S. Copyright
`Office, Cir. 23 (rev. Dec. 2015), https://www.copyright.gov/circs/circ23.pdf.
`
`
`
`10
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`BANK OF AMERICA
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`school education mandated that students learn about the bibliographic
`
`control of disciplines, the prominent indexing volumes, and searching
`
`strategies required to use them effectively and efficiently. Half of the
`
`courses that I studied in library school were focused on the bibliography
`
`and resources in academic disciplines.
`
`25. Librarians consulted with information seekers to verify
`
`citations, check availability in union catalogs, printed books catalogs, and
`
`the OCLC database, and make formal requests for materials (e.g., books,
`
`conference proceedings, journal articles). Requests were transmitted using
`
`Telex machines, rudimentary email systems, and the United States Postal
`
`Service. During my career, I have performed and supervised staff who
`
`handled these resource sharing tasks. Online indexing services commonly
`
`provide bibliographic information, abstracts, and full-text copies of the
`
`indexed publications, along with a list of the documents cited in the indexed
`
`publication. These services also often provide lists of publications that cite
`
`a given document. A citation of a document is evidence that the document
`
`was publicly available and in use no later than the publication date of the
`
`citing document.
`
`26. Online indexing services and digital repositories commonly
`
`provide bibliographic information, abstracts, and full-text copies of the
`
`
`
`11
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`BANK OF AMERICA
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`Ex. 1019, p. 11 of 105
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`

`indexed publications, along with a list of the documents cited in the indexed
`
`publication. These services often provide lists of publications that cite a
`
`given document. A citation of a document is evidence that the document
`
`was publicly available and in use by researchers no later than the
`
`publication date of the citing document.
`
`27.
`
`IEEE Xplore Digital Library. An example of a prominent
`
`indexing service is IEEE Xplore. The Institute of Electrical and Electronics
`
`Engineers (IEEE) first began to offer its collection of publications on CD-
`
`ROM to libraries in the United States in 1988. IEEE introduced a windows-
`
`based version of its CD-ROM collection as the IEEE/IEE Electronic
`
`Library (IEL) in 1996. IEEE made its IEL available online in 1998. IEEE
`
`Xplore became generally available in 2000 to members, libraries, and non-
`
`members as an improved version of the IEL.2
`
`28.
`
`IEEE Xplore is a scholarly research database that includes
`
`indexes, abstracts, and full-text for articles and papers on computer science,
`
`electrical engineering, and electronics. The database mainly covers
`
`material from the IEEE and the Institution of Engineering and Technology.
`
`The IEEE Xplore digital library provides Web access to more than 5-
`
`
`2 See, e.g., IEEE Timeline from 1984 to 2012, Eng’g and Tech. History Wiki,
`https://ethw.org/IEEE_Timeline_from_1984_to_2012 (last visited June 8, 2021).
`
`
`
`12
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`million records. The content comprises over 200 journals, over 3 million
`
`conference papers, more than 10,000 technical standards, over 5,000 Books
`
`and over 425 educational courses. Approximately 20,000 new documents
`
`are added to IEEE Xplore each month.3 Abstracts are free to access, but
`
`access to full text requires a subscription or institutional login. I understand
`
`that members of the scientific and technical communities, including
`
`persons of ordinary skill in the art, who both publish and engage in
`
`research, rely on the information compiled and published by the IEEE,
`
`including the date on the copyright line of IEEE publications.
`
`29.
`
`I understand from Dr. Rodriguez that persons of ordinary skill
`
`in this subject matter or art as of November 6, 2000 exercising reasonable
`
`diligence would have known how to locate documents related image
`
`processing, pattern recognition, and image or object detection, or related
`
`subject matter, using IEEE resources. I further understand from Dr.
`
`Rodriguez that persons of ordinary skill in this subject matter or art as of
`
`November 6, 2000, who publish and engage in research, would rely on the
`
`information compiled and published by the IEEE, including the date on the
`
`copyright line of IEEE publications.
`
`
`https://ieeexplore.ieee.org/Xplorehelp/overview-of-ieee-xplore/about-ieee-xplore
`3
`visited June 13, 2021)
`
`(last
`
`
`
`13
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`

`30.
`
`I also understand that the PTAB has taken the position that a
`
`date in a publication by the Institute of Electrical and Electronics Engineers
`
`(IEEE) is “evidence of its date of publication and public accessibility.” See
`
`Ericsson, Inc. v. Intellectual Ventures I LLC, IPR2014-00527, Paper No.
`
`41, Final Written Decision, at 10-11 (PTAB May 18, 2015). In so doing,
`
`the PTAB explained that “IEEE is a well-known, reputable compiler and
`
`publisher of scientific and technical publications, and we take Official
`
`Notice that members in the scientific and technical communities who both
`
`publish and engage in research rely on the information published on the
`
`copyright line of IEEE publications.” Id. at 11. Further, I understand the
`
`PTAB acknowledged that “[a]llowing IPR petitioners to rely on the IEEE
`
`publication date in an IPR proceeding, which is an administrative
`
`proceeding designed and intended to afford expedited and efficient relief,
`
`serves the interests of justice.” Id. at 12.
`
`D.
`31.
`
`Summary of Opinions
`I am informed by counsel that the priority date for the patents
`
`at issue is November 6, 2000. As I will explain below, it is my opinion that
`
`the publication discussed in my Report was publicly accessible to an
`
`ordinarily skilled researcher (i.e., a person of ordinary skill in the art as
`
`
`
`14
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`described above) exercising reasonable diligence on or shortly after May
`
`6, 1997, more than three years before the priority date.
`
`IV. LIBRARY CATALOGING PRACTICES
`A. MARC Records
`32.
`I am fully familiar with the library cataloging standard known
`
`as the MARC standard, which is an industry-wide standard method of
`
`storing and organizing library catalog information. MARC was first
`
`developed in the 1960s by the Library of Congress. A MARC-compatible
`
`library is one that has a catalog consisting of individual MARC records
`
`for works made available at that library.
`
`33. Since at least the early 1970s and continuing to the present day,
`
`MARC has been the primary communications protocol for the transfer and
`
`storage of bibliographic metadata in libraries.4 As explained by the
`
`Library of Congress:
`
`You could devise your own method of organizing the
`bibliographic information, but you would be isolating
`your library, limiting its options, and creating much
`more work for yourself. Using the MARC standard
`prevents duplication of work and allows libraries to
`better share bibliographic resources. Choosing to use
`
`
`4 A complete history of the development of MARC can be found in Henrietta D. Avram,
`MARC: Its History and Implications, Library of Cong. (1975), available online from
`the Hathi Trust https://babel.hathitrust.org/cgi/pt?id=mdp.39015034388556;view=l
`up;seg=l (last visited June 8, 2021).
`
`
`
`15
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`MARC enables libraries to acquire cataloging data that
`is predictable and reliable. If a library were to develop
`a “home-grown” system that did not use MARC
`records, it would not be taking advantage of an
`industry-wide standard whose primary purpose is to
`foster communication of information.
`Using the MARC standard also enables libraries to
`make use of commercially available
`library
`automation systems to manage library operations.
`Many systems are available for libraries of all sizes
`and are designed to work with the MARC format.
`Systems are maintained and improved by the vendor
`so that libraries can benefit from the latest advances in
`computer technology. The MARC standard also allows
`libraries to replace one system with another with the
`assurance that their data will still be compatible.5
`
`34. Thus, almost every major library in the world is MARC-
`
`compatible.6 MARC is the ANSI/NISO Z39.2-1994 standard (reaffirmed
`
`in 2016) for Information Interchange Format. The full text of the standard
`
`is
`
`available
`
`from
`
`the
`
`Library
`
`of
`
`Congress
`
`at
`
`http://www.loc.gov/marc/bibliographic/ (last visited June 8, 2021).
`
`
`
`
`5 “Why Is a MARC Record Necessary?” Understanding MARC Bibliographic, Network Dev.
`&
`MARC
`Standards
`Office,
`Library
`of
`Cong.
`(2009),
`http://www.loc.gov/marc/umb/um01to06.html#part 2 (last visited June 8, 2021).
`6 See, e.g., MARC Frequently Asked Questions (FAQ), MARC Standards, Network Dev. &
`MARC Standards Office, Library of Cong., https://www.loc.gov/marc/faq.html (last visited
`June 8, 2021) (“MARC is the acronym for Machine-Readable Cataloging. It defines a data
`format that emerged from a Library of Congress-led initiative that began nearly fifty years ago.
`It provides the mechanism by which computers exchange, use, and interpret bibliographic
`information, and its data elements make up the foundation of most library catalogs used
`today.”).
`
`
`
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`35. A MARC record comprises several fields, each of which
`
`contains specific data about the work. Each field is identified by a
`
`standardized, unique, three-digit code corresponding to the type of data
`
`that follow.7 For example, a work’s title is recorded in field 245, the
`
`primary author of the work is recorded in field 100, a work’s International
`
`Standard Book Number (“ISBN”) is recorded in field 020, a work’s
`
`International Standard Serial Number (“ISSN”) is recorded in field 022,
`
`and the publication date is recorded in field 260 under the subfield “c.”8
`
`If a work is a periodical, then its publication frequency is recorded in field
`
`310, and the publication dates (e.g., the first and last publication) are
`
`recorded
`
`in
`
`field 362, which
`
`is
`
`also
`
`referred
`
`to
`
`as
`
`the
`
`enumeration/chronology field.9
`
`
`7 See “MARC 21 Reference Materials,” Understanding MARC Bibliographic, Network Dev.
`&
`MARC
`Standards
`Office,
`Library
`of
`Cong.
`(2009),
`http://www.loc.gov/marc/umb/um07to10.html
`(last
`visited June 8, 2021); MARC 21
`Format for Bibliographic Data, Network Dev. & MARC Standards Office, Library of Cong.
`(32d ed. 2021), http://www.loc.gov/marc/bibliographic/ (last visited June 8, 2021).
`8 MARC 21 Format for Bibliographic Data, supra note 6. In some MARC records, field 264
`is used rather than field 260 to record publication information. See “Production, Publication,
`Distribution, Manufacture, and Copyright Notice,” MARC 21 Format for Bibliographic
`Data, Network Dev. & MARC Standards Office, Library of Cong. (32d ed. 2021),
`http://www.loc.gov/marc/bibliographic/bd264.html (last visited June 8, 2021) (“Information
`in field 264 is similar to information in field 260 (Publication, Distribution, etc. (Imprint)).
`Field 264 is useful for cases where the content standard or institutional policies make a
`distinction between functions.”).
`9 See “3 XX - Physical Description, Etc. Fields - General Information,” MARC 21 Format for
`Bibliographic Data, Network Dev. & MARC Standards Office, Library of Cong. (32d ed.
`
`
`
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`36. The library that initially created the MARC record is reflected
`
`in field 040 in subfield “a” with that library’s unique library code.10 Once
`
`a MARC record for a particular work is originally created by one library,
`
`other libraries can use that original MARC record to then create their own
`
`MARC records for their own copies of the same work. These other libraries
`
`may modify or add to the original MARC record as necessary to reflect
`
`data specific to their own copies of the work. However, the library that
`
`created the original MARC record would still be reflected in these modified
`
`MARC records (corresponding to other copies of the same work at other
`
`libraries) in field 040, subfield “a.” The modifying library (or libraries) is
`
`reflected in field 040, subfield “d.”11
`
`
`2021), http://www.loc.gov/marc/bibliographic/bd3xx.html (last visited June 8, 2021).
`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, often 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.
`10 See e.g., “MARC 21 Reference Materials,” supra note 7; MARC 21 Format for
`Bibliographic Data, supra note 8.
`11 See “040 - Cataloging Source (NR),” MARC 21 Format for Bibliographic Data, Network
`Dev. & MARC Standards Office, Library
`of Cong.
`(32d
`ed.
`2021),
`http://www.loc.gov/marc/bibliographic/bd040.html (last visited June 8, 2021).
`
`
`
`18
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`37.
`
`I consulted the Directory of OCLC Libraries12 in order to
`
`identify the institution that created or modified the MARC record.
`
`Moreover, when viewing the MARC record online via Online Computer
`
`Library Center’s (“OCLC”) bibliographic database, which I discuss further
`
`below, hovering over a library code in field 040 with the mouse reveals the
`
`full name of the library. I also used this method of “mousing over” the
`
`library codes in the OCLC database to identify the originating and
`
`modifying libraries for the MARC records discussed in this report.
`
`38. MARC records also include one or more fields that show
`
`information regarding subject matter classification. For example, 6XX
`
`fields are termed “Subject Access Fields.”13 Among these, for example, is
`
`the 650 field; this is the “Subject Added Entry Topical Term” field.14 The
`
`650 field is a “[s]ubject added entry in which the entry element is a topical
`
`term.”15 These entries “are assigned to a bibliographic record to provide
`
`
`12 See “Directory of OCLC members,” OCLC, http://www.oclc.org/contacts/libraries.en.html
`(last visited June 8, 2021).
`13 See “6XX - Subject Access Fields-General Information,” MARC 21 Format for
`Bibliographic Data, Network Dev. & MARC Standards Office, Library of Cong. (32d ed.
`2021), http://www.loc.gov/marc/bibliographic/bd6xx.html (last visited June 8, 2021).
`14 See “650 - Subject Added Entry-Topical Term (R),” MARC 21 Format for Bibliographic
`Data, Network Dev. & MARC Standards Office, Library of Cong. (32d ed. 2021),
`http://www.loc.gov/marc/bibliographic/bd650.html (last visited June 8, 2021).
`15 Id.
`
`
`
`19
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`access according to generally accepted thesaurus-building rules (e.g.,
`
`Library of Congress Subject Headings (LCSH), Medical Subject Headings
`
`(MeSH)).”16
`
`39. Further, MARC records can include call numbers, which
`
`themselves contain a classification number. For example, a MARC record
`
`may identify a 050 field, which is the “Library of Congress Call
`
`Number.”17 A defined portion of the Library of Congress Call Number is
`
`the classification number, and “source of the classification number is
`
`Library of Congress Classification and the LC Classification-Additions
`
`and Changes.”18 Thus, the 050 field may be used to show information
`
`regarding subject matter classification.
`
`40. Each item in a library has a single classification number. A
`
`library selects a classification scheme (e.g., the Library of Congress
`
`Classification scheme just described or a similar scheme such as the Dewey
`
`Decimal Classification scheme) and uses it consistently. When the Library
`
`of Congress assigns the classification number, it appears as part of the 050
`
`
`
`16 Id.
`17 See “050 - Library of Congress Call Number,” MARC 21 Format for Bibliographic Data,
`Network Dev. & MARC Standards Office, Library of Cong. (32d ed. 2021),
`http://www.loc.gov/marc/bibliographic/bd050.html (last visited June 8, 2021).
`18 Id.
`
`
`
`20
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`field, as discussed above. For MARC records created by libraries other than
`
`the Library of Congress (e.g., a university library or a local public library),
`
`the classification number may appear in a 09X (e.g., 090) field.19
`
`41. When a MARC-compatible library acquires a work, it creates
`
`a MARC record for its copy of the work in its computer catalog system in
`
`the ordinary course of its business. This MARC record (for the copy of a
`
`work available at the particular library) may be later accessed by
`
`researchers in a number of ways. For example, many libraries, including
`
`the Library of Congress, make their MARC records available through their
`
`website. As an example, the MARC record for the copy of The Unlikely
`
`Spy, by Daniel Silva,20 available at the Library of Congress can be viewed
`
`through
`
`the
`
`Library
`
`of
`
`Congress
`
`website,
`
`at
`
`https://catalog.loc.gov/vwebv/staffView?searchId=
`
`23132&recPointer=10&recCount=25&bibId=2579985 (last visited June
`
`8, 2021). One could, of course, always physically visit the library at
`
`which the work is available, and request to see that library’s MARC
`
`
`19 See “09X - Local Call Numbers,” MARC 21 Format for Bibliographic Data, Network Dev.
`& MARC
`Standards Office,
`Library
`of
`Cong.
`(32d
`ed.
`2021),
`http://www.loc.gov/marc/bibliographic/bd09x.html (last visited June 8, 2021).
`20 The Unlikely Spy is a 1996 novel written by Daniel Silva, who happens to be one of my
`favorite authors.
`
`
`
`21
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`record for the work. Moreover, members of the Online Computer Library
`
`Center (“OCLC”) can access the MARC records of other member
`
`institutions through OCLC’s online bibliographic database, as I explain
`
`further below.
`
`B. OCLC
`42. The OCLC was created “to establish, maintain and operate
`
`a computerized library network and to promote the evolution of library use,
`
`of libraries themselves, and of librarianship, and to provide processes
`
`and products for the benefit of library users and libraries, including such
`
`objectives as increasing availability of library resources to individual
`
`library patrons and reducing the rate of rise of library per-unit costs, all
`
`for the fundamental public purpose of furthering ease of access to and
`
`use of the ever-expanding body of worldwide scientific, literary and
`
`educational knowledge and information.21 Among other services, OCLC
`
`and its members are responsible for maintaining the WorldCat database,22
`
`used by independent and institutional libraries throughout the world. All
`
`
`21 Third Article, Amended Articles of Incorporation of OCLC, Inc. (rev. June 23, 2017),
`https://www.oclc.org/content/dam/oclc/membership/articles-of-incorporation.pdf (last visited
`June 8, 2021).
`22 WorldCat, http://www.worldcat.org/ (last visited June 8, 2021).
`
`
`
`22
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`libraries that are members of the OCLC are MARC-compatible.23
`
`43. When an OCLC member institution acquires a publication,
`
`like the other MARC-compatible libraries discussed above, it creates a
`
`MARC record for this publication in its computer catalog system in the
`
`ordinary course of its business. MARC records created at the Library of
`
`Congress are tape-loaded into the OCLC databas