UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`FACEBOOK, INC.,
`Petitioner
`
`v.
`
`EXPRESS MOBILE INC.
`Patent Owner
`
`Case IPR2021-01457
`U.S. Patent No. 9,928,044
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
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`Facebook's Exhibit No. 1015
`Page 001
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`Booking, Exh. 1015, Page 1
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`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`FACEBOOK, INC.,
`Petitioner
`
`v.
`
`EXPRESS MOBILE INC.
`Patent Owner
`
`Case IPR2021-01457
`U.S. Patent No. 9,928,044
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
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`Facebook's Exhibit No. 1015
`Page 001
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`Booking, Exh. 1015, Page 1
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`I, Sylvia D. Hall-Ellis, Ph.D., declare as follows:
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`I.
`
`INTRODUCTION
`1. My name is Sylvia D. Hall-Ellis. I have been retained as an expert by
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`Facebook, Inc., who I am informed is Petitioner in this proceeding (“Petitioner”).
`
`2.
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`I have written this Declaration at the request of Petitioner to provide my
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`expert opinion regarding the public availability of several publications, identified
`
`below. My Declaration sets forth my opinions in detail and provides the basis for
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`my opinions regarding the public availability of these publications.
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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, and/or
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`other additional information that may be provided to me after the date of this
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`Declaration.
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`4.
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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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`Declaration, the substance of my opinions, or the outcome of this proceeding. I have
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`no other interests in this proceeding or with any of the parties.
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`5.
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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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`1
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`II. QUALIFICATIONS
`6.
`I am currently an Adjunct Professor in the School of Information at San
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`José State University in San José, 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
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`University of Pittsburgh in 1985. Over the last fifty years, I have held various
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`positions in the field of library and information resources. I was first employed as a
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`librarian in 1966 and have been involved in the field of library sciences since,
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`holding numerous positions.
`
`7.
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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 the
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`new cataloging rules) and as the chair of the Committee for Education and Training
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`of Catalogers and the Competencies and Education for a Career in Cataloging
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`Interest Group. I also served as the Chair of the ALCTS Division’s Task Force on
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`Competencies and Education for a Career in Cataloging. Additionally, I have served
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`as the Chair for the ALA Office of Diversity’s Committee on Diversity, as a member
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`of the REFORMA National Board of Directors, and as a member of the Editorial
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`Board for the ALCTS premier cataloging journal, Library Resources and Technical
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`Services. Currently I serve as a Co-Chair for the Library Research Round Table of
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`the American Library Association.
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`2
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`8.
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`I have also given over one hundred presentations in the field, including
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`several on library cataloging systems and Machine-Readable Cataloging (“MARC”)
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`standards. My current research interests include library cataloging systems,
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`metadata, and organization of electronic resources.
`
`9. My full curriculum vitae is attached hereto as Exhibit A.
`
`III. PRELIMINARIES
`A.
`Scope of Declaration 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 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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`11.
`
` 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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`12.
`
` 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 a
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`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 of a particular printed
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`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 has
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`been cataloged and indexed therein is publicly accessible so long as a presumption
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`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
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`matter to the printed publication, such as the cataloging and indexing of an abstract
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`for the printed publication, is sufficient to render the printed publication publicly
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`accessible.
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`13.
`
` 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
`
`which a printed publication became publicly accessible.
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`4
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`B.
`14.
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`Persons of Ordinary Skill in the Art
` I am told by counsel that the subject matter of this proceeding generally
`
`relates to providing software for mobile devices.
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`15.
`
` I have been informed by counsel that a “person of ordinary skill in the
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`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
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`hypothetical person is also a person of ordinary creativity, capable of understanding
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`the scientific principles applicable to the pertinent field.
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`16.
`
` I am told by counsel that a person of ordinary skill in this subject matter
`
`or art would typically be someone who possessed at least a bachelor’s degree in
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`software engineering, computer science, computer engineering, or electrical
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`engineering with at least two years of experience in web-based software application
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`development, including experience in developing software and systems for
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`interfacing with external data sources (e.g., web services) to transmit, request, and
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`retrieve information (such as text and images) over a computer network (or
`
`equivalent degree or experience). I am further informed that a person could also
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`have qualified as a person of ordinary skill in the art with some combination of (1)
`
`more formal education (such as a master’s of science degree) and less technical
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`experience or (2) less formal education and more technical or professional
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`experience in the fields listed above. Acquired as part of the person’s basic computer
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`education and/or experience, a person of ordinary skill in the art would have had a
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`working knowledge about various ways to implement websites capable of accepting
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`inputs from web browsers and providing webpages to browsers upon request. I have
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`been further informed by counsel that a person of ordinary skill in the art would have
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`been familiar with and able to understand the information known in the art relating
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`to these fields, including the publication discussed in this Declaration.
`
`C. Use of Authoritative Databases
`17.
` In preparing this Declaration, I used authoritative databases, such as
`
`the OCLC bibliographic database and the Library of Congress Online Catalog, to
`
`confirm citation details of the publication discussed.
`
`18.
`
` Library of Congress.1 The Library of Congress (LC)
`
`is
`
`the
`
`research library that officially serves the United States Congress and is the de
`
`facto national library of the United States. It is the oldest federal cultural institution
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`in the United States. The Library of Congress is one of the largest libraries in the
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`world. Its universal collections are not limited by subject, format, or national
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`boundary, including resources from all parts of the world. The Library of Congress
`
`include more than 32 million catalogued books and other print materials in 470
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`languages; more than 61 million manuscripts; the largest rare book collection in
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`North America over 1 million U.S. government publications; 1 million issues of
`
`1 http://www.loc.gov
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`
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`6
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`world newspapers spanning the past three centuries; 33,000 bound newspaper
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`volumes; 500,000 microfilm reels; U. S. and foreign comic books—over 12,000
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`titles in all, totaling more than 140,000 issues; films; 5.3 million maps; 6 million
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`works of sheet music; 3 million sound recordings; more than 14.7 million prints and
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`photographic images including fine and popular art pieces and architectural
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`drawings.
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`19.
`
` 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
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`material, the researcher will then normally obtain it online, look for it in libraries, or
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`purchase it from the publisher, a bookstore, a document delivery service, or other
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`provider. Sometimes, the date of a document’s public accessibility will involve both
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`indexing and library date information.
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`20.
`
` 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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`21.
`
` Online indexing services and digital repositories commonly provide
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`bibliographic information, abstracts, and full-text copies of the indexed publications,
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`along with a list of the documents cited in the indexed publication. These services
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`also often provide lists of publications that cite a given document. A citation of a
`
`7
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`document is evidence that the document was publicly available and in use by
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`researchers no later than the publication date of the citing document.
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`D.
`22.
`
`Summary of Opinions
` I am informed by counsel that the earliest possible priority date for the
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`patent at issue is April 7, 2008. As I will explain below, it is my opinion that the
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`printed publications discussed in my Declaration were publicly accessible before
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`April 7, 2008.
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`IV. LIBRARY CATALOGING PRACTICES
`A. MARC Records and OCLC
`23.
` I am fully 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 by
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`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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`24.
`
` Since at least the early 1970s and continuing to the present day, MARC
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`has been the primary communications protocol for the transfer and storage of
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`bibliographic metadata in libraries.2 As explained by the Library of Congress:
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`
`2 A complete history of the development of MARC can be found in MARC: Its
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`History and Implications by Henrietta D. Avram (Washington, DC: Library of
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`Congress,
`
`1975)
`
`and
`
`available
`
`online
`
`from
`
`the Hathi
`
`Trust
`
`8
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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, and
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`creating much more work for yourself. Using the MARC standard prevents
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`duplication of work and allows libraries to better share bibliographic
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`resources. Choosing to use MARC enables libraries to acquire cataloging data
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`that is predictable and reliable. If a library were to develop a “home-grown”
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`system that did not use MARC records, it would not be taking advantage of
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`an industry-wide standard whose primary purpose is to foster communication
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`of information.
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`Using the MARC standard also enables libraries to make use of commercially
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`available library automation systems to manage library operations. Many
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`systems are available for libraries of all sizes and are designed to work with
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`the MARC format. Systems are maintained and improved by the vendor so
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`that libraries can benefit from the latest advances in computer technology. The
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`MARC standard also allows libraries to replace one system with another with
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`the assurance that their data will still be compatible.
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`Why
`
`Is
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`a MARC Record Necessary? LIBRARY
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`OF CONGRESS,
`
`
`(https://babel.hathitrust.org/cgi/pt?id=mdp.39015034388556;view=1up;seq=1; last
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`visited August 16, 2021).
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`http://www.loc.gov/marc/umb/um01to06.html#part2 (last visited August 16, 2021).
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`25.
`
` 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 CONGRESS,
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`https://www.loc.gov/marc/faq.html (last visited August 16, 2021) (“MARC is the
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`acronym for Machine-Readable Cataloging. It defines a data format that emerged
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`from a Library of Congress-led initiative that began nearly fifty years ago. It
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`provides the mechanism by which computers exchange, use, and interpret
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`bibliographic information, and its data elements make up the foundation of most
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`library catalogs used today.”). MARC is the ANSI/NISO Z39.2-1994 standard
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`(reaffirmed in 2016) for Information Interchange Format. The full text of the
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`standard
`
`is
`
`available
`
`from
`
`the
`
`Library
`
`of
`
`Congress
`
`at
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`http://www.loc.gov/marc/bibliographic/ (last visited August 16, 2021).
`
`26.
`
` 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. See, e.g.,
`
`http://www.loc.gov/marc/umb/um07to10.html (last visited August 16, 2021);
`
`http://www.loc.gov/marc/bibliographic/ (last visited August 16, 2021). For
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`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
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`recorded in field 020, a work’s International Standard Serial Number (“ISSN”) is
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`recorded in field 022, and the publication date is recorded in field 260 under the
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`subfield “c.” Id.3 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
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`recorded in field 362, which is also referred to as the enumeration/chronology field.
`
`See http://www.loc.gov/marc/bibliographic/bd3xx.html (last visited August 16,
`
`2021).4
`
`
`3 In some MARC records, field 264 is used rather than field 260 to record publication
`
`information. See http://www.loc.gov/marc/bibliographic/bd264.html (last visited
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`August 16, 2021) (“Information in field 264 is similar to information in field 260
`
`(Publication, Distribution, etc. (Imprint)). Field 264 is useful for cases where the
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`content standard or institutional policies make a distinction between functions”).
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`4 Upwards of two-thirds to three-quarters of book sales to libraries come from a
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`jobber or wholesaler for online and print resources. These resellers make it their
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`business to provide books to their customers as fast as possible, often providing
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`turnaround times of only a single day after publication. Libraries purchase a
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`significant portion of the balance of their books directly from publishers themselves,
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`which provide delivery on a similarly expedited schedule. In general, libraries make
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`these purchases throughout the year as the books are published and shelve the books
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`as soon thereafter as possible in order to make the books available to their patrons.
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`27.
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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.
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` See, e.g.,
`
`http://www.loc.gov/marc/umb/um07to10.html (last visited August 16, 2021);
`
`http://www.loc.gov/marc/bibliographic/ (last visited August 16, 2021). Once a
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`MARC record for a particular work is originally created by one library, other
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`libraries can use that original MARC record to then create their own MARC records
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`for their own copies of the same work. These other libraries may modify or add to
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`the original MARC record as necessary to reflect data specific to their own copies
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`of the work. However, the library that created the original MARC record would still
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`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”.
`
`See
`
`http://www.loc.gov/marc/bibliographic/bd040.html (last visited August 16, 2021).
`
`28.
`
` I
`
`consulted
`
`the
`
`Directory
`
`of
`
`OCLC
`
`Libraries
`
`(http://www.oclc.org/contacts/libraries.en.html; last visited August 16, 2021) in
`
`order to identify the institution that created or modified the MARC record.
`
`Moreover, when viewing the MARC record online via Online Computer Library
`
`
`Thus, books are generally available at libraries across the country within just a few
`
`days of publication.
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`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 Declaration.
`
`29.
`
` MARC records also include one or more fields that show information
`
`regarding subject matter classification. For example, 6XX fields are termed
`
`“Subject Access Fields.” See http://www.loc.gov/marc/bibliographic/bd6xx.html
`
`(last visited August 16, 2021). Among these, for example, is the 650 field; this is
`
`the
`
`“Subject
`
`Added
`
`Entry
`
`–
`
`Topical
`
`Term”
`
`field.
`
`See
`
`http://www.loc.gov/marc/bibliographic/bd650.html (last visited August 16, 2021).
`
`The 650 field is a “[s]ubject added entry in which the entry element is a topical
`
`term.” Id. These entries “are assigned to a bibliographic record to provide access
`
`according to generally accepted thesaurus-building rules (e.g., Library of Congress
`
`Subject Headings (LCSH), Medical Subject Headings (MeSH)).” Id.
`
`30.
`
` 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.”
`
` See
`
`http://www.loc.gov/marc/bibliographic/bd050.html (last visited August 16, 2021).
`
`A defined portion of the Library of Congress Call Number is the classification
`
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`number, and “source of the classification number is Library of Congress
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`Classification and the LC Classification-Additions and Changes.” Id. Thus, the 050
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`field may be used to show information regarding subject matter classification.
`
`31.
`
` 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 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. See http://www.loc.gov/marc/bibliographic/bd09x.html (last
`
`visited August 16, 2021).
`
`32.
`
` 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
`
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`The Unlikely Spy, by Daniel Silva,5 available at the Library of Congress can be
`
`viewed
`
`through
`
`the
`
`Library
`
`of
`
`Congress
`
`website,
`
`at
`
`https://catalog.loc.gov/vwebv/staffView?searchId=20265&recPointer=1&recCount
`
`=25&bibId=2579985 (last visited August 16, 2021). One could, of course, always
`
`physically visit the library at which the work is available, and request to see that
`
`library’s MARC 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.
`
`33.
`
` 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
`
`
`5 The Unlikely Spy is a 1996 novel written by Daniel Silva, who happens to be one
`
`of my favorite authors.
`
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`and educational knowledge and information.”6 Among other services, OCLC and
`
`its members are
`
`responsible
`
`for maintaining
`
`the WorldCat database
`
`(http://www.worldcat.org/; last visited August 16, 2021), used by independent and
`
`institutional libraries throughout the world. All libraries that are members of OCLC
`
`are MARC-compatible. See, e.g., https://help.oclc.org/Metadata_Services/OCLC-
`
`MARC_records/About_OCLC-MARC_records (last visited August 16, 2021)
`
`(“OCLC-MARC records describes records produced since November 1993.”);
`
`https://www.oclc.org/support/services/worldcat/documentation/cataloging/electron
`
`icresources.en.html (last visited August 16, 2021) (“Like the two superseded OCLC
`
`documents, this revised set of guidelines is intended to assist catalogers in creating
`
`records for electronic resources in WorldCat, the OCLC Online Union Catalog.
`
`These guidelines pertain to OCLC-MARC tagging (that is, content designation).
`
`Cataloging rules and manuals (such as AACR2) govern the content of records. You
`
`should implement these guidelines immediately.”).
`
`34.
`
` When an OCLC member institution acquires a publication, like the
`
`
`6 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 August 16, 2021).
`
`16
`
`
`Facebook's Exhibit No. 1015
`Page 0017
`
`Booking, Exh. 1015, Page 17
`
`
`
`
`
`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
`
`database through a subscription to MARC Distribution Services daily or weekly.
`
`Once the MARC record is created by a cataloger at an OCLC member 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 the public.
`
`Accordingly, once the MARC record is created by a cataloger at an OCLC member
`
`library or is tape-loaded from the Library of Congress, any publication
`
`corresponding to the MARC record has been cataloged and indexed according to its
`
`subject matter such that a person interested in that subject matter could, with
`
`reasonable diligence, locate and access the publication through any library with
`
`access to the OCLC bibliographic database or through the Library of Congress.
`
`35. Fields 008, 005, and 955 in MARC Records as Indicators of Public
`
`Accessibility. 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 008,
`
`characters 00 through 05, in the ordinary course of its business.
`
` See
`
`http://www.loc.gov/marc/bibliographic/bd008a.html (last visited August 16, 2021).
`
`For OCLC member institutions that use OCLC software to create original MARC
`
`records, the date of creation in field 008 is automatically supplied by the OCLC
`
`17
`
`
`Facebook's Exhibit No. 1015
`Page 0018
`
`Booking, Exh. 1015, Page 18
`
`
`
`
`
`software. The MARC record creation date in field 008 thus reflects the date on
`
`which, or shortly after which, a work was first acquired and cataloged by the library
`
`that created the original MARC record.
`
`36.
`
` When other MARC-compatible libraries subsequently acquire their
`
`own copies of the same work, as mentioned, they create MARC records in their own
`
`computer catalog systems for their copies in the ordinary course of business.7 They
`
`may use a MARC record previously created for that work (by another MARC-
`
`compatible library) to create their own MARC records for their own copies of that
`
`same work.8 The previously created MARC record used by subsequently-acquiring
`
`libraries to create MARC records for their own copies may be obtained through the
`
`OCLC bibliographic database, as described above. If, when creating a MARC
`
`record to represent its own copy of the work, the subsequently-acquiring library uses
`
`the master MARC record in its original form, the subsequently-acquiring library
`
`cannot reenter data into the 008 field; therefore, the date in the 008 field will continue
`
`
`7 Initial contributions to the bibliographic database for a work are called “master
`
`records.”
`
`8 When a local library uses a master record in OCLC and produces (or downloads)
`
`it to the in-house system, the three-character symbol for the subsequent library is
`
`added to the holdings for the work.
`
`18
`
`
`Facebook's Exhibit No. 1015
`Page 0019
`
`Booking, Exh. 1015, Page 19
`
`
`
`
`
`to reflect the date the MARC record was initially created by the originating library.
`
`On the other hand, if the subsequently-acquiring library modifies the previously
`
`created MARC record when creating its own MARC record for its own copy of the
`
`work, the subsequently-acquiring library may enter into the 008 field of its own
`
`MARC record the date its own MARC record was created.9 But the library that
`
`created the original MARC record used by the subsequently-acquiring library would
`
`still be reflected in the MARC record of the 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 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.
`
`
`9 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.
`
`19
`
`
`Facebook's Exhibit No. 1015
`Page 0020
`
`Booking, Exh. 1015, Page 20
`
`
`
`
`
`37.
`
` Moreover, when a MARC record is created by a library for its own
`
`copy of a work, field 005 is automatically populated with the date that MARC record
`
`was
`
`created
`
`in year, month, day
`
`format
`
`(YYYYMMDD).
`
` See
`
`http://www.loc.gov/marc/bibliographic/bd005.html (last visited August 16, 2021).10
`
`Thereafter, the 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 moved to a different shelving location within the library). Id.11 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 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 005 field.
`
`
`10 Some of the newer library catalog systems also include hour, minute, second
`
`(HHMMSS).
`
`11 Field 005 is visible when viewing a MARC record via an appropriate
`
`computerized interface. But when a MARC record is printed directly to hardcopy
`
`from the OCLC database, the “005” label is not shown. The date in the 005 field
`
`instead appears next to the label “Replaced.”
`
`20
`
`
`Facebook's Exhibit No. 1015
`Page 0021
`
`Booking, Exh. 1015, Page 21
`
`
`
`
`
`38.
`
` Moreover, MARC records for copies of works available at the Library
`
`of
`
`Congress
`
`can
`
`have
`
`a
`
`955
`
`field.
`
`
`
`See
`
`http://www.loc.gov/cds/PDFdownloads/dcm/DCM_2007-03.pdf
`
`(last
`
`visited
`
`August 16, 2021). The 955 field in MARC records obtained from the Library of
`
`Congress provides Local Tracking Information, which is a record of internal steps
`
`in the cataloging process followed by the Library of Congress. Id. Entries in the
`
`955 field for a particular work are generated by Library of Congress staff as the work
`
`progresses through the cataloging process. Id. One of the mandatory fields that
`
`library staff must enter for each step is the date (in the form of “yyyy-mm-dd” or
`
`“yy-mm-dd”) the step was taken. Id. Thus, the work identified by a MARC record
`
`possessed by the Library of Congress would have been accessible to the public at
`
`least as of the earliest date shown in the 955 field, or shortly thereafter, from the
`
`Library of Congress.
`
`39.
`
` Journals. Catalogers can create MARC records for all types of print,
`
`online, and digital resources. For example, MARC records cover serial publications,
`
`including both serially published monographs and journals. OCLC hosts MARC
`
`records for more than 320 million serial publications. Serial
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