UNITED STATES PATENT AND TRADEMARK OFFICE
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`World Programming, Ltd.
`Petitioner
`
`v.
`
`SAS Institute, Ltd.
`Patent Owner
`____________
`
`Case No. Unassigned
`Patent 7,170,519
`____________
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
`
`World Programming Limited EXHIBIT 1010
`Page 1 of 284
`
`
`____________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`____________
`
`World Programming, Ltd.
`Petitioner
`
`v.
`
`SAS Institute, Ltd.
`Patent Owner
`____________
`
`Case No. Unassigned
`Patent 7,170,519
`____________
`
`DECLARATION OF SYLVIA D. HALL-ELLIS, PH.D.
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`World Programming Limited EXHIBIT 1010
`Page 1 of 284
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`
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`I.
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`INTRODUCTION
`1. My name is Sylvia D. Hall-Ellis. I have been retained as an expert by
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`World Programming, Limited (“WPL”). I have personal knowledge of the facts
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`and opinions set forth in this declaration, I believe them to be true, and if called
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`upon to do so, I would testify competently to them.
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`2.
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`I have written this report at the request of World Programming,
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`Limited to provide my expert opinion regarding the authenticity and public
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`availability of four books. My report sets forth my opinions in detail and provides
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`the basis for 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 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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`report.
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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
`
`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 litigation. I have no
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`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 are discussed explicitly in this
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`declaration.
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`1
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`II. BACKGROUND AND QUALIFICATIONS
`6.
`I am currently an Adjunct Professor in the School of Information at
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`San José State University. I obtained a Masters of Library Science from the
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`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 forty-five years, I have held various
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`positions in the field of library and information resources. I was first employed as
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`a 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
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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
`
`Committee on Diversity. Currently I serve as a member of the Editorial Board for
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`the ALCTS premier cataloging journal, Library Resources and Technical Services.
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`8.
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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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`2
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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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`9.
`
`I have been deposed nine times: (1) Symantec Corp. vs. Finjan,
`
`Inc., Petition for Inter Partes Review of U.S. Patent No. 7,613,926, May
`
`26, 2016, on behalf of Symantec Corp.; (2) Symantec Corp. vs. Finjan, Inc.,
`
`14-cv-299-HSG (N.D. Cal.), September 14, 2017, on behalf of Symantec
`
`Corp.; (3) one deposition for ten matters: Intellectual Ventures I LLC vs. AT&T
`
`Mobility LLC; AT&T Mobility II LLC, New Cingular Wireless Services, Inc., SBC
`
`Internet Services, Inc., Wayport, Inc., and Cricket Wireless LLC, C.A. No. 12-193
`
`(LPS); Intellectual Ventures II LLC vs. AT&T Mobility LLC; AT&T Mobility II
`
`LLC, New Cingular Wireless Services, Inc., SBC Internet Services, Inc., Wayport,
`
`Inc., and Cricket Wireless LLC, C.A. No. 13-1631 (LPS); Intellectual Ventures I
`
`LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc., C.A. No. 13-1632 (LPS);
`
`Intellectual Ventures II LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc., C.A.
`
`No. 13-1633 (LPS); Intellectual Ventures I LLC, vs. Nextel Operations, Inc., Sprint
`
`Spectrum L.P., Boost Mobile, LLC and Virgin Mobile USA, L.P., C.A. No. 13-1634
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`(LPS); Intellectual Ventures II LLC vs. Nextel Operations, Inc., Sprint Spectrum
`
`L.P., Boost Mobile, LLC and Virgin Mobile USA, L.P., C.A. No. 13-1635 (LPS);
`
`Intellectual Ventures I LLC, vs. United States Cellular Corporation, C.A. No. 13-
`
`1636 (LPS); Intellectual Ventures I LLC vs. United States Cellular Corporation,
`
`3
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`C.A. No. 13-1637 (LPS); Intellectual Ventures II LLC vs. AT&T Mobility LLC,
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`AT&T Mobility II LLC, New Cingular Wireless Services, Inc., C.A. No. 15-799
`
`(LPS); Intellectual Ventures I LLC vs. T-Mobile USA, Inc. and T-Mobile US, Inc.,
`
`C.A. No. 15-800 (LPS), on behalf of AT&T Mobility LLC; AT&T Mobility II LLC,
`
`Boost Mobile, LLC Cricket Wireless LLC, Nextel Operations, Inc., New Cingular
`
`Wireless Services, Inc., SBC Internet Services, Inc., Sprint Spectrum L.P.,
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`T-Mobile USA, Inc., T-Mobile US, Inc., United States Cellular Corporation Virgin
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`Mobile USA, L.P., and Wayport, Inc., November 15, 2016; (4) Hitachi Maxell,
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`LTD., v. Top Victory Electronics (Taiwan) Co. Ltd., et al., 2:14-cv-1121 JRG-RSP
`
`(E.D. Texas), January 20, 2016, on behalf of Top Victory Electronics (Taiwan) Co.
`
`LTD, et. al.; (5) Sprint Spectrum, L.P. vs. General Access Solutions, Ltd., Petition
`
`for Inter Partes Review of U.S. Patent No. 7,173,916, July 13, 2018, on behalf of
`
`Sprint Spectrum L.P.; (6) Nichia Corporation vs. Vizio, Inc., 8:16-cv-00545,
`
`October 12, 2018, on behalf of Vizio, Inc.; (7) Intellectual Ventures I LLC, vs.
`
`T-Mobile USA, Inc., T-Mobile US, Inc., Ericsson Inc., and Telefonaktiebolaget LM
`
`Ericsson, 2:17-cv-00557 (JRG), October 19, 2018, on behalf of T-Mobile USA,
`
`Inc., T-Mobile US, Inc., Ericsson Inc., and Telefonaktiebolaget LM Ericsson; (8)
`
`Pfizer, Inc. vs. Biogen, Inc., Petition for Inter Partes Review of U.S. Patent No.
`
`8,821,873, November 3, 2018, on behalf of Pfizer; and (9) Finjan, Inc. vs. ESET,
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`4
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`LLC and ESET SPOL. S.R.O., 3:17-cv-00183-CAB-BGS, January 15, 2019, on
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`behalf of ESET.
`
`10. My full curriculum vitae is attached hereto as Attachment 5.
`
`III. PRELIMINARIES
`11.
`Scope of this declaration. I am not an attorney and will not offer
`
`opinions on the law. I am, however, rendering my expert opinion on the
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`authenticity of the documents referenced herein and on when and how each of
`
`these documents was disseminated or otherwise made available to the extent that
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`persons interested and ordinarily skilled in the subject matter or art, exercising
`
`reasonable diligence, could have located the documents before March 29, 2002.
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`12.
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`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
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`am also informed that authenticity can be established based on the contents of the
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`documents themselves, such as the appearance, content, substance, internal
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`patterns, or other distinctive characteristics of the item, taken together with all of
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`the circumstances.
`
`13.
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`I am informed by counsel that a printed publication qualifies as
`
`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
`
`could locate it through the exercise of ordinary diligence.
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`5
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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
`
`“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
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`cataloging and indexing by a single library of a single instance of a particular
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`printed publication is sufficient, even if the single library is in a foreign country. I
`
`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
`
`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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`6
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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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`16. Persons of ordinary skill in the art. I am told by counsel that the
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`subject matter of this proceeding relates to a computer system and method for
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`generating a graph.
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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 claimed invention” is a hypothetical person who is presumed
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`to be familiar with the relevant field and its literature at the time of the inventions.
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`This hypothetical person is also a person of ordinary creativity, capable of
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`understanding the scientific principles applicable to the pertinent field.
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`18.
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`I am told by counsel that persons of ordinary skill in this subject
`
`matter or art would have had at least an undergraduate degree or equivalent in
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`computer science, software engineering, or the equivalent, plus approximately two
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`years of experience in software development, or an equivalent amount of work
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`and/or educational experience.
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`19.
`
` It is my opinion that such a person would have been engaged in
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`research, learning, study, and practice in the field, and possibly formal instruction
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`so that bibliographic resources relevant to his or her research would be familiar. In
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`the 1980s, 1990s, and 2000s such a person would have had access to a vast array of
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`long-established print resources in computer science, software engineering, or the
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`equivalent as well as to a rich set of online resources providing indexing
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`information, abstracts, and full text services for computer science.
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`IV. LIBRARY PROFESSIONAL PRACTICES
`20.
`In preparing this report, I used authoritative databases, such as the
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`OCLC bibliographic database, the Library of Congress Online Catalog, and the
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`Library of Congress Subject Authorities, to confirm citation details of the various
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`publications discussed. Unless I note otherwise below in reference to a specific
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`serial publication, it is my expert opinion that this standard protocol was followed
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`for the serial publication discussed below.
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`21.
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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
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`found relevant material, the researcher will then normally obtain it online, look for
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`it in 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
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`accessibility will involve both indexing and library date information. However,
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`date information for indexing entries is often unavailable. This is especially true
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`for online indices.
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`22.
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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 Library of Congress Subject Authorities includes standard forms of terms and
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`cross references that are included in bibliographic records. The formats in which
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`these access terms are presented vary from service to service.
`
`23. Online
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`indexing
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`services
`
`commonly provide bibliographic
`
`information, abstracts, and full-text copies of the indexed publications, along with
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`a list of the documents cited in the indexed publication. These services also often
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`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
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`later than the publication date of the citing document.
`
`24. Prominent indexing services include the following:
`
`a.
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`Scopus. Produced by Elsevier, a major publisher, Scopus is the largest
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`database of abstracts and citations of peer-reviewed literature. Its scope includes
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`the social sciences, science, technology, medicine, and the arts. It includes 60
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`million records from more than 21,500 titles from some 5,000 international
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`publishers. Coverage includes 360 trade publications, over 530 book series, more
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`than 7.2 million conference papers, and 116,000 books. Records date from 1823.
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`b.
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`IEEE Xplore. This scholarly research database includes indexes,
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`abstracts, and full-text for articles and papers on computer science, electrical
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`engineering, and electronics.
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` The database mainly covers material from
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`the Institute of Electrical and Electronics Engineers (IEEE) and the Institution of
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`Engineering and Technology. The IEEE Xplore digital library provides Web
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`access to more than 4.3-million full-text documents from some of the world's most
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`highly cited publications. The content comprises over 180 journals, over 1,400
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`conference proceedings, more than 3,800 technical standards, over 1,800 eBooks
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`and over 400 educational courses. Approximately 20,000 new documents are
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`added to IEEE Xplore each month. Abstracts are free to access, but access to full
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`text requires a subscription or institutional login.
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`c.
`
`ACM Digital Library. This index is produced by the Association for
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`Computing Machinery, the world’s largest scientific and educational computing
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`society. AMC Digital Library contains the full text of all AMC publications,
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`hosted full-text publications from selected publishers, and the ACM Guide to
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`Computing Literature—a comprehensive bibliography of computing literature
`
`beginning in the 1950s with more than a million entries. All metadata in the
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`database are freely available on the Web, including abstracts, linked references,
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`citing work, and usage statistics. Full-text articles are available with subscription.
`
`25. U.S. Copyright Office. Created by Congress in 1897, the Copyright
`
`Office is responsible for administering a complex and dynamic set of laws, which
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`include registration, the recordation of title and licenses, a number of statutory
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`licensing provisions, and other aspects of the 1976 Copyright Act and the 1998
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`Digital Millennium Copyright Act. The public catalog in the Copyright Office
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`includes
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`information
`
`filed
`
`since
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`1978
`
`(https://cocatalog.loc.gov/cgi-
`
`bin/Pwebrecon.cgi?DB=local&PAGE=First). Individuals can search by title,
`
`personal or corporate name, key word, registration number, and document number.
`
`Works filed before 1978 can be located through the Copyright Public Records
`
`Reading Room (https://www.copyright.gov/circs/circ23.pdf). A researcher can
`
`find the date on which an item was published and deposited for copyright.
`
`V. LIBRARY CATALOGING PRACTICES
`26.
`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.1 MARC was first developed in the 1960’s
`
`by the Library of Congress. A MARC-compatible library is one that has a catalog
`
`consisting of individual MARC records for each of its items. Today, MARC is the
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`primary communications protocol for the transfer and storage of bibliographic
`
`metadata in libraries.2
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`1 The full text of the standard is available from the Library of Congress at
`
`http://www.loc.gov/marc/bibliographic/ (last visited July 6, 2019).
`
`2 Almost every major library in the world is MARC-compatible. See, e.g.,
`
`MARC Frequently Asked Questions
`
`(FAQ), Library of Congress,
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`27. Since at least the early 1970s 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.3 As explained by the Library of Congress:
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`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 MARC enables
`libraries to acquire cataloging data that is predictable and reliable. If a
`
`
`https://www.loc.gov/marc/faq.html (last visited July 6, 2019) (“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 forty 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.”). MARC is the ANSI/NISO
`
`Z39.2-1994 (reaffirmed 2016) standard for Information Interchange Format.
`
`3 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
`
`Congress,
`
`1975)
`
`and
`
`available
`
`online
`
`from
`
`the Hathi Trust
`
`(https://babel.hathitrust.org/cgi/pt?id=mdp.39015034388556;view=1up;seq=1;
`
`last visited July 6, 2019).
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`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.
`
`Why
`
`Is
`
`a MARC Record Necessary? LIBRARY OF CONGRESS,
`
`http://www.loc.gov/marc/umb/um01to06.html#part2 (last visited July 6, 2019).
`
`28. Thus, almost every major library in the world is MARC-compatible.
`
`See, e.g., MARC Frequently Asked Questions (FAQ), LIBRARY OF CONGRESS,
`
`https://www.loc.gov/marc/faq.html (last visited July 6, 2019) (“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.”). MARC is the ANSI/NISO Z39.2-1994 standard
`
`(reaffirmed in 2016) for Information Interchange Format. The full text of the
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`standard
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`is
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`available
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`from
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`the
`
`Library
`
`of
`
`Congress
`
`at
`
`http://www.loc.gov/marc/bibliographic/ (last visited July 6, 2019).
`
`29. 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. For example, a
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`work’s title is recorded in Field 245; the primary author of the work is transcribed
`
`in Field 100; an item’s International Standard Book Number (“ISBN”) consisting
`
`of ten or thirteen digits is transcribed in Field 020; an item’s International Standard
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`Serial Number (“ISSN”) is transcribed in Field 022; the Library of Congress
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`classification notation is recorded in Field 050; and, the publication date is
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`recorded in Field 260 under the subfield “c.” If a work is a periodical, then its
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`publication frequency is recorded in Field 310, and the publication dates (e.g., the
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`first and last publication) are recorded in Field 362, which is also referred to as the
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`enumeration/chronology field.4
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`30. The library that created the record is recorded in Field 040 in subfield
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`“a” with a unique library code. When viewing the MARC record online via Online
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`Computer Library Center’s (“OCLC”) bibliographic database, hovering over this
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`code with the mouse reveals the full name of the library. I used this method of
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`“mousing over” the library codes in the OCLC database to identify the originating
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`4 http://www.loc.gov/marc/bibliographic/bd3xx.html .
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`library for the MARC records discussed in this report. Where this “mouse over”
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`option was not available, I consulted the Directory of OCLC Libraries in order to
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`identify the institution that created the MARC record.5
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`31. MARC records also include several fields that include subject matter
`
`classification information. An overview of MARC record fields is available
`
`through the Library of Congress.6 For example, 6XX fields are termed “Subject
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`Access Fields.”7 Among these, for example, is the 650 field; this is the “Subject
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`Added Entry – Topical Term” field.8 The 650 field is a “[s]ubject added entry in
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`which the entry element is a topical term.” Id. These entries “are assigned to a
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`bibliographic record to provide access according to generally accepted thesaurus-
`
`building rules (e.g., Library of Congress Subject Headings (LCSH), Medical
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`Subject Headings (MeSH)).” Id. Further, MARC records include call numbers,
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`which themselves include a classification number. For example, the 050 field is
`
`the “Library of Congress Call Number.”9 A defined portion of the Library of
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`Congress Call Number is the classification number, and “source of the
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`5 https://www.oclc.org/en/contacts/libraries.html .
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`6 http://www.loc.gov/marc/bibliographic/.
`
`7 http://www.loc.gov/marc/bibliographic/bd6xx.html.
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`8 http://www.loc.gov/marc/bibliographic/bd650.html.
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`9 http://www.loc.gov/marc/bibliographic/bd050.html.
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`classification number
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`is Library of Congress Classification and
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`the LC
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`Classification-Additions and Changes.” Id. Thus, included in the 050 field is a
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`subject matter classification. 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. If a
`
`local library assigns the classification number, it appears in a 090 field. In either
`
`scenario, the MARC record includes a classification number that represents a
`
`subject matter classification.
`
`32. 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
`
`libraries themselves, and of librarianship, and to provide processes and products
`
`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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`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.”10 Among other services,
`
`OCLC and its members are responsible for maintaining the WorldCat database
`
`(http://www.worldcat.org/), used by
`
`independent and
`
`institutional
`
`libraries
`
`throughout the world.
`
`33. OCLC also provides its members online access to MARC records
`
`through its OCLC bibliographic database. When an OCLC member institution
`
`acquires a work, it creates a MARC record for this work 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 institution or is tape-loaded from the Library
`
`of Congress, the MARC record is then made available to any other OCLC
`
`members online, and therefore made available to the public. Accordingly, once the
`
`MARC record is created by a cataloger at an OCLC member institution or is tape-
`
`loaded from the Library of Congress or another library anywhere in the world, 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
`
`10 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).
`
`17
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`World Programming Limited EXHIBIT 1010
`Page 18 of 284
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`
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`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.
`
`34. When an OCLC member institution creates a new MARC record,
`
`OCLC automatically supplies the date of creation for that record. The date of
`
`creation for the MARC record appears in the fixed Field (008), characters 00
`
`through 05. The MARC record creation date reflects the date on which, or shortly
`
`after which, the item was first acquired or cataloged. Initially, Field 005 of the
`
`MARC record is automatically populated with the date the MARC record was
`
`created in year, month, day format (YYYYMMDD) (some of the newer library
`
`catalog systems also include hour, minute, second (HHMMSS)). 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). Field 005 is visible
`
`when viewing a MARC record via an appropriate computerized interface, but
`
`when a MARC record is printed to hardcopy, no “005” label appears. The initial
`
`Field 005 date (i.e., the date the MARC record was created) does appear, however,
`
`next to the label “Entered.”11 The date upon which the most recent update to Field
`
`11 In this report, I sometimes refer to the “Entered” entry as Field 008, characters
`
`00-05.
`
`18
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`World Programming Limited EXHIBIT 1010
`Page 19 of 284
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`
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`005 occurred at a local library appears next to the label “Replaced.” Thus, when
`
`an item’s MARC record has been printed to hardcopy—as is the case with the
`
`exhibits to this report—the date reflected next to the label “Entered” is necessarily
`
`on or after the date the library first cataloged and indexed the underlying item.
`
`35. Once one library has cataloged and indexed a publication by creating
`
`a MARC record for that publication, other libraries that receive the publication do
`
`not need to create additional MARC records—the other libraries rely on the
`
`original MARC record. They may update or revise the MARC record to ensure
`
`accuracy, but they do not replace or duplicate it. This practice does more than save
`
`libraries from duplicating labor. It also enhances the accuracy of MARC records.
`
`Further, it allows librarians around the world to know that a particular MARC
`
`record is authoritative (in contrast, a hypothetical system wherein duplicative
`
`records were created would result in confusion as to which record is authoritative).
`
`36.
`
`In addition, a local library may use a field in the 900-999 range to
`
`record local information regarding the cataloging, binding, storage, and status of an
`
`item. The 9XX fields are not part of the standard MARC 21 format.12 For example,
`
`the Library of Congress uses the Field 955 to track the movements of an item
`
`through the cataloging process. The date and initials of the staff member
`
`performing a task is recorded, including (but not limited to) transfer to the Dewey
`
`12 https://www.oclc.org/bibformats/en/9xx.html.
`
`19
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`World Programming Limited EXHIBIT 1010
`Page 20 of 284
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`
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`Decimal team for the assignment of a classification number, the verification of the
`
`CIP (cataloging in publication) data, and transfer to the BCCD (Binding and
`
`Collection Care Division) for binding and preservation services. Data transcribed
`
`at local libraries that are important to establish dates of public availability are
`
`described for each of the documents described in this report.
`
`37. Catalogers can create MARC records for all types of print, online, and
`
`digital resources. The date of creation of the MARC record by a cataloger at an
`
`OCLC member institution generally reflects when the underlying item is accessible
`
`to the public. 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.
`
`38. MARC records cover serial publications, including both serially
`
`published monographs and journals. OCLC hosts MARC records for more than
`
`20
`
`World Programming Limited EXHIBIT 1010
`Page 21 of 284
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`
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`320 million serial publications. Serial publications are those publications that have
`
`the same collective title but are intended to be continued indefinitely with
`
`enumeration such as a volume or issue number (e.g., magazines, journals, etc.). In
`
`the OCLC bibliographic database, the first issue of the serial publication is
`
`typically cataloged (i.e., a corresponding MARC record is created), but the date is
`
`left open-ended with the use of a punctuation mark such as a dash. OCLC serial
`
`publication MARC records represent the entire run of the serial title. With
`
`knowledge of the first issue published, future issues
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