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Case 1: 11-cv-06351-H B Document 99-3
Filed 06/2mRMo~f 15
UNIT!:OSTttts COPYRIGHT OFFICE
REGISTRATION NUMBER
TX 4-084·784
IIIII1IIIII1III
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Document 99-4
Case 1: 11-cv-06351-H 8
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US GOVERNMENT PR .. TING OFFICE 1990-262·306 "
A-469
Case 1: 11-cv-06351-HB Document 99-4
n
Filed 06/2mRMn
UNITED
17
STATEs COPYRIGHT OFFICE
FiEGISTRATICN NUMBER
i'IIIUIIIIIII
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EFFECfn ,~ REGISTRAfiON
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DA061131
CORRESPONDENCE GIve Mm •• nd .dd..... 10 which correspondence .boUI th~ application sh""ld be stnl.
Natr./AddreufAplIClyISlaMIZop.
Mary Flower / Grove/Atlantic
841 Broadway
New York. New York 100Q3
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______________________________________~M~a~r~y~F~l~o~w~e~r_____________________ ~ ...
MAil
CERnACATETO
Mary Flower / Grove/Atlantic
Certiflcaht
6/23/97
841 Broadway
will be
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A-473
Case 1:11-cv-06351-HB Document 99-4
Filed 06/29/12FBRM
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DO NOT WRITE ABOVE THIS LINE. F YOU NEED MORE SPACE, USE A sePARATE CONTNJA11ON SHEET.
nnE OF 11IIS WORK .,
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BIG WOMEN
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CORRESPONDENCE Give name and add ..... 10 which COl I eapoacIcnc:e about this oppIic;IItIon 1hoNId .... - .
Namel~I Apt/City ~/7JP T
Mary Flower I Grove/Atlantic
841 Broadway
New York. Ne~ Y~oLrk~~lQ~Q~0~3~~~~~~~~_______________________________________
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212 614 7881
CERTIFICATION' I. the undersigned, hereby crrtify tIuot I am tht
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of the work identified in this application and tIuot tht Itot"""""" mod<
by me in this application are COJTect to tht best of my knowkdsr.
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Mary Flower / Grove/Atlantic
Number_~_T
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CtlyiSIaIeIZIP T
New York. New York 10003
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PRINTFn ON RFCVClEO PAPER
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Case 1 :11-cv-06351-HB Document 99-4
FORM CA
Filed 06/29/12 PaQe 8 of 17
UNfTeo STATES PQPYRIGHT OFFICE
TX 4-943-195
10590<4346
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1III1111III1
MONlW
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I TnL£ OF WORK:
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IRWISTRATION NUMBER OF BASIC REGISTRATION:
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YEAR OF BASIC REGISTRATION:
NAMEIS) OF AUTHORIS):
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1998
Fay Weldon
i
®
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US edition title was changed to BIG GIRLS DON'T CRY
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Case 1 :11 -cv-06351-HB
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CHECKED BV :. ..
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F 1 e wor" WA. publishnl u a contribution to. poriodiral • .....w. or collrctKln, gi.e inlonn.tion about tM
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USE
ONLV
00 NOT WRITE ABOVE THIS UNE. IF YOU NEED MORE SPACE. USE A SEPARATE CONTINUATION SHEET.
PREVIOUS REGISTRATJON Hu ~tion lor tru. wo rNdt in the Copyright ~I
Yf t KI No II your ansW added 10 this work and in which copyright is claimed, T
DEPOSIT ACCOUNT II the reglstntion fft is to b.. ch.u~ to. Doposit Account ..tabUshed in tho Copyrighl Officw, give Mm. and numbu of Acn who knowwV'IlNikft. •
INn $2.500
WIIh the ~ II\.aJ t . r..d not
s..>f.....,., 1997-lOO 000 S
t.... ~ of .. m.&I~ fact ., ... appIicahOn k)r ~ ~ ~
fof by.,.;bon <&08,
Of" fI'Y WI"IIMn &&aMw'nen4 filed in oonnectton
f'JlI';n
PRINTED ON RECYCLED PAPER
aU S, GOVERHIAENT PAINTING OfFICE' 1997-4 17f7~,O<1
A-479
Case 1: 11-cv-06351-H B Document 99-4
Filed 06/29/12 Page 12 of 17
II
FORMTX
For a Nondramatlc Literary Work
UNITED STATES COPYRIGHT OFFICI::
TX 5-741-087
REGISTRJ
III1IIIIIIIIII
TX5-741-087
\
1IIIIIIIII11
IX )
TXU
EFFECTIVEME OF REGISTRATION
!i SO
Month
Q3
Year
Day
DO NOT WRITE ABOVE THIS LINE. IF yOU NEED MORE SPACE, USE A SEPARATE CONTINUATION SHEET.
1
TITLE Of THIS WORK "
AUTO DA FAY
PREVIOUS OR ALTERNATIVE TITUS"
PUBLICATION AS A CONTRIBUTION If this work was, published as a contTibution to a period.irdl. send]. or coUectJon. give L'1iormatJOn about the
co!.1edjve work in wNch the contributton appeared
Title of Collective Work ....
Ii published tn a peric'I(li<:al or serial give_ VoJum~ .....
2
NumbtrY
On P'g"'"
DATES OF BIRTH AND DEATH
Year Born"
Year Died"
NAME OF AlITHOR "
a
1931
Fay Weldon
Was thisconmbution to W work>
O Ye$
WAS THIS AlITHOR'S CONTRIBUTION TO
N8m& of Cot.I\try
"work m.tde for hire"?
AlITHOR'S NATIONALITY OR DOMICILE
THE WORK
OR
XXNo
or AUTHORSHIP
Entire text
NOTE
{ Dorn..icuoo
TrK
b
·.utho .... of
• "work made
for hJt.- i.
generany tne
0 Yes
0: No
-Ves,· we detalfed
P~udonrmoU5?
i..,,)o-
NAME OF AlITHOR "
tn.
11 the answer IQ eo1he<'
0' tt'lese queShons IS
Anonymous,)
[J Yes
JO<.r-..;"
InslrucllQ>nS
Briefiy describe h.:lh!.re of material created by this author in ",,·h.ich cop;:right is claimed ..
NATURE
Undo, 'ho low,
..
Cituen 0 I . .
DATES OF BIRTH AND DEATH
Year Born "
Year Died "
-----------------------------------
Was thisconto-ibution to rhe work a
AlITHOR'S NATIONALITY OR DOMICILE
WAS THIS AUTHOR'S COf\'TRIBUTION TO
"",,'ork made for hire"?
employ.,. n01
the emplo"..
Name Of Country
THE WORK
0
(tee ins1ruc-
tiona). For any
:~~ ~~~~i~u
OR
Yes
{
C
itizen 0
f....
Anonymous?
Pseudonymous?
.
0 No
Domidled rn.
NATURE OF AUTHORSHIP Briefly d ..suioc nature of material created by thls author in ... hich copyright L5 d.uned "
"mad. '0' hi,."
ch.ck ~.s- In
0 Yes CI No
0 Yes 0 No
H the an ...... 8r 10 tlrther
of thew questlOtl$ IS
"Yes: see dot. lIed
lnS!ructlOf'5
the space
provided.. geiy-t
(or Qth.r
person fOf
DATES Of BIRTH AND DEATH
Year Born"
Year Died "
NAME Of AlITHOR "
the employ.,
C
."'om tnt work
was prepared)
-W-"'-thls-·-co-nm-·b-u-tio-n-to-th--·o-rk-·_ _
....
•
A-UT_H_O-R'-S-N-AT-I-O-N-A-LITY--O-R-O-'-O-M-K":""I-lE-- WAS THIS AlITUOR'S CONTRIBlITlON TO
'~'ork made for hir~~?
•• "Author- of
that par1, and
1•• ".lhe
.pace 10' data Ii
of bIrth and
deeth blank.
a
4
Name '" Cotnt'Y
OR C.tilpn u
O Yes
{
o No
NA TURE OF AlffHORSHI r
.v..,
ArlonymolL<;:?
0 Yes
0
No
11' the ans ...... r lo~'
of these questfOfls rs
...".s ~ see de!8lfed
P5f?udonymou5?
0
C
1\:0
in.W\l(:~iorP~
THE WORK
Dor:rJciled i.n~_
:::~~:!':!Z:..,
b
DATE AND NATION Of FIRST PUBLICATION OFTHIS PARTICULAR WORK
c""'P'''' _""onnatlon Monlh~. June ____ Day,. ~ y..,~ -2Jll.lL
::'"~~~
Grea t
Sri
ta i
COPYRIGHT ClAIMANT(S) Nam. and addre>s must be given nen 1 the da;mdnt "W ",me as
tht-authocgiveninsp.ce2.'"
Yes
Bnefly describe nature of materiat created by this author in ",,+tich copyright is- claimed ...
YEAR IN WHICH CREATION OF TH.IS
WORK WAS COMPLETED Thl. Inform.,1on
2002
I"
Fay Weldon
3A Greenaway Gardens
Hampstead
n . Nat.o.,
APPLICATION RECEIVED
&JAV ~
n.,r.n~
w
om'"6{P(j§i1'R~
~~
"'z
MN '~" -O~OO3
ffi~
1
-1.
,,11.1'1 7n T
17n.1 ",,.,,1
o:~
EPOSITS
ED
------------------~~~~~~~~~r-~~~~----------------4~~
TRANSFER !ftne cWmant(.~ named here in 'pAce 4 is (are) dill.".."t from tht- aurhor(s) named In
~o
space 2, g;v•• brief st.temen' of how the daiman'(s) obtdined ownership of the copyright. 'f'
g~ FUNDS RECEIVED .. -- --~ . - - ~---
MORE ON BACK..
• Complete
aU apP'lcable spaC(I;S (Murntlerc 5-9) on the revena ~ld6 of HUG page
• Sign !NJ f&m atl¥le 8
• See de~iied II1slr..dJont.,
DO NOT WRITE HERE
Page I of __
d
~,p.aoes.
A-480
Case 1: 11-cv-06351-HB Document 99-4
Filed 06/29/12 Page 13 of 17
[~
_
EXAMINED BY
FORMTX
CHECKEOBY
FOR
COPYRIGHT
OFFICE
USE
ONLY
CORRESPONDENCE
O Yes
DO NOT WRITE ABOVE THIS LINE. IF YOU NEED MORE SPACE, USE A SEPARATE CONTINUATION SHEET.
PREVIOUS REGISTRATION Has regi.!.L[ototion rur this work., Of for an earLiE"r versIOn of this work, already b-e-en made in the :opyright Office':'
Yn tiC! No li your M\$wer is "Yes;' why is M\other regis tration being sought? (Ch«k appropriate box) ...
5
o
a. 0 lNs is the fint published ~tiOf\ of a work prev;ously regist.rod in unpublishod form
It. 0 1'lili is the tint .pplk.ation ,ubmitteod by this author
iI$
copyrighl claimant.
c. 0 1l\i.s is " dunged version 01 the work, AS shown by sp.sCt 6 on
th.i$
applIcation.
If your vtswer is "Yes;"' give: PrfViou5 Registntion f'liumbn"
Yeu of Resistr.ltion ..
DERlV ATIVE WORK OR COMPILA TlON
6
'",existing Material Identify ~ny preex.i$ting worlo.: o r work.... that this \,o\.'ork is based on or lncorp¢tates . ...
a
- - -- - - - - - --_.-
-
-_ ..
_ ---------
SMirlst!'\.OCl,ons
before c:ornplellflg
b
"-hterial Added to Thi& Work GlI,'e') brief, , cncrd l sta tement of the nldtrrial tha t hdS been added to
thi~
.....·ori< and in ·",'hich copyrigh.t LS cl.umed Y
tTliI
sp~co
---... _.-- - - _ . _ - - - - - - -- --
DEPOSIT ACCOUNT If the registration (ee i.... to bt> d, .uged to a D£>~it
N.me T
a
Grove/A~lart_~I!lc
e-stabtished in the Copyright OffiCE .. gi.'·e name and number of Account
Account Number"
A C(OUI\t
.
b
7
DA0611;U
CORRESPONDENCE Give name and iil dd r~s to which (orr~pond ence about Uus app llc~ tion should ~ sent
Name ! Address / Apt J Clty / Stale l ZIP T
Mary FJower / Grove/Atlantic
841 Broadway
New York. _~ew York 10003
Fu number ..
212 614 7881
CERTIFICATION·
I. the
u.nders;gned. hereby certify that 1am the
{ O autho<
Che.:k only one..
0 other copyright damu.nt
olth.workidentiliodinttu.oppucationondthattrn-statementsmad.
by me in this application are correct to ~ ~t of my kno .....·ledge
Type-d or printed
noJ.m~
.. nd d.te •
(f
8
o oy,'ner o( e)(ciuslve right(s)
Q',i th . od
I f
Fay Weldon
au
onz
-::;: ~I
.~o-',"'",J.""", copy"'-'''ngn''-, .... ;m.,, - '-""'-n-.'-o-,--o-'"s.....e nghl{S) •
---'''-,
"',"', ,.- - -,-,"
..
this application gi"es a date ot publication i..n space 3. d o not sign and sub:nit it before that date
Mary Flower
H •.nd WT,H,·n ,iso.duff: {X} "
-~~-----------------------_'.111\1'1_1
NvmOerfS:raetlA.p4. •
Mar
Certlfic.le
8
will be
mailed In
f-c.., iS- 4-,.n:-IP-"--N-::
- 1
window
Myelope
FloweLl Grove/AtlantiC
::::~~::w Y~rk -~~O~- ----------_3
SUID AU J (LEUf.NfS
j _
_
tN THE SALlE PACkAGE
_ ._ - -
COPY"9h< Offo«j
t ), It\Oeool"\dotnc. ....... t\U4I . S E
Vle.shong-tOf1 . Q ,C 2OSS9~
J7 U.S ,C . § 5OG{.} : Any pertlOfl who k,now'09ly ~k~ 3 !"'ISt> re pt4il~a r.lal,0<"i 01 S m.;le"ial fi.:111'l the a~IU !IOI'\ 'Of copyr.g": r.g.SI~ar,Ot1 p.'ovi6ed IOf by seeton 4-00. 01 rn A"Y wrinllil ~t,J19fT\o?n! f,IM
tfth ftl4l appiIcAhon. Sh4lff .,. rl~ no( more tn.a.n $2.500
~ernt::.r
9
•CoutIon oppeaaed.
U publ1slwd In. poriodIcaI Of otriaI (11_
2
a
• oonIribution 10. porlodlcaI....w. or collodion. give InIonnation about tIw
TItle of CoIIIdIft Wod< .,
o.p.... .,
Vom-"
NAME OF AUIltOR ...
DATES OF BJll11f AND DU11f
YeMBom...
YeatDied ...
FayWeldon
Was thI$ QOrItrII>utIon 10 the work a
''work made for lUre'?
AUIltOR'S NAnONALITY OR DOMICILE
WAS THIS AUIltOR'S CONTRIBurtON TO
THl!WORK
KIho_Io_
Anonytnou.?:::V"" [i1No ~!:.""..:="
I'!o!a!!onymo copyrlsht Is c:loimed. ...
1Ne_ b ::-:.:..-=- . . . . .
_:==- ........-
YEAJtINWHlCHCIUIA'I1ONOFTHIS
a WORK WAS COMPLI!TED
20GS
..
v_.
DATEANDNATIONOFI'lRSTPUBUCAnON.OFTHISPARTICULAltWQIIK
~
December
UK.
o.,~
1
.
~
200S
--- _
..
4
-..........., ~~==~~--------~-----------------~----------;II~~~~==~~~~~---------COP¥JUGHf Cl.AJMANT(S) N_ oncI..tdreu muoll» given.,.."lJ the dolmmt is the _
the autil« 1Ii- In opace 2. .,
....
-
as
Fay Weldon, c/o Kim Witherspoon, Inkwell Management, 521 Fifth Aveuuc,
New York, NY 10175
TJlANSFER U die dahnam(1) """""" hore In II*'! 4 is I_I different &om the ...abao(.) I'UIIIlIld In
~ 2. gin a bOd _ _ 01 how die daiman!(.) obtained ownmhip 01 die copyright. .,
MORe ON BACk ~ • CompIe" . . appIicablol _ . (.u"' .... 509' on Iho ,..,_ _ oIlIIio ~.
• _ daIIIIad - - - . . .
• SIgn Iholomt .... e.
I~
!J
I::.gg '::ui.~itrili:l
1"5 1'i
DONOT~_
P.,01 _ _ _
~~-~----
A-482
Case 1 :11-cv-06351-HB Document 99-4
Filed 06/29/12 Page 15 of 17
EXAMINED BY
CHECKED BY
'.
'YffiA)
FORMTX
~PONOENCE
FOR
COPYRIGHT
OFFICE
USE
ONlY
DO NOT WRfTE ABOVE THIS UH£.IFVOU NE£D MORE SPACE, USE A SEPARATE CONTINUAlJON SHEET.
PREVIOUS REGlSTRAnON Has regisb"aIIon lot: !hi. work. or for "".arlin ""nOOn 01 this wort<, olroady boon modo in the Copyright Offiao?
o Y.. 'it No If your ansWff is "Yet," why is another registration b«ing.ought? (d>edr. appropriate box.) "
a. 0 This Is the fitst pubIW>ed edilion of a work pntvioualy ~ in unpubIiahed forD\.
5
b. 0 This Is the flnI oppIkation ...bmIt!.od by this author .. ropyrIsht claimant.
C.
0 This Is a changed version of tho work. as shown by space 6 on this application.
If your ........ is "Yeo," 9ve: Prevlowo Rep.tnUoll N.........
Yar of Iloslelntloa ..
DERIVATIVE WORK OR COMPILATION
a
Preexlotlng Malftiat Identify any pntexistlng work or worko that !hi. wort< is baaed on or incorpont... "
6
a
b
7
Material Ad4H to TIolo Work Give a brief, general ._~I oIlht material that h.. boon .deled to this work lAd in which copyrighll5 claimed. "
DEPOSIT ACCOUNT If Iht "'9.lration fee is 10 be cIwged to • Dopooit ACOJUnt establiahed in tho Copyright Offiao, give name and number 01 Account
Name"
Account N....... "
Grove/Atlantic, Inc.
DA061131
COItR1!SPONDENCE Give name and adcUea to which comsponclen~1~7 _ _ QI(.~EN~'Y~~ __
__
MOST RECENT
P UB. HARDCOP\'
. - -~- - -
Filed 06/29/12 Page 3 of 3
SUBSEQUENT PUB(S).
Case 1:11-cv-06351-HB Document 101-1
A-494
A-495
Case 1:11-cv-06351-HB Document 101-2
Filed 06/29/12 Page 1 of 21
EXHIBITB
A-496
_ . . . .cc....:
FORM A
CLASS
gpptiradon for Rtgtmation of a ~lafm to ~opytight
uot:
~:. .....~.9.~!L ......
'J ,.MIsbtd
AA
book manufachlred in lbe United States of America
....i .....1 Make sure that all applicable spaces bne been
_.t . .
eta! before you .ubmit 1M loon. The application mlUt
...... at line 10 and tM AHIDAWIT (1iDe 11)
PLITID AND NOTAIIZID. The application should not be
i~ until after the date of publication given in line 4, and
IIIould state the facts which ex"ted on that date. For further
l
~ eeepase4.
~EGISTRAT/ON NO.
149560
DO NOT WRITE HERE
Pases 1 lad 2 should be typewritten or printed with P<
and ink. Pages} and 4 sbould contain aactly the same inlormatio
as paps I and 2, but may be carboa copies. Mail all ~aes of tI:
application to the Register of Copyrights, library Of Consres
Wuhington, D .C. 20~~O, lOselher ",ith 2 ropies of the best editio
of the work: and the regiJttatioa fee
payable to the Registrr of Copyrigbll.
at $6. Malee your remitbDl
I. ~t CIa....tI.) .. II A. .,..C •• , t Give the name(s) and addressees) of the copyright owner(s). Ordimrlly the _
lbouJd Iir the IIlIlC as in the notice of copyright on the copies deposited.
".;.. _.J:.L..lt,..~.l§!lM!TI.~.!L __ _._................................................................................._ .. ...... _...... ......_ ...._
~
IOIe
...._ _ ._ _ ._
..._~_~.17....M},.~~el..'..~.Jh:!y.~......~~t.h~~.4.1!.1 ...~.r.Y..l.~.lt .................. _.. .....
marked "IX),"
notuy public.
>II
(s
(3)
of prindDg wbleb
am the
k described ill this
.
~ .....A ........ ....... ... ........ ...
. .. SEA CHANGE
."
--...... ............... ..... ................ ....................... ......... ................... ....... ..... ... ........... ----............. .
(Gift the tid. of the book .. it '"pun on the title p.,.,l
or..aizadon claim·
in this application;
pplicatlon,
on: Citizensbip and domicile inf01'll'lSuon must be Biven.
• work: w .. made for hire, thr rroployer is the author. The
.uup of organiutions formed under U.s. Federal or State
IhouJd be st.ted as U.S.A. Authors may be editors, compilers,
Uii······.... ·· .... ·· .. ·
s performed within
from ty~ set
lei within me Wnia
'ithin the limits of
. and bindina were
translators, illustrators, etc., as well as authors of original tat
If the copyright claim is hued on new matter (see line ') giv•
requelted informatioa about the author of the new mattu.
~,~ .. .,.J ......R •... Sa1ausnca ............................................................... _...................... _
StateS
.t.
(Giye ~ umt followed"'" PI<\I~OD"" if lilter ._ra
OA
CitiacD&hip ......... ~AL
(N_ of country)
.._ ....._....
the copits)
JCH TY!'lsmiNG
ID IINDING. ETC.)
10 U.S.A. Y.. .. .............. No ...............
In U.S.A.
'u allo".)
..th.................. ..
Y.. ......... .....
No .... _..... .....
Addr... .... .. . ....................................................... ...... ........ .
Addreu . . ..... ............. ... ..................... ................ _ ........... ................. ............. ..... ... _ ... .. ...
.... W "'lleatC... of T... EIIIIl ••: Give the complete date
. ' ~es of this particular edition were: first plared on sale,
l ll .p ublicly distributed. The date when copies were made or
printed sbould not be confused with the date of publication .
NOTE: The full date (mexXh, day, &ad year) must be Biven. For
furtha- information, scoe J>aBI' 4 .
-·-:-··--.. ··--···----·· .... --··· . ·..·-- ..·....·~·~·'P·f:=r! ..··..(Ditj~.. ··..·..~tr · ··· · ....··....······· . ·· . ..·............---......-.. ···
Of'"
. . CNOTl: Leave 11M • It......IDI..........1 I......ctlo. . .pply t ...I• •
..
4C
If any substantial part of this time in this version. New matter may consist of compilation,
.
.. M , I. nil V•.PlI.a:
.....
_ hem previousl, published anywh~e,
~.e a brid'. general
t bf the nature of the new matter published for the first
-"
~-
•• .
~ . -
- -_. --
translation, abridgment, editorial revision, and th~ like, as well
IS additional tat or pictorial matter.
__ - . . __ - -- ___ _._-_ •••. -•. _.. -•• . •. _. - ._ . .•• ••. _e. _. _.••. . •. .••.•••• __ _._ .. . ...•
0
___
•
•
__ •
•
_ _
_
_
_
.e __. ,," __' " . ____ .,_ . __ ___. _. __ . __ ___ . •_
. ~OTII 'Lean II •• , ~ .... u ...,. ..... 1M•• a PREVIOUS FOUIGN IDmON la ... ..,11,. I••,..,• •, . . .
. Ie ...11•• ',.vl••• 1y Maallfact.ratI . .4 'dllI... 1I Anal!: If all or a substantial part or the text 01 this edition
101Ii1, manufactured .na· ~bli.hed abroad in the English lanSWlge, complete the following 'Paces ;
...
W",
.........
of fint publicatioo of foreign
•
edition ......................... ..
(Year)
Wu registration for tbe foreign edition made in th~ U .S.
Copyright Ollia? Yeo .... ..... No .........
EXAMINER
IDswer is "Yeo," Bive regi.tration number .... ... ...... .......... ............. ..
_...... ................ .......... f -nY
A-497
Case 1 :11-cv-06351-HB Document 101-2
Filed 06/29/12 Page 3 of
1. If ....Iahtf_ ... II h .. c....tI te • •,.... ................. II ... Copyrf.... oe-. .... ~
. . . . . . . ,.,....,.,........... h . . . . _
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. . . . . . . . . . . . . . . . . . .- -• • • - . - • • - -. . . . . . . . . . . . . . . . . . . . .
.....
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.. N. . .
et.ceHtl
~--------------------------------~
201 East 50th Street
....... , ...................... ··-·· ..··_-(N"ua.Iicr·oiiC\··oiieiij"····· .. •••·• ..•• .. •..•••..·······-· .. ••... "
---.--.. Jif!M.··~f--········-··_»~pJ.:k·_·····-···--12B2.:r.T··................
1..
(NOT!: App1latioa DOt IICceptable lIIlkH siped)
1 Cl!I.TIFY that the _ I I made '" _ io tbU application an C'OrftCt to the belt oi mr Imowled&e.
J.
...·.
nd.., ....)· ···-....···-~~S~)~.----·--··.
~;~1I1k
to~
11. AtI4IeYtt ' ....
ItuUuctioo,:
IpAa!I with special attmtiol1
"CX)." (2)
the ailidavit before &11 officer luthocW!d to odminist~ oaths withia the Uniu!d SlUes•• um u a IlOtIU7 public. (~) Have the oIIicer
and -.l the allid..,it and 61I1a the d8te of encutWo.
"
NOTE: The ailidnit mud be ,iped and _ized only D& ~ II/ur the date oi publiadon Of complecioo oi printlna whicb it
n. alIidavit ellst be tIped '" &11 iadiYidulJ.
I. the UDdmiped, depote and ray that I am the
o Penon claiaIiq coprrisht io the book described
····1 sn
COUNTY Of ......~••XQ~.........................
That the book
WIll
publisbed
Of
the printlna wu completed
00:
'X) ...............S.~.P.t.embe.~ .~ .. r.l9.~9. ............... .
.
--1GIn
....,. &4d
)'Ur'
That, of the MOUI proceueI employed in the production of the copies dqositN, the settina: oi the type wu pedOJmCd withia
llaUtI of 1M United StJleI or the inalcins of the platel was performed wi!hJft the limlll of the United Slata from
.
the Iitbopphk or pho~ procellet uJed in proclucll1l the test were wboUy pedormed within the Umits
and that the prinlini 01 the text Illd the bindinl (if any) wen: abo perfoDDCd within the limits oi the
aettID.&. platenaltio&. litbopph!c Of photompYin' ptOCCII, ptintlnJ. and bindlna weJe performed '" the
indlflCl..b It the foUowiq..Idnssea :
,em ntl NAMn AND ADIDSSII Of! THI I'IUONI 01 OIGANIZATIONS WHO "IIPOlaUI IUCH 'rY1.n.n'll
01 I'LATlUKJNG 01 UTHOGIAJIHIC "IOCIII 01 I'HOTOINCIIAYiNCI nocul 01 .IINTING AND IUllDIlItGI,
N_
un ...a«dd9..u..Crafta~tL. ...................... _ .
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edition of the work and tbe reaiauatioA fee of $4. Make your
relDittaDce payable to tbe Reai.ter of Copyrjpu.
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NOTE: The a/lidayit mUlt be 'i~ and aowized onlf O. fir
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or the lithopapbi£ or pboweograviDa procClla ...eel iaJroduClOg the tat, were 1ICd0rmed witJlin the limiu of the (Jait"
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'That these procCIICI were 1ICd0rmed by the folloNg e.tablisbmeou or iadlvidual. It the follow"", addre..a:
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(GIVE TIll! NAMES ANt> ADDRESSES OF THE PERSONS OR ORGANIZATIONS WHO PRODUC1!D THE COPU!S-- ·.
TYPESETTERS. P1UNTl!RS, BINDERS. ETC.)
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Name. (X) _______ < - _______
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A-500
Case 1:11-cv-06351-HB Document 101-2
Filed 06/29/12 Page 6 of 21
ISSN 0041-7815
Catalog of Copyright Entries: Third Series
Volume 28, Part
I,
Number
I,
Section
2
Books and Pamphlets
Including Serials and
Contributions to Periodicals
Current and Renewal Registrations
J anuary-June
1974
COPYRIGHT OFFICE • THE LIBRARY OF CONGRESS
WASHINGTON: 1976
A-501
Case 1:11-cv-06351-HB Document 101-2
CURRENT REGISTRATIONS
1'11
day 1n the ye8r.
A5019}O.
Trucki~
1t1Srg@rA:
Ll.
rl1gulatorv
viewpoint. By James C. Johnson.
2'7 p. t) D.. C. H('o.th and company;
16Nov7~;
A')(ll~nO.
A501931.
Prices and "'ae~s- in U. S. manufacturing: a factor analysis. By Na.ncy
Smith Bar-rptt, Ceraldine Gerardi &
Thom.as P. Hart.
~12
p.
0 D .. C. Hl!:Jsth
and Company; 6Nov7); A501931.
A50 19,2.
Purt" cont.raption:
I1s~ays.
f)
Filed 06/29/12 Page 7 of 21
composerle
By Ned Rorem. 149 p.
By Ray Bre:dbury
4
A50l96o.
A Skunk in the hOU8e. By Constance
Taber Col by, photos. tAken by David
L. Wertheimer. 144 p~ {) Con&tance
Taber Colby; 16Apr73; A50196o.
143 p. Nl-\: revisions I< additions.
Ray Bradbury; 31Oct73; A50l945.
~
A501,Tan74; A501933.
A501Q34.
Tonal harmony 1.n concept and practice.
By Allen Forte.
2nd ed. 502 p.
'0 HoI t, Rinehart and Wins ton J Inc.;
2Jan74; A50l934.
Dy
Arthur Mi tzman. 37", p. 'Q Arthur
Mitzman, 31Oct73, A~01948.
A501949.
Block by block; rebuild1ng City
neighborhoods. By Martha E. Mun~er &:
Helen W. Vogel. 164 p. Appl. states
all new except preY. pub. photos.
© Martha Munzer" Helen Vogel; 160ct73;
A50l949.
A501935.
Dramatic theory and criticism.
Greeks to Grotowskl. By Bernard F.
Dukore. 1003 p. () Holt, Rinehart and
Winston, Inc.; 2Jan74; A50l935.
A501950.
Bukhar1n and the Bolshevik Revolution;
• political biography, 1888 - 1938.
By Stephen F. Cohen. 1'95 p. NM,
85';: new text &: Bome photos. :0 Stephen
F. Cohen; 3lOct73; A50l950.
A501936.
A501951.
special education 1.n transition.
Edt tor, Lloyd M. Dunn. 2nd ed.
600 p. 0 HOlt) R1nehart and Winston,
Inc.; 19MA1'13; A50l936.
consequences of Stalinism. By Roy
A. Medvedey, translated by Colleen
Taylor, ed.t ted by _David Joravsky &:
Exceptional chtldren in the schools:
A5 on text;
Violet Broadr1bb &; Henry F. Lee;
12Jul73; A50l953.
A50l954.
The Modern parents' guide to baby and
child care. By vtolet Broadr1bb &:
Henry F. Lee. 458 p. Appl. au.,
Sanford K08sina R) on illuB.; J. B.
Lippincott Company; l2Ju173; A50l954.
A501955.
Thl! Story of Serge1 Prokofiev.
By Helen L. Kaufmann.
160 p.
NM: text. e Helen L. Kaufmannj
27May'l'l; A50I955.
1'.501 956.
The Secret museum.
By Sheila
Greenwald. 127 pa ~ Sheila Greenwald;
16Jan74; A50l9?6.
A501957.
Heads you win, tails I losea A novel
by Isabelle Holland.
159 p. :() Isabelle
Holland; 24Jul73; A50l957.
A501958.
A Simple act of klndaesB. By Winston
M. Estes. 320 p. :0 Winston M. Estes;
3Apr73; A5019?8.
By Gordon Ra DicK8on.
216 p. () Gordon R.
A50196l.
D1c~son;
19Oct73;
A50l962.
The Fearful void.
By Geoffrey Moorhouse. 288 p. tI Geoffrey Moorhouse;
l4Jan74; A501962.
A501963.
GranoJr'18 s ters of chess. By Harold
C. Schonberg. 317 p. Port ion8 prey a
pub. in Harper's magazine &: 1'h@ New
York t1mes magazine. NM: additional
text. IC Harold. C. Schonberg; 40ct73;
A501963.
A50l964.
DeaUng with cheats. By A. D.
Livingston. 320 p. Portions expanded
from article entitled A sawyer takes
the pot anytlrne prevo pub. in. Sports
illustrated. M;, additional text &
pictorial IDattel". () A. D. Livingston;
llOct73; A50l964.
A5 0 1965 •
Curricul1,lM and instruction in
nursing. By Virginia C. Conley.
673 p. () Little, Brown and Company~
Inc.; 3lOct13; A50l965.
A50l966.
The Economics of industry.
tJy
Roger Sherman. 426 p. o 11ttle,
Brown and Company, Inc.; 2Jan74j
A50l966.
A50l967.
':'he Devil and John Foster Dulles.
By Townsend Hoopes. 51\2 p.
o Townsend Hoopes; 190c t73; A50l967.
A50196B.
The Dione Luca~ Book of French
cooking. By Dione Lucas &- Marion P.
Gorman, illustrated by Joseph S.
Patti. 9:15 p. Portion (5%) prevo
pub. in 1947 1n The Cordon bleu cookbook. NM: 95% new matter. () Marlt
~5~i~.M8.rlon F. Gorman; l8Nov7~;
A501969.
'In cheese. Wine; the first beverage
of French clJisine. By L1.or:el H.
Braun. (In The Dione Lucas Book. of
French cooking, p. 687 - 697 &:
p. 858 - 871) 0 on articles ent1tled
On cheese &: Wine: the first beverage or
F'rench cuisine: Lionel H. Braun;
18Nov73; A501969.
A501970 - 50197l.
Somebody j s dog.
By M1 ska Miles
(Patricis Miles Martin), illuBtra ted
by John Schoenherr. 47 p. 0 on textj
Miska Miles; 13Nov73; A501970.
o on 111us.; John Schoenherr; 13Nov73~
A50l97 1.
A501972.
Political change 1n the United states:
11 framework tor 8.nalys1 s. By Kenneth
M. Dolbeare. 246 p. () McGraw Hill,
Inc.; 17 Jan74; A50l972.
A501973.
Going like sixty, a lighthearted
look at the late:r ,years. By Richard
Willard Armour. 133 pa Q Richard
Armour; 15Jan74; A501973.
A50l9?9.
A5~~5~lCPhants
last 1n the dooryard
hloomed; c~lebr.tion8 for almost any
So far from h~*,ven. By Richard Bradford. 273 pa Condensation of' this
novel prevo pub. in Redboolt. 'Q R1chard
Bradford; 17May73; A5Dl959.
A501974.
The G€ ography of crime and justice.
Keith D. Harries. 125 p.
'" !(cOra" KUI, Inc.; 15Jan74; A501974.
By
A-502
Page 1
FORM A
gppti(ati~n
for 'Rtgistration of a ~laim to [Op~ri.nht
in apubUshed book manufactured in the United States of America
I••tnactlou: Mak~ JUre thaI all applicable IpaCes hue been
comV1eled belon you submit the form. The application mUll
1M: "pled al line 10 and the .(fi4nil (line 11) completed .....
DOUrizecL The application abcNld DOt 1M: submitted until after
the dale of publication giVaI in line .., and sbouJd atate the
facu ..hich exiated on that dale. For further informatiOll,
-pa.".
CLASS
REGISTRATION NO.
A
1. --515978
DO· NOT..wR I TE
PaRes 1 and l should be lypewritleD Of priDte:1 or pictOrial matter.
•. U. I. I ..ltlaa of 100. I. Eal"'" "... .. ........,.4 . ...
h ......... AllrolNl: (NOTE: La......1. U.. ltI.n ••Ia......
"llowl. . IaItnCtlOllI ....1, ....... wo".l If this is the
U. S. edition 01 a book in Enltliah and allOt. luhatantiaJ pert
0/ the English t61 of an earfier loreign edirion .... manufac·
tured and iUst J>Ublished abroad, complete me following .paCeI.
Year date of 6 ..1 publication of foreip edition ______________ .
W .. claim 10 ad interim copyright
registered in me foreip edition?
(Year)
For
,,,,'k, i",o,-..I;o•• s.,
~"6'
4.
U claim 10 ad interim copyricht .... "0/ regillcrcd. is U. S. copyrigl>1 in Ihe foreign edilion claimed
by virtue of the Universal CoPyriBhl Convention?
Ya
o
Na
v.
No
o
0
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I
.'
A-503
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(NOTE: Appliatioa !lOt acceptable UAI_ . i p e d ) .
I CE1lTU'Y dlat the JtaICmcGU made '" me in IhH applicatioa are conen to the besc of lIlY kaowlcdp.
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(l) Sip the at6davit before an odi~ authorized 10 administer oatlu within the United States, such u a DOW)' public. (3) Have
lbe officer .ign aod seal the atlidavit &ad Dl1 in the datc of eucution.
NOTE: The ../lid...,il mutt be lisnecl aod DOUri&ed naly ... or 11/1". the date of pubUcatioD or completioo of priAtin& which
it 'Ultn. The .aida,.;, mUJI be sianed by an individuaL
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The duly ...thorlzcd &JCIIt of the ~ or orpaizatiOD
claimin, COpyrlshl in the book daaibed in this application;
z.
o The printer 01 the book deKrlIoed in this application.
That the book was publishecl or the printiDa wu completed
00:
(X)
.JlU.T-24.-_1961
___
____________ _
(Gi.... - b . dOJ. IU>d year)
production of the copies deposited, the serlin, of the type and the makioa of places.
Thai of the various proc.._ employed io the
or the lithographic or pbo~"'in, proccua used in rroduaq the cat, were performed within the limits of the Uniud
Snltes. a.nd thac dM priotiDa of the tnt &ad the binding (i any) were also performed within the limits of the United Stat...
Thac these 1K0ces_ were performed by the following establishmeDti or individuals at the followin~ addresses:
(GIVE 'IHE NAMES AND ADDRESSES OP mE PERSONS OR ORGANIZATIONS WHO PRODUCED THE COPlESTYPESETl1!RS. PIUNTERS, BINDERS, ETc.)
Nama (X) ____
Wolf! _____ ._________ Addrelles (X) .____ No__
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Fa.roca, ... d
Year
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by vi
A-504
Case 1:11-cv-06351-HB Document 101-2
Page 10 of 21
Filed 06/29/12
~---------
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DATE AND NATION OF FIRST PlIBLICATION,
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Mr. J. R. Sala1Mrc.
10843
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Case 1: 11-cv-06351-HB Document 101-2
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Case 1:11-cv-06351-HB Document 101-2
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Case 1:1 1-cv-06351-HB Document 101-2
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Case 1:11-cv-06351-HB Document 101-2
Filed 06/29/12 Page 20 of 21
Registration Number
TX 7-502-316
Effective date of
registration:
March 13,2012
Title
Title of Work: That Summer's Trance
Completion! Publication
Year of Completion: 2000
Date of 1st Publication: June I, 2000
International Standard Number: ISBN
Nation of 1st Publication: United States
9781566491258
Author
Author: J. R. Salan1anca
•
Author Created: text
Work made for hire: No
Citizen of: United States
Year Born:
1921
Copyright claimant
Copyright Claimant: 1. R. Sal3111anca
10843 Deborah Dr., Potomac, MD, 20854, United States
Cert ifi cat ion
Name: Anita Fore
Date: March 9,2012
Copyright Office notes: Regarding limitation of claim: statements on deposit indicate some text
pnxxisting.
Page lof 1
A-515
Case 1:11-cv-06351-HB Document 101-2
Registration #: TX0007502316
Service Request #: 1-722867979
Anita Fore
The Authors Guild
31 E. 32nd Street, 7th Floor
New York, NY 10016 United States
Filed 06/29/12 Page 21 of 21
A-516
Case 1:11-cv-06351-HB Document 101-3
Filed 06/29/12 Page 1 of9
EXHIBIT C
A-517
Case 1:11-cv-06351-HB Document 101-3
Filed 06/29/12 Page 2 of 9
TANTOR MEDIA, INC.
2 BUSINESS PARK ROAD, OLD SAYBROOK, Cr 06475 - (860) 395-1195 - FAX (860) 395-1154
This Agreement (the "Agreement") is effective as of November 29, 2011 (the ;'Effective Date")
by and between J.R. Salamanca, 10843 Deborah Drive, Potomac, MD 20854, represented
by the John W. White Literary Agency located at 60 Pound Ridge Rd., Cheshire, CT
06410, (hereinafter referred to as the "Licensor") and Tantor Media. Inc. (hereinafter referred to
as "Tantor") located at 2 Business Park Road, Old Saybrook. CT 06475, a Connecticut
corporation.
WHEREAS, the Licensor is the owner oftlle electronic rights in and to the book(s) sct forth in
Exhibit A attached hereto and incorporated hereby (hereafter referred to as the "Work(s)"); and
WHEREAS, Tantor is il11he nllsiness of the publication and sale of literary Work(s) in electronic
formats and desires to acquire from tbe Licensor the rights to the Work(s) as set forth herein.
NOW, THEREFORE, in consideration of the mutual covenants, promises and conditions
contained in this Agreement and for other good and va!uable consideration, the receipt and
slIl1iciency of which are hereby acknmvledged, the Licensor and Tantor agree as follows:
t. Grant of Rights.
1\. The Licensor hereby grants, conveys, and transfers the following rights to TantoI':
(i) The right to produce, publish, promote and sell electronic fOmlalS ofthc Work(s),
including on disks and ciectronic downloads for tbe E-readcr format or any other digilal
format or media nm\' kn0\\11 or hereafter developed or devised during tbe term of this
Agreement (the "Electronic FOI1'lla(')
(ii) In the territory of the World
(iii) In the World English langllage
(iv) For the initial term of 10 years, commencing from the EHcctivc Date of this
Agreement: ,"vith subsequent automatic renewal term(s) of I year ca;;h, unless and until
tC1U1inated at the end of the then current term with ninely (90) days prior \\Tittcn noticc to
the other party.
(v) In All .\-1arkets (=Library + Retail)
(vi) This grant of rights shall be exclusive
(vii) In unabridged fomlut.
B. The parties agree that the Electronic Fonnat contemplated herein shall be the entire text of the
Work(s) and that no changes. additions. or re\t any loss, cxpense or damage occasioned by
any claim. action. proceeding or recovery arising out of a claim i nconsislem with any of the
foregoing representations and warranties. The representations, warranties and indemnities made
herein shall survive the termination ofthis Agreement.
11. Oefault and Termination
Ierrninatig!}. Either party may terminate this Agreement if: (i) the other party fails to perform
any of the material tcrms. conditions. agreements. or covenants in this Abrecment and such
failure is not cured \vithin thirty (30) days t{lllowing receipt of a written notice of sllch failure
from the non-breaching party. or (ii) if the other party files a voluntary petition in bankruptcy or
applies for appointment of a receiver for its business. or if a petition in bankruptcy is filed
against the other party by any third pal1y. which is not dismissed \vilhin sixty (60) days after
filing.
12. Assignment
Any and all of the rights granted to Tantor under the terms Oflhis Agreement shall he assignahle
lIpon the sale of all or substantially all ofTantor's assets. Except for the: sale of all or
substantially all of the assets of Tantor, any and all of the righls granted to Tamor under the
terms oflhis Agreement shall be assignable provided that Licensor extends advance written
approval for the assignment. Upon the written assumption of those obligations by the assignce.
Tantor shall forward a copy of the written and fully executed assumption of obligations to the
Licensor. and Tamor shall be discharged of all further obligations and have no further righrs
under this Agreement.
CONFIDENTIAL
AG 0000123
A-521
Case 1:11-cv-063S1-HB Document 101-3
Filed 06/29/12 Page 6 of9
13. Liability
In no event shall either party be liable under this Agreement (whethcr in an action in negligence.
contract or lort or based on a warranty or otherwise) for loss. profits. revenue or any indirect.
incidentaL punitive, special 0)' consequential damages incurred hy either party.
In no event shall Tantor' s total liability, howsoever arising, whether arising out of contract,
negligence. strict liability in tort or breach of warranty or any other cause of action. exceed the
royalties paid to Licensor hy Tantor for the six months immediately preceding the event that
gave rise to such liability under this agreement.
14. Interpretation and Choice of Law
This Agreement shall be gOverned by and construed under the laws of the State of Connecticut.
applicable to agrecments made and fully pert{)rmed therein without regard to contlict of law
principles.
15. Fees and Costs
If any action tn enforce or interpret this Agreement is taken by the Licensor or TantoI' against the
other, then the substnntially prevailing party in such action will he entitled (0 recover from the
other all reasonable costs and expenses incurred in taking or defending slich action. including
reasonable fees of attorneys, the Ices of experts and other technical advisors. inclusive of appeaL
16. Waiver
Waiver by one party hen;to o1'bre<1ch of any provision
operate or be (;onstrued as a continuing waiver.
or this !\grecl1lcnt by the other shall not
17. Notices
Any and allnotlc('s, demands, or other communications required or desired to be given
hereunder by any party shall be in writing and shall be val idly given or made to another party if
personally sened. or jf deposited in the United Stales mail. certified or registered. postage
prepaid. return receipt requested. I r such notice or demand is served personally. notice shall be
deemed constructively made at the time of such personal service. If such notice. demand ,)r
other communication is given by mail. such notice shall be conclusively deemed given five days
alter deposit thereof in the United States mail addressed to the party to whom slIch notice.
demand or other communication is to be given as follows:
ffto Licensor:
John W. White Literary Agency
60 Pound Ridge Rd.
Cheshire. CT O(i4 I 0
CONFIDENTIAL
AG 0000124
A-522
Case 1:11-cv-063S1-HB Document 101-3
Filed 06/29/12
Page 7 of9
If to Tantor:
Tantor Media, [ne.
Att: Ron Formica
2 Business Park Road
Old Saybrook, CT 06475
Any party hereto may change its address for purposes of this paragraph by written notice given
in the manner provided above.
18. Independent Status.
The performance by TantoI' of its duties and obligations under this Agreement shall be that of an
independent contractor. and nothing herein shall create or imply an agency or employment
relationship between Licensor and Tantor.
19. Modification or Amendment
No amendment. change, or modification of this Agreement shall be valid unless in writing signed
by the parties hereto.
20. Entire Understanding
Tilis Agreement and any exhibit attached hereto constiwtes the entire understanding and
agreement of the partks as 10 the subject matter herein. and any and all prior agreements.
understandings. and representations are hereby terminated and canceled ill their enrirelY and arc
of no further force and effect.
21. {Jnenforceahility of Provisions
Irany provision of this Agreement, or any portion thereoC is held to be invalid and
unenforceable. then the remainder of this Agreement shall nevertheless n:main in full force and
effect.
22. Survival
All provisions of this Agreement regarding indemnification. warranty. liability and such other
provisions that by fair implication required performance beyond the term of this Agreement shall
survive expiration or termination of the Agreement until fully performed or otherwise arc
inapplicable.
23. Force Majeure
Neither party v,ill be liable for any failure or delay In its perfOlmance under this Agreement due
to causes beyond its reasonable control. including, but not limited to. acts of God, acts of civil or
military authority. acts ofterrorisl11. tire. epidemic, Hood, earthquake, rioL war, sabotage. labor
shortage or dispute, failure of suppliers to perform or failures in supply chains, and govemmentaJ
action. provided that the delayed party: (i) gives the other patty \vritten notice of such cause
promptly. and in any event within fifteen (15) days of discovery thereof: and (ii) uses its
CONFIDENTIAL
AG 0000125
A-523
Case 1:11-cv-06351-HB Document 101-3
Filed 06/29/12
Page 8 of 9
reasonable efforts to correct such failure or delay in its performance.
24. Arbitration
Any claim, dispute or controversy arising out of or in connection with this Agreement or any
breach thereof shall be arbitrated by the parties before the American Arbitration Association
under the rules obtaining oftllat Association. Such arbitration shall be held in the City of New
Haven. Judgment may be entered on the award in any coun having jurisdiction thereof. The
arbitrator shall be one mutually agreeable to both parties in the claim, dispute or controversy.
25. Bankruptcy
In case of (a) bankruptcy, receivership or as~igllment lor benefit of creditors of the Publisher. or
(b) ira petition in bal1kruptcy is filed by th~ Publisher. all rights granted herein shall revert to the
Author and thereupon this Agreement shall terminate but the Author shall have the right to buy
back any remaining copies or sheets at a fair market value, to be determined by agreement
26. Agency
The Author hereby authorizes the Author's agent. John While, 60 Pound Ridge Road. Cheshire.
Connecticut 06410-34 J 2 to coiled and receive all sums of money payable to the Author under
the tenns \11' (his agreement and declares that the receipt by said agent shall be a good and valid
discharge in respect thereof, and the said agent is hereby empowered to act on behalf of the
Author in all matters arising out of this agreement; said authorization shall continue in c!Tcct
unless and until the Pllblisher shall be otherwise instructed in writing by the Author.
IN WITNESS \VHEREOE the panies have signed this Agreement as of the date first scI forth
above.
Tantor Media, Inc.
Licensor:
-------------------
Ron Formica
2 (1
Ncv e vvJx:~Y-
2()[J
Date
CONFIDENTIAL
AG 0000126
A-524
Case 1: 11-cv-06351-HB Document 101-3
Filed 06/29/12
Page 9 of 9
EXHIBIT A
The Work{s)
TITLE
l.
2.
3.
4.
5.
CONFIDENTIAL
AUTHOR
The Lost Country
A Sea Change
Embarkation
Southern Light
That Sununc['s Trance
J .R. Salamanca
J.R. Salamanca
J.R. Salamanca
J.R. Salamanca
J.R. Salamanca
AG 0000127
A-525
Case 1:11-cv-06351-HB Document 101-4
Filed 06/29/12 Page 1 of9
EXHIBITD
A-526
Case 1:11-cv-06351-HB Document 101-4
Flied 06/29/12 Page 2 of9
TANTOR MEDIA, INC.
2
BUSINESS PARK
ROAD,
OLD SAYBROOK,
CT 06475 - (860) 395-1195 - FAX (860) 395-1154
This Agreement (the "Agreement") is effective as of September 1, 2011 (the "Effective Date")
by and between J.R. Salamanca, 10843 Deborah Drive, Potomac, MD 20854, represented
by the John W. White Litcrary Agency located at 60 Pound Ridge Rd., Cheshire, CT
06410, (hereinafter referred to as the "Licensor") and Tantor Media. Inc. (hereinafter referred to
as "Tantor") located at 2 Business Park Road, Old Saybrook, CT 06475, a Connecticut
corporation.
WHEREAS, the Licensor is the o\vner of the electronic rights in and to the book(s) set torth in
ExhibjtA attached hereto and incorporated hereby (hereafter rekrred to as the "Work(s)"); and
WHEREAS, Tantor is in th", business of the publication and sale of literary Work(s) in electronic
formats and desires to acquire from the Licensor the rights to the Work(s) as set forth herein.
NOW, THEREFORE, in consideration of the mutual covenants, promises and conditions
contained in this Agreement and for other good and valuable consideration. the receipt and
sufficiency of which are hereby acknowledged. the Licensor and Tantor agree as follows:
L Grant of Rights.
A. The Licensor hereby grants. conveys. and tnU1skrs the f()llowing rights to Tumor:
(i) The right to produce. publish. promote and se[! electronic formats of the Work(s).
including Of] disks and electronic downloads for the E-reader formal or any other digital
format or media now known Of hereafter developed or devised during the term of this
Agreement (tl1e "Electronic Fonnaf')
(ii) £11 the territory of tile \Vodd
(iii) In the World English language
(iv) For the initial term of 10 ycars, commencing from the Effective Date of this
Agreement: with subsequent automatic renewal lerm(s) of 1 year each. unlt:ss and until
terminated at the end of the then current term with ninety (90) days prior written notice to
the other palty.
(v) In All Marl{Cts (=Lihrary + Retail)
(vi) This grant of rights shall be exclusive
(vii) In unabridged fomlat.
B. The parties agree that the Electronic Format contemplated herein shall be the entire text ofthc
Work(s) and thal no changes. additions. or revisions to the text shall be made without the
Licensor's prior written approval.
CONFIDENTIAL
AG 0000112
A-527
Case 1:11-cv-063S1-HB Document 101-4
Filed 06/29/12
Page 3 of9
C. The parties agree that Tantor shall be the o\\uer of the Electronic Format of the Work(s)
produced by Tantor hereunder. In the event and to the extent necessary. Licensor agrees to and
does hereby grant to Tantor any rights necessary for Tantor to be the owner of such Electronic
Format as contemplated in the previous sentence. This paragraph shall survive termination of this
Agreement.
D. Upon request by Licensor at the termination of this Agreement, Tantor and Licensor may
negotiate in good faith an af,rreement reasonably acceptable to the parties to provide a copy oftlle
file containing such Electronic Fom1at of the Work(s) to Licensor. This paragraph shall survive
termination of this Agreement.
E. Tantor shall have the right to sell the Work(s) in Electronic Format in a digital, downloadable
format (,'Downloadable Format''). with or without digital rights management protection.
("DRM").
E If the Licensor has a website for its Work(s), the Licensor may use up to two (2) chapters.
including prologue. of (he final, approved Electronic Format of the Work(s) for promotional
purposes on his/her v\'ehsitc, depending on the length of the book. upon agreement between the
parties.
2. Reservation of Rights
All rights not speci lically granted to Tantor herein an: reserwd by H1C Licensor. including but n\)t
I imited to the retention of any print editions. abridged version. or audio and video rights in any
recording based on a dramatic adaptation Of dranlatiz"ltiol1 in connection with the grant of motion
picture, television. radio. or dramatic rights.
3. Royalties
TantoI' shall pay Licensor or its Agent semi-annually Ca) for Electronic Fomat of a Work a sum
equal to Fifty Percent (50%) of Tantor's Net Sales Receipts ("Royalty") on sales of the
electronic format;
4. Original Materials
The LieenstlHRa.J.!.-make-every reasonable effort to Prt)1'flptly
6epyedited
form<*).
ellmpttref·fHe{'tf:.me-Weffi(~F.
pro\'itle-+antof-w~tlHhe-+ffitshecl
DOC, KIT';-BI any othe!,fllulually
agr~
Tantor will provide one (J) finished copy of the PDF version of the Work for Licensor and its
Agent for personal use only and for no other purpose.
5. Promotion Materials
The Licensor consents to the use by Tantor of subsidiary promotional materials that shall include:
The Amhor's name, approved photograph. and approved biographicaJ material. plus text and
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graphic element s of the book jacket, and other materials which may
be available in connection
with the Work(s) (the "Materi al").
In any case where a third party owns or controls any of the Material
described in this Section 5, the
Licenso r will make best efforts to provide accurate contact infommtion
for the
ownerslrightsholders. At Tamor' s reasonable discretion, Tantor will
make reasona ble efforts to
clear o\vnership of such Materials and, if cleared to Ta11tor's reasona
ble satisfaction, will pay any
fees related to their use in the Electronic F01TI1aL .Any such Materia
ls will be used in an
appropr iate and tasteful manner.
Licenso r I,'Tants to Tantor the following promotional rights:
(a) the right to promot e other Tantor e-books alongside the Work(s);
(b) the right to be able to give away first chapter samples of Work(s)
;
(c) the rigllt to provide portions oflhe Electronic Fonllat of a Work
for the "Look Inside" function
on Amazo n so that sample pages will be available on Amazon . as well
as for any similar feature
that is available during the term of this Agreement; and
(d) the right to give away copies of the Electronic Fonnat ofWork (s)
for promotional purposes.
6. Artistic Control
Tantor shall have full artistic control over the production of the Electron
ic Format ofthe Work(s).
7. Accounting
Tantor shall keep accurat e books of account and records coverin g
all transnctions relating to this
Agreem ent. TanlOr shall provide Licenso r with a comme rcially reasona
ble detailed stateme nt of
Royalti es rendere d as semi-an nual stateme nts of accoun t as of June
30th and Decemb er 3l st of
each calenda r year and shall mail such stateme nts along with any
amount due within sixty (60)
days of the close of each accoun ting period comme ncing with the
first full six months after the
Electronic Format ofthc Work(s) is first offered for distribu tion hereund
er. Stateme nts of
Royalti es will set forth the specific allocati ons of licenso r's earning
by each Ekctron ic Fonnat
frolll which such earning s are derived , and will be sent regardless
of whethe r a paymen t is due.
Licenso r or its represe ntative may. upon reasona ble written notice,
examin e Tal1lor's records
relating ro Royalti es during normal busines s hours under such conditio
ns as Tantor may
reasona bly prescribe. Such examin ation may take place not more
than once every twelve (12)
months . If an error in the Licenso r's favor is discove red as a result
of any slIch examin ation,
Tantor shall prompt ly pay for the amount of the error. Any such examin
ation shall be at the
Licenso r's expense unless errors of accoun ting in Tantor' s favor amount
ing to five percent (5%)
or more of the calenda r year being examin ed in such audit are found,
in which event all
reasona ble and custom ary examin ation expense s shall be at Tantor'
s expense .
8, Copyright and Authorship Credit
Tantor shall, as an express conditio n of receh:ing the grant of rights
specified in Paragra phs 1,
publish a copyrig ht notice on the Electronic Format of the Work(s)
as follows:
CONF IDENT IAL
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At the beginning ofthe Electronic Format of the Work: Copyright (C) J961 by J.R.
Salamanca. This electronic format is published by Tantor eBooks, a division of Tantor
Media, Inc, and was produced in the year 2011.
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Tantor shall publish the Electronic Format of the Work(s) no later than six (6) months a!l:er the
Effective Date, Failure to so publish shall give the Licensor the right to terminate this Agreement
(without prejudice to monies paid) upon sixty (60) days prior wTitten notice ofTantor's failure to
make timely publication and opportunity to cure. At its reasonable discretion. Tantor will make
best efforts to publish and promote the Work(s) using appropriate e-book sales channels and
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the best ofI.icensor 's knowledge); and (e) that the Work(s) does not infringe upon the statutor), or
common law copyright or other intellectual property of allY other party, Licensor agrees to
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any claim, action, proceeding or recover), arising out ora claim inconsistent with any of the
foregoing representations and warranties. The representations. warranties and indemnities made
herein shaH survive the termination of this Agreement
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applies for appointment of a receiver for its business. or if a petition in bankruptcy is filed
against the other party by any third party. which is not dismissed within sixty (60) days after
filing.
12. Assignment
Any and all oflhe rights granted to Tantor underthe terms of this Agreement shall be assignable
upon the sale of at! or substantially all of TantoI" s assets. Except for the sale of all or
substantially all of the assets of Tantor. any and all of the rights granted to Tamor LInder the
terms of this Agreement shall be assignable provided that Licensor extends advance written
approval for the assignment. Upon the wTitten assumption of those obligations by the assignee,
Tantor shall forward a copy of the written and fully executed assumption of obligations to the
Licensor, and T antor shall be discharged of all further obligations and have no further rights
under this Agreement
CONFIDENTIAL
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13. Liability
lUl10 event shall either party be liable under this Agreement (whether in an action in negligence.
contract or tort or based on a warranty or otherwise) for loss, profits, revenue or any indirect,
incidental, punitive, special or consequential damages incurred by either party.
In no event shall Tantor's totalliahility. howsoever arising, whether arising out of contract,
negligence, strict liahility in tort or breach of warranty or any other cause of action, exceed the
royalties paid to Licensor by Tantor for the six months immediately preceding the event that
gave rise to such liability under this agreement.
1-1. Interpretation and Choice of Law
This Agreement shall be governed by and cOllstmed under the laws of the Stale of Connecticut.
applicable to agreements made and ful!y performed therein without regard to con:lict of law
principles.
15. Fees and Costs
I f any action to enf()fCe or interpret this Agreement is taken by the Licensor or Tantor against the
other. then the substantially prevailing pariy in such action will be entitled 10 recover from the
other all reasonable costs and expenses incurred in taking or defending such action. including
reasonable fees of attorneys. the fees of experts and other technical advisors. inclusive of appeal.
16. Waiver
Waiver by one patiy hereto of breach of any provision of this Agreement by the other shall not
operate or be construed as a continuing waiver.
17. Notices
Any and all notices, demands, or other communications required or desired to be given
hereunder by any party shall be in writing and shall be validly given or made to another party if
personally served, or if deposited in the United States mail, certified or registered, postage
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deemed constructively made at the lime of such personal service. If such notice, demand or
other communication is given by mail. such notice shall be conclusively deemed given five days
after deposit thereof in the Cnited States mail addressed to the party to whom such notice.
demand or other communication is to be given as follows:
If to Licensor:
John W. White Literary Agency
60 Pound Ridge Rd.
CONFIDENTIAL
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Cheshire, CT 06410
lfto Tantor:
Tantor Media. Inc.
Att: Ron Formica
2 Business Park Road
Old Saybrook, CT 06475
Any party hereto may change its address for purposes of this paragraph by \\Tittcn notice given
in the manner provided above.
18. Independent Status.
The performance by TantoI' or its Juties and ohl igations under this Agreement shall be that of an
independent coJ1lraclor. and nothing herein shall create or imply an agency or employment
relationship between Licensor and Tantor.
19. Modification
OJ'
Amendment
No amendment. change. or modification
by the parties hereto.
or this Agreement shall be valid llnless in writing signed
20. Entire Understanding
This Agreement and any exhibit attached hereto constitutes the entire understanding and
agreement of the parties as to the subjeclillatter herein, and any and aJl prior agreements.
understandings. and representations nrc herehy terminated and canceled in their entirety and are
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21. Unenforceability of Provisions
If any provision of this Agreement, or any portion thereof, is held to be invalid and
unenforceable. then the remainder of this Agreement shall nevertl1des!> remain jll full force and
effect.
22. Survival
All provisions of this Agreement regarding indemnification, warranty. liability and such other
provisions that by fair implication required perfom1ancc beyond the teml of this Agreement shall
survive expiration or termination orthe Agreement until fully performed or otherwise are
inapplicable.
23. Force Majeure
Neither party will be liable for any failure or delay in its performance under this Agreement due
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to causes beyond its reasonable control, including, but not limited to, acts of God, acts of civil or
military authority, acts ofterrorisffi, fire. epidemic, flood. earthquake, riot, war, sabotage, labor
shortage or dispute, failure of suppliers to perform or failures in supply chains, and governmental
action. provided that the delayed party: (i) gives the other party \witten notice of Stich cause
promptly, and in any event within fifteen (15) days of discovery thereof; and (ii) uses its
reasonable efforts to correct such failure or delay in its performance.
24. Arbitration
Any claim, dispute or controversy arising out of or in connection with this Agreement or any
breach thereof shall be arbitrated by the parties before [he American Arbitration Association
under the rules obtaining of that Association. Such arbitration shall be held in the City of New
Haven. Judgment may be entered on the award in any COUlt having jurisdiction thereof. The
arbitrator shall be one mutually agreeable to both parties in the claim, dispute or controversy.
25. Bankruptcy
In case of (a) bankruptcy. receivership or assignment for benefit of creditors of the Publisher. or
(b) if a pelition in bankruptcy IS filed by the Publisher. all fights granted herein shall revert to the
Author and thereupon this Agreement shalllerminatc but the Author shall have the right to buy
hack any remaining copies or sheets at a fair market value. to be determined by agreement.
26. Agency
The Author hereby authori7cs {he Author'S agent John White. 60 Pound Ridge Road, Cheshire,
Connecticut 06410-3412 to collect and receive all sums of money payable to the Author under
the terms of this agrcement and declares that the receipt by said agent shall be a good and valid
discharge in respect thereoL and lhe said agcnt is hereby empowered to act on behalf of the
Author in all matters arising out of this agreement; said authorization shall continue in etTecl
unless and until the Publisher shall be otherwise instructed in writing by the Author.
IN WITNESS WHEREOF- the patties have signed this Agreement as of the date first set forth
above.
Ron Formica
~ __~::f*~.~?0~JV 2(J I
Date
CONFIDENTIAL
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EXHIBIT A
The Work(s)
TITLE
I.
CONFIDENTIAL
AUTHOR
Lilith
l.R. Salamanca
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KILPATRICK TOWNSEND & STOCKTON LLP
Joseph Petersen (JP 9071)
Robert Potter (RP 5757)
1114 Avenue of the Americas
New York, NY 10036
Telephone: (212) 775-8700
Facsimile: (212) 775-8800
Email: jpetersen@kilpatricktownsend.com
Joseph M. Beck (admitted pro hac vice)
W. Andrew Pequignot (admitted pro hac vice)
Allison Scott Roach (admitted pro hac vice)
1100 Peachtree Street, Suite 2800
Atlanta, Georgia 30309-4530
Telephone: (404) 815-6500
Facsimile: (404) 815-6555
Email: jbeck@kilpatricktownsend.com
Attorneys for Defendants
UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
THE AUTHORS GUILD, INC., ET AL.,
Case No. 11 Civ. 6351 (HB)
Plaintiffs,
v.
HATHITRUST, ET AL.,
Defendants.
DECLARATION OF STANLEY KATZ IN SUPPORT OF
DEFENDANTS’ MOTION FOR SUMMARY JUDGMENT
I, Stanley N. Katz, pursuant to 28 U.S.C. § 1746, hereby declare as follows:
1.
I am President Emeritus of the American Council of Learned Societies, the
national humanities organization in the United States, and director of the Princeton University
Center for Arts and Cultural Policy Studies. I graduated magna cum laude from Harvard
University in 1955 with a major in English History and Literature. I was trained in British and
1
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American history at Harvard (M.A 1959; Ph.D. 1961) and also attended Harvard Law School
(1969-70) (although I am not a member of the bar).
2.
I am the Editor in Chief of the Oxford International Encyclopedia of Legal
History, and the Editor of the Oliver Wendell Holmes Devise History of the United States
Supreme Court. I have served as President of the Organization of American Historians and the
American Society for Legal History and as Vice President of the Research Division of the
American Historical Association. I am a member of the Board of Trustees of the Newberry
Library. I serve as Chair of the American Council of Learned Societies/Social Science Research
Council Working Group on Cuba.
I am a member of the New Jersey Council for the
Humanities, the American Antiquarian Society, the American Philosophical Society; a Fellow of
the American Society for Legal History, the American Academy of Arts and Sciences, and the
Society of American Historians; and a Corresponding Member of the Massachusetts Historical
Society. I received the annual Fellows Award from Phi Beta Kappa in 2010 and the National
Humanities Medal (awarded by President Obama) in 2011. My full curriculum vitae is attached
to this declaration as Exhibit A.
3.
I am an American historian and scholar specializing in legal and constitutional
history and the history of philanthropy.
Most recently, my research has focused on the
relationship of civil society and constitutionalism to democracy and specifically on the
relationship of the United States to the international human rights regime.
4.
I submit this declaration in support of the defendants’ motion for summary
judgment. I make this declaration based upon my own personal knowledge.
5.
As a scholar trained to use research materials in the mid-1900s, I learned how to
use library card catalogs to extract the basic information (e.g., author, title, publication date)
2
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about the books that may be relevant to my research. These card catalogs actually consisted of
cards stored in drawers in the library, and I would physically go to various libraries to search the
card catalogs of the books in the holdings of those libraries. Those card catalogs were of very
little use as guides to subject matter topics, for which I usually turned to subject matter
bibliographies. Unfortunately, subject matter bibliographies inevitably became quickly outdated. And for most topics, there were few or no subject matter bibliographic resources.
6.
While many books were available in the libraries to read and study, the only
reliable source of information about what was in the text of those books was an index to the book
itself (if the book had an index). Bibliographic research – research to identify potential relevant
sources for further review – was simply a rough first cut at identifying relevant sources. The
next step was to retrieve the books (or journals), read the apparently relevant chapters (or
articles), and hope that the footnotes would guide me to additional relevant sources.
7.
For decades as a researcher, I always feared that I was neglecting significant
bodies of material simply because I did not know certain sources might contain information
relevant to my research. Although I feared that I was missing sources, there was no way to
confirm or alleviate those fears.
8.
The digital era changed the nature of scholarly research. A resource that became
available (and still is available) was the Online Public Access Catalogs (OPAC), which
contained electronic records of the card catalog information for library material on a global basis.
No longer did I have to go to several libraries to search the card catalogs at each of those
libraries; now I could search the OPAC and retrieve bibliographic information from the holdings
of books in virtually all the libraries of the world while sitting in front of one computer.
Another benefit of the OPAC was that I could conduct many searches, electronically, and
3
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retrieve the results virtually instantaneously. This is in comparison to using physical card
catalogs for which searches were arduous and time consuming.
9.
Full-text digital searching over vast quantities of text revolutionized humanities
scholarship profoundly – even more profoundly than the OPAC. Sophisticated digital searching
over the text of large numbers of books has permitted me to search for specific words or names
(or words or names in relation to each other) that simply was not possible using a library card
catalog, the electronic OPAC, or other bibliographic resources.
10.
I have come to rely on the full-text searching of millions of books offered by the
HathiTrust, and it is now one of the most important sources for my historical scholarship. The
HatiTrust Digital Library is primarily useful to me as a bibliographical resource, since I can
tailor my searches of the items indexed by the HathiTrust quite precisely, and generate lists of
search results, or “hits,” to determine which might be worth closer examination. While some of
the hits that I get in my research are to items that provide a full-text view (i.e., I can read the
entire work on my computer screen), most are designated as “limited (search only),” and I am
not provided the text of the work online by the HathiTrust.
11.
The hits that do not provide a full-text view are still exceedingly helpful for my
research. Those tell me how frequently words and phrases that I search occur in the book, so that
I know how relevant the book will likely be for my research. Without having to get a copy of a
book and without having to review the book I can determine which books I need to locate in a
library or purchase myself and which are not worth further consideration. Not only that, but
many of the “hits” I receive through searches of the HathiTrust are of books that I would not
have discovered through a search of a library card catalog, the OPAC, or alternative
bibliographic resources.
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12.
Filed 06/29/12 Page 5 of 21
Let me provide an example based on one of my current research projects. I am
researching for a book I am writing on the question of why the United States has had such a
difficult time participating in the international human rights system. This is primarily a problem,
as I conceive it, concerning the United States since the emergence of the Universal Declaration
of Human Rights in 1948. It is a genuinely international subject since it involves comparing
what the United States has (and has not) done with what other comparable nations have (or have
not) done. The question is one of politics, economics, and intellectual history.
13.
One aspect of this research question involves the role of the then newly-emergent
human rights non-governmental organizations (NGOs). Searches using the OPAC did not assist
me in fully identifying books relevant to my search; and there were few additional bibliographic
resources, and those did not provide any additional help.
14.
As I now do with most research questions, I searched in the HathiTrust, and I was
able to identify many dozens of promising-looking references to material that I was not able to
identify working with the OPAC and other bibliographic material at the Princeton research
library.
15.
One such book I located through the HathiTrust is Universal Human Rights:
Origins and Development. The book was published in 2007 and I identified the book through
the HathiTrust website even though the website did not provide the ability to view the full text of
the book online. Using the HathiTrust website, however, I was able to locate a copy of the book
at the Princeton library. The book contains many pages discussing the role of the United States
in relationship to the norms of the Universal Declaration of Human Rights (UDHR), which is
particularly relevant to my research because of the tension between the United States approval of
5
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elements of the UDHR and our country's failure to apprO\ie of other elements (especially
elements related to economic and social rights).
16.
Another book I located through the HathiTrust was NGOs in international
Politics. This book was published in 2006 and I also identified it through the HathiTrust website
even though it did not provide the ability to view the full text of the book online. Again, using
the HathiTrust website, I was ab le to locate a copy of the book at the Princeton library. This
book contains 5everol pages of discussion of the role of the United States Agency for
International De. . elopment in re lation to international NGOs, including the agency 's programs
relating to human rights. which is also relevant to my research.
\ 7.
Despite significant efforts to locate relevant sources for my research, I had not
identified either Univer...·al Ilumall Rights: Origins and Development or NGOs in llliernmional
Politics through the OPAC or other resources that do not utilize full tex t searching.
18.
1have not provided testimony as an expert in any cases in the last four years.
19.
1 am being paid in connection with th is declaration and any deposition or trial
testimony at a rate or$ 1,000 per ful l day of work.
[ declare under penalty or perjury under the laws of the United States that the foregoing is
true and correct.
04-
nate: June 2(1, 2012
9fJ.J~
Stan y N. Katz
6
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EXHIBIT A
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Stanley N. Katz curriculum vitae
www.princeton.edu/~snkatz
PERSONAL DATA
Born: Chicago, Illinois, April 23, 1934; Married, two children
Address: (o)428 Robertson Hall, Woodrow Wilson School, Princeton University, Princeton, NJ 085441013
(ph) 609-258-5637 (fax) 609-258-1235
(h)152 Clover Lane, Princeton, New Jersey, 08540
(ph) (609) 921-7379
E-mail: snkatz@wws.princeton.edu
Web: http://www.princeton.edu/~snkatz
Web: http://princeton.edu/~artspol/
EDUCATION
A.B. Harvard University (Magna cum laude; Phi Beta Kappa). English History and Literature, 1955.
M.A. Harvard University, American History, 1959.
Ph.D. Harvard University, American History, 1961.
Harvard Law School, 1969-70.
EMPLOYMENT
Harvard University, 1957-65
Teaching Fellow, History Department, 1957-59.
Instructor, History Department, 1961-64.
Assistant Professor, History Department, 1964-65.
(Dean: Allston Burr Senior Tutor in Leverett House, 1963-65.)
University of Wisconsin, 1965-71
Assistant Professor, History Department, 1965-68.
Associate Professor, History Department, 1968-71.
University of Chicago, 1971-78
Professor of Legal History, 1971-78.
Professor of History, 1974-78.
Associate Dean, Law School, 1974-78.
Committee on Public Policy Studies, 1975-78; Chairman, 1977-78.
University of Pennsylvania Law School, Visiting Professor of Law, 1979-86.
Adjunct Professor of Law, Fall, 2003
American Council of Learned Societies, President, 1986-97.
Board of Directors, Council for International Exchange of Scholars (CIES), 1986-96.
Conference Board of Associated Research Councils, 1986-97, (Chair, 1986-93).
Sponsors Group, Committee on Scholarly Communication with China (CSCC), 1986-97.
Board of Directors, International Research & Exchanges Board (IREX), 1986-94, (Chair, 1986-91).
Princeton University, 1978Class of 1921 Bicentennial Professor of the History of American Law and Liberty, 1978-86.
Professor of Public and International Affairs, Woodrow Wilson School, 1982-86.
Master, John D. Rockefeller 3rd College, 1982-86.
Senior Fellow, Public and International Affairs, Woodrow Wilson School, 1986-97.
Co-Director, Center for Arts and Cultural Policy Research, 1994-98; Director, 1998 –
http://www.princeton.edu/~artspol/
Lecturer with the rank of Professor, Woodrow Wilson School, 1997Faculty Chair, Undergraduate Program, Woodrow Wilson School, 1998 –
Director, Woodrow Wilson Society of Fellows, 1997 –
Vice President (1998-99), President (1999-01), Board (1998-2006)Center for Jewish Life.
Acting Director, Program Law and Public Affairs (LAPA), 2004-5.
A-542
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06/26/12
S. N. Katz
2
Cardozo Law School, Yeshiva University, Lecturer in Law, 1998-2000.
FELLOWSHIPS
Fulbright, King's College, London, U.K., 1959-60.
Harvard Graduate School of Arts and Sciences, 1960-61.
Research Fellow in Legal History, American Bar Foundation, 1966-67.
Research Fellow, Charles Warren Center for Studies in American History, Harvard University, 1966-67.
Fellow in Law and American History, Harvard Law School, 1969-70.
Study Fellowship (Law), American Council of Learned Societies, 1969-70.
National Endowment for the Humanities Fellowship for Independent Study and Research, 1981-82.
Visiting Fellow, Institute for Advanced Study, Princeton, New Jersey, 1981-82, 1/92-6/92.
Fellow, National Constitution Center, Philadelphia, Fall, 2003
MAJOR, ENDOWED LECTURES OR KEYNOTE ADDRESSES
“Property and Revolution: The Law of Inheritance,” Cooley Lecture, University of Michigan Law School,
November 1975.
“Philanthropy and Cultural Diplomacy,” Keynote Address, Fulbright Alumni Association, College Park,
Maryland, September 25, 1982.
“Constitutionalism and the American Founding,” 1st Annual Jessie Swift Lecture in American
Constitutionalism, Middlebury College, May 7, 1985.
“Constitutionalism and the Humanities,” Annual Lecture, New Jersey Committee for the Humanities,
Princeton, New Jersey, June 18, 1986.
“The Burden of Humanism: The University and Society,” Innaugural Banquet, University of North
Carolina, Chapel Hill, October 16, 1986.
“The Revolutionary Origins of American Constitutionalism,” Annual Lecture, Japanese American Studies
Association, Kyoto, March 30, 1987; German American Studies Association, Bremen, June 9,
1987; numerous other similar talks on the Constitution during 1987.
“The Institutional Mind: Independent Research Libraries, Learned Societies and the Humanities in the
United States,” 175th Anniversary of the American Antiquarian Society, Worcester, Massachusetts,
October 22, 1987.
“The Strange Birth and Unlikely History of Constitutional Equality,” Presidential Address, Organization
of American Historians, Reno, Nevada, March 25, 1988; also as “Constitutional Equality,” Harold
and Margaret Rorschach Lecture in Legal History, Rice University, Houston, Texas, April 6, 1990;
also as “Does the Constitution Guarantee Equality,” Kohlenberg-Towne Lecture Series, Northeast
Missouri State University, Kirksville, Missouri, March 19, 1991.
“Constitutional Equality in American History,” Second Annual Alfred L. Luongo Lecture, Historical
Society of the United States District Court for the Eastern District of Pennsylvania, Philadelphia,
December 8, 1988.
“Constitutionalism in East Central Europe: Some Negative Lessons from the American Experience,” 4th
Bratislava Symposium: Constitutionalism and Politics, Bratislava, Slovakia, November 11, 1993;
Seventh Annual Lecture, German Historical Institute, Washington, D.C., November 15, 1993.
“The Scholar, the Community, and the World,” Keynote Address, 20th Anniversary Festival, Virginia
Foundation for the Humanities, Richmond, Virginia, October 14, 1994.
“Do Disciplines Matter? History and the Social Sciences,” Keynote Address, 75th Annual Meeting,
Southwestern Social Science Association, Dallas, Texas, March 23, 1995.
“Depending on Strangers: At Home and Abroad,” Maurice Guerin Lecture at the International Conference
on Fund Raising, Boston, Massachusetts, March 6, 1994.
“United We Stand: Moving Carefully and Collaboratively into the Future,” Keynote Address, 7th Annual
Joint Conference, Association for Computers and the Humanities and Association for Literary and
Linguistic Computing, U. of California, Santa Barbara, Santa Barbara, California, July 12, 1995.
“Accountability in the Arts and Sciences: Images and Reality,” Annual Meeting, Council of Colleges of
Arts and Sciences, Philadelphia, Pennsylvania, November 14, 1996.
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“Can Liberal Education Cope?,” keynote address for the Annual Meeting, Association of Graduate
Programs in the Liberal Arts, Philadelphia, October 30, 1997.
“Public and Private Issues: The Role of Research,” keynote address for the inaugural conference,
Israeli Center for Third-sector Research, Ben Gurion University of the Negev, Beer Sheva,
Israel, 15 March, 1998.
“Constitutionalism and Civil Society,” the Jefferson Memorial Lecture, University of California, Berkeley,
25 April, 2000. Also delivered at: Yale Law School, Legal History Workshop, 2 October 2000;
Chicago-Kent Law School, 25 October 2000.
“What would it mean to be a ‘just’ university?” After dinner address for the conference on "Higher
Education In and For a Just Society," 125th anniversary of Texas A&M University,
College Station, Texas, 3 October 2001.
“Constitutionalism and Human Rights: The Dilemma of the United States,” Second Annual Walter F.
Murphy Lecture in American Constitutionalism, Princeton University, 28 February 2002.
“Everything that happens globally happens in some particular place,” keynote address for Festschrift
conference in honor of Lloyd and Susanne Rudolph, University of Chicago, 10 April 2003.
“Why Technology Matters: the Humanities in the 21st Century,” Wisbey Lecture, King’s College,
University of London, 15 October 2003.
“America’s Human Right Dilemma: Constitutions, Popular Sovereignty and Foreign Values,” Annual
Lecture, National Constitution Center, Philadelphia, Pennsylvania, 20 November 2003 (also
For the Chiesman Foundation, Black Hills State University, Spearfish, S.D., 4 March 2004).
“Gun Barrel Democracy? Democratic Constitutionalism Following Military Occupation: Reflections on
the US Experience in Japan, Germany, Afghanistan, and Iraq,” Bodek Lecture, University of
Pennsylvania, 14 May 2004.
“Libraries Are To Liberal Education as Lakes Are To Swimming,” Keynote Address, Dedication of
Donnelley and Lee Library, Lake Forest College, Chicago, 8 October 2004.
“Who’s Afraid of Senator Byrd? The Constitution and the Uses of American History,” Princeton
University Constitution Day Lecture, 17 September 2007.
“General Education and Democracy: What Can John Dewey Tell Us?,” Alan Nevins Lecture,
Huntington Library, San Marino, California, 29 January 2009:
OTHER LECTURES AND PAPERS AT CONFERENCES
“The Making and Breaking of Colonial Governors: Newcastle's New York,” OAH, Cincinnati, April 1966.
“Between Scylla and Charybdis: Anglo-American Politics in New York, 1710-1760,” 20th Conference on
Early American History, Rutgers University, October 1966.
“Andrews Revisited: The English Colonial Bureaucracy, 1607-1776,” AHA, New York, December 1968.
“Controversies over Chancery Courts and Equity Law in the Middle Colonies,” 29th Conference on Early
American History, Newark, October 1970.
“Teaching Legal History in Law Schools,” AHA, New Orleans, 1972.
“Constitutionalism and the American Revolution,” National Archives Conference, Washington, D.C.,
November 1973.
“Thomas Jefferson and the Right to Property in Revolutionary America,” Bicentennial Lecture, University
of Chicago Law School, February 1976.
“The Legal Preconditions of the American Philanthropic Foundation,” ASLH, November 1977.
“The Future of Legal History,” Conference on American Legal History, National Archives, Washington,
D.C., September 1978.
“Law and Philanthropy,” History Department, University of Texas at El Paso, March 1979.
“The Legitimization of the Philanthropic Foundation,” Davis Center, Princeton University, January 1981.
“Problems in Private Foundation Support of Academic Research: The U.S. Experience,” University of
Chicago Law School Conference on Philanthropy, April 1981.
“Current Research in American Legal History: The Ideological Challenge,” OAH, Detroit, April 1981.
“The Nation, the State and the People; or, Lessons from the Anti-Federalists,” Commencement Address,
Stockton State College (N.J.), May 1981.
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“The Problem of a Colonial Legal History,” Conference on Anglo-American Colonial History, Oxford,
August 1981.
“History and the Future of Philanthropy,” Independent Sector, Minneapolis, October 1981.
“The Current State of American Legal History,” Inaugural Conference of Australian Law and History
Society, May 16, 1982 (included in the Lecture Tour of Australia, United States Information
Agency), April, May 1982).
“Legal Theory and Colonial Legal History,” Yale Law School Legal Theory Workshop, November 1982.
“Women and Fundraising in Historical Perspective,” Mt. Holyoke College Conference on Volunteerism,
March 19, 1983.
“George Washington: The Great White Father and His Indian Children (or, White Eyes and
Conotocarious),” Pennsylvania Historical Society, April 30, 1983.
“The American Academic Community and International Educational Exchange,” 13th Conference of
European Fulbright Executive Directors, Salzburg, Austria, May 21, 1983.
“The History of Philanthropy: Foundations,” Organization of American Historians, Los Angeles, April
1984.
“Changing Values and Modern American Philanthropy,” Independent Sector Research Forum, New York
City, April 1984.
“History, Cultural Policy and International Exchange in the Performing Arts,” Rockefeller Foundation
Conference on Support of Contemporary Performing Arts in Europe and America, Bellagio, June
10-14, 1985.
“Philanthropy and Public Policy in the United States,” Plenary Meeting XII of the President's Committee
on the Arts and the Humanities, The Henry Francis duPont Winterthur Museum, Winterthur,
Delaware, June 19, 1986.
“Foundations and the History of Philanthropy in the U.S.,” Salzburg Seminar in American Studies,
Salzburg, Austria, June 21-July 4, 1986.
“Foundations and Public Policy,” Minnesota Council on Foundations 1987 Summer Seminar,
Minneapolis, Minnesota, August 6, 1987.
“Constitutional Accountability,” National Archives Constitution Study Group Bicentennial Lecture,
Washington, D.C., August 12, 1987.
“The Constitution, Democracy and Education in the United States,” The Woodrow Wilson National
Fellowship Foundation, Princeton, New Jersey, November 10, 1987.
“Philanthropy, Politics, and Culture in American Society,” American Studies Association/Canadian
Association for American Studies International Convention, New York City, November 21, 1987.
“Cultural Relations between Europe (Italy) and the United States post-World War II,” “Nationes” Days,
University of Bologna, Bologna, Italy, November 17, 1988.
“The Uneasy Case for Constitutional Equality,” 27th Annual Callahan Lecture, West Virginia University,
Morgantown, West Virginia, April 11, 1989.
“George Washington's States,” before the legislature of the state of New Hampshire, New Hampshire
Humanities Council, Concord, New Hampshire, April 25, 1989.
“Humanists at Work,” Symposium, Humanists at Work: Disciplinary Perspectives and Personal
Reflections, University of Illinois at Chicago, April 28, 1989.
“Out of Small Beginnings,” Bicentennial Ceremony, United States District Court for the District of New
Jersey, Newark, New Jersey, December 14, 1989.
“Teaching, Learning, and the Community,” The President's Lecture Series, University of Montana,
Missoula, Montana, October 29, 1990.
“Scholars, Teachers, Pastors: The Study of Religion in the Academy,” 1990 Annual Meeting of the
American Academy of Religion and the Society of Biblical Literature, New Orleans, November 17,
1990.
“Strong Bills of Rights: The States, 1776-1840,” The Bill of Rights: Government Proscribed, 1991
Symposium of the United States Capitol Historical Society, Washington, D.C., March 13, 1991.
“The Plight of the Humanities in the Research University,” Series on: Issues in Education, Committee on
Public Lectures, Princeton University, Princeton, New Jersey, November 14, 1991.
“Challenges to Higher Education in the U.S.: The Humanities and Social Sciences,” 1992 Annual Meeting,
American Association for the Advancement of Science, Chicago, February 12, 1992.
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“Pluralism, Democracy and Higher Education in the U.S.,” A Lecture in Honor of the 50th Anniversary of
the USIS Benjamin Franklin Library, Mexico City, May 12, 1992.
“Changing Conceptions of Pluralism in American Law and Constitutionalism,” Conference, American
Pluralism: Towards a History of the Discussion, State University of New York at Stony Brook,
Stony Brook, New York, June 5, 1992
“Challenges to American Higher Education in the Twenty-first Century,” Conference on Higher Education
in Japan and the U.S., University of Tsukuba, Tsukuba, Japan, June 11, 1992. (Translated into
Japanese by Izo Shimizu, “IDE - Current Higher Education,” No. 340: American General
Education Today, November, 1992.)
“The Humanities and Public Education,” ACLS Conference on The Humanities in the Schools, The
Huntington Library, San Marino, California, August 31, 1992.
“Form and Substance in the Electronic Age,” International Symposium on Rare Book and Manuscript
Libraries in the Twenty-First Century, Houghton Library, Harvard University, Cambridge,
Massachusetts, September 11, 1992.
“The Humanities and the Future of the Research Library,” Fifth Japan-U.S. Conference on Libraries and
Information Science in Higher Education, Tokyo, Japan, October 9, 1992.
“Cultural Policy and the State: From Kennedy to Clinton,” under the auspices of the Ministry of Cultural
Affairs, Wellington, New Zealand, July 5, 1993.
“Forming Cultural Policy: Reconciling Government and Community Perspectives,” under the auspices of
the New Zealand Academy for the Humanities; Wellington, New Zealand, July 7, 1993.
“Popular Culture Hits (?) the Academy,” under the auspices of the New Zealand Academy for the
Humanities, Hamilton, New Zealand, July 8, 1993.
“Peace and Pluralism Through Knowledge,” Luncheon Address, 16th Annual Meeting of the Fulbright
Association, Washington, D.C., October 2, 1993.
“Research on Philanthropy in the United States: Lessons for International and Comparative Research,”
Voluntas Foundation Symposium, Paris, October 21, 1993.
“Restructuring for Liberal Education in the 21st Century,” Conference on Rethinking Liberal Education,
sponsored by the American Council of Learned Societies and the Educational Leadership Program
of the Christian A. Johnson Endeavor Foundation, held at the American Academy of Arts and
Sciences, Cambridge, Massachusetts, April 15, 1994.
“Liberal Arts Education for the Coming Century,” Commencement Address, University of Puget Sound,
Tacoma, Washington, May 14, 1994.
“The Scholar-Teacher, the University and Society,” Conference on the Politics of Research, Rutgers
University, New Brunswick, New Jersey, October 21, 1994.
“Opening Address,” Bondage, Freedom & the Constitution, Cardozo Law School Conference, New York,
New York, February 19, 1995.
“The Best of Times and the Worst of Times (the state of the Humanities),” Humanities Council, University
of Florida, Gainesville, Florida, September 28, 1995.
“The Emergence of Constitutionalism after the Cold War,” The Second Annual Milton M. Klein
Endowment Lecture, University of Tennessee, Knoxville, Tennessee, October 9, 1995.
“Scholars, Institutions, Educational Policy,” Keynote Address, Association for the Study of Higher
Education, Orlando, Florida, November 2, 1995.
“The Holocaust and the Universities: Teaching and the Liberal Arts,” Conference on “America’s
Encounter with the Holocaust: Cultural Perspectives,” co-sponsored by American University, the
Scholarly Division of the United States Holocaust Memorial Museum, and the United States
Holocaust Research Institute, Washington, D.C., November 8, 1995.
“History, Law and Politics,” 10th Annual DeBartolo Conference, Tampa, Florida, February 23, 1996.
“Advocacy and History,” Keynote Address, New Jersey History Issues Convention, New Brunswick, New
Jersey, March 23, 1996.
“The Public Duties of Our Profession,” Presidential Forum, 27th Annual Meeting, American Society for
Eighteenth-Century Studies, Austin, Texas, March 30, 1996.
“History, Politics, and Law: A Personal Journey,” Society of Fellows in the Humanities, Columbia
University, New York, New York, April 11, 1996.
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“Scholarship and Public Policy: The Institutional Structure,” Public Lecture, University of Minnesota,
Minneapolis, Minnesota, May 13, 1996.
“The End of the World as We Have Known It,” Commencement Address, Graduate School, Brown
University, Providence, Rhode Island, May 27, 1996.
“What is the Content of Liberal Education?” What Does Liberal Education Offer Civil Society?,
Educational Leadership Program (of the Christian A. Johnson Endeavor Foundation) Conference,
Budapest, Hungary, October 25, 1996.
“Morality and Education,” Commencement Address, C.W. Post Campus, Long Island University,
Brookville, New York, February 2, 1997.
“Liberal Education After the Disciplines,” a paper prepared for the Rollins College Colloquy, Toward a
Pragmatic Liberal Education: The Curriculum of the 21st Century, Winter Park, Florida, February
14, 1997.
“The College as Crossroads: Liberal Education at the Century’s End,” lecture at the presidential
inauguration, Earlham College, Richmond, IN, 26 March, 1998.
“Is the United States a Role Model? Does our Constitutional History Provide an Example for Newly
Democratizing Societies?,” the Driggs Lecture, University of Minnesota at Morris, 9 April, 1998.
“Educational Crossroads: Accountability in Colleges and Universities,” University of Colorado at
Boulder, 17 April, 1998.
With Benjamin Gidron, “The International Study of Peace/Conflict Resolution Organizations: Preliminary
Findings,” International Research, Ben Gurion University of the Negev, Beer Sheva, Israel, 9 July,
1998.
“A Computer is not a Typewriter, or, Getting Right with Information Technology in the Humanities,”
Digital Directions Lecture Series, University of Virginia, Charlottesville, 5 February 1999.
“Does Constitutionalism Require Civil Society? And Vice Versa?,” Rorschach Lecture, Rice
University, 11 November 1999.
“Liberal Education, the Modern University, and the 21st Century,” Integrative Studies Institute, Michigan
University, East Lansing, MI, 1 December 1999.
“Constitutionalism, Democracy and Civil Society,” Holden Lecture, University of New Hampshire,
Durham, 5 April, 2000.
“Intellectual Needs Shaping Technical Solutions,” Building Blocks Conference of the National Initiative
for a Networked Cultural Heritage (NINCH), Washington, D.C., 23 September 2000.
“Don’t Confuse a Tool with a Goal: Making Information Technology Serve Higher Education, Rather
Than the Other Way Around,” Forum on the Future of Higher Education, Aspen Symposium,
Aspen, Colorado, 26 September 2000
Commencement address, Roosevelt University, Chicago, Illinois, 11 January 2003.
“What’s Wrong with Higher Education,” Graduate School, University of Wyoming, Laramie,
5 March 2004.
“The Just University,” University of North Florida, Gainsville, 7 October, 2004.
“Gun Barrel Democracy? Perspectives on Democratization in Afghanistan and Iraq,” Wayne State
University, Detroit, Center for the Study of Citizenship, 14 December 2004.
“Graduate Education and the Real World: Doing Good by Doing Well,” Convocation, College of
Humanities and Social Sciences, George Mason University, Fairfax, Virginia, 15 May 2004
“Why There’s No ‘Free Lunch’ on the Internet: Two stories from academe,” Specialized Information
Publishers Association (SIPA), Washington, DC, 1 June 2008.
“General Education and Democracy: What Can John Dewey Tell Us?,” Allen Nevins Lecture, Huntington
Library, San Marino, CA, 29 January 2009.
“Why There’s No Free Lunch in Cyberpublishing: Take Two,” Penn State University Libraries, State
College, PA, 19 March 2009.
“Whither Philanthropy: New Problems and New Directions,” Annual Phi Beta Kappa Fellows dinner,
New York City, 22 June 2010.
“What is the “new normal’ in higher education?,” Interdisciplinary Humanities Center, University of
California, Santa Barbara, 8 November 2010.
“Can the Liberal Arts College Help to Save Our Democracy?,” Ewing Lecture, Lycoming College,
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Williamsport, PA, 3 April 2012.
PUBLICATIONS
“Newcastle's New York Governors,” New York Historical Society, Quarterly LI (1967), pp. 7-24.
“Looking Backward: The Early History of American Law,” University of Chicago Law Review XXXIII
(1966), pp. 867-884.
“The Origins of American Constitutional Thought,” Perspectives in American History III (1969), pp. 474490.
“Between Scylla and Charybdis: James DeLancey and Anglo-American Politics in Early Eighteenth
Century New York,” in A.G. Olson and R.M. Brown (eds.), Anglo-American Political Relations,
1675-1775, Rutgers University Press, 1970, pp. 92-108.
“A New York Mission to England: The London Letters of Lewis Morris to James Alexander, 1735-1736,”
William and Mary Quarterly, 3rd ser., XXVIII, (1971), pp. 439-484.
Editor, James Alexander, A Brief Narrative of the Case and Tryal of John Peter Zenger, Harvard
University Press, 1963; 2nd ed., revised, 1972.
Newcastle's New York: Anglo-American Politics, 1732-1753, Harvard University Press, 1968.
With Stanley I. Kutler (eds.), New Perspectives On the American Past, 2 Vols., Little, Brown, 1969; 2nd
ed., 2 Vols., 1972.
Editor, Colonial America: Essays in Politics and Social Development, Little, Brown, 1971; 2nd ed.,
revised 1976; 3rd ed., with John M. Murrin, Alfred A. Knopf, 1983; 4th ed., with John M. Murrin
and Douglas Greenberg, McGraw-Hill, Inc., 1992, 5th edition, with Murrin and Greenberg,
McGraw-Hill, Inc., 2000; 6th edition, with Murrin, Greenberg, David J. Silverman and Denver
Brunsman, Routledge, 2010.
“The Politics of Law in Colonial America: Controversies over Chancery Courts and Equity Law in the
Eighteenth Century,” Perspectives in American History V, (1971), pp. 485-518.
“Republicanism and the Law of Inheritance in the American Revolutionary Era,” 76 Michigan Law Review,
(1977), pp. 1-29.
“Thomas Jefferson and the Right to Property in Revolutionary America,” 19 Journal of Law and
Economics, (1976), pp. 467-487.
“Postscript 1978: Bibliographical Note,” in Richard L. Perry (ed.), Sources of Our Liberties, American Bar
Foundation, (1978), pp. 449-456.
“Introduction,” Sir William Blackstone, Commentaries on the Law of England, Vol. I (reprinted),
University of Chicago Press, 1979.
With Barry D. Karl, “Donors, Trustees, Staffs: An Historical View, 1890-1930,” in The Art of Giving,
Rockefeller Archives Center, Pocantico Hills, New York, 1977, pp. 3-14.
“The Legal and Religious Context of Natural Rights Theory: A Comment,” in Patricia U. Bonomi (ed.),
Party and Political Opposition in Revolutionary America, The Sleepy Hollow Press, Tarrytown,
New York, 1980, pp. 35-42.
“Law and Economic Development: A Commentary,” in Glenn Porter and W.H. Mulligan, Jr. (eds.),
Working Papers, Regional Economic History Center, Wilmington, 1980, pp. 90-99.
With Stanley I. Kutler (eds.), American History: Progress and Prospects, Johns Hopkins University Press,
1983.
“The Problem of a Colonial Legal History,” in Jack P. Greene and Jack Pole, (eds.), Colonial British
America, Johns Hopkins University Press, 1984, pp. 457-489.
With Barry D. Karl, “The American Private Philanthropic Foundation and the Public Sphere, 1890-1930,”
Minerva XIX (1981), pp. 236-270, (pub. March 1983).
“An Historical Perspective on Crises in Civil Liberties,” in Norman Dorsen, (ed.), Our Endangered Rights,
Pantheon, 1984, pp. 311-323.
“Influences on Public Policies in the United States,” in W. McNeil Lowry, (ed.), The Arts and Public
Policy, Prentice-Hall, 1984, pp. 23-37.
With Barry Sullivan and C. Paul Beach, “Legal Change and Legal Autonomy: Charitable Trusts in New
York, 1777-1893,” Law and History Review (1985), pp. 51-90.
“The Scholar and the Public,” Humanities (June, 1985) 6, pp. 14-15.
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“Grantmaking and Research in the U.S., 1933-1983,” Proceedings of the American Philosophical Society,
129 (1985), pp. 1-2.
“The History of Foundations: Giving & Volunteering,” New Frontiers of Knowledge Independent
Sector/United Way Institute, (Working Papers, Spring, 1985) pp. 75-90.
“A Historical and Social Perspective on Judicial Corruption,” l6 Loyola University of Chicago Law
Journal, (1985), pp. 449-457.
“History, Cultural Policy, and International Exchange in the Performing Arts,” Performing Arts Journal IX
(1985), pp. 76-88.
“Constitutionalism as a Bicentennial Theme,” Federation Review IX (1986), pp. 42-49.
“The American Constitution: A Revolutionary Interpretation,” in Richard Beeman, Stephen Botein, and
Edward C. Carter II, (eds.), Beyond Confederation: Origins of the Constitution and American
National Identity, University of North Carolina Press for the Institute of Early American History
and Culture, 1987, pp. 23-37.
With Barry D. Karl, “Foundations and Ruling Class Elites,” Daedalus 116 (1987), pp. 1-40. Spanish
version, Las fundaciones y las elites de la clase dominante, Division Cultural, NRM Nucleo Radio
Mil, Mexico, D.F., 1992.
“The Institutional Mind: Independent Research Libraries, Learned Societies and the Humanities in the
United States,” Proceedings of the American Antiquarian Society Volume 97 Part 2 (1987), pp.
283-298, (pub. May 1988).
“Constitutional Equality,” this Constitution: A Bicentennial Chronicle published by Project ‘87 of the
American Historical Association and the American Political Science Association, No. 18
(Spring/Summer 1988), pp. 31-35.
“The ‘Public Humanities’ Depend on Vigorous, Specialized Scholarship,” Point of View, The Chronicle of
Higher Education, October 5, 1988, p. A52.
“The Strange Birth and Unlikely History of Constitutional Equality,” The Journal of American History,
Volume 75, No. 3, (Dec., 1988), pp. 747-762.
“Law,” in William Bate and Perry Frank, (eds.), Handbook for the Study of the United States, United States
Information Agency, 1989, pp. 75-78.
“I rapporti culturali fra Europa e Stati Uniti dopo la Seconda guerra mondiale,” il Mulino, anno XXXVII,
numero 324, (4/89), pp. 643-651.
“Libraries and Me,” Humanists at Work: Papers presented at a symposium held at the University of Illinois
at Chicago, University of Illinois, Chicago, 1989, pp. 115-121.
“Congress’s Reaction to 2 Controversial Photographic Exhibits May Pose an Even Greater Threat to
Scholars Than to Artists,” Opinion, The Chronicle of Higher Education, September 13, 1989, p.
B1. Reprinted as “Don’t Bite (or Lick) the Hand that Feeds You,” ACLS Newsletter, Vol. 2, No. 3,
Winter 1990, pp. 2-4.
“Disorder in the Courts,” The New Republic, (June 18, 1990), pp. 46-49.
With Michael Kammen, “Bernard Bailyn, Historian and Teacher,” in James A. Henretta, Michael Kammen,
and Stanley N. Katz (eds.), The Transformation of Early American History, Alfred A. Knopf, New
York, 1991, pp. 3-15.
“Developing Human Resources,” Challenges and Opportunities for U.S.-Japan Exchange in the New Era:
Report of the International Symposium, Center for Global Partnership, The Japan Foundation,
(August, 1991), pp. 67- 71.
Introduction, “Explaining the Law in Early American History,” The William and Mary Quarterly, 3rd
Series, Vol. L, No. 1, (January, 1993), pp. 3-6.
“Constitutionalism and Revolution,” Cardozo Law Review, Volume 14, Numbers 3-4, (January 1993), pp.
635-638.
Editor (with others), Constitutionalism and Democracy: Transitions in the Contemporary World, Oxford
University Press, New York, 1993.
Foreword, in Peter Juviler and Bertram Gross, (eds.), with Vladimir Kartashkin and Elena Lukasheva,
Human Rights for the 21st Century: Foundations for Responsible Hope, A U.S.-Post-Soviet
Dialogue, M. E. Sharpe, Armonk, New York, 1993, pp. xv-xvi.
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Comments on, James Culbertson, “Pharaoh's Dreams . . . and Ours,” in Randolph Jennings, (ed.), Fire in
the Eyes of Youth: The Humanities in American Education, Occasional Press, St. Paul, Minnesota,
1993, pp. 61-63.
Foreword, in Richard T. Arndt and David Lee Rubin, (eds.), The Fulbright Difference, 1948-1992: Studies
on Cultural Diplomacy and the Fulbright Experience, Transaction Publishers, New Brunswick,
New Jersey, 1993, pp. xv-xvii.
“The Humanities and Public Education,” The Humanities in the Schools, American Council of Learned
Societies Occasional Paper, No. 20, (1993), pp. 1- 10.
“Form and Substance in the Electronic Age,” in Richard Wendorf (ed.), Rare Book and Manuscript
Libraries in the Twenty-First Century, Harvard University Library, Cambridge, Massachusetts,
1993, pp. 17-21. Also published as New Series, Volume 4, Number 1 and 2 of the Harvard
Library Bulletin.
“The Humanities and the Future of the Research Library,” in Tadao Shimizu, Jiro Asano, Haruki Nagata,
Warren M. Tsuneishi, Theodore F. Welch, and Hideo Kaneko (eds.), Japan-U.S. Collaboration in
Enhancing International Access to Scholarly Information: Looking Toward the 21st Century,
Universal Academy Press, Inc., Tokyo, 1993, pp. 36-44.
“Constitutionalism in East Central Europe: Some Negative Lessons from the American Experience,”
German Historical Institute, Annual Lecture Series No. 7, Washington, D.C., 1994. Reprinted in
Irena Grudzinska Gross, ed., Constitutionalism and Politics, Bratislava, 1994, pp. 14-22;
“Konstytucjonalizm w Europie Srodkowo-Wschodniej: kilka negatywnych lekcji z doswiadczenia
Ameryki,” in Pawel Spiewak (ed.) Konstytucjonalizm, Demokracja, Wolnosc, Warsaw, 1996, pp.
56-64, in Vicki C. Jackson and Mark Tushnet, eds., Comparative Constitutional Law, New York,
1999, pp. 283-6.
With Douglas Greenberg (eds.), The Life of Learning, Oxford University Press, New York, 1994.
Foreword, in Irena Grudzinska-Gross, (ed.), Constitutionalism in East Central Europe: Discussions in
Warsaw, Budapest, Prague, Bratislava, Czecho-Slovak Committee of the European Cultural
Foundation, Bratislava, 1994, pp. 4-6.
“The Unfinished Project of Humanism,” Common Knowledge, Vol. 3, No. 1, 1994, pp. 13-15.
“Philanthropy and Democracy: Which Comes First?,”Advancing Philanthropy, Summer 1994, pp. 34-39.
“Defining Education Quality and Accountability,” Point of View, The Chronicle of Higher Education,
November 16, 1994, p. A56.
“The Case for Federal Funding of the Humanities and the Arts,” The Key Reporter, Phi Beta Kappa,
Volume 60, Number Two, Winter 1994-95, p. 4.
“Possibilities for Remaking Liberal Education at the Century’s End,” in Robert Orrill, (ed.), The Condition
of American Liberal Education/Pragmatism and a Changing Tradition, College Entrance
Examination Board, New York, 1995, pp. 127-133.
“Remaking Liberal Education at the Century’s End: Problems and Prospects,” The College Board Review,
No. 175, Spring 1995, pp. 22-27.
“Do Disciplines Matter? History and the Social Sciences,” Social Science Quarterly, Volume 76, Number
4, December, 1995, pp. 863-877.
“The Future of Educational Exchange in North America: A View from the United States,” in Peggy
Blumenthal, Craufurd Goodwin, Alan Smith, and Ulrich Teichler (eds.) Academic Mobility in A
Changing World, Jessica Kingsley Publishers, London and Bristol, Pennsylvania, 1996, pp. 220236.
“Restructuring for the Twenty-First Century,” in Nicholas H. Farnham and Adam Yarmolinsky, (eds.),
Rethinking Liberal Education, Oxford University Press, New York, 1996, pp. 77-90.
“Opening Address,” Cardozo Law Review, Yeshiva University, Volume 17, Number 6, May, 1996,
pp. 1689-1693.
“Vieles regelt die offene Gesellschaft selbst,” Das Parlement (Bonn) 47 Jahrgang/Nr. 17, April 18, 1997,
p. 11
“The Scholar-Teacher, the University and Society,” in E. Ann Kaplan and George Levine, (eds.), The
Politics of Research, Rutgers University Press, New Brunswick, NJ, 1997, pp. 46-58.
“Official History: the Holmes Devise History of the Supreme Court,” Proceedings of the American
Philosophical Society, Vol. 141, no. 3 (September, 1997), pp.297-304.
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“La Justice,” in Robert Darnton and Olivier Duhamel, eds., Democratie, Editions du Rocher, [Paris,] 1998,
pp. 183-189.
“The Legal Framework of American Pluralism: Liberal Constitutionalism and the Protection of Groups,”
in Wendy F. Katkin, Ned Landsman, and Andrea Tyree, eds., Beyond Pluralism: The Conception
of Groups and Group Identities in America, University of Illinois Press, 1998, pp. 1-27.
With Warren F. Ilchman and Edward L. Queen, II, eds., Philanthropy in the World’s Traditions, Indiana
University Press, 1998.
“Criticism of Foundations,” Grantmakers in the Arts vol. 9 no. 2 (fall, 1998), pp.12-16.
“Where Did the Serious Study of Philanthropy Come From, Anyway?,” Nonprofit and voluntary Sector
Quarterly, vol. 28, no. 1 March, 1999, pp. 74-82. “Reply,” p. 535 to Peter Dobkin Hall, “The
Work of Many Hands: A Response to Stanley N. Katz on the Origins of the ‘Serious Study’ of
Philanthropy,” in NSVQ, vol. 28, no. 4, December, 1999, pp. 522-534.
“Can Liberal Education Cope?,” The Journal of Graduate Liberal Studies, vol. 4 no. 1 Fall, 1998, pp. 110.; also in Marek Kwiek, ed., The University, Globalization, Central Europe, Peter Lang,
Frankfurt, Germany, 2001.
“Criticism of Foundations,” Grantmakers in the Arts, vol. 9 no 2, Fall, 1998, pp. 12-16.
“A Conversation with Stanley N. Katz,” National Arts Stabilization Journal, vol. 2 no. 3, Summer, 1999,
pp.31-34.
“The Idea of Civil Society,” Civil Society: New Agenda for U.S.-Japan Intellectual Exchange, Center for
Global Partnership Paper Series, 1999, pp.33-38.
Benjamin Gidron, Stanley Katz, Megan Meyer, Yeheskel Hasenfeld, Raviv Schwartz, and Jonathan K.
Crane, “Peace and Conflict Resolution Organizations in Three Protracted Conflicts: Structures,
Resources and Ideology,” Voluntas, December, 1999, pp. 275-298.
“Rethinking the Humanities Endowment,” The Chronicle of Higher Education, 5 January 2001, pp. B7-10.
"In Information Technology: Don't Mistake a Tool for a Goal," The Chronicle [of Higher Education]
Review, 15 June 2001, pp.B7-9; "Don't Confuse a Tool with a Goal: Making Information
Technology Serve Higher Education," Futures Forum 200, pp.47-50.
"Political Status and Democracy in Multiethnic and Multiracial States," in Norman Dorsen and Prosser
Gifford, Democracy and the Rule of Law, CQ Press, Washington, D.C., 2001, pp.162-3.
“Effective Uses of Technology Today: An Interview with Stanley N. Katz,” Michigan Community College
Journal, vol. 7, no. 2 (Fall, 2001), pp. 9-15.
“Forward,” Van Burkleo, Hall and Kaczorowski, eds., Constitutionalism and American Culture: Writing
the New Constitutional History (University Press of Kansas, 2002), vii-xi.
“Choosing Justice Over Excellence,” The Chronicle[ of Higher Education] Review, 17 May 2002, pp. B79.
“Constitutionalism, Contestation and Civil Society,” Common Knowledge, vol. 8 no.2, Spring, 2002,
pp.287-303
Benjamin Gidron, Stanley N. Katz, Yeheskel Hasenfeld, Mobilizing for Peace: Conflict Resolution in
Northern Ireland, Israel/Palestine and South Africa, Oxford University Press, New York, 2002.
Awarded the Virginia A. Hodgkinson Research Prize of Independent Sector, Nov. 2003.
“Justice after September 11th,” Academe, January-February 2002 [Reprinted in Across the
Disciplines, http://wac.colostate.edu/atd/911]
“Excellence Is by No Means Enough,” Common Knowledge, vol. 8, no. 3, Fall, 2002, pp. 427-438.
“The Pathbreaking, Fractionalized, Uncertain World of Knowledge,” The Chronicle[ of Higher
Education] Review, 20 September 2002, pp. B7-9. [Reprinted as “From Civilised to Fractionalised”
in The Australian (Sydney), 30 October 2002. Reprinted as "O Rixikeleuthos, Katakermatismenos,
Avevaios Kosmos tis Gnosis"] translation and notes Pantelis Kyprianos, Sygchroni Ekpaidevsi
[Contemporary Education] Trimestrial Review of Educational Issues, no. 142, July-September
2005, Athens, pp. 27-35.]
“Our Collegiate University: In its Expansion, is Princeton Losing its Way,” Princeton Alumni Weekly, 12
February 2003, pp.17,43
“The Cheated Undergraduate,” Newsday newspaper, Opinion section, 4 May 2003
“Can Liberal Education Cope?” in Marek Kwiek, ed., The University, Globalization Central Europe (Peter
Lang, Frankfurt, 2003), pp.57-70.
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“Carnegie and Rockefeller: Their Most Lasting Contribution,” in David L. Halberstam, ed., Defining a
Nation: Our America and the Sources of its Strength (National Geographic, Washington, DC,
2003), pp. 212-217.
“A New American Dilemma?: U.S. Constitutionalism vs. International Human Rights,”
58 University of Miami Law Review, no.1, Oct. 2003, pp. 323-345
“Scholars and Teachers: Hidden Partners for Hidden Collections,” RBM: A Journalof Rare Books,
Manuscripts, and Cultural Heritage, vol. 5, no. 2, Fall, 2004, pp. 115-122.
“What Does It Mean to Say that Philanthropy is ‘Effective’? The Philanthropists’ New Clothes,”
Proceedings of the American Philosophical Society, vol. 149, no. 2, June 2005, pp.123-131.
"Why Technology Matters: The Humanities in the Twenty-First Century," Interdisciplinary Science
Reviews, 2005, vol. 30, no. 2, pp. 105-118.
“The Liberal Arts in School and College,” The Chronicle[ of Higher Education] Review, 10 March
2006, pp. B46-47.
“Democratic Constitutionalism After Military Occupation: Reflections on the United States’
Experience in Japan, Germany, Afghanistan and Iraq,” Common Knowledge, vol.12, no.2, 2006,
pp. 181-196.
“Philanthropy,” in Ginsburgh, Victor A. and David Throsby, eds., Handbook of the Economics and Art and
Culture (North Holland-Elsevier, Amsterdam, 2006), pp. 1299-1321.
“Philanthropy’s New Math,” The Chronicle[ of Higher Education] Review, 2 February 2007
“Disciplinary Societies and Evaluating Scholarship: A View From History,” Profession 2007 (Modern
Language Association of America, 2007), pp.89-92.
“Taking the True Measure of a Liberal Education,” The Chronicle of Higher Education, 23 May 2008,
A32.
“Assessment and General Education: Resisting Reductionism without Resisting Responsibility,” Liberal
Education, vol.94, no.3, 2008, pp.30-37.
Editor in Chief, Oxford International Encyclopedia of Legal History, Oxford University Press, New York,
6 vols., 2009.
[National History Center: SNK and James Grossman] “The History Major and Liberal Education,” Liberal
Education, vol. 95, no.2 (Spring, 2009), pp. 40-47.
“Eastern Europe since 1989,” East European Politics and Societies OnlineFirst, published on August 3,
2009 as doi:10.1177/0888325409342111
“Review Essay: W. McNeil Lowry, The performing arts and American society,” The International
Journal Cultural Policy, vol. 16, no.1 (February, 2010), pp. 39-40.
“The Law Librarian’s Role in the Scholarly Enterprise,” Journal of Law & Education, vol. 39, no.3, July,
2010, pp.355-364.
“The Rise of a Modern and Democratic Learned Society,” in Richard S. Kirkendall, ed., The Organization
of American Historians and the Writing and Teaching of American History, Oxford University
Press, New York, 2011, pp. 13-16.
“Prospects for a Global Networked Cultural Heritage: Law Versus Technology?” Ramesh Subramanian
and Eddan Katz, eds., The Global Flow of Information: Legal, Social and Cultural Perspectives,
New York University Press, NY, 2011, pp.90-102.
EDITORIAL
Editor, Oliver Wendell Holmes Devise, History of the United States Supreme Court (co-editor with Paul
Freund, 1978-89), (1990- ).
Editorial Board, Common Knowledge (1991- )(Chair, Editorial Board, 2007- ).
Editorial Board, Journal on Computing and Cultural Heritage (2008- )
Editorial Board, The Journal of Arts Management, Law and Society (2006- )
Associate Editor, The Journal of Interdisciplinary History (1970- ).
Editorial Board, Nonprofit and Voluntary Sector Quarterly (NVSQ)(1998- )
Associate Editor, Reviews in American History (1973-97).
Editorial Board, American Journal of Legal History (1980- ).
Editorial Board, Pennsylvania Magazine of History and Biography (1981-86).
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Editorial Board, Journal of the History of Ideas (1986-97).
Editorial Board, Voluntas (International Journal of Voluntary and Non Profit Organizations) (1990-96).
Editorial Board, William and Mary Quarterly (1997- ), Chair (1998-99)
Editor, Studies in Legal History (1971-75), monographic series published by Harvard University Press in
association with the American Society for Legal History. Nine volumes edited.
Advisory Committee, Journal of Legal Studies (1971-78).
Co-editor (with Morton J. Horwitz, American Law: The Formative Years (Arno Press, 1972), 28 vols.,
reprints of nineteenth century legal treatises.
Editorial Board, Continuity and Change (1985-90).
Editorial Advisory Board, Teachers College Record (1990-95).
Editorial Board, Rice University Press (2007-10)
CURRENT OFFICES & ACTIVITIES:
Joint Advisory Board, Georgetown University School of Foreign Service-Qatar (2005- )
Board of Trustees, United Nations Ass. Princeton-Mercer Chapter (2010- )
Board of Trustees, Philani Fund USA (2008- )
Princeton AlumniCorps (formerly Princeton Project 55) (2008- )
Board of Trustees, Jill Sigman Thinkdance (2007- )
Commissioner, National Historic Publications and Records Commission, National Archives and Records
Administration (2005- ), Executive Committee (2008- )
Board of Trustees, International Cultural Property Society (2004- ) (Treas., 2005-07) (Pres., 2007-08),
(Vice Pres., 2008- ).
Board of Trustees, Policy Development (2002- )
American Philosophical Society, Library and Research Committees (2002 ).
Board of Directors, Copyright Clearance Center, (1997-2010), Director Emeritus (2010- )
Chair, American Council of Learned Societies/Social Science Research Council Working Group on Cuba,
(1996- )
Member, New Jersey Council for the Humanities, (1996- ) (Gubernatorial appointee)
Member, Council on Foreign Relations, (1994- ).
Board of Directors, Eighteenth Century Short Title Catalogue for North America, Inc., (1992- ).
Life Trustee, The Newberry Library, (1990- ).
Advisory Committee, The Papers of Thomas Jefferson, Princeton University, (1988- ).
Chairman, Board of Trustees, Papers of the Founding Fathers, Inc., (1984- ).
American Historical Association: Vice President, Research Division, (1997-2000); Chairman, LittletonGriswold Committee (with the American Society for Legal History), (1973-78); Member Research
Division, (1976-79), (elected); Member Beveridge Prize Committee, (1981), Committee on
Graduate Education in History (2001 - ), Chair, Task Force on Intellectual Property (2001- ).
OTHER OFFICES & ACTIVITIES
Executive Committee, Society of American Historians (2006- ); Chair, Francis Parkman Prize Committee,
2009.
Advisory Council, Center on Nonprofits and Philanthropy, Urban Institute (1997- ).
Academic Freedom Committee, Human Rights Watch (1994- )
Board of Overseers, University of Pennsylvania Library (1998-2010)
Board of Trustees, National History Center (2002-9)
International Advisory Council, Consortium of Humanities Centers and Institutes (2001-06))
Research Task Force, Center for Arts and Culture, Washington, D.C. (1998-05)
Board of Directors, Social Science Research Council, Executive Committee (2001-06)
Board of Governors, Institute for the International Education of Students (l976-2002).
Board of Governors, Humanities Research Institute, University of California (1998-2004)
Board of Directors, National Initiative for a Networked Cultural Heritage (NINCH), (1999-2003),
President (1999-2001).
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Board of Trustees, Institute for Caribbean and International Studies, St. George’s University,
Grenada, W.I.
Vice-President, Board of Directors, Friends of the Law Library of Congress, (1992-2003 ).
Board of Trustees, The National Faculty, (1995-2001).
Supreme Court of New Jersey, Disciplinary Oversight Committee, (1994-01); New Jersey Ethics
Commission, (1991-94); Committee on Model Rules of Professional Conduct, (1982-83);
Committee on the Sale of Law Practices, (1983-84, 1989).
Southern Methodist University: Board of Trustees, (1988-2000); Executive Board, Dedman College,
(1988-94); Executive Board, Law School, (1994- ), Executive Board, Library, (1999- ..).
Organization of American Historians: International Committee, (1994-99); Ad Hoc Committee on Access
to Lawyers’ Files, (1993- ); Executive Committee, (1976-79), (elected); Chairman, Executive
Secretary Search Committee, (1981); President-elect (1986-87); President (1987-88).
Board of Directors, National Cultural Alliance, (1990-99, Chair, 1997-99).
Council, Institute of Early American History and Culture, Williamsburg, Virginia (1997- 99 , 1990-93,
1974-76).
Board of Directors, Research Libraries Group, (1996-98, 1991-93).
Board of Trustees, Toynbee Prize Foundation, (1994-97), President (1994-97).
Advisory Committee, College of the Humanities, Ohio State University (1996- 98)
Chair, Governing Board, Thesaurus Linguae Graecae, (1991-96).
Independent Sector: Board of Directors, (1989-95); Research Committee, (1983-96, Chair, 1989-93).
Trustee, Supreme Court of the United States Historical Society, (1982-96).
Board of Overseers for the Humanities, Tufts University, (1989-94).
Board of Advisors, Program on Philanthropy and the Law, New York University Law School, (1988-94).
Research Committee, Council on Foundations, (1989-93).
Council on Academic Affairs, The College Board, (1987-96).
Advisory Committee on Special Projects, Center for Advanced Study in the Behavioral Sciences, (198798).
Board of Trustees, Historical Society of Pennsylvania, (1987-91).
Board of Trustees, National Constitution Center, (1987-90).
Executive Committee, National Commission on Social Studies, (1987-89).
Advisory Council, The American Trust for the British Library, (1986-96).
Board of Trustees, The Historical Society of the United States District Court for the District of New Jersey,
(1986-89).
Advisory Council, Rockefeller Archives, Pocantico Hills, New York, (1983-89).
Program Director, American Bar Foundation, Project in Legal History (Fellowship Competition), (19761987).
Council for International Exchange of Scholars (Senior Fulbright Program): American History selection
panel, (1975-78); Chairman, (1981-85).
Committee on Philanthropic Organizations, Association of the Bar of the City of New York, (1982-1985).
American Council of Learned Societies: Delegate, American Society for Legal History (1980-84);
American Studies Advisory Committee, (1980-83), President (1986-97).
National Endowment for the Humanities State Program: Chairman, Chicago American Issues Forum
Committee, (1975-76), Member, New Jersey Committee for the Humanities (1978-84); Vice
Chairman (1981-2)
Vice-chairman, American Bar Association Commission on Undergraduate Education in Law and the
Humanities (1977-81).
Chairman, Law Center Consultative Committee, University of Massachusetts, (1974-75).
Vice Chair, Board of Directors, Council of American Overseas Research Centers (CAORC), (1991-97);
Advisory Board (1988-90).
American Society for Legal History: Chairman, Publications Committee (1985-?); Board of Directors,
(1975-80), (elected); Vice-President, (1975-78), (elected); President, (1978-80), (elected).
Board of Directors, The Hong Kong-America Center, (1993-98).
Advisory Board, Center for Electronic Texts in the Humanities (CETH), (1991-97).
Council, American Philosophical Society (2002-8)
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Board of Directors, Civic Education Project, (1997- 2007)
Board of Directors, Center for Creative Communities (formerly
British American Arts Association), (1991-2007).
Steering Committee, Lilly Endowment-Princeton University Project on Church and State in the United
States, (1983- ).
Advisor, Scientific Committee, Fondacion H. Dudley Wright, Geneva, Switzerland (2000-6)
Board of Directors, Rice University Press (2007-9)
HONORS
LL.D. (Hon.) Stockton (N.J.) State College, 1981.
D.H.L. (Hon.) University of Puget Sound, 1994.
D.H.L. (Hon.) C.W. Post Campus, Long Island University, 1997.
D.H.L. (Hon.) Sacred Heart University (Fairfield, CT), 1997.
D.H.L. (Hon.) The Ohio State University, 1998
LL.D (Hon.) University of Hartford, 1998
D.H.L. (Hon.) Roosevelt University (Chicago, IL), 2003
D.L.A. (Hon.) Ursinus College (Collegeville, PA), 2003
D.H.L. (Hon.) Dickinson College (Carlisle, PA), 2003
Association of the Comparative History of Institutions and Law of the Socialist Republic of Romania
(1978).
Permanent Committee on the Oliver Wendell Holmes Devise (appointed by President Gerald Ford, 197684).
American Antiquarian Society (1981), (elected).
Honorary Fellow, American Society for Legal History (1990).
Fellow, American Academy of Arts and Sciences (1991), (elected).
Fellow, Society of American Historians (1991), (elected).
Corresponding Member, Massachusetts Historical Society (1992) (elected).
Member, American Philosophical Society (1996) (elected).
The McCreight Award for Distinguished Service to the Humanities, by the Federation of State Humanities
Councils (1988).
Award for Contributions to Research Libraries, Association of Research Libraries (1997)
Academico Correspondiente, Cuban Academy of Sciences (2005) (elected)
Troyer-Steele Anderson Award, American Historical Association (for exemplary contribution to the
advancement of the Association's mission) (2006)
Roy Rosenzweig Distinguished Service Award, Organization of American Historians (for enriching our
understanding and appreciation of American history) (2009)
Annual Fellows Award, Phi Beta Kappa (2010)
National Humanities Medal (awarded by Pres. Obama, 3/2/11)
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KILPATRICK TOWNSEND & STOCKTON LLI'
Joseph Petersen (JP 9071)
Robert Potter (RP 5757)
11 14 Avenue of the Americas
New York, NY 10036
Telephone: (212) 775-8700
Facsimile: (212) 775-8800
Email: jpetersen@ki lpatricktownsend.com
Joseph M. Beck (admitted pro hac vice)
W. Andrew Pequignot (admitted pro hac vice)
Allison Scott Roach (admitted pro hac vice)
1100 Peachtree Street, Suite 2800
Atlanta, Georgia 30309-4530
Telephone: (404) 8 15-6500
Facsimi le: (404) 815-6555
Email : j beck@kilpatricktownsend.com
Allorneys for Defendants
UNITED STATES DISTRICT COURT
SOUTHEM DISTRICT OF NEW YORK
THE AUTHORS GUILD, INC., ET A1.,
Plaintiffs,
Case No. 11 Civ. 6351 (HB)
v.
Hi\THITRUST, ET A1.,
Defendants.
DECLARATION OF MARGARET LI<:AUY iN SUPPORT OF
DEFENDANTS' MOTION FOR SUMMARY JUDGMENT
I, Margaret Leary, pursuant to 28 U.S.C. § 1746, hereby declare as
I.
follow~:
I submit this declaration in support of the defendant li braries' motion for
summary judgment. Unless otherwise noted, I make this declaration based upon my own
personal knowledge.
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2.
Filed 06/29/12 Page 2 of 6
From 1979 to 2011, I taught a law school course in advanced legal research at the
University of Michigan Law SchooL This course taught students about the content of major
sources of the law for the U.S., intemational organizations, and other nations ; how to use those
sources; and how to construct an efficient and effective strategy for conducting that research by
using secondary (material about the law) as well as primary (text of the law) materials.
3.
I have also carried out my own research, most notably into the life and times of
Michigan Law graduate and donor of the Michigan Law quadrangle, William W. Cook (18581930). I have published a book based on this research, titled Giving 11 All Away. The Siory of
William W Cook and His MichifJan Law QuadranfJle. Other of my publications are listed at:
http://www.law.umich.edullibrary/guests/pubsfaculty/facultypages/Pages/leary margaret.aspx.
4.
[ have a B.A. from Cornell University, a M.A. in library science from the
University of Minnesota, and a J.D. from the William Mitchell College of Law.
5.
r have worked in law libraries since 1970, and at the University of Michigan Law
Library since 1973. From 1984 until 2011 I was the Director and Librarian of that library, which
is one of the world's largest and most comprehensive: over I million volumes of law and law
related materials, designed to support research in any topic, for any country, at any period of
time.
6_
As the Director and Librarian ofthe Michigan Law Library, my responsibilities
included oversight of all aspects of the library's operation: 40 [ulltime employees, a $7 million
annual budget, and 100,000 square feet of space. I oversaw collection development (purchase of,
and contractual access to, all formats of material) and services, including reference and research
service to law school faculty, students, and other users (assisting and guiding researchers with
their research needs)_
2
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7.
Filed 06/29/12 Page 3 of 6
Since retiring from the Michigan Law Library, for the last six months I have
worked as a volunteer reference librarian, two days a week, at the l3entley Historical Library;
and have taken courses in Michigan history, which require me to do research.
8.
I am very fami liar with the HathiTrust program from those several perspectives:
as the builder of a collection; as the person responsible for ensuring the long-tenn availability of
the information in the collection; as the provider of information within and beyond our collection
to users; as a teacher ofthe best techniques and resources for doing effective and efficient
research; and as a researcher seeking everything findable about William W. Cook, a man who
played a critical role in the development of the University of Michigan Law School but is not
widely known outside of the Michigan Law School community and who died more than eighty
years ago. I have watched, and benefitted from, the HathiTrust program since its inception, and,
as further described below, [ have experienced how it has greatly expanded the capacity for new
scholarship and learning.
9.
As an experienced researcher, I have seen first hand how the HathiTrust program
has expanded the use of print works through the ability to electronically search for terms present
anywhere in the text of a work. The HathiTrust program has opened up books to me- and
everyone--that I wo uld never have thought of looking at in print----£ither because I didn' t know
about them, or didn't think they would have rel evant in tormation in them. The HathiTrust
program also enables me to find the exact page on which a name, term, or set of words occurs,
which no index can do comprehensively. This expands and extends my use of print, both from
libraries and from bookstores.
10.
For example, when researching my recent book on William Cook, T benefitted
from the ability to search the text of an enomlOU number of books. By searching the various
S
3
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forms of Cook's name, I found it mentioned in dozens of books, including Ida Tarbell's History
of the Standard Oil Company. The results did not give me the full text, so I went to the
University of Michigan's main library and checked out the printed book.
11.
My search had told me the exact pages where Cook's name appeared, which
saved hours oftime (the book is two volumes). From Tarbell, llearned that Cook had published
a book cntitiled Ii'us!s which includcd the full tcxt ofthc Standard Oil Trust Agreement, which
had until then not been public . 1 also leamed that the Ohio Attorney General named David
Watson discovered the copy of the Standard Oil Trust Agreement in Cook's work and
immediately detennined that the Agreement violated at least six Ohio statutes. Watson brought
suit. The action dragged out and ultimately failed, but it created negative public opinion about
the behavior of a huge and important trust, and ultimately drove Standard Oil from Cleveland to
New York City.
12.
As a result of my search, I discovered that Cook, only five years out oflaw
school, through his research and writing exerted a powerful influence on the development of
American law. This example illustrates perfectly the power of a full text search; I simply could
not have discovered this connection between Mr. Cook and the history of the Standard Oil
Company through searc hes of catalog information - the catalog infonnation for Tarbell's work
does not list Cook nor is he listed in the index or table of contents.
13.
Tarbell's book is a classic for many reasons (written by a woman, excellent
journalistic techniques, role in antitrust movement) but I would never have taken the trouble to
read the whole book on the off chance that she would mention Cook. Without thc HathiTrust, I
woul d never have fo und how important 'J/"usts was. In seven years of research, I did not lind that
information anywhere else.
4
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14.
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Another example from my Cook research is that HathiTrust books enabled me to
search and find his name in directories of clubs 1 would not otherwise have known he belonged
to, and seeing who other members were . The directories were not in University of Michigan
libraries, and I would not have travelled to California, Wisconsin, or other states where I knew
there were print copies because the chance of finding useful information was so small. In the
HathiTrust, I can do a search in five minutes and have a definitive answer to the question "Was
Cook a nlelnber?"
15.
During the course of my research on Cook, [ purchased at least two books
because of references to Cook, or companies and people important in his life, that [ found via
HathiTrust or Google search-only searches: Hollinger, Science. Jews and Secular Culture,
Princeton University Press. 1996; and Usselman, Regulating Railroad Innovation, Cambridge
University Press, 2002. Of course, had J not discovered these works through my research, I
would never have purchased them.
16.
As the Director and Librarian of the Michigan Law Library, I also have first hand
experience assisting other researchers in accessing works relevant to their research. Before
libraries used digitizing as a means to preserve our collections, we used microform (small
reproductions of works that a researcher could view through magnificati on).
17.
I was very involved in an organization then called the Law Library Microform
Consortium, or LLMC. LLMC is a cooperative of academic law libraries thai collectively
microtilmed as much material as possible.
18.
We learned an important lesson from this project: users make choices about the
amount of time and etlort to put into getting at a particular item. The effort of using microform
stopped some people some ufthe time. They didn't like using a special machine; they didn't like
5
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reading the sometimes blwTY ur blotchy film; they didn' t like the kind
of printouts; they didn't
like having to wait for the library to deliver the film to them; they didn'
t like not being able to
"check out" the item. [had many experiences with law school faculty
and other users decidin g
not to consult an item, such as an old newspaper, book, Congressional
hearing or stale session
law, when the only form availab le was microf onn.
19.
In my v iew, librarie s should not put such obs1acles in front
of users and any
techno logy that makes it easier for usef'i to discov er books vastly
improv es the quality of
scholar ship.
I declare under penalty of perjury under tne laws of lhe United States
that the foregoing is
true and correct.
Date: June ~ 2012
6
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119MOl'B'l
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