Direct Marketing Association, The v. Huber

Filing 71

Amended MOTION to Exclude Testimony of Plaintiff's Expert Witnesses F. Curtis Barry, Thomas Adler, and Kevin Lane Keller by Defendant Roxy Huber. (Attachments: # 1 Exhibit A, Barry Dep., # 2 Exhibit B, Barry Report, # 3 Exhibit C, Barry Dep. Exhs., # 4 Exhibit D, Adler Report and Decl., # 5 Exhibit E1of5, Adler Dep. Exhs., # 6 Exhibit E2of5, Adler Dep. Exhs., # 7 Exhibit E3of5, Adler Dep. Exhs., # 8 Exhibit E4of5, Adler Dep. Exhs., # 9 Exhibit E5of5, Adler Dep. Exhs., # 10 Exhibit F, Adler Dep., # 11 Exhibit G, Lichtenstein Decl. and Report, # 12 Exhibit H, Keller Dep., # 13 Exhibit I, Keller Report and Decl., # 14 Exhibit J1of3, Keller Dep. Exhs., # 15 Exhibit J2of3, Keller Dep. Exhs., # 16 Exhibit J3of3, Keller Dep. Exhs.)(Snyder, Melanie)

IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF COLORADO
Civil Action No. 10–CV–01546–REB–CBS

The Direct Marketing Association,
Plaintiff,
v.
Roxy Huber, in her capacity as Executive
Director, Colorado Department of Revenue,
Defendant.
______________________________________________________________________
EXPERT REPORT OF PROFESSOR KEVIN LANE KELLER
______________________________________________________________________
I am Kevin Lane Keller, the E.B. Osborn Professor of Marketing at the Tuck
School of Business at Dartmouth College. I have been retained by the law firm of Brann
& Isaacson, counsel to the Direct Marketing Association (“DMA”), to present my
opinions regarding the effect that a new Colorado law (House Bill 10-1193, “An Act
Concerning The Collection Of Sales And Use Taxes On Sales Made By Out-Of-State
Retailers, And Making An Appropriation Therefor” (“the Act”)), will have on the business
of affected Internet and catalog retailers, and on their relationships with Colorado
customers. My opinions in that regard are based upon my experience and expertise in
the field of marketing, as well as on my review of the results of a survey of Colorado
consumers conducted in June 2010 by Resource Systems Group, Inc. (“RSG”),

concerning consumers’ reactions to the requirements of the Act and of related
regulations adopted by the Colorado Department of Revenue (“Department”).
I.

STATEMENT OF OPINIONS.
Based upon my review and consideration of information described in Section II,

and applying to such information certain concepts, guidelines, and principles derived
from academic marketing research with respect to consumer behavior, I have formed
the conclusions and opinions set forth in paragraphs 1 and 5–13 of my sworn
declaration dated August 10, 2010, which is attached to and expressly incorporated in
this report.
II.

DATA AND INFORMATION CONSIDERED IN FORMING OPINIONS.
The data or other information I considered in forming my opinions includes:
A.

A copy of the Act;

B.

A copy of Regulation 39-21-112.3.5, which I understand was adopted by
the Colorado Department of Revenue; and

C.

The results of the survey of Colorado consumers conducted by RSG in
June 2010, as set forth in Final Results dated August 9, 2010, a copy of
which is attached to this report.

III.

EXHIBITS.
The Exhibits that may be used to summarize or support my opinions include the

documents described in Section II.

–2–

IV.

QUALIFICATIONS AND PUBLICATIONS.
Attached to my August 10, 2010 declaration is a copy of my current curriculum

vitae, including a list of publications I have authored in the previous ten years.
V.

RECENT TESTIMONY.
I have testified as an expert during the past four years in the following litigation:

Deposition
August 2010

VI.

Agrigenetics, Inc., d/b/a Mycogen Seeds v. Pioneer HiBred International, Inc., United States District Court for the
Southern District of Indiana (Indianapolis Division)

STATEMENT OF COMPENSATION.
My compensation on this matter is at my standard billing rate for such work of

$1,000 per hour.

Dated: September 20, 2010

s/ Kevin Lane Keller________
Kevin Lane Keller

–3–

IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF COLORADO
Civil Action No. 10–CV–01546–REB–CBS

The Direct Marketing Association,
Plaintiff,
v.
Roxy Huber, in her capacity as Executive
Director, Colorado Department of Revenue,
Defendant.
______________________________________________________________________
DECLARATION OF PROFESSOR KEVIN LANE KELLER
______________________________________________________________________
I, Kevin Lane Keller, pursuant to 28 U.S.C. § 1746, do depose and state as
follows:
1. I am the E.B. Osborn Professor of Marketing at the Tuck School of Business at
Dartmouth College. I have been retained by the law firm of Brann & Isaacson, as
counsel to the Direct Marketing Association (“DMA”), to present my opinions regarding
the effect that a new Colorado law (House Bill 10-1193, “An Act Concerning The
Collection Of Sales And Use Taxes On Sales Made By Out-Of-State Retailers, And
Making An Appropriation Therefor” (“the Act”)), will have on the business of affected
Internet and catalog retailers, and on their relationships with Colorado customers. My
opinions in that regard are based upon my experience and expertise in the field of
marketing, as well as on my review of the result of a survey of Colorado consumers
1

conducted in June 2010 by Resource Systems Group, Inc. (“RSG”), concerning
consumers’ reactions to the requirements of the Act and of related regulations adopted
by the Colorado Department of Revenue (“Department”). I conclude, as described
more fully in this declaration, that out-of-state retailers affected by the law will likely
suffer lost sales and permanent injury to their relationships with customers as a result of
complying with the requirement that they disclose their customers’ purchasing
information to the Department.
2. Much of my work, both as an academic and as a consultant to businesses,
focuses on the relationship between retailers (or brands) and consumers, including the
importance to a retailer (or brand) of establishing and maintaining the trust of its
customers. My work also frequently involves the use and/or analysis of consumer
surveys. During my MBA and PhD studies, I took graduate level courses in marketing
research that included survey design and interpretation. Since receiving my PhD, I
have run countless academic research studies that involved the design, conduct and
analysis of surveys. Many of my activities with consulting clients have also involved
survey work, including projects with Procter & Gamble, Ford, Samsung, and other
companies. A copy of my current curriculum vitae is attached hereto as Exhibit A.
3. It is my understanding that the new Colorado law requires out-of-state retailers
who do not collect Colorado sales tax to: (a) give Colorado purchasers notice with each
transaction that the retailer does not collect Colorado sales tax, but that the purchaser
has an obligation to self-report use tax to the Department, even on catalog and Internet
sales; (b) send each Colorado purchaser (at least those who purchase $500 in taxable
2

goods or services from the retailer) an annual notice informing them, among other
things, of their total purchase amount for the past year and that the retailer is required to
report their name and total amount of purchases to the Department; and (c) file an
annual report with the Department listing for each Colorado purchaser (regardless of
purchase amount) the purchaser’s name, billing address, shipping address and total
amount of purchases.
4. I am aware that RSG conducted a survey of Colorado consumers in June 2010
to determine their reactions to the requirements of the new Colorado law. Indeed, I
reviewed a draft of the survey questionnaire when it was being prepared, and I have
reviewed a document prepared by RSG entitled “Colorado Consumer Survey, Final
Results,” dated August 9, 2010 (“Final Results”), setting forth the results of the full
survey. A copy of the Final Results is attached to the Declaration of Thomas J. Adler,
PhD, as Exhibit B. I have also reviewed the declaration of Dr. Adler concerning the
survey.
5. The objectives of the RSG survey were: (1) to determine whether Colorado
consumers consider the requirement that out-of-state retailers must report their
purchasing information to the Department to be an invasion of their privacy or, instead,
if Colorado consumers do not mind the disclosure of such information to the
Department; and (2) to determine whether the reporting requirement will affect, in any
way, Colorado consumers’ future purchases from out-of-state retailers who are required
to provide such information to the Department. Based on my understanding of the
requirements of the new law and the objectives of the survey, I believe that the survey
3

was well-designed and executed. I am confident in relying upon the results of the
survey in support of my opinions expressed in this declaration.
Retailers Who Must Disclose Customer Purchasing Information
to the Department Will Lose Sales as a Result
6. Based upon my experience in the field of consumer marketing, and the results of
the RSG Survey, it is my opinion that many consumers will view negatively the
obligation of affected out-of-state retailers to disclose the customers’ names, addresses
and amount of purchases to a government agency. Indeed, many consumers who
become aware of the requirement, including past or current customers of the retailer,
will be less likely to make a purchase from such a retailer than they would be if the
retailer was not required to report their information to the government. This will be just
as true for consumers residing in Colorado as in any other state.
7. As a result, retailers required to make such disclosures to the Department will
lose a substantial portion of their Colorado sales. The amount of such lost sales for any
particular retailer will depend upon a number of factors, but for a law that applies
broadly to all Internet and catalog retailers with Colorado gross sales in excess of
$100,000 that do not collect Colorado sales tax, the aggregate volume of such lost
sales, industry wide, will be very large.
8. My conclusion that Internet and catalog retailers who are required to disclosure
their customers’ information to the Department will lose sales as a result is supported by
the results of the RSG survey. The results of the survey show that two-thirds of
Colorado Internet and catalog shoppers (67%) who aware of the disclosure requirement
will decrease their purchases from such retailers in the coming year. Even more
4

tellingly, when asked to reflect upon a recent purchase from an out-of-state retailer that
does not collect Colorado sales tax, sixty-three percent (63%) of Colorado consumers
would most likely not make a similar purchase again from the affected the out-of-state
retailer because of the disclosure requirement. In stark contrast, Colorado retailers will
be directly benefitted by the law: forty-three percent (43%) of Colorado catalog/online
purchasers responded to the RSG survey that they will make future purchases instead
from a Colorado retailer that is not required to disclose their purchase information to the
Department. Of course, out-of-state Internet and catalog sellers can never recoup the
sales they will lose from customers who decided not to buy from them, or who choose to
buy from another, Colorado retailer.
The Harm to Retailers’ Customer Relationships
and Businesses Will Be Permanent
9. There are other, potentially more serious, even permanent, consequences for
affected out-of-state retailers that elect to comply with the new law and turn-over such
customer information to the Department. By disclosing customer purchasing
information to the Department, even if required to do so by law, out-of-state retailers will
definitely alienate customers in Colorado and elsewhere, including many of their best
customers (whom the retailer will be required to inform directly of the requirement that
the retailer must report such information to the Department).
10. Establishing a relationship of reliability and trust with customers is the key to the
long-term success of most retailers or brands. High levels of customer satisfaction with
a retailer derive not just from the retailer’s products, but from the entire customer
experience. For many of the most successful Internet and catalog retailers and brands,
5

customer satisfaction depends upon maintaining the security and privacy of a
customer’s personal information, and not willingly disclosing it to any third-party,
including a state government agency. This is a major reason why almost all direct
marketers adopt clear privacy policies and disclose those policies to the public.
11. The privacy and security of personal information in the hands of both
businesses and government agencies remains a significant concern to many
consumers, and the extent to which government should be permitted access to
customer information maintained by businesses is much debated by policy makers. As
the results of the RSG survey indicate, many consumers view information maintained by
companies with which they do business, including generalized information such as their
identity as a customer of the company and the frequency or volume of their
transactions, to be private, confidential information that they would prefer not be shared
with the government. Companies that consent to allow governmental access to such
personal customer information, rather than resist government demands for it, are
viewed negatively by consumers, as the revelation in 2006 that telecommunications
providers Verizon, AT&T and Bell South may have disclosed customer phone records to
the National Security Agency illustrates.
12. Breaching trust with the customer and failing to live up to customer expectations
regarding protection of sensitive transaction information will have a long-lasting
detrimental effect on a retailer. Once the relationship of trust with a customer is
destroyed, many such customers will be permanently lost. Retailers that comply with
the requirements of the Colorado law by disclosing their customers’ information to the
6

Department can expect to lose customers (and thus future sales) in Colorado and
elsewhere, as a result.
13. My conclusions in this regard are supported by the results of the RSG survey.
The survey shows that an overwhelming majority ― nearly 70% (including 44% who
“strongly agree”) ― of Colorado online and catalog shoppers believe that the
requirement of the new law that out-of-state retailers must report their customers’
purchase information to the Department constitutes an invasion of privacy, while only
14% of such consumers report that they do not mind the disclosure. Such strong
consumer sentiment indicates that retailers who make such disclosures will damage
their relationships with many Colorado customers with lasting negative effects on the
retailers’ sales and business.

I declare under penalty of perjury that the foregoing is a true and correct.
Executed on this 10th day of August, 2010

/s/ Kevin Lane Keller
Kevin Lane Keller

7

EXHIBIT A

KEVIN LANE KELLER
Tuck School of Business
Dartmouth College
Hanover, NH 03755-9011
[phone] (o)
[phone] (f)
[e-mail]

10 Morgan Rd.
Etna, NH 03750
[phone] (h)
[phone] (f)
[phone] (c)

EDUCATION
Ph.D.

Duke University
Fuqua School of Business
Major Field: Marketing (May 1986)

M.B.A.

Carnegie-Mellon University
Graduate School of Industrial Administration
Area of Concentration: Marketing (May 1980)

A.B.

Cornell University (with distinction in all subjects)
College of Arts and Sciences
Majors: Economics and Mathematics (June 1978)

PROFESSIONAL EXPERIENCE
Dartmouth College, Tuck School of Business
E.B. Osborn Professor of Marketing, July 1998 to present
Duke University, Fuqua School of Business
Visiting Professor of Business Administration, May 1997 to June 1998
Instructor, September 1984 to December 1984
University of North Carolina at Chapel Hill, Kenan-Flagler Business School
Professor of Marketing, July 1995 to May 1997
Stanford University, Graduate School of Business
Associate Professor of Marketing (with tenure), June 1993 to July 1995
Associate Professor of Marketing, September 1990 to June 1993
Assistant Professor of Marketing, July 1987 to September 1990
University of New South Wales, Australian Graduate School of Management
Visiting Professor, September 1990 to June 1991
University of California, Berkeley, Schools of Business Administration
Assistant Professor of Marketing, January 1986 to June 1987
Bank of America, San Francisco, CA
Marketing Consultant, April 1981 to June 1982
Assistant Marketing Consultant, July 1980 to April 1981

7/21/10

2

PUBLICATIONS
Didow, Nicholas M., Kevin Lane Keller, Hiram C. Barksdale and George R. Franke (1985),
"Improving Measure Quality by Alternating Least Squares Optimal Scaling," Journal of Marketing
Research, 22 (February), 30-40.
Keller, Kevin Lane and Richard Staelin (1987), "Effects of Information Quantity and Quality on
Decision Effectiveness," Journal of Consumer Research, 14 (September), 200-213
Keller, Kevin Lane (1987), "Memory Factors in Advertising: The Effect of Advertising Retrieval
Cues on Brand Evaluations," Journal of Consumer Research, 14 (December), 316-333.
Keller, Kevin Lane and Richard Staelin (1989), "Assessing Biases in Measuring Decision
Effectiveness and Information Overload," Journal of Consumer Research, 15 (March), 504-508.
Edell, Julie A. and Kevin Lane Keller (1989) "The Information Processing of Coordinated Media
Campaigns," Journal of Marketing Research, 26 (May), 149-163.
Aaker, David A. and Kevin Lane Keller (1990), "Consumer Evaluations of Brand Extensions,"
Journal of Marketing, 54 (January), 27-41.
Keller, Kevin Lane (1991), "Cue Compatibility and Framing in Advertising," Journal of Marketing
Research, 28 (February), 42-57.
Keller, Kevin Lane (1991), "Memory and Evaluations in Competitive Advertising Environments,"
Journal of Consumer Research, 17 (March), 463-76.
Keller, Kevin Lane and David A. Aaker (1992), "The Effects of Sequential Introduction of Brand
Extensions," Journal of Marketing Research, 29 (February), 35-50.
Keller, Kevin Lane (1993), "Conceptualizing, Measuring, and Managing Customer-Based Brand
Equity," Journal of Marketing, 57 (January), 1-22.
Keller, Kevin Lane (1993), "Memory Retrieval Factors and Advertising Effectiveness" in Advertising
Exposure, Memory, and Choice, ed. Andrew A. Mitchell, Hillsdale, NJ: Lawrence Erlbaum
Associates, 11-48.
David A. Aaker and Kevin Lane Keller (1993), "Interpreting Cross-Cultural Replications of Brand
Extension Research," International Journal of Marketing Research, 10, 55-59.
Mark Forehand and Kevin Lane Keller (1996), "Initial Retrieval Difficulty and Subsequent Recall in
an Advertising Setting," Journal of Consumer Psychology, 5(4), 299-323.
Keller, Kevin Lane (1996), "Integrated Marketing Communications and Brand Equity," in Integrated
Marketing Communications, eds. Jeri Moore and Esther Thorson, Mahwah, NJ: Lawrence
Erlbaum Associates, 103-132.
Keller, Kevin Lane (1997), "Twenty-First Century Branding," Journal of Brand Management, 368-370.
Keller Kevin Lane (1998), "Brand Equity," in the Handbook of Technology Management, ed. Richard
Dorf. CRC Press Inc., 12:59-12:65.
Kevin Lane Keller, Susan Heckler, and Michael J. Houston (1998), "The Effects of Brand Name
Suggestiveness on Advertising Recall," Journal of Marketing, 62 (January), 48-57.

3

Keller, Kevin Lane (1998), "Branding Perspectives on Social Marketing," in Advances in Consumer
Research, Vol. 25, Joseph W. Alba and J. Wesley Hutchinson, eds. Provo, UT: Association for
Consumer Research, 299-302.
Kevin Lane Keller and David A. Aaker (1998), "Corporate-Level Marketing: The Impact of
Credibility on a Company’s Brand Extensions," Corporate Reputation Review, 1 (August), 356-378.
Keller, Kevin Lane (1998), “Measuring Customer-Based Brand Equity,” in Perspectives of Modern Brand
Management, ed. Dr Franz-Rudolf Esch, 989-1010.
Keller, Kevin Lane (1998), “Methods to Examine Brand Extensions,” in Perspectives of Modern Brand
Management, ed. Dr Franz-Rudolf Esch, 705-720.
Kevin Lane Keller (1998), “Understanding Brand Equity: Answers to Ten Common Branding
Questions,” Exchange, (Winter), 15-19.
Kevin Lane Keller (1999), “Brand Mantras: Rationale, Criteria, and Examples,” Journal of Marketing
Management, 15 (1-3), 43-51.
Bong, Na Woon, Roger Marshall, and Kevin Lane Keller (1999), “Measuring Brand Power:
Validating a Model for Optimizing Brand Equity,” Journal of Product and Brand Management, 8 (3),
170-184.
Kevin Lane Keller (1999), “Effective Long-Run Brand Management: Brand Reinforcement and
Revitalization Strategies,” California Management Review, 41 (3), 102-124.
Kevin Lane Keller (1999), “Designing and Implementing Branding Strategies,” Journal of Brand
Management, 6 (5), 315-331.
Julie A. Edell and Kevin Lane Keller, "Analyzing Media Interactions: The Effects of Coordinated
TV-Print Advertising Campaigns," Marketing Science Institute Report No. 99-120.
Kevin Lane Keller (2000), “The Brand Report Card,” Harvard Business Review, Jan/Feb, 147-157.
Kevin Lane Keller (2000), “Building and Managing Corporate Brand Equity,” in The Expressive
Organization, eds. Majken Schultz, Mary Jo Hatch, Oxford University Press.
Sheri Bridges, Kevin Lane Keller, and Sanjay Sood (2000), "Explanatory Links and the Perceived Fit
of Brand Extensions: The Role of Dominant Parent Brand Associations and Communication
Strategies," Journal of Advertising, 29 (4), 1-11.
Kevin Lane Keller and Sanjay Sood (2001), “The Ten Commandments of Global Branding,” Asian
Journal of Marketing, 8 (2), 97-108.
Kevin Lane Keller (2001), "Mastering the Marketing Communications Mix: Micro and Macro
Perspectives on Integrated Marketing Communication Programs," Journal of Marketing
Management, 17 (September), 819-848.
Kevin Lane Keller (2001), “Building Customer-Based Brand Equity: A Blueprint for Creating
Strong Brands,” Marketing Management, July/August, 15-19.

4

Kevin Lane Keller (2001), “Brand Equity Guidelines and Pitfalls: Lessons from the World’s
Strongest Brands,” in The Encylopedia of Brands and Branding in South Africa, Affinity Advertising
and Publishing.
Kalpesh Kaushik Desai and Kevin Lane Keller (2002), “The Effects of Brand Expansions and
Ingredient Branding Strategies on Host Brand Extendibility,” Journal of Marketing, 66 (January)
73-93.
Steven Hoeffler and Kevin Lane Keller (2002), “Building Brand Equity through Corporate Societal
Marketing,” Journal of Public Policy and Marketing, 21 (1), 78-89.
Tim Ambler, C.B. Bhattacharya, Julie Edell, Kevin Lane Keller, Katherine N. Lemon, and Vikas
Mittal (2002), “Relating Brand and Customer Perspectives on Marketing Management,” Journal
of Service Research, August, 5 (1), 13-25.
Kevin Lane Keller, Brian Sternthal, and Alice Tybout (2002), “Three Questions You Need to Ask
About Your Brand,” Harvard Business Review, September, 80 (9), 80-89.
Kevin Lane Keller (2002), “Branding and Brand Equity,” in Handbook of Marketing, eds., Bart Weitz
and Robin Wensley, Sage Publications, London, 151-178.
Kevin Lane Keller (2002), Branding and Brand Equity, MSI Relevant Knowledge Series (Cambridge,
MA: Marketing Science Institute).
Keller, Kevin Lane (2003), “Brand Synthesis: The Multi-Dimensionality of Brand Knowledge,”
Journal of Consumer Research, 29 (4), 595-600.
Kevin Lane Keller and Don Lehmann (2003), “How Do Brands Create Value,” Marketing
Management, May/June, 26-31.
Steven Hoeffler and Kevin Lane Keller (2003), “The Marketing Advantages of Strong Brands,”
Journal of Brand Management, 10 (6), 421-445.
Kevin Lane Keller and Y.L.R. Moorthi (2003), “Branding in Developing Markets,” Business Horizons,
May-June, 49-60.
Margaret Campbell and Kevin Lane Keller (2003), "Brand Familiarity and Ad Repetition Effects,”
Journal of Consumer Research, September, 30 (2), 292-304.
Kevin Lane Keller (2003), “Understanding Brands, Branding, and Brand Equity,” Interactive
Marketing, 7-20.
Patrick Tickle, Kevin Lane Keller, and Keith Richey (2003), “Branding in High-Technology
Markets,” Market Leader, 22 (Autumn), 21-26.
Jeff Manning and Kevin Lane Keller (2003), “Making Advertising Work: How GOT MILK?
Marketing Stopped a 20 Year Sales Decline,” Marketing Management, January/February.
Kevin Lane Keller and Sanjay Sood (2003), “Brand Equity Dilution,” MIT Sloan Management Review,
45 (1), Fall, 12-15.
Frederick E. Webster, Jr. and Kevin Lane Keller (2004), “A Roadmap for Branding in Industrial
Markets,” Journal of Brand Management, 11 (May), 388-402.

5

Kusum L. Ailawadi and Kevin Lane Keller (2004), “Understanding Retail Branding: Conceptual
Insights and Research Priorities,” Journal of Retailing, 80, 31-342.
Kevin Lane Keller (2005), “Branding Short-Cuts,” Marketing Management, September/October, 14,
18-23.
Ed Lebar, Phil Buehler, Kevin Lane Keller, Monika Sawicka, Zeynep Aksehirli, and Keith Richey
(2005), “Brand Equity Implications of Joint Branding Programs,” Journal of Advertising Research,
45 (December).
Kevin Lane Keller and Philip Kotler (2006), “Holistic Marketing: A Broad, Integrated Perspective to
Marketing Management,” in Does Marketing Need Reform?, eds. Jagdish Sheth and Raj Sisodia,
300-305.
Kevin Lane Keller (2006), “Measuring Brand Equity,” in Handbook of Marketing Research - Do's and
Don'ts, eds. Rajiv Grover and Marco Vriens, 546-568.
Kevin Lane Keller (2006), “Strategic Brand Management Process,” in Perspectives of Modern Brand
Management, ed. Dr Franz-Rudolf Esch.
Kevin Lane Keller and Don Lehmann (2006), “Brands and Branding: Research Findings and Future
Priorities,” Marketing Science, 25 (November-December), 740-759.
Paul Bloom, Steve Hoeffler, Kevin Lane Keller, and Carlos Basurto (2006), “Enhancing Brand
Equity By Supporting Social Causes,” MIT Sloan Management Review, 47 (2), 49-55.
Kevin Lane Keller and Keith Richey (2006), “The Importance of Corporate Brand Personality Traits
to a Successful 21st Century Business,” Journal of Brand Management, 14 (September-November),
74-81.
Robert Leone, Vithala Rao, Kevin Lane Keller, Man Luo, Leigh McAlister, Rajendra Srivatstava
(2006), “Linking Brand Equity to Customer Equity,” Journal of Service Research, 9 (November),
125-138.
Kevin Lane Keller (2007), “Advertising and Brand Equity,” in Handbook of Advertising, eds. Gerard J.
Tellis and Tim Ambler, Sage Publications, 54-70.
Keller, Kevin Lane (2008), Strategic Brand Management, 3rd ed., Upper Saddle River, NJ: Prentice-Hall.
Kevin Lane Keller (2008), Best Practice Cases in Branding, 3rd ed., Upper Saddle River, NJ: PrenticeHall.
Kevin Lane Keller (2008), “The Brand Behind the Brand,” Commentary, Harvard Business Review,
February 2008.
Kevin Lane Keller (2008), Foreward to Public Health Branding: Applying Marketing for Social Change, eds.
W. Douglas Evans and Gerard Hastings, Oxford University Press.
Don Lehmann, Kevin Lane Keller, and John Farley (2008), “The Structure of Survey-Based Brand
Metrics,” in special issue, “Branding in the Global Marketplace,” of Journal of International
Marketing, 16 (4), 29-56.
Philip Kotler and Kevin Lane Keller (2009), Marketing Management, 13th edition, Upper Saddle River,
NJ: Prentice-Hall.

6

Kevin Lane Keller (2009), “Building A Strong Business-to-Business Brand,” to appear in Business-toBusiness Brand Management: Theory, Research, and Executive Case Study Exercises in Advances in Business
Marketing & Purchasing series, Volume 15, eds. Mark Glynn and Arch Woodside, 11-32.
Kevin Lane Keller (2009), “Building Strong Brands in a Modern Marketing Communications
Environment,” in special issue, “The Integration of Integrated Marketing Communications:
IMC in a Changing Landscape,” of Journal of Marketing Communications, special issue editors, Don
E. Schultz and Charles Patti, 15 (April-July), 139-155.
Kevin Lane Keller (2009), “Managing the Growth Tradeoff: Challenges and Opportunities In
Luxury Branding” in special issue, “Luxury Branding,” of Journal of Brand Management, special
issue editor Uche Okonkwo, 16 (March-May), 290-301.
Kevin Lane Keller (2009), “Challenges to Branding: Five Secrets to Brand Success,” Market Leader,
Quarter 2, 45-47.
Kevin Lane Keller and Frederick E. Webster Jr. (2009), “Hitting the Branding Sweetspot: Achieving
Marketing Balance by Reconciling Marketing Trade-offs,” Marketing Management, July/August,
Vol. 18, 12-17.
Susan Heckler, Kevin Lane Keller, Michael J. Houston, and Jill Avery (2009), "Building Brand
Knowledge Structures: Elaboration and Interference Effects in the Processing of Sequentially
Advertised Brand Benefit Claims," Journal of Marketing Communications, forthcoming.
Kevin Lane Keller and Don Lehmann (2009), “Assessing Brand Potential,” in special issue, “Brand
Value and Valuation,” of Journal of Brand Management, special issue editors, Randall Raggio and
Robert P. Leone, Vol. 17, No.1, 6-7.
Keller, Kevin Lane (2009), "Leveraging Sponsorship Through Integrated Marketing", in Day, H.
(ed.), Sponsorship: From Theory to Practice and All the Latest Trends, The Marketing & Management
Collection, Henry Stewart Talks Ltd, London.
Kevin Lane Keller (2010), “Global Branding,” in Wiley International Encyclopedia of Marketing edited by
Jagdeth Sheth and Naresh Malhotra, in Volume 1 International Marketing, edited by Daniel Bello
and David Griffith, John Wiley & Sons Limited, forthcoming.
Steve Hoeffler, Paul Bloom, and Kevin Lane Keller (2010), “Achieving Social Change through
Corporate Societal Marketing: Incorporating a Consumer Orientation into CSR Programs,”
Journal of Public Policy & Management, forthcoming.
Kevin Lane Keller (2010), “Modern Branding Challenges,” Forward to Brands and Brand Management:
Contemporary Research Perspectives, eds. Barbara Loken, Rohini Ahluwalia, and Michael J. Houston,
forthcoming.
Kevin Lane Keller (2010), “Brand Equity Management in a Multichannel, Multimedia Retail
Environment,” special issue, Journal of Interactive Marketing, co-editors Venkatesh Shankar and
Manjit Yadav, forthcoming.
Kevin Lane Keller (2010), “Brand Development Process and Planning Brand Identity,” for Strategic
Brand Management in Next Practices in Marketing, ed. Raj Srivastava
Kevin Lane Keller (2010), “Brand Revitalization,” for Strategic Brand Management in Next Practices in
Marketing, ed. Raj Srivastava

7

Kevin Lane Keller (2010), Forward to Kelly Tian and Lily Dong, Imagining China, Imagining Brands
Kevin Lane Keller (2010), Forward to Christian Dussart, Creative Self-Destruction: An Integrated Set of
New Business Logics to Escape Commoditization Hell
Kevin Lane Keller (2010), “The New Branding Imperatives: Insights for the New Marketing
Realities,” Marketing Science Institute, Fast Forward series.
Kevin Lane Keller and Philip Kotler (2011), “Branding in Business-to-Business Firms,” in Business to
Business Marketing Handbook, eds. Gary L. Lilien and Rajdeep Grewal, Edward Elgar Publishing,
forthcoming.
Kevin Lane Keller (2011), “Branding Strategy,” in Marketing Strategy Handbook, eds. Venky Shankar
and Gregory Carpenter, Edward Elgar Publishing, forthcoming.
WORKING PAPERS
Kevin Lane Keller and Sanjay Sood, "The Effects of Product Experience and Branding Strategies on
Parent Brand Evaluations and Brand Equity Dilution," under review, Journal of Marketing
Research.
Julie A. Edell and Kevin Lane Keller, "Analyzing Media Interactions: The Effects of Coordinated
TV-Print Advertising Campaigns," invited revision, Journal of Marketing Research.
Kalpesh Kaushik Desai, Kevin Lane Keller, and Wayne Hoyer, “Abstract vs. Concrete Challenge
Strategies in the Face of Competitive Entry of Extensions from Mega Brands,” to be submitted
to the Journal of Advertising.
Philip Kotler and Kevin Lane Keller, “It is Time to Bury the 4Ps and Replace Them With Holistic
Marketing,” under review, Harvard Business Review.
MANUSCRIPTS IN PREPARATION
Kalpesh Kaushik Desai and Kevin Lane Keller, “Understanding Channel Fit: The Reciprocal
Effects of Product and Retailer Brand Images,” targeted for Journal of Marketing
Scott Bedbury and Kevin Lane Keller, “King of the World: Brand Supremacy Inside and Outside
Your Company,” targeted for Harvard Business Review
Kevin Lane Keller and Sanjay Sood, “A Conceptual Model of Brand Extension Effects: An
Integrative Review,” targeted for Foundations and Trends in Marketing
Kevin Lane Keller and Keith Richey, “Strengthening a Brand Through Sponsorship,” for Journal of
Sponsorship.
WORK IN PROGRESS
The Stability of Brand Preferences (with Peter Golder and Tingting Fan)

8

The Multiple Roles of Fit between Partners in Brand Alliance Attitude Formation (with Bendik
Samuelson)
Brand Extension Dynamics (with Donald Lehmann, Jeffrey Parker, and Martin Schleicher)
Brand Proficiency and Propensity (with Meg Campbell)
RESEARCH INTERESTS
Marketing Management: Planning, Programs, and Processes
Strategies and Tactics to Build, Measure, and Manage Brand Equity
Design, Implementation, and Evaluation of Integrated Marketing Communication Programs
TEACHING INTERESTS
MBA:

Marketing Management; Brand and Product Management; Advertising and
Communication Management

PhD:

Behavioral Research in Marketing: Theories and Methods

Executive:

Designing, Implementing, and Measuring Branding Programs and
Integrated Marketing Communications Programs

PRESENTATIONS
"Effects of Information Quantity and Quality on Decision Effectiveness," ORSA/TIMS Marketing
Science Conference (February 1984).
"Memory Factors in Advertising: The Effects of Advertising Retrieval Cues on Brand Evaluations,"
Association for Consumer Research Conference (October 1985 and October 1986), American
Marketing Association Educators' Conference (August 1986), and American Psychological
Association Annual Meeting (August 1986), Marketing Science Institute Advertising Steering
Group (October 1986).
"Memory Retrieval Factors and Advertising Effectiveness," Sandage Symposium III: Contending
Psychological Approaches to Advertising, University of Illinois (June 1987), Advertising and
Consumer Psychology Conference (May 1989), Marketing Research Society of Australia
Conference (October 1990), University of Melbourne Faculty Research Seminar (October
1990), University of Western Australia Faculty Research Seminar (April 1991).
"Consumer Evaluations of Brand Extensions," Marketing Science Institute Brand Equity
Conference (February 1988), ORSA/TIMS Marketing Science Conference (February 1988),
Association for Consumer Research Conference (October 1988).
"Memory and Evaluation Effects in Competitive Advertising Environments," University of Florida
Faculty Research Seminar (April 1988), Pennsylvania State University Faculty Research Seminar
(June 1988), Stanford Marketing Camp (August 1988), Association for Consumer Research
Conference (October 1989).

9

"Cue Compatibility and Framing in Advertising," Association for Consumer Research Conference
(October 1988), Wharton Faculty Research Seminar (March 1989), University of Michigan
Faculty Research Seminar (November 1989), University of Arizona Faculty Research Seminar
(March 1990).
"The Effects of Sequential Introduction of Brand Extensions," Association for Consumer Research
Conference (October 1989), University of Washington Faculty Research Seminar (December
1989), Duke University Faculty Research Seminar (July 1990).
"Conceptualizing, Measuring, and Managing Customer-Based Brand Equity," University of
Auckland Faculty Research Seminar (April 1991), Cornell University Faculty Research Seminar
(April 1992), New York University Faculty Research Seminar (April 1992), Columbia University
Marketing Camp (June 1992), American Marketing Association 13th Annual Marketing
Research Conference (September 1992), Marketing Science Institute Trustees Meeting
(November 1992), Harvard University (February 1993).
"The Interaction of Brand Name and Brand Positioning Strategies on Advertising Effectiveness
Over Time," Association for Consumer Research Conference (October 1991), University of
California, Irvine Faculty Research Seminar (December 1993), Duke University Faculty
Research Seminar (March 1994).
"Retrieval Difficulty and Subsequent Recall in an Advertising Setting," Association for Consumer
Research Conference (October 1992).
"The Effects of Corporate Images and Branding Strategies on New Product Evaluations,"
Association for Consumer Research Conference (October 1992), Sheth Foundation Winter
Marketing Camp, University of Pittsburgh (February 1995), Marketing Science Institute
(January 1996).
“Dave Aaker: A Wizard, A True Star,” Paul D. Converse Award Symposium (May 1996)
"Building and Measuring Brand Equity," Association for National Advertisers, Corporate
Communications Conference (October 1995), Marketing Science Institute, (September 1996)
"Brand Knowledge and Advertising Effectiveness: Learning and Persuasion Perspectives,"
University of Texas Faculty Research Seminar (March 1996), University of Florida Faculty
Research Seminar (March 1996), University of California at Berkeley Faculty Research Seminar
(September 1996).
“Global Brand Equity,” Doctoral Internationalization Consortium, University of Texas (June 1997)
"The Effects of Branding Strategies and Product Experience on Brand Equity," University of
Rochester Faculty Research Seminar (June 1997), Duke University Faculty Research Seminar
(August 1997), University of Massachusetts, University of Connecticut, and University of
Rhode Island Marketing Colloquium (September 1997), London Business School Faculty
Research Seminar (October 1997), UCLA Marketing Camp (March 1998), Emory University
Faculty Research Seminar (April 1998), MSI Brand Architecture Conference (March 2005),
University of Buffalo (March 2005), TCU (April 2008)
“Branding the B-School,” New England Colleges of Business Administrators Conference
(September 1997)

10

"Branding Perspectives on Social Marketing," Association for Consumer Research Conference
(October 1997)
“New Perspectives on Integrated Marketing Communications,” Marketing Science Institute
Conference on Fundamental Issues and Directions in Marketing (June 1998) and Brandworks
University Conference (July 1998).
"Analyzing Media Interactions: The Effects of Coordinated TV-Print Advertising Campaigns,"
University of New South Wales Faculty Research Seminar (November 1998), Northwestern
University Faculty Research Seminar (March 1999), Ohio State University Faculty Research
Seminar (April 1999).
“Brand Equity Research: Progress and Priorities,” University of New South Wales Faculty Research
Seminar (November 1998).
“The Effects of Brand Expansions and Ingredient Branding Strategies on Parent Brand
Extendibility,” Duke University Faculty Research Seminar (September 1999), Univeristy of
Toronto Faculty Research Seminar (April 2000), INSEAD Faculty Research Seminar
(September 2000), University of Minnesota Faculty Research Seminar (March 2001), Boston
University Faculty Research Seminar (April 2001).
“Understanding Global Branding,” Georgetown University Marketing Retreat (April 2001)
“Building Strong Brands: Lessons from the World’s Top Marketers,” Rice University (December
1999), Japanese Marketing Association (March 2001), Vega School of Brand Communications
(South Africa) (May 2001), Gordon Institute of Business Science (South Africa) (December
2002), N.C. State University College of Textiles (September 2005), Taiwan (September 2006).
“Building Brand Equity through Societal Marketing,” MSI Conference on Marketing, Corporate,
Social Initiatives, and the Bottom Line (March 2001)
“The Future of Branding,” Advertising Research Foundation (April 2002)
“Building Customer-Based Brand Equity,” MSI Conference on Brand Loyalty (April 2002)
“Building and Managing Corporate Brand Equity,” Conference on Corporate Reputation (May
2002)
"Branding and Brand Health," MSI/Wharton/McKinsey CMO Summit (September 2002)
“The Extendibility and Vulnerability of Abstract Brand Images,” Harvard Business School (April
2003), University of Colorado at Boulder (February 2004), Northwestern Marketing Camp
(September 2004), Babson College Research Colloquium (April 2005)
“Consumer Responses to Social and Commercial Sponsorships,” MSI Integrating Social
Responsibility and Marketing Strategy Conference, Boston University (September 2003)
"Orchestrating Marketing Communications to Build Brand Equity," Marketing Science Institute
Conference on Brand Orchestration, Orlando, FL (December 2003)
“Making Marketing Better” University of California at Berkeley (November 2004)
“Understanding Brand Alliances,” Brand Alliance Research Conference, Oklahoma State University
(April 2005)

11

“Marketing Excellence: The New Marketing Imperatives,” Norway (May 2005), Brazil (June 2005),
Singapore (July 2005), Tokyo (July 2005), Hong Kong (November 2005), Sweden (October
2006)
“Building Strong Brands: Three Models for Developing and Implementing Brand Plans,”
University of Massachusetts (February 2006), University of Kansas (April 2006), University of
Minnesota (May 2006), Brigham Young University (March 2008), University of Arizona
(November 2008)
“Developing and Exploiting Brand Equity,” Brand Conclave 2006, Kolkata, India (July 2006)
“The Future of Business Education,” Duke University (December 2006)
“Branding Excellence: The New Branding Imperatives,” Nordic Branding Academy, Stockholm,
Sweden (October 2006), George Washington University (March 2007), University of Wisconsin
(March 2007), World Management Congress, Brazil (June 2007), Global Marketing Network,
London (October 2007), Brand Fair 4, Belgrade, Serbia (February 2008), Jamaica (April 2008),
Croatia (September 2008), Iceland (April 2010)
“Building Strong Brands Through Sponsorship,” IEG 24th Annual Sponsorship Conference (March
2007)
“Branding India,” Brand India Consortium, University of Connecticut (May 2007)
“Understanding Brand Extensions,” Tuck Overseers (May 2007)
“Achieving Brand Resonance,” MSI Creating and Cultivating Customer Connections Conference,
University of Minnesota (June 2007)
“Frontiers in Branding Research,” Norwegian School of Management, Brand Institute, Oslo,
Norway (August 2007)
“Building Strong Brands In an Experience Economy,” Nordic Experience Economy Conference,
Kristiansand, Norway (August 2007)
“The Seven Deadly Sins of Brand Management,” 2008 Dyess Lectureship in Marketing, Texas
Christian University (April 2008)
“Hitting the Branding Sweetspot: How to Best Balance Marketing Trade-offs,” Chicago AMA Brand
Smart Conference (June 2008), Porto, Portugal (March 2009), Marketing Science Institute
conference on New Art and Science of Branding (September 2009)
“Marketing Excellence: How to Become a Better Marketer,” Carnegie-Mellon University (September
2008)
“Creating a Global Brand,” World Knowledge Forum, Seoul, Korea (October 2008)
"Not-for-Profit and Cause Branding," George Washington University (April 2009)
“Brand Building in Good Times and in Bad,” Tepper School of Business New York City Alumni
Chapter (May 2009)
“Branding Today and Tomorrow,” Universidade de São Paulo, São Paulo, Brazil (September 2009)

12

“The Power of the Retail Brand,” Brazilian Association of Supermarkets (ABRAS ) annual
conference, São Paulo, Brazil (September 2009)
“Brand Resonance as a Strategic Marketing Tool,” American Marketing Association “Meeting of the
Minds” webinar series (February 2010), Consumer-Brand Relationship Colloquium, Rollins
College (April 2010)
“The New Branding Imperatives,” Michigan State University (April 2010), University of Alaska
Fairbanks (April 2010),
“Blending Branding Theory & Practice: Insights & Lessons From Applying the Brand Resonance
Model,” Customer Insights Conference, Yale University (May 2010)
AWARDS AND HONORS
Dissertation Awards: American Marketing Association (Honorable Mention, August 1986),
American Psychological Association Division 23 (First Place, August 1986), Association for
Consumer Research (Honorable Mention, October 1986), Marketing Science Institute (First
Place, August 1984)
American Marketing Association Doctoral Consortium: Fellow 1984; Faculty 1988-1991, 1996,
1998, 2002-2005, 2007-2010
Finalist, Best Paper in Journal of Consumer Research Award for 1986-1988
Runner-up, Marketing Science Institute Research Competition on Brand Equity (November 1989)
James and Doris McNamara Faculty Fellow for 1989-90
Outstanding Reviewer Award for Journal of Marketing Research for 1991-92
Fletcher Jones Faculty Scholar for 1992-93
1994 Harold H. Maynard award for Journal of Marketing article in 1993 making the most significant
contribution to marketing theory and thought
Paul J. Rizzo Faculty Fellow for 1995-97
Finalist, 1997 William F. O’Dell Award for Journal of Marketing Research
2003 Sheth Foundation/Journal of Marketing Award recognizing articles published in the Journal of
Marketing that have made lasting contributions to the discipline of marketing
2005 ZIBS Distinguished Theory Award (from Zyman Institute of Brand Science (ZIBS) at Emory
University's Goizueta Business School)
Two articles, "Consumer Evaluations of Brand Extensions" and "Conceptualizing, Measuring, and
Managing Customer-Based Brand Equity" named by INFORMS Society for Marketing Science
in March 2007 to its list of Top 20 marketing science papers written in the past 25 years that
have most affected the practice of marketing science

13

2009 Twenty-Five Year Consortium Fellow Research Excellence Award from American Marketing
Association Foundation, 2009
2010 Outstanding Author Contribution Award for "Building a Strong Business-to-Business Brand"
published in Advances in Business Marketing and Purchasing as part of the Literati Network Awards
for Excellence 2010.
PROFESSIONAL ACTIVITIES
Editorial
Boards

Journal of Consumer Research (1994-2002), Journal of Marketing Research (19922002), Journal of Marketing (1993-2002, 2008-), Journal of Brand Management (1995-),
Asian Journal of Marketing (1999-), Market Leader (2003-), Journal of Sponsorship (2007-)

Ad Hoc
Reviewer:

Marketing Science, Journal of Consumer Psychology, Sloan Management
Review, California Management Review, Corporate Reputation Review,
Harvard Business Review.

Ad Hoc
Reviewer:

Association for Consumer Research Conference (1987-), American
Marketing Association Educators' Conference (1988-), American Marketing
Association Doctoral Dissertation Competition (1992-), Marketing Science Institute
Doctoral Dissertation Competition (1991-)

Academic
Trusteee:

Marketing Science Institute (2000-2006)

Judge:

JCR Ferber Awards (1999)

Co-Chair:

1994 Annual Conference of the Society for Consumer Psychology

Member:

American Marketing Association Knowledge Coalition (2005-2007)

Member:

American Marketing Association, Association for Consumer Research, The Institute
for Management Science

INDUSTRY ACTIVITIES
Multiple engagements with the following firms:
Accenture
Allstate
American Express
Blue Cross Blue Shield
Campbell Soup
Coca-Cola
Disney
Eli Lilly
ExxonMobil
Ford
General Mills
Press interviews (sample):

Goodyear
Google
Hasbro
Kodak
Intel
Levi Strauss
Mayo Clinic
Miller Brewing
McNeil Labs
MTV
Nivea

Nordstrom
Ocean Spray
Procter & Gamble
Red Hat
Samsung
Shell Oil
Starbucks
Tokyu
Unilever
Young & Rubicam

New York Times
USA TODAY
Los Angeles Times
Boston Globe
Chicago Tribune
Wall Street Journal
Newsweek
Time

Fortune
Forbes
Business Week
Business 2.0
Advertising Age
Brandweek
NPR

UNIVERSITY SERVICE
Member: Dean's Advisory Group (1987-1989)
Member: Dean's Search Committee (1989-1990)
Member: MBA Core Review Task Force (1989-1990)
Doctoral Program Liaison for Marketing Area (1989-1990)
Member: Information Resources Policy Board (1992-4)
Area Coordinator for Marketing (1993-1994, 2009-)
Area Chair of Marketing (1996)
Member: MBA Expansion Committee (1996-1997)
Member: Curriculum Committee (1998-99)
Member: Faculty Advisory Committee – Strategy Review (1999-2000)
Member: Admission Committee (1999-2000)
Member: Academic Performance Committee (APC) (1999-2004)
Member: Dean’s Marketing Advisory Group (DMAG) (2000-2003)
Member: Strategy Review Committee (2005-2006)
Member: Ad Hoc Task Force on Globalization, Project 2012 (2006-2008)
Member: Executive Education Committee (2006-2009)
Member: Dean’s Executive Committee (2008-)
Doctoral Thesis Principal Adviser:
Jennifer Aaker (thesis articles, “Dimensions of Brand Personality,” Journal of Marketing
Research, 34 (August), 1997, 347-357 & “The Malleable Self: The Role of SelfExpression in Persuasion,” Journal of Marketing Research, 36 (February), 1999, 45-57)

15

Sheri Bridges (thesis article, "Explanatory Links and the Perceived Fit of Brand Extensions:
The Role of Dominant Parent Brand Associations and Communication Strategies,"
Journal of Advertising, 29 (4), 2000, 1-11)
Christie Brown (thesis article, “Do the Right Thing: Diverging Effects of Accountability in a
Managerial Decision Context,” Marketing Science, 18 (3), 1999, 230-246)
Meg Campbell (thesis article, “When Attention-Getting Tactics Elicit Consumer Inferences
of Manipulative Intent: The Importance of Balancing Benefits and Investments,”
Journal of Consumer Psychology, 4 (3), 1995, 225-254)
Yih Hwai Lee (thesis article, “Responses to Information Incongruency in Advertising: The
Role of Expectancy, Relevancy, and Humor,” Journal of Consumer Research, 26 (2),
1999, 156-169)
Doctoral Thesis Committee Member:
Amna Kirmani
Chan Su Park
Rika Spencer