Records of a family-owned manufacturing firm, best known for kitchenware products including the Bundt Pan and Micro-Go-Round. The collection richly documents the entrepreneurial spirit of the Minnesota firm and its history of product innovation through technical files, marketing materials, and administrative and financial records.
Scope and Contents:
The Nordic Ware collection consists of approximately twenty-eight cubic feet of records from the Northland Aluminum Company, most dealing with its Nordic Ware business. The Dalquist family recognized the importance of record keeping, and this collection documents very well the evolution of an entrepreneurial, family-owned American business from its earliest years.
Of particular interest for researchers may be the Pillsbury and Bundt Cake Pan dual marketing strategies, showcased mainly in Series 3, Marketing and Sales Records, 1948-2004, the introduction of ethnic cookware into American Culture through such dishes as the Rosettes and Timbales set and Taco dinner kit, the segmentation of product lines by price level to target consumers of differing incomes, and the issue of a trademarked term like "Bundt" becoming generic as seen in Series 6, Legal Records, 1962-1978. Series 4, Engineering Department Records, 1950-1994, provide in-depth documentation of the technical development of several of Nordic Ware's innovative products.
Series 1: Historical and Background Materials, 1940s-2006
These materials provide a history of Dave Dalquist as an entrepreneur and how this led to his ownership of Northland Aluminum Products and the Nordic Ware brand. There are histories put together by the company as well financial summaries for some years. The series contains The Nordic Ware Saga, a book edited and produced by the Dalquist family, and America at Home: A Celebration of Twentieth-Century Housewares. Both books have valuable background information on the company and how it fits into the housewares industry. There also are materials from the original business, Plastics for Industry. An undated marketing booklet, published about 1990, briefly describes the company's history and its product line and corporate structure. Additional company history is found in six installments written by Dave Dalquist under the title "From the Skipper" and covering the years 1946 to l985.
Series 2: David Dalquist Files, 1963-1993
David Dalquist, the president and founder of the company, kept these files in his office and home. Dalquist had no formal filing system and preferred to group records together as he used them. This order has been maintained as much as possible to the folder level. Several files contain information and notes from Dalquist's attendance at the National Housewares Shows and the meetings held there with his sales representatives. The annual Housewares Shows in Chicago were key events in this industry and Nordic Ware made them a high priority. The sales meetings materials include speeches Dalquist delivered. This series reveals Dalquist's involvement with every aspect of the company. It portrays an entrepreneur who began with an engineering degree, very limited capital, and no business experience. Dalquist built a multi-million dollar company while insisting on high ethical and business standards.
The several companies owned by the Dalquist family are documented in these files. There is a merger agreement between Northland Metal Finishers and Northland Aluminum. The records show the company went through several phases and had several brands besides Nordic Ware, including Minnesota Ware, DuNord, and Norcast.
Series 3: Marketing and Sales Records, 1948-2004
The Marketing and Sales Records focus mainly on the promotion of the Nordic Ware Brand and the sale and distribution of products, especially to the retail trade industry. There is evidence of how Nordic Ware presented its products to the industry and of other types of promotions to build brand awareness. These records are divided into three subseries: Subseries 1, General and Department Records, 1967-1995; Subseries 2, Promotional and Trade Sales Materials, 1958-2004; and Subseries 3, Public Relations, 1948-1992
Subseries 3.1: General and Department Records, 1967-1995
Dave Dalquist initially handled most of the company's marketing and sales, but as the company grew, a separate department was created. Among other things, this department created sketches of new product ideas that employees submitted as part of the New Product Idea meetings periodically scheduled by Dave Dalquist. Several files contain this artwork and a design notebook. There are also the files of Doug White, a Vice President of Marketing and Sales. Other art renderings, such as line art used in catalogs, are in this series.
Subseries 3.2: Promotional and Trade Sales Materials, 1958-2004
This subseries consists both of advertising geared towards the trade industry and that aimed at the consumer to promote brand image and sales. A 1970s scrapbook is a record of cross-promotional offers in which Nordic Ware and other firms advertised their products together in a single advertisement. The scrapbook also documents Nordic Ware products offered as sales premiums. The advertisements are organized by the brand co-featured in the advertisement. The Bundt Pan was the predominant Nordic Ware product in these advertisements. The Pillsbury file is especially important as it shows the building of the dual marketing arrangement which allowed Bundt Pans to be packaged with Pillsbury mixes. Nordic Ware received national publicity that it would otherwise have been difficult to generate. The Bundt Pan was integrated into magazine recipes and articles and included in mentions of other brands. These records document the remarkably brief time in which the Bundt Pan achieved national recognition.
The trade market was critical to Nordic Ware. The Sales Guides, 1982-2004, were given to regional sales representatives with information on sales promotions and incentives to representatives for sales of Nordic Ware products in specific markets. The Guides also have product descriptions, so that each representative was fully familiar with the products. Along with these guides, Nordic Ware put out trade catalogs, also found in this subseries. Although there is no master list of the catalogs, many have been hand-dated by Nordic Ware employees. Many of the models in the catalogs and the advertisements were members of the Dalquist family, neighbors, and other acquaintances.
Subseries 3.3: Public Relations, 1948-1992
These materials mainly document a series of campaigns created by Sara Jean Thomas, a public relations contractor. She worked with the marketing and sales department to build the Nordic Ware brand and to create a series of television and radio product promotions in the form of household hints. Several scripts are included here along with details of the overall campaigns. There also are files documenting the reach of these promotions. Other materials include a press kit for Chef Tell, a celebrity chef who represented Nordic Ware products for several years and who made appearances at its booth at the National Housewares Shows. New product press releases (with photographs) and general public relations files (1986-1989), along with the Marketing Communication Plans (1987-1989), give details on the planning of other public relations efforts. The trade press clippings scrapbook documents mentions of Nordic Ware and its products, competitors' advertising, and general developments in the house wares industry. Trade press clippings also are found in Series 8, subseries 4.
Series 4: Engineering Department Records, 1950-1994
The Engineering Department was vital to the success of Nordic Ware. Records in this series reveal the process by which a new product idea was developed, built, tested, and turned into a saleable product. Museum staff members selected the records in this series, occupying about five cubic feet, from a much larger group of files, roughly twenty-five feet in extent. The criteria for selection included substantive information on the design development of new products, especially those requiring substantial engineering work, and on product re-design to create cost efficiencies and resolve product problems.
Subseries 4.1: General Records, 1969-1992
These records deal with general departmental business and include incoming and outgoing correspondence and general files kept by individual engineers. They also provide operational information such as source for production materials, work orders processing, and treatment of employee issues in the department.
Engineers in the department kept these notebooks mainly for developing design ideas and working out the technical logistics of bringing the designs into production. The notebooks also served as evidential records for patent disputes. The engineers signed and dated the pages of their notebooks as proof of when ideas were conceptualized and who recorded them.
Subseries 4.3: Product Files, 1976-1993, undated
These records originally were organized by product number, but no index to the numbering system accompanied the records so files of like products were grouped together. The Micro-Go-Round, Oven-Aire, and Wok are the most thoroughly documented. The records include blueprints at various stages of the products development, work orders for research and development, outside quotations, invoices, quality control tests and guidelines, memoranda to and from other company offices about product development, and other types of operational materials. Most of these products had multiple versions, and evidence of ongoing testing and modification is seen in the records.
These records document some of the innovation that made Nordic Ware an important presence in the housewares industry. The Micro-Go-Round was a particularly revolutionary product at the time, and the records show how the company recognized a need for the product and did what was necessary to develop it, although it had little or no experience with microwave technology. Micro-Go-Round records also are found in Subseries 5 of this series. The Oven-Aire required extensive development efforts to bring to fruition. The idea behind this product was to make conventional ovens cook more evenly and operate like a convection oven. The records include photographs of the original working model, tests done in some of the engineers' home kitchens, and comparison photographs of foods cooked with and without the device. Though the product never took off in the market, the invention and development process is documented here from the perspective of the several parties who worked on it. To a much more limited degree, records for some of the other products -- like the Popgun Popcorn Popper and the Supremer Ice Creamer --demonstrate the design and development process. There is even information about packaging design for some of the products.
Subseries 4.4: New Product Ideas Files, 1976-1993
These records document Nordic Ware's efforts to identify and develop a stream of new products and to involve employees in that process. They include product ideas submitted from outside the firm but primarily relate to New Product Meetings at which employees shared their own ideas. The meetings often included voting for the best ideas and for those that would be most feasible to manufacture. Most of the files contain original artwork, usually brought to the meeting by the marketing department. They also include lists of product ideas and who submitted them, ballots for the voting on the best ideas, and notes taken at the meetings. Several files have memoranda to the employees encouraging submission of ideas outside the annual meeting cycle. Related materials are found in Series 3, Marketing and Sales Records, 1948-2004, Subseries 1, General and Department Records, 1967-1995.
Subseries 4.5: General Research and Development, 1976-1993
This subseries mainly contains files on the development of microwave cookware products and the Micro-Go-Round. Dr. T.K. Ishii, a leading researcher in microwave technologies from Marquette University, served as a consultant to Nordic Ware. He advised on technical problems and explained processes to the Nordic Ware engineers to enable them to develop products. Other materials deal with the application and certification process for Underwriters Laboratories, an independent organization that tested products and certified them as meeting its safety standards.
Subseries 4.6: Patent Materials, 1950-1994
Many records in this subseries deal with the patent application process. An outside legal firm submitted Nordic Ware's applications and negotiated with the Patent Office. The records include correspondence surrounding patent disputes and sworn affidavits by engineers submitted as proof of their work. Several reference files of non-Nordic Ware patents are in this subseries. Many were sent by the law office to Nordic Ware engineers to keep them current on new developments.
Subseries 4.7: Trade Associations, 1977-1994
These records reflect the participation of Engineering Department staff in trade associations, especially The Society of the Plastics Industry, Inc. Lloyd Keleny and several others were involved with the Microwave Oven Cookware Committee. The Society was concerned with the absence of standards for microwave ovens and the resulting problem that cookware used in these ovens was not always effective. The Committee gathered data and encouraged the microwave industry to recognize that consistency was needed. There also are files from the Frankfurt International Housewares Fair, 1994. Nordic Ware tried to build its presence internationally, and fairs such as this were opportunities to meet foreign manufacturers and distributors. They also enabled the company to see what was happening on a global level.
Series 5: Financial Records, 1948-1982
These records include financial information for Nordic Ware and other Dalquist interests, including Maid of Scandinavia Company, when it was still joined with Northland Aluminum Products, and the Minnesota Brand of Cookware. The intermixing of financial reports, invoices and receivables, petty cash receipts, and bank statements for the various enterprises demonstrates the close relationship of all of the beginning operations of the Dalquist family. There are many examples of consolidated financial information in the records including the balance sheets, combined financial reports, income statements, and the audit reports. Of particular interest is the accounting ledger (1949-1950) for Plastics for Industry, the Dalquist brothers' original company. It has handwritten entries and shows the company's simplified bookkeeping system. It also provides important financial data on the startup capital and the progress in the first year of business.
Reports created by the research firm Dunn and Bradstreet contain information submitted by the Dalquists to prove their credit worthiness to lenders. Several loan agreements document the company's practice of borrowing money on future earnings in order to meet operating expenses and finance innovation. Machinery owned by Nordic Ware is listed in several factory inventories. The firm also leased machinery instead of buying in order to save money. Inventory summaries (1950-1978) detail the numbers and value of the unsold product then on hand.
Though Nordic Ware stock was never traded publically, there was an employee shareholder plan that included profit sharing. Records in this subseries document the evolution and operation of the plan, including one employee's case for a public offering of the company stock. At some point Dave Dalquist did consider making the company public but decided to maintain private ownership. The emphasis on taking pride and ownership in the company was often repeated in memoranda that Dalquist wrote to employees about stock options. The records show that he was very conscious of morale and high standards of work within the company.
Series 6: Legal Records, 1962-1978
The bulk of these records deals with trademark issues, especially Nordic Ware's creation, licensing, and protection of the "Bundt" mark. Included are copies of correspondence with the law firms that handled applications to the Patent and Trademark Office and correspondence from that office. Correspondence and legal papers document licensing negotiations with Pillsbury and others. In several instances Nordic Ware took legal steps when the Bundt Pan trademark was being misused.
Series 7: Recipes and Cookbooks, 1966-2004, undated
This series is comprised of a large selection of cookbooks and recipe files maintained by Dotty Dalquist and reflect her active role in business activities. She did much of her cooking and experimenting in a test kitchen in her own home and was integral to the preparation of foods to be photographed in Nordic Ware products. These photographs demonstrated the use of the products and were included in the advertisements, catalogs, and product or recipe brochures.
Dotty Dalquist kept recipes, product booklets, notes, and other materials to aid in the development of her own recipes. She organized much of the material by food type, but she also had several files for specific Nordic Ware products. The Bundt Pan was a major product, and the files on it reflect that. As Nordic Ware sought new ways to promote the use of its products, Dalquist's development of new and inventive recipes was a major part of that effort.
Subseries 7.2: Bundt Pan Cookbooks, 1966-2004
Nordic Ware published several books by Dotty Dalquist to promote use of the Bundt Pan. Pillsbury and other firms also published their own books. Pillsbury incorporated its products into the recipes to promote the dual product relationship between the Bundt Pan and the Pillsbury brand of cake mixes. These books were sold in stores and added as premiums to go along with the purchase of the other products.
Subseries 7.3: Other Recipe and Public Relations Materials, 1970-1996, undated
Recipe contests and a cookbook were among the efforts to involve employees with the Nordic Ware products and to generate new recipes and ideas. These files include photographs and entries and correspondence about these employee activities.
A file of correspondence, mainly to and from Dotty Dalquist, concerns problems consumers encountered using specific recipes that she had published. Consumers also wrote about recipes they had tried on their own and could not get satisfactory results with a Nordic Ware product. Dalquist's problem-solving efforts were an example of the personal customer service in which Nordic Ware took pride.
Series 8: Non-Nordic Ware Reference Materials, 1940-2001, undated
The materials in this series were used by Nordic Ware as reference resources. They have been organized into subseries by type.
Dotty Dalquist collected cookbooks published by a wide range of manufacturers and trade organizations. The cookbooks are arranged in alphabetical order by the name of the sponsor. Many companies, such as Pillsbury and General Foods, put out these kinds of books to promote their own brands. This may have influenced Dalquist's creation of her own Bundt Pan cookbook.
Subseries 8.2: Product Guides (some with recipes), 1940-1992, undated
These product guides, for appliances and other items used in Dotty Dalquist's kitchen, include use instructions and, often, recipes. Nordic Ware often included recipes in the print materials packaged with its products and associated with its advertising.
Subseries 8.3: Home and Food Related Ephemera, 1950-1980, undated
These materials include booklets of general household hints, recipe cards published by various organizations, and information on food processes.
Subseries 8.4: Periodicals, 1967-2001
Several scrapbooks in this subseries contain clippings from various trade publications. Some focus on Nordic Ware and Northland Aluminum Products in articles or advertisements while others contain industry, including competitors', product advertisements. There are several issues of trade periodicals with Nordic Ware related stories. Trade press clippings also are found in Series 3, Marketing and Sales Records, 1948-2004, Subseries 3, Public Relations, 1948-1992.
Most of these newsletters were for reference use with Nordic Ware's microwave cookware projects. With its extensive line of these microwave products, there was an active effort to stay up to date with the field. The firm also tried to find different kinds of foods and recipes that could be prepared using a microwave oven.
Series 9: Photographs, 1940s-2006, undated
This series consists of a wide range of photographic prints re-housed in archival sleeves and assembled into a single binder. The photographs are arranged roughly by image content and document the Dalquist family and employees; factory and offices scenes, including a series of black and white images by Mel Jacobsen, a commercial photographer; and product displays at trade shows and other locations. The photographs also include a few images of Nordic Ware products and of baked foods and black and white images of plastic molds created by Plastics for Industry. Most of the photographs are undated and many are unidentified. There is a View Master viewer with one viewing card containing photographs assembled for Nordic Ware's sixtieth anniversary in 2006. Series 2, David Dalquist Files, includes five photographs of foods baked in Bundt Pans. Series 3, Marketing and Sales Records, Subseries 1, General and Department Records, 1967-1995, has photographs of a factory outlet store and product displays.
Arrangement:
The collection is divided into nine series.
Series 1: Historical and Background Materials, 1940s-2006
Series 2: David Dalquist Files, 1963-1993
Series 3: Marketing and Sales Records, 1948-2004
Subseries 1, General and Department Records, 1967-1995
Subseries 2, Promotional and Trade Sales Materials, 1958-2004
Subseries 3, Public Relations, 1948-1992
Series 4: Engineering Department Records, 1950-1994
In 1946, the year he returned from Navy service in the Pacific, H. David (Dave) Dalquist (1918-2005) joined his brother Mark to launch a new manufacturing firm, Plastics for Industry, in Minneapolis. The two University of Minnesota graduates soon were making foundry patterns and industrial plastic products for area businesses, as well as aluminum consumer cookware. Among their earliest products were ebelskiver pans, krumkake irons, and rosette irons, essential kitchen tools for the area's large Scandinavian population. Their first employee, Donald Nygren, remained as head designer for many decades.
In 1950, the brothers bought Northland Aluminum Products, a small firm with a line of "Nordic Ware" products including griddles and steak platters. The same year, Dave Dalquist created a cast aluminum, fluted cake pan at the request of two local women, members of the Hadassah organization. The women sought to replicate a heavy mold used in Europe. Northland Aluminum registered the trademark "Bundt" for the new product and began to sell it to local department stores. (The women sold manufacturing "seconds" as a fund raiser for their group.) Mark Dalquist created a firm, Maid of Scandinavia, to market products by mail. It separated from Northland Aluminum in 1963. Over the years, Northland Aluminum increasingly used "Nordic Ware" to identify itself for marketing and public relations purposes.
Northland Aluminum created a subsidiary finishing and coating firm, Northland Color Anodizing Company, in 1962. In 1964, Northland became one of the first to license the use of Teflon from its inventor, DuPont, and non-stick products became an important part of the company's line. Northland also did coating work for many industries including medical, computer, and commercial food processing. For many years Northland also had a division to produce heads for video recording machines. Product sales reached $1,000,000 in 1964.
During the 1960s, Nordic Ware grew slowly, gradually increasing its product line to include specialty baking and cookware items and stove-top cookware. The company also expanded its production capacity and built its sales and marketing capabilities, including a national network of sales representatives working on commission. Dorothy Dalquist, Dave's wife, played a vital role in the company's history. She joined him at crucial annual sales conventions to demonstrate products, tested new products, and developed recipes for them in her home kitchen. Additionally, she represented the firm in public relations activities.
Although the Bundt Pan was only one of many Nordic Ware products, it became a national celebrity in 1966 when a Texas woman used it for her prize-winning Tunnel of Fudge Cake in the immensely popular Pillsbury Bake-Off Contest. In 1970, Nordic Ware licensed the Bundt trademark to Pillsbury for use with a line of cake mixes. Customers received a cake pan at a small additional price with the purchase of the packaged mix. Although this pan was spun of light aluminum, not cast like the original models, the Pillsbury promotion was very successful. In addition to the classic Bundt design, the company began producing special designs, including a cathedral, a castle, a rose, a heart, and, in 2006, a stadium shaped pan. The Bundt Pan continues to be the most popular cake pan in America, and the company estimates it has sold sixty million pans over the past six decades.
Despite the steady popularity of the Bundt Pan, Dalquist and his firm knew that the spike in Bundt Pan sales resulting from the Pillsbury promotion was temporary, and they continued their strategy of seeking new products to buoy overall sales revenues. In 1978 Nordic Ware developed a "new thermoset plastic molding technology to create an extensive line of cookware designed to work in both conventional and microware ovens."
In these same years, as microwave oven use rapidly spread, Nordic Ware developed its second celebrity product. Designed by the company's own engineers, the Micro-Go-Round was promoted in print and television advertising and is still its most successful product. Since then, Nordic Ware has introduced a wide range of new products, some of them successful (for example, nonstick Barbecue Grill Cookware), others not (including a device to create convection currents in a baking oven and a bicentennial cake platter). Northland Aluminum holds at least twenty-five patents for its products.
Today David Dalquist (born 1949) -- son of founder "Dave Dalquist" and, like his father, an engineer -- heads Nordic Ware. He has been involved with the company for his entire working life with major executive responsibilities since the early 1980s. David Dalquist's mother, Dotty, is on the Board of Directors and serves as Corporate Secretary. David's three sisters—Corrine, Linda, and Susan—are also involved in the business. The firm employs between 200 and 400 people and continues, as a point of pride, to manufacture its products in the United States. The family has refused numerous buyout offers. Nordic Ware has managed to design and market products for the large, low price retailers, including Wal-Mart, and for the upscale, specialty gourmet market. Williams-Sonoma, a leader in the latter field, has exclusive sales for a small number of new Nordic Ware products each year.
For its sixtieth anniversary, Nordic Ware produced a company history, H. David Dalquist, The Nordic Ware Saga: An Entrepreneur's Legacy (Kirk House Publishers, Minneapolis, 2006). The volume provides edited recollections of "Dave," many family members, and other employees drawn from oral history interviews. This finding aid is based largely on that information, other historical sources within the collection, and visits to Nordic Ware offices by National Museum of American History staff members Paula Johnson and Nanci Edwards (June 2006) and Paula Johnson and John Fleckner (August 2006).
Related Materials:
The Division of Work and Industry holds thirty-six objects from Nordic Ware (Accession # 2007.0034), including Bundt Pans in a variety of shapes, foundry patterns and molds for Nordic Ware products, a wood panel display of products manufactured by Plastics for Industry, three versions of the Micro-Go-Round, and other kitchenware products.
Provenance:
This collection was donated by Dorothy M. Dalquist and H. David Dalquist in 2007.
Restrictions:
Collection is open for research but is stored off-site and special arrangements must be made to work with it. Contact the Archives Center for information at archivescenter@si.edu or 202-633-3270.
Rights:
Collection items available for reproduction, but the Archives Center makes no guarantees concerning intellectual property rights. Archives Center cost-recovery and use fees may apply when requesting reproductions.
The Society for the History of Technology Records (SHOT) consists of documents relating to SHOT from its inception in 1958- [0ngoing]. The collection is divided into two subgroups: Subgroup I, General Records, 1956-2009 which consist of papers generated and received by Melvin Kranzberg in his various roles as an officer of SHOT, as well as papers of other SHOT officers. Subgroup II,Technology and Culture Records, 1958-2009, consists of documents relating to the Society's journal, Technology and Culture. T & C is a quarterly publication containing articles of interest to and written by historians and students of technology.
The records consist of material generated by Melvin Kranzberg in his role as founding editor-in-chief (1959-1981), first at Case Western Reserve and later at Georgia Institute of Technology, and was succeeded at the National Museum of American History by Robert Post (1981-1996) whose editorial assistants were Brooke Hindle, Helena Wright, Jeffrey Stine, Art Molella and Joan Mentzer. When the museum ended its support of the journal, it moved to the Henry Ford under the editorship of John Staudenmaier (1996-2010) and after that to the University of Oklahoma under the editorship of Suzanne Moon (2010-2020).
Scope and Contents:
The collection is divided into two subgroups: Subgroup I, General Records, 1956-2009 which consist of papers generated and received by Melvin Kranzberg in his various roles as an officer of SHOT, as well as papers of other SHOT officers. Subgroup II,Technology and Culture Records, 1958-2009, consists of documents relating to the Society's journal, Technology and Culture. T & C is a quarterly publication containing articles of interest to and written by historians and students of technology. The records consist of material generated by Melvin Kranzberg in his role as editor-in-chief, 1959-1981 and by succeeding T&C editors. The Melvin Kranzberg Papers (AC0266) consist of the personal papers of Dr. Kranzberg from his undergraduate years at Amherst College through his professional career. The collection documents his involvement with development of the new field of history of technology and his role as principal founder of the Society for the History of Technology (SHOT); work as consultant and advisor to domestic and international agencies, colleges, and universities; personal affiliations, lectureships, publications; and teaching and administrative activities for more than forty years as a college professor.
Subgroup I: General Records, 1956-2009, consists of documents relating to SHOT from its inception in 1958 to 2009, papers generated and received by Melvin Kranzberg in his various roles as an officer of SHOT, as well as papers of other SHOT officers.
The General Records are divided into ten series based on the functions of this professional organization of scholars interested in the history of technology. Series one through three document committees and officers and their correspondence regarding day-to-day activities of the Society. Financial records and preparation for annual membership meetings and other more specialized meetings comprise other series. Newsletters and brochures describing SHOT's activities and the records of SHOT's relationships with other professional associations (such as the American Association for the Advancement of Science) complete the General Records.
Series 1: Organizational Records, 1956-1984, consists of materials documenting organizing work, including membership, officers, finances, publicity and drafting of a constitution for SHOT. Included are minutes of meetings to accomplish these purposes as well as for the first general membership meeting held in December, 1958. Papers incorporating SHOT and a history of the organization as of 1976 are included. These records are organized into three categories: the initial conceptualization and creation of SHOT; support activities in the early period; the constitution and history of SHOT. The material is arranged chronologically.
Series 2: Records Of Councils, Committees, and Other Groups, 1959-1989, consists of the records of SHOT councils, committees and other organizational groups. The Executive Council consists of nine elected voting members in addition to the officers of the Society, past presidents of the Society, and the editor-in-chief of the Society's journal. The Executive Council directs the affairs of the Society. In order to reflect the composition of the Society as an interdisciplinary organization which draws from both academe and the factory and industrial laboratory, the Executive Council has been made up of a combination of academicians and practicing engineers and industrialists.
Subseries 2.2a: Executive Council, 1959-1963; 1968; 1975-1978; 1983-1987, contain memoranda to the Executive Council from Melvin Kranzberg, Secretary, 1959-1974; correspondence to and from Secretary Carroll Pursell, 1975-1978; reports; minutes; and other memoranda regarding the SHOT Brochure and Museum Exhibit Awards Program. In addition, Series 5 contains the minutes of many Executive Council meetings, 1958-1992.
Subseries 2.2b: Advisory Council, 1960-1961, is composed of SHOT members selected on the basis of their distinquished scholarship or eminent service to the development of technological studies. The Advisory Council is consulted from time to time regarding the affairs of the Society. These records contain memoranda to the Advisory Council requesting advice, and a list and addresses of Council members as of March, 1961.
The Subseries 2.2c: Nominating Committee,1961-1984, is composed of three Society members appointed by the president; they serve for three years in rotation, one member being added and one retiring each year. Their duties are to nominate persons for the various offices, Executive Council, and the Advisory Council. In addition they make nominations to the Executive Council of candidates for corresponding membership. These records contain correspondence among Society officers, members and potential members of the Nominating Committee; memoranda to the Nominating Committee regarding the work of the committee; lists of officers and council members of the Society; and nominations and ballots.
The Subseries 2.2d: Editorial Committee,1980-1987, is chosen by members of the Executive Council and generally oversees and has ultimate responsibility for the Society's journal, Technology and Culture. The editor-in-chief of the journal is the chairman of the Editorial Committee. The records contain correspondence of the committee; annual reports of the committee; memoranda; and the editor's reports.
The Subseries 2.2e: Documents Committee,1961-1970; 1979-1985 mission was to monitor the preservation of important documents and archival materials that are or may be of value to historians of technology. A primary function is the encouragement of the maintenance and preservation of scientific and technological archives. These records contain correspondence to and from the chairman of the committee, Mel Kranzberg, and others regarding the committee's work and status.
The Subseries 2.2f: Program Committee, 1959; 1961; 1968; 1971; 1983-1984, has charge of arrangements for SHOT's annual meetings, any special meetings of the Society, and any other programs sponsored by the Society. For example, the committee has the responsibility of organizing SHOT sessions at annual meetings of the American Historical Association and the American Association for the Advancement of Science and History of Science Society, among others. These records contain correspondence and memoranda among members of the committee--and with Kranzberg--regarding program sessions and participants at various meetings and other committee business and priorities; the program of the SHOT 1983 annual meeting; and various program reports, 1959-1985.
Subseries 2.2g: Other Committees, 1961-1987, consist of correspondence and memoranda regarding the myriad aspects of various small SHOT committees' work. Among the committees are: Fellowship Committee; Aims and Goals Committee; Industrial Archeology Committee; Electricity and Electronics Archives Committee; Bicentennial Committee; SHOT Research Committee; Technical Studies Committee; Museum Committee; Monograph Committee; Ad Hoc Committee on Library Services; Technical Studies and Educational Committee; Sites Committee; the Endowment Committee; and the Bibliographic Committee, which was organized to prepare an annual list of books and articles with critical comments or references to reviews when available. The bibliography is published annually in Technology and Culture. An analytical index is prepared annually to accompany the bibliography.
Subseries 2.2h: Officers and Committee Appointments, 1963;1966; 1970-1977; 19080; 1982, contains lists of SHOT committee officers, as well as correspondence and memoranda regarding committee and SHOT officers' appointments and acceptances.
Since SHOT's inception in 1958, members have formed special interest groups (SIGs) for the purpose of bringing together scholars and professionals with interests in specific fields of the history of technology.
Subseries 2.2i: Special Interest Groups, 1961-1988, material includes correspondence, memoranda, newsletters, directories, reports of chairmen, and articles of various special interest groups. These special interest groups are composed of SHOT members who have a common interest, e.g., women's roles in technological history and military technology.
The Subseries 2.2j: Awards Committee (Committee on Honors), 1961-1988, was an advisory committee created to establish conditions and to recommend recipients for various SHOT medals and awards, such as the Usher, Dexter and da Vinci. The power to confer the awards rests with the Executive Council of SHOT. The committee is also responsible for developing citations for the medals and carrying out the nomination process for awards. These records contain correspondence between committee members and Kranzberg regarding awards to recipients, vitae of award recipients, and edited copies of the "awards/honors section" of Technology and Culture.
The Subseries 2.2k: Leonardo da Vinci Medal, 1966-1986, is the Society's highest honor, presented to an individual who has greatly contributed to the history of technology through research, teaching, publications, and other activities. This material consists mostly of correspondence among officers of SHOT and the medal recipients. Also included is biographical material on three recipients of the medal. Photographs of the medal are also included.
The Subseries 2.2l: Dexter Prize, sponsored by the Dexter Chemical Corporation of New York City, is an annual prize of $1,000 dollars for the best book on the history of technology. This material is mainly correspondence regarding the establishment of the prize, development of the plaque, correspondence to and from the recipients, a photo of one recipient, and original illustrations of the plaque.
The Subseries 2.2m: Robinson Prize, 1968-1987, was established by the Executive Council and is awarded annually. It consists of a certificate and a check for $150 dollars for the best paper presented at a SHOT annual meeting by a person under thirty years of age. The material includes correspondence and memoranda regarding this prize. In addition, copies of many submission papers are included.
The Subseries 2.2n: Levinson Prize, 1984-1986, is awarded for an author's first manuscript intended for publication. There is a cash award of $250 dollars and an appropriate plaque. Included is correspondence to and from SHOT officers regarding the establishment and the awarding of this prize.
Subseries 2o: Miscellaneous Awards, 1984-1986, consists of correspondence and memoranda related to various small awards and prizes, including the Usher prize, a special certification award for meritorious work not covered by established prizes, and the IEEE Life Member's Prize in Electrical History, administered by SHOT.
Series 3: Correspondence, 1963-1988, contains correspondence of SHOT officers and is divided into three subseries: general correspondence, correspondence of SHOT presidents, and correspondence dealing with particularly important subjects. The general correspondence deals with routine administrative matters from 1966-1988. The presidential letters and the letters to which they reply relate to the official responsibilities of the SHOT president 1978-1986. The final category contains correspondence, 1975-1985, on subjects such as preparations for commemoration of the 500th anniversary of Columbus' voyage and the offer of the Smithsonian's National Museum of American History to be the repository for the records of SHOT.
Series 4: Financial Records (Budget), 1959-1993, consists of financial statements and bank records, 1960-1993, including reports of SHOT treasurers to the membership and to appropriate committees regarding SHOT finances, as well as bank statements, check stubs, and other records of transactions and investments. Copies of required reports to the Internal Revenue Service, 1960-1991 are filed separately as is the general correspondence of SHOT Treasurers, 1985-1991. Financial reports on individual SHOT Meetings, 1976-1993 consititute a final category.
Series 5: Meetings, 1958-1992, contains minutes of the Executive Council and annual general membership meetings, as well as records of preparatory work for annual meetings of SHOT, and is arranged chronologically. Records of other membership meetings concerned with particular subjects are listed separately. Correspondence relating to a conference on "Critical Issues in the History of Technology" organized by SHOT in Roanoke, Virginia in 1978, is also included.
Series 6: Secretary's Membership Records, 1958-1984, consists of reports and correspondence to and from officers and members of SHOT, and is arranged chronologically. Included are inquiries from prospective members, responses by the SHOT secretary, statistics of membership, questionnaires, and invitations to join SHOT.
Series 7: Newsletter, 1958-1997, contains the SHOT newsletter and records of its publication and is arranged chronologically for 1977-1989. Materials for the years preceding 1977 include the actual newsletters for 1958-1964, arranged chronologically, and the rough draft of the 1960 newsletter. Series 9 contains additional copies of the SHOT newsletter.
Series 8: Publication of Monographs, 1961-1984, contains correspondence and committee meeting minutes relating to editorial review, printing problems and royalties. These are arranged by subject.
Series 9: SHOT Professional Relations with Other Organizations, 1964-1988, consists of materials documenting SHOT's numerous official contacts with other professional societies, including joint meetings, correspondence, and minutes. These records are arranged chronologically. Papers relating to the American Association for the Advancement of Science and the American Council of Learned Societies are grouped separately.
Series 10, Officers Files, 1958-2009, contains materials submitted periodically by former officers of SHOT, beginning in the mid-1980s. Included are documents relating to their administrative functions, as well as their correspondence conducted while in office. Received material which obviously fits into the body of the collections has been so incorporated, in the order of their donation.
Subgroup II: Technology and Culture Records, 1958-1995, consists of documents relating to the Society's journal, Technology and Culture. T & C is a quarterly publication containing articles of interest to and written by historians and students of technology. The records consist of material generated by Melvin Kranzberg in his role as editor-in-chief, 1959-1981 and by succeeding T&C editors.
The papers are divided into ten subseries according to the editorial and other activities involved in producing T & C. In addition to the Organizational Records, 1958-1962, the Technology and Culture records include book reviews, editorial reviews of articles, indexes and tables of contents, printing (by the University of Chicago Press), costs, promotions, and special projects.
Series 1: Organizational Records, 1958-1962 , contains correspondence, minutes of meetings and memoranda relating to the creation of the quarterly journal, T&C, and its first issue. the series includes records of a membership poll to choose the journal's name. A speech by Melvin Kranzberg in 1981 entitled "Quirks and Jerks of Editing Technology and Culture" outlines the early considerations in publication and later editorial problems.
Series 2: Correspondence, 1965-1988, is restricted and contains articles and reviews of articles submitted to T&C for publication. This material is arranged alphabetically by correspondent. The folder dates represent the dates of all the correspondence in the folder. The older date usually represents the date when the correspondence was initiated regarding the submission of an article to T&C. However, the latest date does not always represent correspondence regarding a submission to T&C, since Kranzberg sometimes included general correspondence in the folders.
All articles went through a refereeing process, during which referees wrote recommendations, either for or against publication. These judges wrote their recommendations with the understanding that their identities and their evaluations would remain confidential. In order to maintain the confidentiality of all parties, this separate correspondence series and the confidential referee reviews have been restricted for thirty years from the most recent date of the correspondence. Exceptions will be made if written permission is obtained from SHOT's Editorial Board.The majority of folders contain correspondence between Kranzberg and the referees about articles, but not the articles themselves. The judges' recommendations contain a great deal of information. Some papers were revised two, three, or more times in preparation for publication and referees' reports follow each revision.
Series 3: Book Reviews, 1969-1995, consists of drafts of reviews which appeared inT&C with correspondence relating to those reviews. The material is arranged chronologically according to theT&C issue in which they appeared.
Series 4: Editorial Review of Articles, 1960-1993, consists of drafts of articles considered for publication and other editorial material, for example, exhibit reviews, communications, notes and announcements, correspondence (with authors and reviewers; the latter included comments on the draft articles) and email printouts. The material is arranged alphabetically by name of author and is restricted. Judges wrote their recommendations with the understanding that their identities and their evaluations, would remain confidential. In order to maintain the confidentiality of all parties, this series and the confidential referee reviews have been restricted for thirty years from the most recent date of the correspondence. Exceptions will be made if written permission is obtained from SHOT's Editorial Board.
Series 5: Indexes (Cumulative) and Tables of Contents, 1965-1987 (Boxes 54-56), contains tables of contents of each quarterly edition of T&C, 1965-1981, together with cumulative indexes through 1987.
Series 6: Technology and Culture Printing and Costs, 1959-1994, consists of correspondence with printers of the T&C quarterly journal (primarily the University of Chicago Press), including instructions for printing and negotiation of costs. Also included are arrangements for reprints, cover designs and membership lists. Correspondence relating to campaigns to promote sales of T&C and annual reports of revenues and costs is arranged chronologically.
Series 7: Special Projects, 1962-1986, includes materials documenting miscellaneous projects related to T&C and its editing and publication, and is arranged chronologically.
Series 8: Technology and Culture Editor, 1982-1995, consists of records of the editor documenting the functions of soliciting, reviewing, refereeing and giving final approval for articles and book reviews appearing in T&C. Correspondence with members of SHOT and others is arranged alphabetically. Letters relate to proposed articles and comments on them, as well as other subjects. Also included is correspondence relating to Post's own publications, exhibits, and public presentations, assessments of grant applications, records of his involvement in the affairs of the National Museum of American History and other museums, and correspondence with other periodicals with which he was editorially involved, such as Invention and Technology and Railroad History.
Series 9: Published Files, 1982-1994,contains edited typescript (as submitted to publisher) for articles, research notes, conference reports, organizational notes, reviews, obituaries, and all other material published in Technology and Culture for one calendar year. Correspondence with authors, advisory editors, referees (between two and five for each article), and editorial and production staff of the University of Chicago Press is also included. The materials are arranged chronologically by year. These files are closed for thirty years from the date of the last correspondence in the individual folder. They may be opened, on a case-by-case basis, through appeal to the SHOT Editorial Committee.
Series 10: Office Business Files, 1983-2007, consists of files from the Technology and Culture offices. Many of the files relate to the journal's redesign, editors, and search for a university press to publish the journal.
Arrangement:
The collection is divided into two subgroups.
Subgroup I: General Records, 1956-2009
Subgroup II:Technology and Culture Records, 1958-2010
Subgroup I: General Records, 1956-2009
Series 1: Organizational Records, 1956-1984
Subseries 1.1a: Conceptualization and Creation of SHOT, 1956-1959
Subseries 1.1b: Support Activities, 1958-1972
Subseries 1.1c: Constitution and History of SHOT, 1958-1976
Series 2: Records of Councils, Committees, and Other Groups, 1959-1989
Subgroup II:Technology and Culture Records, 1958-2012
Series 1: Organizational Records, 1958-1962
Series 2: Correspondence, 1965-1988
Series 3: Book Reviews, 1969-1995
Series 4: Editorial Review of Articles, 1960-1993
Series 5: Indexes (cumulative and tables of contents), 1965-1987
Series 6:Technology and Culture, 1959-1994
Series 7, Special Projects, 1962-1986
Series 8, Technology and Culture Editor, 1982-2010
Series 9: Published Files, 1982-1994
Series 10: Office Business Files, 1983-2007
Series 11:Technology and Culture (journal), 1992, 1994, 2005-2012
Biographical / Historical:
The Society for the History of Technology (SHOT) was formed in 1958 to encourage the study of the development of technology and its relations with politics, economics, labor, business, the environment, public policy, science, and the arts. The Society is incorporated in the State of Ohio as a nonprofit educational organization. Membership is international, open to individuals, organizations, corporations, and institutions interested in the purposes and activities of the Society. An international society, SHOT meets annually in North America or Europe and also sponsors smaller conferences focused on specialized topics, often jointly with other scholarly societies and organizations. The Society's quarterly journal, Technology and Culture, is published by the Johns Hopkins University Press (http://www.techculture.org/). In addition to Technology and Culture, SHOT publishes a quarterly newsletter and, jointly with the American Historical Association, a booklet series, Historical Perspectives on Technology, Society, and Culture.
Melvin Kranzberg was the driving force behind the organization of SHOT. He chaired its Executive Council, 1958-1959, and also served as secretary of the organization, 1959-1974; vice president, 1981-1982; president, 1983-1984; and chairman of the editorial committee, 1985-1988. From 1959 to 1981, he was editor-in-chief of SHOT's quarterly journal, Technology and Culture (T&C). In addition to his long, intimate involvement with SHOT, Kranzberg, as a professor at Case Institute of Technology and Georgia Institute of Technology, 1952-1988, was deeply engaged in studying aspects of technological development over the course of human history. Kranzberg participated in many scholarly committees and other organizations, both domestic and international. He also contributed to governmental commissions and international bodies. His correspondence, speeches and published articles constitute the Melvin Kranzberg Papers, 1934-1988 (AC0266), in the National Museum of American History's Archives Center.
The Archives Center was officially designated the respository for the SHOT records and the editorial records of Technology and Culture in October 1994.
Related Materials:
Material in the Archives Center, National Museum of American History
Melvin Kranzberg Papers (AC0266)
Personal papers of Dr. Kranzberg from his undergraduate years at Amherst College through his professional career. Collection documents his involvement with development of the new field of history of technology and his role as principal founder of the Society for the History of Technology (SHOT); work as consultant and advisor to domestic and international agencies, colleges, and universities; personal affiliations, lectureships, publications; and teaching and administrative activities for more than forty years as a college professor.
S. Colum Gilfillan Papers (AC0461)
Gilfillan was a charter member of SHOT in 1958. The papers include correspondence with Melvin Kranzberg concerning articles that he published in SHOT's journal, Technology and Culture.
Materials in Smithsonian Institution Archives
Brooke Hindle Papers, 1944-1985 (RU 7363)
These papers document Hindle's teaching career; his tenure as an academic dean, historian, and professor of science and technology at New York University; his service as president of SHOT; and, to a lesser extent, his years as director of the National Museum of the History of Technology (NMHT). Papers consist of correspondence and memoranda with historical, scientific, and technological institutes and societies concerning research; correspondence and memoranda with prominent historians of science and technology, particularly Carl Bridenbaugh, Whitfield J. Bell, and A. Hunter Dupree; historical research proposals, manuscripts, publications, index cards, and related material; biographical information; slides and photographs of scientific illustrations and portraits of historic American figures; files concerning his presidency of SHOT and as a member of various visiting committees to review academic programs in the history of science and technology; and copies of course materials prepared during his teaching career at New York University.
Provenance:
Dr. Melvin Kranzberg donated the collection on August 29, 1988.
Restrictions:
Collection is open for research but is stored off-site and special arrangements must be made to work with it. Contact the Archives Center for information at archivescenter@si.edu or 202-633-3270.
Subgroup II: Technology and Culture Records
Series 2: Correspondence, 1965-1988
Files are restricted for thirty years from the most recent date of the correspondence. They may be opened, on a case-by-case basis, through appeal to the SHOT Editorial Committee.
Series 4: Editorial Review of Articles, 1960-1993
Files are restricted for thirty years from the most recent date of the review. They may be opened, on a case-by-case basis, through appeal to the SHOT Editorial Committee.
Series 9: Published Files, 1982-1994
Files are restricted for thirty years from the date of the last correspondence in the individual folder. They may be opened, on a case-by-case basis, through appeal to the SHOT Editorial Committee.
Rights:
Collection items available for reproduction, but the Archives Center makes no guarantees concerning intellectual property rights. Archives Center cost-recovery and use fees apply when requesting reproductions.
The Magellan Systems Corporation Records document various aspects of the development of several different Magellan GPS devices through engineering, research, design, manufacturing, and marketing records. Magellan Systems Corporation introduced the first hand-held differential GPS product and the conpany's focus was on research, product engineering, and design activities for GPS receivers. The collection includes correspondence and internal company reports and memoranda; design drawings; research notes; engineering notebooks, technical notes, schematics; photographs, slides and negatives; video and audiocassettes; advertisements; product literature, magazine articles and newspaper clippings; press releases; and user guides and manuals.
Scope and Contents:
The Magellan Systems Corporation Records document various aspects of the development of Magellan GPS devices, including the engineering, research, design, manufacturing, and marketing of the devices. The collection includes correspondence and internal company reports and memoranda; design drawings; research notes; engineering notebooks, technical notes, schematics; photographs, slides and negatives; video and audiocassettes; advertisements; product literature, magazine articles and newspaper clippings; press releases; and user guides and manuals. In Series 1, Operational Materials, Subseries 3, Weekly Reports, 1988-1996, provides an excellent overview of the issues facing the company and what actions/decisions were made and in Series 3, Engineering and Product Development Materials, Subseries 8, Technical Product Development Seminars provide a good foundation for understanding what the product development staff accomplished.
The core team of players who developed, tested and brought to market the GPS devices included: Janice Jones Blankenhorn, Gary Barta, John Foukos, Randy Hoffman, Norm Hunt, Sab Ifune, Don Rea, Dennis Rich, Ed Tuck, Jon Vavrus, Larry Weill, Val Fife Wong, and James Yuan. The majority of the core team were software and hardware engineers as well as mechanical designers. Their energy, enthusiasm, vision, and unwillingness to fail produced the first handheld commercial GPS receiver in 1989 and Magellgan was the first company to make GPS devices affordable to consumers.
Series 1, Operational Materials, 1988-1993, is divided into four subseries: Subseries 1, Organizational Materials, 1988-1994; Subseries 2, Strategic and Operating Plans, 1989-1995; Subseries 3, Weekly Reports, 1988-1996; and Subseries 4, Company Newsletters, 1991-1992.
Subseries 1, Organizational Materials, 1988-1994, consists of an organizational chart detailing Magellan's corporate structure, a document discussing the communication and functional objectives of the company, and a company Christmas card. The Orbital Sciences Corporation profile was prepared by Alex. Brown and Sons Incorporated and provides an overview of the ORBCOMM system technology, a two-way data-only personal communications service.
Subseries 2, Strategic and Operating Plans, 1989-1995, consists of a variety of strategic and operational plans for the company. The plans are arranged chronologically.
Subseries 3, Weekly Reports, 1988-1996, consists of handwritten and typescript reports primarily from Randy Hoffman, president and CEO of Magellan and Gary Barta, Senior Engineer and Vice President of engineering. The reports document issues that include, personnel issues, product development, technological developments, military orders, investments, marketing and sales, financial issues, orders, resource activities, and future activities. The subseries is arranged chronologically and provides an excellent overview of the issues facing the company and what actions/decisions were made.
Subseries 4, Company Newsletters, 1991-1992, consists of two external company newsletters, The Global Navigator, 1991 and The Magellan Explorer, 1992. The Global Naviagtor was created for the marine market and was sent to all NAV PLUS owners as well as dealers.
Series 2, Correspondence, 1989-1994 and undated, is divided into two subseries: Subseries 1, Customer Correspondence, 1989-1993 and Subseries 2, Business Correspondence, 1989-1994 and undated. The customer-related correspondence consists of letters from users of Magellan GPS units (primarily maritime-related) and their feedback about the product. Some color photographs are included. The business-related correspondence consists of records of conversations, invoices, suggestions for strategic planning, correspondence between Randy Hoffman and the Boundary Found, and the agreement and plan for the merger of Orbital Sciences Corporation and Magellan Corporation in 1994.
Series 3, Engineering and Product Development Materials, 1978-1998, consists of ten subseries: Subseries 1, Product Development, 1989-1994; Subseries 2, Engineering Notebooks, 1987-1996; Subseries 3, Technical Notes, 1978-1994; Subseries 4, Breadboard Design, 1986-1994; Subseries 5, First Generation (NAV 1000/NAV 1200), 1985-1994; Subseries 6, Second Generation, 1988-1996; Subseries 7, Third Generation, 1986-1994; Subseries 8, Swiss Army Chip (SAC) Development, 1987-1995; Subseries 9, Technical Products Development Seminars, 1997-1998; Subseries 10, Specifications, 1992-1994 and Subseries 11, TriQuint Semiconductor Materials, 1986-1992.
Subseries 1, Product Development, 1989-1994, consists of documentation related to product development at Magellan. There are sketches for the third generation of GPS products, descriptive materials for the Meridian Plus and third generation receiver, testing data from the Forest Service using GPS in the wilderness near Missoula, Montana, and position description for the director of product engineering at Magellan outlining the skills and responsibilities.
Subseries 2, Engineering Notebooks, 1987-1996, consists of bound, paginated and handwritten notebooks belonging to two Magellan engineers, Janice Jones Blankenhorn, senior software engineer and Don Rea, director of engineering. Each of Don Rea's notebooks contains a page of handwritten annotations made in 2010 describing the contents. Don Rea's 1987 notebook contains documentation on the original Magellan breadboard, custom digital chip (SAC 1), and the digital board design and test, all of which deal with the first generation of the NAV 1000. Rea's 1986 and 1988 notebook contains information about the first generation of software used, GaAS chips, radio frequency (RF) board, second generation (NAV 5000), design work for Swiss Army Chips (SACs), SAC2 digital chip, SAC2B, and the SAC3 chip. Don Rea's 1993-1995 notebook contains notes on the testing of the SAC5, SAC5M and SAC6 custom digital integrated circuit for the third generation.
Subseries 3 Technical Notes, 1978-1994, consists of handwritten and typescript notes of Gary Barta, Janice Jones Blankenhorn, John Foufos, Janice Intyre, Don Rea, Larry Weill, and James Yuan. Where possible, file level information about what the notes relate to and the Magellan staff member who wrote the notes is listed. Much of the documentation consists of equations, algorithms, sketches, block diagrams, and narrative describing processes and research. The subseries is loosely arranged chronologically.
Subseries 4, Breadboard Design, 1986-1994, consists of memoranda, technical notes, drawings, and sketches detailing the radio frequency breadboard design. Magellan's first-generation breadboard, circa 1987, was developed by the team of Janice Jones Blankenhorn, Val Fife Wong, Ed Tuck, Norm Hunt, Sab Ifune, Gary Barta, Larry Weill, Randy Hoffman, and Don Rea.
Subseries 5, First Generation (NAV 1000/NAV 1200), 1985-1994, consists of technical notes, design notes, memoranda, drawings, and blueprints documenting the development of the first generation (primarily the NAV 1000/NAV 1200), handheld GPS unit produced by Magellan. The first generation of GPS were single channel receivers and were quite simple. The NAV 1000 was 8.75" x 3.5" x 2.25" and weighed only 1.5 pounds. The NAV 1000 converted GPS satellite information into a satellite/navigation (sat/nav) positioning. It used Gallium arsenide (GaAs) a compound of the elements gallium and arsenic, and monolithic microwave integrated circuit (MMIC) technology to reduce its size and power consumption. GaAs is a semiconductor used in the manufacture of devices such as microwave frequency integrated circuits, monolithic microwave integrated circuits, infrared light-emitting diodes, laser diodes, solar cells, and optical windows. The device sold for approximately $3,000 dollars.
Subseries 6, Second Generation, 1988-1996, consists of technical notes, design notes, memorandums, drawings, and blueprints documenting the development of the second generation (primarily the NAV 5000) handheld GPS unit produced by Magellan. The NAV 5000 used five channels working simultaneously to locate and collect data from GPS satellites. The units GaAs circuitry rapidly processed the data received from the satellites to compute current location, altitude, velocity and navigation in under one minute. The NAV 5000 was designed primarily for marine use. Other second generation products included: OEM Brain, OEM 1/2 Brain, Nav 500 Pro, NAV 100M5, Skaynav, Fieldpro, NAV 5200 PM, NAV 5000A, NAV 5000D, DX, DLX, Pro mark V, and the Map 7000.
Subseries 7, Third Generation, 1986-1994, consists of technical notes for the development of the third generation (primarily Meridian and Trailblazer models) of Magellan GPS devices. Third generation models were intended for the lower end of the GPS market and were compact hand-held (size, weight, battery life) and a retail price that was reasonable. Other third generation devices included: the meridian, Trailblazer, AIV10 OEM, Skatblazer, NAV 6500 PM, Meridian/TB/SB XL, NAV 1200 Pm, NAV 1200 XL PM, NAV DLX 10, Promark X, and the Pro Mark X-CM.
Subseries 8, Swiss Army Chip (SAC) Development, 1987-1995, consists of technical notes, diagrams and drawings, and specifications for the development of a digital chip used in Magellan GPS products. Don Rea and Norm Hunt of Magellan are credited with naming the chip. The chip combined several elements--GPS DPS channels, correalators, real time clock, alarm timer, interval timer, keyboard interface, display interface, precise timing, power sequencing, memory decoding, code generators, and beeper driver, to name a few--which allowed the development team reduce the overall power, size, and cost of the chip. Magellan outsourced the manufacture of the SAC.
Subseries 9, Technical Products Development Seminars, 1997-1998, consists of documentation for nine seminars in a series of technology seminars initiated by the product develpment group at Magellan. The seminars were created to keep all staff up to date on past, present, and future technology developments at Magellan. The nine seminars cover the history of Magellan GPS technology and address specific areas of development such as antennas, circuits, signal processing, software, navigation needs, and radio frequency. Other information includes tables providing comparisons for the first, second, and third generations, timelines, SAC chip characteristics, and product shipping dates. The seminars provide a good foundation for understanding what the product development staff accomplished. Researchers should consult Series 8 which documents some of the technical seminars.
Subseries 10, Specifications, 1992-1994, consists of preliminary, functional, and system requirements describing technical characteristics for several Magellan products.
Subseries 11, TriQuint Semiconductor Materials, 1986-1992, consists of materials documenting TriQuint Semiconductor, Inc.'s work. TriQuint was a division of Tektroninix, Inc., a manufacturer of analog and mixed signal gallium arsenide (GaAs) integrated circuit products. TriQuint supplied custom radio frequency (RF) and Gallium arsenide (GaAs) chips for Magellan's hand-held GPS systems and tested its chips. Documentation includes trip summaries and observations to TriQuint by Don Rea, a Magellan engineer as well as technical drawings, memorandums, development schedules, invoices, purchase orders, and tests results, production quantity and costs, and specifications. In 1986, Don Rea met Gary Barta, then principal engineer at TriQuint through his frequent visits to the company. Barta led the engineeering development of the an integrated circuit which combined the GPS L-band low-noise pre-amplifier, UHF local oscillator, down converter and high speed digital divisers on a single gallium-arsenide chip. Nothing like this had been done before for a cost senstive commerical application. Barta later joined Magellan in November 1988 as Vice President of Engineering and made the chip he had designed actually work in the environment of a hand-held product.
Series 4, Marketing and Promotional Materials, 1985-1997, is divided into six subseries: Subseries 1, Market Research, 1985-1993 and undated; Subseries 2, Product Literature, circa 1990s; Subseries 3, Advertisements, 1988-1995 and undated; Subseries 4, Press Releases, 1988-1996; Subseries 5, Presentation Materials, 1990-[1997?] and undated; and Subseries 6, Newspaper and Magazine Clippings, 1988-1996 and undated. The series consists of product literature, advertisements, press releases, presentation materials, and newspaper and magazine clippings about Magellan products as well as competitors.
Subseries 1, Market Research, 1985-1993 and undated, consists of market research data in the form of reports prepared by Merrill Lynch, Simmons Market Research Bureau, J & H Instruments, and others, directed interviews and focus group data. There are directed interviews and discussion documentation from 1986 with Coast Guard Rescue, survival trainers, surveyors, hunters, harbor patrols, expeditionists, and mountaineer trainers providing detailed feedback into experiences with the product. The focus group information consists of transcribed interviews, survey text, selection criteria, participant lists, invoices, and technical drawings and mock-ups for the marine, outdoor and hunting markets.
Subseries 2, Product Literature, circa 1990s, consists of one file folder of product information sheets detailing specifics about Magellan products such as the NAV 1000, NAV 5000DX, NAV 1000 PRO/Geolink, NAV 5200, NAV 1000M, Meridian GPS, ProMARK V, GPS 2000, and the Global Satellite Communicator (GSC) 100.
Subseries 3, Advertisements, 1988-1995 and undated, consists of point of purchase ads, artwork and transfer designs for Magellan products. There are some oversize drawings (copies of blueprints) with the transfer design materials.
Subseries 4, Press Releases, 1988-1996, consists of press releases and one press kit containing biographies of staff members, black-and-white prints of Randy D. Hoffman, President and Chief Executive Officer, prints of the NAV 1000, and press releases introducing the NAV 1000. The marine outdoor press releases also contain 1993 dealer price lists for the Trailblazer, Meridian, NAV 5000DX, NAV 5200DX, and the mimimum advertised price policy for 1993.
Subseries 5, Presentation Materials, 1990-[1997?], consists primarily of staff presentation materials used to promote Magellan products. There is one bound presentation, Magellan Systems Corporation Management Presentation, undated, prepared by Merrill Lynch, that provides documentation about the company (an overview), market segments, competition, sales and marketing, product development, technology, manufacturing, and a financial overview.
Subseries 6, Newspaper and Magazine Clippings, 1988-1996 and undated, consists primarily of magazine articles. The articles appeared in a variety of publications and included Defense Electronics, Southern Boating, Maritime Reporter, Cruising World, Boating the Journal of the Sport, International Defense Review, and Navigation News. The subseries is arranged chronologically.
Series 5, User Guides and Manuals, 1989-2005 and undated, consists of training, reference, and user guides for the consumer who purchased Magellan products. The guides are primarily spiral bound and some are annotated. Multiple copies of some years exist. The series is arranged chronologically.
Series 6, Financial Materials, 1991-1995 and undated, consists of stock information, a Securities and Exchange Commission registration statement, correspondence, registration rights agreements, preferred stock purchase agreements, agreement and plan of merger documents between Magellan Corporation and Orbital Sciences Corporation (November 1994), and two floppy discs (3 1/2" and 5") containing information about the company and its staff.
Series 7, Photographs and Slides, 1987-1995 and undated, consists of slides, negatives, transparencies, and color and black-and-white prints of Magellan products. Many of the images document early product concepts, and there are some promotional and publicity materials. There is one folder of photographs with images of employees from 1989.
Series 8, Audiovisual Materials, 1991-1998 and undated, consists of 1/2" VHS, BETA Cam SP, and 8 mm video cassettes documenting technical seminars presented by Magellan Systems Corporation staff and instances of Magellan products featured in news segments. Researchers consult the technical seminar documentation in Series 3, Engineering and Product Development Materials. The series is arranged chronologically.
Arrangement:
Collection arranged into eight series.
Series 1, Operational Materials, 1988-1993
Subseries 1, Organizational Materials, 1988-1994
Subseries 2, Strategic and Operating Plans, 1989-1995
Subseries 3, Weekly Reports, 1988-1996
Subseries 4, Company Newsletters, 1991-1992
Series 2, Correspondence, 1989-1994 and undated
Series 3, Engineering and Product Development Materials, 1978-1998
Subseries 1, Product Development, 1989-1994
Subseries 2, Engineering Notebooks, 1987-1996
Subseries 3, Technical Notes, 1978-1994
Subseries 4, Breadboard Design, 1986-1994
Subseries 5, First Generation (NAV 1000/NAV 1200), 1985-1994
Subseries 6, Second Generation (NAV 5000), 1988-1996
Subseries 7, Third Generation, 1986-1994
Subseries 8, Swiss Army Chip (SAC) Development, 1987-1995
Subseries 9, Technical Product Development Seminars, 1997-1998
Subseries 10, Specifications, 1992-1994
Subseries 11, TriQuint Semiconductor, 1986-1992
Series 4, Marketing and Promotional Materials, 1985-1997
Subseries 1, Market Research, 1985-1993 and undated
Subseries 2, Product Literature, circa 1990s
Subseries 3, Advertisements, 1988-1995 and undated
Subseries 4, Press Releases, 1988-1996
Subseries 5, Presentation Materials, 1990-[1997?]
Subseries 6, Newspaper and Magazine Clippings, 1988-1996 and undated
Series 5, User Guides and Manuals, 1989-2005 and undated
Series 6, Financial Materials, 1991-1995 and undated
Series 7, Photographs and Slides, 1987-1995 and undated
Series 8, Audiovisual Materials, 1991-1998 and undated
Biographical / Historical:
Ed Tuck of the Boundary Fund, a venture capital firm specializing in technologies founded the Magellan Systems Corporation in 1986 and served as its director from 1986 to 1993. Tuck assembled the initial team of Norm Hunt, Larry Weill, Val Wong, and Sab Ifune to conduct a feasibility study in early 1986 to pursue commercial markets for products based on global positioning system (GPS) technology. Magellan introduced the first handheld commercial GPS receiver in 1989 and was the first company to make GPS devices affordable to consumers. Magellan introduced the first handheld commercial GPS receiver in 1989 and was the first company to make GPS devices affordable to consumers. The company successfully introduced GPS products into the marine, professional, military and automotive and general aviation markets.
The Global Positioning System (GPS) began as a United States Department of Defense Program in the 1960s with a navy system known as Transit (first satellite navigation system). Two other projects soon followed, Timation (satellite to broadcast accurate time reference) and Air Force Project 612B, which began in the 1970s. In 1973, the development of the Navigation Signal Timing and Ranging Global Positioning System (NAVSTAR) began under the management of the Air Force. Designed by the military, the system provided twenty-four positioning satellites under all- weather conditions using passive (non-transmitting) receivers. This kept a user's presence from being detected as a result of the receiver. Although primarily for military use, the system also offered a less-precise coded signal for civilian use.
GPS uses a group of twenty-four earth-orbiting satellites which broadcast continuously. The data being broadcast can be processed by a portable receiver to determine a user's position, velocity and time. GPS has three parts: 1) space part with twenty-four satellites; 2) ground part with monitor and 3) user part with receivers that process the signals and calculate position.
In the spring of 1986, the Magellan team published a specification for a custom mixed signal RF (radio frequency) integrated circuit and by fall 1986, had a breadboard (used in prototyping of electronics) and began software development and testing. Magellan focused its research, product engineering, and design activities on the development of GPS receivers that were application-specific, software-intensive, reliable, lower power, easy to use, and affordable.
From 1986 to 1988, the Boundary Fund provided the venture capital for feasibility studies and the initital product design. By 1988, the company occupied its first stand-alone facility in Monrovia, California with thirty-five employees. In May 1989, the company's first product, the NAV 1000, shipped, and in that same year, the company entered the military market with the NAV 1000M. The company entered the professional market in January 1990 with the NAV 1000 PRO, the world's first hand-held GPS product. By 1991, Magellan moved to a new facility in Dimas, California and introduced advanced five-channel technology. It also incorporated in the United Kingdom (UK) as Magellan Systems to handle product distribution in the rest of the UK and Europe.
The SkyNAV 5000 was introduced in 1992 for the general aviation market, and in the same year, hand-held differential GPS technology for the marine market appeared. Magellan was purchased by Orbital Sciences Corporation in 1994. In 2001, Thales Group purchased the Magellan division of Orbital Sciences, and the company became known as Thales Navigation. In 2006, a private equity firm, Shah Capital Partners, and other investors purchased Thales Navigation, and the company was officially renamed Magellan Navigation. Magellan (also known as MiTAC Digital Corporation) is a wholly-owned subsidiary of MiTAC International Corporation and promotes and sells products and services under the Magellan brand name. Magellan is headquartered in Santa Clara, California.
Related Materials:
The Division of Work and Industry holds related artifacts (GPS receivers, computer electronics boards, computer chips, antennas, packaging, components, circuit boards, keyboards, a Swiss Army Chip (SAC), and receiver brackets). See Accession numbers 2010.0117; 2010.0118; 2010.0151; 2010.0152; 2010.0153; 2010.0154 and 2010.0155.
Provenance:
Donated to the Archives Center in 2010, by MiTAC Digital Corporation through Michael Williams, Director of Marketing and Gary Barta, Janice Itnyre, Jean Tuck McGregor, Donald Rea, Edward F. Tuck, Lawrence R. Weill, and James P. White.
Restrictions:
Collection is open for research but is stored off-site and special arrangements must be made to work with it. Contact the Archives Center for information at archivescenter@si.edu or 202-633-3270.
Rights:
Collection items available for reproduction, but the Archives Center makes no guarantees concerning intellectual property rights. Archives Center cost-recovery and use fees may apply when requesting reproductions.
Records relating to Small Beginnings, Inc., a medical supply company that designs, invents, manufactures, and distributes products for premature infants. The records include contacts with distributors, correspondence, product advertisements, patent and trademark files, photographs, a scrapbook, and oral history interviews with Kenneth S. Croteau, Mary S. "Sharon" Rogone, and Philip N. Rogone.
Scope and Contents:
Series 1, Background Information, 1983-2006, is divided into nine subseries and includes articles of incorporation for the business, correspondence, corporate identity branding, and journal articles and magazine and newspaper clippings about Small Beginnings, Inc. The correspondence consists of thank you letters from hospitals and medical centers for visits made by Small Beginnings staff during the holiday season and a September 2001 letter from Kenny Loggins discussing his partnership with Small Beginnings to distribute his CD "More Songs from Pooh Corner." The Entrepreneur packet was created by Kenneth Croteau of Caring Creations, Inc., to assist potential inventors/entrepreneurs in developing ideas into a patented product and bringing it to the marketplace.
Series 2, Oral History Interviews and Logs, 18 January 2007, is divided into two subseries. Subseries 1 contains reference CD-ROM copies for listening and Subseries 2 consists of master CD-ROMs. The interviews were created digitally using a Marantz PMD 660 recorder. The oral history interviews were conducted by National Museum of American History staff members Maggie Dennis and Judy Chelnick. The interviewees include Kenneth S. Croteau, Mary S. "Sharon" Rogone, and Philip N. Rogone, founders of and business partners in Small Beginnings, Inc. Each interview has a time code log. Full text transcripts do not exist.
Series 3, Product Information, 1994-2006, is divided into four subseries.
Subseries 1, Small Beginnings, Inc. Products, 1998-2004, contains documentation on the products made available by Small Beginnings, Inc. The company offers a wide variety of products for neonatal intensive care units and newborn nurseries. This subseries is arranged alphabetically by product name. The bulk of the documentation consists of printed product literature that was disseminated to distributors and/or at conferences. In some instances, such as the Bili-Bonnet, Climate Cover, and Pacee Pacifier—correspondence, testing information, and sketches exist.
Subseries 2, Disclosure Statements, 2000-2003, contains waivers and agreements between Small Beginnings, Inc., and individuals which state that an idea or ideas will not be used or revealed to others.
Subseries 3, Competitors, 1994-2004, includes files on competitors in the neonatal medical supply business. The documentation is primarily product literature and company overviews. The subseries are arranged alphabetically by company name.
Subseries 4, Miscellaneous, 1999, 2001, undated, contains printed paper examples of the fabric Small Beginnings used on its products and a Neonatal Intensive Care Unit (NICU) booklet designed for parents of preemie infants. The booklet provides a checklist of tasks for parents to be conscious of when caring for their premature infant.
Series 4, Sales Records, 1993-2006
Subseries 1, Catalogs, 2001-2005, contains catalogs in hard copy and on CD-ROM for distributors and other interested parties.
Subseries 2, Price lists, 2000, 2003, undated, includes itemized pricing lists for all Small Beginnings products and special pricing lists designed for hospital admission kits. There is also a pricing list with similar competitor products and the savings gained by using Small Beginnings products.
Subseries 3, Distributor Information, 1993-2006, consists of documentation on distributors around the United States who are distributing or considering distributing Small Beginnings, Inc., products. Arranged alphabetically by the name of the distributor, this subseries consists primarily of contracts—the independent distributor contract—between Small Beginnings, Inc., and the distributor.
The contract details the sales representatives appointment, terms, permitted sales, distributor sales and service obligation, supplier organizations, prices, orders, payment, shipment, trademark protection, no competitive products, proprietary rights protection, warranty, disclaimer, and warrant service, limitations or remedies and liability, termination, taxes, duties, import permits, approvals, and general provisions. In some instances, there is correspondence with a distributor and sales report information detailing the product type, cost and to which hospital it was sold.
The Advanced Medical Systems file also contains vendor sales information. This report details what Small Beginnings product(s) were sold, to whom, when, how many, the price, and any shipping details.
The HealthTrust file documents a "purchasing group." A purchasing group negotiates with suppliers to provide member facilities with high quality supplies, equipment, and other services at competitive prices through national, regional and local supply agreements. Small Beginnings did not enter into a formal agreement with HealthTrust but explored the idea of becoming a prospective vendor.
Subseries 4, Licenses and Agreements, 1998-2005, includes license and compensation agreements with five individuals (Eileen Clayton, Linda Cook, Diane D'Eugenio, Ilija Kainovic, and Kathleen Porter) for a variety of products. The agreements cover the definitions, license grants, royalties and payments; term and termination; best effort; breach and cure; patent, applications, prosecution and ownership; new inventions; infringement; representations by the licensee; force majeure; and other rights and conditions.
There are also letters of agreement for purchase and compensation documents. These agreements between Small Beginnings, Inc., and said party states what the product/idea is, how much it will cost, if the product/idea will be commercially produced and marketed, and if the product/idea can be altered. There is one agreement among the officers of Small Beginnings, Inc., dated 1999 which states that any and all future intellectual property(s) and/or product(s) and/or idea(s) shall be the property of the individual and not Small Beginnings, Inc.
Subseries 5, Finances, 2000-2003, contains sales summary data, expense allocations, invoices, and cost analyses. The sales summary provides an itemized breakdown of Small Beginnings's inventory for the period January 1, 2000 to July 10, 2000. The expense allocation spreadsheet of January 2000 to July 2000 provides a detailed breakdown of salary payments, office equipment, goods sold, and other line items such as printing, attorney's fees, and shipping supplies. Also provided is the total actual expenses, total income, difference, and starting and ending balance information. The invoice reports provide information about the customer, the invoice number, date due (0-30 days, 31-60 days or 61-90 days or over 90 days), amount due, purchase order number and the date paid. The projected cash flow from January 2000 to May 2000 details the amount of cash taken in and cash spent. The cost analyses provide a breakdown by list price, materials, manufacturing, labor costs, and packaging for six products: Bili-Bonnet, Climate Cover, Iso-sphere Covers, Baby-Crates, Security Baby Wrap, and Baby Blotters, Preemie Swaddler, Preemie Gown, Privacy Poncho, Bed Buddie, Posture Pillow, Preemie Nest, Bebeonkers and Pacee Pacifier.
Subseries 6, Neonatal Conference Programs, 1998-2002, consists primarily of conference programs and, in some instances, only the program cover.
Subseries 7, American Hospital Association Guide (partial), 1998, contains a partial print out of hospitals located in Indiana, Kentucky, Michigan, and Ohio.
Series 5, Patent and Trademark Files, 1991-2002, contains copies of patent and trademark information relating to Small Beginnings, Inc., products. The trademark file includes documentation with the law firm of Townsend and Townsend and Crew LLP and the United States Patent and Trademark office for Small Beginnings, Peeweeonkers, Bebeonkers, Nasalonkers (all infant nasal suction devices), and Doctor Nurse Apparel, (DNA) trademark logos. The patent files contain correspondence, drawings and narrative text for Bebeonkers, Bili-Bonnet, Climate Cover, Pacee Pacifier, Positioning Device, Preemie Nest, and Privacy Poncho.
Series 6, Photographs and Scrapbook, 1987-2007
Subseries 1, Photographs, 2000-2001, are arranged by topic and include color and color photocopies documenting some of Small Beginnings products, a 2001 Christmas party, a 2000 neonatal conference, and office and factory images.
Subseries 2, Digital images, 2007, consists of office, factory and employee images taken by National Museum of American History staff members Judy Chelnick, Maggie Dennis, and Alison Oswald.
Subseries 3, Scrapbook, 1987-2000, consists of nineteen pages featuring photographs of employees, products and the factory, as well as printed product information.
Arrangement:
The collection is organized into six series.
Series 1, Background Information, 1983-2006
Subseries 1, Articles of Incorporation, 1997-2005
Subseries 2, Small business certification, 2006
Subseries 3, Women's Business Enterprise Council, 2004-2006
Subseries 7, American Hospital Association Guide (partial), 1998
Series 5, Patent and Trademark Files, 1991-2002
Series 6, Photographs and Scrapbook, 1987-2007
Subseries 1, Photographs, 2000-2001
Subseries 2, Digital images, 2007
Subseries 3, Scrapbook, 1987-2000
Biographical / Historical:
Small Beginnings, Inc., of Hesperia, California, was founded by Mary S. Rogone and her business partner, Austin J. Webber, II in the late 1990s. It officially incorporated on November 21, 1997, in the State of Nevada. The company specializes in products conceived and developed by healthcare professionals, specifically nurses who work with premature infants. The name "small beginnings" originated from the small amount of money used to start the company and for the tender age of the patients it serves. The company motto is "Clinicians on a Mission" with the entire company dedicated to making better, more innovative products for premature infants.
Mary Sharon Shoffstall was born August 8, 1942 and raised in the San Bernardino Hills of California. She attended Huntington Park High School where she concentrated on math and science and graduated in 1960. She earned degrees as a licensed practical nurse (LPN) in 1976 and as a registered nurse (RN) in 1980 from San Bernardino Valley College. Rogone worked a variety of nursing jobs—labor and delivery and surgical—but found her niche in the neonatal intensive care unit (NICU).
In the late 1980s, Rogone was motivated by her work in the neonatal intensive care units at St. Bernardine's Hospital (now St. Bernardine Medical Center) and San Bernardino County Hospital in California to create a better phototherapy mask for premature infants suffering from bilirubin. "Bilirubin is a brownish yellow substance found in bile. It is produced when the liver breaks down old red blood cells. The most obvious symptom of high bilirubin levels is jaundice, a condition in which the skin and whites of the eyes appear yellow. Therefore, some babies who develop jaundice may be treated with special lights (phototherapy) or a blood transfusion to reduce their bilirubin levels."
Rogone's phototherapy mask was fashioned out of a variety of hospital materials and was designed to take the pressure off the ocular socket, transfer it to the cheekbone and reduce the ability of light to penetrate the mask. With no objections from fellow nurses or doctors, Rogone developed the Bili-Bonnet Phototherapy Mask and began using it on infants in the NICU. Encouraged by Austin Webber, a medical sales representative she met at the hospital, Rogone formed a financial partnership with Webber. Both Rogone and Webber contributed $1,500.00 to start the business. Webber provided knowledge about materials, manufacturing processes, and distribution while Rogone supplied the ideas and medical background. Rogone began the patent process for the mask in 1992 and was granted US Patent # 5,613,502 for a "Photo therapy eye mask" in 1997. This invention launched Rogone's inventive career and her company, Small Beginnings, Inc.
In 1995, Sharon married Phil Rogone, a respiratory therapist and physician's assistant she met while working at St. Bernardine's Hospital. Phil soon joined the company as Vice President for Marketing and began attending tradeshows to promote the company's growing line of products. In 1998, Ken Croteau, a respiratory specialist and close friend of Phil and Sharon's, joined the staff of Small Beginnings, Inc., as the business manager. Croteau established the company's website, www.small-beginnings.com, and began to recruit distributors. Croteau, along with Sharon Rogone, Philip Rogone, Winnifred Croteau, and Ted Lopez founded Caring Creations, Inc., a separate corporation on May 1, 2002. Caring Creations, Inc., is a vehicle intended to launch Small Beginnings products into the retail market. By 2000, Sharon Rogone left full-time nursing to focus on the company as Chief Executive Officer.
As the company grew, more products were developed. The company now offers: Bebeonkers (oral suction device), Lil' and Nu' Pacee Pacifiers, Cuddle Buns™ Diapers; Preemie Nest (swaddler and positioning device); Bed Buddy (positioning device); Baby Blotters (absorbent, moisture proof plastic blotters); Abdominal Pillow; Head Pillow; Wedge Pillow; Preemie Gown; Arm immobilier; Baby Crates™ (allows moisture to flow through and away from the baby), Baby Blankee™; Isosphere™ covers (for NICU warmers); Universal Climate Cover II, and the Privacy Poncho.
Not all products are developed and patented by Small Beginnings, Inc. The company inspires and assists budding inventors, especially nurses and other healthcare professionals to realize their dreams. The Pacee Pacifier sold by Small Beginnings (US Patent # 4,909,253) was invented by Linda L. Cook from Infrapreem, Inc., of Connecticut. Cook licensed her invention to Small Beginnings in 1999 so they could commercially develop, produce and market the pacifier as the Lil' and Nu' Pacee Pacifier. In a 1998 letter Cook wrote to Rogone, "It is so good to know there are people like you in the world that are out there to help nurses. Thank you." Other products, such as the Cuddle Buns™ Diapers, are not patented, but the name is trademarked.
Related Materials:
Materials at the National Museum of American History
The Division of Medicine and Science holds artifacts related to this collection. See Accession # 2007.0022:
Bili-Bonnet mold with masking tape
Bili-Bonnet mold with foam inserts
Pacifier choking test stand (includes barbell and pacifier)
Pac black foam disk
Diapers from Children's Medical Ventures
Diaper, prototype 1 from Mexico, Small Beginnings, Inc.
Diaper, prototype 2 from Mexico, Small Beginnings, Inc.
Diaper, prototype 3 from Mexico, Small Beginnings, Inc.
Diaper, prototype 4 from Mexico, Small Beginnings, Inc.
Diaper, prototype 5, Small Beginnings, Inc.
Diaper, final version production model
Diaper, ultra preemie production model, 2003
Diaper, Pampers Preemie Swaddler from Procter & Gamble
Oral suction device, Bebeonkers
Pacifier, Original Pacee with product literature, Small Beginnings, Inc.
Pacifier, second generation with packaging, Small Beginnings, Inc.
Pacifier, Competitor's "Soothie" Children's Medical Ventures
Pacifier "Lil' Pacee," Small Beginnings, Inc.
Phototherapy mask, competitors, Children's Medical Ventures
Phototherapy mask, Bili-Bonnet #1, Small Beginnings, Inc.
Phototherapy mask, Bili-Bonnet #2, Small Beginnings, Inc.
Phototherapy mask, Bili-Bonnet #3, Small Beginnings, Inc.
Packaging, new Bili-Bonnet, Small Beginnings, Inc.
Packaging, old Bili-Bonnet, Small Beginnings, Inc.
Phototherapy mask, original preemie Bili-Bonnet, Small Beginnings, Inc.
Posture pillow sets for preemies, Small Beginnings, Inc.
Bed Buddy 36" for ultra preemies, Small Beginnings, Inc.
Preemie nest set, Small Beginnings, Inc.
Bendy Bumpy, Children's Medical Ventures
Bulb syringe "Adult Yankauer," taken from NICU
Suction tube with collecting bottle, Delee taken from NICU (for use after c-section)
Bulb and syringe, taken from NICU
Catheter, size 6 cut, for suction, taken from NICU
Catheter for oral and nasal use (by Ballard)
Pen, Small Beginnings, Inc.
Phototherapy mask, original ultra preemie, cat #OIC 38, Small Beginnings, Inc.
Pacifier, 'Nu' Pacee" in packaging, Small Beginnings, Inc.
Provenance:
The collection was donated by Small Beginnings, Inc., through Mary S. Rogone, Philip N. Rogone, Austin J. Webber II, Kenneth S. Croteau and Winnifred D. Croteau, February 2007.
Restrictions:
The collection is open for research use.
Rights:
Collection items available for reproduction, but the Archives Center makes no guarantees concerning intellectual property rights. Archives Center cost-recovery and use fees may apply when requesting reproductions.
Arthur Ehrat invented and patented a breakaway basketball rim, fashioning his prototypes from bolts, metal braces and one key part: a piece of the heavy-duty coil spring on a John Deere cultivator. His invention helped to revolutionize the way basketball is played because players could slam dunk the ball with fewer injuries and without bending the rims or breaking backboards. This collection includes correspondence, legal documents --such as patent papers, litigation files and licensing agreements --photographs and sketches that relate to the basketball invention, as well as materials regarding his two field spreader patents and other invention ideas.
Scope and Contents:
The collection is divided into five series and consists of approximately seven cubic feet.
This collection includes correspondence and legal documents--such as patent papers, litigation files and licensing agreements--that relate to Arthur Ehrat's basketball goal, as well as materials regarding his field spreader patents and other invention ideas. The bulk of the collection is made up of attorney correspondence, patent infringement documents, and patent licensing documents. The collection also contains handwritten notes by Arthur Ehrat and his attorneys, sketches of his inventions, an oral history interview, and photographs.
Attorney McPherson Moore sent many of the legal documents and correspondence to Ehrat. These documents were assembled by the law firms for which Moore worked. The original order has been preserved.
The correspondence consists of letters from attorney McPherson Moore to Ehrat and from Moore or his associates to other attorneys regarding litigation, pending licensing agreements, and other actions. The correspondence contains handwritten notes, promotional materials for sporting goods companies, drafts of legal documents, copies of patents and other enclosures. The majority of the correspondence is copies.
Correspondence found throughout the collection is key to understanding the legal documents because it provides insight into the legal negotiations behind the settlement and licensing process, and the diligence necessary to protect a viable patent from infringement. Correspondence should be read in conjunction with litigation and licensing documents to gain a better sense of the negotiations between attorneys and how and why the legal documents were created.
Throughout this collection, reference is made to legal terms, including pleadings, production documents, discovery, patent infringement, file histories, and Bates numbers. Series 3, Civil Action and Settlement Records has numerous sets of pleadings, which are the legal documents filed in a lawsuit. These documents encompass complaints, petitions, answers, motions, declarations, and memoranda.
The discovery process is the effort of one party to a lawsuit to get information from the other party prior to a trial. This is done through depositions, requests for or production of documents, and interrogatories (written questions to the other party).6
Bates numbers --named after the Bates Automatic Numbering Machine patented in the late 1800s --are used to identify documents with a unique number. The parties to a lawsuit use these numbers to keep papers in order when they are sent to the other party during discovery. This collection contains sets of production documents stamped with Bates numbers. (See Series 3, Subseries 8: Ehrat v. Icon, Proform and K's Merchandise, 1984-1996)7
Patent infringement is "the manufacture and/or use of an invention or improvement for which someone else owns a patent issued by the government, without obtaining permission of the owner of the patent by contract, license or waiver."8
A patent file history (also called a file wrapper) is a folder maintained by the United States Patent and Trademark Office. It contains all of the correspondence and documents from a patent application.9 See Series 2, Subseries 2 for the file history of Ehrat's United States Patent No. 4,365,802.
Series 1: Background Materials, 1968-2005, 2011
This series, which is further divided into three subseries, comprises oral history interviews, early sketches of Ehrat's basketball goal, articles about slam dunking, Ehrat's breakaway rim, correspondence and notes, income and expense records (including legal expenses), photographs and facsimiles of photographs, and invoices from the components Ehrat purchased when he created prototypes. One receipt documents the heater Bob Copelin purchased for his new shed in 1975, around the time Ehrat began inventing. This was significant when Ehrat was trying to prove to the United States Patent Office that he had his idea before Frederick Tyner.
Subseries 1: Ehrat History, 1968-2005
Correspondence in this subseries includes a handwritten list of possible names for the basketball rim, one which Ehrat titled, "The Rebounder Has Been Tested." The correspondence also contains copies of letters sent to the United States Patent Office intended to prove that Ehrat's rim was unique; a letter from National Basketball Association saying that, after testing, it is going to use Kenneth Mahoney's (Toss Back) rim instead of Ehrat's; letters from basketball halls of fame; and copies of e-mail from the Smithsonian. This subseries has an original sketch of Ehrat's basketball goal with annotations. Also included is a 1 D2" VHS tape of Ehrat explaining the components he used to fashion his first breakaway rim prototypes and a news segment in which Ehrat was interviewed about his invention at the Chicago Board of Trade. The audio and video recordings contain some repetition of information.
Subseries 2: Photographs and Clippings, 1973-2005
Color photocopies of photographs depicting early rims; a birthday gathering for Ehrat's father, William Ehrat, circa 1974-1975 (used to help prove that he was working on the rim before Frederick Tyner); Ehrat giving a rim to Virden High School; Ehrat with sportscaster Dick Vitale; and a studio shot of his daughters, Rose, Jo, Sharon, Jane, and Linda.
Three photographs in this subseries show prototype rims with coil springs. Ehrat holds up one of these photographs in the video history, but he does not discuss the photographs' origin. There are no markings of any kind on the photographs.
Subseries 2 also contains field photographs taken by John Fleckner, National Museum of American History staff, in May 2005. Field photographs include: the grain elevator Ehrat managed; rim prototypes; and a donated rim hanging on the gym wall at Virden High School.
Articles in this subseries are from the Virden Recorder, The State Journal-Register, Chicago Tribune, The Wall Street Journal, and Kentucky Living. The topics covered include collapsible rims and breakaway rims; Ehrat and his invention; and the Smithsonian Institution's interest in the breakaway rim. Also included is a clipping from Farmers Elevator Co.'s meeting minutes from December 15, 1973, in which the board voted to relinquish rights to any patent or product created by Ehrat.
Subseries 3: Oral History Interview, 2005
A May, 2005, interview of Ehrat by John Fleckner at Ehrat's home in Virden, IL. Ehrat discusses his background, attorney Ralph Staubly, basketball rims he built, and a slam dunk contest that his nephew Randy Albrecht helped organize in the early 1980s at St. Louis Community College. Subseries 3 also contains Digital video disks (DVD) in which Ehrat discusses the documents he sent to the Archives Center, National Museum of American History. There is some repetition of topics discussed in the audio and video recordings.
Series 2: Patent Records for Basketball Rim, 1865-1984 (bulk 1970s-1984)
This series, divided into four subseries, contains copies of patents used as research or as prior art for Ehrat's patent application, a file history of the patent, correspondence/notes from Ehrat and his attorneys, and legal papers sent from Ehrat's first attorney, Ralph Staubly, to McPherson Moore.
Subseries 1: Ehrat and Dittrich Patents, 1979-1984
Copies of Ehrat's United States Patent No. 4,365,802, deformation-preventing swingable mount for basketball goals and William Dittrich's two patents, United States Patent No. 4,151,989, basketball practice device and United States Patent No. 4,465,277, basketball goal structure.
Subseries 2: Research and File History, 1865-1984
The complete patent file history consists of a list of actions taken (rejections, appeals, civil action filed) on the patent application for United States Patent No. 4,365,802. Pages 19-23 are copies of letters sent to United States Patent Office to establish the rim's unique qualities after the examiner's interference search found Frederick Tyner's patent (United States Patent No. 4,111, 420, Energy-absorbing basketball goal/backboard unit) and ruled Ehrat's invention was too similar.
Subseries 3: Correspondence and Notes, 1976-1984
Two sets of letters from acquaintances. The first set, 1977-1978, was sent to the United States Patent Office and provide a sense of the invention's unique quality. The second set, 1983-1984, consists of letters written by Ehrat's friends and was used in Basketball Products International and Ehrat v. Mt. Vernon School District and Porter (Series 3, Subseries 1) to establish that Ehrat had his breakaway rim idea before Frederick Tyner. A letter in the correspondence folder for this litigation, dated February 23, 1984, mentions that copies of these letters were sent to Basketball Products International. Also in this subseries is a transcript of a phone conversation between Ehrat and attorney McPherson Moore about when Ehrat had the idea for a breakaway rim and who knew about it.
Subseries 4: Files from Ehrat's First Attorney, Ralph Staubly, 1976-1982
Includes the file about Ehrat sent from Ralph Staubly to McPherson Moore when Ehrat changed legal representation in 1983. The folder contains originals, copies, and drafts of documents sent to the United States Patent Office, some with annotations. Also included is a high school basketball rulebook, 1977-1978, and the notes Ralph Staubly used to write an affidavit for Ehrat's patent application in which Ehrat swears he invented before Frederick Tyner.
Series 3: Civil Action and Settlement Records, 1984-1996
This series is divided into eight subseries. It contains full and partial sets of case pleadings, with pleadings indices, from eight court cases, attorney correspondence and notes, depositions of Ehrat and Frederick Tyner, case judgments, and signed settlements.
In 1984, Ehrat and Basketball Products International were plaintiffs or defendants together in five civil action lawsuits that involved sporting goods companies, including Porter Equipment Company, Gared Company, and Toss Back. These lawsuits and their correspondence should be consulted in conjunction with one another.
Subseries 1: Basketball Products International and Ehrat v. Mt. Vernon School District and Porter, 1984
Civil action, February 1984-June 1984: The complaint alleges patent infringement by sporting goods company Porter for manufacturing products embodying the invention, and infringement by Mt. Vernon School District (WA) for purchasing Porter basketball goals. Action dismissed June 11, 1984. This subseries contains the subpoena and deposition of Frederick Tyner regarding United States Patent No. 4,111, 420, Energy-absorbing basketball goal/backboard unit. It also contains plaintiff's exhibits, numbered 1-31, which include Tyner's notes, documents, and facsimiles of photographs related to his patented basketball goal.
Subseries 2: Porter Equipment Company v. Basketball Products International and Ehrat, 1984
Civil action, April 1984-June 1984: The complaint alleges that Ehrat's and Basketball Products International's patents are invalid and unenforceable and that Porter and Mt. Vernon School District did not infringe. Porter calls for dismissal or transfer of the case. The pleadings index for Vol. 1 has a note at the bottom that says "Start Vol. 2," but Vol. 2 is not in the collection.
Subseries 3: Gared Company v. Basketball Products International and Ehrat, 1984-1988
Civil action, March 1984-October 1984: This action is in response to letters sent by attorney McPherson Moore threatening a lawsuit if Gared Company does not cease manufacture of infringing goals. Gared Company files a complaint for declaratory judgment, calling the patent invalid and alleging unfair competition. A stipulated dismissal of complaint was signed by Moore and Ralph Kalish, Gared Company's legal counsel. Declaratory judgment is the judgment of a court which determines the rights of parties without ordering anything be done or awarding damages.
Of note in this subseries is the deposition of Ehrat regarding his involvement with Gared Company and the city of St. Louis, where the company is based. Gared Company's counsel, Ralph Kalish, asks Ehrat questions about his nephew, Randy Albrecht. Ehrat purchased 12 rims from Gared Company, on the advice of his nephew, for the purpose of building and testing his releasable basketball goals. Kalish tries to assess whether there was a profit motive and how Gared Company's goals factored into that.
Subseries 4: Basketball Products International and Ehrat v. Gared Company, 1984
Civil action, April 1984-June 1984: Complaint filed against Gared Company and Athletic Supply (which purchased Gared Company goals) for patent infringement. The case was dismissed.
Subseries 5: Basketball Products International and Ehrat v. Toss Back
Civil action, May 1984-June 1984: Complaint filed against Toss Back and the cities of Seattle and Tacoma (which purchased Toss Back basketball goals) for patent infringement. There is no evidence of a settlement or of court action. Toss Back signed a licensing agreement with Ehrat in 1985 (See Series 4, Licensing Agreements).
Subseries 6: Ehrat v. Gared Company and Nixdorff-Krein Industries, 1982-1990 (bulk 1987-1990)
Civil action, 1988-1990: Complaint filed against sports equipment company Gared and its parent company, Nixdorff-Krein Industries, for patent infringement. Request for passing case for settlement filed by Ehrat's attorney, McPherson Moore, and granted by the court. The signed settlement is in this subseries. This subseries has file histories of Gared Company patents. A file history (or file wrapper) is a folder kept at the United States Patent and Trademark Office that has all of the correspondence and documents from a patent application
Subseries 7: Ehrat v. Diversified Products, 1989-1994
Civil action, 1993: A complaint was filed against Diversified Products after a series of letters calling for the company to cease manufacture and sales of infringing basketball goals went unheeded. The parties were granted a consent judgment to settle out of court. The signed settlement is in this subseries.
Subseries 8: Ehrat v. Icon Health & Fitness Inc., Pro Form Fitness Products Inc., and K's Merchandise Mart, 1984-1996 (bulk 1994-1996)
The Icon Health & Fitness Inc. (hereinafter Icon) pleadings consist of two volumes, Vols. 2 and 3. Vol. 1 is missing. There is a draft of the first page of Ehrat's complaint against Icon in Box 9, Folder 3. A consent judgment was entered, and the parties settled out of court. The signed settlement is in this subseries.
There are two categories of production documents in this subseries, those for the plaintiff (three folders) and those for the defendant (seven folders), that have Bates numbers affixed to or printed on the bottom of the pages. Bates numbers are used to identify documents with a unique number. The parties to a lawsuit use these numbers to keep papers in order when they are sent to the other party during discovery.
The plaintiff's production documents include Bates numbers 1-205. Numbers 1-105 contain Ehrat's patent file history; numbers 107-205 are copies of Ehrat's licensing agreements through 1993.
In the defendant's production documents, one folder has Bates # I10001 and other numbered pages that are not in a particular order. Bates numbers I10068- I10882 include the file history for United States Patent No. 4,365,802, deformation-preventing swingable mount for basketball goals; correspondence among defendant's attorneys; copies of patents; and copies of licensing agreements through 1993.
Series 4: Licensing Agreements, 1982-2000 (bulk 1980s-1990s)
This series is divided into twenty-six subseries and encompasses materials pertaining to Ehrat's relationships with numerous companies that manufacture or sell sports equipment. These materials include correspondence and notes, licensing agreements and drafts of agreements, Dun and Bradstreet financial reports, catalogs, pamphlets, and other promotional materials. Ehrat and attorney McPherson Moore used the promotional materials to determine whether the companies were marketing or selling basketball goals that infringed on Ehrat's patent, then contacted the companies about licensing Ehrat's patent. With the exception of Subseries 1: Correspondence and Subseries 6: William Dittrich Patents, each subseries represents a different company.
To better understand Ehrat's relationships with these companies, researchers should consult Subseries 1: Correspondence, as well as the correspondence within specific subseries, in conjunction with licensing agreements and other documents in this series.
There are thirteen signed licensing agreements in this series, some of which bear original signatures. Ehrat's first licensee was with Basketball Products International, which signed an exclusive agreement in 1983. In November, 1984, after five civil action lawsuits in which Ehrat and Basketball Products International were either co-plaintiffs or co-defendants, the company signed a nonexclusive licensing agreement. Drafts of the agreements exist for some companies, but there is no evidence that the agreements were signed. In some cases, correspondence indicates which companies were not interested in entering into an agreement.
Ehrat's licensees include Huffy (signed May 1988); Basketball Products International, exclusive license (signed July 1983), nonexclusive license (signed November 1984); Toss Back (signed January 1985); Porter Equipment Company (signed 1985 and 1989); RDH Enterprises/Schutt (signed August 1991); Industrial Machine Specialties/Bison (signed January 1987); Lifetime Products (signed March 1989); Fisher-Price (owned by Quaker Oats, signed April 1988); Indian Industries/Harvard Sports (signed June 1991); McCullough (signed April 1990); and Sure Shot (signed March 1991).
Companies in this series without signed licensing agreements include Medart; Blazon-Flexible Flyer; Spang/Today's Kids; Sports and Leisure/Ideas That Sell; Wilson Sporting Goods; Hutch Sporting Goods; Aalco; Bergfeld Recreation; Future Pro; MacGregor; Pro-Bound; Architectural Design Products; and Hyland Engineering.
Settlements and licensing agreements that Ehrat signed with Gared Company, Diversified Products, and Icon appear only in Series 3, Civil Action and Settlement Records.
Subseries 6, William Dittrich Patents, contains correspondence and documents relating to the patent and royalty agreement Dittrich made with Ehrat in 1987. Dittrich had two basketball-related patents but had difficulty getting companies to license with him because there was confusion about his patents and those of Ehrat and Frederick Tyner. Dittrich contacted Ehrat's attorney, McPherson Moore, and they worked out an agreement. Ehrat acquired Dittrich's patents and they joined forces to attract licensing agreements and to split royalties and litigation settlements. Subseries 6 also has the transcript of a 1986 phone conference between William Dittrich and McPherson Moore regarding a possible joint agreement with Ehrat and the patent file history for United States Patent No. 4,151,989, basketball practice device. There is no file history for Dittrich's other patent, United States Patent No. 4,465,277, basketball goal structure, but there are pieces of the file history in this subseries. Subseries 6 also includes drafts and signed patent assignment papers and a signed licensing agreement between Ehrat and Dittrich, 1987.
Subseries 9, Lifetime Products, consists of itemized lists of attorney's fees from McPherson Moore for November 30, 1987, to February 28, 1989. The fees are for research, phone calls, photocopies, correspondence, and litigation documents for Ehrat v. Gared Company. The companies listed in these papers include Gared Company, Lifetime, Huffy, Fisher-Price, Sports and Leisure, Today's Kids, Toss Back, and Blazon.
Subseries 16, McCullough contains a Dunk-Kit (see Box 18), which Ehrat purchased in 1989. The Dunk-Kit is a set of springs and bolts that turn a set basketball goal into a breakaway goal. According to attorney McPherson Moore, the springs and bolts constituted an infringement of Ehrat's patent. McCullough disagreed with this assessment but eventually agreed to a monetary settlement.
Series 5: Field Spreader Patents and Other Ideas, 1977-2003
Subseries 1: Field Spreader Patents, 1977-2003
This subseries contains copies of Ehrat's two field spreader patents: United States Patent No. 4,358,054, field-sprayer tank-vehicle having means for on-site metering and mixing of soil-treating chemicals and United States Patent No. 4,588,127, material-spreading field vehicle having means for on-site metering and mixing of soil-treating chemicals. It also contains magazines, articles, and pamphlets on agricultural equipment and litigation documents between SoilTeq and Ag-Chem.
Subseries 2: Other Ideas, 1971-1998
In the late 1980s and early 1990s, Ehrat came up with ideas for other inventions, but none of them were patentable. This subseries has original sketches for "electric clippers with box for holding clippings;" a beverage can with multiple containers; and an "automobile refreshment temperature control." Included in the folders are letters that outline the ideas behind the inventions and the reasons they were not patented. Also included are copies of patents that relate to Ehrat's ideas.
Series 6: Toby Dittrich Files, 1889-1997
This series, which is further divided into five subseries, contains administrative records, prior art, patent records, correspondence, litigation materials, financial records, marketing and sales materials, photographs, and newspaper clippings from William A. (Toby) Dittrich. Dittrich invented the "Dunk King" break-away basketball rim in the mid 1970s while he was a physics professor at Pacific Lutheran University in Washington State. Dittrich patented and marketed his rim with mixed success before selling the rights to his patents to Arthur Ehrat in the mid 1980s. The two agreed to market and license their products independently, and cooperatively share royalties and settlements from patent infringement cases.
Arrangement:
The collection is divided into five series.
Series 1: Background materials, 1968-2005
Subseries 1: Ehrat History, 1968-2005, 2011
Subseries 2: Photographs and Clippings, 1973-2005
Subseries 3: Oral History, 2005
Series 2: Patent records for basketball rim,1865-1984
Subseries 1: Ehrat and Dittrich Patents, 1979-1984
Subseries 2: Research and File History, 1865-1984
Subseries 3: Correspondence and Notes, 1976-1984
Subseries 4: Files from First Attorney, Ralph Staubly, 1976-1982
Series 3: Civil action and settlement records, 1984-1996
Subseries 1: Basketball Products International and Ehrat v. Mt. Vernon School District and Porter Equipment Company, 1984
Subseries 2: Porter Equipment Company v. Basketball Products International and Ehrat, 1984
Subseries 3: Gared Company v. Basketball Products International and Ehrat, 1984-1988
Subseries 4: Basketball Products International and Ehrat v. Gared Company --Pleadings, 1984
Subseries 5: Basketball Products International and Ehrat v. Toss Back, 1984
Subseries 6: Ehrat v. Gared Company and Nixdorff-Krein Industries, 1982-1989 (bulk 1987-1989)
Subseries 7: Ehrat v. Diversified Products, 1989-1994
Subseries 8: Ehrat v. Icon Health & Fitness Inc., Pro Form fitness Products, Inc. and K's Merchandise Mart, 1984-1996 (bulk 1994-1996)
Series 4: Licensing agreements, 1982-2000 (bulk 1980s-mid-1990s)
Subseries 5: Other Inventions and Ideas, 1978-1980
Biographical / Historical:
Arthur Henry Ehrat was born December 20, 1924. He grew up on a farm near Shobonier, IL, east of St. Louis. Ehrat had four sisters and a brother: Dorothea, Ruth, Bernice, Grace and Walter. Growing up on a farm during the Great Depression, Ehrat learned farming skills, including milking, baling, and operating heavy equipment such as threshing machines. After graduating from Vandalia High School he moved to Wheaton, IL, to work on a farm. From the latter part of 1945 until 1947, Ehrat was an Army medic, stationed in Fort Sheridan, IL; Camp Atterbury, IN; Fort Meade, MD; and Manila, Philippines. After his Army service, Ehrat moved back to Illinois and spent a few years farming with his brother.
In the early 1950s Ehrat lived with his sister Bernice and her family in Minneapolis while attending a two-year course at Minneapolis Business College. Upon completion of the course, he returned to Virden, IL and worked at a grain elevator. Ehrat met Mary Mardell Worth in Virden. They were married June 27, 1954, and had five daughters: Rose, Jo, Sharon, Jane and Linda. Ehrat managed the grain elevator at Farmers Elevator Co. in Lowder, IL for nearly 30 years.
In the mid-1970s, Ehrat's nephew, Randy Albrecht, a coach at St. Louis University, mentioned that basketball players were slamming the basketball ball through the rim and hurting themselves, as well as bending or breaking the rims, which were affixed directly to the backboard. The bent rims had to be straightened, causing a delay of game. While Ehrat never had a strong interest in the game of basketball, Albrecht suggested his uncle, who was known as a tinkerer, come up with a safer basketball rim. The conversation sparked a few ideas. Ehrat bought a flimsy $20 basketball rim and began building a prototype.
Basketball fans during the 1940s and 1950s didn't see many slam dunks. Despite the leaping ability of stars Bob Kurland, George Mikan, and James Clifford Pollard, aka "the Kangaroo Kid," the dunk shot was considered showboating and was often done only in practice. Basketball players, whose average size was smaller in the mid-20th century, viewed the dunk as a low-percentage shot compared with the ubiquitous jump-shot.
In 1967, the National Collegiate Athletic Association (NCAA) outlawed dunking. A few years later, Julius "Dr. J" Erving, who played professionally for the American Basketball Association's Virginia Squires, re-ignited excitement about basketball with his high-flying slams. In the first half of 1976, a few months before Ehrat first applied for a patent, the dunk was reinstated in college basketball.
At the professional level, flamboyant hoops star Darryl "Dr. Dunk" Dawkins shattered some glass backboards in the late 1970s and early 1980s, which prompted the National Basketball Association (NBA) to ban the shattering of backboards and make collapsible rims mandatory. The NBA's call for collapsible rims, along with the NCAA's reinstatement of the dunk, opened the door for innovations in basketball rims.
Collapsible rims, which folded down when pressure was applied to them, were the precursor to breakaway rims and had to be manually put back in place. Ehrat created a safer basketball rim that automatically snapped back after a slam dunk.
Ehrat's first rim, used a door spring. It was bolted to two plates, one that remained fastened while the other flexed down under pressure. The hinge was not strong enough, so he focused on creating a detent. A detent is a device that holds one mechanical part in relation to another so the device can be released when force is applied. If someone slam dunks a basketball and pulls on the rim, a detent would allow the rim to flex downward with minimal pressure on the backboard. Ehrat fitted some heavy-duty magnets between metal plates on the rim, but this did not work as he envisioned.
The turning point came when Ehrat decided to use a spring mechanism. Drawing upon his agricultural background, he pulled a spring from a John Deere cultivator, cutting it to fit the basketball rim. The thick, sturdy coil was able to withstand more than a hundred pounds of pressure before yielding downward and would push the rim back into place. In addition to the spring, he tested ball bearings, bolts, and corner braces before finding the right combination that would hold at least 150 pounds of pressure.
Once he had viable prototypes, Ehrat tested their durability. He sent one to Virden High School and enlisted Randy Albrecht, to test the other prototypes. Albrecht used his connections as a basketball coach at St. Louis Community College at Meramec to have prototypes installed at the schools where he worked. The rims were sent to other high schools and colleges by Ehrat. For more information on where the prototypes went, see his deposition in Series 3, Subseries 3. Ehrat estimated in his deposition that he built approximately 36-40 prototype rims.
It took six years, from July 1976 to December 1982, for Ehrat to receive the patent on his basketball goal (United States Patent No. 4,365,802, Deformation-preventing swingable mount for basketball goals). His application was rejected twice, with patent examiner Paul Shapiro noting that Frederick C. Tyner held a patent for a similar basketball goal (United States Patent No. 4,111, 420, energy-absorbing basketball goal/backboard unit).
Ehrat and his attorney, Ralph Staubly, pursued an appeal of the rejection. Staubly, a retired patent examiner had moved to Springfield, IL, in the 1970s to open a private practice. A major part of the appeal involved notarized letters from acquaintances who said that Ehrat's invention was unique and would be an asset to the sport of basketball. He also proved, through copies of canceled checks and a rough sketch of his invention, that he was working on his breakaway basketball goal in 1975 before Frederick Tyner conceived of his. In a 1984 deposition (Series 3, Subseries 1), Tyner placed the date of his invention near the last week of March or first week of April 1976, not long after he heard that the NCAA had reinstated dunking.
Ehrat won the appeal, effectively rendering the Tyner patent invalid. After Staubly fell ill and moved to Texas, and in early 1983, Ehrat found a new patent attorney,McPherson Moore of the St. Louis firm Rogers, Eilers and Howell, who became Ehrat's main legal counsel for approximately 20 years.
In February, 1983, two months after Ehrat received his patent, his attorney McPherson Moore sent certified letters to more than 60 sporting goods companies to announce the patent. The letters were sent to alert companies of possible infringement and to garner interest in licensing agreements.
During the basketball goal patent's 17-year lifespan, Ehrat obtained a dozen companies as licensees. Only Fisher-Price and Schutt Manufacturing signed without much difficulty. Ehrat worked to get the other companies licensed, in some cases filing patent infringement lawsuits or threatening to file them. Ehrat's first licensing agreement, signed in 1983, was with Basketball Products International.
Ehrat was involved in eight civil action lawsuits, five of which took place in 1984, when he had to prove for a second time that he had his idea for a breakaway goal before Tyner. Ehrat also defended his patent against other, similar patents issued to sporting goods companies in the early 1980s. Kenneth Mahoney of Toss Back, Charles Engle of Gared Company, and the Porter Equipment Co. all received patents for basketball goal devices, citing Ehrat's patent as prior art. Ehrat was involved in lawsuits with all three companies.
In 1986, Ehrat and attorney McPherson Moore were contacted by William "Toby" Dittrich, who held two patents --United States Patent No. 4,151,989, basketball practice device and United States Patent No. 4,465,277, basketball goal structure. Dittrich was having difficulty licensing his patents to companies because of the confusion over Ehrat's and Tyner's patents. Dittrich assigned his patents to Ehrat in 1987 and they signed a joint licensing agreement to split royalties and settlement money.
In addition to his basketball goal patent, Ehrat also holds two patents for agricultural inventions: United States Patent No. 4,358,054, field-sprayer tank-vehicle having means for on-site metering and mixing of soil-treating chemicals; and United States Patent No. 4,588,127, material-spreading field vehicle having means for on-site metering and mixing of soil-treating chemicals.
Arthur Ehrat died on July 9, 2015.
Related Materials:
Artifacts related to this collection were donated to the Museum's Division of Music, Sports and Entertainment, now the Division of Culture and Arts.
Provenance:
Donated to the Archives Center in 2005 by Arthur Ehrat. An addenda of materials related to Toby Dittrich was donated by Toby Dittrich in 2014.
Restrictions:
The collection is open for research.
Rights:
Collection items available for reproduction, but the Archives Center makes no guarantees concerning copyright restrictions. Other intellectual property rights may apply. Archives Center cost-recovery and use fees may apply when requesting reproductions.
Requests to view forensic files are subject to review by the NAA. Forensic files can only be
viewed in the National Anthropological Archives reading room. No copies are permitted unless
permission is granted by the agency the report was written for.
Collection Rights:
Contact the repository for terms of use.
Collection Citation:
Donald J. Ortner Papers, National Anthropological Archives, Smithsonian Institution.
Sponsor:
The papers of Donald J. Ortner were processed with the assistance
of the Smithsonian Institution's Collections Care and Preservation Fund.
