U.S. DISTRICT COURT DISTRICT OF MASSACHUSETTS CIVIL ACTION NO. SITUATION MANAGEMENT SYSTEMS, ) ) INC. ) Plaintiff, ) ) vs.

) ) KOGAN PAGE LIMITED d/b/a KOGAN ) PAGE PUBLISHERS AND GEOFF SMITH, ) Defendants. ) ) COMPLAINT Plaintiff Situation Management Systems, Inc. (SMS), by its attorneys, states as its Complaint against defendants Kogan Page Limited (Kogan) and Geoff Smith (Smith) as follows: PARTIES, JURISDICTION & VENUE 1. SMS is a Massachusetts corporation, having its principal place of business at 98

Spit Brook Road, Suite 201, Nashua, New Hampshire. 2. SMS is a business leader in the field of improving business and personal

productivity. In this regard, SMS provides training and consulting services, and related publications to individuals and organizations around the world. 3. Defendant Kogan Page Limited (Kogan) is a publisher that is incorporated in

the United Kingdom with its principal office in London, England. On information and belief, Kogan maintains its United States office in Philadelphia, Pennsylvania under the name Kogan Page Publishers.

4.

Defendant Geoff Smith is an author who upon information and belief resides in

the United Kingdom. 5. Upon information and belief Kogan publishes, and sells through distributors,

books, texts and other print media all over the world, including within this judicial district. 6. Upon information and belief certain of Smiths authored works have been

published by Kogan, and sold through distributors in varying forms of print and electronic media all over the world, including within this judicial district. 7. Pursuant to 28 U.S.C. 1331, 1332, 1338 and 1367, this Court has jurisdiction

over the claims alleged herein. Upon information and belief, both Kogan and Smith have caused tortuous injury to SMS by regularly doing or soliciting business or deriving substantial revenue from goods used or consumed or services rendered in this Commonwealth. This Court, therefore, has personal jurisdiction over Kogan and Smith pursuant to G.L. c. 223A, 3(d). 8. Venue is proper in this Court under 28 U.S.C. 1391(d). BACKGROUND 9. SMS owns all relevant copyright rights in the following works registered with the

United States Copyright Office: Scale Definitions for the Influence Style Questionnaire, U.S. Copyright No. A881515; the Influence Style Questionnaire, U.S. Copyright No. A881517; Positive Power and Influence Program (participant set), U.S. Copyright No. TX 923-165; Positive Power and Influence Program Trainer Manual (4th Edition), U.S. Copyright No. PAu2-158-228; Influence Skills Workshop, U.S. Copyright No. TX 5-125-090; Positive Power and Influence Program: Advanced Workshop Trainer Manual, U.S. Copyright No. TX 4-477-074 (Supplementary registration); Positive Power and Influence Program: (4th Edition) 3 Day Program, U.S. Copyright No. TX 4-442-875 (referred to collectively hereinafter as SMS Works). Copies of the registrations for the SMS Works are attached hereto as Exhibit A.

10.

SMSs Influence Style Questionnaire or ISQ is a questionnaire comprised of

seventy-two (72) distinct questions the focus on training an individuals ability to influence. The ISQ is contained within SMSs works regarding the subject of influence listed in Exhibit A. 11. SMSs 72 ISQ questions were designed and created by SMS as part of a pre-

program task for the purpose of gauging a participants influence behavior. A courtesy copy of SMSs ISQ is attached at Exhibit B. 12. Leading the Professionals is a work authored by Smith and published by Kogan

(the Infringing Materials). An excerpt is attached at Exhibit C. 13. The Infringing Materials also contains a questionnaire listing 72 questions about

gauging a participants influence behavior. 14. Set forth below is a comparison of the ISQ and the questionnaire in the Infringing

Materials. The works are substantially similar. Leading the Professionals Question I do not hesitate to point out others mistakes I am happy for others to undertake tasks even when there is a risk of my being personally criticized if they are not done well. When others become uncertain or discouraged my enthusiasm carries them along. I put forward lots of ideas and plans. I am quick to praise or criticize other peoples performance or behavior. I am willing to be influenced by others I put together a good logical argument. Number SMS Influencing Style Questionnaire 1 He points out others mistakes 2 Number 21

He lets others take responsibility 35 for important tasks.

4 5

When others become uncertain or discouraged, his enthusiasm carries them along. He puts forward lots of ideas and proposals. He is quick to give credit for good work. He makes other people feel that they have something of value to contribute. He puts together a good logical argument.

19 51

65

10

I articulate clear expectations that I think others ought to meet. I encourage people to come up with their own solutions to problems. My way of speaking conveys a sense of excitement to others. When opposed I am quick to come forward with a counter argument. I let people know the standards by which I will judge their behavior or performance. I am receptive to the ideas and suggestions of others. I communicate my belief in the value and importance of what my colleagues are doing. I provide detailed plans on how things should be done. I make moral judgments about what others do or say. I am quick to admit my own mistakes. I describe an exciting vision of what could be. I suggest alternatives to the proposals others have made.

9 10

11 12

13

14 15

16

17 18 19

20

I sympathize with others when they have difficulty. My enthusiasm is contagious. I push my ideas vigorously. People can readily judge whether I approve or disapprove of what they do or say. I listen and try to use the ideas raised by others. I am able to put into words the hopes aspirations and fears that others may have.

22 23 24 25

He verbalizes standards which he thinks others ought to meet. He encourages people to come up with their own solutions to problems. His way of speaking conveys a sense of excitement to others. When opposed he is quick to come forward with a counter argument. He lets people know the standards by which their performance will be judged. He looks for ways to use other peoples ideas and suggestions. When working with others, he communicates his belief in the value and importance of the common task. He is very explicit about what he wants or requires from others. He makes moral judgments about what others do or say. He admits his own mistakes and errors. He brings others to see the exciting possibilities in a situation. He asserts himself in putting forward his ideas and suggestions; he doesnt hold back. He sympathizes with others when they have difficulties. His enthusiasm is contagious. He defends his own ideas energetically. He gives the impression of sitting in judgment of others. He gives other people credit for their ideas. He puts into words the hopes and wishes which others may feel.

22 5

27 20

32

55 8

32

31 4 17

59

6 37 30 1

26 27

15 47

It is not unusual for me to stick my neck out with ideas and suggestions. I use the power and authority I have to make others comply. If others become angry or upset I listen with understanding. I am skilful at using images and figures of speech to present exciting possibilities. I put over my ideas clearly. I let people know in advance what I expect of them. I readily admit my lack of knowledge and expertise in a situation. I help people become more aware of their strengths and potentialities that they have as a group. I defend my own ideas energetically. I offer bargains or deals to get what I want from others. I put as much effort into developing the ideas of others as I do my own. I am skilful in articulating the aims and goals that people have in common. I anticipate objections to my point of view and am ready with a counter argument. I give frequent and specific feedback as to whether my expectations are being met. I help others to get a hearing. In seeking to persuade others I appeal to their values, emotions and feelings. People always know whether or not they are measuring up to my standards.

28

29 30 31

32 33

34

35

He will make a proposal or suggestion that he feels has merit, no matter how unpopular it may be. He uses his authority to get things done. If others become angry or upset, he listens with understanding. He brings others to see the exciting possibilities in a situation. He expresses his ideas clearly and logically. He lets others know, directly or indirectly, exactly what he expects from them. He admits his lack of knowledge and expertise in a situation. He heightens others awareness of the benefits of pulling together as one. He defends his own ideas energetically. He offers bargains or deals to get what he wants from others. He clarifies what others have just said before he responds or states his own ideas. He causes people he works with to be more aware of the aims and goals they have in common. He anticipates objections to his point of view and is ready with a counter argument. He lets others know whether his requirements are being met. He helps others to get a hearing. On understanding others, he appeals to their values, emotions, and feelings. He shows his approval when others perform up to his standards.

49

13 36 17

69 62

18

36 37 38

30 33 66

39

28

40

40

41

41

42 43

25 57

45

61

I listen sympathetically to people who do not share my views. I generate excitement and enthusiasm through my use of colorful language. When other people disagree with my ideas, I dont give up but find other way to persuade them. I make it clear what I am willing to give in return for what others want. I am quite open about my hopes and fears, aspirations and personal difficulties in achieving them. I foster an esprit de corps among my colleagues. I am skilful at producing evidence in support of my own proposals. I follow up the performance and behavior of others to find out whether my expectations are being met. I show tolerance and acceptance of others feelings. I use emotionally charged language to encourage enthusiasm for a task. I give orders and instructions that I expect to be obeyed. I accept criticism without becoming defensive. I help others to see how they can achieve more by working together. I present my ideas in an organized way. I help others to express themselves.

46

47

48

49

50

He listens carefully when people express views that are different from his own. He uses emotionally charged language to generate enthusiasm for a task. When people disagree with his ideas, he will come up with a new line of reasoning to persuade them. He makes it clear what he is willing to give in return for what others want. He is open about his personal hopes and fears.

36

67

70

23

24

51

52

53

He fosters and esprit de corps where others feel a sense of common purpose. He is ingenious at producing evidence in support of proposals he favors. He lets others know when they do not meet his standards.

38

50

11

54 55

57 58 59

60 62

I help others to feel personally

63

He shows tolerance and acceptance of others feelings He uses emotionally charged language to encourage enthusiasm for a task. He expresses strong ideas about how things should be done. He accepts criticism without becoming defensive. He helps others to see how they can achieve more by working together. He expresses his ideas clearly and logically. During a discussion he summarizes or paraphrases what others have said to make certain they have been heard. He generates a feeling of

26 67

52 34 48

69 46

68

involved with and responsible for the future achievement of the group as a whole. I draw attention to inconsistencies in the ideas of others. I use rewards and punishments to make other people do what I want. I go out of my way to show understanding of the needs and wants of others. I strive to develop a sense of unity and common purpose among my colleagues. I judge people on what they do rather than what they say. I dont pretend to be confident when I feel uncertain.

64

65

Were in this together among the people with whom he works. He draws attention to 60 inconsistencies in others ideas or logic. He promises rewards to get 53 others to do what he wants. He lets others know that understands what they are trying to say. He fosters and esprit de corps where others feel a sense of common purpose. He makes moral judgments about what others do or say. He acknowledges when he is confused, uncertain or doesnt have the answer. His way of speaking conveys a sense of excitement to others. 56

66

67

38

69 70

31 44

I try to excite interest by using 71 metaphors and analogies when encouraging others to agree with me. I put a lot of energy into arguing 72 about what to do. 15.

27

He defends his own ideas energetically.

30

Defendants also copied another SMS Work, Scale Definitions for the Influence

Style Questionnaire (Scale Definitions), U.S. Copyright No. A881515. The results of SMSs comparison are below: Leading the Professionals Page SMS Influencing Style Number Questionnaire Scale Definitions Assertive Persuasion (AP) 211 This style of influencing others is characterized by the use of logic, facts, opinions, and ideas to persuade others. 211 Assertive Persuasion has two aspects proposing and reasoning. 211 They are forward with their Number

Assertive Persuasion This style is characterized by the use of logic, facts and opinions to persuade others Individuals who are effective at using this style make good proposals and suggestions about what to do and how to do it. They are not afraid to stick their

3-7

3-7

3-7

necks out and submit their ideas to the test of other peoples reactions. They are skilful in marshalling evidence and arguments in support of their proposals and in rebutting those with which they disagree. They are persistent and energetic in persuading others. Sometimes they may not listen very well to the points others raise or they may listen only to find the weakness in the opinions expressed. An emphasis on logical argument as opposed to an appeal to emotions is a prime characteristic of this style. People who use it well are usually very articulate and participate in discussions and arguments about ideas, plans and proposals. They enjoy the cut and thrust of debate and even when they are defending an inferior position they may battle away with enthusiasm and determination. Rewards and Punishments This style is characterized by the use of pressures and incentives to try to control the behavior of others. It may take the form of offering rewards for compliance or of threatening with punishment or deprivation for noncompliance. It may involve the use of naked power or more indirect and veiled pressures exerted through the possession of status, prestige and formal authority. 211

ideas, proposals and suggestions, and they are not afraid of others reactions to them. They ingeniously marshal 3-7 evidence in their own behalf and against their opponents.

211 211

They are persistent and 3-7 energetic in persuading others. They listen to others only to find 3-7 weaknesses in their arguments,

211

They emphasize logical argument rather than emotional appeal. People who use proposing behavior are usually highly verbal and articulate.

3-7

211-212

3-7

212

Even when they are defending an inferior position, they battle away with determination and lan. Reward and Punishment (R&P) Reward and Punishment is the use of pressures and incentives to control others' behavior. Rewards may be offered for compliance; and punishment or deprivation may be threatened for noncompliance. It may involve the use of naked power or more indirect and veiled pressures may be exerted through the use of status, prestige, and formal authority.

3-7

212 212

3-1

212

3-1

212

3-2

There is liberal use of praise and 212 criticism, approval and disapproval and moralistic judgements of right and wrong. An important aspect of using rewards and punishments is the 'management of contingencies', which means communicating clearly to others what they must do in order to get what they want and to avoid negative consequences. Traditional bargaining, involving the use of offers and counter-offers and threats and counter-threats, is a good example of this process. In using both rewards and punishments and assertive persuasion you may agree or disagree with others and approve or disapprove of their ideas and actions. The difference is in what backs up the agreement or disagreement and approval or disapproval. In assertive persuasion you may agree or disagree because of your judgement of the rationality of the other person's position or because you think it is more or less effective, correct, accurate or true. The ultimate appeal is to reason, logic and reality. In using rewards and punishments, on the other hand, the judgement of right and wrong does not depend on rationality. The standard is external to the person being judged, for example a moral or social standard, a regulation or a 212

Evaluating involves praise and criticism, approval and disapproval, and the moral judgement of right and wrong. This influence style is characterized by "contingency management": letting others know clearly what they must do to get what they want and avoid negative consequences;. e. g., bargaining, negotiating, making offers and threats.

3-1

3-1

212

Both Reward and Punishment and Assertive Persuasion involve agreeing and disagreeing with others.

212

The difference is that with Assertive Persuasion one agrees or disagrees with anothers proposal because it is more or less effective, correct, accurate or true.

3-1

212-213

In using Reward and Punishment, on the other hand, the judgement of right and wrong is an evaluation based on a moral or social standard, a regulation or an arbitrary performance standard.

3-1

performance standard. It is the compliance or not with this external standard that causes the evaluation of right or wrong or good or bad.

Participation and Trust The efficacy of this style depends on involving others in decision-making and problemsolving processes. When others can be induced to take an active part in making a decision their commitment to carry it out is increased and the amount of follow-up required is markedly reduced. The person being influenced contributes his or her energy to the work, and the amount of effort required from the influencer is therefore reduced. Thus, whereas the assertive persuasion and rewards and punishments styles may be thought of as 'pushing' others to do what is required, participation and trust involves drawing or 'pulling' others in to decide and act.

213

Participation and Trust (P&T) Unlike Assertive Persuasion and 3-3 Reward and Punishment, where influence is exerted by pushing others to accept ideas or to behave in desirable ways, the use of the Participation and Trust influence style pulls others toward what is desired or required by involving them. By actively listening to and involving others, an influencer increases their commitment to the task, and follow-up and supervision become less critical. There are three aspects to Participation and Trust -personal disclosure, testing, and expressing understanding, and recognizing and involving others.

If others are to be actively involved they should feel that they have the resources required for the task, that their contributions are received and understood and that their efforts are valued. An atmosphere of mutual trust and cooperation is conducive to participation. People are helped to contribute when they believe that others will not belittle or ignore their contributions and when there is an atmosphere of openness and

213

Testing and expressing understanding is an extension of recognizing and involving others. By recognizing .or ''playing back" what others have said, the accuracy of communication is checked and the other person feels that his or her ideas are valued. Communicating understanding and acceptance of another's ideas lets others know they have been listened to and increases their willingness to listen to

3-4

10

non-defensiveness. In short, participation is encouraged by receptivity, understanding and openness and is discouraged by attempting to gain control over others or by competitively trying to win one's own points. People who rely a good deal on participation and trust tend to listen well, drawing out contributions from others and showing understanding and appreciation when contributions are forthcoming. 213

your ideas and to be influenced by them .

Recognizing and involving others involves drawing out and listening carefully to the contributions of others, and building on and extending those ideas, rather than countering with alternative proposals. It is being quick to give credit for others' ideas and suggestion and being willing to delegate responsibility. By skillfully recognizing and involving others, the influencer insures that they work to solve the problem and are committed to the result, rather than resisting influence or blocking a solution. People who use personal disclosure openly accept their imitations of knowledge and resources; there is no defensive attitude about mistakes or weaknesses. By this example, others feel accepted for what they are, too, and do not need to compete for attention and control. Personal disclosure builds trust, and with it willingness to be influenced.

3-4

Rather than counter-attacking 213 when their own ideas and proposals are questioned, people who use this style tend to be open and non-defensive about their own limitations. They do not put up a strong front to hide their own weaknesses. By their example they try to create trust and openness in relationships, so that others feel accepted for what they are and do not feel the need to compete for attention and control. Common Vision This style involves identifying and articulating a common or shared vision of what the future 214 214

3-3

Common Vision (CV) This influence style aims to identify a common vision of the future for a group and to

3-5

11

of an organization, group or team could be. It is concerned with strengthening the members' beliefs that the desired outcomes can be achieved through their individual and collective efforts. The common vision style 214 involves mobilizing the energy and resources of others through appeals to their hopes, values and aspirations. It also works through activating the feelings of strength and confidence that are generated by being part of a group with a shared common purpose. Typical of the skills possessed 214 by people who use common vision effectively is the ability to see and to articulate to others the exciting possibilities that exist in an idea or an assignment and to project these possibilities enthusiastically. The skilled practitioner uses images and metaphors to kindle enthusiasm about a better future. The leader using the common vision style helps others to identify the values, hopes and aspirations that they have in common and to feel the strength in unity found in cohesive groups. The leader emphasizes what he or she and the group can do together. Stress is placed, for example, on 'what we can accomplish to make a better future for all of us if we work together to achieve common goals and ideals'.

strengthen the group members' belief that through their collective and individual efforts, the vision can become reality.

The appeals are to the emotions and values of others, activating their personal commitment to private hopes and ideals, and channeling that energy into work toward a common purpose.

3-5

People who articulate exciting possibilities both imagine and communicate enthusiasm about possible outcomes of seemingly routine as well as unusual projects or challenges. Using images and metaphors, they kindle excitement within others and help them imagine a better future, too.

3-5

16.

The questions in the Infringing Materials are verbatim, near verbatim copies, or

paraphrases of SMSs Scale Definitions.

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17. 18. 19.

Smith had access to SMSs materials. Smiths work infringes one or more of the copyrights of SMS. Kogan has distributed materials that infringe one or more of the exclusive

statutory rights of SMS with respect to the SMS Works. 20. Attempts to settle this matter with Kogan have failed and SMS now seeks relief

from this Court. 21. Upon information and belief, Kogan and Smith have committed the acts described

in the preceding paragraphs with full knowledge of and disregard for SMSs copyright rights. CAUSES OF ACTION COUNT I Copyright Infringement 17 U.S.C. 501 22. through 21. 23. SMS owns all relevant copyright rights in the SMS Works, which are registered SMS realleges and incorporates by reference the allegations in paragraphs 1

with the U.S. Copyright Office. 24. 25. 26. 27. willful. RELIEF REQUESTED WHEREFORE, plaintiff SMS requests that this Court: A. Order, adjudge and decree that Kogan and Smith infringed SMS's copyrights in Upon information and belief, the Defendants had access to the SMS Works. The Infringing Materials are substantially similar to the SMS Works. Kogan and Smith infringed one or more of SMSs copyrights in the SMS Works. Upon information and belief, Kogans and Smiths copyright infringement was

the SMS Works in violation of 17 U.S.C. 501;

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B.

Enter an order permanently restraining and enjoining Kogan, its principals,

officers, agents, servants, employees, attorneys, successors, assigns and all others in privity, or acting in concert therewith, from copying, using, selling, marketing, distributing, publishing, performing, displaying, or otherwise infringing any of SMSs rights in the SMS Works; C. Enter an order permanently restraining and enjoining Smith, his agents, heirs,

servants, employees, attorneys, successors, assigns and all others in privity, or acting in concert therewith, from copying, using, selling, marketing, distributing, publishing, performing, displaying, or otherwise infringing any of SMSs rights in the SMS Works; D. Order Kogan and Smith to destroy, or to deliver to the Court for destruction, all

Infringing Materials; E. Award to SMS either SMSs actual damages and Kogans and Smiths profits, or

statutory damages as provided under 17 U.S.C. 504, as SMS may so elect; F. G. H. Award SMS its costs and expenses in this suit under 17 U.S.C. 505; Award SMS its reasonable attorneys fees under 17 U.S.C. 505; and Award such other and further relief as the Court may deem just.

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JURY DEMAND Plaintiff Situation Management Systems, Inc. requests a trial by jury of all claims so triable. The Plaintiff, SITUATION MANAGEMENT SYSTEMS, INC., By its Attorney, /s/Ryan C. Siden Ryan C. Siden, B.B.O. No. 646138 Siden & Associates, P.C. 20 Park Plaza, Suite 804 Boston, MA 02116 (617) 423-5999 Dated: August 25, 2011

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