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/[~-,olving Conflicts
Arising from the
Privatization of
Environmental Data
Committee on Geophysical and Environmental Data
Board on Earth Sciences and Resources
Division on Earth and Life Studies
National Research Council
NATIONAL ACADEMY PRESS
Washington, D.C.
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NOTICE: The project that is the subject of this report was approved by
the Governing Board of the National Research Council, whose members
are drawn from the councils of the National Academy of Sciences, the
National Academy of Engineering, and the Institute of Medicine. The
members of the committee responsible for the report were chosen for
their special competences and with regard for appropriate balance.
This study was supported by the federal agencies of the U.S. Global Change
Research Program (USGCRP) through the National Oceanic and Atmospheric
Administration (NOAA) under Contract No. 50-DKNA-7-90052. The
opinions, findings, conclusions, and recommendations expressed herein
are those of the authors and do not necessarily reflect the view of NOAA,
USGCRP, or any of its sub-agencies.
International Standard Book Number 0-309-07583-1
Additional copies of this report are available from:
National Academy Press
2101 Constitution Avenue, N.W.
Box 285
Washington, DC 20055
800-624-6242
202-334-3313 (in the Washington metropolitan area)
http: //www.nap . edu
Cover: Banyan tree representing the parts of environmental information
systems: an extensive root system that draws data from many sources; a
trunk in which information is synthesized into core information products;
multiple branches that distribute and enhance the core products into
value-added products; and leaves, which represent different uses of
information products of the tree. As with Banyan trees, roots, trunk, and
branches are interconnected with one another and with other information
system trees. Illustration courtesy of Van Nguyen, National Academy
Press.
Copyright 2001 by the National Academy of Sciences. All rights
reserved.
Printed in the United States of America
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National Academy of Sciences
National Academy of Engineering
Institute of Medicine
National Research Council
The National Academy of Sciences is a private, nonprofit, self-perpetuating
society of distinguished scholars engaged in scientific and engineering research,
dedicated to the furtherance of science and technology and to their use for the
general welfare. Upon the authority of the charter granted to it by the Congress in
1863, the Academy has a mandate that requires it to advise the federal government
on scientific and technical matters. Dr. Bruce M. Alberts is president of the National
Academy of Sciences.
The National Academy of Engineering was established in 1964, under the
charter of the National Academy of Sciences, as a parallel organization of
outstanding engineers. It is autonomous in its administration and in the selection of
its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also
sponsors engineering programs aimed at meeting national needs, encourages
education and research, and recognizes the superior achievements of engineers. Dr.
Wry A. Wulf is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy
of Sciences to secure the services of eminent members of appropriate professions in
the examination of policy matters pertaining to the health of the public. The Institute
acts under the responsibility given to the National Academy of Sciences by its
congressional charter to be an adviser to the federal government and, upon its own
initiative, to identify issues of medical care, research, and education. Dr. Kenneth I.
Shine is president of the Institute of Medicine.
The National Research Council was organized by the National Academy of
Sciences in 1916 to associate the broad community of science and technology with
the Academy's purposes of furthering knowledge and advising the federal
government. Functioning in accordance with general policies determined by the
Academy, the Council has become the principal operating agency of both the
National Academy of Sciences and the National Academy of Engineering in
providing services to the government, the public, and the scientific and engineering
communities. The Council is administered pointy by both Academies and the Institute
of Medicine. Dr. Bruce M. Alberts and Dr. Wry A. Wulf are chairman and vice
chamnaII, respectively, ofthe National Research Council.
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COMMITTEE ON GEOPlIYSICALAND ENVIRONMENTALDATA
J. BERNARD MINSTER, Chair, Scripps Institution of Oceanography,
University of California, La lolIa
FRANCIS P. BRETHERTON, University of Wisconsin, Madison (Chair
through 2000)
DAVID H. BROMWTCH, Ohio State University, Columbus
MARY ANNE CARROLL, University of Michigan, Ann Arbor
JEFF DOZER, University of California, Santa Barbara
DAVID M. GLOVER, Woods Hole Oceanographic Institution, Woods
Hole, Massachusetts
GEORGE H. LEAVESLEY, U.S. Geological Survey, Denver, Colorado
MARK I. McCABE, Georgia Institute of Technology, Atianta
JOHN M. MELACK, University of California, Santa Barbara
JOYCE E. PENNER, University of Michigan, Ann Arbor (through 2000)
ROY RADNER, New York University, New York
CYNTHIA E. ROSENZWEIG, NASA Goddard Institute for Space
Studies, New York, New York (through 1999)
WILLIAM F. RUDDIMAN, University of Virginia, Charlottesville
ROBERT I. SERAFIN, National Center for Atmospheric Research,
Boulder, Colorado
CARL WUNSCH, Massachusetts Institute of Technology, Cambridge
(through 2000)
National Research Council Staff
ANNE M. LINN, Senior Program Officer
JENNIFER T. ESTEP, Administrative Associate
SHANNON L. RUDDY, Project Assistant
IV
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BOARD ON EARTH SCIENCES AND RESOURCES
RAYMOND JEANLOZ, Chair, University of CaTifomia, Berkeley
JOHN I. AMORUSO, Amoruso Petroleum Company, Houston, Texas
PAUL B. BARTON, JR., U.S. Geological Survey (emeritus), Reston,
Virginia
DAVID L. DTLCHER, University of Florida, Gainesville
BARBARA L. DUTROW, Louisiana State University, Baton Rouge
ADAM M. DZEWONSKI, Harvard University, Cambridge,
Massachusetts
WILLIAM L. GRAF, Arizona State University, Tempe
GEORGE M. HORNBERGER, University of Virginia, Charlottesville
SUSAN W. KEFFER, S.W. Kieffer Science Consulting, Inc., Bolton,
Ontario, Canada
DIANNE R. NIELSON, Utah Department of Environmental Quality,
Salt Lake City
JONATHAN G. PRICE, Nevada Bureau of Mines & Geology, Reno
BILLE L. TURNER II, Clark University, Worcester, Massachusetts
National Research Council Staff
ANTHONY R. DE SOUZA, Director
TAMARA L. DICKINSON, Senior Program Officer
DAVID A. FEARY, Senior Program Officer
ANNE M. LINN, Senior Program Officer
PAUL M. CUTLER, Program Officer
IDEA M. VANDEMARK, Program Officer
KRISTEN L. KRAPF, Research Associate
KERI H. MOORE, Research Associate
MONICA R. LIPSCOMB, Research Assistant
JENNIFER T. ESTEP, Administrative Associate
VERNA I. BOWEN, Administrative Assistant
YVONNE P. FORSBERGH, Senior Project Assistant
KAREN It. IMHOF, Senior Project Assistant
SHANNON It. RUDDY, Project Assistant
TERESIA K. WII~MORE, Project Assistant
WINFIELD SWANSON, Editor
v
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Acknowledgments
This report has been reviewed in draft form by individuals chosen
for their diverse perspectives and technical expertise, in accordance with
procedures approved by the NRC's Report Review Committee. The
purpose of this independent review is to provide candid and critical
comments that will assist the institution in making its published report as
sound as possible and to ensure that the report meets institutional
standards for objectivity, evidence, and responsiveness to the study
charge. The review comments and draft manuscript remain confidential
to protect the integrity of the deliberative process. We wish to thank the
following individuals for their review of this report:
Steven T. Berry, Yale University
Robert F. Brammer, The Analytical Sciences Corporation
Otis B. Brown Jr., University of Miami
Tnez Y. Fung, University of California, Berkeley
Thomas M. Holm, U.S. Geological Survey, EROS Data Center
John A. Knauss, University of Rhode Island, and Scripps Institution
of Oceanography
Harlan I. Onsrud, University of Maine
Carol A. Wessman, University of Colorado, Boulder
Although the reviewers listed above have provided many
constructive comments and suggestions, they were not asked to endorse
the conclusions or recommendations nor did they see the final draft of
the report before its release. The review of this report was overseen by
Freeman Gilbert and William L. Chameides, appointed by the National
Research Council, who were responsible for making certain that an
independent examination of this report was earned out in accordance
with institutional procedures and that all review comments were
. .
V11
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carefully considered. Responsibility for the final content of this report
rests entirely with the authoring committee and the institution.
viii
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Preface
The Earth's atmosphere, oceans, and biosphere form an integrated
system that transcends national boundaries. To understand the elements
of the system, the way they interact, and how they have changed with
time, it is necessary to collect and analyze environmental data from all
parts of the world. Consequently, over the past 100 years international
programs for global change research and environmental monitoring have
relied on policies guaranteeing full and open access to data (i.e., data and
information are made available without restriction, on a non-
discriminatory basis, for no more than the cost of reproduction). Such
policies have facilitated significant scientific discoveries, as well as
informed public policy.
However, the commercialization of government agencies in Europe
and Canada, coupled with the rise of the commercial remote sensing
industry, is changing the nature of the environmental science enterprise.
Commercialized government agencies and private-sector organizations
typically sell and/or restrict environmental data, making it difficult to
collect and exchange the information upon which society depends. This
report, which was requested by the U.S. Global Change Research
Program, identifies the issues and conflicts that arise from the different
goals and objectives of the stakeholders in environmental information
iThe U.S. Global Change Research Program is a multi-agency program
aimed at "providing a sound scientific understanding of the human and natural
forces that influence the Earth's climate system and thus provide a sound
scientific basis for national and international decision making on global change
issues." Nine federal agencies formally participate in the program. See
Subcommittee on Global Change Research, 2000, Our Changing Planet. The FY
2001 U.S. Global Change Research Program, White House Office of Science
and Technology Policy, Washington, D.C., 74 pp.
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scientists, private-sector organizations, government agencies, policy
makers, and the general public. The charge to the committee was to
examine the impact of commercialization policies (including
database legislations on established scientific practices, including
data publication, use of data for multiple purposes, data sharing,
and noncommercial research in the private sector. Particular
emphasis will be placed on policies concerning global or
regional environmental science, including atmospheric, oceanic,
solid-earth, biospheric, and polar science. Examples of data
restrictions encountered by scientists and scientific data centers
will be used to illustrate (~) problems in obtaining, using,
sharing, or publishing data and (2) solutions that have worked in
the past.
The Committee on Geophysical and Environmental Data has been
concerned with national and international data policy for 34 years. This
report builds on previous reports that examine the impact of proposed
and existing data policies on the environmental science community.2
In gathering information for this report, the committee solicited input
from intellectual property lawyers, private-sector organizations that
collect environmental data or create value-added data products, econ-
omists, federal government agencies and data centers, international
science organizations, and the broader scientific community. Altogether,
six meetings were held to gather information and analyze the results.
Information was also gathered from the literature and World Wide
Web sites. The information from Web sites provided in this report was
correct, to the best of our knowledge, at the time of publication. It is
important to remember, however, the rapidly changing content of the
Internet. Resources that are free and publicly available one day may
require a fee or restrict access the next, and the location of items may
change as menus and home pages are reorganized.
The committee acknowledges the following individuals who briefed
the committee or provided other input: Prue Adler, Jon Band, Roger
Barry, Bruce Bauer, Mary Case, Robert Chen, Donald Collins, John
Curiander, William Draeger, Bolling Farmer, Wanda Ferrell, Michael
Freilich, Lee Fu, Steven Goodman, Richard Greenfield, Allen Hittelman,
2For example, see NRC, 1995, On the Full and Open Exchange of Scientific
Data. National Research Council, Washington, D.C., 21 pp.
x
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Thomas Holm, Peter Jaszi, Bruce Joseph, Thomas Kalvelage, Thomas
Karl, Verne Kaupp, Steven Kempler, Joseph King, Herbert KroehI,
Michael Loughridge, Steve Maurer, Richard McGinnis, B. Greg
Mitchell, Stephen Nelson, Kurt Schnebele, Suzanne Scotchmer, Mark
Seeley, George Sharman, John Shaw, August Shumbera, Kurtis Thome,
Shelby Tilford, Ferris Webster, Peter Weiss, Stanley Wilson, Robert
Winokur, David Wolf, and lames Yoder.
Finally, the committee is deeply indebted to the staff of the National
Research Council, notably Jenny Estep and Shannon Ruddy, for arrang-
ing the numerous meetings required to obtain the viewpoints of the
communities involved in this study. We especially thank the study
director, Anne Linn, for her steadfast support of committee activities, for
her willpower to keep us "on target" and, ultimately, for taking charge of
the main report production effort, leading the interminable succession of
drafts to successful convergence.
Francis Bretherton
Past Chair
Xl
Bernard Minster
Current Chair
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Contents
EXECUTIVE SUMMARY
1 INTRODUCTION
A Changing World, 7
The Information Tree, 11
Organization of the Report, 13
' 1
.7
2 STAKEHOLDERVEWPOINTS 15
Scientist Views, 15
Private-Sector Views, 19
Government Agency Views, 23
Policy Maker Views, 25
General Public Views, 27
ENVIRONMENTAL INFORMATION SYSTEMS 29
The Environmental Information System Tree, 31
POLICY AND ECONOMIC FRAMEWORK FOR PUBLIC-
PURPOSE ENVIRONMENTAL INFORMATION SYSTEMS
Data Policy, 37
Compatibility of Open Access With a Competitive Market, 40
Requirements of Public-Pu~pose Environmental Formation
Trees, 49
.37
WAR AND PEACE AMONG STAKEHOLDERS 53
Information Systems Created Purely for Public Purposes, 54
Information Systems and Public-Private Partnerships, 68
Overall Lessons Learned, 72
The Need for a Process of Negotiating Among Stakeholders, 73
. . .
x'''
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6 RECONCILING THE VOWS OF THE STAKEHOLDERS 75
Guidelines for Interactions Between Scientists and Private-
Sector Organizations, 75
Guidelines for Interactions Between Government Agencies
and Private-Sector Organizations, 79
APPENDIXES
A Scientific Practices..
. .89
.91
B Intellectual Proper Rights to Data 95
C Acronyms 99
x~v
