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OPEN ACCESS AND THE PUBLIC DOMAIN IN DIGITAL DATA AND INFORMATION FOR SCIENCE

PROCEEDINGS OF AN INTERNATIONAL SYMPOSIUM

Julie M. Esanu and Paul F. Uhlir, Editors

U.S. National Committee for CODATA

Board on International Scientific Organizations

Policy and Global Affairs Division

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.edu



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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium OPEN ACCESS AND THE PUBLIC DOMAIN IN DIGITAL DATA AND INFORMATION FOR SCIENCE PROCEEDINGS OF AN INTERNATIONAL SYMPOSIUM Julie M. Esanu and Paul F. Uhlir, Editors U.S. National Committee for CODATA Board on International Scientific Organizations Policy and Global Affairs Division NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 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. Support for this project was provided by the John D. and Catherine T. MacArthur Foundation (under Grant No. 02-74944-000-GEN) and the National Oceanic and Atmospheric Administration/National Weather Service (under an unnumbered purchase order). Additional support was provided by the Committee on Data for Science and Technology, the International Council for Science, and the United Nations Educational, Scientific and Cultural Organization. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-09145-4 (Book) International Standard Book Number 0-309-53007-5 (PDF) Copies of this report are available from the Board on International Scientific Organizations, 500 Fifth Street, N.W., Washington, DC 20001; 202-334-2807; Internet, http://www7.nationalacademies.org/biso/. Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Copyright 2004 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine 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. Wm. 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. Harvey V. Fineberg 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 jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium Preface Data and information produced by government-funded, public-interest science is a global public good caught between two different trends. On the one hand, the Internet provides valuable new opportunities for overcoming geographic limitations and the promise of unprecedented open access to public information for research on a global basis. The synergistic aspects of the availability and access to such information result in a broad range of positive externalities and network effects that increase exponentially with the addition of new Internet users. On the other hand, there are growing restrictions on the availability and use of public data and information arising from the privatization and commercialization of such sources. This countervailing trend undermines the traditional scientific cooperative and sharing ethos. It diminishes the public domain and open access to such global public goods and leads to a host of lost opportunity costs at both the national and international levels. While there has been a great deal of focus on new commercial opportunities with digital information and on increased intellectual property rights, comparatively little attention has been devoted to the importance of maintaining open access to the source of upstream scientific—and other—data and information produced in the public domain for the benefit of all downstream users, or to the imperative to balance the public and private interests. The question is how to preserve and promote access to and sharing of such public scientific resources without unduly restricting new opportunities for commerce or the rights of authors. Conversely, how should commercial activities in the private sector be promoted without significantly compromising the availability of data and information in the public domain or through open access for global public good purposes? The recent pressures on both public-domain and open-access information—scientific and otherwise—have resulted from a variety of legal, economic, and technological factors. New and revised laws have broadened, deepened, and lengthened the scope of intellectual property and neighboring rights in data and information, substantially redefining and limiting the public domain. National security concerns also are constraining the scope of government data and information that can be made publicly available. Economic pressures on both government and university producers of data and information similarly have narrowed the scope of such information placed in the public domain, with resulting access and use restrictions on resources that were previously openly available to researchers, educators, and others. Advances in digital rights management technologies for enforcing proprietary rights in various information products are posing some of the greatest potential restrictions on the public domain and open access to data and information. Nevertheless, some well-established mechanisms for preserving public-domain or open-access data and information—such as public archives and data centers, together with ever-increasing numbers of open Web sites—exist

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium in the government, academic, and not-for-profit sectors. Very innovative institutional and legal models for making available digital scientific data and information resources in the public domain or through open-access provisions are now being developed by different groups in the scientific, library, and legal communities in many countries. To address these issues the International Council for Science (ICSU), the United Nations Educational, Scientific and Cultural Organization (UNESCO), the U.S. National Academies, the Committee on Data for Science and Technology (CODATA), and the International Council for Scientific and Technical Information (ICSTI) jointly organized a major international symposium on “Open Access and the Public Domain in Digital Data and Information for Science.” This symposium, which was held on March 10-11, 2003, at UNESCO headquarters in Paris, brought together policy experts and managers from the government and academic sectors in both developed and developing countries to (1) describe the role, value, and limits that the public domain and open access to digital data and information have in the context of international research; (2) identify and analyze the various legal, economic, and technological pressures on the public domain in digital data and information, and their potential effects on international research; and (3) review the existing and proposed approaches for preserving and promoting the public domain and open access to scientific and technical data and information on a global basis, with particular attention to the needs of developing countries. The symposium, along with the Workshop on Science in the Information Society, which was organized by ICSU, CODATA, and UNESCO and held on March 12, 2003, at UNESCO headquarters in Paris,1 also helped to identify and analyze important issues for follow up by the ICSU family of organizations. The results of this subsequent workshop were summarized by ICSU and used to provide scientific community input for the development of a Declaration of Principles and Plan of Action in preparation for the World Summit on the Information Society. The symposium was organized into six sessions, each introduced by a moderator and then followed by several invited presentations. The first session focused on the legal, economic, and technological framework for open access and public domain in digital data and information for science. The following sessions explored the opportunities and challenges of open-access and public-domain scientific information in developing countries in the areas of data and information in the public health and environmental sectors, the basic sciences, and higher education. The summary concluded with a discussion of innovative models for public-domain production of open access to scientific and technical data and information, with a focus on examples of new initiatives for promoting open access in developing countries. Different aspects of the issues discussed in this symposium have already been addressed in some detail in several reports published by the National Academies.2 More specifically, the Office of International Scientific and Technical Information Programs (ISTIP) recently convened a “Symposium on the Role of Scientific and Technical Data and Information in the Public Domain.”3 The March symposium built on the results of the ISTIP symposium. The results from these studies and activities provided a solid foundation for holding in-depth discussions of the issues relating to public domain and open access in digital data and information produced or used by public interest science. Although these previous works addressed various aspects of these issues in detail, none provided an international focus and forum at which representatives of public and private interest groups and experts could discuss them in a public venue. Over 150 experts attended the meeting (see the list of participants in Appendix C). This publication presents the proceedings at the symposium. The speakers’ remarks were taped and transcribed, and in most cases subsequently edited; however, in several instances the speakers opted to provide a formal paper. The statements made in these proceedings are those of the individual authors and do not necessarily represent the positions of the steering committee or the National Academies. 1   For additional information on the “Workshop on Science and the Information Society,” as well as ICSU’s Declaration of Principles and the Agenda for Action, see http://www.icsu.org/. 2   See, for example, National Research Council (NRC). 1997. Bits of Power: Issues in Global Access to Scientific Data, National Academy Press, Washington, D.C.; NRC. 1999. A Question of Balance: Private Rights and the Public Interest in Scientific and Technical Databases, National Academy Press, Washington, D.C.; NRC. 2000. The Digital Dilemma: Intellectual Property Rights in the Information Age, National Academy Press, Washington, D.C.; and NRC. 2002. Resolving Conflicts Arising from the Privatization of Environmental Data, National Academy Press, Washington, D.C. 3   NRC. 2003. The Role of Scientific and Technical Data and Information in the Public Domain, National Academies Press, Washington, D.C.

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium Acknowledgments The U.S. National Committee for CODATA and the Board on International Scientific Organizations of the National Research Council of the National Academies wish to express their sincere thanks to the many individuals who played significant roles in planning the International Symposium on Open Access and the Public Domain in Digital Data and Information for Science. The Symposium Planning Committee was chaired by M. G. K. Menon of LEAD India. Additional members of the Steering Committee were Carlos Correa, University of Buenos Aires, Argentina; Dialo Diop, Université Cheikh Anta Diop, Senegal; Farouk El-Baz, Boston University, United States; Dominique Foray, Centre National de la Recherche Scientifique, France; Alexei Gvishiani, Russian Academy of Sciences, Russia; Elizabeth Longworth, Industry New Zealand, New Zealand; Lulama Makhubela, South African National Research Foundation, South Africa; Erik Sandewall, Linköping University, Sweden; Mary Waltham, Publishing Consultant, United States; and Ferris Webster, University of Delaware, United States. We also would like to thank the following individuals (in order of appearance) who made presentations during the workshop (see Appendix A for symposium agenda): Shuichi Iwata, University of Tokyo, Japan; M. G. K. Menon; David Dickson, SciDev.Net, United Kingdom; Elizabeth Longworth; Thomas Dreier, University of Karlsruhe, Germany; Alan Story, University of Kent Law School, United Kingdom; Robin Cowan, MERIT/ University of Maastricht, Netherlands; Koïchiro Matsuura, Director-General, UNESCO; Clemente Forero-Pineda, University of Bogota, Columbia; Chrisanthi Avgerou, London School of Economics, United Kingdom; Massey Beveridge, University of Toronto, Canada; Jean Luc Poncelet, Pan American Health Organization, United States; D. K. Sahu, JPM Managing Editor, India; Leslie Chan, Bioline, Canada; Farouk El-Baz; Mukund Rao, Indian Space Research Organisation, India; Peter Weiss, U.S. National Weather Service, United States; Liu Chuang, Chinese Academy of Sciences, China; Andrew Kaniki, National Research Foundation, South Africa; R. Stephen Berry, University of Chicago, United States; Mikhail Zgurovsky, National Technical University of Ukraine, Ukraine; Jerome Reichman, Duke University Law School, United States; Charles Schweik, University of Massachusetts, United States; Erik Sandewall; Harlan Onsrud, University of Maine, United States; Sarah Durrant, International Network for the Availability of Scientific Publications, United Kingdom; Gilberto Câmara, National Institute for Space Research, Brazil; Saloshini Muthayan, Doctoral Candidate, South Africa; Florence Muinde, UNESCO Fellow, Kenya; Ndaendelao (Emma) Noongo and Nico Willemse, Ministry of Environment and Tourism, Namibia; and T. B. Rajashekar, National Centre for Science Information, India.

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium This volume has been reviewed in draft form by individuals chosen for their technical expertise in accordance with procedures approved by the National Academies’ 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 quality. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of selected papers: William Anderson, Praxis101; Carlos Correa, University of Buenos Aires; Paul David, Stanford University; Jean Garnier, National Institutes of Health; Bernt Hugenholtz, University of Amsterdam; Heather Joseph, BioOne; Stephen Rossouw, University of Capetown; and Gordon Wood, Canada Institute for Scientific and Technical Information. Although the reviewers listed above have provided constructive comments and suggestions, they were not asked to endorse the content of the individual papers. Responsibility for the final content of the papers rests with the individual authors. The U.S. National Committee for CODATA would like to recognize the contributions of the following National Research Council staff and consultants. Paul Uhlir, director of International Scientific and Technical Information Programs, was project director of the symposium. Julie Esanu helped to organize the symposium and served as the primary editor of the proceedings. Valerie Theberge organized and coordinated the logistical arrangements, and Amy Franklin assisted with the production of the manuscript. In addition, the committee would like to thank the other individuals who contributed to the success of the workshop. Kathleen Cass, executive director of CODATA; Carthage Smith, assistant director of ICSU; John Rose, senior program specialist of the Information Society Division of UNESCO; and Barry Mahon, executive director of ICSTI, were integral in organizing the workshop. Malene Munkebo, communication coordinator of CODATA, and Annick Ongouya, a secretary at UNESCO, provided local logistical support in Paris.

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium Contents Introduction     1   Welcome by CODATA President Shuichi Iwata, University of Tokyo, Japan   3 2   Introduction by Symposium Chair M. G. K. Menon, LEAD, India   5 3   UNESCO’s Approach to Open-Access and Public-Domain Information Koïchiro Matsuura, UNESCO, France   7 4   Science Communication and Public Policy David Dickson, Science and Development Network, United Kingdom   10 Session 1: Legal, Economic, and Technological Framework for Open Access and the Public Domain in Digital Data and Information for Science     5   Introductory Remarks by Session Chair Elizabeth Longworth, Industry New Zealand   17 6   Overview of Legal Aspects in the European Union Thomas Dreier, University of Karlsruhe, Germany   19 7   Database Protection in Countries of the South Alan Story, University of Kent Law School, United Kingdom   24 8   Economic Overview of Open Access and the Public Domain in Digital Scientific and Technical Information Robin Cowan, University of Maastricht, The Netherlands   29

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium 9   Scientific Research, Information Flows, and the Impact of Database Protection on Developing Countries Clemente Forero-Pineda, Universidad de los Andes, Universidad del Rosario, Colombia   33 10   Information Technology and Data in the Context of Developing Countries Chrisanthi Avgerou, London School of Economics, United Kingdom   41 Session 2: Data and Information in the Public Health Sector     11   Introductory Remarks by Session Chair Dialo Diop, Université Cheihk Anta Diop, Senegal   47 12   The Ptolemy Project: Delivering Electronic Health Information in East Africa Massey Beveridge, University of Toronto, Canada   49 13   Health Information for Disaster Preparedness in Latin America Jean Luc Poncelet, Pan American Health Organization, United States   55 14   Bioline International and the Journal of Postgraduate Medicine: A Collaborative Model of Open-Access Publishing D. K. Sahu, Journal of Postgraduate Medicine Managing Editor, India; Leslie Chan, Bioline International, Canada   58 Session 3: Data and Information in the Environmental Sector     15   Introductory Remarks by Session Chair Farouk El-Baz, Boston University, United States   65 16   Geospatial Information for Development Mukund Rao, Indian Space Research Organization   66 17   Borders in Cyberspace: Conflicting Government Information Policies and Their Economic Impacts Peter Weiss, U.S. National Weather Service   69 18   Recent Developments in Environmental Data Access Policies in the Peoples’ Republic of China Liu Chuang, Chinese Academy of Sciences   74 Session 4: Basic Sciences and Higher Education     19   Introductory Remarks by Session Chair Lulama Makhubela, National Research Foundation, South Africa   79 20   Information Needs for Basic Research: An African Perspective Andrew Kaniki, National Research Foundation, South Africa   81 21   International Transfer of Information in the Physical Sciences R. Stephen Berry, University of Chicago, United States   85 22   Access to Scientific Information: The Ukrainian Research and Academic Network Mikhail Zgurovsky, National Technical University of Ukraine   91

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium Session 5: Innovative Models for Public-Domain Production of and Open Access to Scientific and Technical Data and Information     23   Introductory Remarks by Session Chair Dominique Foray, Centre National de la Recherche Scientifique, France   97 24   A Contractually Reconstructed Research Commons for Scientific Data: International Considerations Jerome Reichman, Duke University Law School, United States; Paul Uhlir, The National Academies, United States   98 25   The Open-Source Paradigm and the Production of Scientific Information: A Future Vision and Implications for Developing Countries Charles M. Schweik, University of Massachusetts, United States; J. Morgan Grove, U.S. Forest Service; Tom P. Evans, Indiana University, United States   103 26   New and Changing Scientific Publication Practices Due to Open-Access Publication Initiatives Erik Sandewall, Linköping University, Sweden   110 27   Overview of Open-Access and Public-Commons Initiatives in the United States Harlan Onsrud, University of Maine, United States   114 Session 6: Examples of New Initiatives in Developing Countries     28   Introductory Remarks by Session Chair Alexei Gvishiani, United Institute of Physics of the Earth, Russian Academy of Sciences   121 29   Overview of Initiatives in the Developing World Sarah Durrant, International Network for the Availability of Scientific Publications, United Kingdom   122 30   Open-Source Geographic Information Systems Software: Myths and Realities Gilberto Câmara, National Institute for Space Research (INPE), Brazil; Harlan Onsrud, University of Maine, United States   127 31   Open-Access Research and the Public Domain in South African Universities: The Public Knowledge Project’s Open Journal Systems Sal Muthayan, Doctoral Candidate, South Africa   134 32   The Public Knowledge Project’s Open Journal Systems Florence Muinde, UNESCO Fellow, Kenya   146 33   Metadata Clearinghouse and Open Access to Geographic Data in Namibia Ndaendelao (Emma) Noongo and Nico Willemse, Ministry of Environment and Tourism, Namibia   150 34   Open-Access Initiatives in India T. B. Rajashekar, National Centre for Science Information, India   154 35   Closing Remarks by Symposium Chair M. G. K. Menon, LEAD India   158

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Open Access and the Public Domain in Digital Data and Information for Science: Proceedings of an International Symposium Appendixes     A   Symposium Agenda   163 B   Biographical Summaries of Symposium Speakers and Steering Committee Members   167 C   Symposium Attendees   176 D   Acronyms and Initialisms   182