    cartome.org

22 August 2001

Source: http://books.nap.edu/html/question_balance/index.html

## A Question of Balance

#### Private Rights and the Public Interest
in Scientific and Technical Databases

National Research Council, 1999

APPENDIXES

Return to Title Page - through - Summary |
Return to Chapters 1-4 |
APPENDIXES
A | Biographical Sketches of Committee Members |
B | Workshop Agenda and Participants |
C | Workshop Proceedings--Listing of Contents |
D | European Union Directive on the Legal Protection of Databases |

### Appendix A

## Biographical Sketches of Committee Members

### STUDY COMMITTEE

ROBERT J. SERAFIN (chair) is the director of the National Center for Atmospheric Research (NCAR). Dr. Serafin began his career at Hazeltine Research Corporation where he worked on the design and development of high-resolution radar systems. This was followed by 10 years at the IIT Research Institute and Illinois Institute of Technology. He then joined NCAR as manager of the Field Observing Facility in 1973 and in 1980 became director of the Atmospheric Technology Division, which is responsible for all of NCAR's observational research and research support facilities, used by scientists in universities and laboratories throughout the world. In 1989 he was appointed as NCAR's director. The holder of three patents, Dr. Serafin has published approximately 50 technical and scientific papers and established the Journal of Atmospheric and Oceanic Technology, and was its co-editor for several years. He has served on several National Research Council (NRC) panels and committees, and he chaired the NRC committee on National Weather Service Modernization. He is a member of the National Academy of Engineering, a fellow of the American Meteorological Society, and a senior member of the Institute of Electrical and Electronics Engineers. Dr. Serafin received his BS, MS, and PhD degrees in electrical engineering from Notre Dame University, Northwestern University, and Illinois Institute of Technology, respectively.

I. TROTTER HARDY is professor of law at the College of William & Mary School of Law, where he specializes in intellectual property law, law and computers, and tort law. He recently wrote a major report, "Sketching the Future of Copyright in a Networked World," for the Copyright Office and has published extensively on issues relating to intellectual property law in the digital environment. Mr. Hardy holds a BA from the University of Virginia, an MS from American University, and a JD from Duke University, Order of the Coif.

MAUREEN C. KELLY is vice president for planning at BIOSIS, the largest abstracting and indexing service for the life sciences community. She has worked in different capacities for BIOSIS since 1969. Previously she had production responsibility for the bibliographic and scientific content of BIOSIS products. While in that position, she led the team that developed the system for capturing and managing indexing data in support of BIOSIS's new relational indexing. Ms. Kelly has authored a number of papers on managing and accessing biological information. She is currently secretary of the American Association for the Advancement of Science Section on Information, Computing, and Communication. She has served on various professional society research and publishing committees, including participating in the National Academy of Sciences E-Journal Summit meetings over the past two years. Ms. Kelly has a BA degree from Rutgers University.

PETER R. LEAVITT is a consultant and former chairman and chief executive officer of Weather Services Corp., where he has developed online real-time meteorological databases for national and international agricultural and commodity services. He has a BS in meteorology from the Massachusetts Institute of Technology. Mr. Leavitt served previously on two NRC committees, as well as on several government advisory committees regarding data use and research issues in meteorology.

LEE E. LIMBIRD is associate vice chancellor for research at Vanderbilt University and chair of the Department of Pharmacology. Her responsibilities as associate vice chancellor include development of new intra- and interinstitutional initiatives for research, with a focus on research development in genetics and genomics; neuroscience; and structural biology, broadly defined to include biophysics and bioengineering. The Office of Grants Management and Technology Transfer also represents areas of her responsibility. Dr. Limbird received a BA in chemistry from the College of Wooster and a PhD in biochemistry from the University of North Carolina. Her area of research has been in the molecular pathways of signal transduction by G Protein-coupled receptors using biochemical, cellular, and genetic strategies, including genetically modified mice.

PHILIP LOFTUS is vice president and director of Worldwide Information Services Architecture and Technology for Glaxo Wellcome where he is responsible for both the information services infrastructure and global information management. From 1996 to 1998, he served as vice president and director of Worldwide R&D Information Systems and was responsible for developing and implementing a global information system strategy for R&D. Prior to that, he was executive director for Research Information Systems at Merck Research Laboratories, and from 1976 to 1993 he was a vice president for R&D Information Systems and a computational scientist at ICI. Dr. Loftus has a BSc in chemistry and a PhD in conformational isomerism from the University of Liverpool, and he was a Fullbright Hayes Postdoctoral Fellow at the California Institute of Technology in 1974-1975. He holds a postgraduate certificate in education from the University of Liverpool. He has published extensively in the area of information technology applications for pharmaceutical research.

HARLAN J. ONSRUD is professor in the Department of Spatial Information Science and Engineering at the University of Maine and a research scientist with the National Center for Geographic Information and Analysis (NCGIA). He received BS and MS degrees in civil engineering from the University of Wisconsin and a JD from the University of Wisconsin Law School. His research focuses on (1) analysis of legal and institutional issues affecting the creation and use of digital databases and the sharing of geographic information, (2) assessing utilization of GIS and the social impacts of the technology, and (3) developing and assessing strategies for supporting the diffusion of geographic information innovations. Mr. Onsrud has co-led major multiyear NCGIA research initiatives on the use and value of geographic information, institutions sharing geographic information, and law, information policy, and spatial databases. Mr. Onsrud is a licensed engineer, lawyer, and land surveyor.

HARVEY S. PERLMAN is a professor of law and former dean of the University of Nebraska College of Law. He is an expert in trademark law and unfair competition law. In addition to writing many articles in these areas, Mr. Perlman has co-authored Legal Regulation of the Competitive Process: Cases, Materials and Notes on Unfair Business Practices, which is now in its sixth edition under the title Intellectual Property and Unfair Competition (1998). He also was the co-reporter for the American Law Institute's Restatement (Third) of Unfair Competition and is a member of the National Conference of Commissioners on Uniform State Laws, which has been considering changes to the Uniform Commercial Code Article 2(B) regarding private contracts for intellectual property. Mr. Perlman received his BA and JD from the University of Nebraska in 1963 and 1966, respectively.

ROBERTA P. SAXON is a patent agent at Skjerven, Morrill, MacPherson, Franklin & Friel, LLP, a law firm specializing in intellectual property in San Jose, California. Prior to that, she was director of the chemistry laboratory at SRI International, where she supervised research in advanced materials, atmospheric chemistry, computational chemistry, and atomic, molecular, and optical physics and performed research in those areas for more than 20 years. Dr. Saxon has a BA in chemistry from Cornell University and an MS and a PhD in chemical physics from the University of Chicago. She is vice chair of the Panel on Public Affairs for the American Physical Society, and she previously served on an NRC study for a research strategy for atomic, molecular, and optical sciences.

SUZANNE SCOTCHMER is a professor of economics and public policy at the University of California, Berkeley. Her broad fields of research are in economic theory and industrial organization, with current emphasis on intellectual property, particularly as it relates to cumulative innovations, digital content, and decentralized mechanisms by which firms share information. Dr. Scotchmer received her PhD in economics from the University of California, Berkeley in 1980 and her MA in statistics in 1979.

MARK STEFIK is a principal scientist at the Xerox Palo Alto Research Center, where he focuses on trusted system approaches for creating, protecting, and reusing digital property in the network context. His current and past research activities include research on reasoning with constraints, and paradigms of programming, as well as applications of artificial intelligence and computer science to problems in molecular genetics, VLSI circuit design, configuration of computer systems, and systems for supporting collaborative processes in work groups. Dr. Stefik's book, Internet Dreams: Archetypes, Myths, and Metaphors, was published by MIT Press in 1996. Dr. Stefik received his BS and PhD from Stanford University.

MARTHA E. WILLIAMS is director of the Information Retrieval Research Lab and a professor of Information Science at the University of Illinois at Urbana-Champaign. Her research interests include digital database management, online retrieval systems, systems analysis and design, chemical information systems, and electronic publishing. She has published widely on these topics and has been editor of the Annual Review of Information Sciences and Technology (since 1975), Computer Readable Databases: A Directory & Data Sourcebook (1976-1987), and Online Review (since 1977). Professor Williams was chair of the Board of Engineering Information, Inc., from 1980 to 1988, was appointed to the National Library of Medicine's Board of Regents from 1978 to 1981 and served as chair of the board in 1981. In addition, she served on several NRC committees, including the Numerical Data Advisory Board (1979-1982). She has an AB from Barat College and an MA from Loyola University.

### STUDY DIRECTOR

PAUL F. UHLIR is director of international scientific and technical information programs at the U.S. National Academy of Sciences/National Research Council (National Academies) in Washington, D.C., where he directs science and technology policy studies for the federal government. His current area of emphasis is issues at the interface of science, technology, and law, with primary focus on scientific data and information policy, and on the relationship of intellectual property law to R&D policy. Mr. Uhlir is also director of the U.S. National Committee for CODATA. From 1991 to 1998, he was associate executive director of the Commission on Physical Sciences, Mathematics, and Applications, and from 1985 to 1991 he was senior program officer at the Space Studies Board, where he worked on solar system exploration and Earth remote sensing studies for NASA. Before joining the National Academies, he was a foreign affairs officer at the National Oceanic and Atmospheric Administration in the Department of Commerce, where he worked on meteorological and land remote sensing law and policy issues. He is the author or editor of more than 50 books, reports, and articles. Mr. Uhlir has a BA in history from the University of Oregon, and a JD and an MA in international relations from the University of San Diego.

### Appendix B

## Workshop Agenda and Participants

### WORKSHOP AGENDA

#### Thursday, January 14

8:00 am | Continental breakfast
8:30 | A. Introductory remarks
| Robert Serafin, Study Chair
8:45 | Keynote Address
| Q. Todd Dickinson
| Commissioner of Patents and Trademarks (Acting), Department of Commerce
| B. Summary of S&T databases to be discussed at the workshop
9:00 | Geographic Data Panel
| Moderator: Harlan Onsrud, Associate Professor, University of Maine
- Government-sector data activity: Barbara Ryan, Associate Director for Operations, U.S. Geological Survey, Department of the Interior
- Not-for-profit sector data activity: James Brunt, Associate Director for Information Management, Long-Term Ecological Research Network Office, University of New Mexico1
- Commercial-sector data activity: Barry Glick, former President and CEO, GeoSystems Global Corp.
9:45 | Genomic Data Panel
| Moderator: Philip Loftus, Vice President and Director, Glaxo Wellcome
- Government-sector data activity: James Ostell, Chief, Information Engineering Branch, National Center for Biotechnology Information, National Library of Medicine, National Institutes of Health
- Not-for-profit-sector data activity: Chris Overton, Director, Center for Bioinformatics, University of Pennsylvania
- Commercial-sector data activity: Myra Williams, President and CEO, Molecular Applications Group
10:30 | Break
10:45 | Chemical and Chemical Engineering Data Panel
| Moderator: Roberta Saxon, Patent Agent, Skjerven, Morrill, MacPherson, et al.
- Government-sector data activity: Richard Kayser, Chief, Physical and Chemical Properties Division, National Institute of Standards and Technology, Department of Commerce
- Not-for-profit-sector data activity: James Lohr, Director, Information Industry Relations, Chemical Abstracts Service, American Chemical Society
- Commercial-sector data activity: Leslie Singer, President, ISI, Inc.
11:30 | Meteorological Data Panel
| Moderator: Robert Serafin, Director, National Center for Atmospheric Research
- Government-sector data activity: Ken Hadeen, Director (retired), National Climatic Data Center, National Oceanic and Atmospheric Administration, Department of Commerce
- Not-for-profit-sector data activity: David Fulker, Director, Unidata Program, University Corporation for Atmospheric
| Research
- Commercial-sector data activity: Robert Brammer, Vice President and Chief Technology Officer, TASC
12:15 pm | Lunch
1:15 | C. Economic factors in production/dissemination/use of S&T databases in the public and private sectors
| Moderator: | Suzanne Scotchmer, Professor, UC Berkeley
| Speaker: | Richard Gilbert, Professor, UC Berkeley
2:15 | D. Overview of technologies for protecting and misappropriating digital IPR: the current situation and future prospects
| Moderator: | Mark Stefik, Principal Scientist, Xerox PARC
| Speaker: | Teresa Lunt, Principal Scientist, Xerox PARC (by video)
2:45 | Break
3:00 | E.1 Summary overview of existing and proposed IPR regimes for databases
- The status quo
- Sui generis property rights model
- Unfair competition/misappropriation model
| Moderator: | Harvey Perlman, Professor, College of Law, University of Nebraska
| Speaker: | Marybeth Peters, Register of Copyrights, Library of Congress
3:45 | E.2 Summary of federal government information law and data policies
| Speaker: | Justin Hughes, Attorney, Patent and Trademark Office, Department of Commerce
4:00 | F. Breakout sessions on the existing legal and technical situation
4:15 | Individual breakout sessions
| 1) Government-sector data panel
| Moderator: | Shelton Alexander, Professor, Pennsylvania State University
| Rapporteur: | Suzanne Scotchmer, Professor, UC Berkeley
| Panelists: |
- Barbara Ryan, Associate Director of Operations, U.S. Geological Survey
- James Ostell, Chief, Information Engineering Branch, National Center for Biotechnology Information, NLM/NIH
- Richard Kayser, Chief, Physical and Chemical Properties Division, National Institute of Standards and Technology
- Kenneth Hadeen, Director (retired), National Climatic Data Center
| 2) Not-for-profit-sector data panel
| Moderator: | Maureen Kelly, Vice President for Planning, BIOSIS
| Rapporteur: | Jerome Reichman, Professor, Vanderbilt University School of Law
| Panelists: |
- James Brunt, Associate Director for Information Management, Long-Term Ecological Research Network Office, University of New Mexico2
- Chris Overton, Director, Center for Bioinformatics, University of Pennsylvania
- James Lohr, Director, Information Industry Relations, Chemical Abstracts Service, American Chemical Society
- David Fulker, Director, Unidata Program, UCAR
| 3) Commercial-sector data panel
| Moderator: | Robert Serafin, Director, National Center for Atmospheric Research
| Rapporteur: | Mark Stefik, Principal Scientist, Xerox PARC
| Panelists: |
- Barry Glick, former President and CEO, GeoSystems Global Corp.
- Myra Williams, President and CEO, Molecular Applications Group
- Leslie Singer, President, ISI, Inc.
- Robert Brammer, Vice President and Chief Technology Officer, TASC
5:45 | Adjourn
5:45 - 6:45pm | Reception

#### Friday, January 15

8:00 am | Continental breakfast
8:30 | G. Summary reports by rapporteurs from previous day's breakouts
9:20 | H. Instructions by workshop chair and move to breakout rooms
9:30 | I. Breakout sessions
| Session 1: | Congress decides to enact a strong property rights model protecting databases
| Moderator: | Paul Uhlir, Study Director, National Research Council
| Rapporteur: | Peter Leavitt, Consultant
| Panelists: |
- Ken Hadeen, Director (retired), National Climatic Data Center
- David Fulker, Director, Unidata Program, UCAR
- Robert Brammer, Vice President and Chief Technology Officer, TASC
- Jon Baumgarten, Attorney, Proskauer Rose LLP
- Peter Jaszi, Professor, American University School of Law
- James Neal, Director, Johns Hopkins University Library
- Ferris Webster, Professor, University of Delaware
| Session 2: | Congress decides to enact an unfair competition model protecting databases
| Moderator: | Harvey Perlman, Professor, College of Law, University of Nebraska
| Rapporteur: | Philip Loftus, Vice President and Director, Glaxo Wellcome
| Panelists: |
- Dennis Benson, Chief Information Resources Branch, National Center for Biotechnology Information, NLM/NIH
- Chris Overton, Director, Center for Bioinformatics, University of Pennsylvania
- Myra Williams, President and CEO, Molecular Applications Group
- Michael Klipper, Attorney, Meyer & Klipper, PLLC
- Jonathan Band, Attorney, Morrison & Foerster, LLP
- Thomas Rindfleisch, Director, Medical Library, Stanford University
| Session 3: | Promoting access to and use of government S&T data for the public interest--an assessment of legal and policy options
| Moderator: | Harlan Onsrud, Associate Professor, University of Maine
| Rapporteur: | Shelton Alexander, Professor, Pennsylvania State University
| Panelists: |
- Barbara Ryan, Associate Director for Operations, U.S. Geological Survey3
- James Brunt, Associate Director for Information Management, Long-Term Ecological Research Network Office, University of New Mexico4
- Barry Glick, former President and CEO, GeoSystems Global Corp.
- Peter Weiss, Senior Policy Analyst, Office of Management and Budget5
- Prue Adler, Assistant Executive Director, Federal Relations and Information Policy, Association of Research Libraries
- Eric Massant, Director of Government and Industry Affairs, Reed Elsevier, Inc.
- Tim Foresman, Director, Spatial Analysis Lab, University of Maryland
- Kenneth Frazier, Director, University of Wisconsin Libraries
| Session 4: | Promoting access to and use of not-for-profit-sector S&T data for the public interest--an assessment of legal and policy options
| Moderator: | Martha Williams, Professor and Director, Information Retrieval Research Lab, University of Illinois at Urbana-Champaign
| Rapporteur: | Roberta Saxon, Patent Agent, Skjerven, Morrill, MacPherson et al.
| Panelists: |
- Richard Kayser, Chief, Physical and Chemical Properties Division, NIST
- James Lohr, Director, Information Industry Relations, Chemical Abstracts Service, American Chemical Society
- Leslie Singer, President, ISI, Inc.
- Allan Adler, Vice President for Governmental and Legislative Affairs, Association of American Publishers, Inc.6
- Jerome Reichman, Professor, Vanderbilt University School of Law
- R. Stephen Berry, Professor, University of Chicago
10:45 | Break
11:00 | Breakout session discussions (continued)
12:45 pm | Lunch
1:45 | J. Rapporteurs' summary of breakout panel results
2:45 | Discussion of results with workshop participants
3:45 | K. Concluding remarks
| Robert Serafin, Chair
4:00pm | End of public workshop

### Notes

1 Dr. Brunt was unable to attend the workshop due to illness.

2 Dr. Brunt was unable to attend the workshop due to illness.

3 Ms. Ryan was unable to attend this session due to inclement weather.

4 Dr. Brunt was unable to attend the workshop due to illness.

5 Mr. Weiss was unable to attend this session due to inclement weather.

6 Mr. Adler was unable to attend this session due to inclement weather.

### WORKSHOP PARTICIPANTS

Allan Adler,
  Association of American Publishers, Inc.

Prue Adler,
  Association of Research Libraries

Shelton Alexander,
  Pennsylvania State University

Dave Applegate
  (affiliation unknown)

Christopher Ashley,
  National Science Foundation

Mary Baish,
  American Association of Law

Jonathan Band,
  Morrison & Foerster, LLP

Winona Barker,
  National Biomedical Research Foundation

Ed Barron,
  Senate Committee on the Judiciary

Barbara Bauldock,
  U.S. Geological Survey

Jon Baumgarten,
  Proskauer Rose, LLP

Dennis Benson,
  National Library of Medicine

R. Stephen Berry,
  University of Chicago

Robert Brammer,
  TASC

Lisa Brooks,
  National Institutes of Health

Francis Buckley, Jr.,
  U.S. Government Printing Office

Mark Burnham,
  California Institute of Technology

Bonnie Carroll,
  Information International Associates, Inc.

William Cohen,
  Federal Trade Commission

Kathy Covert,
  Federal Geographic Data Committee

Karen Dacres,
  National Oceanic and Atmospheric Administration

Judge Edward Damich,
  U.S. Court of Federal Claims

Matthew Davis
  (affiliation unknown)

Deveny Deck,
  Vanderbilt University

Paul DeGiusti,
  Information Industry Association

Q. Todd Dickinson,
  U.S. Patent and Trademark Office

Anita Eisenstadt,
  National Science Foundation

Adam Eisgrau,
  American Library Association

Julie Esanu,
  National Research Council

Bob Etkins,
  National Oceanic and Atmospheric Administration

Eric Fischer,
  Library of Congress

Peter Folger,
  American Geophysical Union

Tim Foresman,
  University of Maryland

Mark Frankel,
  American Association for the Advancement of Science

Kenneth Frazier,
  University of Wisconsin Libraries

David Fulker,
  University Corporation for Atmospheric Research

Carole Ganz-Brown,
  National Science Foundation

Richard Gilbert,
  University of California, Berkeley

Paul Gilman,
  Celera Genomics, Inc.

Barry Glick,
  Consultant

Kenneth Hadeen,
  National Climatic Data Center (retired)

Kelley Heilman,
  Maryland State Department of Health

Stephen Heinig,
  Association of American Medical Colleges

Stephen Heller,
  National Institute of Standards and Technology

Mike Hoffman
  (affiliation unknown)

Justin Hughes,
  U.S. Patent and Trademark Office

Peter Jaszi,
  American University School of Law

Brian Kahin,
  Office of Science and Technology Policy

Richard Kayser,
  National Institute of Standards and Technology

Chris Kelly,
  U.S. Department of Justice

Maureen Kelly,
  BIOSIS

Michael Keplinger,
  U.S. Patent and Trademark Office

Ehsan Khan,
  U.S. Department of Energy

Michael Klipper,
  Meyer & Klipper, PLLC

Makoto Kono,
  Fujitsu, Ltd.

Stephen Koslow,
  National Institute of Mental Health

Patrice Laget,
  Delegation of the European Commission

Richard Lambert,
  National Institutes of Health

Charles Larson,
  Industrial Research Institute, Inc.

Peter Leavitt,
  Consultant

Robert Ledley,
  Georgetown University

Lynn Levine,
  Warren Publishing

David Lide,
  Consultant

Anne Linn,
  National Research Council

Joan Lippincott,
  Coalition for Networked Information

Philip Loftus,
  Glaxo Wellcome

James Lohr,
  Chemical Abstracts Service

Joe Martinez,
  U.S. Department of Energy

Eric Massant,
  Reed Elsevier, Inc.

Stephen Maurer,
  Attorney

Gilles McDougall,
  Industry Canada

Bruce McDowell,
  National Academy of Public Administration

Shelia McGarr
  (affiliation unknown)

Theodore Miles,
  National Science Foundation

John Moeller,
  U.S. Geological Survey

Christopher Mohr,
  Meyer & Klipper, PLLC

Kurt Molholm,
  Defense Technical Information Center

James Neal,
  Johns Hopkins University Library

Judge Pauline Newman,
  U.S. Court of Appeals for the Federal Circuit

Goetz Oertel,
  Association of Universities for Research in Astronomy

Harlan Onsrud,
  University of Maine

James Ostell,
  National Institutes of Health

G. Christian Overton,
  University of Pennsylvania

Bob Palmer,
  U.S. House of Representatives

Harvey Perlman,
  University of Nebraska

Shira Perlmutter,
  U.S. Copyright Office

Marybeth Peters,
  U.S. Copyright Office

Larry Pettinger,
  U.S. Geological Survey

Tony Reichardt,
  Nature

Jerome Reichman,
  Vanderbilt University School of Law

Thomas Rindfleisch,
  Stanford University

Hedy Rossmeissl,
  U.S. Geological Survey

John Rumble,
  National Institute of Standards and Technology

Barbara Ryan,
  U.S. Geological Survey

Carolina Saez,
  U.S. Copyright Office

Roberta Saxon,
  Skjerven, Morrill, MacPherson, Franklin & Friel, LLP

Terri Scanlan,
  National Research Council

Jean Schiro-Zavela,
  National Oceanic and Atmospheric Administration

Harold Schoolman,
  National Library of Medicine

Suzanne Scotchmer,
  University of California, Berkeley

Robert Serafin,
  National Center for Atmospheric Research

Leslie Singer,
  Institute for Scientific Information, Inc.

Mark Smith,
  American Association of University Professors

Mark Stefik,
  Xerox Palo Alto Research Center

Charles Sturrock,
  National Institute of Standards and Technology

Ambassador James Sweeney,
  Consultant

Margaret Thomson,
  U.S. Department of Energy

Paul Uhlir,
  National Research Council

John Vaughn,
  Association of American Universities

Ferris Webster,
  University of Delaware

Peter Weiss,
  Office of Management and Budget

Pamela Whitney,
  National Research Council

Martha Williams,
  University of Illinois at Urbana-Champaign

Myra Williams,
  Molecular Applications Group

James Wilson,
  House Committee on Science

Richard Witmer,
  U.S. Geological Survey

Barbara Wright,
  National Research Council

Susan Zevin,
  National Oceanic and Atmospheric Administration

### Appendix C

## Workshop Proceedings--Listing of Contents

Part I--Workshop Presentations
1 |  | Introductory Remarks
|  | Robert Serafin
2 |  | Keynote Address
|  | Q. Todd Dickinson
3 |  | Characteristics of Scientific and Technical Databases
|  | Geographic Data Panel
|  | Genomic Data Panel
|  | Chemical and Chemical Engineering Data Panel
|  | Meteorological Data Panel
4 |  | Economic Factors in the Production, Dissemination, and Use of Scientific and Technical Databases
|  | Richard Gilbert
5 |  | Overview of Technologies for Protecting and for Misappropriating Digital Intellectual Property Rights: The Current Situation and Future Prospects
|  | Mark Stefik and Teresa Lunt
6 |  | Legal and Policy Issues
|  | Summary Overview of Existing and Proposed Intellectual Property Rights Regimes for Databases, Marybeth Peters
|  | Summary of Federal Government Information Law and Data Policies, Justin Hughes
Part II--Discussion Sessions on the Existing Legal and Technical Situation
7 |  | Government-Sector Data
8 |  | Not-for-Profit-Sector Data
9 |  | Commercial-Sector Data
Part III--Discussion Sessions on the Potential Impacts of Legislation and Assessments of Policy Options
10 |  | A Strong Property Rights Model for Protecting Databases
11 |  | An Unfair Competition Model for Protecting Databases
12 |  | Promoting Access to and Use of Government-Sector Scientific and Technical Data--An Assessment of Legal and Policy Options
13 |  | Promoting Access to and Use of Not-for-Profit-sector Scientific and Technical Data--An Assessment of Legal and Policy Options
14 |  | Final Plenary Discussion
Appendixes
A |  | Biographical Sketches of Study Committee and Workshop Speakers and Panelists
B |  | Workshop Agenda and Participants
C |  | Raw Knowledge: Protecting Technical Databases for Science and Industry, Stephen M. Maurer, Attorney-at-Law
D |  | Acronyms

NOTE: For the full text of the committee's Proceedings, see National Research Council (1999), Proceedings of the Workshop on Promoting Access to Scientific and Technical Data for the Public Interest: An Assessment of Policy Options, National Academy Press, Washington, D.C., available only online at <http://www.nap.edu/>.

### Appendix D

## European Union Directive on the Legal Protection of Databases

DIRECTIVE 96/9/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 March 1996 on the legal protection of databases

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN
UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 57 (2), 66 and 100a thereof,
Having regard to the proposal from the Commission (1),
Having regard to the opinion of the Economic and Social Committee (2),
Acting in accordance with the procedure laid down in Article 189b of the Treaty (3),
(1) Whereas databases are at present not sufficiently protected in all Member States
by existing legislation; whereas such protection, where it exists, has different
attributes;
(2) Whereas such differences in the legal protection of databases offered by the
legislation of the Member States have direct negative effects on the functioning of the
internal market as regards databases and in particular on the freedom of natural and
legal persons to provide on-line database goods and services on the basis of
harmonized legal arrangements throughout the Community; whereas such differences
could well become more pronounced as Member States introduce new legislation in
this field, which is now taking on an increasingly international dimension;
(3) Whereas existing differences distorting the functioning of the internal market need
to be removed and new ones prevented from arising, while differences not adversely
affecting the functioning of the internal market or the development of an information
market within the Community need not be removed or prevented from arising;
(4) Whereas copyright protection for databases exists in varying forms in the
Member States according to legislation or case-law, and whereas, if differences in
legislation in the scope and conditions of protection remain between the Member
States, such unharmonized intellectual property rights can have the effect of
preventing the free movement of goods or services within the Community;
(5) Whereas copyright remains an appropriate form of exclusive right for authors
who have created databases;
(6) Whereas, nevertheless, in the absence of a harmonized system of
unfair-competition legislation or of case-law, other measures are required in addition
to prevent the unauthorized extraction and/or re-utilization of the contents of a
database;
(7) Whereas the making of databases requires the investment of considerable human,
technical and financial resources while such databases can be copied or accessed at
a fraction of the cost needed to design them independently;
(8) Whereas the unauthorized extraction and/or re-utilization of the contents of a
database constitute acts which can have serious economic and technical
consequences;
(9) Whereas databases are a vital tool in the development of an information market
within the Community; whereas this tool will also be of use in many other fields;
(10) Whereas the exponential growth, in the Community and worldwide, in the
amount of information generated and processed annually in all sectors of commerce
and industry calls for investment in all the Member States in advanced information
processing systems;
(11) Whereas there is at present a very great imbalance in the level of investment in
the database sector both as between the Member States and between the
Community and the world's largest database-producing third countries;
(12) Whereas such an investment in modern information storage and processing
systems will not take place within the Community unless a stable and uniform legal
protection regime is introduced for the protection of the rights of makers of
databases;
(13) Whereas this Directive protects collections, sometimes called 'compilations', of
works, data or other materials which are arranged, stored and accessed by means
which include electronic, electromagnetic or electro-optical processes or analogous
processes;
(14) Whereas protection under this Directive should be extended to cover
non-electronic databases;
(15) Whereas the criteria used to determine whether a database should be protected
by copyright should be defined to the fact that the selection or the arrangement of the
contents of the database is the author's own intellectual creation; whereas such
protection should cover the structure of the database;
(16) Whereas no criterion other than originality in the sense of the author's intellectual
creation should be applied to determine the eligibility of the database for copyright
protection, and in particular no aesthetic or qualitative criteria should be applied;
(17) Whereas the term 'database' should be understood to include literary, artistic,
musical or other collections of works or collections of other material such as texts,
sound, images, numbers, facts, and data; whereas it should cover collections of
independent works, data or other materials which are systematically or methodically
arranged and can be individually accessed; whereas this means that a recording or an
audiovisual, cinematographic, literary or musical work as such does not fall within the
scope of this Directive;
(18) Whereas this Directive is without prejudice to the freedom of authors to decide
whether, or in what manner, they will allow their works to be included in a database,
in particular whether or not the authorization given is exclusive; whereas the
protection of databases by the sui generis right is without prejudice to existing rights
over their contents, and whereas in particular where an author or the holder of a
related right permits some of his works or subject matter to be included in a
database pursuant to a non-exclusive agreement, a third party may make use of
those works or subject matter subject to the required consent of the author or of the
holder of the related right without the sui generis right of the maker of the database
being invoked to prevent him doing so, on condition that those works or subject
matter are neither extracted from the database nor re-utilized on the basis thereof;
(19) Whereas, as a rule, the compilation of several recordings of musical
performances on a CD does not come within the scope of this Directive, both
because, as a compilation, it does not meet the conditions for copyright protection
and because it does not represent a substantial enough investment to be eligible
under the sui generis right;
(20) Whereas protection under this Directive may also apply to the materials
necessary for the operation or consultation of certain databases such as thesaurus
and indexation systems;
(21) Whereas the protection provided for in this Directive relates to databases in
which works, data or other materials have been arranged systematically or
methodically; whereas it is not necessary for those materials to have been physically
stored in an organized manner;
(22) Whereas electronic databases within the meaning of this Directive may also
include devices such as CD-ROM and CD-i;
(23) Whereas the term 'database' should not be taken to extend to computer
programs used in the making or operation of a database, which are protected by
Council Directive 91/250/EEC of 14 May 1991 on the legal protection of computer
programs (4);
(24) Whereas the rental and lending of databases in the field of copyright and related
rights are governed exclusively by Council Directive 92/100/EEC of 19 November
1992 on rental right and lending right and on certain rights related to copyright in the
field of intellectual property (5);
(25) Whereas the term of copyright is already governed by Council Directive
93/98/EEC of 29 October 1993 harmonizing the term of protection of copyright and
certain related rights (6);
(26) Whereas works protected by copyright and subject matter protected by related
rights, which are incorporated into a database, remain nevertheless protected by the
respective exclusive rights and may not be incorporated into, or extracted from, the
database without the permission of the rightholder or his successors in title;
(27) Whereas copyright in such works and related rights in subject matter thus
incorporated into a database are in no way affected by the existence of a separate
right in the selection or arrangement of these works and subject matter in a database;
(28) Whereas the moral rights of the natural person who created the database belong
to the author and should be exercised according to the legislation of the Member
States and the provisions of the Berne Convention for the Protection of Literary and
Artistic Works; whereas such moral rights remain outside the scope of this Directive;
(29) Whereas the arrangements applicable to databases created by employees are
left to the discretion of the Member States; whereas, therefore nothing in this
Directive prevents Member States from stipulating in their legislation that where a
database is created by an employee in the execution of his duties or following the
instructions given by his employer, the employer exclusively shall be entitled to
exercise all economic rights in the database so created, unless otherwise provided by
contract;
(30) Whereas the author's exclusive rights should include the right to determine the
way in which his work is exploited and by whom, and in particular to control the
distribution of his work to unauthorized persons;
(31) Whereas the copyright protection of databases includes making databases
available by means other than the distribution of copies;
(32) Whereas Member States are required to ensure that their national provisions
are at least materially equivalent in the case of such acts subject to restrictions as are
provided for by this Directive;
(33) Whereas the question of exhaustion of the right of distribution does not arise in
the case of on-line databases, which come within the field of provision of services;
whereas this also applies with regard to a material copy of such a database made by
the user of such a service with the consent of the rightholder; whereas, unlike
CD-ROM or CD-i, where the intellectual property is incorporated in a material
medium, namely an item of goods, every on-line service is in fact an act which will
have to be subject to authorization where the copyright so provides;
(34) Whereas, nevertheless, once the rightholder has chosen to make available a
copy of the database to a user, whether by an on-line service or by other means of
distribution, that lawful user must be able to access and use the database for the
purposes and in the way set out in the agreement with the rightholder, even if such
access and use necessitate performance of otherwise restricted acts;
(35) Whereas a list should be drawn up of exceptions to restricted acts, taking into
account the fact that copyright as covered by this Directive applies only to the
selection or arrangements of the contents of a database; whereas Member States
should be given the option of providing for such exceptions in certain cases; whereas,
however, this option should be exercised in accordance with the Berne Convention
and to the extent that the exceptions relate to the structure of the database; whereas
a distinction should be drawn between exceptions for private use and exceptions for
reproduction for private purposes, which concerns provisions under national
legislation of some Member States on levies on blank media or recording equipment;
(36) Whereas the term 'scientific research' within the meaning of this Directive
covers both the natural sciences and the human sciences;
(37) Whereas Article 10 (1) of the Berne Convention is not affected by this
Directive;
(38) Whereas the increasing use of digital recording technology exposes the
database maker to the risk that the contents of his database may be copied and
rearranged electronically, without his authorization, to produce a database of
identical content which, however, does not infringe any copyright in the arrangement
of his database;
(39) Whereas, in addition to aiming to protect the copyright in the original selection
or arrangement of the contents of a database, this Directive seeks to safeguard the
position of makers of databases against misappropriation of the results of the
financial and professional investment made in obtaining and collection [sic] the contents
by protecting the whole or substantial parts of a database against certain acts by a user
or competitor;
(40) Whereas the object of this sui generis right is to ensure protection of any
investment in obtaining, verifying or presenting the contents of a database for the
limited duration of the right; whereas such investment may consist in the deployment
of financial resources and/or the expending of time, effort and energy;
(41) Whereas the objective of the sui generis right is to give the maker of a database
the option of preventing the unauthorized extraction and/or re-utilization of all or a
substantial part of the contents of that database; whereas the maker of a database is
the person who takes the initiative and the risk of investing; whereas this excludes
subcontractors in particular from the definition of maker;
(42) Whereas the special right to prevent unauthorized extraction and/or re-utilization
relates to acts by the user which go beyond his legitimate rights and thereby harm the
investment; whereas the right to prohibit extraction and/or re-utilization of all or a
substantial part of the contents relates not only to the manufacture of a parasitical
competing product but also to any user who, through his acts, causes significant
detriment, evaluated qualitatively or quantitatively, to the investment;
(43) Whereas, in the case of on-line transmission, the right to prohibit re-utilization is
not exhausted either as regards the database or as regards a material copy of the
database or of part thereof made by the addressee of the transmission with the
consent of the rightholder;
(44) Whereas, when on-screen display of the contents of a database necessitates the
permanent or temporary transfer of all or a substantial part of such contents to
another medium, that act should be subject to authorization by the rightholder;
(45) Whereas the right to prevent unauthorized extraction and/or re-utilization does
not in any way constitute an extension of copyright protection to mere facts or data;
(46) Whereas the existence of a right to prevent the unauthorized extraction and/or
re-utilization of the whole or a substantial part of works, data or materials from a
database should not give rise to the creation of a new right in the works, data or
materials themselves;
(47) Whereas, in the interests of competition between suppliers of information
products and services, protection by the sui generis right must not be afforded in
such a way as to facilitate abuses of a dominant position, in particular as regards the
creation and distribution of new products and services which have an intellectual,
documentary, technical, economic or commercial added value; whereas, therefore,
the provisions of this Directive are without prejudice to the application of Community
or national competition rules;
(48) Whereas the objective of this Directive, which is to afford an appropriate and
uniform level of protection of databases as a means to secure the remuneration of the
maker of the database, is different from the aim of Directive 95/46/EC of the
European Parliament and of the Council of 24 October 1995 on the protection of
individuals with regard to the processing of personal data and on the free movement
of such data (7), which is to guarantee free circulation of personal data on the basis
of harmonized rules designed to protect fundamental rights, notably the right to
privacy which is recognized in Article 8 of the European Convention for the
Protection of Human Rights and Fundamental Freedoms; whereas the provisions of
this Directive are without prejudice to data protection legislation;
(49) Whereas, notwithstanding the right to prevent extraction and/or re-utilization of
all or a substantial part of a database, it should be laid down that the maker of a
database or rightholder may not prevent a lawful user of the database from extracting
and re-utilizing insubstantial parts; whereas, however, that user may not unreasonably
prejudice either the legitimate interests of the holder of the sui generis right or the
holder of copyright or a related right in respect of the works or subject matter
contained in the database;
(50) Whereas the Member States should be given the option of providing for
exceptions to the right to prevent the unauthorized extraction and/or re-utilization of a
substantial part of the contents of a database in the case of extraction for private
purposes, for the purposes of illustration for teaching or scientific research, or where
extraction and/or re-utilization are/is carried out in the interests of public security or
for the purposes of an administrative or judicial procedure; whereas such operations
must not prejudice the exclusive rights of the maker to exploit the database and their
purpose must not be commercial;
(51) Whereas the Member States, where they avail themselves of the option to
permit a lawful user of a database to extract a substantial part of the contents for the
purposes of illustration for teaching or scientific research, may limit that permission to
certain categories of teaching or scientific research institution;
(52) Whereas those Member States which have specific rules providing for a right
comparable to the sui generis right provided for in this Directive should be permitted
to retain, as far as the new right is concerned, the exceptions traditionally specified
by such rules;
(53) Whereas the burden of proof regarding the date of completion of the making of
a database lies with the maker of the database;
(54) Whereas the burden of proof that the criteria exist for concluding that a
substantial modification of the contents of a database is to be regarded as a
substantial new investment lies with the maker of the database resulting from such
investment;
(55) Whereas a substantial new investment involving a new term of protection may
include a substantial verification of the contents of the database;
(56) Whereas the right to prevent unauthorized extraction and/or re-utilization in
respect of a database should apply to databases whose makers are nationals or
habitual residents of third countries or to those produced by legal persons not
established in a Member State, within the meaning of the Treaty, only if such third
countries offer comparable protection to databases produced by nationals of a
Member State or persons who have their habitual residence in the territory of the
Community;
(57) Whereas, in addition to remedies provided under the legislation of the Member
States for infringements of copyright or other rights, Member States should provide
for appropriate remedies against unauthorized extraction and/or re-utilization of the
contents of a database;
(58) Whereas, in addition to the protection given under this Directive to the structure
of the database by copyright, and to its contents against unauthorized extraction
and/or re-utilization under the sui generis right, other legal provisions in the Member
States relevant to the supply of database goods and services continue to apply;
(59) Whereas this Directive is without prejudice to the application to databases
composed of audiovisual works of any rules recognized by a Member State's
legislation concerning the broadcasting of audiovisual programmes;
(60) Whereas some Member States currently protect under copyright arrangements
databases which do not meet the criteria for eligibility for copyright protection laid
down in this Directive; whereas, even if the databases concerned are eligible for
protection under the right laid down in this Directive to prevent unauthorized
extraction and/or re-utilization of their contents, the term of protection under that
right is considerably shorter than that which they enjoy under the national
arrangements currently in force; whereas harmonization of the criteria for determining
whether a database is to be protected by copyright may not have the effect of
reducing the term of protection currently enjoyed by the rightholders concerned;
whereas a derogation should be laid down to that effect; whereas the effects of such
derogation must be confined to the territories of the Member States concerned,
HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

SCOPE

Article 1

Scope
1. This Directive concerns the legal protection of databases in any form.
2. For the purposes of this Directive, 'database' shall mean a collection of
independent works, data or other materials arranged in a systematic or methodical
way and individually accessible by electronic or other means.
3. Protection under this Directive shall not apply to computer programs used in the
making or operation of databases accessible by electronic means.

Article 2

Limitations on the scope
This Directive shall apply without prejudice to Community provisions relating to:
(a) the legal protection of computer programs;
(b) rental right, lending right and certain rights related to copyright in the field of
intellectual property;
(c) the term of protection of copyright and certain related rights.

CHAPTER II

COPYRIGHT

Article 3

Object of protection
1. In accordance with this Directive, databases which, by reason of the selection or
arrangement of their contents, constitute the author's own intellectual creation shall be
protected as such by copyright. No other criteria shall be applied to determine their
eligibility for that protection.
2. The copyright protection of databases provided for by this Directive shall not
extend to their contents and shall be without prejudice to any rights subsisting in
those contents themselves.

Article 4

Database authorship
1. The author of a database shall be the natural person or group of natural persons
who created the base or, where the legislation of the Member States so permits, the
legal person designated as the rightholder by that legislation.
2. Where collective works are recognized by the legislation of a Member State, the
economic rights shall be owned by the person holding the copyright.
3. In respect of a database created by a group of natural persons jointly, the
exclusive rights shall be owned jointly.

Article 5

Restricted acts
In respect of the expression of the database which is protectable by copyright, the
author of a database shall have the exclusive right to carry out or to authorize:
(a) temporary or permanent reproduction by any means and in any form, in whole or
in part;
(b) translation, adaptation, arrangement and any other alteration;
(c) any form of distribution to the public of the database or of copies thereof. The
first sale in the Community of a copy of the database by the rightholder or with his
consent shall exhaust the right to control resale of that copy within the Community;
(d) any communication, display or performance to the public;
(e) any reproduction, distribution, communication, display or performance to the
public of the results of the acts referred to in (b).

Article 6

Exceptions to restricted acts
1. The performance by the lawful user of a database or of a copy thereof of any of
the acts listed in Article 5 which is necessary for the purposes of access to the
contents of the databases and normal use of the contents by the lawful user shall not
require the authorization of the author of the database. Where the lawful user is
authorized to use only part of the database, this provision shall apply only to that
part.
2. Member States shall have the option of providing for limitations on the rights set
out in Article 5 in the following cases:
(a) in the case of reproduction for private purposes of a non-electronic database;
(b) where there is use for the sole purpose of illustration for teaching or scientific
research, as long as the source is indicated and to the extent justified by the
non-commercial purpose to be achieved;
(c) where there is use for the purposes of public security of [sic] for the purposes of an
administrative or judicial procedure;
(d) where other exceptions to copyright which are traditionally authorized under
national law are involved, without prejudice to points (a), (b) and (c).
3. In accordance with the Berne Convention for the protection of Literary and
Artistic Works, this Article may not be interpreted in such a way as to allow its
application to be used in a manner which unreasonably prejudices the rightholder's
legitimate interests or conflicts with normal exploitation of the database.

CHAPTER III

SUI GENERIS RIGHT

Article 7

Object of protection
1. Member States shall provide for a right for the maker of a database which shows
that there has been qualitatively and/or quantitatively a substantial investment in either
the obtaining, verification or presentation of the contents to prevent extraction and/or
re-utilization of the whole or of a substantial part, evaluated qualitatively and/or
quantitatively, of the contents of that database.
2. For the purposes of this Chapter:
(a) 'extraction' shall mean the permanent or temporary transfer of all or a substantial
part of the contents of a database to another medium by any means or in any form;
(b) 're-utilization' shall mean any form of making available to the public all or a
substantial part of the contents of a database by the distribution of copies, by renting,
by on-line or other forms of transmission. The first sale of a copy of a database
within the Community by the rightholder or with his consent shall exhaust the right to
control resale of that copy within the Community;
Public lending is not an act of extraction or re-utilization.
3. The right referred to in paragraph 1 may be transferred, assigned or granted under
contractual licence.
4. The right provided for in paragraph 1 shall apply irrespective of the eligibility of
that database for protection by copyright or by other rights. Moreover, it shall apply
irrespective of eligibility of the contents of that database for protection by copyright
or by other rights. Protection of databases under the right provided for in paragraph
1 shall be without prejudice to rights existing in respect of their contents.
5. The repeated and systematic extraction and/or re-utilization of insubstantial parts
of the contents of the database implying acts which conflict with a normal exploitation
of that database or which unreasonably prejudice the legitimate interests of the maker
of the database shall not be permitted.

Article 8

Rights and obligations of lawful users
1. The maker of a database which is made available to the public in whatever manner
may not prevent a lawful user of the database from extracting and/or re-utilizing
insubstantial parts of its contents, evaluated qualitatively and/or quantitatively, for any
purposes whatsoever. Where the lawful user is authorized to extract and/or re-utilize
only part of the database, this paragraph shall apply only to that part.
2. A lawful user of a database which is made available to the public in whatever
manner may not perform acts which conflict with normal exploitation of the database
or unreasonably prejudice the legitimate interests of the maker of the database.
3. A lawful user of a database which is made available to the public in any manner
may not cause prejudice to the holder of a copyright or related right in respect of the
works or subject matter contained in the database.

Article 9

Exceptions to the sui generis right
Member States may stipulate that lawful users of a database which is made available
to the public in whatever manner may, without the authorization of its maker, extract
or re-utilize a substantial part of its contents:
(a) in the case of extraction for private purposes of the contents of a non-electronic
database;
(b) in the case of extraction for the purposes of illustration for teaching or scientific
research, as long as the source is indicated and to the extent justified by the
non-commercial purpose to be achieved;
(c) in the case of extraction and/or re-utilization for the purposes of public security or
an administrative or judicial procedure.

Article 10

Term of protection
1. The right provided for in Article 7 shall run from the date of completion of the
making of the database. It shall expire fifteen years from the first of January of the
year following the date of completion.
2. In the case of a database which is made available to the public in whatever manner
before expiry of the period provided for in paragraph 1, the term of protection by
that right shall expire fifteen years from the first of January of the year following the
date when the database was first made available to the public.
3. Any substantial change, evaluated qualitatively or quantitatively, to the contents of
a database, including any substantial change resulting from the accumulation of
successive additions, deletions or alterations, which would result in the database
being considered to be a substantial new investment, evaluated qualitatively or
quantitatively, shall qualify the database resulting from that investment for its own
term of protection.

Article 11

Beneficiaries of protection under the sui generis right
1. The right provided for in Article 7 shall apply to database [sic] whose makers or
rightholders are nationals of a Member State or who have their habitual residence in
the territory of the Community.
2. Paragraph 1 shall also apply to companies and firms formed in accordance with
the law of a Member State and having their registered office, central administration
or principal place of business within the Community; however, where such a
company or firm has only its registered office in the territory of the Community, its
operations must be genuinely linked on an ongoing basis with the economy of a
Member State.
3. Agreements extending the right provided for in Article 7 to databases made in
third countries and falling outside the provisions of paragraphs 1 and 2 shall be
concluded by the Council acting on a proposal from the Commission. The term of
any protection extended to databases by virtue of that procedure shall not exceed
that available pursuant to Article 10.

CHAPTER IV

COMMON PROVISIONS

Article 12

Remedies
Member States shall provide appropriate remedies in respect of infringements of the
rights provided for in this Directive.

Article 13

Continued application of other legal provisions
This Directive shall be without prejudice to provisions concerning in particular
copyright, rights related to copyright or any other rights or obligations subsisting in
the data, works or other materials incorporated into a database, patent rights, trade
marks, design rights, the protection of national treasures, laws on restrictive practices
and unfair competition, trade secrets, security, confidentiality, data protection and
privacy, access to public documents, and the law of contract.

Article 14

Application over time
1. Protection pursuant to this Directive as regards copyright shall also be available in
respect of databases created prior to the date referred to Article 16 (1) which on
that date fulfil the requirements laid down in this Directive as regards copyright
protection of databases.
2. Notwithstanding paragraph 1, where a database protected under copyright
arrangements in a Member State on the date of publication of this Directive does not
fulfil the eligibility criteria for copyright protection laid down in Article 3 (1), this
Directive shall not result in any curtailing in that Member State of the remaining term
of protection afforded under those arrangements.
3. Protection pursuant to the provisions of this Directive as regards the right provided
for in Article 7 shall also be available in respect of databases the making of which
was completed not more than fifteen years prior to the date referred to in Article 16
(1) and which on that date fulfil the requirements laid down in Article 7.
4. The protection provided for in paragraphs 1 and 3 shall be without prejudice to
any acts concluded and rights acquired before the date referred to in those
paragraphs.
5. In the case of a database the making of which was completed not more than
fifteen years prior to the date referred to in Article 16 (1), the term of protection by
the right provided for in Article 7 shall expire fifteen years from the first of January
following that date.

Article 15

Binding nature of certain provisions
Any contractual provision contrary to Articles 6 (1) and 8 shall be null and void.

Article 16

Final provisions
1. Member States shall bring into force the laws, regulations and administrative
provisions necessary to comply with this Directive before 1 January 1998.
When Member States adopt these provisions, they shall contain a reference to this
Directive or shall be accompanied by such reference on the occasion of their official
publication. The methods of making such reference shall be laid down by Member
States.
2. Member States shall communicate to the Commission the text of the provisions of
domestic law which they adopt in the field governed by this Directive.
3. Not later than at the end of the third year after the date referred to in paragraph 1,
and every three years thereafter, the Commission shall submit to the European
Parliament, the Council and the Economic and Social Committee a report on the
application of this Directive, in which, inter alia, on the basis of specific information
supplied by the Member States, it shall examine in particular the application of the sui
generis right, including Articles 8 and 9, and shall verify especially whether the
application of this right has led to abuse of a dominant position or other interference
with free competition which would justify appropriate measures being taken,
including the establishment of non-voluntary licensing arrangements. Where
necessary, it shall submit proposals for adjustment of this Directive in line with
developments in the area of databases.

Article 17
This Directive is addressed to the Member States.

Done at Strasbourg, 11 March 1996.
For the European Parliament
The President
K. H�NSCH
For the Council
The President
L. DINI

(1) OJ No C 156, 23. 6. 1992, p. 4 and
OJ No C 308, 15. 11. 1993, p. 1.
(2) OJ No C 19, 25. 1. 1993, p. 3.
(3) Opinion of the European Parliament of 23 June 1993 (OJ No C 194, 19. 7.
1993, p. 144), Common Position of the Council of 10 July 1995 (OJ No C 288, 30.
10. 1995, p. 14), Decision of the European Parliament of 14 December 1995 (OJ
No C 17, 22 1. 1996) and Council Decision of 26 February 1996.
(4) OJ No L 122, 17. 5. 1991, p. 42. Directive as last amended by Directive
93/98/EEC (OJ No L 290, 24. 11. 1993, p. 9.)
(5) OJ No L 346, 27. 11. 1992, p. 61.
(6) OJ No L 290, 24. 11. 1993, p. 9.
(7) OJ No L 281, 23. 11. 1995, p. 31.

NOTE: An official version of this document can be found online at the EUR-LEX Web site at
<http://europa.eu.int/eur-lex/en/lif/dat/1996/en_396L0009.html>.

The material presented in this appendix has been reprinted from electronic files available on the Internet and is intended for use as a general reference, and not for legal research or other work requiring authenticated primary sources.

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