e-publishing and digital libraries: legal and organizational issues

E-Publishing and Digital Libraries: Legal and Organizational Issues

Ioannis IglezakisAristotle University of Thessaloniki, Greece

Tatiana-Eleni SynodinouUniversity of Cyprus, Cyprus

Sarantos KapidakisIonian University, Greece

Hershey New YorkInformatIon scIence reference

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Library of Congress Cataloging-in-Publication Data

E-publishing and digital libraries : legal and organizational issues / Ioannis Iglezakis, Tatiana-Eleni Synodinou, and Sarantos Kapidakis, editors. p. cm. Includes bibliographical references and index. Summary: "In this book, a comprehensive review of various legal issues concerning digital libraries is presented"--Provided by publisher. ISBN 978-1-60960-031-0 -- ISBN 978-1-60960-033-4 (ebook) 1. Digital libraries. 2. Libraries and electronic publishing. 3. Copyright--Electronic information resources. 4. Digital preservation. I. Synodinou, Tatiana-Helene. II. Kapidakis, Sarantos. III. Iglezakis, Ioannis, 1965- ZA4080.E19 2011 025.00285--dc22 2010017210

British Cataloguing in Publication DataA Cataloguing in Publication record for this book is available from the British Library.

All work contributed to this book is new, previously-unpublished material. The views expressed in this book are those of the authors, but not necessarily of the publisher.

Editorial Advisory BoardHeiki Pisuke, University of Tartu, Estonia & Council of the European UnionFernando Galindo, University of Zaragoza, SpainLilian Mitrou, University of Aegean, GreeceMaria Bottis, Ionian University, GreeceNikolaos Intzessiloglou, Aristotle University of Thessaloniki, Greece

List of ReviewersIoannis Iglezakis, Aristotle University of Thessaloniki, GreeceSarantos Kapidakis, Ionian University, GreeceTatiana Synodinou, University of Cyprus, Cyprus

Preface ..............................................................................................................................................xviii

Acknowledgment ..............................................................................................................................xxiii

Part AOrganizational Issues

Chapter 1History, Evolution, and Impact of Digital Libraries ............................................................................... 1

Leonardo Candela, Consiglio Nazionale delle Ricerche, ItalyDonatella Castelli, Consiglio Nazionale delle Ricerche, ItalyPasquale Pagano, Consiglio Nazionale delle Ricerche, Italy

Chapter 2Interoperability in Digital Libraries ...................................................................................................... 31

Hussein Suleman, University of Cape Town, South Africa

Chapter 3Quality and Interoperability: The Quest for the Optimal Balance ........................................................ 48

Nicola Ferro, University of Padua, Italy

Chapter 4Collaboration through Digital Libraries ................................................................................................ 69

Andrs Micsik, MTA SZTAKI DSD, Hungary

Chapter 5Encoding Models for Scholarly Literature: Does the TEI Have a Word to Say? ................................. 88

Martin Holmes, University of Victoria, CanadaLaurent Romary, INRIA-Gemo & Humboldt Universitt Berlin, Germany

Table of Contents

Chapter 6Music Libraries: How Users Interact with Music Stores and Repositories ........................................ 111

Dimitrios Margounakis, Aristotle University of Thessaloniki, GreeceDionysios Politis, Aristotle University of Thessaloniki, Greece

Chapter 7E-Books in Digital Libraries ............................................................................................................... 131

Monica Landoni, University of Lugano, Switzerland

Chapter 8Emerging Challenges of the Digital Information ................................................................................ 141

Sarantos Kapidakis, Ionian University, Greece

Part BLegal Issues of Digital Libraries

Section 1Digital Libraries and Copyright Law

Chapter 9Digital Libraries and Copyright Issues: Digitization of Contents and the Economic Rights of the Authors .......................................................................................................................... 159

Agns Lucas-Schloetter, Ludwig-Maximilian University, Germany

Chapter 10The Digitization of Contents in Digital Libraries: Moral Right and Limits ....................................... 180

Anthoula Papadopoulou, Aristotle University of Thessaloniki, Greece

Chapter 11The Issue of Orphan Works in Digital Libraries .............................................................................. 198

Maria-Daphne Papadopoulou, Hellenic Copyright Organization, Greece

Chapter 12The Protection of Digital Libraries as Databases: An Ideal Choice or a Paradox? ............................ 232

Tatiana-Eleni Synodinou, University of Cyprus, Cyprus

Chapter 13Copyright and Digital Libraries: Securing Access to Information in the Digital Age ........................ 257

Christophe Geiger, University of Strasbourg, France

Chapter 14Digital Libraries and Web Linking ..................................................................................................... 273

Maria G. Sinanidou, Hellenic Copyright Organization, Greece

Chapter 15Intellectual Property Issues for Digital Libraries at the Intersection of Law, Technology, and the Public Interest ......................................................................................................................... 294

Dionysia Kallinikou, National & Kapodistrian University of Athens, GreeceMarinos Papadopoulos, Athens Bar Association, Greece & Legal Lead Creative Commons, GreeceAlexandra Kaponi, Athens Bar Association, GreeceVassiliki Strakantouna, National & Kapodistrian University of Athens, Greece

Chapter 16Open Content in Libraries: Contractual Issues ................................................................................... 342

Galateia Kapellakou, Bar Office of Athens, GreeceMarina Markellou, Bar Office of Corinth, GreeceEvangelia Vagena, Hellenic Copyright Organization, Greece

Section 2Traditional Media in Digital Libraries

Chapter 17Newspapers and Digital Libraries ....................................................................................................... 363

Nadia Kyprouli, Athens Bar Association, Greece

Chapter 18The Audiovisual Works as Digital Library Content: Storage and Exploitation .................................. 382

Charis Tsigou, Greek Audiovisual Council, Greece

Section 3Management of the Digital Library: IP Management and Other Legal Issues

Chapter 19Personal Data Protection in Digital Libraries ..................................................................................... 413

Ioannis Iglezakis, Aristotle University of Thessaloniki, Greece

Chapter 20Liability of Hosting Provider with Regard to Open Libraries ............................................................ 430

Thanos K. Tsingos, Athens Bar Association, Greece

Chapter 21Copyright Infringement of Digital Libraries and Private International Law: Jurisdiction Issues ...... 447

Nikitas Hatzimihail, University of Cyprus, Cyprus

Section 4Cultural Aspects

Chapter 22Preservation of Cultural and Scientific Heritage by Means of Digital Libraries ................................ 462

Stylianos Korres, Athens Bar Association, GreeceEva Kokotsaki, Athens Bar Association, Greece

Compilation of References .............................................................................................................. 482

About the Contributors ................................................................................................................... 513

Index ................................................................................................................................................... 522

Preface ..............................................................................................................................................xviii

Acknowledgment ..............................................................................................................................xxiii


Chapter 1History, Evolution, and Impact of Digital Libraries ............................................................................... 1

Leonardo Candela, Consiglio Nazionale delle Ricerche, ItalyDonatella Castelli, Consiglio Nazionale delle Ricerche, ItalyPasquale Pagano, Consiglio Nazionale delle Ricerche, Italy

Digital Libraries have achieved a fundamental role in our knowledge society. By making the wealth of material contained in libraries, museum, archives and any knowledge repository worldwide available they are giving citizens in every place of the world the opportunity to appreciate their global cultural heritage and use it for study, work or leisure. They are revolutionising the whole knowledge manage-ment lifecycle. In this chapter, the history characterizing these knowledge enabling technologies is described. The history starts from the early attempts toward systems supporting knowledge discovery and reaches the current age in which a plethora of different realizations of digital library systems co-exist. The evolutionary process conducting to the current, multi-instanced and still evolving status of affairs as well as the motivations governing it are identified and presented. The main initiatives and milestones producing the nowadays instances of these knowledge enabling systems are mentioned. Finally, the impact these systems had and are having on various aspects of our society is discussed.

Chapter 2Interoperability in Digital Libraries ...................................................................................................... 31

Hussein Suleman, University of Cape Town, South Africa

This chapter present the principles and practices of interoperability the ability of systems to work together as it pertains to digital libraries. While there is no well-defined theoretical basis for in-teroperability, it has gradually emerged as a major aspect in the creation of digital library systems,

Detailed Table of Contents

particularly in modern digital repositories such as those adopted by the Open Access movement. The need for standardisation is a key element of interoperability, and is considered in tandem with the more technical elements. Principles of interoperability have emerged through experimentation and any future attempts to infuse interoperability into a system should build on these principles, such as simplicity and orthogonality. In practice, experiments with system and protocols have demonstrated what works and what does not and where there is a need for additional interventions, such as the successful OAI-PMH and RSS standards. The key interoperability technologies currently in use in digital library systems are introduced and contextualised in terms of their applicability and motivations. In this discussion, the line between digital library standards and Web standards is intentionally fuzzy because of the increasingly symbiotic relationship between these communities.

Chapter 3Quality and Interoperability: The Quest for the Optimal Balance ........................................................ 48

Nicola Ferro, University of Padua, Italy

This chapter deals with the problem of defining and assessing the quality of a digital library. The chap-ter will provide a brief excursus on the evolution of digital libraries and their current complexity to make it clear that there is a strong need for systematic and exhaustive models which precisely define what digital libraries are and encompass a model for the quality of digital libraries. In this context, we will present an overview of the DELOS Reference Model for digital libraries and we will go into details about how quality has been modelled in it. We will also compare this model to another formal model for digital libraries, which is the Stream, Structures, Spaces, Scenarios, Societies (5S) model. The discus-sion addressed in the chapter will not be limited to quality issues but will show how quality impact on various dimensions of the digital library universe. In particular, we will discuss how quality relates to interoperability. To this end, we will describe the conceptual model for interoperability developed in support to the European Digital Library initiative and we will highlight its relationships with the quality domain in the DELOS Reference Model. Finally, we will outlook some future directions that may be pursued to improve and automate the assessment and evaluation of quality in digital libraries.

Chapter 4Collaboration through Digital Libraries ................................................................................................ 69

Andrs Micsik, MTA SZTAKI DSD, Hungary

This chapter addresses the collaborative aspects of digital libraries as a special case of Computer Sup-ported Collaborative Work (CSCW). Libraries always had social and cultural roles, and worked as a dedicated place for learning, research and sometimes also for opinion exchange and debates. The Inter-net era gave birth to digital libraries which can also represent a whole range of collaborative functions. The suitable collaborative functions are different for young students, general public or scientists and also different in the view of the users goals, such as finding content, finding answers or creating new content. The collaborative aspects of these library functions are described here in details with typical examples. Despite of these examples, many librarians think that digital libraries failed to ride the waves of emerging web technologies, and current digital libraries cannot serve general information needs well enough, so they are not among the first sources of information and collaboration support any more. An important moment in the evolution of DL systems was the appearance of Web 2.0 technology and

social computing. The Web 2.0 brought not only fancier user interfaces, but enriched functionality for building communities and collaborating extensively through the Web. Library 2.0 was the late response of the librarian community for social sites, since Library 2.0 is user-centered, with focus on rich social interactions through multi-media content. Moreover, for many, Library 2.0 is not about technology, but about a new philosophy of constant evaluation and innovation with the help of library users. In fact, Library 2.0 allows the users to change the library in many ways. The challenges for libraries within the Web 2.0 era are summarized here, along with the research issues waiting to be solved, as we think that the prospects of collaborative functionalities are far reaching and they could become a key motivation for using digital libraries.

Chapter 5Encoding Models for Scholarly Literature: Does the TEI Have a Word to Say? ................................. 88

Martin Holmes, University of Victoria, CanadaLaurent Romary, INRIA-Gemo & Humboldt Universitt Berlin, Germany

In this chapter, we examine the issue of digital formats for document encoding, archiving and pub-lishing, through the specific example of born-digital scholarly journal articles. This small area of electronic publishing represents a microcosm of the state of the art, and provides a good basis for this discussion. We will begin by looking at the traditional workflow of journal editing and publication, and how these practices have made the transition into the online domain. We will examine the range of dif-ferent file formats in which electronic articles are currently stored and published. We will argue strongly that, despite the prevalence of binary and proprietary formats such as PDF and MS Word, XML is a far superior encoding choice for journal articles. Next, we look at the range of XML document structures (DTDs, Schemas) which are in common use for encoding journal articles, and consider some of their strengths and weaknesses. We will suggest that, despite the existence of specialized schemas intended specifically for journal articles (such as NLM), and more broadly-used publication-oriented schemas such as DocBook, there are strong arguments in favour of developing a subset or customization of the Text Encoding Initiative (TEI) schema for the purpose of journal-article encoding; TEI is already in use in a number of journal publication projects, and the scale and precision of the TEI tagset makes it par-ticularly appropriate for encoding scholarly articles. We will outline the document structure of a TEI-encoded journal article, and look in detail at suggested markup patterns for specific features of journal articles. Next, we will look briefly at how XML-based publication systems work, and what advantages they bring over electronic publication methods based on other digital formats.

Chapter 6Music Libraries: How Users Interact with Music Stores and Repositories ........................................ 111

Dimitrios Margounakis, Aristotle University of Thessaloniki, GreeceDionysios Politis, Aristotle University of Thessaloniki, Greece

Nowadays, there is a great increase in music distribution over the Internet. This phenomenon is com-mon in many countries and therefore involves many issues such as: ways of distribution, music format, organizing music and copyright issues. The revolution in music prototypes (especially the MP3 music

format) urged many people to turn to the Internet for free and easy-to-find music. Music files can be downloaded easily from the Internet anywhere in the world and be burned into a CD or DVD or trans-ferred to a friend via usb-sticks. Music is also widely available as streams in Internet trough various services such as MySpace, YouTube and Spotify. Internet also is full of questions what is legal and what is not, because exchange of files is hard to supervise and the laws between countries also differ. All the legal services are constructed around a digital music library, containing millions of songs. Vast music libraries are easily accessed through Internet from users and serve as the ultimate way to find and listen to the music they desire. In this chapter, some representative popular music libraries are presented. Moreover, the interaction between the user and a music repository or a music store (a web site that sells music over the Internet) is another subject presented in this chapter. In section 1, terms and definitions related to digital music libraries are explained. Section 2 presents some popular music libraries, while section 3 presents some popular Internet music stores. Finally, a special version of a digital music li-brary in streaming format (Internet Radio) is presented in section 4.

Chapter 7E-Books in Digital Libraries ............................................................................................................... 131

Monica Landoni, University of Lugano, Switzerland

This chapter will introduce a definition and an analysis of user needs when reading electronic books. The way users interact with e-books is explored in a section on e-reading with an overview of different types of readings and their implications on design. Finally the description of an evaluation initiative aimed at studying e-book usability in context, the Active Reading Track in INEX is provided. Specific attention will be paid to the role e-books play in academia and the studies that look into visibility, popu-larity and accessibility of electronic titles with students and scholars.

Chapter 8Emerging Challenges of the Digital Information ................................................................................ 141

Sarantos Kapidakis, Ionian University, Greece

The digital era has brought a change to the information world. Digital information is collected in re-positories, is described with metadata and is disseminated through digital libraries. But many issues are in debate, even what in fact constitutes a digital object, how to create, store and handle complex digital objects and how to preserve the digital information in the long run. Digital objects are used more exten-sively than traditional ones, which affect their cost and pricing. The enforcing of the copyright is more imperative, while at the same time copies have to be created for technical reasons alone. It is difficult to distinguish and prevent unauthorized copying and plagiarism, there are many more parties that may be responsible for bad use and the fair use appears in different ways. There are unusually many orphan works and many digital objects have unclear terms of usage or are often offered under open access, such as Creative Commons licenses. Libraries have a new role in this context, which involves using, creating and sharing digital libraries.

Part BLegal Issues of Digital Libraries

Section 1Digital Libraries and Copyright Law

Chapter 9Digital Libraries and Copyright Issues: Digitization of Contents and the Economic Rights of the Authors .......................................................................................................................... 159

Agns Lucas-Schloetter, Ludwig-Maximilian University, Germany

While cultural institutions such as libraries, museums and archives wish to digitize their collections for preservation purposes and make the worlds cultural heritage available to the public, private enti-ties are launching projects to provide access to digitized contents through Internet search engines. This may, however, raise copyright issues, particularly in case of opt-out programs such as Googles Book Search, where rights holders have to specifically request that their copyrighted works be excluded from the project. This chapter highlights the legal challenges involved in the digitization of works from li-braries collections and the subsequent use of the digital files.

Chapter 10The Digitization of Contents in Digital Libraries: Moral Right and Limits ....................................... 180

Anthoula Papadopoulou, Aristotle University of Thessaloniki, Greece

This chapter deals with the challenges faced by moral rights in the digital environment, especially as they pertain to digital libraries. It starts with an introduction to issues concerning the legal framework of moral rights, clarifying their position internationally. Furthermore, specific issues regarding infringe-ments of moral rights are addressed, namely: content digitization, practice of linking, alterations of the work during the digitization process etc. In short, the necessity of the digitization of the librarys content is elucidated and the societal demand of easy and cheap access to knowledge is presented. The author is of the opinion that moral rights, arising out of the conflict of economical interests, are easier to maintain their legal intensity. Furthermore, in the modern information society, moral rights are prone to an inter-disciplinary approach and thus, they gain intensity in the balance of interest between authors and users. More specifically, moral rights have an intricate interrelationship with social, cultural, eco-nomic and philosophical aspects as well as with Fundamental and Human Rights.

Chapter 11The Issue of Orphan Works in Digital Libraries .............................................................................. 198

Maria-Daphne Papadopoulou, Hellenic Copyright Organization, Greece

A new category of works creates a number of problems in the world of digital libraries, and not only, and that is, the orphan works. Those works of an unknown -or untraceable- author create an uncer-tainty to the perspective users, who, although they need to use the works and they are willing to obtain a license, they are unable to do so, since they do not know from where to ask it. This chapter will analyze the orphan works issue of the digital libraries perspective. It will explore not only the controversial

term of orphan works, but most importantly the controversial situation that the orphan works has created. Part one will explain the notion of orphan works. Part two will explore why, how and when they entered into the modern copyright world. Part three will look through the problems that originate from orphan works: economic, cultural, technical problems and the multi-territorial issue. Next, after analyzing the relevant legal framework for orphan works in relation to digital libraries (part four), part five will look into the legal solutions that exist or are proposed to confront this problem. Finally, in the last part it will be analyzed how the orphan works are treated at the European level.

Chapter 12The Protection of Digital Libraries as Databases: An Ideal Choice or a Paradox? ............................ 232

Tatiana-Eleni Synodinou, University of Cyprus, Cyprus

This chapter explains the application of EU Directive 96/9 to digital libraries. Digital libraries cor-respond largely to the broad definition of databases which is established by the Directive 96/9. The application of the database copyright and sui generis regime to digital libraries provides a safe and solid legal protection to digital libraries which fulfill the conditions of originality and investment set by the Directive. The chapter examines in detail the conditions for protection, the subject matter, the content and the extent of the Directives 96/9 two-tier legal protection regime as it is applied to digital libraries. While the protection of the structure of a digital library by copyright law has not provoked any reactions both in Europe and in U.S.A., the possibility of protection of the digital librarys contents by the quasi proprietary database sui generis right has been since the adoption of the Directive 96/9 a highly controversial issue. The defendants of the Internet dogma of free and open flow of information consider the sui generis right as an inappropriate and unbalanced legal mechanism which promotes the monopolization of the digital knowledge to the detriment of the public interest. The chapter also dem-onstrates the conflict between the proprietary interests of the digital librarys maker and the interests of the lawful user of a digital library. Furthermore, a critical overview of the regime of exceptions to da-tabase sui generis right is provided. In order to justify and balance the attribution of the proprietary sui generis right, the author argues that the regime of database sui generis exceptions should be enriched and strengthened, especially when the purposes of education, research and information are served by the exceptions.

Chapter 13Copyright and Digital Libraries: Securing Access to Information in the Digital Age ........................ 257

Christophe Geiger, University of Strasbourg, France

Challenged by new technology, copyright is currently in turmoil. Increasingly regarded by the general public as a curb to the universal dissemination of knowledge, it seems to have no alternative but to include access to information in order to meet the challenges posed by the knowledge society. It might even be its ability to bring together opposing but complementary views that will guaranty its durabil-ity in the future and whether it can adapt to a new economic, technological and social environment. Copyright law has shown a remarkable ability to adapt to new developments in the past and has the necessary tools to ensure that this continues to be the case in the future, although the massive techno-logical changes will probably require rethinking the mechanisms for its implementation. It is, therefore, necessary not to think in terms of opposing rights, but of the complementary nature of copyright and the

right of access to information, so as to reconcile the two, which is both necessary and desirable. The is-sue of how to accommodate those two rights is of course of particular importance for libraries that wish to use the fantastic opportunities of digital technologies to both preserve and make accessible works in a easy and cost effective way to the public. Conceiving an optimal legal framework, allowing digital libraries to expand while at the same time securing a fair return to creators and editors might therefore constitutes one of the main challenges for copyright in the digital age. Accordingly, it will be necessary, first of all, to reiterate a number of basic principles of copyright law and carry out a brief historical sur-vey. A study will then need to be carried out of how the advent of the information society has changed the existing balances. This will be followed by a brief discussion of recent developments in the legal provisions currently in force. This in turn would lead us to consider both the changes necessary to those provisions to ensure better access to information as well as certain initiatives that are either under way or planned, with the aim of striking a balance between the interests involved.

Chapter 14Digital Libraries and Web Linking ..................................................................................................... 273

Maria G. Sinanidou, Hellenic Copyright Organization, Greece

In the digital era knowledge and information are becoming more and more online accessible. In this perspective, libraries have a vital function in respect of copyright protection and accessibility to knowl-edge. On the one hand, web services are facilitating flow of information and access to knowledge; on the other hand, Internet moots questions regarding copyrights protection. The main purpose of linking is the creation of the World Wide Web as a thesaurus of knowledge and information. Nevertheless, digitization projects on an international level are already experiencing conversely issues, mainly be-cause of copyright. Purpose of this chapter is to discuss some of these issues deriving from the linking, particularly for digital libraries. What is the relation between the scope of digital libraries on the one hand and of copyright on the other one? What is the role of the various stakeholders, i.e. the libraries and the right holders?

Chapter 15Intellectual Property Issues for Digital Libraries at the Intersection of Law, Technology, and the Public Interest ......................................................................................................................... 294

Dionysia Kallinikou, National & Kapodistrian University of Athens, GreeceMarinos Papadopoulos, Athens Bar Association, Greece & Legal Lead Creative Commons, GreeceAlexandra Kaponi, Athens Bar Association, GreeceVassiliki Strakantouna, National & Kapodistrian University of Athens, Greece

The development of Digital libraries and repositories, a worldwide vision with enormous political and ideological importance for humanity, in an effort to approach cultures and preserve plurality and diversity, is directly affected by the provisions of Intellectual Property Law and is subject to the con-sideration of innovation through legislation. Legal issues such as these related to software use, database protection, the collection, digitization, archiving, and distribution of protected works are of outmost importance for the operation and viability of Digital libraries and repositories. In this chapter, we focus upon some of these legal issues and consider an alternative proposal in respect of Intellectual Property law for open access to creative works furnished to the public through Digital libraries and repositories.

The alternative proposal pertains to the use of the Creative Commons licenses as a legal means to en-hance Openness for Digital libraries.

Chapter 16Open Content in Libraries: Contractual Issues ................................................................................... 342

Galateia Kapellakou, Bar Office of Athens, GreeceMarina Markellou, Bar Office of Corinth, GreeceEvangelia Vagena, Hellenic Copyright Organization, Greece

The basic issue examined in this chapter is how can open access be achieved through the instrument of contracts. In the digital environment right holders have the power to restrict access to works by us-ing restrictive contractual terms enforced by means of technical measures. As a counterbalance to the extended authority of the right holder, open access movements have appeared which express the users need to have open access to creative content. It is put forward that the terms used in contractual forms that have been standardized and express the ideology of open content are not always compatible with the existing copyright law contractual provisions and the way in which collective management func-tions.

Section 2Traditional Media in Digital Libraries

Chapter 17Newspapers and Digital Libraries ....................................................................................................... 363

Nadia Kyprouli, Athens Bar Association, Greece

This chapter deals with the new digital environment that embraces newspaper content. The notions of newspapers, news, articles, photographs, cartoons and podcasts are considered. The legal notion of the entitlement of creators rights in different newspaper contents (journalists, photographers, cartoonists, visual artists), the legal implications due to contractual arrangements and the status of rights in case of an employment contract and in case of a services contract are analyzed from the copyright perspective. The chapter answers the question who owns the electronic rights in the newspapers contents. It consid-ers the exceptions and limitations of copyright, the fair use principle and the three-steps test. Lastly, it deals with the undisputed modern reality of digital libraries with newspaper content and digital libraries of general cultural content and defines the unique characteristics of works included in newspapers. It concludes that, while international and national legislators acknowledge the social request for a more free access to technical and educational materials, copyrights are to be respected.

Chapter 18The Audiovisual Works as Digital Library Content: Storage and Exploitation .................................. 382

Charis Tsigou, Greek Audiovisual Council, Greece

The digital reproduction and transmission of audiovisual works seems to be the next stage of dis-semination and commercial exploitation of protected works, following musical works. Additionally, the

latest major novelty of the information society is the creation of digital libraries, for profit or not, at na-tional and international level. The inclusion of audiovisual works in digital libraries and their resulting exploitation raise a number of legal issues. This chapter aims to review the economic rights involved in the process of digital exploitation as well as the delimitation of the safeguarding of the moral rights, which the libraries are bound to observe. It does not, however, address issues related to the off-line exploitation of audiovisual works or their further use by the user of the digital library services.

Section 3Management of the Digital Library: IP Management and Other Legal Issues

Chapter 19Personal Data Protection in Digital Libraries ..................................................................................... 413

Ioannis Iglezakis, Aristotle University of Thessaloniki, Greece

Digital libraries provide many advantages compared with traditional libraries, such as wide and round the clock availability of resources, lack of physical boundaries, etc. However, the disclosure of person-ally identifiable information in the course of processing activities may lead to an invasion of privacy of library users, without their being aware of it. In fact, privacy threats are increased in the digital environ-ment, in which digital libraries operate. The right to privacy in the library is the right to open inquiry without having the subject of ones interest examined or scrutinized by others (ALA, 2005). Users of digital libraries have similar privacy expectations when making use of their services. The issues con-cerning the privacy of digital libraries patrons are thus addressed in comparative perspective, in this chapter. In more particular, the legal regulations with regard to data protection in digital libraries in the EU and the US are presented. The comparative analysis of the two legal orders shows differences and similarities, but also highlights loopholes of protection.

Chapter 20Liability of Hosting Provider with Regard to Open Libraries ............................................................ 430

Thanos K. Tsingos, Athens Bar Association, Greece

Internet allows free access of information to anyone, without any particular quantitative, temporal or geographical restriction. At the same time, the use of Web 2.0 technologies allows users to offer their personal contributions in order to enrich projects, such as the renowned open libraries project. How-ever, the emergence of open libraries, which is much related to the concept of the so called User Generated content, may give rise to several types of copyright infringement by reason of impair-ing one or more of the original authors exclusive rights. In addition, Internet Service Providers may facilitate users infringing activities by offering either a mere access to the net or by providing them with hosting services for various actions to take place that may be properly characterized as copyright infringements by the applicable copyright law. In the abovementioned context, this chapter examines the issue of whether an Internet Hosting provider could be held liable for copyright infringement in terms of any content originated by the user, especially in relation to an open library, by offering a deeper understanding on the rules governing ISPs liability in the USA and the EU. The author attempts to de-scribe the main recent developments taken place in this area of law and conclude on the most important differences between the US and the EU legal order.

Chapter 21Copyright Infringement of Digital Libraries and Private International Law: Jurisdiction Issues ...... 447

Nikitas Hatzimihail, University of Cyprus, Cyprus

New technologies, and the digitization of works of intellect in particular, have led to an explosive ex-pansion of transnational litigation, challenging the traditional premises of private international law. This Chapter considers the rules under which European and U.S. courts may assert jurisdiction over cases involving digital libraries: notably copyright claims, but also other IP rights. Initiatives to create a trans-national set of rules or principles are also examined.

Section 4Cultural Aspects

Chapter 22Preservation of Cultural and Scientific Heritage by Means of Digital Libraries ................................ 462

Stylianos Korres, Athens Bar Association, GreeceEva Kokotsaki, Athens Bar Association, Greece

The entire worlds cultural and educational resources are being more and more produced, distributed and accessed in digital form, rather than on paper. Born-digital heritage available on-line, including electronic journals, World Wide Web pages or on-line databases, are now an integral part of the worlds cultural heritage. Consequently preservation of cultural and scientific heritage has undergone substan-tial changes and has come across new challenges. Traditional methods for preservation have been backed by technological tools of enormous capacities, creating the impression of a constant revolu-tion. Most importantly, preservation has shifted from a passive stance (storage) to more active attitude (digitization, migration). However, the transition from the analogue past to the digital future is not smooth, as one would hope (or at least as libraries and their users would have hoped). The digital collec-tion and preservation of on-line cultural and scientific assets was faced with legal instruments pertain-ing to analogue age, such as the legal deposit and the traditional rules of copyright law, which in the digital age seem as inadequate tools for the effective preservation of cultural and scientific heritage and the securing of a wide access to that heritage. Recent and pending changes in the areas of legal deposit and Copyright law attempt to modernize the legislation, but as it is demonstrated, a lot more has to be done in that direction. This chapter presents an overview of the present situation, challenges and prob-lems with a focus on European Community and International Law.

Compilation of References .............................................................................................................. 482

About the Contributors ................................................................................................................... 513

Index ................................................................................................................................................... 522

xviii

INTRODUCTION

Every day more digital devices and procedures replace traditional ones, and digital repositories and digital libraries have replaced traditional collections of information. People can search for and access articles, photos, videos, opinions, advice, and many more objects of interest, from digital repositories and libraries.

More than 93% of the content that is produced today is digital, without even counting the content that is undergoing digitization. And this is not limited to text documents, such as articles and encyclopedias, but includes most photos, videos, music recording, and even content for which there is no traditional equivalent, such as interactive or multimedia applications.

Digital libraries aim to collect, manage and preserve electronic expressions of knowledge on any subject, type or format. Although much of that information is also found in the Web, digital libraries have some additional properties, that makes them even more useful: the information is more structured, persistent, provides more searching options and a procedure for quality control and acquisition, making it more trustworthy and valid. The general trend is to make the next generation of the web more like a digital library.

Digital libraries provide content and services on this content, and possibly on similar content found on other, remote, repositories. The completeness of the content is important to the value of the digital library, and advanced services on it can augment its value even further. The adoption of open standards is also needed for real successful distributed digital libraries.

Many of todays activities benefit from digital libraries and the web, ranging from searching for ex-isting information to online research and training. Common motives for creating digital libraries could be the adoption of technology, the attraction of new funding and wider visibility of the information to users all around the world. They help to reduce the differences among libraries, classes, laboratories, research and teaching, providing equal opportunities to all users, even remote ones.

The significance of the digital libraries is recognized and many national and international projects and initiatives exist, that try to aggregate as much content as possible under a one-stop-search interface. Europeana is an example of one of the most recent big such efforts.

The creation and the operation of the digital libraries are not without problems, of many kinds, such as philosophical, social, technical and legal.

Preface

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THE LEGAL CHALLENGES IN DIGITAL LIBRARIES

A digital library is more than the digital version of the traditional library. It is a new kind of an orga-nization that makes use of Internet technology in order to provide access of the public to a wide range of information services (Atkins, 1998). While a traditional library consists of books and other print material, a digital library is not its equivalent. That being said, it must be borne in mind that a digital library is more than a collection of digitized books and collections, but consists of various electronic resources and associated technical capabilities that enable the creation, search and use of information (Borgman et al., 1996).

The special features of digital libraries differentiate the legal regime of digital libraries from the legal status of traditional libraries. While in traditional libraries the majority of legal issues concern traditional in-library uses of the librarys contents, such the application of the public lending right, the creation of analogue copies of rare materials and the photocopying of books and other documents, in digital libraries the legal problematic is centred on the digitalization of contents and on the distance access to on-line library services. The multifunctional character of the digital libraries and the diversity of their contents raise a bundle of legal issues related to the creation of the library and its dissemination to the public.

Digital libraries are informational collections which are based on the collection and the elaboration of various pre-existing contents, such as data, works of mind and other elements. Consequently, the creation of a digital library presupposes the respect of the legal norms which govern the pre-existing materials which are included to the database. Thus, the legal treatment of the digital libraries comprises unavoidably the combined application of various legal branches, such as copyright law, personal data protection, privacy law, libel law, tort law or private international law. Moreover, the digital library constitutes an informational entity which presents high cultural and economic value. The research of the appropriate legal regime for the protection of the library against free-riders and in general against unauthorised uses is a delicate task which has undoubtedly an international dimension.

Digital libraries are viewed as databases, due to the fact that they present a database structure (Borg-man, 1999). Insofar, it is appropriate to consider their protection in accordance with the legal regime for databases. The issue that should be addressed is whether digital collections fall within the definition of a database under EU Directive 96/9/EC and thus, the structure of digital libraries should be scrutinized. The fact that under EU law databases are afforded a two tier protection makes necessary to study the requirements and limitations of the database rights. Particular regard should be made to the situation in USA, where there is no specific regime for the protection of databases (Synodinou, 2010).

Research in digital libraries has grown rapidly in the recent years, as digital libraries are considered extremely important for the dissemination of knowledge and the preservation of cultural and scientific heritage (Korres & Kokotsaki, 2010). Moreover, the practice of digital libraries is gaining enormous importance, as more and more content is made online available by means of digital collections and big digital library projects are undertaken. A massive undertaking, for example, is the Googles Library Project, which aims at digitizing the content of several research libraries and providing an online cata-logue, through which users can search (Bottis, 2007). In Europe, the goal of creating a European Digital Library was realized on 20 November 2008, when Europeana.eu went live. Several legal issues are arising on the occasion of these projects, which are not easy to tackle.

It is noteworthy that a High Level Expert Group identified certain legal issues with regard to the European Digital Library project, which deserve attention, and those are the issues of digital preserva-tion, orphan works, out-of-print works and other implementation issues (High Level Expert Group,

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2007). It is stressed out in the Interim Report that exceptions in EU Member States laws allow libraries and other institutions to make one single copy for preservation purposes, but this exception could be proved insufficient. With regard to orphan works, i.e. works whose rightholders are not identifiable or where they are identifiable, they are not locatable; apparently, the use of such works presents big problems, since the consent of their author cannot be obtained. This deficit is on the detriment not only of the stakeholders, but also of the public, i.e., the perspective users of such works, which are not able to ask for permission to use them (M.-D. Papadopoulou, 2010). Similar problems arise with regard to works that are out-of-print or out of commercial distribution. Although these works are still protected by copyright, it is difficult to ask for permission to digitize and make them available through the digital library (Koskinen-Olsson, 2009). The High Level Expert Group made certain recommendations regard-ing all these issues in its final report (High Level Expert Group. 2009), but it remains to be seen whether it is feasible to tackle such tricky issues.

A more thorny issue arise with regard to Googles project, which provoked a great fierce controversy. Googles attempt to digitize books under copyright without the permission of authors or rightholders is considered a violation of copyright law, while it claims that this act is covered under the fair use clause of copyright (Prasad & Agarwala, 2008). Undoubtedly, digitization of copyright works raises copyright issues, as this act may conflict with the economic and moral rights of authors (Lucas-Schloetter, 2010, A. Papadopoulou, 2010). On the other hand, there are exceptions for libraries and it is questionable whether libraries are entitled to make copies of their collections (Lucas-Schloetter, 2010).

It becomes apparent that it is crucial to stress the need to strike a fair balance between protection and access to information (Geiger, 2010). Furthermore, it is essential to realize the boundaries confronting digital libraries with regard to protection of personal data (Iglezakis, 2010), but also as far as the liability of providers in relation to an open library (Tsingos, 2010). Applicable law issues with regard to liability for copyright infringement and other offenses and jurisdictional issues are also of major importance (Hadjimichail, 2010).

In this book, a comprehensive review of the legal issues concerning digital libraries is presented by the authors of the relevant chapters. Future research will identify eventually other important topics, as reality poses always new, attention-grabbing questions that should be dealt with.

ORGANIZATION OF THE BOOK

This book is organized in two bands. The first band, deals with an overview of digital libraries. A brief description of each of its 8 chapters can be found in the detailed table of contents. Chapter 1 discusses the history, evolution and impact of digital libraries on various aspects of our society. Chapter 2 exam-ines the principles and practices of interoperability the ability of systems to work together which is essential to digital libraries. Chapter 3 deals with defining and assessing the quality of a digital library. Chapter 4 addresses the collaborative aspects of digital libraries as a special case of Computer Sup-ported Collaborative Work (CSCW). Chapter 5 examines the issue of digital formats for document encoding, archiving and publishing. Special kind of digital content are presented in Chapters 6 and 7, music libraries and how users interact with music stores and repositories and electronic books in digital libraries, respectively. Chapter 8 concludes with current and emerging challenges that are the result of using digital information.

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The second band contains 16 chapters clustered in 4 sections. A brief description of each of the 16 chapters can be found in the detailed table of contents.

Section 1, titled Digital Libraries and Copyright Law is comprised of 9 chapters. This section deals with the most important issues posed by digital libraries in the modern environment of the Internet. The first two chapters refer to the digitization of contents in a digital library and analyze the economic rights as well as the moral right. In the third chapter the problem of orphan works is discussed, which is central in the creation of digital libraries. The protection of digital libraries as databases under EU and US law is analyzed in the fifth chapter. The next chapter adopts an approach of copyright law as the result of reconciliation between diverging interests and examines the limitations and exceptions to copyright with regard to digital libraries. Subsequently, the sixth chapter presents a specific exception, i.e. the exception of quotation.

The last three chapters of this section deal with more specific issues. Chapter 14 discusses issues arsing from web linking, particularly for digital libraries, while Chapter 15 addresses specific issues, such as those concerning the relation of digital libraries with ethics and peer-to-peer networks and also, certain copyright issues. Finally, the last chapter of this section examines the issue how can open access be achieved through the instrument of contracts.

Section 2 titled Traditional Media in Digital Libraries is comprised of two chapters. The first one deals with the new digital environment that embraces newspaper content and the second discusses issues concerning the inclusion of audiovisual works in digital libraries and their resulting exploitation.

Section 3 is titled Management of the Digital Library: IP Management and other Legal Issues. It provides an analysis in specific issues which do not relate to copyright, but are considerably important. Chapter 20 discusses data protection issues with regard to digital libraries, while the next chapter deals with the liability of hosting provider. Subsequently, Chapter 21 deals with jurisdiction issues.

Lastly, Section 4, which is titled Cultural Aspects is comprised of a single chapter, which deals with a very specific issue, the Preservation of Cultural and Scientific Heritage by means of Digital libraries.

REFERENCES

Atkins, D. E. (1997). Report of the Santa Fe Planning Workshop on Distributed Knowledge Work En-vironments: Digital libraries, Report Version September 20, 1997.

Borgman, C. L., Bates, M. J., Cloonan, M. V., Efthimiadis, E. N., Gilliland-Swetland, A., Kafai, Y., Leazer, G. L., & Maddox, A. (1996). Social aspects of digital libraries. Final report to the National Science Foundation. Online available at: http://dli.grainger.uiuc.edu/national.htm.

Borgman, C.L., (1999). What are digital libraries? Competing visions. Information Processing and Management 35 pp. 227-243.

Canellopoulou-Bottis, M.,(2007). The Google Library Project and copyrights of publischers and authors.(in Greek). online available at: http://eprints.rclis.org/14598/1/5._KANELLOPOLOU_s._171-184.pdf

Geiger, C., (2010). Copyright and Digital Libraries. Securing Access to Information in the Digital Age.In Iglezakis/Kapidakis/Synodinou(eds.) E-Publishing and Digital Libraries: Legal and Organizational Issues. 2010.

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Hadjimichail, (2010). Digital libraries and private international law: jurisdiction issues.Iglezakis/Kapi-dakis/Synodinou,(eds). E-Publishing and Digital Libraries: Legal and Organizational Issues 2010.

High Level Expert Group, (2007). Report on Digital Preservation, Orphan Works, and Out-of-Print Works. Selected Implementation Issues. online available at: http://ec.europa.eu/information_society/newsroom/cf/document.cfm?action=display&doc_id=295

High Level Expert Group, (2009). Final Report, Digital Libraries: Recommendations and Challenges for the Future. online available at: http://ec.europa.eu/information_society/activities/digital_libraries/doc/hleg/reports/copyright/copyright_subgroup_final_report_26508-clean171.pdf

Iglezakis, I., (2010). Personal data protection in digital libraries. In Iglezakis/Kapidakis/Synodinou(eds.) E-Publishing and Digital Libraries: Legal and Organizational Issues 2010.

Korres, K. & Kokotsaki, E., (2010). Preservation of Cultural and Scientific Heritage by means of Digital libraries. In Iglezakis/Kapidakis/Synodinou,(eds) E-Publishing and Digital Libraries: Legal and Orga-nizational Issues 2010.

Koskinen-Olsson, T.,( 2009). Digital Libraries: Collective administration for on-line libraries a right-sholders dream or an outdated illusion? ALAI CONGRESS 2009, online available at: http://www.alai2009.org/Presentations/ALAI%20Congress%202009%20-%20Tarja%20Koskinen-Olsson%20-%20Collective%20aministration%20for%20on-line%20libraries.doc

Lucas-Schloetter, A., (2010). Digital libraries and copyright issues. Digitization of contents and the eco-nomic rights of the authors.In Iglezakis/Kapidakis/Synodinou( eds) E-Publishing and Digital Libraries: Legal and Organizational Issues 2010.

Papadopoulou, M.-D., (2010). The Issue of Orphan Works in Digital Libraries. In Iglezakis/Kapidakis/Synodinou, E-Publishing and Digital Libraries: Legal and Organizational Issues, 2010.

Papadopoulou, A.,( 2010). The Digitization of Contents in Digital Libraries: Moral Rights and Limits InIglezakis/Kapidakis/Synodinou, E-Publishing and Digital Libraries: Legal and Organizational Is-sues, 2010.

Prasad, A., Agarwala, A., (2008). Armageddon on the digital superhighway: Will Googles e-library project weather the storm? CLSR 24 (2008), 253-260.

Synodinou, T.-E., (2010). The protection of digital libraries as databases: an ideal choice or a paradox?In Iglezakis/Kapidakis/Synodinou, E-Publishing and Digital Libraries: Legal and Organizational Issues, 2010.

Tsingos, T., (2010). Liability of hosting providers liability with regard to open libraries, In Iglezakis/Kapidakis/Synodinou, E-Publishing and Digital Libraries: Legal and Organizational Issues, 2010.

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Acknowledgment

This book came into existence due to the efforts of the publisher, IGI Global and its consultants. Par-ticularly Mrs Christine Bufton provided us very helpful assistance during the time of the editing of the book. The idea of this book came after a proposal to one of the authors, Ioannis Iglezakis, from IGI Global, to edit a book on a contemporary topic of copyright law. So, it was the issue of digital libraries chosen which provokes conflicts. Thus, it was decided to enter into the world of digital libraries and examine a big variety of issues ranging from copyright law and other legal aspects to organizational aspects. In the first part, for which Professor Kapidakis took the responsibility of editing the relevant chapters, organizational aspects are discussed, while in the second part of the book, the relevant legal aspects are dealt with. Mrs Synodinou provided the idea of structuring the second part into different sections, discussing specific legal issues. The final outcome was, of course, the result of a fruitful col-laboration between the editors.

Last, but not least, we would like to thank all the authors of the book who provided us their valuable contributions.

Ioannis IglezakisAristotle University of Thessaloniki, Greece

Tatiana-Eleni SynodinouUniversity of Cyprus, Cyprus

Sarantos KapidakisIonian University, Greece

April 2010

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Copyright 2011, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.

Chapter 1

History, Evolution, and Impact of Digital Libraries

Leonardo CandelaConsiglio Nazionale delle Ricerche, Italy

Donatella CastelliConsiglio Nazionale delle Ricerche, Italy

Pasquale PaganoConsiglio Nazionale delle Ricerche, Italy

1. INTRODUCTION

Libraries, together with archives, have always been the primary institutions delegated to manage collect, preserve and diffuse human knowledge and culture. When advances in computer science allowed dealing with digital representation of

documents dedicated to capture human knowledge and culture rather than printed ones, libraries were particularly involved in exploiting the potential of the digital revolution. Thus digital libraries soon became the term to indicate the digital counterpart of traditional libraries. However, digital library systems have greatly evolved since their early appearance. Today they have become complex networked systems able to support communica-

ABSTRACT

Digital Libraries have achieved a fundamental role in our knowledge society. By making the wealth of material contained in libraries, museum, archives and any knowledge repository worldwide available they are giving citizens in every place of the world the opportunity to appreciate their global cultural heritage and use it for study, work or leisure. They are revolutionising the whole knowledge manage-ment lifecycle. In this chapter, the history characterizing these knowledge enabling technologies is described. The history starts from the early attempts toward systems supporting knowledge discovery and reaches the current age in which a plethora of different realizations of digital library systems coexist. The evolutionary process conducting to the current, multi-instanced and still evolving status of affairs as well as the motivations governing it are identified and presented. The main initiatives and milestones producing the nowadays instances of these knowledge enabling systems are mentioned. Finally, the impact these systems had and are having on various aspects of our society is discussed.

DOI: 10.4018/978-1-60960-031-0.ch001

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tion and collaboration among different worldwide distributed communities, dealing with digital objects comprising not only the digital coun-terpart of printed documents, but also images, video, programs and any other kind of multimedia objects a community may define as appropriate to its working and communication needs.

The evolution of digital libraries (DLs) has not been linear, coming from the contribution of many disciplines. This has created several conceptions of what a DL is, each one influenced by the perspec-tive of the primary discipline of the conceiver(s) or by the concrete needs it was designed to sat-isfy. As a natural consequence, the history of Digital Libraries, which is now approximately twenty years long, is the history of a variety of different types of information systems that have been called digital libraries. These systems are very heterogeneous in scope and functionality and their evolution does not follow a single path. In particular, when changes happened this has not only meant that a better quality system was been conceived superseding the preceding ones but also meant that a new conception of digital librar-ies was born corresponding to new raised needs. As it will be seen, most of the systems dealt with in this history are still living in their original conception, even though not in their original technological solutions.

The rest of this chapter goes back over this history, giving an account of past and present un-derstanding of these kind of systems and on-going work in the area. The chapter concludes with a vision of the impact that new DLs are expected to have in the near future.

2. DIGITAL LIBRARIES: THE EARLy TImES

The digital library concept can be traced back to the famous papers of foreseer scientists like Vannevar Bush and J.C.R. Licklider identifying and pursuing the goal of innovative technologies and approaches

toward knowledge sharing as fundamental instru-ments for progress. Bush (Bush, 1945) devised a device in which an individual stores all his books, records, and communications, and which is mechanized so that it may be consulted with exceeding speed and flexibility.. Moreover, on top of it there is a transparent platen. On this are placed longhand notes, photographs, memoranda, all sorts of things. Because of the lack of digital support, he identified in improved microfilm the means for content storage and exchange: contents are purchased on microfilm ready for insertion. Books of all sorts, pictures, current periodicals, newspapers, are thus obtained and dropped into place. Of course, he envisaged also support for knowledge discovery (provision for consultation of the record by the usual scheme of indexing), access (to consult a certain book, he taps its code on the keyboard, and the title page of the book promptly appears before him) and management (new forms of encyclopedias will appear, ready made with a mesh of associative trails running through them, ready to be dropped into the me-mex and there amplified). Licklider realized that computers were getting to be powerful enough to support the type of automated library systems that Bush had described and in 1965, wrote his book (Licklider, 1965) about how a computer could provide an automated library with simultaneous remote use by many different people through access to a common database. Because of this, Licklider is also considered a pioneer of Internet and in its book he established the connection be-tween Internet and digital library. Thus, it is not surprising that research and development activity on digital libraries started in the early 1990s, with the Internet proliferation, and that Internet has created unprecedented possibilities to discover and deliver human knowledge.

The first systems delivering knowledge ar-tefacts in digital form can essentially be seen as archives of digital texts accessible through a search service and implemented by a centralized metadata catalogue.

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An important example of a system conceived to respond to concrete needs went on-line starting in August, 1991. This system, originally named e-print archive and now worldwide known as arXiv, was born as an experimental means for making scientific communication more effective and economic, a requirement mostly expressed by the physicists community.(Ginsparg, 1994) Although tight to the technologies of those years, this system provided a paradigm for changes in worldwide, discipline-wide scientific information exchange, even though its rapid acceptance was facilitated by the pre-existing preprint culture of the community of high energy theoretical phys-ics, in which the irrelevance of refereed journals to ongoing research has long been recognized.

The arXiv system opened the way to deal with the social and economical issues related to the open access to outputs coming from publicly funded research, that were later officially stated in the Berlin Declaration (http://oa.mpg.ed, (n.d.)), in 2003, and now strongly promoted by many initiatives and Funding Agencies (Council of the European Union, 2007). It can be considered as the prototype of (institutional) repository sys-tems (Lynch, 2003), i.e. systems characterized by functionality for managing self-publishing (document submission, reviewing, editing, etc.) and dissemination of born digital documents.

The early ones of such systems were con-structed on a rather simple architecture, with the exception of very few cases. This worked to the advantage of their diffusion and adoption by different scientific communities. Besides arXiv, significant examples of such early systems were archives of various type like Electronic Thesis and Dissertations repositories (ETDs), whose pilot project started in 1996 (Fox, Eaton, McMillan, et al, 1996), and archives of cognitive sciences papers (CogPrints, (n.d.)) and of research papers in economics (RePEc, (n.d.)) both launched in 1997. The former was a system which was of-fering services for submitting, browsing and searching electronic thesis in PDF format. The

availability of this product stimulated the creation of the Networked Digital Library of Theses and Dissertations (NDLTD, (n.d.)) international or-ganization, still operational, which registers and keep track of ETDs.

CogPrints, was initially conceived as reposi-tory allowing the cognitive science community to self-archive their papers. It now contains more than 3,000 artefacts starting from 1950. In 2000 it was made compliant with the protocol defined by the Open Archives Initiative (see Section 3) and then its software was converted into the EPrints Digital Repository Software (EPrints, (n.d.)), a flexible platform supporting easy and fast set up of repositories of open access research outputs. Because of its simplicity, EPrints is currently widely used, more than 250 repositories declared to rely on it.

Similarly, RePEc was initially conceived as an open repository of electronic papers in a specific domain. Thomas Krichel, principal investiga-tor of the RePEc Project, in 1997 illustrated the principles underlying a new realised version of this system by affirming Distributed archives should offer metadata about digital objects (mainly working papers); the data from all archives should form one single logical database despite the fact that it should be held on different servers; users could access the data through many interfaces; providers of archives should offer their data to all interfaces at the same time. Krichel, with these statements was anticipating a view that would have largely emerged few years later.

These systems all still living in more recent and enhanced versions represent very embryonic forms of digital libraries. In fact, their functional-ity is essentially confined to (self-)publishing of simple information objects and discovery of these information objects through rudimentary search and browse facilities.

In parallel with the repository systems, other kinds of systems, sharing with them the need for supporting digital documents storage and retrieval but oriented to enlarge the pool of services and

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functionality offered to their clientele, started be-ing designed and developed. The founding ideas for these systems were extending and enhancing the capabilities of information and storage systems so that they could manipulate and deliver rich digital artefacts besides documents bibliographic description, i.e. metadata. Essentially, new sys-tem development activities started with the goal of supporting scholars by providing them with the functionality of a traditional library (collect, store, organise and discovery information) in the context of distributed and networked collections of digital information objects in user-friendly ways (Belkin, 1999). The initiatives that started giving live to such systems, that can be reason-ably considered as substantial digital libraries, were the Digital Library Initiative (DLI) in the US, while national initiatives, e.g. eLib in UK, and EU funded projects including a dedicated Network of Excellence, DELOS (DELOS, (n.d.)), have characterised the European scene (Griffin, Peters, and Thanos (2005).

The Digital Library Initiative (DLI) consisted of two major competitive funding programs, the first of which started in 1994 and funded six research projects (chosen among 73 proposals) over a four-year period (Schatz and Chen,1996) while the second phase was dedicated to extend the research carried out during the previous phase by including content providers thus to guarantee the availability of real testbed to validate research outcomes. However, the DLI funded projects have not been the only ongoing efforts (CACM, 1995) even if they were very innovative because they focused on future technological problems. The six projects funded by DLI phase one were: the California Environmental Digital Library (Wilensky, 1995) focused on developing the technologies to access large, distributed collec-tions of photographs, satellite images, videos, maps, documents, and multivalent documents and to support work-centred digital information services (Wilensky, 1996); the Alexandria Digi-tal Library (Smith and Frew, 1995) focused on

building an online, distributed digital library for geo-referenced1 information, including maps, aerial photographs, satellite imagery, and cata-logue records, and on supporting geographically defined queries (Smith, 1996); the Informedia Digital Video Library (Christel, Kanade, Maudlin, et al., 1995) focused on establishing a large, on-line digital video collection with full-content and knowledge-based search and retrieval (Wactlar, Kanade, Smith and Stevens, 1996); the Interspace (Schatz, 1995) focused on building a large collec-tion of technical engineering and physics literature that can be searched effectively across multiple indexes with a single interface (Schatz, Mischo, Cole, et al., 1996); the University of Michigan Digital Library (Crum, 1995) focused on creating a digital library architecture based on the notion of software agents (Atkins, Birmingham, Durfee, et al., 1996); the Stanford Digital Library Project (Stanford Digital Libraries Group, 1995) focused on addressing aspects of interoperability over heterogeneous services and collections via the InfoBus protocol, which provides a uniform way to access a variety of services and information sources through translators (Paepcke, Cousins, et al., 1996).

Despite none of these systems exist anymore as a running service2, the solutions proposed, the technology developed as well as the resources collected and built have been largely used by more complex DLs developed later. It is well known that one of the most important success stories resulting from these projects is Google. Page and Brin started working on their search engine while being PhD Students at Stanford working on the Stanford Digital Library Project. Actually, the Digital Library Initiative merits goes far beyond the specific work that it funded and we can affirm that it gave shape to digital library as a new research discipline. Research in digital library topics was not new but it had been fragmented across many disciplines. This program led to conferences, publications and researcher teams explicitly interested in doing research in

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digital libraries. Moreover, it gave directions to the overall movement toward a practical research field.(Arms, 2001)

As anticipated, in Europe the scene was char-acterised by the existence of DELOS initiatives. The activities of DELOS started with the DELOS Working Group at the end of the 1990s3, and the DELOS Thematic Network, under the Fifth Framework Program (2000 2003). Since its beginning, the main objective of DELOS was to advance the state of the art in the field of digital libraries by coordinating the effort of the major European research teams conducting activities in the main fields of interest. One of the early important achievements was the establishment of a formal collaboration with the US National Science Foundation and the creation of five joint EU-US collaborative Working Groups. These working groups explored DL-related technical, social and economic issues, and published a set of recommendations with respect to DL interop-erability, metadata, IPRs and economics, global resource discovery and multilingual information access in a special issue of the International Jour-nal of Digital Libraries (Griffin, Peters, Thanos, 2005). The last phase of the DELOS evolution was its transformation into the DELOS Network of Excellence, under FP6 (2004 2007). Its mis-sion was to integrate and coordinate the on-going research activities of the major European research teams in the field of Digital Libraries. The main achievement was the definition of the DELOS DL Reference Model (Candela, Castelli, et al., 2007), a formal and conceptual framework describing the characteristics of the Digital Library domain. The main merits of DELOS are represented by its significant contributions to the creation of a European DL research community, by the or-ganisation of important durable scientific events and infrastructures (e.g. ECDL4, CLEF5, INEX6), and by notable suggestions, in the form of either prototypes or roadmap reports, anticipating many actions of the European Commission in the field of Digital Libraries (Thanos, 2009).

In parallel with the DELOS initiatives, in Europe activities dedicated to the development of exploratory systems going in the direction of true digital libraries started with the support of the European Commission programmes7. Among the projects initially funded, notable are those de-scribed in the following. The European Chronicles On-Line (ECHO) (Savino and Peters, 2004) focus-ing on the development of a digital library service for historical films by using an open architecture approach distributing digital film archive ser-vices. In addition, it was intended to develop new models for intelligent audio-visual content-based searching and film-sequence retrieval, new video abstracting tools, and user interfaces specifically tailored to the new functionality. The provision of multilingual services and cross language retrieval tools was also addressed. Another project, i.e. An Integrated Art Analysis and Navigation Environ-ment (ARTISTE) (Allen, Vaccari and Presutti, 2000), focused on giving providers, publishers, distributors, rights protectors and end users of art images information, as well as the multi-media information market as a whole, a more efficient system for storing, classifying, linking, matching and retrieving art images. This environment was providing, for example, automatic extraction of metadata based on iconography, painting style, etc; content-based navigation for art documents; distributed linking and searching across multiple archives allowing ownership of data to be retained; and storage of art images using large multimedia object relational databases. The Collaboratory for Annotation, Indexing and Retrieval of Digitized Historical Archive Material (COLLATE) (Thiel, Brocks, Frommholz, et al., 2004) project focused on the development of a collaborative work envi-ronment for archives, researchers and end-users focused on historic film documentation, includ-ing censorship files, photos and film fragments in which users take an active part in evaluating sources and adding valuable information.

Being dedicated to build exploratory systems, both the DLI funded projects and the FP5 funded

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projects spent the majority of their effort in imple-menting proof-of-concept systems by integrating results from various and separate research fields and experimenting these solutions in a specific context. Thus, each project was dedicated either to serve the need of a specific community or to design and implement a certain functionality over a specific kind of information. Not surprisingly, the majority of first-generation digital library systems were from scratch, monolithic applica-tions8 lacking of reusability, ease of installation, customisation and configuration. (Ioannidis, Y., Maier, D., et al., 2005)

Among the first attempts to overcome the monolithic approach notable are NCSTRL (Davis, J,R, Lagoze, C., 2000), the Networked Computer Science Technical Research Library, and its en-abling technology Dienst (Davis, J.R., Lagoze, C., 1995). Dienst was based on quite innovative principles at the time in the digital library domain, namely: open architecture, federation and distribu-tion. According to these principles: the functional-ity of a digital library system were available in the form of distinct functional units, each exposing its operational semantics through an open protocol; digital library systems are compositions of these functional units and new functionality can be added through the implementation of value-added services, which interact with existing others us-ing established protocols; the components (and content) of a digital library could be spread over the global Internet, but should be presented to the user as a single system. NCSTRL grew a lot in the United States. Approximately three years after its inception, the NCSTRL collection contained about 22,000 documents from 118 different institutions.

In August of 1995, ERCIM, the European Research Consortium for Informatics and Math-ematics, asked to join the NCSTRL network. This gave birth to ETRDL, the European Technical Report Digital Library (Biagioni, S., Borbinha, et al., 1998). This expansion of NCSTRL raised reliability and performance problems due to con-nectivity characteristics of the global Internet. To

overcome these issues and obtain good perfor-mance, the Dienst initial architecture was modi-fied by adding the notions of collection service and connectivity region (Lagoze, C., Fielding,. D, 1998). ETRDL was also the first important experience in Europe in designing and operating a digital library having a European scale. In col-lecting requirements from the ERCIM community it became evident that this community had its own specific requirements (Andreoni, A., Baldacci, M.B., et al., 1999), not all of which were covered by the basic Dienst system as adopted by NCSTRL. The list of requirements included three important aspects: the need for classification mechanisms; the need to cater for languages other than Eng-lish and the need to provide on-line document submission facilities. The ETRDL supporting technology was designed and implemented by maintaining interoperability with NCSTRL, so that users could perform cross-Atlantic searches, while at the same time extending this system to provide additional functionalities as requested by ERCIM users. Among the new functionalities, on-line document submission distinguished ER-CIM from most of the contemporary DL systems. These were conceived to serve end-users only as consumers of information, and submission was usually performed outside the DL by means of specific procedures operated by either the author or a librarian. ETRDL engaged digital library designers in a lot of relevant choices. Most were technical ones, but some related to policy and administration. Most of the large European Ini-tiatives funded few years later were the result of this early experience.

The projects and initiatives described so far characterised the early times of the digital library domain, the birth of the field. Once established, the field evolved like any other research and develop-ment field. The evolution has been multi-faceted and spontaneous, thus leading to the today status in which, despite the existence of a reference model (Candela, L., Castelli, D., et al., 2007), the term digital library continues to evoke different im-

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pression in each digital library practitioner exactly like in the past (Fox, E.A, Akscyn, R.M., et al., 1995). In the rest of the chapter the evolution of the field is described by clustering the main initiatives and projects in three main categories: those having large-scale content sharing as guiding principle, those dedicated to the definition and development of generic software systems for simplifying the building and operation of digital libraries (Digital Library Management Systems)(Ioannidis, 2005) and those leading to new research environments in which all researchers have shared access to scientific facilities including data, instruments, computing and communications regardless of their location in the world (a.k.a. e-Infrastructures)9.

3. DIGITAL LIBRARIES EvOLUTION: CONTENT SHARING

The construction of digital libraries similar to those just described was very resource-consuming since, for each new one, both the content and the software providing its functionality were built from scratch. At the end of the 1990s, the experi-ences of using distributed architectures to imple-ment proper digital libraries and the proliferation of independent repositories of valuable content stimulated the idea of reusing content already collected (and curated) in existing independent repositories so as to reduce the effort to build large-scale digital libraries. However, many ob-stacles were to be solved to fully implement this solution. The major of them was certainly how to implement repository service interoperability, i.e. the capability of seamlessly accessing and using the content managed in distributed and heterogeneous repositories.

Approaches based on cross-searching multiple archives based on a common protocol, such as Z39.5010,, (Miller, P., 1999) were considered at the time costly and hardly scalable. A very important meeting toward the interoperability of electronic repositories was organised in Santa

Fe, New Mexico, on October 1999, with the goal to establish recommendations and mechanisms to facilitate cross-archive value-added services. This meeting led to the Santa Fe Convention a combination of organizational principles and technical specifications to facilitate a minimal but potentially highly functional level of interoper-ability among scholarly e-print archives and to the establishment of the Open Archives Initiative. (Van de Sompel, H., Lagoze, C., 2000) The meet-ing started by discussing a concrete example of interoperability implemented through the UPS Prototype (Van de Sompel, H., Krichel, T., Nelson, M.L., 2000) and recognising its potentialities. The UPS prototype demonstrated the integrated action of a variety of services operating over data originating from a set of archives. Each of those services provided a reasonably rich level of functionality (accessible through a set of protocol methods). The participants recognised that trying to reach consensus on the full functionality of the prototype was aiming too high and that a proper degree of modesty in the approach toward integration capable to balance the cost of partici-pation with the need for adequate functionality was mandatory. The Santa Fe Convention iden-tified two key roles in participating institutions: data providers and service providers. Data providers were in charge to handle the deposit-ing and publishing of resources in a repository and expose for harvesting the metadata (what they called record) about resources in the reposi-tory. They were the creators and keepers of the metadata and repositories of resources. Service providers were in charge of harvesting metadata from data providers for the purpose of providing one or more services over the collected data. The types of services that might be offered included a search interface, peer-review system, etc. The cooperation between content and service provid-ers was regulated by a protocol, initially defined as a subset of the Dienst protocol and nowadays known as the Open Archive Protocol for Meta-data Harvesting (OAI-PMH) (Lagoze, C., Van

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de Sompel, H., 2001). This is a simple protocol made by six protocol requests and responses and because of its simplicity and relatively low cost of adoption it is so diffuse as to become a sort of de-facto standard solution.

One of the first experiments of implementing a large-scale digital library search service across multiple data providers was performed by TEL, The European Library project, which started in 2001 (Woldering, B., 2004). The key aim

e-publishing and digital libraries: legal and organizational issues

Documents