Coalition for Networked Information 
Information Policies:  A Compilation of Position Statements, 
Principles, Statutes, and Other Pertinent  Statements



National Federation of Abstracting 
and Information Services


1429 Walnut Street, 5th Floor
Philadelphia, PA  19102
215-563-2406

Source:  NFAIS Code of Practice Gateways, National 
Federation of Abstracting and Information Services, 
Philadelphia, PA, June 1987.

Code of Practice Gateways

  1. Purpose

    The National Federation of Abstracting and Information Services (NFAIS) believes that increased access to information will benefit its Members as well as serve the worldwide community of information users. NFAIS strongly encourages the development of any new technology which contributes to this goal. NFAIS strongly believes that such technology(ies) should be implemented in a manner which maintains an equitable balance of the interests of all participants in the distribution of information.

      1.1 It is the intent of NFAIS that this Code of Practice will contribute to an awareness of the issues surrounding Gateway arrangements and that it will stimulate an understanding of how these issues affect each participant.

      1.2 It is expected that this Code of Practice will be widely adopted by the active participants in Gateway arrangements as a point of reference for contracts and negotiations. The Code of Practice does not offer a model contract, rather it provides a set of principles and guidelines from which contractual terms can be developed in specific applications.

      1.3 Readers of the Code of Practice should be aware that NFAIS is an organization comprised of database producers, distributors, and users, established to foster communication of the world's scientific and technological literature. NFAIS recognizes that Gateways are a means for broadening such communication. Accordingly, this document has been generated to encourage the implementation of Gateway distribution technology, by providing guidelines to help avoid disruptions of the delicate balance of interests involved.

      1.4 Acceptance of this Code of Practice will help ensure full disclosure for the ultimate benefit of the Users so that they will be able to understand the complex relationship between the participants in a Gateway arrangement.

      1.5 This Code of Practice is arranged as follows:

        1. Purpose

        2. Background

        3. Types of Gateways

        4. Rights and Obligations

  2. Background:

      2.1 Telecommunications networks and software systems for the online retrieval of database information have become increasingly sophisticated. In recent years, additional complexities have been encountered through the introduction of "Gateways" which act as interfaces among networks, retrieval systems and their component databases.

      2.2 Such technological advances have provided mechanisms for the broadest possible distribution of information. However, they may, directly or indirectly, have the effect of diminishing the effectiveness of copyright protection and/or other forms of control desired by the participants.

      2.3 This blurring effect can permeate otherwise distinct relationships among and between the database Owner(s), Host System(s) and Information User(s).

      2.4 The governing framework for the information industry is essentially based on a set of legal bilateral contracts which establish the rights and obligations of the various entities in the distribution chain.

      2.5 Central to the legal contract between the Database Owner and the Host System may be specific information that the Host is required to convey to the information User concerning permitted uses of the databases.

      2.6 Gateway arrangements can interfere with the transmission of notices, warranties and restrictions from Database Owners to information users, thereby introducing ambiguity into what were clearly understood contractual obligations. (It should be noted that said notices, warranties, and restrictions vary with the individual contract agreed to by the Database Owner and Host System. The terms of those agreements are the determination of what may be required).

  3. Gateways

    A gateway can be broadly defined as a link or links between a User of an online database and the primary Host System(s) of the database. Gateways take various forms, some of which are described and illustrated by example in Appendix A.

      3.1 As a result of this process, new information distribution channels are created which may have some of the following effects:

      3.1.1 The User may be afforded access to database without notification as to their ownership and the terms/conditions of use established by the Owner.

      3.1.2 An unlicensed Host may derive access to a database for which it has no license or contractual arrangement.

      3.1.3 User identification information from an unlicensed Host may not be available to either the licensed Host or to the Database Owner.

      3.1.4 The User may not be notified of which (among several) Host Systems are being employed.

    Notwithstanding the specific examples noted, Gateway arrangements could act in such a manner as to alter, or invalidate contractual undertakings of the participants.

  4. Rights and Obligations: A Code of Practice

    In this section a distinction is drawn between the term "Rights" which is defined as information or services that participants in a Gateway arrangement are entitled to receive, and the term "Obligations" which is defined as the information or services that participants may be required to provide.

    "Rights" and "Obligations" are not distributed evenly among the participants. This is due to their differing roles in the various processes involved in a Gateway arrangement. A "Right" may be waived by the entitled person; an "Obligation" cannot be ignored without such a waiver.

      4.1 There are four participants in a Gateway arrangement. They are:

        1) Proprietary owner (producer) of database(s),

        2) Host System (vendor) which has license agreements or contracts providing for its use of proprietary databases,

        3) Gateway, as already described in Section 3 (and Appendix A), and

        4) The User of the database(s).

      4.2 The major "Rights" and "Obligations" can include the following:

        I. Identification of Database Ownership

        II. Identification of User(s)

        III. Identification of Host System(s)

        IV. Identification of Database(s) Accessed

        V. Description of Gateway Component(s)

        VI. Changes to Gateway Component(s)

        VII. Accuracy and Quality of Data/Services

        VIII. Updating

        IX. Privacy

        X. Use of Information

      4.3 The matrix shown below visually describes the distribution of the Rights and Obligations as identified in this Code of Practice. The symbol "R" is used to indicate where a Right resides, and the symbol "O" is used to indicate where an Obligation resides. These "Rights" and "Obligations" can be conferred exclusively on one participant, or, according to their nature, they can be attributed to more than one participant in a Gateway arrangement. In a number of cases a Gateway participant may have both a Right and Obligation associated with a particular issue. Narrative descriptions of the Rights and Obligations as well as the rationale used to assign them follow the matrix.

                  Database          Primary
             Owner              Host            Gateway        User
                               System

I.             R                 O                R/O            R
II.            R                R/O               R/O            O
III.           R                 O                R/O            R
IV.            R                 O                R/O            R
V.            R/O               R/O               R/O            R
VI.           R/O               R/O               R/O            R
VII.          R/O               R/O               R/O            R
VIII.         R/O               R/O                R             R
IX.           ---                O                 O             R
X.             R                 O                 O             O
      4.4 Description and Rationale

        I. Identification of Ownership: The ownership of a status of a database must be readily and publicly accessible throughout the Gateway arrangement to ensure copyright protection. The User has the right to know this information and the Owner has the right to expect that the Host System and Gateway will disseminate the information. Additionally, the Gateway has the right to receive the information from the Host System.

        II. Identification of User(s): User information must be recorded and conveyed along the Gateway chain. It is the obligation of the database User to supply sufficient identification information to both the primary Host and the Gateway operator. It is the obligation of the Host and Gateway operator to convey such user information to the database owner.

        III. Any Host System entering into a Gateway arrangement must be identified to all other participants in that Gateway. It is the obligation of the primary Host to inform the Owner of a database it distributes that a Gateway arrangement exists. A Gateway operator has the obligation to inform users of which Host System is being utilized and have the right to be notified if any Host in the Gateway arrangement enters into an arrangement with another Host System.

        IV. Identification of Database(s) Accessed: A Database accessed by any means in a Gateway arrangement must be identified by names that are approved by the database owner. Gateway Operators have the right to receive these names from the Host Systems and have the obligation to relay the name to the User.

        V. Description of Gateway Components: Any public description, by whatever means, of a Gateway or any component thereof must be accurate. Every participant in a Gateway arrangement has the right to receive such accurate data. To fulfill the right requires that each Database Owner, Host System and Gateway Operator in the arrangement assume the obligation of providing appropriate information to the other participants.

        VI. Changes to Gateway Component(s): Any changes to a Gateway component must be fully and promptly disclosed by the participant making the change. Every participant in a Gateway arrangement has the right to receive such information. To fulfill this right requires that each Database Owner, Host System and Gateway Operator in the arrangement assume the obligation of providing appropriate information to the other participants.

        VII. Accuracy and Quality of Data/Services: The data and services provided by any Gateway participant must adhere to the standards for quality and accuracy which are publicly described by each. Each participant in a Gateway arrangement has the right to receive data and services which adhere to such publicly defined standards. Database Owner, Host System and Gateway Operator have the obligation to provide such data and services to one another and to the User.

        VIII. Updating: The regular delivery of and timely access to information must be in accord with specific, predetermined agreements between participants in a Gateway arrangement. It is the obligation of both the Database Owner and the primary Host System to provide such timely access to the Gateway Operator and therefore to the user. It is the right of the Database owner and the primary Host System to expect that the other will perform the updates in accordance with their predetermined agreement.

        IX. Privacy: The nature of search queries and the corresponding results are privileged information and cannot be disclosed. It is the obligation of both the primary Host System and the Gateway Operator to maintain such privacy, which is the Right of the User.

        X. Use of Information: The permitted uses of information are predefined by the Database Owner and cannot be extended beyond the scope of such definition by any other Gateway participant. The Primary Host System and Gateway Operator are obliged to disclose to the User the authorized use(s) of database information. The Primary Host System, Gateway Operator and User are each obliged to observe the Right of the Database Owner by complying with Owner's terms and conditions for the use of the database.

      4.5 It must be clearly understood that while a Right may be waived by the entitled party, an obligation cannot go unfulfilled unless a specific waiver is obtained.

Appendix A

A Gateway is a link or links between a User of an online database and the primary Host System(s). Examples of Gateway:

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