American Acceptance of the Open eBook Format as a Standard By Edward Goas UNIVERSITY OF ADVANCING TECHNOLOGY April 2007 A thesis presented to the University of Advancing Technology in partial fulfillment of the requirement for the Master of Science degree (c) 2007 Edward Goas ABSTRACT 4 INTRODUCTION 5 TECHNOLOGY AND MEDIA 5 THE DIGITAL AGE 6 DIGITAL MEDIA 7 INTEROPERABILITY 10 ACCESSIBILITY 13 THE INTERNATIONAL DIGITAL PUBLISHING FORUM 14 STANDARD RECOMMENDATIONS FOR EBOOKS 15 OBSTACLES TO OVERCOME 15 FIELD SURVEY 17 BUSINESS AND CONSUMER BEHAVIOR IN THE DIGITAL AGE 17 THE LACK OF AN EBOOK PRODUCTION STANDARD 20 THE INTERNATIONAL DIGITAL PUBLISHING FORUM 30 THE OPEN EBOOK FORMAT 30 MAJOR BENEFITS OF THE STANDARD GUIDELINES 37 SUCCESSFUL STANDARDS 40 UNSUCCESSFUL STANDARDS 43 HOW THE OPEN EBOOK STANDARD CAN SUCCEED 45 HOW THE OPEN EBOOK STANDARD CAN FAIL 47 STATEMENT OF THESIS 55 METHODOLOGY 56 WEB BOT 56 EBOOK CONSUMER SURVEY 58 EBOOK RETAILER SURVEY 60 DATA ANALYSIS 63 WEB BOT 63 EBOOK CONSUMER SURVEY 65 EBOOK RETAILER SURVEY 69 SUMMARY OF PRIMARY DATA AND FINDINGS 72 LIMITATIONS OF RESEARCH FINDINGS 74 ACKNOWLEDGEMENTS 77 ABSTRACT Continuing advances in and increased availability of computer and communication technologies have led to the digital age and have given birth to digital media. As of 2007, each digital media type has multiple file formats for the same content. Different file formats typically have their own characteristics, as do the devices that use them. Sometimes a file format and device are not compatible, forcing customers to own multiple media files or devices to perform the same task. The publishing industry has followed this trend with the eBook, an electronic version of a hard copy book. Compatibility issues have been identified as a problem with eBooks, as some eBook file formats are incompatible with certain eBook reading systems. Since the inception of eBooks, no single, universal eBook format has emerged as a benchmark in the ePublishing industry. In response to this, an industry trade and standards organization called the International Digital Publishing Forum proposed a set of specifications for an eBook publication standard file format called the Open eBook Format. This paper attempts to assess these recommendations against market values and demands in order to forecast the success of the proposed eBook standard in the American retail eBook marketplace. This paper predicts the American retail eBook market will not adopt the Open eBook Standard recommendation as an eBook standard format by April 30, 2009. In the eyes of eBook retailers and consumers, the format does not seem to provide sufficient benefits over existing eBook formats. INTRODUCTION Lack of a clear, open standard for operating systems is one major problem for the industry. As long as proprietary or competing, incompatible standards exist, eBooks will remain a small market. Without standards, users must not only choose titles and devices to read them, but also they must work to become comfortable with the limits/options imposed by each system, Having a single standard system - that can be used by all companies to further refine and enhance their specific products - will ensure stability for potential users. (Herther, "The eBook Industry Today," pg. 47) Before addressing eBooks, it is important to understand the concepts of technology and media, since eBooks are a sub-category of these larger terms. Technology and Media Rudi Volti (2001) explains how "Technologies are developed and applied so that we can do things not otherwise possible, or so that we can do them cheaper, faster, and easier. The capacity of human beings to employ technologies sets us apart from other creatures" (pg. 4). Throughout history, as human beings have evolved, so have our technologies. It is necessary to define the term technology. For this purpose of this paper, technology refers to tools and ideas for transforming material, data or labor (inputs) into good and services (outputs). Digital technology is technology that refers to digital information and the devices that use digital information. Evolving technology builds upon established inputs and convergences to provide a new output that provides a sustaining or radical improvement. When defining the a technology in reference to existing technologies, Rudi Volti (2004) suggests how every technology falls into one of two categories. * Sustaining, or incremental technologies improve upon some aspect of an existing technology. * Radical, or disruptive technologies create an output that is extremely different from anything in existence. Media is a second term that needs to be defined in the context of this paper. Media is the various means of mass communication. Like other technologies, media has evolved with instances of sustaining and disruptive changes. The photography industry provides an example of sustaining technology. Color film built upon black and white film's model and improved it by supporting color (Hart, 1998). Color film represents a sustaining technology since it improved upon an existing technology without radically changing the techniques or tools. The publishing industry provides an example of a disruptive technology. The printing press, a technology used to create moveable type, was a disruptive technology since it largely replaced the need for handwritten documents. It allowed humans to produce larger quantities of printed material quickly and reach larger audience. Movable type and the printing press provided sufficient advantages over other methods of producing and distributing text; this led to its adoption by people. The nature of new media technologies impacts how likely people are to adopt them. Sustaining technologies do not introduce radically new ideas to people and improve upon something already in existence. Even so, a sustaining technology must provide a sufficient benefit for people to adopt it. Conversely, radically new and disruptive technologies present something new. If these technologies do not provide the public with sufficient benefits, they are likely to reject them. The Digital Age As the world moved into the digital age, people adopted both sustaining and disruptive technologies that provided a significant benefit over existing technologies. Continuing advances in computer and communications technologies allowed humans to convert and combine products, services and processes into digital forms. Digital information refers to methods of processing, storing, and transferring information using a binary computer language consisting of 1's and 0's. This information can then converted into a more interpretable form such as voice, video, image, or text. Digital information offers several advantages over their predecessors. The quality of digital content does not degrade when replicated (Bauckhage, 2003), multiple computer files are easy to organize and content acquisition and transfer is quick, sometimes almost instantaneous. With digital content, production and delivery time decreases while the content's quality and accuracy increases. Advances in digital communication enabled people to share information remotely. The invention of the Internet and World Wide Web were instrumental in the shift towards a digital world. Using the Internet, companies moved business processes and transactions online as well. As products, services, and information moved online, consumer values changed. For those with Internet access, knowledge had never been more readily available. The Internet gave users instant access to information, products and services throughout the world. The Internet and World Wide Web led to e-commerce, touching almost every company in the world today (Kinicki and Williams, 2006) and creating a global marketplace for businesses and consumers. These technologies have changed the way people shop for goods and services. The digital consumer is better informed, seeks greater value and uses the World Wide Web as a vast knowledge and information resource. As William Kolter and Gary Armstrong (2006) note how customers seek just the right combination of quality and service at a fair price. Many of these digital consumers do not like to wait (Bernstein, 2006); delivery speed has developed to be a major value ("Immediacy," 2003). Overall, consumers want more control over their content and how they can use it. Digital Media As consumer values were reshaped in response to the digital age, they adopted technologies that fulfilled their demands (Wigand, 2003). Technology in the digital age allowed traditional media to be translated into digital formats appropriate to text, graphics, photographs, images, sound, animations and video. The advantages of digital media over traditional media created consumer demand for digital media (Mackey, 2006). Digital media is a manifestation of digital information. Digital versions of media are more portable, ubiquitous, immediate, and accurate than traditional media. Digital media can leverage the benefits it inherits from digital information to satisfy user demand for media. Figure 1 provides specific examples. Figure 1. Advantages of digital media created consumer demand (Mackey, "Demand More From Your Mobile Content," 2006, slide 13). Organizations began creating and deploying their products and services in a variety of different digital formats in order to serve the widest range of consumers. A wide variety of devices (computers, PDAs, music players, movie players, etc.) were created to load and execute various types of content. Each category of digital media has seen multiple formats created for the same content. While each upgrade for each media type provided users with benefits over existing forms, each file format had its own specifications. A Focus on eBooks EBooks are a type of digital media that, like others, have multiple formats for the same content. EBooks are digital content one reads as a paperless book, typically read using a computer or an electronic reading system. Computer processes digitize text into digital information for use on a computer system. According to Nancy Herther, With the development of smaller and smaller computing devices and the parallel development of faster and more powerful computer components, technology provided the basis for development of computer-readable mass-market publications. The first practical application effort of this general concept came with Alan Kay's Dynabook in 1960" ("The E-Book Industry Today," pages 45-46). Figure 2. Dynabook Prototype (Kay, 2000). Shown in Figure 2, the Dynabook was a small, portable computer with a flat panel display. However, the concept of eBooks and eBook readers lay dormant until the 1990's when the invention of the Internet provided the means to publish, search and access eBooks on a massive scale. Numerous digital file formats for books (proprietary and non-proprietary) were introduced to the public. Typically, each format has a unique structure and benefits. For eBooks specifically, the cost of publishing eBooks can be much cheaper than a hard copy. A digital file can easily be converted into a variety of file formats to meet the needs of different customers. The storage costs of eBooks are minimal since they can be stored on computer networks ("All About eBooks," 2000). This all reduces the risk of selling eBooks for publishers. EBooks are a disruptive technology to the publishing industry because methods used to create, deliver, and use eBooks are radically different than traditional books. Traditional books rely on a printing press or handwriting, are delivered with physical transportation methods, and do not require additional tools to read. All EBooks are created with computer software, can be delivered via an Internet download as well as traditional forms of delivery (if on a compact disc or computer hard drive), and require an eBook reading system1. Each different eBook format represents a sustaining, or incremental technology. For an individual eBook format to survive in the eBook marketplace, it must provide sufficient advantages over other eBook formats in the eyes of consumers. If a format does not do this, people will likely not adopt the format. Interoperability A variety of different eBook formats were created in an attempt to provide benefits over others. Unfortunately, this large number of different digital media file formats can become confusing for consumers ("Choosing a File Format," 2006). Many files and reading systems are structured differently and based upon different standards. This can lead to compatibility issues between a file and a device or system. The term interoperability refers to the ability of a system or a product to work with other systems or products without special effort on the part of the customer. Interoperability is synonymous with technical compatibility and is an important term when talking about media technologies since it determines how people can use them. The concept of interoperability between media formats and devices is evident in the digital age. Different digital media file formats and devices were created to fulfill different market needs and demands. Typically, each file format differentiates itself with features unlike that of its competition. While this may provide customers with added quality or saved cost, it fragments the digital media markets by adding options for consumers. Since many of these file formats are built upon different standards, they do not work on every computer system and device in the marketplace. The variety of digital media file formats and devices to use the content produced many incompatible pairs. Examples of digital media formats and devices that are technically compatible and thus, interoperable include: * Apple iTunes and an MP3 file * Windows Media Player and an AVI movie file * Microsoft Internet Explorer web browser and a JPEG digital image * Apple Preview and an Adobe PDF file Examples of media devices and inputs that are NOT technically compatible and thus, NOT interoperable include: * An Apple iPod and a Windows Media Audio (WMA) audio file * An NTSC DVD player and a PAL-formatted DVD * A digital camera and 35MM camera film * Sony Reader and an HTML eBook file Since not all media is interoperable, users are sometimes limited to a range of compatible devices to access the content of many media formats. They can't use any device with any media format and have them work together every time. Situations like these make it hard for the consumer to use the hardware and software of their choice to use their media content, taking away a degree of free choice from the user's experience. It also creates a confusing scenario since consumers must worry about purchasing digital media and devices that are compatible with one another. The National Institute of Standards and Technology (2002) provides a list of popular digital audio, image, text and video formats on their site, the standards they are based on and their advantages and disadvantages. As the critical issue for the survey, the NIST (2002) states, There are hundreds of file formats for representing media online or in print, for medical imaging, homeland defense, and countless other applications. Formats may be proprietary or nonproprietary, native to one particular software program or useable in a number of programs, and each has its own characteristics, making one "better" than another for its desired use. This wide range of characteristics creates a challenge to interoperability. How is a user to know which file format is best for them? (pg. 1) The large number of different file formats can create a confusing scenario for people since many file formats and devices are not compatible with each other. EBooks suffer from compatibility issues just as their digital media counterparts (Fox, 2006). The Association of American Publishers (AAP) defines Interoperability as "the condition achieved when two or more technical systems can exchange information directly in a way that is satisfactory to the users of the systems" (Mooney, 2001, pg. 1). The ePublishing industry is battling over the expanding selection of eBook file formats emerging. Multiple file formats for the same content have been created and diffused into the public ("EBook Formats Expanding," 2002). The National Institute for the Standards Technology (2002) lists several popular file formats for eBooks and digital text, each with its own set of characteristics, advantages, disadvantages and standards. The African American Literature Book Club (2000) lists several more formats more specific to eBooks. Between just these two sources, 12 different eBook formats are listed. As with eBook formats, companies have created a variety of eBook reading devices. Like eBook formats, each of these reading systems has its own features and capabilities. Not every eBook reader can use every eBook file format. Without a standard of any sort, users must choose between. Publishers are forced to supply each of these file formats to ensure every consumer can use an eBook title on to their device (Noring, 2003). No standard has arisen as a benchmark for a final production format for eBooks. Without a standard structure for eBook files, users must ensure that a device and media content are compatible to access the contents of the media file. Until there is a standard for eBook files, consumers will be restricted to compatible file and device pairings or be faced with compatibility issues. Digital Rights Management Sometimes it's the structure of a file's digital rights management scheme that renders a file incompatible with devices rather than the structure of the file's contents. Digital Rights Management (DRM) refers to technologies added to a file that allow content owners to control how users can use digital content. A DRM scheme is defined in a file's metadata. Metadata is information about a file, such as descriptive information or how the file can be used. The structure of digital rights management schemas has not been standardized in any digital media industry and the ePublishing industry is not exempt from this model (Godwin, 2002). If a device does not recognize the structure of a file's DRM scheme, it might not be able to use the file. DRM schemes attempt to decrease piracy rates of digital information by placing limitations on how the content can be used. Piracy, or the unauthorized duplication and use of intellectual property, is a large issue with the digitalization of media. Digital file formats can be copied repeatedly without any data or quality loss. Smaller files, such as audio or text files, can easily distributed due to their simple format and small file size (Bauckhage, 2003). The rise of network usage and capabilities resulted in a high level of information sharing via Darknets. This includes the distribution and sharing of unauthorized media files (Picot & Fiedler, 2003). Peer-to-Peer networks are instrumental in this process, often blamed for decreases in lawful music sales ("Piracy blamed for CD slide," 2006). Models like this give way to extensive superdistribution, using the Internet to spread unauthorized copies of purchased files to multiple users on large scale (Biddle, England, Peinado, & William, 2003). To combat this, intellectual property owners and proprietors can place a variety digital rights management protection measures in their digital content to help protect the content from being unlawfully used and manipulated. Digital rights management schemes attempt to decrease piracy of intellectual piracy in digital form. Accessibility Accessibility is another important factor that effects how people can use their media content. Accessibility refers to the possibility for everyone, regardless of physical or sensory readiness, to fully access and use technology and information products. People with physical and sensory disabilities are able to gain the value of accessible information the same as someone without disabilities. Media is not always initially accessible to every user. Providing accessibility tools and alternatives allows disabled users to access the content of a media file just as a non-disabled user. Accessible media ensures equal access and equal opportunity to people with disabilities by barriers of text, audio and visual elements (Henry, 2005). In the age of information technology, accessibility refers to the possibility for everyone, regardless of physical or technological readiness, such as people with disabilities, to access and use technology and information products. Section 508 of the US Bill of Rights outlines areas that are covered under US law and establishes a minimum level of accessibility2. "Summary of Section 508 Standards" (2006) explains how the guidelines "are structured to allow people with sensory or physical disabilities to locate, identify, and operate input, control and mechanical functions and to access the information provided, including text, static or dynamic images, icons, labels, sounds or incidental operating cues." No single eBook file format guarantees 100% accessibility to all users, regardless of any disabilities that affect the ability to read an eBook. No universal, accessibility benchmark exists for eBook formats. The International Digital Publishing Forum As of the late 1990's, new eBook formats continued emerge in the marketplace without standards in place. Organizations continued to offer a variety of these formats and people were forced to choose file formats and devices that were compatible with one another. The variety of different eBook formats confused many eBook consumers. Interoperability issues frustrated others. In 1998, about 300 software and hardware engineers attended the first annual eBook conference sponsored by the National Institute of Standards and Technology (NIST) and National Information Standards Organization (NISO) (Herther, 2005). As a result, the OEBF formed in 1999 to create guidelines for a universal, standardized eBook file format. In September 1999, the group released its first recommendations for eBook source files with the Open eBook Publication Structure 1.0 ("Open eBook Publication Structure Specification History"). In 2004, the Open eBook Forum became the International Digital Publishing Forum (IDPF) (Conboy, "IDPF Standards and Development," 2006). The mission of this trade and standards organization is to "foster and promote the development of electronic publishing applications and products that will benefit creators of content, makers of reading systems and consumers" (International Digital Publishing Forum: About, pg.1). The group is compromised of subject matter experts and representatives from major organizations and industries involved in (digital) publishing, e-commerce and security3. Standard Recommendations for EBooks The goal of the IDPF's Open eBook Standard format for eBooks is to provide a universal file format for eBooks that is interoperable and accessible across all reading systems. Every reading system should be able to parse and access the contents of an Open eBook, regardless of system platform and without any additional software. Ideally, "publishers and other content creators will produce only this format for entry into the distribution and/or sales channels" (Conboy, "IDPF Standards and Development," 2006, slide 18). It would also provide a standard production structure with control over content presentation and functionality. Files created in the structure would deliver the same content across a range of devices, satisfying all user needs with a single format. When an industry complies with a standard and follows the same principles, every user is able to use their products. It is the goal of working group within the IDPF to foster this kind of environment for the eBook industry. Obstacles To Overcome The most vexing technology choices are those where multiple versions are vying to become the dominant design (...) A design becomes dominant when it commands a broad allegiance of the market, so that competitors are forced to adopt it if they want to participate. This represents a milestone in the emergence of a technology because it enforces standardization that enables product economies to be realized, while removing a major inhibitor to the wide-scale adoption of the technology. (Day, Schoemaker, & Gunther, "Wharton on Managing Emerging Technologies," pg. 29) Despite the Open eBook Format's benefits outlined in this paper thus far, it must overcome several major hurdles if it expects to be adopted by people on a large scale. The IDPF released updated versions of the OPS and OPF in December 2006, significantly strengthening the format. However, the question of the format's place in the market remains. Will users see enough value in this new format to adopt it or will they stick with their personally preferred, tried and true eBook formats? While the Open eBook Format standard recommendation promises to solve major issues concerning interoperability, accessibility, and overall usability, are users currently dissatisfied with the eBook market and options? Will they break any existing habits and loyalties? EBook retailers must see its value as well for it to succeed in the eBook marketplace as well. Will they warm up to the idea of universal standard or will they continue to offer a variety of non-standard alternatives? Will eBook sellers perceive the as providing a sizable advantage over existing eBook formats? Will they go through the trouble of adding titles in Open eBook Format? Are they satisfied with their existing business offerings? An eBook standard won't succeed if eBook publishers and retailers don't adhere to it. Jon Noring (2003) asks, "Is a single, universal consumer eBook format possible, one which meets nearly all the needs of both publishers and end-users" (pg. 1)? Are people dissatisfied with existing eBook formats and likely to adopt a new format? These are the major questions this paper researches and forecasts. FIELD SURVEY The challenge of assessing future markets for new technologies is to determine the demand for products that don't exist from customers who don't yet know about them. At the same time, the trajectory of technology development and speed of market acceptance are also uncertain. (Day, "Wharton on Managing Emerging Technologies," pg. 127) Before predicting whether the eBook industry and public will accept a new, standard eBook format, we must first look at the current marketplace. What do people value? What do they demand from their digital content? Does the Open eBook Format fulfill these demands? Where (if anywhere) is there room for improvement? We should first look at consumer behavior and what type of media they favor. Business and Consumer Behavior in the Digital Age Phillip Kotler and Craig Armstrong's Marketing Management (2006, pg. 553) lists four major forces that have defined the digital age: digitalization and connectivity, the explosion of the Internet, new types of intermediaries, and customization. We can start by looking at the public's adoption of the Internet and World Wide Web. Figure 3 shows a steady increase in the number of total and active web pages since the World Wide Web's beginnings. Figure 3. The growth of the World Wide Web in number of web pages and activity 4. From August 1995 to August 2006, the total number of websites grew from less than 1 million to almost 94 million (as shown by the blue line). The total number of actively updated websites (as shown by the red line) also shows a steady increase since August 2000. The figure illustrates the increasing number of websites in existence. This age of increased connectivity helped in the adoption of digital media and digital media devices as well. Figure 4. Number of U.S. consumers likely to adopt a device for digital media by 2005 (in millions) (Rice, 2001). Figure 4 predicted how many people were likely to adopt devices to support digital content by 2005. The data in the figure translates to roughly 12.7% with digital audio devices, 10.6% with interactive television devices and 9.6% with eBook reading devices5. While some may consider eBooks to be a niche market compared to digital television and audio, figure 4 shows a significant amount of Americans have an interest in using eBooks. It should be noted how this survey was conducted in 2001. It all comes down to whether the media formats cater to user needs. Jennifer Davies (2006) explains how digital devices and media formats cater to the on-demand world. People can listen to their iPod if they don't like what's on the radio, people can record TV programs using digital video recorders instead of being limited to a live broadcast, people can download an eBook and read it almost instantaneously instead of driving to a bookstore or waiting for one to arrive in the postal mail, and more. Changes in consumer behavior are evident in the digital age. Ahlers and Hessen (2005) note that 29 percent of website users, or 12.2% of the US population, completely substituted online news for traditional news, as found by Frank Magid Associates6 for the Online Publishers Association. Another 21.5% claimed to use online and offline media. In Ahlers and Hessen's article, they note how younger generations are not developing the habit of reading traditional newspapers. This is a significant percentage when talking about trends in online and offline news. From approximately 1990 to 2001, Tower Records was "the place" to buy music. Since 2001, "Changes in how and where music is purchased and fierce price competition have almost rendered the retailer obsolete, and it is unlikely that Tower Records will continue at its current size" ("Tower Records: crumbling under the competition," 2006). The article goes on to explain how as "...the popularity of paid-for digital downloading increased Tower Records struggled to drive footfall to its stores." Music customers were making digital music purchases rather than buying CDs in a store. Tower Records declared bankruptcy later that year. Meanwhile, sales of digitally distributed music continue to rise as record companies "are embracing new digital business models they previously rejected" (Pfanner, 2006, pg. 1). When companies made digital versions of their products and services, consumers responded. They moved away from many traditional media forms in favor of digital versions since digital media met their demands. However, many times no standard is set for digital media formats and devices. As a result, various digital media markets have been flooded with a number of unique file formats and devices to use them. The Lack of an eBook Production Standard EBooks are not exempt from this trend. While the public may have adopted eBooks are a large scale, the number of existing eBook formats creates a complex environment for many users. Various eBook formats have different characteristics, limitations, and restrictions (Wang, 2004). Several file formats for eBooks evolved and were diffused into the public for consumption. Typically, each file format differentiates itself with features unlike that of its competition. As the NIST (2002) lists on their site, these formats often possess unique advantages and disadvantages and are based upon different standards. Some file formats are based upon the same standards as the Open eBook Standard, but "required platform-specific processing and/or DRM-wrapping before delivery" (Conboy, "IDPF Standards and Development," slide 15). There are no universal guidelines for companies to follow when creating eBook files and reading devices. This lack of a standard format is a major disadvantage of eBooks (Sebastian, 1995). Each different eBook file format and reading device has its own specifications for interoperability and accessibility. In many cases, these specifications are not consistent with each other. Interoperability Universality is the principle that your site should be accessible to any device, regardless of browser type, operating platform, screen resolution, etc. (Pickard, "A Standardista's Alphabet," 2006, pg. 1) Though Jack Pickard refers to web pages in the aforementioned article quoted above, the principle applies to all of digital media. He goes on to note how "A W3C7 Recommendation is the equivalent of a standard in many other industries" (2006, pg. 1). In his book Creating Digital Content, John Rice (2001) notes "A landmark study by Accenture8 reveals that consumers want total control over content-anyplace, anytime, across any channel, and in any context..." (pg. 53). This presents a problem with media content that is not interoperable. As of 2007, there are an abundance of web browsers, each with a different way to interpret and display websites. Since web pages are created using different techniques, they sometimes display differently in different browsers. The Web Standards Project identifies this as a primary problem by saying that a "lack of uniform support for key W3C standards left consumers frustrated: when using the 'wrong' browser, many could not view content or perform desired transactions" (WASP - Mission, 2006, paragraph 5). If all web pages conformed to W3C's standard recommendations, no one would have problems using any web page. Another example of non-interoperable media in the digital age formed towards the end of 2006. The digital video disc (DVD) industry suffered from competing, incompatible High-Definition DVD formats from industry rivals Time Warner, Toshiba and Sony. "Retail and media executives say this clash of corporate titans and their incompatible machines has left some consumers bewildered and has slowed the introduction of what is intended to be the next great thing in home entertainment" (Siklos, 2006, pg. 1). Another author on BBC.co.uk claims that, "The rival formats have split the film and electronics industry" (pg. 1), causing confusion among consumers and forcing them to choose between rival formats for the same product. In 2000, the global market intelligence research firm IDC conducted a study of which constraints users would accept when downloading music9. Figure 5 displays the results of the study. Figure 5. Constraints Consumers Would Accept. Study conducted by IDC concerning what restrictions consumers would accept concerning music files (Fetscherin, 2003). The study reveals that only 5% of respondents would accept being limited to certain devices when using digital music. In addition, many people were not willing to download additional software or the inability to share content. Overall, individuals in the sample pool did not like being restrained as to how and where they can use their content. The author notes that a majority of the individuals surveyed would not accept any of the constraints in figure 6. Like their digital media counterparts, the ePublishing industry is battling over the expanding selection of eBook file formats emerging ("EBook Formats Expanding," 2002). Because there are numerous file formats and no universal standard exists, not every file format works on every eBook reading device. A media retailer must offer each product in multiple common file formats to ensure it reaches every customer, no matter on what device they intend to use the content. The high number of different file formats a user must choose from has lead to many interoperability issues between various devices and media file formats. The software on the device must be able to recognize and parse information contained in the file. In his book EBooks 2.0, EBooks.com CEO Stephen Cole writes, "To this day, eBook users are stymied by the complexity and instability of popular eBook reader software" (pg. 4). He explains how people expect eBooks to work when they purchase them. As soon as a customer has paid for an eBook, they should be able to read it. Due to incompatible eBook file formats and device software, this is not always the case. "Who would want to buy an eBook when it's so much trouble just to open the book" (Cole, "eBooks 2.0," pg. 4)? On what Stephen Cole refers to as a 'bad day' at eBooks.com, as many as 40% of eBook.com customers contact tech support due to problems with eBook purchases from eBooks.com. A common problem these customers share is not being able to load their eBook on a certain device or using certain computer software (Cole, 2006). Purchasing and using eBooks should be a seamless process across operating systems and devices (McCoy, "Adobe's Digital Publishing Roadmap," 2006, slide 5). But it is not a seamless process because a standard eBook production format has not emerged in the digital publishing industry. Until then, users must choose between formats while retailers must provide multiple formats to serve every consumer. In February 2007, a personal contact within a major publishing company estimated that his company carried 9,400 different eBook files in six total eBook formats for 2,500 titles. On average, each eBook title is offered in three or four different formats, despite the eBook content being the same for each. Situations like this create confusing scenarios for consumers when shopping for and purchasing eBooks. In 2003, the Harold Henke conducted a consumer survey on eBooks. The Open eBook Forum and Chartula, a research firm specializing in ePublishing and eLearning, published it. The purpose of the survey was to determine consumer preferences for eBooks on a broad level. Figure 6. How eBook users feel about using eBooks on any computer (Henke, 2003). The survey asked its respondents how they felt about using an eBook file on different computers. Figure 6 shows how 70% strongly agreed or agreed that they should be able to use an eBook on any computer they want. Only 8% seemed OK in being restricted to a certain range of computers. Henke conducted a separate survey, "Survey on Electronic Book Features." His results identify interoperability as one of four key points resulting from the survey's results. "Almost 41 percent of the features suggested by people were related to usage of electronic books, especially the desire to share electronic books whether by donating to a library or a friend, to loaning the electronic book, to selling the electronic book" (pg. 5). When survey participants were asked if they'd be likely to purchase an eBook if they're able to use it on any computer, 70% of the participants either strongly agreed or agreed. In 2006, the International Digital Publishing Forum published a similar survey research study, "EBook User Survey 2006." The survey was sent to the IDPF's mailing list (approximately 6,000 members) as well as customers of eReader.com and Fictionwise.com, two leading eBook retailers. Figure 7. Importance and satisfaction of eBook transfer with survey respondents ("EBook User Survey 2006," 2006). Figure 7 shows that 82% of the survey's participants ranked the ability to transfer eBooks between devices as very important or important. However, when asked about their satisfaction with this at the time, responses were evenly distributed from excellent to poor past experiences. When the survey asked why its participants why they had not read a commercial eBook, three general answers were repeated throughout the survey participants who replied to this open-ended question. One of these answers reads as follows: Proprietary formats and associated DRM causing a lack of interoperability between reading systems, fear of longevity of formats and general lack of flexibility of files once purchased. ("EBook User Survey 2006," pg. 3) The same survey asked each participant about ability to move purchased content from one device to another. Figure 8 displays the results of this feature from the survey. Figure 8. Importance and satisfaction of eBook transfer with survey respondents ("EBook User Survey 2006," 2006). This figure shows that 82% of the survey's respondents ranked interoperability as important or very important, clearly identifying eBook interoperability as an important factor among the survey participants. However, at the same time, satisfaction levels among the same population are spread fairly even from very satisfied to very unsatisfied. This identifies a user demand not yet fulfilled by eBooks. Figure 9. Importance and satisfaction of lending eBooks with survey respondents ("EBook User Survey 2006," 2006). Similarly, figure 9 shows 48% rate the ability to lend eBooks to others as important or very important. At the same time, 48% of the survey's respondents claimed their experience in lending eBooks to others to be fair or poor. The end of the survey provided several open-ended questions for its participants to fill out. When asked about 'a wish list of future eBook features' and 'biggest peeve with eBooks', the survey notes how interoperability issues dominated the participant responses. Figure 10. Poll results on Openreader.org ("Open Reader Poll Results ," 2007). Many fear their reading device is not compatible with every eBook file format. An ongoing survey by Open Reader, another eBook file format, reveals how many customers are afraid of eBooks and electronic reading devices being incompatible (Noring, 2003). Figure 10 displays the results as of January 19, 2007, roughly a year and a half of survey responses. The statistics in the section of this paper reveal two major trends: 1. Consumers want eBook files to work on any reading device, and 2. Past experiences and satisfaction levels of these customers indicates that eBooks are not always interoperable and there is room for improvement. While consumers want control over their digital content and be able to use it any time and anywhere, they do not always get their wish. Many fear they can't use their digital content in the ways they want because of the way the content is structured. This information reveals room for improvement with interoperability of eBook formats. Digital Rights Management Restrictions Sometimes the DRM structure makes a file incompatible with certain devices. Like file formats, Digital Rights Management (DRM) schemes have a structure within metadata; and there is no standard structure for DRM creators to follow. It is important that the number of different DRM systems does not multiply (Foreshew, 2005). Business Week author Catherine Holahan gives one example of how "Apple's brand of DRM software, called FairPlay, also prevents music purchased through services other than iTunes from playing on the iPod" ("Music Fans: Dismantle DRM," paragraph 3). Despite compatibility issues DRM can cause, it has been identified as an important issue to retailers of digital media. Apple CEO Steve Jobs explains that music companies will likely agree to release their music without DRM protection (2006). Senior market analyst Piper Jaffray seconds this claim ("Analyst: DRM-free music beneficial, but unlikely," 2006). DRM is crucial to many digital media retailers; it is important that digital media file formats (including eBooks) address the need for digital rights management in file formats. For protection and file constraints to succeed in the business to consumer environment, the business must create DRM schemes with several factors in mind. Designing for flexibility, portability, usability, and privacy allows consumers to get more out of the content they purchase, no matter how or where they plan on using it (Fetscherin, 2003). DRM schemes should also establish a common language while being interoperable (Bremer and Buhse, 2003). The standardization of the Open eBook format's DRM structure attempts to fulfill these demands. If file formats are not interoperable between devices, users are swayed towards another means of fulfilling the need. For the Open eBook Publication Structure, it means choosing another file format for eBooks. The entire file needs to be interoperable; this includes the structure of any metadata and its contents. Accessibility Accessibility is another important issue that impacts how users can use their digital media. Many times, recommended accessibility guidelines for digital media are not followed and users cannot access content. Accessibility options for digital media files such as eBooks, web pages, and digital videos are not always included. Because of this accessibility issue, users are sometimes denied the value of the content. This trend of inconsistently accessible media files is evident with eBooks as well. Larry Skutchan, a Technology Project Leader for Department of Educational Research, states that some companies create eBooks inaccessible to blind and print-disabled students. Other companies create accessible eBooks in numerous file formats. This situation has created the need for a single standardized, accessible eBook file format for eBook creators to use when creating eBooks (2006). Figure 11. Value regarding font size in eBooks of survey respondents (Henke, 2003). In 2003, Harold Henke's "Consumer Survey on eBooks" revealed that the ability to adjust an eBook's font size was an important feature among the survey's respondents10. Figure 11 shows how 56% strongly agreed or agreed that that ability to adjust font size is an important feature. Joe Clark, a respected subject matter expert in the field of web accessibility, launched the Open & Closed Project in November 2006 to standardize captioning, audio description, subtitling, and dubbing of media (Clark, 2007). The goal is to create standard recommendations for these four items to be accessible to everyone in the world in every possible situation. The existence to this project shows how important accessibility issues are in twenty first century media. The experience of a physically disabled web user is still far from perfect (Tedeschi, 2006). Users should always be able to access the content, no matter on what device or system they have the content. Curt Cloninger (2000) explains in "Usability experts are from Mars, graphic designers are from Venus" how accessibility and usability of websites should take priority over visual design and aesthetics. While accessibility may not effect the majority of the US population, design should not affect functionality. This principle also applies to eBooks. As with interoperability, accessibility in eBooks has room for improvement. The International Digital Publishing Forum The International Digital Publishing Forum formed in order to solve these issues in the eBook industry. The IDPF is a trade and standards organization comprised of invited industry subject matter experts and involved organizations. "The work of the IDPF will foster and promote the development of electronic publishing applications and products that will benefit creators of content, makers of reading systems and consumers" ("About the International Digital Publishing Forum"). The Open eBook Format In the late 1990's the International Digital Publishing Forum called for the standardization for eBooks11. They came up with the Open eBook Format. An eBook in Open eBook file is made up of several parts. The Open Publication Structure (OPS) is the source file, or the actual content (text, images, alternative eBook formats, etc.) of the eBook. Metadata about the eBook is created in the form of an XML file. This includes any digital rights management schemes. Unlike many existing DRM schemes in digital media, the structure of the OEB's is maintains the eBook file's interoperability. An Open Container Format (OCF) file encapsulates all of these files together in a single file, much like a ZIP file. The OCF encapsulates all OPS files, images and metadata. It can also contain other eBook formats (ex. .PDF. .LIT, .DOC) as additional versions of the eBook title. In the root directory (or top level) of the OCF file is an Open Packaging File (OPF) that "points to all other component pieces" (Conboy, email communication, 2007). An Open eBook file has the file extension of .EPUB. Open Publication Structure According to the International Digital Publishing Forum, "the Open Publication Structure (OPS) Specification describes a standard for representing the content of electronic publications" ("Open Publication Structure (OPS) 2.0," 2006, section 1.1, paragraph 1). The Open Publication Structure "offers the ability for an electronic book to directly be rendered by devices and software" (Conboy, "IDPF Standards and Development," 2006, slide 35), without the need of additional software. As of 2007, most companies did not take this approach and produced platform-specific eBooks. The International Digital Publishing Forum created a group of specifications, guidelines and restrictions for creating OPS files. These styles are based upon W3C's recommendations for XHTML, CSS, and XML; all universally known languages for web authoring. Long time eBook publisher John Noring (2003) states how "the [OPS] Specification specifies a coherent, eBook-optimized framework for organizing XML documents containing book content into a powerful eBook representation of the work." (paragraph 26). As of March 2007, the XHTML markup used in OPS documents must adhere to the W3C's for XHTML 1.1, although the markup may be extended beyond. The XML markup used in OPS documents must adhere to the W3C's for XML 1.1, although the markup may be extended beyond. The CSS markup used in OPS documents must adhere to the W3C's for CSS 2.0, although the markup may be extended beyond. A full list of OPS 2.0's relationship to other specifications can be located in section 1.3 of the "Open Publication Structure (OPS) 2.0" working draft. The Open Publication structure also allows deprecated items. These refer to items that are not recommended by the OPS specifications, but are permitted. Use of these elements depends on the capabilities of the reading device. Some reading devices may support additional features and media types; some may not. For this reason, fallback options for the same content in case a reading device cannot render and display a certain media element included in the eBook. This ensures everyone has access to the content in some format, regardless of reading device. Overall, the recommended structure follows many known practices currently followed in markup on the World Wide Web. The Open eBook format's use of XML, XHTML, and CSS promotes interoperability while maintaining presentation (Joyce, 2003). A complete list of requirements for the Open Publication Structure can be found on the International Digital Publishing Forum's official website ("Open Publication Structure (OPS) 2.0," 2007). Metadata The metadata of an Open eBook is data about the eBook. This includes information such as the title, author, publisher, copyright, digital rights management specifications, and more. The IDPF produced standard recommendations for the structure of the metadata, providing a universal convention to identify components within an Open eBook file. Digital rights management schemes are also part of a file's metadata. The Open eBook Forum openly states on its website that digital rights management is a major issue for individual eBook publishers as well as the eBook industry as a whole ("Open eBook Publication Structure Specification FAQ," 2002). The IDPF created a standard structure of defining digital rights management schemas in an Open eBook file. The forum collected a list of over 400 rights management requirements from industry professionals and business entities involved in digital publishing. They then prioritized and coordinated these requirements for rights grammar, creating the Rights & Rules Coordinated Requirements Document ("OEBF Rights Grammar Requirements," 2003). While the OEB format does not set the actual DRM restrictions, it standardizes how they are defined in a file's metadata. Quoting Stephen Mooney, "DRM is orthogonal to the creation of an open rich content encoding scheme, which is what the (OEBF Publication Structure) Specification is all about" ("Interoperability: Digital Rights Management and the Emerging EBook Environment," 2001, citation #23). He goes on to say that "The OEBF Publication Structure is widely acceptable because it does not threaten any single vendor's value proposition"12 (Mooney, 2001). Providing an open source for the file's digital rights management structure for the final eBook publication will allow it to work across a wide range of devices. Many argue that digital rights management (standards) is necessary for eBooks to succeed (Bollick, 2001), and the OPS format is primed for the future in this regard. The IDPF recognizes that the ability to protect their products is a concern for many eBook retailers. This recommendation is supported by the OPS format "to accommodate rapid changes in publishing metadata, DRM strategies, and device profiling" (Ferraiolo, Conboy, Duga, 2006, pg. 1). They do not have to fear a Napster-like scenario with eBooks in Open eBook format (Godwin, 2002). Open Container Format (OCF) This Open Container Format (OCF) file format is a standardized container file that organizes the various files that make up an eBook in the Open eBook format into a single file (much like a .Zip or .Jar compressed file). Each container holds a single publication. The simple container encapsulates Open Publication Structure files as well as other formats (optional alternate versions of content). It also holds other media files such as images, audio, and video. The container format should have the filename extension .EPUB. The Open Packaging Format (OPF) "defines the mechanism by which the various components of an OPS publication are tied together" ("Open Packaging Format 2.0," 2006). In other words, the OPF connects the various parts of the eBook together. The OCF supports DRM restrictions in the metadata. The container file's package definitions should be unencrypted. To be a valid Open eBook file, the container file itself must adhere to the recommended standard as well as the files within it13. The container itself will be extensible to handle evolving files and descriptions. The container must include every resource needed to render all of the publication without drawing any external inputs. Ideally, "Publishers and other content creators would produce only this format for entry into the distribution and/or sales channels" ("Charter for Unified Container Format Working Group: Preliminary Solutions," 2006, pg. 1). Examples of OPS and OCF File Structures The following are markup examples of the various components of a potential Open eBook File. Figures 13 - 17 were presented by IDPF representative Garth Conboy at the Joint IDPF/Association of American Publishers (AAP) Meeting on November 29th, 2006 in New York, NY. These images are screenshots from Mr. Conboys's presentation "IDPF Standards and Development", slides 23 - 28. Figure 18 is courtesy of the "Open Publication Structure (OPS) 2.0", section 2.6.2.3.1. Figure 12. Examples of an OPS Publication File System. Figure 13. An OPS Publication in an OCF Container. Figure 14. Possible Container XML. Figure 15. An OPS Publication in an OCF Container with a PDF alternative. Figure 16. Possible Container XML with PDF alternative version. Figure 17. An example of a fallback in the OPS. 'Chapter2.html' will be loaded if the reading device cannot use 'Chapter2.xml'. These examples of the actual code used to create a sample Open eBook file show how each portion of the file is defined and how they work together. Each piece works together so that, as a whole, the OEB format gives the user more options in how to use their eBook. At the same time, the format's pieces are structured to maintain a standard, universally understood file format. Major Benefits of the Standard Guidelines Previous research and data has shown that consumers want more control over their digital content, to be able to use it on any reading device or system. "The publishing industry is built from a collection of disparate databases, many of which contain very similar data but few of which can directly interoperate with each other," according to John Erickson14. No single eBook format can guarantee this to all users. The Open eBook Format was created and structured to fulfill this demand. The Open eBook Format presents eBook users with an interoperable, accessible eBook format, as well as other needs and demands that have previously gone unfulfilled. The Open eBook Format promises interoperability, meaning each single OEB file is adaptable and usable on different types of reading devices. This fulfills the user demand of using content on any device. It gives the user more control over how to use their eBook content. An Open eBook file should work on any device with little or no set up. Devices are able to directly parse the contents of an OEB file and use the content without any additional software or user effort. In addition to supporting DRM features, the OEB format standardizes its structure so it does not unintentionally render the file incompatible on devices. Stephen Mooney (2001) notes that the Open eBook Forum "could well provide the eBook world with the beginnings of interoperability of eBook metadata, and thus provide an avenue toward the DRM interoperability sought by the authors of the AAP eBook Report." The IDPF is not trying to recreate metadata, but rather standardize metadata systems already in place. AAP notes that "without (metadata) standards, in order to track, find, and sell or purchase an eBook, (parties) bear the cost of inefficient mechanisms of entering and communicating metadata...."15. The Open eBook Forum understands that DRM is an important feature for the ePublishing industry, as it allows them to protect their products from digital piracy. At the same time, it makes sure the DRM structure does not render the file incompatible with devices. In addition to being interoperable, the content of an OEB file is structured to provide a consistent display of each eBook across various eBook reading systems. Some eBooks do no include accessibility features. Others use structure accessibility attributes in a format that some reading systems cannot use. Open eBook files can reach people with sensory and physical disabilities, enhancing their reading experience. The Open eBook Format complies with the US government's section 508 regulations and conforms to industry standards for the creation of accessible electronic materials. The OPS's structure ensures that all content will be displayed in some way for every possible user. Fallback options for complicated elements in an eBook (such as complicated imagery, audio, video, etc.) ensure the content is displayed in some form on every system (alternative text, simple versions of the content, etc.). The format also allows the text to be manipulated for easier reading. Another accessibility feature the Open eBook Format is compatible with is the Digital Talking Book (DTB) standard by the National Information Standards Organization (NISO). NISO describes the Digital Talking Book as the standard format for talking books; created to prevent multiple talking book formats ("Specifications for the Digital Talking Book," 2002). In addition, a number of elements in the Open Publication Structure follow a specific, preferred vocabulary so reading system translators may interpret the structure for audio translation ("Open Publication Structure (OPS) 2.0," 2006, section 2.8). The accessibility measures built into the OPS, OCF and other files in an Open eBook ensure that a single eBook file will be accessible to all users. Accessibility features are standard in every OEB file and formatted so reading systems can use them. The W3C notes that websites do not need to be designed differently, they just need to be flexible so the user can operate them in different ways, transform the content into usable information across a range of devices ("WCAG 1.0 Fact Sheet," 1999). The Open eBook Format applies these same principles to its eBook recommendation. The emergence of an eBook standard would ease the selection process for the user, guaranteeing the format will work properly on any reading device. The standard has to potential to simplify shopping for, obtaining, transferring, and reading eBooks for the user. For eBook retailers, the Open eBook Publication Structure provides an efficient and usable structure while providing a flexible framework for content presentation as well as rights management specifications ("Open eBook Publication Structure 1.2," 2002). Other Benefits Aside from the major benefits listed in the previous section of this paper, the Open eBook Format provides several other benefits to eBook retailers and customers. The Open eBook Format is what Jon Noring (2003) describes as truly open source (TOS); being fully published, freely usable by all (no licensing encumbrances), having all component standards utilized by the standard, and developed and maintained by a non-profit, independent (of any one company), industrial/trade organization. Rather than battling other eBook creators and publishers, the International Digital Publishing Forum partners with them. The success of emerging technologies often depends on the partnership of competing organizations. "Managing alliances and other partnerships is one of the central activities in successfully developing and commercializing emerging technologies" (Day, Schoemaker, & Gunther, "Wharton on Managing Emerging Technologies," pg. 22). XML is also a powerful ally to have for an eBook standard (Seely, 2003) since it "is a simple, very flexible text format" that is "playing an increasingly important role in the exchange of a wide variety of data on the Web and elsewhere" (Extensible Markup Language, 2006, paragraph 1). Using a popular and flexible markup language standard like XML helps ensure compatibility between systems. An Open eBook file can be easily created from scratch. A container for the file encapsulates and organizes the eBook's pieces into a single file (Aldrich, 1999; "Industry Adopts eBook Standards," 2006). The format can also be checked for accurate and well-formed markup. This prevents things like unbalanced markup tags that devices can interpret differently and poor color contrast. The structure of the text in the OPS allows Open eBooks to be translated into any language by common translators in many devices and on the Internet. Elizabeth Mackey of eReader/Motricity lists multiple language support as a major factor in enhancing eBook functionality ("Demand More From Your Mobile Content," 2006, slide 21). In 2006, the CIA World Factbook listed 82% of the United States as English16. To reach the other 18% of the US population, many eBook retailers must provide separate, translated versions of their eBook titles or provide a single format that can be translated into another language by the user. The Open eBook format is a format that can be translated, serving as a single file format that caters to all languages. It also helps English-speaking Americans in converting content from books in other languages into English. Molly Holzschlag (2006), a web standards subject matter expert, explains how structuring code with internationalization in mind helps remove international and cultural roadblocks and provide "technology relating to local, regional, linguistic or culturally-related concerns." This principle applies to eBooks. Overall, the Open eBook Format hopes to fulfill needs that other existing eBook formats do not. It aims to provide enough of a benefit over other eBook formats that it will be adopted by the industry on a large scale. Successful Standards The Open eBook Format is not the first attempt at standardization in digital media. There have numerous attempts to standardize file formats and structures in many categories of digital media, both successful and unsuccessful. Examining some of these attempts should provide insight as to whether the Open eBook format will succeed as a standard file format. The Open eBook Format for eBooks shares many characteristics of successful digital media formats in the past. Many successful standard formats in digital media have addressed content accessibility, interoperability between different devices, availability of its products, awareness of its existence among the public. After the creation of the MP3 format in 1995 ("The History of MP3"), the MP3 digital music file format became the standard file format for digital music. The format provided high quality audio in a compressed, portable format. MPEG, the file format's proprietor, met the two largest consumer demands with this technology. "The reason MP3 took off and became the audio standard on the Web is that the original patent holders made it freely available for anyone to develop a decoder, or player, for it" (Jones, "MP3 Overview," 2000, pg. 1). MP3 software spread throughout web users, making the file format interoperable with a lot of device software. While other digital audio formats existed in the mid to late 1990's, more people and devices used the MP3 than any other digital audio format (Van Buskirk, 2007). A standard for digital audio naturally evolved. Digital video discs (DVDs) are another form of digital media that has been widely accepted. DVDs17 are generally encoded in one of two ways: NTSC or PAL. While the content is the same, most DVD players can only handle one of these formats. While the DVD publishing industry publishes DVDs to these two incompatible formats, NTSC discs (with Dolby Digital audio) play on over 95% of DVD systems worldwide and serve as an unofficial standard for DVDs (Taylor, 2006). There is little confusion for consumers when deciding what DVD format to purchase. The World Wide Web Consortium, a non-proprietary group, maintains and updates open-source recommendations for web markup standards. Web markup languages like HTML, XHTML, XML, and CSS are all universally used languages maintained and updated by the W3C. As the W3C upgrades these standards, it does not force anyone to abandon existing practices for new ones. It builds upon existing knowledge; utilizing properties in XHTML and XML, WML stripped down properties from existing versions and tailored the recommendation for cell phones (Wong, 2001). It is largely backwards compatible. A smooth transition from existing to W3C valid web markup was one of the W3C's goals when proposing standard web architecture specifications (Berners-Lee, 1998). Furthermore, the W3C can operate in what Kotler and Armstrong (2006) call an enlightened strategy. This strategy allows the organizations to act in a truly selfless manner and make choices that consider public wants, the organization's requirements and the long-term interests of both the public and society. There is a question as to how many websites follow the W3C's markup recommendations for computer-based websites, but mobile websites have embraced W3C's recommendations for Wireless Markup Language. Since its release, many of the major cellular phone and portable computing device manufacturers have developed phones that are compliant with WML, including Microsoft (Windows Mobile), Google (Google Mobile), Nokia, Motorola and Verizon. Many of these devices come packaged with wireless versions of web-standards-compliant browsers. Since 2002 Openwave, the leading independent provider of open software products and services for the mobile communications industries has had WML compliant browsers in 70% of its devices (Batista, 2002). Cellular phones are becoming more infused in everyday society as a social tool (Roush, "A New Platform for Social Computing: Cell Phones," 2006). IMedia Connection's Heidi E. Lehmann (2005) explains how both mobile computing and WML compliant sites are currently on the rise. She also predicts that this success should lead to more mainstream brands and content providers using WML and the mobile web to connect with customers. WML standards have made mobile websites usable for consumers and designable for companies. These examples of successful digital media formats reveal several trends. Interoperable, accessible, and consistent file formats also prevailed over time. Adobe's PDF file flourished since it provided text and imagery in a single, self-contained file that read and printed well. The MP3 is a single, compressed file that transfers easily and performs consistently across a range of devices. Wireless markup language builds upon principles already understood and used by web designers. The Open eBook Format leverages these principles to make eBooks usable across different eBook readers while maintaining the design of the author and publisher. It also uses several web markup languages already understood and used. Like W3C's updates for markup recommendations, the Open eBook's new versions are backward compatible. Unsuccessful Standards While people accept some file formats and standards for digital media, other attempts at standardization are rejected or unpracticed by the industry. As mentioned before, the World Wide Web Consortium promotes standard recommendations when using web markup languages such as HTML, XHTML, CSS and XML. Following W3C's recommendations when creating a web page makes the web page usable and accessible to every user in the world. Despite the W3C's proclamation of web standards in 1995 ("HyperText Markup Language (HTML) Home Page," 2006), many sites do not validate to the current W3C's recommendations. In fact in 2002, Trinoloogialeht.com surveyed the home pages of each W3C member18 who had a website. Only 18 sites out of 506 (3.5%) were using valid HTML. The same survey was conducted again in 2006. Just 61of 35219 W3C member websites validated (17%), with an additional 5 validating with W3C validator warnings ("Validating Sites of W3C Members," 2006). These companies are members of any organization whose mission is "to lead the World Wide Web to its full potential by developing protocols and guidelines that ensure long-term growth for the Web" (World Wide Web Consortium - About, 2006, pg. 1). The trend clearly shows how the standardization of W3C member sites is slowly improving, but the overall percentage of standard-compliant sites is still poor. The Open eBook initiative by the IDPF parallels this. The IDPF would like to lead the ePublishing Industry to its full potential by developing universal, standard guidelines that ensure long-term growth with a universal standard. However, the format cannot succeed if eBook retailers do not produce and sell Open eBook files. Similar to the World Wide Web Consortium's recommendations for web markup, the W3C's Web Accessibility Initiative publishes recommendations for making web pages accessible to people with and without disabilities. The WCAG also helps web pages comply with the US government's section 508 laws concerning accessibility. Web page authors do not always follow these recommendations when creating web pages. Nomensa, an accessibility agency, tested the leading websites in 20 countries20 ("Most websites failing disabled," 2006). The study lists several key accessibility problems occurring with the websites it tested in late 2006, including: * 93% failed to provide adequate text descriptions for graphics. * 98% did not follow industry web standards for the programming code. * 97% did not allow people to alter or resize pages. * 87% used pop-ups causing problems for those using screen magnification software. A total of 98% percent of the sample pool did not follow W3C's recommendations for markup, so the foundation for the web page's accessibility was missing by default. This high percentage of websites failing to meet the WCAG's minimum accessibility requirements shows how web page creators have not adopted the standard recommendations on a large scale. Accessibility is a major feature of the Open eBook Format the IDPF is trying to leverage as an important benefit. In December 1998, the Secure Digital Music Initiative was formed to "develop open technology specifications that protect the playing, storing, and distributing of digital music such that a new market for digital music may emerge" (Secure Digital Music Initiative, 2001, pg. 1). Much like the IDPF, the SDMI was comprised of representatives from major organizations in related industries and subject matter experts. The initiative attempted to create open, standard guidelines for everyone to follow when creating and protecting digital music. However many felt that SDMI's security measures were too strict; this deterred both consumers and businesses (Scheirer, 1999). SDMI compliant files were not compatible with many existing music players. Existing music files could not be converted, forcing many consumers to buy audio content again so it complied with SDMI guidelines. Many files were limited certain files to personal use only under the SDMI. In addition, the SDMI recommendation attempted to consolidate security measure into a single scheme rather than making them customizable (Grebb, 2003). The SDMI's recommended structure for digital rights management in music files failed. SDMI has been on hiatus every since21. The IDPF is also attempting to standardize the structure of DRM within the Open eBook Format. Unsuccessful digital media standards tend to be inflexible, are not backwards compatible, and do not provide a sufficient benefit over competing formats. Many "benefits" of failed standardization attempts to fulfill a user demand that does not exist. The Open eBook must avoid these pitfalls if wants to succeed in the eBook marketplace. How the Open eBook Standard Can Succeed The Open eBook Format possesses several features that it hopes to leverage over existing eBook formats. If there is a sufficient demand for these features from the eBook industry and consumers, it could lead to widespread adoption of the file format. Addresses Interoperability Issues Interoperability has been identified as a major issue among digital media customers, including eBook customers. People want control over their digital content. This includes using any reading device to read any eBook format. Currently, this is not a guarantee of any eBook file format. But if creators of eBooks formats adhered to a universal set of rules when creating eBook files, eBooks would be interoperable across reading devices. However, no universal eBook format exists, just a number of unique eBook formats with their own specifications and capabilities. This is where the Open eBook Format steps in. Consumers are currently restricted when using eBooks formats and devices since they must choose pairs that are technically compatible with one another. Standardizing a file format for eBooks would alleviate this issue by guaranteeing a file that is compatible across reading devices. As with other digital media types, digital rights management is important for the owners and retailers of eBooks. DRM provides a level of protection against unauthorized distribution and manipulation of digital content. While the Open eBook Forum does not create the actual restrictions, they've standardized the method in which DRM is applied to Open Container Files. The OCF format supports digital rights management (to be specified by the eBook's owner) while ensuring that the DRM and metadata structure does not unintentionally render the eBook file technically incompatible with eBook devices. It Uses Existing, Familiar Concepts and Is Non-Proprietary The Open eBook Format is what Clayton M. Christensen (1997) describes as a sustaining technology. It converges several universally understood languages (XML, XHTML and CSS) into a single recommendation for an eBook final production format. It is not trying to insert a radically new idea into the marketplace or make any existing firms obsolete. The Open Container Format supports other eBook formats as alternative or additional options for viewing the eBook title. While the IDPF is attempting to insert a new eBook format into the market, it is not forcing people to completely abandon existing file formats. The International Digital publishing Forum is trade and standards organization comprised of representatives from many of the large organizations in the ePublishing industry. While the IDPF maintains the standard recommendations for this proposed eBook standard it claims no ownership of the standard or the principles it is based upon. The International Digital Publishing Forum is dedicated to the progress of the ePublishing industry rather than personal gain. Bill McCoy of Adobe argues that the eBook industry needs an "Open non-proprietary platform based on industry needs" ("Adobe's Digital Publishing Roadmap," 2006, slide 5). The IDPF would be providing the ePublishing industry with new: a non-proprietary standard for eBook companies to create eBooks in one way. Addresses Accessibility Issues While accessible media has not ranked high in past surveys, accessibility options of the Open eBook Format help physical and sensory disabilities gain the value of an eBook's contents just as those without disabilities. The Open eBook Format is accessible to all users, allowing the format to leverage its other benefits to a wider audience. How the Open eBook Standard Can Fail While the Open eBook Format may provide a sufficient advantage over other eBook formats for some people, others may not be willing to adopt this new technology over existing ones. The following section lists possible reasons for people not to adopt the file format. People are Inherently Afraid of Change Angelo Kinicki and Brian Williams (2006) point out that people are typically uncomfortable with change, even minor change. "We tend to prefer a known probability over an unknown probability of equal expected value22" (Day, Schoemaker, & Gunther, "Wharton on Managing Emerging Technologies," pg. 28). People can often become set in their ways and stick with a tried-and-true method of performing a task. In this case, they'd stick with an existing eBook file format they're comfortable with. Adopting a new file format for something they already use is rarely appealing and likely deters many eBook consumers. In his book Who Moved My Cheese, Dr. Spencer Johnson (1998) explains how people are fearful of change because they don't have any control over it. Despite being a non-proprietary format, some people might be view the Open eBook Standard as taking away their options and freedom of choice. The current environment, along with any established level of comfort, is being taken away from eBook users. Although the standard format does not turn the eBook market upside down, it does present something new and unfamiliar. Although it intends to replace existing eBook formats as the primary eBook format in the publishing industry, it does not make them obsolete and unusable. As mentioned previously in the Unified Container Format's specifications, the standard container will even support other formats, albeit as alternatives to the Open Publication Structure files. In the case of eBooks, no one is being forced to change. To the eBook industry, the OEB format is a sustaining technology rather than a disruptive one. If the OEB format is not perceived to provide a significant advantage over existing eBook formats, the public is likely not to adopt it. The digital image industry gives us an excellent example. The Portable Network Graphics (PNG) image file format was created in 1994 to compete with the vector-based, proprietary Graphics Interchange Format (GIF). In 1996, it matured into an official World Wide Web Consortium recommendation (Lilley, 1996). The PNG, a patent-free format for images, used a more efficient compression to produce smaller files than GIF's (Roelofs, 1999). Yet, the PNG format had a rough outing in its first years despite providing the industry with added value over the competition. People did not break their "GIF habit" (Veen, 1999) since the existing GIF format still worked and provided a familiar solution. Organizations Continue to Offer non-Standard Alternatives The Open eBook format isn't getting much help from the eBook industry. Organizations continue to create new file formats and devices, boasting unique benefits over the competition. Many of these formats and devices are based upon different standards, fragmenting the eBook market. The various incompatible reading systems have "marred almost every attempt at making electronic books into a mass-market product" (Rousch, 2006). Many devices support only specific, proprietary file formats, such as the Palm Meazura and Sony's Reader. Others support only support a small number of formats. The presence of eBook devices like these will continue to hinder the popularity of the Open eBook format. In October 2006, Sony released its Sony Reader brand eBook reader (Roush, "A Good Read," 2006). The reader, dubbed as capable of reaching 'iPod status' among large audiences, is backed by Sony's Connect store stocked with over 10,000 titles in Sony's proprietary Broadband eBook (BeBB)23 (Rothman, 2006). Adobe PDF, Microsoft Word, Joint Photographic Experts (JPG), Rich Text Format (RTF) and plain text (TXT) eBook formats are also natively supported by the device, as listed by Sony.com24. However, HTML and other text formats require format conversion, using software included with the Sony Reader device. Any OEB file would have to be converted to another format to work on this eBook reader. Companies are prepared to offer content in a variety of different formats (Pfieffer, 2001). There is a variety of eBook and digital text products and services in formats other than the Open eBook Format. Examples include: * Google offers classic novels and other obscure books in the public domain in digital format, free of charge to the public in PDF format ("Google to Allow Free Downloads of Books," 2006). * The New Yorker magazine chose to release its collection of 4,000+ past issues in digital format on a hard drive. Customers can only access the 'digital magazines' on this hard drive by installing and using unique, proprietary software provided by the manufacturer ("The Complete New Yorker Portable Hard Drive," 2006). * The website TextFiles.com offers copies of eBooks and other eDocuments only in text (TXT) format25. * MAKE magazine offers its publications in digital format as PDF files26. Even after eBooks.com CEO Stephen Cole wrote about interoperability problems with eBooks, his company's business model offers multiple file formats for their products. Upon the purchase of an eBook, each customer is allowed to pick two file formats to receive the eBook in at no extra cost. More file formats are available upon request (Cole, 2006). Emerging reading devices are increasingly capable of handling a variety of content. They can often handle PDF files, Microsoft Word files, and other eBook files that do not conform to IDPF's proposed eBook standard. Additionally, other eBook file formats such as the PDF evolve as well (McCoy, "Managing and Delivering Digital Assets: Adobe Perspective," 2006). Early versions of PDF's were fairly inaccessible and poorly managed by authors, though today's PDF's have more accessibility features built in (Cloninger, 2000). This adds competition for the OEB format since other eBook formats continue to work on devices and improve upon their own design. Despite the presence of the International Digital Publishing Forum and its eBook recommendations, the American Association of Publishers still has little faith that eBooks will be interoperable for a long time. Stephen Mooney quotes the AAP, which states, "that consumers who expect eBooks to provide interoperability similar to paper books (which may be readily given, lent, or copied) may be 'unpleasantly surprised'" (Mooney, 2001). People Are Comfortable Enough With Digital Media Digital technology and media have become infused in everyday life for many Americans. Previous research has shown high percentages of people adopting digital media technologies like eBooks. Many people have become comfortable with different eBook formats and might not experience issues when it comes to purchasing and using them. If the demands of eBook consumers are being met by existing eBook formats without any complaints, it is not likely they will welcome a new format. Several existing eBook formats have become favorites with eBook stores and consumers. If these formats satisfy the eBook marketplace, the Open eBook Format doesn't have anything to improve upon and will likely not succeed. Is Functionality A Priority? Functionality is a primary objective the Open eBook Format Publication Structure improves. EBooks in the Open eBook Format claim to be usable and accessible to all customers. However, several studies reveal that functional media is not a top priority of digital content customers. Figure 18. Individual willingness to pay for digital content. Study conducted by Ears & Eyes in 2001 (Fetscherin, 2003). In 2001, the market research company Ears and Eyes27 conducted studies to evaluate individual willingness to pay for digital content. It suggested seven consumer needs and demands for content worth purchasing. Figure 19 shows the results of more than 1,000 individual responses (Fetscherin, 2003). Among the survey's respondents, functionality rates as the lowest priority of the seven criteria listed in the survey. The Open eBook Format does not provide a large advantage over other eBook formats for this particular group of users. If these statistics are true on a large scale and interoperability is NOT a primary demand of eBook users, the Open eBook Format will likely not appeal to many users. Accessibility does not seem to be a main concern of most digital consumers either. Results from the International Digital Publishing Forum's "EBook User Survey 2006" suggest that the accessibility of eBooks is not a current problem with eBook consumers (2006). Figure 19. Use of Assistive Technologies with eBook among survey participants ("EBook User Survey 2006," 2006). Figure 20 reveals how just 8% of over 700 survey participants use assistive technology to read eBooks. The accessibility features built into the Open eBook Format may not matter to a lot of people. Figure 20. Importance and satisfaction of using assistive technology when reading eBooks with survey respondents ("EBook User Survey 2006," 2006). The International Digital Publishing Forum "EBook User Survey 2006" asked similar questions to its population. Figure 21 shows that only 14% the survey participants rated the ability to use assistive technology when reading eBooks as an important eBook feature. Satisfaction rates among these respondents were evenly spread, not indicative of much room for improvement. Figure 21. Value and satisfaction regarding font size in eBooks of survey respondents ("EBook User Survey 2006," 2006). Another survey question asked participants about the font size of an eBook. Figure 12 reveals that 96% of its respondents would like control over the text size when reading an eBook. While this statistic indicates that font size is an important feature, similar data indicated respondent satisfaction of the feature to be very high. 83% of survey participants reported good or excellent satisfaction levels concerning font size in eBooks. This indicates existing eBook formats have already fulfilled this user demand. Figure 22. Importance and satisfaction of audio translations of eBooks ("EBook User Survey 2006," 2006). Furthermore, figure 22 shows how only 14% of participants rated the ability to translate the contents of an eBook to audio as an important feature. The Open eBook Format's alignment with the Digital Talking Book format might not provide a major benefit to a lot of people. These statistics reveal that accessibility only applies to a small number of people in each sample pool. The ability to use assistive technology when reading eBooks was not important to many survey respondents, nor was the ability to translate eBook content into an audio form. Additionally, statistics reveal that satisfaction levels for accessible media are either high or neutral. This doesn't provide the Open eBook Format with a large consumer demand to fulfill. Interoperability and accessibility are two major benefits the Open eBook Format is trying to leverage in the eBook marketplace. If these are not demands of consumers, they likely will not adopt the format on a large scale. Many Existing Digital Media Standards Aren't Followed EBooks are not the first type of digital media format that someone has attempted to standardize. Similar attempts at standardization with digital media have failed in the past. Even though the World Wide Web Consortium has numerous recommended standards for web markup languages, many websites to not adhere to them. Various web browsers support markup that does not meet the W3C's criteria for valid markup. A page does not have to comply with W3C's standards to display and function properly in a web browser. Some devices are unable to take advantage of a media file's accessibility features. Microsoft Internet Explorer is one of the country's most popular website browsers through the 21st century. Despite its popularity, the web browser does not provide users enough options to enlarge text. Maurizio Boscarol notes how Microsoft Internet Explorer, the most widely used browser by low-vision users, allows only five levels of text size whereas other browsers do not set a limit ("Working with Others: Accessibility and User Research", 2006). If eBook reading systems do not support the accessibility features in Open eBook files, it renders the file inaccessible to a certain percent of users. This would remove some of the benefits of the Open eBook file, giving users less reason to adopt it. STATEMENT OF THESIS This paper predicts the American retail eBook market will not accept Open eBook Format as a standard eBook format by April 30, 2009. Research indicates that existing formats provide a solution that American digital media customers are comfortable with. These customers are also comfortable enough with the World Wide Web, online shopping and digital media formats to operate successfully in the eBook environment without a standard format. EBook retailers are also satisfied with their current offerings and are in no rush to offer the Open eBook Format to their customers. Several existing eBook formats serve as unofficial standards. As an incremental technology in the eBook industry, the International Digital Publishing Forum's Open eBook Format does not provide enough of an advantage over other eBook formats for most consumers to begin using it in place of existing eBook formats. For these reasons, this study forecasts that existing eBook formats will continue to compete alongside of the Open eBook Format and reading systems will continue to cater towards a variety of proprietary and non-proprietary eBook formats. The date is a "soft" date, based upon the activities of the International Digital Publishing Forum in 2007 and the state of XML and other web standards at the time of this research. However, as George Day notes in Wharton on Managing Emerging Technologies, No single forecast can possibly absorb all the uncertainties about customer responses, competitive activity, and technological progress, or consider all the complex interactions, discontinuities, threshold effects, and other nonlinearities. The best that can be done in the early stages of the development of the technology is to demonstrate that the market is likely to be big enough to warrant a development project (2000, pg. 148). METHODOLOGY The purpose of the methodology section is to explain how primary data is collected, the kind of data collected, from where it is collected, and any limitations of the data collection process. Two surveys concerning digital media and eBooks were deployed: one to the general public and one to eBook retailers. In addition, a web bot was built to scan the validity of website markup for a list of current websites. The data collected will be used to support the thesis statement and answer research questions concerning the Open eBook's success in the eBook marketplace. Web Bot A web bot is a computer program that browses the World Wide Web in an automated manner, performing a repetitive function over the sites it browses and recording specified information in its database. A web bot has been created to scan the default web pages of websites currently on the World Wide Web and determine their compliance with World Wide Web markup standard recommendations. The purpose of this web bot is to collect supportive primary data in the acceptance of digital media standards. Since 1994, the World Wide Web Consortium has been making recommendations for web markup. These standards and their adoption rates provide a good comparison for the potential adoption of an eBook standard. Much like the current environments of eBooks, a lack of web standards caused different markup practices to developed and be deployed in websites. These web markup standards have been around since the mid to late 1990's; website owners have had ample time to bring their site(s) up to speed with W3C's standard recommendations. Not every website built today adheres to W3C's standard guidelines. The file formats of web pages on the World Wide Web parallels the eBook industry closely. In addition to displaying similar forms of digital media, Open Publication Structure and web markup have several markup languages in common, including XML, XHTML, and CSS. The web bot scanned a sample of 50,000 popular websites for W3C compliance. The resulting data should reveal what percentage of current websites has adopted W3C's web standards. The adoption success rate of these web standards will be considered when forecasting the success of the IDPF's proposed eBook standards. Of the total website population tested, the study anticipates less than 10% will be valid against W3C recommendations. Design and Functionality Nathan Hahn, a professional .NET programmer, built and tested the web bot program, which was modeled to behave like the World Wide Web Consortium's markup validator. The web bot is based on an application framework known as .NET, and was built using the C# programming language. A list of the 50,000 websites was purchased from "Alexa Top Sites," an Amazon Web Service. The web bot visited these sites one by one, collecting four types of data for each site: Website address (URL), number of characters in the page's markup, the document type the page declared itself as (if any) and the total number of errors when measured against W3C's standards for that DOCTYPE (if any). If a DOCTYPE element cannot be found on the web page that is being validated, a type of HTML 4.01 Transitional is assumed28. Using these methods the web bot was able to determine: * The total number of markup errors when compared against W3C's HTML markup validator. * The document version the web page defines itself as (DOCTYPE), if one is found. * The results of the validation for this DOCTYPE (Valid, Invalid, or No DOCTYPE defined). The results generated from the web bot's scan were exported into a Microsoft Excel document. See appendix 1a for a complete version of the web bot's documentation. See appendix 1c for the program's code. Population A list of the 50,000 most-trafficked websites was purchased from Alexa.com29 on November 1, 2006. This list was placed in a text file. The bot scanned every web site URL found on this list. See appendix 1b for a complete list of websites that web bot visited for data collection. Limitations The web bot was not able to read the main page of every website on the list of websites provided. Some reasons for this include: * The web bot did not recognize the website's markup as HTML markup. * The website required authentication for access to its markup. * The website was offline when the web bot attempted to examine it. EBook Consumer Survey This web-based survey is intended for people who can read and have an Internet connection. The survey will ascertain the demographics, comfort levels with related technologies, and certain purchasing / usage behaviors; as well as help answer the following specific questions: 1. What are user perceptions about different digital media formats? 2. What are user perceptions about different eBook formats? 3. Is there is a need for a standard format? 4. Would a new standard format be adopted when deployed? 5. Based on information provided, does the Open eBook Format provide added value and/or an advantage over existing eBook formats? See appendix 2a for a complete list of the survey's questions and available responses. The study anticipates that surveys participants will identify interoperability of digital media formats as an issue at the time of the survey. However, most people are comfortable enough with current technology and digital media to be satisfied with current eBook and digital media formats. Design The survey contains 25 questions. The questions were created from an extensive literary review as well as two existing eBook surveys by the Open eBook Forum (Henke, "Consumer Survey on Electronic Books," 2003; "Survey on Electronic Book Features," 2006). The questions were peer reviewed by thesis committee members. Changes were made from these reviews. Key terms were defined the in the survey. The survey was created in an electronic, web-based form using software provided by QuestionPro. It consisted of an introduction page, two pages of questions and a 'thank you' page. It was designed assuming users would be more likely to finish a short survey; the number of pages was minimized to take advantage of this. No questions required a response; participants were allowed to leave any question blank and still submit a survey. Blank values were thrown out, rather than filling in a neutral response, when making calculations from the survey's data. Population The user survey was limited to people in the United States who were literate and had Internet access. The survey software recorded and displayed the geographical location from where each survey was submitted. This study understands and acknowledges two factors that can skew the data and its validity from the user survey. There is no way to tell if a non-US citizen submits a survey while on American soil or a US citizen submits a survey from foreign soil. The survey software only collects the location of the computer used to take the survey. In addition, there is a concentration of survey participants located in Arizona, New Jersey, and New York30. These factors will be taken into consideration when drawing conclusions from the survey's final data. Deployment The survey was deployed starting Monday, November 13, 2006 and ending March 5, 2006. The survey was deployed electronically over the web. Each message contained a short paragraph containing the survey's background, instructions, and link to the web-based survey. Specifically, it was sent through personal email, MySpace, LIST-SERVS of library and educational institutions and various user groups on Google, Yahoo, Mobipocket and Fictionwise. See appendix 2c for a complete list of LIST-SERVS and user groups the survey was sent to. Recipients of these messages were also asked to pass along the message and survey link to others. Accessibility This web-based survey included some features to support the visually impaired. These features include text enlargement and font adjustment, typically provided by web browsers for HTML web pages. However, there is not support for the hearing impaired. While the survey does not provide accessibility features for all disabled individuals, it does include some features to help those who are visually impaired. EBook Retailer Survey The second survey was intended for eBook retailers. The survey will ascertain each retailer's size by number of titles carried and sold per year. This survey will aim to answer the following questions: 1. What formats do retailers carry? Which are the most popular? 2. Does retailer think offering the OEB format will benefit the company and its customers? 3. Will eBook retailers consider carrying the Open eBook Format? See appendix 3a for a complete list of the survey's questions and available responses. This survey predicts that most eBook retailers surveyed do not carry the Open eBook Format. It does predict that a few existing eBook formats will be more popular than others, serving as unofficial standards. The survey also predicts that, while some stores may consider carrying the OEB format, the format will not become the definitive standard eBook format in the eBook industry. Design The survey contains 25 questions. The questions were created from an extensive literary review as well as two existing eBook surveys by the Open eBook Forum (Henke, "Consumer Survey on Electronic Books," 2003; "Survey on Electronic Book Features," 2006).. The questions were peer reviewed by thesis committee members. Changes were made from these reviews. Key terms were defined the in the survey. The survey was created in an electronic, web-based form using software provided by QuestionPro. The survey consisted of an introduction page, two pages of questions and a 'thank you' page. The survey assumed users would be more likely to finish a short survey; the number of pages was minimized to take advantage of this. The survey contained no required questions; participants were allowed to leave any question blank and still submit a survey. Blank values were thrown out, rather than filling in a neutral response, when making calculations from the survey's data. Population The survey was limited to employees and representatives of eBook publishers and retailers. Foreign companies were accepted if they sold eBooks in English and to the United States' population. Recipients of this survey were developed with the help of a personal contact in the Penguin Putnam Publishing Group. Additional eBook retailers were located and recorded from an intense Internet search. Roughly 60 different qualified companies were located. When available, email addresses were noted for individuals as well as customer support and general company email boxes. Contact pages and forms were recorded for companies that did not provide direct email addresses or other contact information. Deployment The survey was deployed starting Tuesday, November 14, 2006 and ending Monday, February 12, 2007. The survey was deployed electronically over the web. Each message contained a short paragraph containing the survey's background, instructions and link. The survey was sent via email to the contact at Penguin Putnam group, who passed it along internally to the various contacts. Remaining contacts were emailed directly. For companies without specific contacts or email addresses, the survey and its accompanying letter were submitted via the contact form on the company's public website. All steps were taken to validate each message when companies required confirmation of the submitted message. See Appendix 3c for a complete listing of organizations that the survey was sent to. Multiple people from the same company were allowed to submit a survey. While the survey asks for a company name, some participants omitted this field for privacy and security reasons. The survey acknowledges how may cause the survey's data to be slightly skewed. Accessibility This survey included some features to support the visually impaired. These features include text enlargement and font adjustment, typically provided by web browsers for HTML web pages. However, there is not support for the hearing impaired. While the survey does not provide accessibility features for all disabled individuals, it does include some features to help those who are visually impaired. DATA ANALYSIS The purpose of the data analysis section is to explain the data collected in the primary research methodologies. This data is used to reveal trends and support statements made in this paper. Web Bot The web bot examined a list of 50,000 websites and recorded the each website's URL, number of characters, web page document declaration (if any) and number of markup validation errors for that declaration using the World Wide Web Consortium's markup validator31. The resulting data was imported into Microsoft Excel for analysis. The web bot was unable to examine 8,473 of the 50,000 (16.9%) websites specified. This paper acknowledges this degree of error. However, the large number of websites should ensure a sample pool representative of all web pages on the World Wide Web at the time. The following data analysis was calculated using the data from the 41,527 valid sites; the errors were thrown out. The web bot detected that 17,903 out of 41,527 websites read did not declare a web page DOCTYPE. This declaration is required to pass the W3C's markup validation. 43% of websites failed validation due to the lack of a document declaration. However, if no document declaration is found, the W3C validator validates the web page against the HTML 4.01 specification32. Even with this 'help' from the validator, only two additional websites passed against the HTML 4.01 specification. Figure 23. Validation errors reported by the web bot's scan. Figure 23 displays overall results of the web bot's scan for validation errors in the markup of sites in the test population. The web bot recorded 1,840 valid websites, just 4%, passed validation for the document type they declared with no errors. This left 39,687 of 41,527 (96%) total websites successfully examined websites invalid. 17,657 websites total (42.5%) had 51 errors or more; almost half (41%) of sites tested contained between 51 and 500 errors. Not only does a high percentage of websites examined fail validation, a high percentage of these failures don't even come close to passing validation. Other key facts include: * 1,548 websites total (4%) have one error; 3.573 websites total (9%) have five errors or less, indicating 17% of sites tested are compliant or almost compliant. * The top 500 most popular sites tested averaged 126 validation errors. Only 32 validate. This examination of web markup and markup standards shows how the web publishing industry does not strictly adhere to the standard recommendations. Website owners publish their own structure of markup code to the World Wide Web, regardless of its conformity to industry standards. This indicates people who create websites have resisted standards and continue to use a variety of non-standard methods when creating webpages. While web standards present many advantages over traditional methods, they do not render other methods of web production obsolete. Since the web publishing industry closely parallels the eBook publishing industry, this does not bode well for a standard eBook format. EBook retailers and customers already have a number of eBook formats they're familiar with and that work on existing eBook reading systems. These formats might not comply with standard recommendations, but do not render other eBook formats obsolete. Like web markup standards, the IDPF's standard recommendations have been around for over six years; each industry has not yet adopted the standards on a large scale. EBook Consumer Survey The user survey produced 687 valid results33. Approximately 77% of people who viewed this online survey submitted their responses. From several demographic questions, the survey found its respondents to be well educated and fairly knowledgeable of computers, the World Wide Web, and digital media. Specifically: * 80% hold a Bachelor's degree or higher34. * 80% read between one and 20 hours a week; 41% read between six and 20 hours a week. * 88% are comfortable or very comfortable using computer technology; 96% use computer technology several times a day. * 84% are comfortable or very comfortable using the WWW; 78% are comfortable or very comfortable shopping on the WWW; 47% make purchases via the WWW at least once a month. This data shows how a majority of survey participants are comfortable with digital technology and the World Wide Web. They use each frequently, often daily. These people likely encounter multiple digital media formats in their experiences. Figure 24. User comfort levels when using digital media. One survey question asked specifically about how users feel about using digital media. Figure 24 illustrates how the majority survey participants are comfortable using digital media. Almost 73% are comfortable or very comfortable when using digital media while only 15% are uncomfortable or very uncomfortable when using it. A separate survey question found that 41% of participants use digital media several times a day. These statistics show how the trend of high comfort levels with digital technology and the WWW extends to digital media with the survey participants. Figure 25. User comfort levels with different digital media formats. Comfort levels of survey participants continue deeper into digital media. Figure 25 shows user responses when asked about different formats within digital media. Less than 22% expressed some level of discomfort concerning the variety of digital media file formats offered by stores. This shows how high comfort levels continue deeper within digital media into different file formats. Thus far, the data describes a sample population that is generally comfortable with current digital media file formats and uses them frequently. Participants do not seem to be intimidated by multiple file formats for digital media and remain comfortable when confronted with different file formats. Figure 26. User comfort levels in purchasing unfamiliar digital media formats. Despite being comfortable with a variety of digital media formats, survey participants tend to stick to familiar formats. Figure 26 displays how less than 25% of consumers feel comfortable purchasing media in unfamiliar file formats. Survey participants seem to prefer digital media formats they're already comfortable with rather than adopt new ones. In addition to being a relatively new and unfamiliar eBook format, the Open eBook Format attempts to leverage some factors that are not important to all consumers. 65% of respondents seldom have trouble when reading content on a screen, only 79% do not use assistive technology when reading, and 73% do not speak or read in a language other than English. Accessibility and internationalization are two aspects of eBooks that the OEB format leverages over other eBook formats. However, these factors would not provide a majority of survey respondents with a benefit since they're not dissatisfied with these features in existing formats. Survey participants did identify interoperability as an issue with digital media; interoperability is a major aspect the OEB format leverages. When asked about the most important feature of a digital media format, 38% of respondents answered that the format must 'Promise to work with my existing computers and devices35.' In response to an open-ended question at the end of the survey, many users mentioned non-interoperable media formats as an annoyance associated with acquiring and using digital media. Even though many survey participants identified interoperability as an important issue with using digital media, they do not seem to be held back by it. When asked about transferring files to different systems, 72% of participants claimed to be successful or very successful36. Despite the presence of incompatible digital media files and device pairs, consumers operate in the digital media marketplace successfully and can avoid many of the pitfalls of a marketplace containing multiple file formats. This data indicates that survey participants are both comfortable and satisfied with existing eBook formats. Most users are familiar with digital media formats and can operate successfully in the current environment. While the Open eBook format may provide several advantages, the benefits provided are not sufficient enough to sway users to the new format. Therefore, consumers will probably not adopt the new file format until it either provides substantial benefits over the competition or there is an existence of unfulfilled consumer demands. In this case, neither seems to be true. EBook Retailer Survey A total of 21 of 56 eBook retailers participated in the eBook Retailer Survey, roughly a 38% response rate37. Eleven of the survey participants reported themselves to hold positions such as CEO, President, Senior Director, or Business Analyst38. This indicates the information collected should be accurate. Eleven participants claimed their organization to sell over 1,000 different eBook titles. Forty Six percent audit their eBook sales at least once a month; 77% audit their eBook sales at least once a month. This data indicates that the survey results are relevant39. When asked which formats their organization carried, respondents listed 18 different eBook formats among their responses. From the survey questions, it can be deduced that at least 11 survey participants are aware of the Open eBook Format and at least three are not. Question 11 asked participants which eBook formats their organization sells. Figure 27 summarizes the results of these answers. Figure 27. Number of EBook Retailers That Sell Each EBook Format40. Adobe PDF, Microsoft Reader, Palm, and MobiPocket seem to be the most popular formats for eBook Retailers who participated in the survey. Only two retailers surveyed carried the Open eBook Format, a format that has been in existence since 1999. Another survey question asked survey participants about which (if any) eBook formats their organization markets as a standard format. Three of the popular eBook formats from figure 27 (Adobe PDF, Microsoft Reader, and Palm) were advertised as eBook standards by at least six of the stores in the sample pool. Interestingly, one of the two retailers identified as carrying the Open eBook Format does not market it as a standard eBook format, enough though being a standard is the goal of the OEB format. From responses gathered in the user survey, 57% of participants feel comfortable purchasing digital media that claims to be a standard. This statistic does not help the OEB format gain the title of standard if other eBook formats are being advertised as standards in its place. When participants of the retailer survey were asked if they've heard of the Open eBook Format, 11 claimed they had heard of the OEB format and three claimed they had not. It is important to note that seven survey participants did not submit a response for this question, indicating that even more eBook retailers could potentially be unaware of the Open eBook Format's existence. This could be a sign that the International Digital Publishing Forum has not promoted the format successfully. The survey data also revealed another interesting trend. Of the stores surveyed, most did not rate the process of adding a new eBook file as difficult. Only 9% rated the approval process as difficult; 30% rated the technical implementation as difficult (no one rated either as very difficult). In addition, the format would not need to guarantee more than 25% of sales to be added by surveyed retailers who do not carry the format. Despite this, only one in ten respondents admitted they'd likely add the format to their store. Furthermore, only three of 13 respondents foresee their organization carrying fewer file formats if a standard eBook format (like the Open eBook Standard) is added to their line. This reveals that eBook retailers likely do not have anything against the Open eBook Format specifically, but against a single standard format. Overall, the data indicates how stores are currently satisfied with the eBook formats they offer. While some stores may add the OEB format to its eBook store, most don't see enough of a reason to replace existing formats with the Open eBook Format, or offer it as a standard eBook format. Several formats are more popular than others and have evolved into unofficial standards. But there is still no single, definitive standard that the entire industry adheres to. From the data collected in the EBook Retailer Survey, there isn't a need for one. Price People who completed the consumer survey asked for more questions concerning the price of various eBook formats. While this was included as value to be ranked in question 2041, it is the only time the price of eBook is mentioned. Since neither survey contained questions focused on prices of eBook formats, additional research was conducted. On January 11, 2006, eight online eBook stores were selected to test. For each store selling multiple titles, a minimum of two different eBook titles were placed in the website's shopping cart. The shopping cart displayed the price of each format. The price of each title was recorded for a minimum of two different eBook formats. Of eight total stores tested, eight sold more than one format. Of these eight stores, all eight priced every eBook format the same for each title. This study concludes that most eBook stores price each title the same regardless of what format consumers purchase it in. For this reason, the survey was not acknowledged pricing of different eBook formats as a major factor when consumers choose between different eBook file formats. See appendix 4 for a full list of stores tested for eBook pricing and the results of the tests Summary of Primary Data and Findings From the primary data collected and summarized above, this study predicts the American public will not adopt the Open eBook Format as a standard for eBooks by April 30, 2009. Data gathered from both surveys indicates that people and businesses are satisfied with current eBook formats and have little motivation to adopt the Open eBook Format. The Open eBook Format is not perceived as providing a large advantage over existing eBook formats. The analysis of web standards adoption, which parallels the OEB format, provides an example supporting this theory. LIMITATIONS OF RESEARCH FINDINGS It is important to recognize the limitations of the scientific methods employed in this study when drawing conclusions from the data they produce. The following describes some of these issues. Devices People who completed the survey asked for more questions concerning existing eBook devices and their capabilities. The survey did not focus on specific devices, device capabilities or whether specific devices claimed to support the Open eBook Format. However, this study does not consider the capabilities of existing devices as a major factor when consumers choose between an OPF eBook and other eBook formats for two reasons: 1. The Open eBook standard focuses on interoperability across reading systems and devices. An eBook in Open eBook Format should load on almost any device, whether or not it is specified as a format a device supports42. 2. While the Open Container Format holds each eBook title in Open eBook Format, it supports alternative eBook formats. Many devices are able to load these alternative versions even if it can't load the OPS version. A memo about the Open eBook Format, published by International Digital Publishing Forum members Garth Conboy, John Rivlin and J. Ferraiolo, note that the following applications use the media type: * eBook Technologies, Inc. eBook reading system. * Microsoft Reader * OSoft reader * Content Reserve Publishing System * IDPF Container WG * PC Reader.com (eReader) * MobiPocket reader (2006, pg. 3) This document states several popular reading devices and software (according to primary data from each survey, data located in appendices 2 and 3) such as Microsoft Reader, PC Reader, MobiPocket and eBook technologies software as supporting the OEB format. Using this source, the study concludes that enough reading systems support the OEB format for the OEB to compete with other popular eBook formats on the market in 2007. Question #20 on the Consumer Survey Question #20 on the eBook User survey asked participants to rank a list of values in order from most to least important by assigning each list item a unique number. The question appeared as follows: 20. Please rank the following values of digital media in order of their importance to you. The digital media should... (1=Most Important, 10=Least Important, use each number only once) (options- Have a fast download and transfer rate, Be usable on any computer or device, Be accessible to those with disabilities, Have no file security restrictions (digital rights management), Be easy to find online, Be reasonably priced, Require no additional software to use it, Be able to be lent and transferred to friends and family, Require little or no learning curve to use it, Have a free preview or demo version before purchasing) Rank values must be between 1 and 10. This question seemed to confuse some people. The question asked users to rank ten values for digital media in order from most important to leave important, giving each value a unique numerical value. Many participants reacted by assigning each of the values a ranking between one and ten. The survey software detected this error and prompted each user with instructions on how to answer the question correctly. While this question may have caused some participants to drop out, it prevented flawed data from being submitted. A few survey participants emailed their concerns about question 20's design. Since almost all participant concerns focused on this question, the validated of the data generated from it was under question. As a result, data collected from this question was not used in forming any conclusions during data analysis. The data collected from this question can be viewed in appendix 2b. Digital Rights Management A better description of digital rights management should be offered. Many survey participants seemed to confuse DRM with interoperability. Sometimes DRM restrictions intentionally render a file incompatible with certain systems; sometimes the structure of the DRM metadata renders it incompatible unintentionally. The study and survey focuses on the latter. In addition, many participants addressed strict DRM's placed on files by the owners of digital media. This is irrelevant to the study and survey since this does not concern the file format structure, nor does the IDPF have anything to do with what specific restrictions are placed on OEB files. Sample Pool The survey acknowledges it lacks participants in certain demographics and has concentrations in others. There was a concentration of participants in AZ, NJ, and NY created from sending the survey to personal contacts. The survey lacked participants of ages 18 years old and younger. The survey acknowledges that the results may be skewed because of this. A second survey would aim for a better representation of the US population. In addition, a future study might focus on eBook readers. 81% of participants in the user survey admitted to doing 25% or less of their reading on a screen. The results from the user survey could have been affected by a number of users who won't have any impact of the Open eBook format. ACKNOWLEDGEMENTS This thesis is the result of 16 months of work whereby I have been accompanied and supported by many people. I am very glad I now have the opportunity to express my gratitude for them all. I'd like to start with my thesis committee chair, UAT professor. Todd Spencer, MM. Professor Spencer accompanied me through every stage of two separate topics, including the one detailed in this paper. He was on hand almost every week for meetings and provided feedback and insight throughout the process. I would like to thank another of my thesis committee members, UAT professor Kathleen Dunley, PhD (ABD). Professor Dunley kept an eye on my writing style and grammar throughout the document's lifecycle. She always addressed my concerns despite having a busy schedule (she once proofread my paper during a flight between Arizona and Florida). UAT professor Peter Kantor, MS, served as a committee member. Professor Kantor provided several rounds of expert technical advise and comments to make the paper technically accurate. All three of my committee members constantly helped with the document's accuracy, grammar, and structure. UAT librarian and instructor Susan White, MLS, helped my through the thesis process itself. Along with UAT Dean and instructor Meredith Barham, MAeD, Professor White instructed the graduate thesis classes at UAT. Professor White also helped me with the graduate thesis process at UAT, as well as locating resources to deploy my survey. I'd like to thank various other UAT faculty who have contributed to my graduate and thesis work, including Dave Bolman, MT; Linda La Galia, BFA; Matthew Jolly, MFA; William Maxwell, Ed.M. and Ed.D.; Holly Rick, MBA; and Victoria Schaufuss, MS. A special thanks goes to Garth Conboy, a member of the International Digital Publishing Forum and eBook Technologies, Inc. In addition to publishing numerous articles and presentations specific the eBook standards and Open eBook Format, Mr. Conboy took the time to answer several personal emails I sent him. His responses were always prompt; his explanations were always clear. A friend and former co-worker, Nathan Hahn, BS and MCSE, contributed to my primary data collection by creating the web bot used in my research. Nathan created the bot from scratch to the specifications given to him. He tested the web bot and provided its documentation. I'd like to thank my best friend and significant other Sara Greco, BA, for her support through the graduate process at UAT. She used her degree and skill as an English and creative writing instructor to help proofread my document on several occasions. Walter Bagdzinski of Penguin Putnam helped me reach a number of people in the eBook publishing industry with my eBook Retailer Survey. In addition to helping me get survey submissions, he provided specific, insightful information from his own professional experience with eBooks. I'd like to thank my mother, father and brother for their continued support throughout my graduate degree progress. Their presence and confidence in me helped me follow this through from beginning to end. Several utilities were instrumental in helping my complete my research and documentation. "The Owl at Purdue: APA Formatting and Style Guide"43 provided additional APA style references throughout the documentation process. QuestionPro provided a powerful and capable software tool used in to create and deploy the two surveys. Annotated Bibliography About the International Digital Publishing Forum. (No Date). International Digital Publishing Forum. Retrieved February 27, 2007 from http://www.idpf.org/about.htm. This page in IDPF.org summarizes the mission, goals, values, and scope of the International Digital Publishing Forum. Ahlers, Douglas & Hessen, John. (Fall, 2005). Traditional Media in the Digital Age. Nieman Reports. Vol.59, Iss. 3; pg. 65, 4 pgs. Cambridge: Neiman Reports. Ahlers and Hessen discuss how data about news habits and advertiser spending lead to a reassessment of media's prospects and possibilities. As the Internet developed into a ubiquitous source of news and information, many observers and industry professionals have openly questioned the long-term viability of printed newspapers or network television news programs. All About eBooks. (April 9, 2000). African American Literature Book Club. Retrieved May 20, 2006 from http://aalbc.com/writers/ebooks/Allaboutebooks.htm#eBook%20Reader%20Software. Good overview of numerous kinds of eBook formats and readers (from 2000). Shows the difficult decision of deciding on a format and reader. It also clearly states the OEB objective and working theory. Analyst: DRM-free music beneficial, but unlikely. (February 7, 2007). MaCNN.com. Retrieved February 7, 2007 from http://www.macnn.com/articles/07/02/07/drm.free.music.unlikely/. "The likelihood of the big four music labels licensing their music catalogs to online stores such as Apple's iTunes store without digital rights management (DRM) protection as requested by Apple CEO Steve Jobs in an open letter yesterday is less than 25 percent, according to Piper Jaffray senior analyst Gene Munster." Batista, Elisa. (Apr, 08, 2002). 'Crappy' WAP Bridging Gap. Wired News. Retrieved July 22, 2006 from http://www.wired.com/news/wireless/0,1382,51516,00.html. Openwave, whose WAP browser is embedded in 70 percent of all handsets on the market, is banking on the success of WAP 2.0 -- the latest version of the protocol that is a hybrid of XML (extensible markup language) and HTML. Bauckhage, T. (2003). The Basic Economic Theory of Copying. In Becker, E., Buhse, W., GŸnnewig, D., Rump, N. (Eds.), Digital Rights Management. Technical, Economic, Legal and Political Aspects. (pp. 234 - 249). New York: Springer-Verlag. The digital age changed the way we shop. Digitalization has made copying and distributing easier than ever. Copyright attempts to give the author a temporary monopoly over his or her work. Some people are willing to pay, and some are willing to pay less for digital. Businesses must factor in projected piracy rates into their prices and revenues. Berners-Lee, Tim. (September, 1998). Web Architecture from 50,000 feet. World Wide Web Consortium. Retrieved July 26, 2006 from http://www.w3.org/DesignIssues/Architecture.html. This document attempts to be a high-level view of the architecture of the World Wide Web. This article assumes that the goals of interoperability, and creating an evolvable technology, are taken for granted and assumed throughout. The principles of universality of access irrespective of hardware or software platform, network infrastructure, language, culture, geographical location, or physical or mental impairment are core values in Web design: they so permeate the work described that they cannot be mentioned in any one place by will likewise be assumed throughout. Bernstein, Jared. (May 2006). Born Digital, Not Yesterday: Next-generation Web User Seeks Interactivity. EContent. Wilton: May