Open Access 101: Copyright, Open Access and free licensing

OPEN ACCESS 101
Michaela Voigt | openaccess@ub.tu-berlin.de
University Library of TU Berlin | Workshop at IPODI Office on June 15th 2015
If not indicated otherwise content is licensed under CC BY 4.0
Creative Commons Attribution 4.0 International | https://creativecommons.org/licenses/by/4.0
Copyright, Open Access & free licensing

Agenda
I. German Copyright: Core principles
II. Open Access: Basics
a. Green Road
b. Golden Road
III. Creative Commons licenses
Open Access 101 | Michaela Voigt | Workshop at IPODI Office on June 15th 2015
Page 2

GERMAN COPYRIGHT: CORE
PRINCIPLES
Page 3

Copyright protection
Page 4
• Author = creator of a work
• Supervisors of theses, student papers etc. are not considered to be creators
• Only natural persons (creators) can claim full copyright
• vs. rights holder: natural or legal person
WHO
• Protection of original works
• Ideas, concepts etc. are not protectable
• Work = intellectually created by a natural person (§ 2 UrhG)  a.o.t
• Literary works
• Photographic works
• Cinematographic works
WHAT
• Protected by law
• No further registration necessary (in contrast to patents, trademarks, logos etc.)
• Copyright term: 70 years after the creator‘s death
HOW

Authors‘ Rights
• Right of first publication
• Recognition of authorship
• Right prohibit distortions of the work
Moral rights
(§§ 12–14)
• Reproduction
• Distribution
• Making available to the public
• Performance, presentation
• …
Exploitation
rights
(§§ 15–24)
Page 5

Transfer of rights
Page 6
• Rights of use can be transfered (§ 31 UrhG)
• … for each type of use individually
• … limited in time (e.g. timespan of 5 years)
• … geographically limited (e.g. distribution within Europe)
• … as exclusive or non-exclusive right
Exploitation
rights
• Rights holder can use the work exclusively
• Even creator has to obtain rights for further use(s)Exclusive
• Rights holder can use the work
• Creator can transfer non-exclusive rights to different
(natural or legal) persons
Non-
exclusive

Publishing Agreements
 Creator grants
 Non-exclusive / exclusive rights
 Rights to certain / all uses
 Freedom of contract: contract partners negotiate terms
 NB: inalienable right to self-archiving (cf. § 38 (4) UrhG)
 Read your publication agreement and modify it if necessary!
 Cross out sections where transfer of exclusive rights is
demanded
 Retain rights with help of Author Addendum (SPARC Author's
Addendum recommended)
Page 7

OPEN ACCESS: THE BASICS
Page 8

Open Access Declarations
Page 10
Budapest
Open Access
Initiative:
Budapest
Declaration
Feb 2002
Bethesda
Statement on
Open Access
Publishing
June 2003
Berlin
Declaration
on Open
Access to
Knowledge in
the Sciences
and
Humanities
Oct 2003

Berlin Declaration
Open access contributions must satisfy two conditions:
1) The author(s) and right holder(s) of such contributions grant(s) to all users a free,
irrevocable, worldwide, right of access to, and a license to copy, use, distribute,
transmit and display the work publicly and to make and distribute derivative works, in
any digital medium for any responsible purpose, subject to proper attribution of
authorship (community standards, will continue to provide the mechanism for
enforcement of proper attribution and responsible use of the published work, as they
do now), as well as the right to make small numbers of printed copies for their
personal use.
2) A complete version of the work and all supplemental materials, including a copy of the
permission as stated above, in an appropriate standard electronic format is deposited
(and thus published) in at least one online repository using suitable technical
standards (such as the Open Archive definitions) that is supported and maintained by
an academic institution, scholarly society, government agency, or other well-
established organization that seeks to enable open access, unrestricted distribution,
inter operability, and long-term archiving.
Page 11

Berlin Declaration
Open access contributions must satisfy two conditions:
1) The author(s) and right holder(s) of such contributions grant(s) to all users a free,
irrevocable, worldwide, right of access to, and a license to copy, use, distribute,
transmit and display the work publicly and to make and distribute derivative works, in
any digital medium for any responsible purpose, subject to proper attribution of
authorship (community standards, will continue to provide the mechanism for
enforcement of proper attribution and responsible use of the published work, as they
do now), as well as the right to make small numbers of printed copies for their
personal use.
2) A complete version of the work and all supplemental materials, including a copy of the
permission as stated above, in an appropriate standard electronic format is deposited
(and thus published) in at least one online repository using suitable technical
standards (such as the Open Archive definitions) that is supported and maintained by
an academic institution, scholarly society, government agency, or other well-
established organization that seeks to enable open access, unrestricted distribution,
inter operability, and long-term archiving.
Page 12

Benefits of Open Access
Increased
visibility and
citation
advantage
Free access
to publicly
financed
research
results
Authors
retain
exploitation
rights
Good
findability by
search
engines &
other
indexing
services
Promote
international
and inter-
disciplinary
cooperation
Promote
research
efficiency by
rapid
discussion of
research
results
Improved
supply of
information
& response
to serials
crisis
Page 13

Roads to Open Access
Golden Road Green Road
Page 14
Happiness Is Only Real When Shared, by Jose Roberto V Moraes, licensed
under CC BY 2.0
muhuhuhuhuh, by Alex4739924, licensed under CC BY-SA 3.0

OPEN ACCESS: GREEN ROAD
Page 15

Roads to Open Access: Green OA
In addition to
traditional Closed
Access publication
Deposit on
• Institutional repository
• Disciplinary repository
Usually no transfer
of further rights to
public
• Restricted re-use
Dependant on rights
holder‘s policy
• Embargo?
• Version?
Page 16

The choice is yours…
(1) Insitutional repository
Page 17
 Text publications
Articles, book chapters
Conference contributions,
proceedings
Preprints, project reports
Theses
…
 Research Data
 Audio
 Images
 Software
 Video
 …
https://opus4.kobv.de/opus4-tuberlin
https://depositonce.tu-berlin.de/

The choice is yours…
(2) Cross-institutional and/or disciplinary repository
Page 18
And many more
 Directory of Open Access Repositories (OpenDOAR) http://www.opendoar.org
 Registry of Open Access Repositories (ROAR) http://roar.eprints.org/
 Registry of Research Data Repositories (re3data) http://re3data.org/
https://www.econstor.eu/
http://biorxiv.org/
http://www.ncbi.nlm.nih.gov/pubmed
http://figshare.com/
http://arxiv.org/
http://datadryad.org/
http://cogprints.org/
http://zenodo.org/
http://www.ssoar.info/

Consider your institutional repository!
Page 19
 Persistent Identifier (URN / DOI)
 Objects are retrievable via
 Library catalogue (e.g. TU Library,
KOBV, German National Library)
 Search engines (the usual suspects)
 Academic search engines (e.g. BASE,
Google Scholar)
 Services for authors
 Rights clearance service
 Depositing service
 Advise on free licenses
 PDF/A support

Self-archiving
Publishers‘
policies
Legal right
Special OA
rights
Get permission
from publisher
Page 20

Publishers‘ policies
Page 21
 Many publishers allow self-archiving
 Conditions can differ
 Preprint, postprint or publisher‘s PDF?
 Personal website, institutional repository, disciplinary repository?
 Embargo of 6, 12 oder 24 month?

Publishers‘ policies II
Page 22
 General information,
not legally binding
 Database on journal
publishers‘ policies on
self-archiving
 Policies for
monographic works
have to be checked
separately
http://www.sherpa.ac.uk/romeo/

Authors may self-archive the author’s accepted
manuscript of their articles on their own websites.
Authors may also deposit this version of the article
in any repository, provided it is only made publicly
available 12 months after official publication or
later. He/ she may not use the publisher's
version (the final article), which is posted on
SpringerLink and other Springer websites, for the
purpose of self-archiving or deposit. Furthermore,
the author may only post his/her version provided
acknowledgement is given to the original source of
publication and a link is inserted to the published
article on Springer's website. The link must be
provided by inserting the DOI number of the
article in the following sentence: “The final
publication is available at Springer via
http://dx.doi.org/[insert DOI]”

Legal right to self-archive
§ 38 (4) German Copyright Law
Page 24
 Can not be revoked as part of a publishing agreement
 Periodical contributions only
 Postprint only
 12 month embargo
 Valid for publications dating vom January 2014 or later
(…) scientific contribution which is the result of a research activity publicly funded by at least fifty
percent and which has appeared in a collection which is published periodically at least twice per
year (…)
(translated by Ute Reusch / juris GmBH)

Special Open Access rights
Page 25
 Some publishers grant special open access rights as part of a licensing
agreement
 Germany: e.g. „Allianz-Lizenz“ and „Nationallizenz“
 Conditions can differ
 Postprint or publisher‘s PDF?
 Personal website, institutional repository, disciplinary repository?
 Embargo of 6, 12 oder 24 month?

Get permission from publisher
 Publisher does not have official OA policy?
 Legal right to self-archive does not apply?
 No special OA rights known or in existance?
 It does not hurt to ask!
 Often, not always, publishers grant the right when asked directly…
Page 26

Self-archiving
Publishers‘
policies
Legal right
Special OA
rights
Get permission
from publisher
Page 27
It‘s often difficult to decide whether the legal right to self-archiving
applies or what a publisher‘s policy on self-archiving is exactly.
We are happy to help. Please contact us:
openaccess@ub.tu-berlin.de

OPEN ACCESS: GOLDEN
ROAD
Page 28

Roads to Open Access: Gold OA
Page 29
Access to peer
reviewed version
• Immediatedly
• Online
• Worldwide
• Free of cost
Transfer of rights to
public
• Copy
• Share
• Distribute

Again, the choice is yours…
Page 30
And many more
 Directory of Open Access Journals (DOAJ) http://doaj.org/
 Directory of Open Access Books (DOAB) http://www.doabooks.org/

Business and publication models
 Publication types
 Journals, series,
monographs, …
 Publishing models
 E-only
 Hybrid
 OA is not free of cost
 Business models e.g.
 Article processing charge (APC)
 Membership models
 Institutional sponsorship
 Subscription fees for hybrid
model
Page 31

What about quality?
 OA is not per se indicator on quality
 OA = publishing model
 Just like in closed access world: publishers and editors have to
ensure quality
 When choosing a publisher make sure…
 Professional management
 Proper peer review
 Proper license
 Check out Beall‘s List on predatory OA publishers (esp. Criteria for
determining…)
Page 32

Recommendations
• Check out OA alternatives in your
discipline
• Ask library or programm manager for
help
Publish Open Access!
• Proper licensing (CC BY)
• Professional publisherGo Gold OA!
• Read publishing contracts &
negotiate terms
• Retain rights to self-archive
• Keep post prints
Gold OA not possible?
Go Green OA!
Page 33

CC in a nutshell
 Non-profit organization
 Founded in 2001 in USA
 Version 1.0 of licenses released in 2002
 Licenses developed in the US
 Intended for international use
 License modules evolved over the years
 Latest version is 4.0 of 2013
Page 35

Why CC licenses?
 Use creative potential: facilitate use and
distribution of works
 Apply copyright in the digital world
 (c) All rights reserved
 (cc) Some rights reserved
 Tool to expand default values of
copyright
 Rights and duties for creators & users
 Licensor cannot revoke these freedoms
as long as you follow the license terms
Page 36
Figure by Timothy Vollmer (cc) 2013, licensed
under CC BY 4.0 International

Modular design
Page 37
4 license modules 6 possible types of licenses
 BY: Attribution
 SA: Share-alike
 NC: Non-commercial
 ND: No derivatives

License elements
 Legal code
 Human readable version (commons
deed)
 Machine readable version
Page 38
Three “Layers” Of Creative
Commons Licenses by Creative
Commons, licensed under CC
BY 3.0 Unported

Legal code
Page 39

Human readable version (commons deed)
Page 40

Machine readable version
Page 41

License terms
Page 42
Always
allowed
• Reproduce
and distribute
• Perform
publicly
Always
mandatory
• Give
attribution
• Link to source
• Link to
license
Possibly further
restrictions
• Example 1:
commercial
use
• Example 2:
derivatives

Why not…?
NC – Non-
commercial
• Notion “non-
commercial” not
clearly defined
• Prohibition of
uses that you
actually would
want to allow
SA – Share-
alike
• Threat of license
incompatibility for
further uses
• Princible of
“copyleft” applies
to “adaptations”
only – partly
difficult to
distinguish: what
is an adaptation?
ND – No
Derivatives
• Partly difficult to
distinguish: what
is an adaptation
or derivative?
• Not compatible
with demand to
re-use of open
access works
Page 43

Why not…?
NC – Non-
commercial
• Notion “non-
commercial” not
clearly defined
• Prohibition of
actually desired
uses
SA – Share-
alike
• Threat of license
incompatibility for
further uses
• Princible of
“copyleft” applies
to “adaptions”
only – partly
difficult to
distinguish: what
is an adaptation?
ND – No
Derivatives
• Partly difficult to
distinguish: what
is an adaptation
or derivative?
• Not compabtible
with demand to
reuse of open
access works
Page 44
Only CC BY complies with demands to re-use
open access works.

NC – Non-commercial
 Legal code does not define “commercial” clearly
 So far there is no clear (German) court ruling to interprete term “non-commercial”
 When in doubt it‘s better to abstain from using a NC-licensed work
 Recommendation: avoid NC modul when licensing own (scholarly) works
Page 45
You may not exercise any of the rights granted to You in Section 3 above in any manner that is primarily intended
for or directed toward commercial advantage or private monetary compensation. The exchange of the Work for
other copyrighted works by means of digital file-sharing or otherwise shall not be considered to be intended for or
directed toward commercial advantage or private monetary compensation, provided there is no payment of any
monetary compensation in connection with the exchange of copyrighted works.
(see 4. b of CC BY NC 3.0 legal code)
A commercial use is one primarily intended for commercial advantage or monetary compensation.
(see tool tip for “commercial purpose“ in CC BY NC 3.0 commons deed)

SA – Share-alike
 SA module applies to adaptations “only”
 Goal: extend pool of freely licensed works
 Most commonly known user: Wikipedia
 NB: what does “adaptation” mean?
Page 46
You may Distribute or Publicly Perform an Adaptation only under the terms of:
(i) this License;
(ii) a later version of this License with the same License Elements as this License;
(iii) a Creative Commons jurisdiction license (either this or a later license version) that contains the same License
Elements as this License (e.g., Attribution-ShareAlike 3.0 US));
(iv) a Creative Commons Compatible License.
(see 4. b of CC BY SA 3.0 legal code)

ND – No Derivatives
Page 47
“Adaptation” means a work based upon the Work, or upon the Work and other pre-existing works, such as a
translation, adaptation, derivative work, arrangement of music or other alterations of a literary or artistic work, or
phonogram or performance and includes cinematographic adaptations or any other form in which the Work may be
recast, transformed, or adapted including in any form recognizably derived from the original, except that a work
that constitutes a Collection will not be considered an Adaptation for the purpose of this License. For the avoidance
of doubt, where the Work is a musical work, performance or phonogram, the synchronization of the Work in timed-
relation with a moving image (“synching”) will be considered an Adaptation for the purpose of this License.
(see 1. a of CC BY-ND 3.0 legal code)
Adaptation – yes or no?
Strictly technical changes and
copies?
No, see CC-Lizenztextlesung (Video in German, cf. 00:35:00)
Use a CC-licensed song to
add music to a video?
Yes, see CC-Lizenztextlesung (Video in German, cf. 00:36:50)
Inclusion in collection? No, see paragraph 1. a CC BY 3.0 legal code
Trim or colorize a photo? Maybe: trimming a photo is an adaptation if it changes the
photo‘s message (cf. court ruling OLG Köln, Urteil vom
31.10.2014, Az. 6 U 60/14)

Contact
openaccess@ub.tu-berlin.de
Michaela Voigt 030 314 76130
Dagmar Schobert 030 314 76127
www.ub.tu-berlin.de/
http://blogs.ub.tu-berlin.de/openaccess/
@UB_TU_Berlin
http://de.slideshare.net/UB_TU_Berlin
Page 48

Source credits
 “What Is the Problem?” graphic, content by Jill Cirasella / graphic design by Les LaRue,
http://www.leslarue.com/, licensed under a Creative Commons Attribution-ShareAlike 3.0
Unported License
 Happiness Is Only Real When Shared, by Jose Roberto V Moraes, licensed under CC BY 2.0
 muhuhuhuhuh, by Alex4739924, licensed under CC BY-SA 3.0
 Fix copyright figure by Timothy Vollmer (cc) 2013, licensed under CC BY 4.0 International
 Three “Layers” Of Creative Commons Licenses by Creative Commons, licensed under CC BY 3.0
Unported
Page 49

Further reading
 Information provided by the University Press: http://verlag.tu-berlin.de/
 TU Berlin, Referat V D: Leitfaden Urheberrecht der Technischen Universität Berlin (13.11.2014)
 Beall, Jeffrey
 Beall‘s List on predatory OA publishers
 Criteria for Determining Predatory Open-Access Publishers
 Creative Commons:
 Frequently Asked Questions
 Best practices for attribution  instruction incl. Examples for how to mark CC-licensed works
 License Versions  information on backround, history and differences between the different
versions of CC licenses
 SHERPA/RoMEO  Database on journal publishers‘ policies on self-archiving
 Directory of Open Access Journals (DOAJ)
 February 2015: more than 10000 scholarly OA journals documented
 Directory of Open Access Books (DOAB)
 February 2015: more than 2700 OA books by approx. 90 publishers documented
 Allows search for publishers that publish OA books
Page 50

Further reading (2)
 SPARC Author's Addendum
 Klimpel, Paul: Freies Wissen dank Creative-Commons-Lizenzen. Folgen, Risiken und
Nebenwirkungen der Bedingung »nicht-kommerziell - NC« (2012)
 Kreutzer, Till: Open-Content-Lizenzen. Ein Leitfaden für die Praxis (2011)
 pb21.de: CC-Lizenztextlesung – Juristen und Pädagogen erklären die Creative Commons
Lizenzen (2014)  legal experts Till Kreutzer and John H. Weitzmann comment on and explain
legal code of CC licenses (Video in German, approx. 2 h 10 min)
 Search for Creative Commons-licensed content
 Wikimedia Commons: search for freely licensed images, audio and video material
 Flickr: allows filtering for CC licensed content (see Advanced search)
 Google Bilder: after submitting a query select “search tools” and filter for “usage rights”
 open-access.net  Information platform about Open Access
 a.o.t. information on legal issues and business models
 see FAQ for authors
Page 51

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