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From Peter Suber's July 2011 Issue of the SPARC Open Access Newsletter.
From the beginning, OA struggled against the widespread assumption that it must
violate copyright law. But this has been a struggle against perception, not reality.
In fact, steering clear of infringement has always been easier than steering clear of
this false assumption and the harm it has caused.
The assumption has made some authors fear OA. It has made some institutions
skittish about committing to OA. It has needlessly weakened some OA policies, for
example, by creating loopholes for dissenting publishers. It has even been a
dishonest pretext for bad legislation.
http://www.earlham.edu/~peters/fos/newsletter/10-02-08.htm#nih
http://www.earlham.edu/~peters/fos/newsletter/03-02-09.htm#conyers
There are bullet-proof methods for OA publishers and repositories to avoid copyright
problems. These methods are better known today than they were five years ago,
but we still struggle against the same false assumption, the same fear, the same
skittishness, the same needless capitulation, and the same dishonesty. Here's an
attempt to clarify the situation in a dozen propositions.
(1) Fair use is not enough to authorize OA. Gratis OA exceeds fair use by
distributing a full-text work to a worldwide audience. Libre OA exceeds fair use by
permitting users of the work to exceed fair use
http://www.earlham.edu/~peters/fos/newsletter/08-02-08.htm#gratis-libre
Clarifying fair use, pushing the envelope on fair use, and expanding fair use are all
desirable. But they're insufficient for OA.
Note that fair use isn't enough to authorize conventional TA publishing either.
(2) The public domain (PD) is more than enough to authorize OA. But it only
authorizes OA for works in the PD, and most of the works for which we want OA are
under copyright. Hence, most of the time the PD is not enough either.
Protecting the PD, preventing retroactive copyright (piracy from the PD), and
expanding the PD are all desirable. But they're insufficient for OA to works under
copyright, a category that covers nearly all new research articles.
(3) If fair use and the public domain aren't enough to authorize OA for full-text
works under copyright, then we need permission from the copyright holder.
Notice where we've arrived. OA for full-text works under copyright avoids
infringement in exactly the same way that conventional TA publishing avoids
infringement. For sufficiently old work, OA and TA can rely on the public domain.
For newer work under copyright, they rely on rightsholder consent.
This is the first point on which the widespread assumption goes wrong. It
presupposes that conventional TA publishers have easy and natural methods to
avoid infringement, and that OA providers have nothing but dubious or convoluted
methods. But the two camps use exactly the same methods.
OA journals, like TA journals, use contracts with authors to secure the needed
permissions and avoid infringement. OA repositories obtain permission from the
rightsholders too, although sometimes that means obtaining it from authors before
they transfer rights to a journal, and sometimes it means obtaining it from
publishers after they acquire rights from authors.
(4) Authors of new work are the copyright holders until or unless they transfer
copyright to someone else, like a publisher. Publishers only hold the rights that
authors voluntarily transfer to them.
This is the second point on which the pernicious widespread assumption goes
wrong. It presupposes that publishers always hold all rights. A related third error is
to presuppose that publishers typically use the rights they hold to oppose OA.
Initially publishers don't hold any rights. Even after authors sign publication
agreements, authors may retain some rights and transfer others. And even after
publishers acquire rights from authors, many publishers choose to permit OA. In
fact, most surveyed TA publishers permit green OA and a growing number of
publishers are experimenting with gold OA (more in #8).
(5) Authors are much more likely than conventional publishers to consent to OA.
This may not be true for novels or journalism, but it's true for scholarly journal
articles. Part of the reason is that scholarly journals do not pay authors. Hence,
authors of scholarly journal articles can consent to OA without losing revenue.
Another, related part of the explanation is that authors of scholarly journal articles
write for impact, not for money, and OA increases their impact by enlarging their
audience.
http://opcit.eprints.org/oacitation-biblio.html
(6) For similar reasons, it's easier to obtain copyright holder consent to OA for stillunpublished literature than already-published literature. When we seek consent to
OA for future literature, we ask the authors before they transfer any rights to
publishers, and authors are more likely to consent than publishers. When we seek
consent for past literature, we usually have to ask publishers, not authors.
Both kinds of policy obtain permission from authors, when authors are still the
rightsholders. Both obtain permission for future, still-unpublished works rather than
for past, already-published works.
(7) Rights retention works best when authors do not act alone.
Individual authors acting alone may try to retain key rights to their still-unpublished
articles, but it's not always easy or successful. If they don't have the aid of funder
or university policies to back them up, at least they have the aid of lawyer-drafted
author addenda to their publishing agreements. Author addenda help authors
frame their requested contract modifications in legally precise and enforceable
language.
http://oad.simmons.edu/oadwiki/Author_addenda
But author addenda are merely proposed contract modifications which publishers
may take or leave, and individual authors have less bargaining power than funders
or universities. Publishers reject author addenda more often than they refuse to
publish work by authors subject to OA institutional OA mandates.
(8) Most TA publishers (64%) already consent to green gratis OA. But we want OA
for all articles, regardless of where authors choose to publish. And we want OA
regardless of how publishers may modify their access policies in the future. These
are reasons for universities and funders to require rights retention, or at least to
make rights retention the new default.
For the journals and publishers granting advanced permission for green gratis OA,
see the SHERPA RoMEO database and its statistics page.
http://www.sherpa.ac.uk/romeo.php
http://www.sherpa.ac.uk/romeo/statistics.php
In addition to green OA, more and more publishers are experimenting with gold OA.
SHERPA currently lists 92 publishers offering hybrid OA options, including all of the
largest publishers.
http://www.sherpa.ac.uk/romeo/PaidOA.html
(9) Most OA journals (78%) don't offer libre OA. That is, they publish under allrights-reserved copyrights and don't allow uses beyond fair use.
When I checked last week (June 24, 2011), 1,448 out of 6,647 journals in the DOAJ,
or 21.8%, used some kind of CC license.
http://www.doaj.org/?func=licensedJournals
As of the same date, 747 or 11.2% had the SPARC Europe Seal of Approval, which
requires CC-BY.
http://www.doaj.org/?func=sealedJournals
OA repositories are rarely in a position to obtain the permissions needed for libre
OA. Hence, we can't criticize or complain when most of their deposits are gratis, not
libre. But OA journals can easily obtain the permissions needed for libre OA. When
they don't offer libre OA, they have no excuse. This is one of the largest missed
opportunities of the OA movement to date.
http://www.earlham.edu/~peters/fos/newsletter/10-02-09.htm#2
Today most libre OA is gold OA. But unfortunately it's not yet the case that most
gold OA is libre OA, and unfortunately it's not even close.
(10) OA does not depend on copyright reform, let alone on the violation or abolition
of copyright. However, OA would benefit from reforms of the right kind and many
dedicated people are working on them.
For example, here are some copyright reforms that would help the cause:
* Shorten the term of copyright, or at least prevent it from becoming even longer
every time Mickey Mouse is about to fall into the public domain.
* Allow OA for orphan works, with a takedown requirement if the rightsholder steps
forward and complains.
* Recognize that some creative works generate revenue for creators, and some
don't, and that creators of the former type are harmed by unauthorized copying
while creators of the latter type are harmed by the default prohibition of copying.
That is, stop making royalty-free literature collateral damage in the war against
revenue leaks.
* Allow green OA, at least for royalty-free literature, within a certain time after
publication, regardless of the publishing contract the author signed with a publisher.
* Allow digitization and search indexing without permission when they result in no
dissemination, or when the dissemination consists of nothing more than fair-use
snippets.
* Make the penalties for copyfraud (false claim of copyright) at least as severe as
the penalties for infringement; that is, take the wrongful decrease in the circulation
of ideas at least as seriously as the wrongful increase in the circulation of ideas.
While OA would benefit from any of these reforms, it doesn't require any of them.
OA is compatible with copyright law as it is, despite its grotesque imbalance in favor
of publishers. OA needn't wait for copyright reform and hasn't waited. Why?
Because rightsholder consent suffices, and rightsholders are consenting in growing
numbers.
(11) It follows that the OA movement needn't, and shouldn't, support tactics that
depend on deliberate infringement or knowing winks at infringement.
(12) Publishers have the right to refuse to publish any work for any reason. This is
good and we should all celebrate it. Without this fundamental right, publishing
would be a propaganda arm of the state, and all publishing would lose credibility.
It is this background right, not copyright, which allows publishers who dislike the
NIH policy to refuse to publish NIH-funded authors. But as noted (#6), all surveyed
publishers accommodate the NIH policy.
publishers. For example, a green *libre* mandate (as opposed to a green *gratis*
mandate) might simply trigger publisher rejections of covered work, which would
hurt authors and not advance OA. However, when large organizations or many
smaller organizations adopt strong policies, publishers have little choice but to
accommodate them.
When publishers own the key rights, then they can block OA and regard OA without
their consent as infringement. They can lobby Congress and argue that an OA
mandate without rightsholder consent is "inconsistent with copyright". But when
they don't own the key rights, because authors have retained them, then they
cannot block OA or regard it as infringement. They can't object that it's
"inconsistent with copyright". They can't complain that it violates a right they
possess, only that it would violate a right they wish they possessed.
If they oppose a rights-retention policy, like the NIH policy, they can't ground their
opposition in copyright law. But if they choose, they can ground their opposition in
the background right to refuse to publish any work for any reason. They don't have
the easy opt-out of deciding around their conference-room table that they will
withhold consent to OA. They only have the hard opt-out of refusing to publish NIHfunded authors. If they do not exercise this fundamental right, then they should
admit that they have chosen not to, and they should not allow their lawyers and
lobbyists, who should know better, to pretend that the policy is a standing violation
of copyright law.
http://www.earlham.edu/~peters/fos/newsletter/10-02-08.htm#nih
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