Newsletter on Serial Pricing Issues 094 (August 29, 1993) URL = http://hegel.lib.ncsu.edu/stacks/serials/nspi/nspi-ns094 ISSN: 1046-3410 NEWSLETTER ON SERIALS PRICING ISSUES NO 94 -- August 29, 1993 Editor: Marcia Tuttle CONTENTS 94.1 TRLN MODEL COPYRIGHT DOCUMENT (PART 2) 94.1 TRLN MODEL COPYRIGHT DOCUMENT (PART 2) Triangle Research Libraries Network --continued from no. 93-- The Task Force also recommends that universities explore ways of providing advice, support, and managerial services for handling copyright and permis- sions matters on behalf of their faculty (or association members), perhaps in collaboration with a local university press. This is a vital element in any system that would make it possible to bypass some publishers on permis- sions matters. There is an excellent non-commercial reason for publishers, universities or associations to manage faculty copyrights in scholarly journal articles: an institution is readily findable by a permissions re- questor, because its address is listed in the journal and if it moves it leaves a clear trail. The author in a great many cases is not findable at all, or only at the cost of an enormous amount of work. The policy would impede electronic distribution: The Task Force disagrees with the notion that the distribution of research articles by means of CD- ROM or over national and international electronic networks would be impeded if the model university policy were widely adopted. The Task Force is far more concerned about the threat of commercial ownership and control of scholarly information in the networked electronic environment of the future (see Anderson, 1993). As early as the mid-1980s Carlton Rochell pointed out that even browsing can be curtailed where electronically stored information is only available for a fee. Paying for access to a database of journal articles means "the user is required to pay to look at it to judge its relevance.... This [is] a relatively new commercial principle not so far applied in other sections of the information industry, for example book- shops.... It is also not applied in other industries. Imagine paying for the right to look--just look--at Ford's [new] model [... automobiles]" (see Rochell, 1985). This model policy aims to keep the ownership and control of scholarly in- formation in the hands of research scholars and, by extension, the univer- sities and other not-for-profit agencies that support scientific and tech- nical research for the public good. It would preserve the right of research scholars to ensure that their original publications can be widely distribu- ted electronically at the lowest possible costs. This does not preclude the possibility that commercial publishers could be licensed to create publica- tions or databases that add value to the articles as first distributed and then market these to libraries, other agencies or individual researchers themselves. The situation is analogous to that of information generated by U.S. federal government agencies. The Government Printing Office (GPO) and the National Technical Information Service (NTIS) ensure that this informa- tion is made widely available to citizens through depository programs with research libraries and at-cost sales of copies directly to citizens. At the same time, commercial publishers such as the Congressional Information Service take profitable advantage of the right to repackage and add value to this information in print and electronic products which they sell to libraries and other businesses. The policy proposed here suggests a fundamental change in the current prac- tice whereby faculty routinely transfer copyright for their scientific and technical journal articles to publishers. Instead, widespread adoption of this model policy would encourage and support universities and their facul- ty to develop partnerships with publishers like the not-for-profit univer- sity and association presses which are also committed to maintaining a scholarly communication system which provides for reasonable-cost access to the published results of all research. As pointed out in a recent discus- sion of scholarly publishing in The Chronicle of Higher Education (see Bennett and Matheson, 1992), only the copyright owner can decide whether scholarly publications are treated primarily as knowledge to be shared or as a commodity to be sold for a profit. In trade and mass market publishing, such as novels, textbooks, and popular magazines, authors recognize the economic value of their intellectual prop- erty and transfer limited rights to publishers so they will earn royalties. In scholarly journal publishing, by contrast, authors freely assign their ownership rights to publishers. The irony here is that university libraries are being forced to pay spiraling subscription costs for information creat- ed and given away by faculty whose research was supported largely by public grants and these same university library resources. The Copyright Policy Task Force of the Triangle Research Libraries Network believes that if many universities adopted the model policy, the ultimate result would be a more rational and productive worldwide scholarly communi- cation system. Members of the TRLN Copyright Policy Task Force: Gary D. Byrd, Health Sciences Library, U. of North Carolina at Chapel Hill Jerry D. Campbell, Perkins Library, Duke University Stephen A. Cohn, Duke University Press Jerry M. Davis, Marine, Earth and Atmospheric Sciences, North Carolina State University Paul Garwig, Textiles Library, North Carolina State University Laura N. Gasaway, Law Library, U. of North Carolina at Chapel Hill Joe A. Hewitt, Davis Library, U. of North Carolina at Chapel Hill Connie K. McCarthy, Perkins Library, Duke University C. David Perry, University of North Carolina Press Ross Whetten, Forestry, North Carolina State University Please address comments or questions to: Gary Byrd Health Sciences Library CB #7585, UNC-CH, Chapel Hill, N.C. 27599 Phone: 919-966-2111 FAX: 919-966-1029 Email: byrdmed@med.unc.edu Further Reading Anderson, Christopher "The rocky road to a data highway" Science 1993, May 21; 260: 1064-1065. Barshall, Henry H. "The cost-effectiveness of physics journals" Physics Today 1988, July; 41: 56-59. Bennett, Scott "Copyright and innovation in electronic publishing: a com- mentary" The Journal of Academic Librarianship 1993, May; 19(2): 87-91. Bennett, Scott and Matheson, Nina "Scholarly articles: valuable commodities for universities" The Chronicle of Higher Education 1992, May 27; pp. B1- B3. Byrd, Gary D. "An economic `commons' tragedy for research libraries: schol- arly journal publishing and pricing trends" College & Research Libraries 1990; 51(3): 184-95. Carrigan, Dennis P. "Publish or perish: the troubled state of scholarly communication" Scholarly Publishing 1991, April: 131-42. Feinman, Stephen "Regulation of the STI industry: a historical basis and some possibilities" in Information Services: Economics, Management and Technology, ed. by Robert M. Mason and John E. Creps, Jr. (Boulder, CO: Westview Press, 1981). Fry, Bernard M. & White, Herbert S. Impact of economic pressures on Ameri- can libraries and their decisions concerning scholarly and research jour- nal acquisition and retention (National Technical Information Service report no. PB 283874). Washington, DC; National Science Foundation, June 1978. Hewitt, Joe A. "Altered states: evolution or revolution in journal-based communications?" American Libraries 1989, June; 20(6): 497-500. Lewis, David W. "Economics of the scholarly journal" College & Research Libraries 1989; 50(6): 674-88. Okerson, Ann & Stubbs, Kendon "The library doomsday machine" Publishers Weekly 1991, February 8; 238(8): 36-7. Patterson, L. Ray & Lindberg, Stanley W. The nature of copyright: a law of users' rights. Athens, GA: University of Georgia Press, 1991. Price, Derek J de Solla Little science, big science New York; Columbia University Press, 1963. Rochell, Carlton "The knowledge business: economic issues of access to bibliographic information" College & Research Libraries 1985, 46(1): 5- 12. Strong, William S. The copyright book: a practical guide, 4th ed. Cam- bridge; MIT Press, 1993. Thatcher, Sanford "Toward the year 2001" Scholarly Publishing 1992, Oct: 25-37. White, Herbert S. "Scholarly publishers and libraries: a strained marriage" Scholarly Publishing 1988, April: 125-29. White, Herbert S. "The journal that ate the library" Library Journal 1988, May 15; 113(9): 62-3. White, Herbert S. "Librarians, journal publishers and scholarly informa- tion: whose leaky boat is sinking?" Logos 1990; 1(4): 18-23. White, Herbert "Scholarly publication, academic libraries, and the assump- tion that these processes are really under management control" College & Research Libraries 1993; 54(4): 293-301. ---------- Preamble The Constitutional purpose of copyright is "to promote the Progress of Science and useful Arts by securing for limited Times to Authors and Inven- tors the exclusive Right to their respective Writings and Discoveries" (Article I, section 8, clause 8). Thus, from the beginning U.S. copyright legislation has had the complementary purposes of protecting the intellec- tual property of authors and of promoting widespread access to useful in- formation. The following policy addresses the need to maintain a balance between scholars' rights as authors and a fundamental mission of the modern university; that is, to promote the free exchange of ideas and research results. To this end this university will work to strengthen already-exist- ing university and scholarly society or association publishing enterprises whose journal subscription prices are rationally related to the actual costs of journal publication. This university will also work with scholarly associations and research libraries to provide support services that facil- itate the widespread dissemination of faculty research results. The Policy As a non-profit institution which relies heavily on government and founda- tion grants to support its research activities, this university asks its faculty to publish their scientific and technical research results in jour- nals supported by universities, scholarly associations, or other organiza- tions sharing the mission to promote widespread, reasonable-cost access to research information. Where this is not possible, faculty should use the model "Authorization to Publish" form below to ensure that control of copy- right in the published results of their university research remains within the academic research community. Where publishers' pricing practices would restrict widespread access to research results, individual retention of copyright to scientific and tech- nical journal articles will help to ensure that faculty maintain their rights individually or collectively to disseminate this information, as appropriate, to colleagues, students and the public at large using existing and emerging print and electronic technologies. Current copyright law spec- ifically gives the owner the right to reproduce, distribute, prepare deriv- ative versions, and to perform or display articles or other works. The model "Authorization to Publish" form stipulates that the article will be published with a statement on the first page notifying readers that copyright remains with the author(s) and giving permission for the noncom- mercial reproduction of the article for educational or research purposes. Thus, only commercial reproduction beyond initial publication in the jour- nal would require that the author(s) be contacted directly for permission. Faculty may also want to consider negotiating a contract which gives the publisher a nonexclusive right to sell licenses to reproduce the article at agreed-upon reasonable rates (for instance, to commercial copy services which reproduce articles for use in university "course packs"). Model "Authorization to Publish" Form A major mission of _________________________________ (name of the universi- ty) is to provide for the creation and dissemination of new knowledge. To promote the widest possible dissemination of research results, the faculty employees of this University are encouraged to publish in journals support- ed by organizations having the mission to support widespread reasonable- cost access to research results. Where this is not possible faculty are asked to retain individual copyright in the scientific and technical schol- arly journal articles produced while conducting university research. There- fore, _________________________________________________________________ [hereinafter called the Author(s)] grants to _________________________________________________________________ [hereinafter called the Publisher] the right to publish the article provi- sionally entitled _________________________________________________________________ [hereinafter called the Article] in the following print/electronic journal: This authorization does not transfer to the Publisher copyright in the Article, nor the right to grant or deny permission for the reproduction of the Article in other forms, with the exception of limited reproduction by indexing and abstracting services. This Authorization takes effect only upon the acceptance by the Publisher of the Article for publication in the journal indicated above. If the Article is not accepted for publication, no authorization of the Publisher shall have been made. The Author(s) retain(s) all title, interest, and rights in the Article, including but not limited to the rights to grant or deny permission for further reproduction of the published Article, to use material from the Article in subsequent works, to redistribute the Article by electronic means, to display the work publicly, to procure registration of copyright, and to secure copyright in any other country. WARRANTIES The Author(s) warrant(s) that he/she/they is/are the sole author(s) and proprietor(s) of the Article, that the Article does not contain any libel- ous or unlawful material, that it does not infringe upon the rights of others, and that its contents are original to the Author(s) and have not been submitted for publication in another journal. If the Article contains significant excerpts from other copyrighted materials, the Author(s) war- rant(s) that written permission from the copyright holder has been obtained and proper credit has been given in the Article. The following notice shall appear, as a condition of publication of the Article, as a footnote on the first page of the Article as distributed by the Publisher: "Copyright to this work is retained by the author(s). Permission is granted for the noncommercial reproduction of the complete work for edu- cational or research purposes, and for the use of figures, tables and short quotes from this work in other books or journals, provided a full bibliographic citation is given to the original source of the material." Date: ________________________ Signature(s) of Author(s): _____________________________________ Name(s) of Author(s):________________________________________ Authorizing signature for the Publisher: _________________________ Appendix Advice to Authors: The following guidelines are intended to aid faculty in choosing an appropriate scholarly journal publisher and in negotiating copyright and licensing agreements which insure the widest possible dissem- ination of their scholarship and research results at reasonable costs. 1) Choosing a scholarly journal publisher and submitting an article for publication: In evaluating any potential journal for the publication of an original article, faculty should consider the publisher's policy regarding the reproduction of articles for education or scholarly purposes by students, faculty, and libraries. Publication with university publishers or other not-for-profit scholarly associations will ensure that the university community can promote widespread access to these research results at reasonable cost. Publication via a national or international public online computer net- work is encouraged when this alternative is available. Although not required to protect copyright, faculty should never submit an article for publication to a scholarly journal without including a "notice of copyright" on the title page (e.g.: 1992 J.Q. Faculty). 2) The rights that authors retain by not assigning copyright in their scholarly journal articles to profit-driven publishers include: The right to reproduce the work, to authorize the reproduction of the work, or to exclude others from reproducing the work. The right to distribute or authorize the distribution of the work by sale, rental, lease, or lending. The right to prepare or authorize the preparation of derivative works (such as translations, new editions, abridgements, etc.) of the work. The right to present or "perform" the work publicly in person or through the mass media. The right to display the work publicly through new technological methods. 3) The responsibilities authors and their supporting institutions assume by not assigning copyright in their scholarly journal articles to profit-driv- en publishers include: The responsibility to seek not only the most prestigious journals for publication of articles, but also those which will assure their wide- spread availability to other scholars and students at a reasonable cost. The responsibility to learn more about our current system of scholarly communication through journals and the role copyright plays in this sys- tem. The responsibility to participate actively in campus, national, and in- ternational committees, discussion groups, and forums where changes in our current system of scholarly communication are being debated. The responsibility to support nascent efforts among university presses and other campus agencies to create new outlets for scholarly research that promote widespread access to these resources among university schol- ars worldwide. Where not already assigned by license to a publisher, the responsibility to respond promptly to requests to resell articles for commercial purpos- es (noncommercial reproduction would be automatically permitted by the notice printed or electronically displayed on the first page of the arti- cle). +++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ Statements of fact and opinion appearing in the _Newsletter on Serials Pricing Issues_ are made on the responsibility of the authors alone, and do not imply the endorsement of the editor, the editorial board, or the Uni- versity of North Carolina at Chapel Hill. +++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ Readers of the NEWSLETTER ON SERIALS PRICING ISSUES are encouraged to share the information in the newsletter by electronic or paper methods. We would appreciate credit if you quote from the newsletter. +++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ The NEWSLETTER ON SERIALS PRICING ISSUES (ISSN: 1046-3410) is published by the editor through the Office of Information Technology at the University of North Carolina at Chapel Hill, as news is available. Editor: Marcia Tuttle, Internet: tuttle@gibbs.oit.unc.edu; Paper mail: Serials Department, CB #3938 Davis Library, University of North Carolina at Chapel Hill, Chapel Hill NC 27599-3938; Telephone: 919 962-1067; FAX: 919 962-0484. Editorial Board: Deana Astle (Clemson University), Jerry Curtis (Springer Verlag New York), Janet Fisher (MIT Press), Charles Hamaker (Louisiana State Universi- ty), Daniel Jones (University of Texas Health Science Center), James Mouw (University of Chicago), and Heather Steele (Blackwell's Periodicals Divi- sion). The Newsletter is available on the Internet, Blackwell's CONNECT, and Readmore's ROSS. 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