Martin Groetschel

http://www.zib.de/[email protected]

Institut für Mathematik, Technische Universität Berlin (TUB) DFG-Forschungszentrum “Mathematik für Schlüsseltechnologien” (FZT 86) Konrad-Zuse-Zentrum für Informationstechnik Berlin (ZIB)

Martin Grötschel

Electronic Publishing, Intellectual Property, and Open Access in

Mathematics:The Position of the

International Mathematical Union (IMU)

Martin Grötschel Member of the IMU Executive Committee

Member of the IMU Committee on Electronic Information and

CommunicationConference on

Open Access to Knowledge in the Sciences and Humanitiesorganized by the Max Planck Society

Berlin, October 20 – 22, 2003

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Contents

1.General Remarks

2.IMU and CEIC

3.Best Current Practices: Recommendations

4.Actions: Calls, Math-Net & WDML

5.Digression: Wissenschaftsrat Recommendations

6.Intellectual Property

7.Conclusions

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

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IMU: general consensus onpublication policy

Do not aim at destroying the current publication system. Help open up alternatives.

Whatever you propose, remember that someone has to pay something.

There are economic interests and it may be good for science that there are some business incentives.

Research is a human endeavor for the benefit of mankind. Open access to research results for everybody - wherever feasible and possible - is our goal.

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IMU: general consensus onpublication policy

There are different needs, e.g., - short-term (quick unrefereed access), - medium-term (peer-reviewing, reference linking), and - long-term (archiving, reward system). It may be necessary to serve them in different and possibly distributed ways.

Focus on concrete steps and advice and not on broad abstract principles.

Be practical.

All actions should be sustainable.

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IMU: general consensus on electronicpublication, digital workplace policy

Herbert Rosendorfer: Der Ruinenbaumeister Try to avoid ruin building.

Ruin building is one of the big dangers in the area of electronic publishing, interactive working environments,…

With all the money that has been spent on prototypes that aren’t working anymore we could have built a simpler but more sustainable digital environment.

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IMU: general consensus on electronicpublication, digital workplace policy

What is important: Make things easily usable, even better, make

them simple,

Long-term funding and not short-term projects,

Sustainable activities are more important than hype killer apps.

International and interdisciplinary cooperation.

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open access

publication

from Latin publication-, publicatio, from publicare, from publicus publicDate: 14th century1 : the act or process of publishing2 : a published work

publish

from Latin publicare, from publicus publicDate: 14th centurytransitive senses1 a : to make generally known b : to make public announcement of2 a : to disseminate to the public b : to produce or release for distribution;

http://www.m-w.com/cgi-bin/dictionary?book=Dictionary&va=publishing

http://www.m-w.com/cgi-bin/dictionary?book=Dictionary&va=published

http://www.m-w.com/cgi-bin/dictionary?book=Dictionary&va=public

http://www.m-w.com/cgi-bin/dictionary?book=Dictionary&va=public

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open access

The meaning of publication has been transformed by legal and economical considerations, and in particular, by propaganda that we now have to create a new term, open access, and to define open access in such a way that it means what publication meant originally.

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

Martin Grötschel

11 Digital publishing, electronic information and communication in mathematics

began regionally and area-oriented in the early 90ies: access to electronic citation data bases at your desk

electronic journals

preprint archives

national organized efforts in the mid 90ies: nationally: IuK special interest group of DMV, etc.

interdisciplinary: IuK Initiative in Germany, Dublin Core meta data,…

global efforts, organized by IMU, began in 1998: foundation of the Committee on Electronic Information and

Communication

recommendations to the “world of mathematics”

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THE INTERNATIONAL MATHEMATICAL UNIONCommittee on Electronic Information and Communication (CEIC)Membership (1998-2002, black&red, 2003-2006, black and blue):

Peter Michor (chair 1998-2002) University of Vienna, Vienna, Austria; Jonathan Borwein (chair 2003-2006), Simon Fraser University, Burnaby,

Can.; John Ewing, American Mathematical Society, Providence, USA; Martin Grötschel (EC member) Konrad-Zuse-Zentrum, Berlin, Germany; David Morrison, Duke University, Durham, USA; Alfred J (Alf) van der Poorten, Macquarie University, Sydney, Australia; Jonas Gomes, IMPA, Rio de Janeiro, Brazil; Wilfrid Hodges, Queen Mary & Westfield College, London, UK; Kapil Paranjape, Institute of Mathematical Sciences, Chennai, India; Alexei Zhizhchenko, Russian Academy of Sciences, Moscow, Russia; Qing Zhou, East China Normal University, Shanghai,China; Pierre Bérard, Inst. Fourier, U. Grenoble 1, Grenoble, France Rolf Jeltsch, ETH Zürich, Zürich, Schweiz Alejandro Joffre, Universidad de Chile, Santiago, Chile David Mumford, Brown University, Providence, USA

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CEIC Terms of Reference 2003 - 2006

The CEIC is asked to address, in its second 4-year term, the following issues with special emphasis:

f) The CEIC is requested to enhance its advisory role with the aim - to make the issues involved (in electronic information, communication

and publishing) generally understood, - to define the relevant needs of our discipline clearly, - to shape the role the mathematical community needs to play, and - to guide the practice of scholarly communication and publication.

g) The CEIC is asked to take an active part in any development of a Digital Mathematics Library, to further address copyright and archiving issues, journal licensing models, and cost models for journal production and acquisition.

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

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Best Current Practices:

Recommendations on Electronic Information Communication (2002)

Drafted by

the IMU Committee on Electronic Information and Communication

Endorsed by

the IMU Executive Committee on April 13, 2002 in its 69th session in Paris, France

and by the IMU General Assembly on August 16, 2002 in Shanghai, China

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Preface

Communication of mathematical research and scholarship is undergoing profound change as new technology creates new ways to disseminate and access the literature. More than technology is changing, however; the culture and practices of those who create, disseminate, and archive the mathematical literature are changing as well. For the sake of present and future mathematicians, we should shape those changes to make them suit the needs of the discipline.

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Preface

For this reason, we have identified a number of best practices for those involved with the mathematical literature - mathematicians, librarians, and publishers. Many of these are practices that apply to other academic disciplines as well. Although we focus primarily on mathematics, we recognize that we can learn from each other as we move forward, and that no single discipline should act in isolation.

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Contents

FOR MATHEMATICIANS

1. Structure and Format.

2. Linking and Enrichment.

3. Versions.

4. Personal Homepages.

5. Personal Collected Works.

6. Preprints and archives.

7. Copyright.

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Contents

FOR LIBRARIANS AND MATHEMATICIANS

8. Journal Price and Policy.

9. Validation.

10. Statistics.

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Contents

FOR PUBLISHERS AND MATHEMATICIANS

11. Partial Access.

12. Eventual Free Access.

13. Archiving format.

14. Archiving responsibility.

15. Licensing and Bundling.

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4. Personal Homepages.

Mathematical communication is more than merely posting or publishing papers. Information about the mathematical community and its activities is valuable to all mathematicians, and it is now easier than ever to circulate and to find such material.

Mathematicians are encouraged to have their own homepage. Ideally, basic data on such a page (or on a "secondary" homepage) should be presented in standard form to allow ready automatic compilation into databases.

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5. Personal Collected Works

Mathematics ages slowly. Access to older literature is important for most mathematicians, and yet much of the older literature is likely to remain unavailable in electronic form in the immediate future. Mathematicians can change that by taking collective action.

Whenever legally and technically possible, mathematicians are encouraged to scan their old (pre-TeX) papers and post them on their homepages, making their “collected work” readily available to all. This relatively small effort on the part of every mathematician will provide enormous benefit to the entire community.

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7. Copyright Recommendations(excerpt)

There is no ideal copyright agreement for all situations. But in general your agreement should contain the following features:

You allow your publisher to publish the paper, including all required attachments if it is an electronic paper.

You give your publisher rights to authorize other people or institution to copy your paper under reasonable conditions, and to abstract and archive your paper.

Your publisher allows you to make reprints of the paper electronically available in a form that makes it clear where the paper is published.

You promise your publisher that you have taken all reasonable steps to ensure that your paper contains nothing that is libellous or infringes copyright.

Your publisher will authorize reprinting of your paper in collections and will take all reasonable steps to inform you when he does this.

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11. Partial Access

Many journals restrict access to (paying) subscribers. As the web of mathematical literature grows, however, it will be increasingly important for all mathematicians to navigate that web, whether or not they have access to complete articles. This allows mathematicians to learn basic information about an article, even when they do not belong to institutions that have the financial resources to support the journal. It is especially advantageous to mathematicians from the developing world.

Journals should provide unrestricted access to tables of contents, abstracts of papers, and other data, such as keywords. Where practical, journals should also provide unrestricted access to reference lists with links, allowing all mathematicians to navigate the web of literature, even when they don't have access to the full-text of some parts of that web.

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12. Eventual Free Access

The scholarly enterprise rests on the free exchange of ideas, and scholars need to have easy access to those ideas. Many journals, however, rely on subscriptions to recover costs and to provide an incentive to publish, forcing them to limit access to subscribers. Access should be a balance between those two needs, of scholars and of publishers.

Limiting access to subscribers for a fixed period of time after publication may be necessary for many journals. In order to ensure appropriate accessibility for the electronic literature, we encourage all journals to grant free access after that fixed period of time.

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

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Calls by the IMU EC

Call to all mathematical institutions to install Math-Net Pages [endorsed by the IMU Executive Committee on April 12, 2002]

Call to all Mathematicians to make Publications Electronically Available [Endorsed by the IMU Executive Committee on May 15, 2001]

CEIC Copyright Recommendations:What do you want from your publisher?An annotated checklist for mathematical authors[Endorsed by the IMU Executive Committee on August 15, 2002]

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Open access to the mathematical literature is an important goal. Each of us can contribute to that goal by making available electronically as much of our own work as feasible.

Our recent work is likely already in computer readable form and should be made available variously in TeX source, dvi, pdf (Adobe Acrobat), or PostScript form. Publications from the pre-TeX era can be scanned and/or digitally photographed. Retyping in TeX is not as unthinkable as first appears.

Our action will have greatly enlarged the reservoir of freely available primary mathematical material, particularly helping scientists working without adequate library access.

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Math-Net Charter

Approved by the Executive Committee of the IMU, May 16, 2000

GENERAL

In the spirit of the centuries-long tradition of open exchange within the mathematical community, this Charter describes an international effort to establish, maintain, and continue to develop a global electronic information and communication system for mathematics. This system, called Math-Net, is intended to organize and enhance the free flow of information within mathematics. The objective is to place efficient access to high quality mathematical information at the fingertips of the user.

Mathematics, once correct, always stays correct.

Some subjects go out of fashion, but fashion

waves change, and mathematicians do read

their “old stuff”. We want to keep it, and the

mathematical heritage should stay accessible.

The technical issues involved in creating the WDML

are minor compared to legal and vanity aspects.

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

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39 Empfehlungen zur digitalen Informationsversorgung durch

Hochschulbibliotheken

verabschiedet am 13. Juli 2001 vom Wissenschaftsrat

(Presidential Scientific Advisory Board)

The Wissenschaftsrat is an advisory body to the Federal Government and the state (Länder) governments. Its function is to draw up

recommendations on the development of higher education institutions, science and the research sector as regards content and structure,

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Free Access to Metadata„Von den Autoren erstellte Metadaten gewinnen in zunehmendem Maße an Wichtigkeit für die bibliothekarische Arbeit und Dienstleistung, um etwa deren Abstracts zu übernehmen oder auch die Suche in digitalen Bild-, Audio- oder Videoarchiven zu ermöglichen. Metadaten und Metadatendienstleistungen sind die Voraussetzung für eine Integration der Dienste und Medien.“

„Der Wissenschaftsrat empfiehlt, gleiche Metadatensysteme für alle Medienformen zu verwenden und Metadaten grundsätzlich frei elektronisch verfügbar zu halten.“

Empfehlungen, Seite 22/23

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Urheberrecht, Verwertungsrecht„Digitale wissenschaftliche Publikationen sollten durch eine hoheVerfügbarkeit und Zugänglichkeit gekennzeichnet sein. Deshalb ist der Wissenschaftsrat der Auffassung, dass Autoren ihre Verwertungsrechte mit der Freigabe zur wirtschaftlichen Verwertung nicht pauschal an Verlage abtreten und diesen ein exklusives Recht für sämtliche Arten der Verwertung einräumen sollten. Von den Wissenschaftlern in ihrer doppelten Funktion als Autoren und Nutzer erwartet der Wissenschaftsrat ein differenziertes Umgehen mit dem Urheberrecht. Im Wissenschafts-system sollte Einvernehmen bestehen, dass dem Autor das Recht zur Zweitverwertung erhalten bleiben sollte, um eine elektronische Neuauflage (Re-Print) für die Möglichkeit einer unabhängigen Online-Veröffentlichung beispielsweise über den Server einer Hochschule oder über Fachportale anzubieten. Vom Autor ist dabei ein entsprechender Hinweis vorzusehen, an welchem Ort und in welcher Form das Dokument erstmals bei einem Verlag veröffentlicht worden ist.“

Empfehlungen, Seite 26

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42 Eine wichtige Anregung an Förderorganisationen„Der Wissenschaftsrat bittet die Wissenschafts- und Förderorganisationen, dafür Sorge zu tragen, das mit ihrer Förderung erzielte und dokumentierte wissenschaftliche Wissen nach den Standards der Fachkulturen und unter Beachtung medienspezifischer Besonderheiten zu archivieren und für eine wissenschaftliche Nutzung auf Dauer frei verfügbar zu machen. Er regt zudem an, auch die Ergebnisse aus der Forschungsförderung von Stiftungen sowie privater Initiativen in gleicher Weise zugänglich zu machen.“

Empfehlungen, Seite 20

Much stronger statement than the Berlin Declaration makes

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

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A Preliminary Position,still to be discussed

We have to understand copyright better.

Copyright is not about fairness to authors, it is about balancing interests.

Interested Parties: Authors

Publishers

(The Public)

(Funding Agencies)

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Intellectual Property

Peter Givler (Executive Director of the American Association of University Presses):

“Copyright is a specialized form of property law that recognizes that work of original expression belong to the person who created them. Today that doesn’t seem remarkable; we hardly give it a thought.”

John Ewing (Academic Director of the American Mathematical Society, CEIC member):

“The notion of intellectual property is not self-evident.”

“The laws that govern copyright have changed dramatically over time and differ dramatically by location. Copyright is neither simple nor self-evident.”

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The copyright laws and traditions that evolved to protect novels , movies, and music are not always the right laws and traditions for scholarship.

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Copyright restrictions often last for 70 years beyond the life of an author.

Trying to bring older literature online (like in the WDML project) you realize that it is impossible to obtain permission from authors many decades after publication. This will continue in the future. Here, copyright is an impediment to scholarship.

We must change this!

We will not be able to change the law. But we can change our traditions.

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Intellectual Property Should scholars retain the copyright of their work?

A brief view of the discussion:

John Ewing: Urge scholars to dedicate their work to the public domain

after 28 years (so that it belongs to the world). Until then, depending on areas and traditions, authors

and publishers control their work and the access to it.

Mathematicians are asked to make their publications accessible much earlier (see IMU/CEIC calls).

There are proposals from 0 to 70 years. Let history or the market decide.

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Contents

1.General Remarks

2.IMU and CEIC





7.Conclusions

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General

Do not forget all the new forms of publication: electronic data collections (raw data) test sets for models and simulations software hypertexts visualizations films multi-media documents …..

in your considerations

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open access to scholarly publications

Open access is no end in itself.

Every author/creator has the right to choose.

Open access is to the benefit of mankind, but we have to argue why. Scholars (and others) need to be convinced of this.

And do not forget the developing world! Some open access models will leave them “out of business”.

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What I do not like about the current Berlin Declaration: There are too many weak statements such as:

…encourage our researchers/grant receivers to do.. …advocate that open access… …our organizations aim to find solutions…

I would have liked to see concrete promises like: The signing Institutions, Funding Agencies etc.

require open archiving and open access to the work funded by them.

They provide sustainable infrastructure for open access to scholarly research results.

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I am sometimes a “politician” myself, so I know why many statements are so soft.

And I do know the role administrations and sometimes even public relations and press offices play.

No risks, no changes, no nontraditional publicity!

Try to be bold!

What is happening now is important for the future of science (not everybody has understood this yet, though).

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We already have (too) many declarations of general type.

What we really need are concrete actions, in particular, actions by the “big players”.

We need active international coordination on interfaces, formats, structure, and much more.

Let us view the Berlin Declaration as a starting point for progress.

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We should not waste our time on defining general principles about what peer review, high quality, etc. are and how the corresponding checking processes have to be implemented.

Disciplines have their traditions, experiment, and develop new ones. This has worked in the past and will so in the future. The psychology of the process is difficult.

Solution proposal from outside bureaucrats will not help.

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open access to scholarly publications: legal aspects We should not aim at changing copyright and

related laws. Let us develop traditions.

The legal traditions in different countries concerning Urheberrecht, author’s rights, droit d'auteur, copyright

are quite incompatible. E.g.:

Germany follows the monist tradition - that all rights are packaged together as one bundle.

France follows the dualist tradition - that rights come in two flavors, financial and moral.

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open access to scholarly publications: legal aspects I favor the French approach:

Urheberrecht = moral ownership (~eternal right, everybody is obliged to reference original works of thought)copyright = financial ownership

People should control ideas (patents and copyrights) for a limited time because it makes good economic sense and ultimately benefits society.

People should not OWN ideas. But they should be quoted for good ideas.

I also believe that copyrights should apply differently to different kinds of creative work. A painting may embody the personality of the artist; a scholarly paper embodies the personality of a community of scholars.

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Berlin Declaration

My mathematical field of research is optimization. So, I am really pleased with the end of the last sentence of the declaration:

Our organizations aim to find solutions…in order to facilitate optimal use and access.

http://www.zib.de/[email protected]

Institut für Mathematik, Technische Universität Berlin (TUB) DFG-Forschungszentrum “Mathematik für Schlüsseltechnologien” (FZT 86) Konrad-Zuse-Zentrum für Informationstechnik Berlin (ZIB)

Martin Grötschel

Electronic Publishing, Intellectual Property, and Open Access in

Mathematics:The Position of the

International Mathematical Union (IMU)

Martin Groetschel

Technology

Transcript of Martin Groetschel