Vortrag über aktuell bedeutsame Probleme des Urheberrechts mit dem Schwerpunkt Open Access-Lizenzierung

Zwei Innovationen innerhalb von Open Science werden in dieser Dissertation untersucht: Open Access und der Umgang mit Forschungsdaten. Die Ergebnisse zeigen ein positives Meinungsbild gegenüber beiden Innovationen, was sich allerdings nicht in einer übergreifenden Umsetzung in der Wissenschaft niederschlägt. Die disziplinären Unterschiede sind markant. Es lassen sich aber übergeordnete Ebenen herausarbeiten: Soziologische, technische & infrastrukturelle, sowie strategische & monetäre Aspekte gehören hierzu, wobei starke Interdependenzen zu verorten sind. Traditionell werden Qualität und Prestige von veröffentlichten wissenschaftlichen Ergebnissen als Maßgabe für die Reputation eines Wissenschaftlers angesehen, was klar in den Resultaten dieser Arbeit reflektiert ist. Sie präferieren die Nutzung von Publikationsorganen und Arbeitsabläufen, die in der Fachgemeinschaft etabliert sind. Daraus folgt ein zögerlicher Umgang mit Innovationen, z.B. dem offenem Zugang zu Forschungsdaten, wo es nur wenige etablierte Abläufe gibt. In der Diskussion dieser Arbeit wird die Notwendigkeit einer Verbindung zu heutigen Anreizsystemen und damit den Evaluierungssystemen in der Wissenschaft herausgestellt. Neue Strategien diesbezüglich sind im Aufbau, z.B. mit “zählbaren” Publikationen und Zitationen für Forschungsdaten. Die Kernthemen wurden in der Fallstudie der Hochenergiephysik genauer untersucht. Eine digitale Bibliothek erlaubte dort die praktische Implementierung von Open Science Werkzeugen. Die Ergebnisse unterstreichen das Potential: mit gezielten Diensten und Anreizen können Wissenschaftler für Open Science gewonnen werden; in diesem Fall zur Teilnahme in einem Crowdsourcingprojekt der digitalen Bibliothek und zur Umsetzung von „data sharing“. Dem Informationsmanagement kommt dabei eine neue Rolle zu, insbesondere bei einer engen Betreuung von Wissenschaftlern im digitalen Forschungsumfeld. Das kann parallel für die Serviceentwicklung und –begleitung genutzt werden. / Two major Open Science innovations, Open Access and research data sharing, have been studied in detail in this thesis. A large-scale survey and personal interviews are used to gain detailed insights from a range of disciplines. In addition, a case study in the High Energy Physics (HEP) community was used to study the results in practice. The results show that a rather positive attitude towards both, Open Access and research data sharing is not reflected in the researchers’ practices. Disciplinary differences prevail and relate to the different publishing cultures and research workflows. The results indicate that quality and prestige of research output are perceived as very important in determining a researcher’s reputation. Researchers prefer community-approved publication outlets. They hesitate to explore new innovations, such as data sharing, for which only few established workflows exist in digital scholarly communication. Interviewees highlight the significance of a (missing) link between such approaches on the one hand and the current incentive system and the research assessment schemes on the other. The results indicate that barriers can be overcome. In the case study, a strong collaboration with the community facilitated enhanced feedback loops to develop tailored and targeted services for Open Science. Researchers in the case study were successfully engaged in new innovative workflows: a crowdsourcing tool and data sharing in a digital library. The results highlight that opportunities of Open Science are not yet explored widely. But with targeted support, it is possible to build on best practices and develop strategies that engage communities in new innovations. The results furthermore demand new strategies to establish links from Open Science services to the academic incentive system. It is needed to revisit the current research assessment scheme in regard to potential support mechanisms for Open Science.

Die vorliegende Arbeit befasst sich mit der Rolle von Forschungseinrichtungen in Deutschland bei der Transformation des wissenschaftlichen Publikationswesens von Subskription zu Open Access im Bereich wissenschaftlicher Fachzeitschriften. Die Open-Access-Transformation zielt darauf ab, das tradierte Subskriptionsmodell zu überwinden und innovative Verfahren der digitalen Wissenschaftskommunikation zu ermöglichen. Diese Arbeit untersucht, welche Handlungsoptionen sich Forschungseinrichtungen zur Gestaltung der Open-Access-Transformation eröffnen. Auf Grundlage einer Darstellung der Handlungsoptionen in den Bereichen Strategie und Kommunikation, Services und Infrastrukturen, Geschäftsbeziehungen mit Verlagen und Kooperationen wurde die Umsetzung dieser Handlungsoptionen in der Praxis analysiert. Hierzu wurde eine Erhebung unter 701 wissenschaftlichen Einrichtungen in Deutschland durch-geführt. Mit einer Rücklaufquote von 403 antwortenden Einrichtungen (57,49 %) wird die Betei-ligung an der Umfrage als sehr positiv bewertet. Diese bislang wohl umfangreichste Studie zum Thema, zeigt, dass die akademischen Einrichtungen in Deutschland bis dato nur wenige Handlungsoptionen zur Förderung von Open Access umsetzen. Während die Verbreitung von Open-Access-Repositorien positiv zu bewerten ist, stehen der Um-gang mit Open-Access-Publikationsgebühren und damit verbunden auch das Monitoring von Publikationskosten noch am Anfang. Die Ergebnisse der Erhebung deuten auf einen hohen Handlungsbedarf hin. Über die quantitative Erhebung hinaus, die die Lücke einer fehlenden Datenbasis zu Open Ac-cess in Deutschland schließt, formuliert die Arbeit in einem anwendungsbezogenen Ansatz Empfehlungen für die weitere Befassung mit der Open-Access-Transformation an Forschungseinrichtungen in Deutschland. Ein Fokus liegt dabei auf Aktivitäten, die sich im Bereich der wissenschaftlichen Bibliotheken ergeben. / This thesis investigates the role of research institutions in Germany in transforming scholarly publishing from subscription to Open Access in the field of scientific journals. Open Access transformation aims to overcome the traditional subscription model to further innovative methods of digital scholarly communication. The study examines the options open to higher education institutions and research performing organizations for shaping the Open Access transformation. The thesis presents a description of these options in the areas of strategy and communication, services and infrastructures, business relations with publishers and cooperation. Then, the implementation of these options in practice was analyzed. For this purpose, a survey was conducted among 701 academic institutions in Germany. The response rate of 403 responding institutions (57.49%) can be considered very positive. This survey, which is probably the most comprehensive on the subject to date, shows that higher education institutions and research performing organizations in Germany have so far implement-ed only a few options for promoting Open Access. While the distribution of Open Access repositories is positive, the handling of Open Access publication charges and the associated monitoring of publication costs are still at the beginning. The results of the survey indicate a high need for action. The presented quantitative survey closes the gap of missing data on Open Access in Germany. Based on this new dataset, the study formulates recommendations for further engagement with the Open Access transformation at research institutions in Germany. One focus is on activities that arise in the area of academic libraries.

Bei aller Aufmerksamkeit, die das Thema Open Access seit einigen Jahren erfährt, ist die praktische Nutzung längst noch nicht so weit gediehen, wie es von den technischen Voraussetzungen her möglich wäre: Nur 0,8 % aller Zeitschriften in Deutschland oder 2 % der wissenschaftlichen sind frei zugänglich. Es mangelt an Akzeptanz seitens der Autor/inn/n. Auf der Basis einer Befragung von ca. 1000 Personen, die bereits mindestens einen Aufsatz in einer Open-Access-Zeitschrift veröffentlicht haben, werden Maßnahmen entwickelt, wie die Akzeptanz verbessert werden kann. Bei der Analyse der Antworten erweisen sich die Unterschiede für mögliche Fördermaßnahmen zwischen den einzelnen Fachdisziplinen als längst nicht so ausgeprägt, wie es aufgrund des unterschiedlichen Standes von Open Access in den verschiedenen Fächern zu erwarten wäre. Von elementarer Bedeutung ist vielmehr die Frage, welche Ziele der/die einzelne beim Open-Access-Publizieren verfolgt; daraus ergeben sich Ansatzpunkte für fördernde Maßnahmen. Die größte Barriere für die Durchsetzung des Open-Access-Publizierens stellt das etablierte System der Forschungsevaluation dar, das sich fachübergreifend im Begutachtungsverfahren und in den Naturwissenschaften und der Medizin im Impact Factor manifestiert. Hieraus entstehen Akzeptanzhindernisse, die sachlich nicht gerechtfertigt sind und kritisch hinterfragt werden müssen. Mittelfristig ist der Ersatz des Impact Factors durch Verfahren anzustreben, die modernen Publikationsformen besser gerecht werden. Ein internationaler Vergleich zeigt, dass die Schwellenländer nicht nur durch Open Access unterstützt werden, sondern ihrerseits bemerkenswerte Aktivitäten und Erfolge vorzuweisen haben, die weltweit Vorbildcharakter haben und Anregungen für Maßnahmen zur Akzeptanzsteigerung in Deutschland bieten können. Bezüglich Open Access ist daher anstelle der Förderung der Dritten Welt eher ein Eine-Welt-Denken angebracht, bei dem alle Beteiligten voneinander lernen können / Although open access has been discussed intensively for some years, it is far away from being practised to a degree that would meet the actual technical standard. Only 0.8 % of all journals produced in Germany or 2 % of all German scientific journals are in open access. The problem to be overcome is the lack of acceptance by authors. As result of a survey among about 1000 persons who have already published at least one article in an open access journal, measures are suggested how acceptance can be improved. Considering the varying status open access has reached, differences between possible measures in the discliplines prove to be less distinctive as expected. The core question rather is which are the aims of the authors publishing in open access journals. Knowing their aims, measures to enhance acceptance can be derived. The highest barriere for open access is the established system of evaluating scientific research. Accross all disciplines the most important practise is peer reviewing of articles, in sciences and medicine the impact factor is of special importance. This is why the acceptance of open access journals without impact factor is low even if these journals may be characterized by high quality. Therefore the system of evaluation should be reviewed critically, and the impact factor might be substituted by other methods that take into account the specific qualities of modern forms of publications. An international comparison shows that open access does not only support the developing countries in their academic development. Rather, these countries offer considerable activities and achievements that can serve as models for the rest of the world and provide incitations for the improvement of the situation in Germany. This taken as a fact, we should not speak of less developed countries that need support, but rather of one world in which all countries are partners who can learn from each other.

This item contains the agenda, minutes, and attachments for the Faculty Senate meeting on this date. There may be additional materials from the meeting available at the Faculty Center.

There is an arguable lack of activity and interest in the analysis of electroacoustic music when compared to its composition and performance. The absence of a strong and active analytical community is very concerning, as it should be a fundamental part of any larger musical community that wishes for works to be performed and discussed in later years. The problems that face electroacoustic music analysis are that there is no consensus or single analytical tool/methodology that dictates how such an activity should be undertaken. Rather than attempting to appropriate existing tools meant for traditional musics or create a new universal one this thesis will argue that a new culture should be adopted that promotes different opinions on the subject of electroacoustic music analysis, as opposed to defining a consensus as to how it should be conducted. To achieve this the thesis will: evaluate and critique what constitutes and defines electroacoustic music analysis; provide a general and flexible procedure to conduct an analysis of an electroacoustic work; develop a set of criteria and terms to cross-examine the current analytical tools for electroacoustic music in order to define the gaps in the field and to identify pertinent elements within electroacoustic works; analyse a number of electroacoustic works to test and implement the ideas raised within this thesis; and finally the concept of an analytical community (in which such a culture could exist) is outlined and implemented with the creation of the OREMA (Online Repository for Electroacoustic Music Analysis) project. This universal approach will cover both epistemological and ontological levels of electroacoustic music analysis. All of the concepts raised above are interlinked and follow the main hypothesis of this thesis: • There is no one single analysis that can fully investigate a work; • Analyses are a perspective on a work, ultimately formed through the subjective perception of the analyst; • These perspectives should be shared with other practitioners to help develop a better understanding of the art form. This PhD study was part of the New Multimedia Tools for Electroacoustic Music Analysis project (2010-2013) funded by the Arts and Humanities Research Council (UK). Other outcomes of that project included the various analysis symposiums held at De Montfort University in Leicester and the electroacoustic analysis software EAnalysis created by Pierre Couprie.

A análise competitiva é focada na indústria de gás, entendida na dimensão da(s) Distribuidora(s) e Comercializada(s). O principal objetivo da pesquisa é contribuir na identificação de propostas estratégicas para os grandes consumidores (indústrias). Observa-se que esses consumidores deverão enfrentar uma nova estrutura regulatória, que exigirá uma eventual migração de um mercado regulado para outro livre, após a introdução da regulamentação do livre acesso às redes de distribuição de gás natural no Estado de São Paulo. Além disso, caracterizam-se os possíveis ambientes de efetivação da abertura do mercado e do livre acesso, bem como de consolidação da figura da Comercializadora de gás natural. O trabalho demonstra a dificuldade de se estabelecer um ambiente de maior concorrência em indústrias que convivem com um agente econômico dominante e que pode influenciar todas as dimensões do modelo teórico das Seis Forças Competitivas (adaptado a partir de Michael Porter). São identificadas as tendências de oferta e demanda nos mercados de gás do Brasil e do Estado de São Paulo. Além disso, o trabalho dedica-se a extensiva apresentação de modelos estruturais e contratuais que caracterizam as indústrias de gás em diferentes momentos de evolução e maturação. Procura-se mostrar que a indústria gasífera brasileira, apesar de ainda precoce em seu desenvolvimento, já apresenta elementos típicos de mercados mais concorrenciais, tornando qualquer análise um exercício pouco trivial. As mudanças do ambiente regulatório das indústrias do gás no Brasil e no Estado de São Paulo são descritas em detalhe, com principal foco nas relações das atividades de Distribuição e Comercialização com as etapas anteriores da cadeia produtiva. Como resultado, a obra oferece estratégias alternativas para o posicionamento dos grandes consumidores industriais em um mercado ainda restrito em sua base concorrencial. / The competitive analysis is focused on the gas industry, understood as the Local Distribution and Marketing activities. The researchs main objective is to contribute to identify strategic insights for large industrial consumers. Those consumers will face a new regulatory framework, which will require them to an eventual migration from a regulated to a more competitive market after the introduction of the Open Access regulation in the local gas distribution network in the State of Sao Paulo. The text also characterizes the possible environments for an effective competitive market and open access as well as for the consolidation of gas marketers. The work demonstrates the difficulty in establishing a more competitive environment in industries coexisting with dominant economic agents, which can influence all the dimensions underlined by the Six Competitive Forces theoretical model (adapted from Michael Porter). It is identified the supply and demand trends in the gas markets of Brazil and the State of Sao Paulo. Moreover, the work contributes with an extensive presentation of structural models and contractual arrangements that characterize the gas industries in different development stages. The aim is to show that the gas industry in Brazil, although still in its early development, has features which are already typical from more competitive markets, turning any analysis into a nontrivial exercise. The changes in the regulatory environment of the gas industry in Brazil and in the State of Sao Paulo are described in detail, with main focus on the relations between the Distribution and Marketing activities vis-à-vis the previous steps of the supply chain. As a result, the work offers alternative strategies for the positioning of large industrial consumers in a market still restricted in its competitive basis.

A análise competitiva é focada na indústria de gás, entendida na dimensão da(s) Distribuidora(s) e Comercializada(s). O principal objetivo da pesquisa é contribuir na identificação de propostas estratégicas para os grandes consumidores (indústrias). Observa-se que esses consumidores deverão enfrentar uma nova estrutura regulatória, que exigirá uma eventual migração de um mercado regulado para outro livre, após a introdução da regulamentação do livre acesso às redes de distribuição de gás natural no Estado de São Paulo. Além disso, caracterizam-se os possíveis ambientes de efetivação da abertura do mercado e do livre acesso, bem como de consolidação da figura da Comercializadora de gás natural. O trabalho demonstra a dificuldade de se estabelecer um ambiente de maior concorrência em indústrias que convivem com um agente econômico dominante e que pode influenciar todas as dimensões do modelo teórico das Seis Forças Competitivas (adaptado a partir de Michael Porter). São identificadas as tendências de oferta e demanda nos mercados de gás do Brasil e do Estado de São Paulo. Além disso, o trabalho dedica-se a extensiva apresentação de modelos estruturais e contratuais que caracterizam as indústrias de gás em diferentes momentos de evolução e maturação. Procura-se mostrar que a indústria gasífera brasileira, apesar de ainda precoce em seu desenvolvimento, já apresenta elementos típicos de mercados mais concorrenciais, tornando qualquer análise um exercício pouco trivial. As mudanças do ambiente regulatório das indústrias do gás no Brasil e no Estado de São Paulo são descritas em detalhe, com principal foco nas relações das atividades de Distribuição e Comercialização com as etapas anteriores da cadeia produtiva. Como resultado, a obra oferece estratégias alternativas para o posicionamento dos grandes consumidores industriais em um mercado ainda restrito em sua base concorrencial. / The competitive analysis is focused on the gas industry, understood as the Local Distribution and Marketing activities. The researchs main objective is to contribute to identify strategic insights for large industrial consumers. Those consumers will face a new regulatory framework, which will require them to an eventual migration from a regulated to a more competitive market after the introduction of the Open Access regulation in the local gas distribution network in the State of Sao Paulo. The text also characterizes the possible environments for an effective competitive market and open access as well as for the consolidation of gas marketers. The work demonstrates the difficulty in establishing a more competitive environment in industries coexisting with dominant economic agents, which can influence all the dimensions underlined by the Six Competitive Forces theoretical model (adapted from Michael Porter). It is identified the supply and demand trends in the gas markets of Brazil and the State of Sao Paulo. Moreover, the work contributes with an extensive presentation of structural models and contractual arrangements that characterize the gas industries in different development stages. The aim is to show that the gas industry in Brazil, although still in its early development, has features which are already typical from more competitive markets, turning any analysis into a nontrivial exercise. The changes in the regulatory environment of the gas industry in Brazil and in the State of Sao Paulo are described in detail, with main focus on the relations between the Distribution and Marketing activities vis-à-vis the previous steps of the supply chain. As a result, the work offers alternative strategies for the positioning of large industrial consumers in a market still restricted in its competitive basis.

O século 20 pode ser identificado como a época em que o modelo de relações sociais e uma série de convenções políticas e comportamentais, públicas e privadas, estabelecidas a partir de meados do século 17, começam a ruir. Com novas maneiras de publicização e novos comportamentos sociais, compreendendo desde iniciativas como o Acesso Aberto, formas colaborativas de produção, questionamento do papel do autor na produção da obra, passando pela pirataria, a influência da legislação de direito autoral sobre a publicização da produção intelectual das universidades públicas tem na contemporaneidade grande importância, ainda por tratar-se de um fenômeno em andamento. Tendo em vista a relevância da produção intelectual universitária e seu papel social, este trabalho se propõe a verificar, com uma remissão histórica, a influência e as limitações impostas pela atual legislação de direito autoral brasileira em sua divulgação e publicização, através de interpretação da legislação e da verificação do papel de sujeitos como autores/pesquisadores/docentes, alunos e consumidores da indústria cultural. Conclui-se que a legislação de direito autoral ora em vigor no Brasil afeta de maneira deletéria a divulgação e reutilização da produção intelectual das universidades bem como seu acesso pela da sociedade, por caracterizar como necessária a autorização por parte de todos os autores de determinada obra quando se deseja reutilizá-la para quaisquer finalidades, inclusive educacionais. A adesão institucional ao Acesso Aberto, assim como o incentivo da utilização de licenças de uso (em que os autores autorizam previamente a utilização da obra sob determinadas circunstâncias e condições), podem vir a mitigar esses problemas. Outrossim, o avanço da utilização de tecnologias tem favorecido comportamentos relacionados à produção colaborativa e facilitado a remixagem, reutilização e distribuição de produção intelectual, à margem da legislação. O Acesso Aberto, ao promover a liberação à sociedade da produção intelectual das universidades públicas, pode também ser considerado um instrumento para a legitimação do caráter público e gratuito do ensino superior ao tornar tal produção um bem social. / The 20th century can be identified as the time when a series of political and behavioral conventions, established from the 17th century, begin to crumble. The relevance of Copyright Law related to public universities\' intellectual output of cannot be denied in face of new methods of publicizing, new social behavior patterns, questioning of the author\'s role, media piracy and initiatives such as Open Access and collaborative ways of working. Having in mind the social relevance of public universities\' intellectual output, this work intends to verify, after a historical remission, the influences and limitations imposed by current Brazilian authorship law on its publicization, considering the role of authors, researchers, students and cultural industry customers. This work concludes that the current legislation in Brazil has a deleterious effect on publicizing and reuse of public universities\' intellectual output once it demands, for the use, reuse and remix of any work, express authorization from everyone involved in the authorship of said work. Institutional upholding to Open Access, promoting the use of copyright licenses (in which authors previously authorize the use of his intellectual output under determined conditions and circumstances), can help mitigate this problem. Moreover, the use of technologies has favored collaborative production, remixing, reuse and sharing of works, despite the restrictiveness of legislation. The Open Access initiative can be considered an instrument for legitimizing the public and tuition free character of many of Brazil\'s universities, by turning their output into a social good.

This dissertation addresses a specific aspect of the broad area of communication systems used among researchers. This research has undertaken to establish a broader view of the communication practices of scholars to understand the motivations behind their publication choices. Open access offers a solution to issues with the scholarly publication system such as delays in publication and restricted visibility of research due to high subscription costs. The principle of open access is to enable maximum access to findings from publicly funded research to maximise social returns on public investments. Despite the apparent benefits of open access, the uptake has been limited. ¶ This thesis research takes a holistic view of the researcher as a communicator to uncover the reasons why researchers are making the publishing decisions they are. In-depth interviews were conducted with 43 researchers in three disciplines at two institutions, the Australian National University and the University of New South Wales. The disciplines, Chemistry, Sociology and Computer Science, were known to have different publication practices, The questions asked about all aspects of researcher communication including researching, authoring, informal communication, article submission, refereeing, mentoring and data storage. ¶ The findings show that traditional arguments for open access are ineffective. The Reward function of scholarly publishing is central to managing academic careers and supports traditional publishing systems. While having work openly accessible increases an academic’s exposure and possibly therefore their citation counts, unless alternative internet-based forms of metrics are adopted, the open access option will not directly appeal to researchers. ¶ Information-seeking behaviour demonstrates how disciplinary differences affect researcher’s interaction with technology. The disciplines showed marked differences in almost all the areas explored, and the behavioural norms expressed in each discipline have direct bearing on the likelihood of members of that discipline embracing open access. The ‘institutional/disciplinary divide’ means that researchers must publish in ways that run counter to their disciplinary norms in order to satisfy institutional and grant funding requirements. ¶ Until governments, and particularly university administrations, recognise the need to consider the discipline and the need to consider the individual and respond to these needs, and until there is a realisation that different disciplines may require radically different approaches, there will not be a large-scale adoption by individual researchers of the current open access tools. Either institutional repositories need to adapt dramatically to offer work practice benefits or the broader academic population will only use institutional repositories under duress, which is not the situation envisaged by open access advocates. The alternative is for communities to develop their own subject-based repositories, a development that again is likely to be highly dependent on communication norms in different disciplines.