Thursday, 11/8/13, 8:45 am

1. Provost – Librarian
Collaborations
John Vaughn
Executive Vice President
Association of American Universities

2. AAU Organization and Operation
• Founded in 1900 by 14 universities that offered
the PhD
• Initial purpose: improve, standardize PhD
education
• Current Membership: 60 US, 2 Canadian
universities – 36 public, 26 private

3. AAU Universities’ Impact on Research and Education
• 58% of all federal research funds to colleges and
universities
• 15% of bachelor’s degrees, 45% of research doctorate
degrees, 65% of postdoctoral positions
• 75% of members of the National Academy of Sciences
• From 2007-2011:
− 1.13 million publications, 67% of US total, 19% of world total
− 10.6 million citations, 89% of US total, 35% of world total

4. 2009-2010 -- Scholarly Publishing Roundtable
• Created by Chairman of the Science and Technology
Committee of US House of Representatives in June
2009
• Charge: develop consensus policies for expanding
public access to journal articles arising from
federally funded research
• Congressional Committee convened a diverse set of
participants from key stakeholder groups:
librarians, publishers, university administrators

5. Academic
Administrators
Librarians
Publishers
David Campbell
(Boston)
Paul Courant
(Michigan)
Y.S. Chi
(Elsevier)
Richard McCarty
(Vanderbilt)
Ann Okerson
(Yale)
Fred Dylla
(AIP)
Jim O’Donnell
(Georgetown)
Scott Plutchak
(Alabama)
Mark Patterson
(PLoS)
John Vaughn
(AAU, Chair)
Crispin Taylor
(ASPB)
Researchers: Phil Davis (Cornell), Don King (UNC) and Carol Tenopir (Tennessee)

6. Core Recommendation of Report
Each federal research funding agency should
expeditiously but carefully develop and implement
an explicit public access policy that brings about
free public access to the results of the research that
it funds as soon as possible after those results have
been published in a peer-reviewed journal.

7. OSTP Public Access Directive
• Federal agencies with annual R&D funding of
$100 million or more provide the public with
ability to freely access, search, retrieve, and
analyze peer-reviewed publications and data
resulting from federally funded research
• Research manuscripts made available using 12
month post-publication embargo period as a
guide

8. OSTP Public Access Directive
• In devising its final plan, each agency should use
a transparent process for soliciting views from
stakeholders, and take such views into account
• Agencies submitted draft plans in August, OSTP
and OMB now reviewing, will return plans with
guidance to the agencies for development of
final plans

9. Response to OSTP Directive
• SHARE (SHared Access to Research Ecosystem)
– Cross-institutional network of digital repositories
– Enable university researchers to submit research
articles to federal agency-designated repositories
using a single, common user interface
– Consistent with knowledge creation, dissemination,
and preservation as a core mission of universities

10. Response to OSTP Directive
• CHORUS (Clearinghouse for the Open
Research of the United States)
– “A multi-agency, multi-publisher, portal and
information bridge that identifies, provides
access, enhances search capabilities and longterm preservation to journal articles resulting
from agency funding”

11. SHARE and/or CHORUS
• SHARE
– Early stages of development, but final network
promises to make research articles, data and their
associated metadata freely accessible for reuse, text
mining, data mining and machine reading
• CHORUS
– Basic structure and capacity in place, no cost to the
government and researcher submission compliance
provided, but uncertainty about terms of use for postembargo content

12. Legislative Battles
• FASTR (Fair Access to Science and Technology Research
Act)
– reduce embargo period to 6 months
• FIRST (Frontiers in Innovative Research, Science, and
Technology – a successor to The America COMPETES
(Creating Opportunities to Meaningfully Promote
Excellence in Technology, Education, and Science) Act!)
– increase embargo period to 2 years, with provisions to
extend 6 to 12 months more

13. AAU/ARL Task Force on Scholarly Communication
AAU Provosts
ARL Library Deans/Directors
Steve Goldstein
Brandeis University
Paul Courant
University of Michigan
Mark Kamlet
Carnegie Mellon University
Barbara Dewey
The Pennsylvania State University
Richard McCarty
Vanderbilt University
Lorraine Harricombe
University of Kansas
George McLendon
Rice University
Tom Leonard
University of California, Berkeley
Peter Salovey
Yale University
Carol Mandel
New York University
Kim Wilcox
Michigan State University
Ann Wolpert
Massachusetts Institute of Technology

14. AAU/ARL Task Force on Scholarly Communication
Focus on three areas: university presses, scholarly
journals, institutional repositories
•Presses: books crowded out of library budgets by
journals, reduced subsidies from host universities
– Consolidation of digital production
– University subsidization of first books, with open
access to those books – greatly expanded
dissemination of scholarship

15. AAU/ARL Task Force on Scholarly Communication
• Scholarly journals: university collaboration with society
publishers
– University funding of author publishing charges (APCs) in
hybrid journals as a transition to open access
– Avoid “double-dipping”: APCs reduce subscription prices
• Institutional repositories
– Increase intra-institutional submissions, increase interinstitutional interoperability
– Collaborate with research funding agencies on public access
repositories → SHARE

16. What the Provost Seeks from
the Librarian
What the Librarian Seeks from
the Provost
•
•
•
•
• Be a good listener
• Value students as well as
faculty
• Support innovation
ventures
Innovation
Customer focus
Advice and counsel
Public presence

17. Looking to the Future in Scholarly Communication
• Provosts and librarians as a team working with other
administrators, faculty and students to advance
institutional capacity
• Need for collective action within the academy
• Policies, practices -- including pricing – should reflect
the public purposes and public financing of higher
education research and education programs