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HEIRAlliance Executive Strategies Report #5: What Presidents Need to Know About the AAU Action Agenda for

University Libraries ------------------------------------------------------------| | | HEIRAlliance Executive Strategies Report #5 | | | | WHAT PRESIDENTS NEED TO KNOW | | ... about the AAU Action Agenda | | for university libraries | | | | | | December 1994 | ------------------------------------------------------------| from the | | Higher Education Information Resources Alliance | | of ARL, CAUSE, and EDUCOM | ------------------------------------------------------------------------------------------------------------------------In April 1994, the presidents of 58 major U.S. research universities unanimously endorsed an aggressive action agenda that takes on critical issues in defining a new information environment for research and teaching in higher education: ** Building consensus about intellectual property in an electronic environment, including ramifications of fair use rights and the feasibility of retaining certain intellectual property rights in the not-for-profit sector. ** Introducing more competition into the marketplace for scientific and technical information, and exploring implications of alternative (particularly electronic) publishing outlets. ** Improving access to and delivery of international research resources. ** Ensuring that electronic networks can provide adequate access to distributed research collections and support transformed methods of scholarly inquiry, within the parameters of legal and regulatory frameworks and funding constraints. This agenda is the result of two years of discussions through the Association of American Universities Research Libraries Project, in which three task forces--on intellectual property rights, management of scientific and technical information, and foreign language acquisitions--targeted the opportunities and philosophical dilemmas engendered by electronic communications and information networks. Initiated by the AAU in 1992, the project was conducted in close collaboration with the Association of Research Libraries (ARL), and task force recommendations were endorsed by both memberships. INTELLECTUAL PROPERTY RIGHTS IN AN ELECTRONIC ENVIRONMENT The Intellectual Property Rights Task Force was charged with developing models for university policies governing intellectual property ownership and rights and identifying a

range of opportunities for information dissemination. A central finding was that higher education must take a more comprehensive, purposeful view of copyright, particularly with regard to new electronic environments. The marketplace value of teaching is closely monitored by faculty and university administrators, but most research is treated as having no direct market value except where patents may be involved. University-based researchers create abundant intellectual property absorbing real costs, and are typically free to dispose of this property in whatever way they choose. The general practice has been to transfer the rights to publishers, often without any direct financial return, with very limited rights for universities to reuse the information as needed. Most research universities already have a set of coherent policies governing intellectual property subject to patent law. By contrast, they have given little attention to intellectual property governed by copyright law even though copyrighted property is used intensively in education and research, faculty create new copyrighted works in immense numbers each year, and university presses build their business on copyrights. Current university copyright policies are generally incomplete and defensive in character. The phenomenal growth of digital technologies promises ubiquitous, rapid distribution of all information. Because economic models are not yet well developed, publishers are cautious in making scholarly publications available electronically. Concurrently, individual researchers and scholars are putting out masses of information on electronic networks, bypassing traditional systems altogether and raising questions about the centuries-old roles of publishers and libraries. It was the Task Force's opinion that current conditions require immediate attention to copyright, at least in part to protect the interests of higher education in emerging electronic environments. Universities have disparate interests as creators, users, distributors, and maintainers of copyrighted works, with their roles as users and creators being particularly vital. For the university as a user, the doctrine of fair use (codified in Article 107 of the Copyright Act of 1976) permits certain educational, scholarly, and personal copying without permission from the copyright holder. In electronic distribution modes, publishers tend to license information according to specific contractual provisions. The future of fair use will require careful deliberation. As creators of copyrighted materials, higher education institutions greatly need more serviceable and less costly alternatives to publishing and information management systems now provided by outside, commercial interests. The Task Force described four possible ownership scenarios for improving the management of intellectual property: ** Enhancing Current Practices: university employees are educated about copyright practices; authors are encouraged to retain specific rights for on-campus and interinstitutional use.

** Faculty Ownership of Copyrights: faculty allow publication or other forms of access to their works on a case-by-case basis or by a statement of general principle. ** Joint Faculty/University Ownership of Copyrights: shared ownership for non-royalty-producing works; for works that generate substantial revenues, the university may require reimbursement for extraordinary expenses. ** Joint Faculty/Consortium Ownership of Copyrights: copyright jointly held by the author(s) of the work and a consortium of universities; participation voluntary. The Intellectual Property Task Force recommended that its study be continued on two levels. At the local level, several institutions will create model policies in the areas of copyright use and creation. On the national level, a group representing AAU, ARL, and other academic societies will attempt to develop consensus on what should constitute fair use rights in an electronic environment and will conduct a feasibility study on competitive university- and societybased electronic publishing outlets. NATIONAL STRATEGY FOR MANAGING SCIENTIFIC AND TECHNICAL INFORMATION The Task Force on a National Strategy for Managing Scientific and Technical Information (STI) was charged with examining new options for collecting and disseminating scientific and technical information that could break an extraordinary cost spiral for science journals while supporting innovative applications of information technology. It is not uncommon for a research library to spend two-thirds of its serials budget for science journals. The rapid development of communication and computing technology is changing the way scientific information is created and used, but the bulk of such information is still shared through serial publications that are growing in number and price and are increasingly concentrated among a few commercial publishers. Scientists seek to publish in the most prestigious journals, and because there are few alternative forums, publishers can charge what the market will bear, with full control of the copyright. The Task Force determined that creation of additional, competitive, electronic outlets for publishing scientific and technical research results is the single most important action with potential for a long-term solution to escalating costs. Partnerships between universities and scientific societies should be explored, as these organizations share many of the same objectives for knowledge creation, quality control, and low-cost dissemination. The group defined three models for managing STI: classical (print-based, exemplified by the traditional scientific journal), modernized (defined in three tiers with different mixes of paper and electronic inputs and outputs and increasingly direct computer access to university-generated writings), and emergent (predominantly electronic and networked). Institutions will probably use combinations of the models for decades.

The concept of a distributed national science and technology library, based on a system of regional libraries, was of particular interest to this Task Force. Such a system could develop broad political acceptance, accommodate specialized needs, and reduce local collection requirements (and costs) while expanding access for students and faculty. The Task Force's first recommendation was that the AAU, in collaboration with ARL, help member institutions to ensure that electronic networks and networking policies are in place to take full advantage of the technologies and accommodate the demands of a transformed system of scientific communication. Other Task Force recommendations included (1) exploring the feasibility of requiring that ownership of certain STI intellectual property rights be retained in the not-for-profit sector, (2) promoting a system of national repositories for scientific research to provide not-forprofit electronic outlets for STI, and (3) developing a demonstration project (on biotechnology and computer sciences from Japan) to test the concept of a distributed national science and technology library. ACQUISITION AND DISTRIBUTION OF FOREIGN LANGUAGE AND AREA STUDIES MATERIALS The AAU Foreign Acquisitions Task Force was charged with developing options for improving access to foreign language materials. In our era of profound, worldwide political, social, and economic change, access to foreign language scholarship and information are of particular significance to research-intensive institutions, reflecting interest in such areas as global environmental studies, sustainable development, ethnicity, and nationalism. Due to budgetary constraints, U.S. research libraries are unable to maintain acquisition rates commensurate with the growth of world publishing and are canceling foreign-language journal titles. From 1980 to 1990, worldwide book production increased by 45 percent, with European book publishing growing at a substantially faster rate than U.S. publishing. ARL data indicate an aggregate decline in the number of foreign titles acquired by both ARL libraries and the Library of Congress. The AAU Foreign Acquisitions Task Force pointed out key ingredients for a fundamental transformation of research library operations: ** Current technology provides the opportunity to move toward a fully linked digitized network of research library collections. ** Acquisitions funding must move away from the focus on self-sufficient collections and toward cooperative collection development and sharing. ** Library services should be restructured to rely more heavily on remote access and digitized materials. The group concluded that the key to improving access to

international research is the creation of a network-based, distributed program for coordinated development of foreign acquisitions for U.S. and Canadian research libraries. A trial program (involving the Library of Congress, the Center for Research Libraries, and major North American research universities and libraries) was identified as the most effective strategy for developing an information infrastructure to support electronic resource sharing. Because problems and possibilities differ for various world areas, the Task Force plan involves a series of area-based programs with their own structures, goals, and priorities. Initial demonstration projects will target Latin American, German language, and Japanese language resources. Strategic objectives that must be addressed through these projects include funding the electronic infrastructure, attracting scholars and faculty toward remote access, developing faculty support, and resolving issues related to managing intellectual property rights--recognizing that copyright laws differ substantially throughout the world.

The AAU Research Libraries Project was designed to assure that the perspectives of research universities would help define the evolution of U.S. information network policies and practices affecting university education, research, and scholarship. All three task forces agree on the vital importance of the electronic infrastructure to transform methods of scholarly inquiry. New technologies hold the promise of distributed, collaborative collection management among university libraries on a scale that has not been possible before. For scholars, electronic information technologies can greatly expand the total range of accessible resources. Although the project recommendations have been endorsed, implementation efforts are just beginning. For current information on project activities, contact ARL Information Services Coordinator Patricia Brennan, 202-296-2296, +++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ +++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ COPYRIGHT OWNERSHIP POLICIES The Intellectual Property Rights Task Force analyzed 39 university ownership policies and found that: ** Not all policies were revised after the 1976 Copyright Act. ** Some institutions have multiple, conflicting policies (e.g., for the academic and research sides of the institution). ** Length and clarity vary dramatically, with policies ranging from half a page to 30 pages. Greater length does not ensure greater clarity. ** Policies offer little help with complex decisions about rights transfer or licensing. Works are usually assigned totally to commercial publishers whose goals can be very

different from those of the institution. ** Only a handful mention intellectual property officers or university committees as resources for problems or disputes. ** Neither universities nor their faculty seem to exercise much care in copyright management, while publishers manage copyrights carefully and exploit them fully. +++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ MIX OF MODELS FOR MANAGING STI The Task Force for Managing Scientific and Technical Information has estimated that a varied mix of models for scientific communication will continue well into the Twentyfirst Century. The Classical methods of print publication are predicted to drop from 90 percent in 1995 to 50 percent in 2015, while the Emergent electronic and networked modes will increase from 1 percent to 20 percent over the same period. Remaining scientific communications will be carried through different mixes of paper and electronic communications constituting a three-tiered Modernized model. ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------This Executive Strategies Report summarizes the results of the Association of American Universities Research Libraries Project, conducted in collaboration with the Association of Research Libraries. The work of the project was carried out through three task forces: Acquisitions and Distribution of Foreign Language and Area Studies Materials, chaired by John H. D'Arms, University of Michigan; A National Strategy for Managing Scientific and Technical Information, chaired by Richard West, California State University; and Intellectual Property Rights in an Electronic Environment, chaired by Peter E. Nathan, University of Iowa. The task forces, comprising university administrators, librarians, and faculty members, reported to a Project Steering Committee of AAU presidents and chancellors: Hanna H. Gray, University of Chicago; Myles Brand, University of Oregon; Richard C. Atkinson, University of California, San Diego; John Lombardi, University of Florida; Martin Massengale, University of Nebraska; and Charles M. Vest, MIT. The full report was published by ARL in May 1994. Funding for the project was provided by The Andrew W. Mellon Foundation. FOR THE FULL REPORT ... The 154-page book on which this summary is based is available for $16: ARL Publications, 202-296-2296, fax 202-872-0884, Multiple-copy discounts available. Available electronically via the ARL Gopher server ( under Scholarly Communications, and World Wide Web ( FOR PRINT COPIES OF THIS SUMMARY REPORT HEIRALLiance Executive Strategies Reports are available from

CAUSE at $5.00 per copy: 303-939-0310, fax 303-440-0461. ------------------------------------------------------------The Executive Strategies reports are published by the Higher Education Information Resources Alliance (HEIRAlliance), a vehicle for cooperative projects between the Association of Research Libraries, CAUSE, and EDUCOM. Reports in this series inform campus leaders about critical and timely issues related to information technologies. Focus issues are identified by the executive officers of the three sponsoring associations: Duane Webster, Executive Director, Association of Research Libraries; Jane N. Ryland, President, CAUSE; Robert C. Heterick, Jr., President, EDUCOM. Copyright 1994 by HEIRA. Material from this report may be reproduced for noncommercial purposes with appropriate credit to the HEIRAlliance. Executive Editor Karen McBride at CAUSE, 4840 Pearl East Circle, Suite 302E, Boulder, CO 80301; phone 303-449-4430, e-mail ------------------------------------------------------------ARL, the Association of Research Libraries, is an organization of 120 major research libraries in the U.S. and Canada whose mission is to shape and influence forces affecting the future of research libraries in the process of scholarly communication. 202-296-2296 CAUSE, the association for managing and using information resources in higher education, is a nonprofit association whose mission is to enhance the administration and delivery of higher education through the effective management and use of information technology. 303-449-4430 EDUCOM is a non-profit consortium of colleges and universities headquartered in Washington, D.C., which is concerned with computing and communications issues. Its programs focus primarily on networking and integrating computing into the curriculum. 202-872-4200 -------------------------------------------------------------