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Federally Funded Research: Examining Public Access and Scholarly Publication Interests FEDERALLY FUNDED RESEARCH: EXAMINING PUBLIC ACCESS AND SCHOLARLY PUBLICATION INTERESTS HEARING BEFORE THE SUBCOMMITTEE ON INVESTIGATIONS AND OVERSIGHT COMMITTEE ON SCIENCE, SPACE, AND TECHNOLOGY HOUSE OF REPRESENTATIVES ONE HUNDRED TWELFTH CONGRESS SECOND SESSION THURSDAY, MARCH 29, 2012 Serial No. 112–74 Printed for the use of the Committee on Science, Space, and Technology ( Available via the World Wide Web: http://science.house.gov U.S. GOVERNMENT PRINTING OFFICE 73–607PDF WASHINGTON : 2012 For sale by the Superintendent of Documents, U.S. Government Printing Office Internet: bookstore.gpo.gov Phone: toll free (866) 512–1800; DC area (202) 512–1800 Fax: (202) 512–2104 Mail: Stop IDCC, Washington, DC 20402–0001 COMMITTEE ON SCIENCE, SPACE, AND TECHNOLOGY HON. RALPH M. HALL, Texas, Chair F. JAMES SENSENBRENNER, JR., EDDIE BERNICE JOHNSON, Texas Wisconsin JERRY F. COSTELLO, Illinois LAMAR S. SMITH, Texas LYNN C. WOOLSEY, California DANA ROHRABACHER, California ZOE LOFGREN, California ROSCOE G. BARTLETT, Maryland BRAD MILLER, North Carolina FRANK D. LUCAS, Oklahoma DANIEL LIPINSKI, Illinois JUDY BIGGERT, Illinois DONNA F. EDWARDS, Maryland W. TODD AKIN, Missouri BEN R. LUJA´ N, New Mexico RANDY NEUGEBAUER, Texas PAUL D. TONKO, New York MICHAEL T. MCCAUL, Texas JERRY MCNERNEY, California PAUL C. BROUN, Georgia TERRI A. SEWELL, Alabama SANDY ADAMS, Florida FREDERICA S. WILSON, Florida BENJAMIN QUAYLE, Arizona HANSEN CLARKE, Michigan CHARLES J. ‘‘CHUCK’’ FLEISCHMANN, SUZANNE BONAMICI, Oregon Tennessee VACANCY E. SCOTT RIGELL, Virginia VACANCY STEVEN M. PALAZZO, Mississippi VACANCY MO BROOKS, Alabama ANDY HARRIS, Maryland RANDY HULTGREN, Illinois CHIP CRAVAACK, Minnesota LARRY BUCSHON, Indiana DAN BENISHEK, Michigan VACANCY SUBCOMMITTEE ON INVESTIGATIONS AND OVERSIGHT HON. PAUL C. BROUN, Georgia, Chair F. JAMES SENSENBRENNER, JR., PAUL D. TONKO, New York Wisconsin ZOE LOFGREN, California SANDY ADAMS, Florida BRAD MILLER, North Carolina RANDY HULTGREN, Illinois JERRY MCNERNEY, California LARRY BUCSHON, Indiana EDDIE BERNICE JOHNSON, Texas DAN BENISHEK, Michigan VACANCY RALPH M. HALL, Texas (II) C O N T E N T S Thursday, March 29, 2012 Page Witness List ............................................................................................................. 2 Hearing Charter ...................................................................................................... 3 Opening Statements Statement by Representative Paul C. Broun, Chairman, Subcommittee on Investigations and Oversight, Committee on Science, Space, and Tech- nology, U.S. House of Representatives ............................................................... 18 Written Statement ............................................................................................ 19 Statement by Representative Paul Tonko, Ranking Minority Member, Sub- committee on Investigations and Oversight, Committee on Science, Space, and Technology, U.S. House of Representatives ............................................... 20 Written Statement ............................................................................................ 21 Witnesses: Mr. H. Frederick Dylla, Executive Director and Chief Executive Officer, American Institute of Physics Oral Statement ................................................................................................. 23 Written Statement ............................................................................................ 26 Mr. Elliot Maxwell, Project Director for the Digital Connections Council, Committee on Economic Development Oral Statement ................................................................................................. 33 Written Statement ............................................................................................ 36 Dr. Crispin Taylor, Executive Director, American Society of Plant Biologists Oral Statement ................................................................................................. 44 Written Statement ............................................................................................ 47 Mr. Stuart Shieber, Director, Office for Scholarly Communications, Harvard University Oral Statement ................................................................................................. 54 Written Statement ............................................................................................ 57 Mr. Scott Plutchak, Director, Lister Hill Library at University of Alabama at Birmingham Oral Statement ................................................................................................. 68 Written Statement ............................................................................................ 70 Discussion 76 Appendix I: Answers to Post-Hearing Questions Mr. H. Frederick Dylla, Executive Director and Chief Executive Officer, American Institute of Physics ............................................................................. 92 Mr. Elliot Maxwell, Project Director for the Digital Connections Council, Committee on Economic Development ............................................................... 103 Dr. Crispin Taylor, Executive Director, American Society of Plant Biologists ... 108 Mr. Stuart Shieber, Director, Office for Scholarly Communications, Harvard University ............................................................................................................. 120 Mr. Scott Plutchak, Director, Lister Hill Library at University of Alabama at Birmingham ..................................................................................................... 129 (III) IV Page Appendix II: Letter submitted by Representative Zoe Lofgren, Member, Subcommittee on Investigations and Oversight, Committee on Science, Space, and Tech- nology, U.S. House of Representatives ............................................................... 138 Response to Federal Register Notice Request for Information submitted by Dr. H. Frederick Dylla ......................................................................................... 142 Response to Federal Register Notice Request for Information submitted by Dr. Crispin Taylor ................................................................................................ 166 ALPSP Response to OSTP Request for Information ............................................. 179 FEDERALLY FUNDED RESEARCH: EXAMINING PUBLIC ACCESS AND SCHOLARLY PUBLICATION INTERESTS THURSDAY, MARCH 29, 2012 HOUSE OF REPRESENTATIVES, SUBCOMMITTEE ON INVESTIGATIONS AND OVERSIGHT, COMMITTEE ON SCIENCE, SPACE, AND TECHNOLOGY, Washington, D.C. The Subcommittee met, pursuant to call, at 9:35 a.m., in Room 2318 of the Rayburn House Office Building, Hon. Paul Broun [Chairman of the Subcommittee] presiding. (1) 2 ""lPH M. HlIll, TEXAS ~D~IE "ERmLEJOHN~()N. TEXAS U.S. HOUSE OF REPRESENTATIVES COMMITTEE ON SCIENCE, SPACE, AND TECHNOLOGY 2321 RAYBURN HOUSE OFFICE BUILDING WASHINGTON, DC 20515-6301 1202)225 5371 Subcommittee Oll Investigations & Ovcr~ighL Hearing Federal{v Funded Research: Examining Public Access and Scholarly Publication Interests Thursday, lvIarch 29, 2012 9;30 a.m. to 11:30 a.m. 2318 Rayburn House Oflice Building Dr. Frederick Dylla, Executive Director and Chief Executive Officer, American Instimte of Physics. MI:'. Elliot Ma:nvell: Project Director for the Digital Connection Council, Committee on l::conomic Development. Dr. Crispin Taylor, Executive Director, American Society of Plant Biologists. ]\.-Ir. Stuart Shicbcr, Director, Office for Scholarly COUlmuuicatioIls, Harvard l:niversity. Mr, Scolt Plutchak, Director, Lister Hill Library, University of AJabama at Birmingham 3 U.S. House of Representatives Committee on Science, Space, and Technology Subcommittee on Investigations & Oversight HEARING CHARTER "Federally Funded Research: Examining Public Access and Scholarly Publication Interests" Thursday, March 29, 2012 9:30 a.m. 11 :30 a.m. 2318 Rayburn House Office Building On Thursday March 29, 2012, the Subcommittee on Investigations and Oversight will hold an oversight hearing to examine various models for disseminating federally funded research and their corresponding effects on the scientific process. Federally funded research is accessed through an increasing variety of methods beyond the traditional scholarly journal maintained by a scientific society that is made available only through a paid subscription. Some of the push towards greater public access stems from increasing complaints about the widely varying subscription costs of journals. I Advocates have urged Congress to require federally funded research to be made available online to the public with limited or no access restrictions. Some longstanding journals have switched to this model while other journals and their publishers prefer their existing business models. They fear that switching to a business model with greater public access will not generate enough income to replace existing subscription revenue and will threaten their viability. Some highly specialized journals have already switched to business models with greater public access utilizing long-term financial commitments by their institutional subscribers to replace subscription revenue. New journals based upon minimal or no access restrictions have grown in number during the past decade. Background The federal government funds 31 % of all R&D conducted in the U.S., compared to 62% by business entities and the remaining 7% by universities, local and state governments, and other non-profit
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