THE NEXT GENERATION OF LIBRARY AUTOMATION AND DISCOVERY: Key Issues and Trends Marshall Breeding Independent Consultant, Author, Speaker Founder and Publisher, Library Technology Guides February 2013 Iowa ILEAD USA Innovative Librarians conference

Abstract  Libraries today face incredible challenges as they face challenges brought on by shifts in their collections to include ever increasing of electronic content, never-ending budget pressures, and rising expectations by their customers for instant access to information. In response to these challenges, libraries demand more effective and efficient automation solutions with requirements for additional features and functionality aligned with these new realities that may not have been present in previous automation products. In the past, libraries could gain adequate automation by choosing the best integrated library system that fit their technical requirements and budget. Now, for better or worse, many choices now exist that represent quite different paths, including decisions regarding open source versus proprietary products, evolutionary ILS versus new-generation library services platforms, online catalogs versus discovery services, locally implemented versus cloud-based deployment. Marshall Breeding will present an overview of the current library automation landscape, highlighting the advantages and concerns presented by this new slate of alternatives.

Library Technology Guides

Iowa Public Libraries: Automation

Library Journal Automation Marketplace  Published annually in April 1 issue  Based on data provided by each vendor  Focused primarily on North America  Context of global library automation market

LJ Automation Marketplace Annual Industry report published in Library Journal:  2012: Agents of Change  2011: New Frontier: battle intensifies to win hearts, minds and tech dollars  2010: New Models, Core Systems  2009: Investing in the Future  2008: Opportunity out of turmoil  2007: An industry redefined  2006: Reshuffling the deck  2005: Gradual evolution  2004: Migration down, innovation up  2003: The competition heats up  2002: Capturing the migrating customer

Appropriate Automation Infrastructure  Current automation products out of step with current realities  Majority of library collection funds spent on electronic content  Majority of automation efforts support print activities  New discovery solutions help with access to e- content  Management of e-content continues with inadequate supporting infrastructure

Key Context: Libraries in Transition  Academic Shift from Print > Electronic  E-journal transition largely complete  Circulation of print collections slowing  E-books now in play (consultation > reading)  All libraries:  Need better tools for access to complex multi-format collections  Strong emphasis on digitizing local collections  Demands for enterprise integration and interoperability

Fundamental technology shift  Mainframe computing  Client/Server  Web-based and Cloud Computing

Local Computing  Traditional model  Locally owned and managed  Shifting from departmental to enterprise  Departmental servers co-located in central IT data centers  Increasingly virtualized

Cloud Computing  Major trend in Information Technology  Term “in the cloud” has devolved into marketing hype, but cloud computing in the form of multi- tenant software as a service offers libraries opportunities to break out of individual silos of automation and engage in widely shared cooperative systems  Opportunities for libraries to leverage their combined efforts into large-scale systems with more end-user impact and organizational efficiencies

Gartner Hype Cycle 2012

Budget Allocations  Server Purchase  Server Maintenance  Application software license  Data Center overhead  Energy costs  Facility costs  Annual Subscription  Measured Service?  Fixed fees  Factors  Hosting  Software Licenses  Optional modules Local ComputingCloud Computing

Library Management in the Cloud  Almost all library automation vendors offer some form of “cloud-based” services  Server management moves from library to Vendor  Subscription-based business model  Comprehensive annual subscription payment  Offsets local server purchase and maintenance  Offsets some local technology support

Software as a Service  Multi Tennant SaaS is the modern approach  One copy of the code base serves multiple sites  Software functionality delivered entirely through Web interfaces  No workstation clients  Upgrades and fixes deployed universally  Usually in small increments

Data as a service  SaaS provides opportunity for highly shared data models  Bibliographic knowledgebase: one globally shared copy that serves all libraries  Discovery indexes: article and object-level index for resource discovery  E-resource knowledge bases: shared authoritative repository of e-journal holdings  General opportunity to move away from library-by- library metadata management to globally shared workflows

Leveraging the Cloud  Moving legacy systems to hosted services provides some savings to individual institutions but does not result in dramatic transformation  Globally shared data and metadata models have the potential to achieve new levels of operational efficiencies and more powerful discovery and automation scenarios that improve the position of libraries overall.

Transition to Web-scale Technologies  Web-scale: a characterization or marketing tag that denotes a comprehensive, highly-scalable, globally shared model  Web-scale: One of the key characteristics of emerging library management and discovery services  Displaces applications or data models targeting individual libraries in isolation  Discovery: index-based search  Management: Library Services Platforms

Cloud Computing for Libraries  Volume 11 in The Tech Set  Published by Neal- Schuman / ALA TechSource  ISBN:  Book ImagePublication Info:

A New Generation of Resource Discovery

Online Catalog  Books, Journals, and Media at the Title Level  Not in scope:  Articles  Book Chapters  Digital objects Scope of Search Search: Search Results ILS Data

Next-gen Catalogs or Discovery Interface  Single search box  Query tools  Did you mean  Type-ahead  Relevance ranked results  Faceted navigation  Enhanced visual displays  Cover art  Summaries, reviews,  Recommendation services  Books, Journals, and Media at the Title Level  Other local and open access content  Not in scope:  Articles  Book Chapters  Digital objects  Scope of Search

Discovery from Local to Web-scale  Initial products focused on interface improvements  AquaBrowser, Endeca, Primo, Encore, VuFind,  LIBERO Uno, Civica Sorcer, Axiell Arena  Mostly locally-installed software  Current phase is focused on pre-populated indexes that aim to deliver Web-scale discovery  Primo Central (Ex Libris)  Summon (Serials Solutions)  WorldCat Local (OCLC)  EBSCO Discovery Service (EBSCO)  Encore Synergy (no index, though)

Discovery Interface search model Search: Digital Collections ProQuest EBSCOhost … MLA Bibliography ABC-CLIO Search Results Real-time query and responses ILS Data Local Index MetaSearch Engine

Web-scale Index-based Discovery Search: Digital Collections Web Site Content Institutional Repositories … E-Journals Reference Sources Search Results Pre-built harvesting and indexing Consolidated Index ILS Data Aggregated Content packages (2009- present)

Public Library Information Portal Search: Digital Collections Web Site Content Community Information … Customer- provided content Reference Sources Search Results Pre-built harvesting and indexing Consolidated Index LMS Data Aggregated Content packages Archives Usage- generated Data Customer Profile

Discovery Products

E-books in Libraries

Integrating e-Books into Library Automation Infrastructure  Current approach involves mostly outsourced arrangements  Collections licensed wholesale from single provider  Hand-off to DRM and delivery systems of providers  Loading of MARC records into local catalog with linking mechanisms  No ability to see availability status of e-books from the library’s online catalog or discovery interface

Legal / Business issues  E-book products generally involve licenses that provide access to titles but may not constitute full ownership of materials.  Will libraries need to re-purchase titles if they switch e-book providers  Lending models mostly adhere to restrictions consistent with print:  Only one reader can access each copy licensed  Digital copies may need to be repurchased after designated number of uses (Example HarperCollins)  No “doctrine of first sale:” Rights of the library limited by the publishers

Technology Issues  Access to materials controlled through Digital Rights Management  Closed ecosystems that control content through identity management and rights policies  Imposes significant overhead on the user experience:  Download an install DRM components  Establish user credentials in site trusted by DRM  Works only with devices that comply with DRM restrictions

E-Book Challenges for Libraries  Work toward legal framework that preserves the role and value of libraries to provide access to materials without cost  Work toward business model where libraries can acquire materials at reasonable costs  Deliver materials with through a user-friendly experience  It should be easier to borrow an e-book from a library than purchase one from an online store

Challenges for library automation  Provide the same types of management control for e- books as other collection component  Acquisitions: select and acquire materials from multiple providers  Cataloging: High-quality descriptive metadata Electronic copies appropriately aligned with those in print or other media  Circulation: Integrated with other media. Option to lend e-reader devices  Discovery Integrated with all other formats Unified environment for content delivery

Next-Gen Library Catalogs Marshall Breeding Neal-Schuman Publishers March 2010 Volume 1 of The Tech Set

Cooperation and Resource sharing  Efforts on many fronts to cooperate and consolidate  Many regional consortia merging (Example: suburban Chicago systems)  State-wide or national implementations  Software-as-a-service or “cloud” based implementations  Many libraries share computing infrastructure and data resources

Illinois Heartland Library Consortium  Largest Consortium in US by Number of Members

Strategic Cooperation  Shared infrastructure in support of strategic collaborative relationships  Opportunities to share infrastructure  Examples:  2CUL  Orbis Cascade Alliance  Opportunities to reconsider automation implementation strategies  One library = 1 ILS?  Ability to share infrastructure across organizational boundaries?

Shared Infrastructure  Northern Ireland  South Australia  Denmark (tender process underway)  Chile  Iceland

New-generation Library Management

Is the status quo sustainable?  ILS for management of (mostly) print  Duplicative financial systems between library and campus  Electronic Resource Management (non-integrated with ILS)  OpenURL Link Resolver w/ knowledge base for access to full-text electronic articles  Digital Collections Management platforms (CONTENTdm, DigiTool, etc.)  Institutional Repositories (DSpace, Fedora, etc.)  Discovery-layer services for broader access to library collections  No effective integration services / interoperability among disconnected systems, non-aligned metadata schemes

Integrated (for print) Library System Circulation BIB Staff Interfaces: Holding / Items Circ Transact UserVendorPolicies $$$ Funds CatalogingAcquisitionsSerialsOnline Catalog Public Interfaces: Interfaces Business Logic Data Stores

LMS / ERM: Fragmented Model Circulation BIB Staff Interfaces: Holding / Items Circ Transact UserVendorPolicies $$$ Funds CatalogingAcquisitionsSerialsOnline Catalog Public Interfaces: Application Programming Interfaces ` License Management License Terms E-resource Procurement Vendors E-Journal Titles Protocols: CORE

Common approach for ERM Circulation BIB Staff Interfaces: Holding / Items Circ Transact UserVendorPolicies $$$ Funds CatalogingAcquisitionsSerialsOnline Catalog Public Interfaces: Application Programming Interfaces Budget License Terms Titles / Holdings Vendors Access Details

Comprehensive Resource Management  No longer sensible to use different software platforms for managing different types of library materials  ILS + ERM + OpenURL Resolver + Digital Asset management, etc. very inefficient model  Flexible platform capable of managing multiple type of library materials, multiple metadata formats, with appropriate workflows

Academic Libraries need a new model of library management  Not an Integrated Library System or Library Management System  The ILS/LMS was designed to help libraries manage print collections  Generally did not evolve to manage electronic collections  Other library automation products evolved:  Electronic Resource Management Systems – OpenURL Link Resolvers – Digital Library Management Systems -- Institutional Repositories

Library Services Platform  Library-specific software. Designed to help libraries automate their internal operations, manage collections, fulfillment requests, and deliver services  Services  Service oriented architecture  Exposes Web services and other API’s  Facilitates the services libraries offer to their users  Platform  General infrastructure for library automation  Consistent with the concept of Platform as a Service  Library programmers address the APIs of the platform to extend functionality, create connections with other systems, dynamically interact with data

Library Services Platform Characteristics  Highly Shared data models  Knowledgebase architecture  Some may take hybrid approach to accommodate local data stores  Delivered through software as a service  Multi-tenant  Unified workflows across formats and media  Flexible metadata management  MARC – Dublin Core – VRA – MODS – ONIX  Bibframe  New structures not yet invented  Open APIs for extensibility and interoperability

Open Systems  Achieving openness has risen as the key driver behind library technology strategies  Libraries need to do more with their data  Ability to improve customer experience and operational efficiencies  Demand for Interoperability  Open source – full access to internal program of the application  Open API’s – expose programmatic interfaces to data and functionality

Consolidated index Unified Presentation Layer Search: Digital Coll ProQuest EBSCO … JSTOR Other Resources New Library Management Model ` API Layer Library Services Platform Learning Management Enterprise Resource Planning Stock Management Self-Check / Automated Return Authentication Service Smart Cad / Payment systems Discovery Service

Library Services Platforms Category WorldShare Management Services AlmaIntota Sierra Services Platform Kuali OLE Responsible Organization OCLC.Ex Libris Serials Solutions Innovative Interfaces, Inc Kuali Foundation Key precepts Global network-level approach to management and discovery. Consolidate workflows, unified management: print, electronic, digital; Hybrid data model Knowledgeba se driven. Pure multi- tenant SaaS Service-oriented architecture Technology uplift for Millennium ILS. More open source components, consolidated modules and workflows Manage library resources in a format agnostic approach. Integration into the broader academic enterprise infrastructure Software model Proprietary Open Source

Development / Deployment perspective  Beginning of a new cycle of transition  Over the course of the next decade, academic libraries will replace their current legacy products with new platforms  Not just a change of technology but a substantial change in the ways that libraries manage their resources and deliver their services

 Traditional Proprietary Commercial ILS  Aleph, Voyager, Millennium, Symphony, Polaris,  BOOK-IT, DDELibra, Libra.se  LIBERO, Amlib, Spydus, TOTALS II, Talis Alto, OpenGalaxy  Traditional Open Source ILS  Evergreen, Koha  New generation Library Services Platforms  Ex Libris Alma  Kuali OLE (Enterprise, not cloud)  OCLC WorldShare Management Services,  Serials Solutions Intota  Innovative Interfaces Sierra (evolving) Competing Models of Library Automation

Convergence  Discovery and Management solutions will increasingly be implemented as matched sets  Ex Libris: Primo / Alma  Serials Solutions: Summon / Intota  OCLC: WorldCat Local / WorldShare Platform  Except: Kuali OLE, EBSCO Discovery Service  Both depend on an ecosystem of interrelated knowledge bases  API’s exposed to mix and match, but efficiencies and synergies are lost

Organization and personnel issues  Refocus efforts of technologists and technicians  Away from redundant local implementations  Toward collaborative broad-based cross-institutional services  Deployment and maintenance of conventional systems consumes all available resources  Library-by-library model least efficient

Progressive consolidation of library services  Centralization of technical infrastructure of multiple libraries within a campus  Resource sharing support  Direct borrowing among partner institutions  Shared infrastructure between institutions  Examples: 2CUL (Columbia University / Cornell University)  Orbis Cascade Alliance (37 independent colleges and universities to merge into shared LSP)

Reassess expectations of Technology  Many previous assumptions no longer apply  Technology platforms scale infinitely  No technical limits on how libraries share technical infrastructure  Cloud technologies enable new ways of sharing metadata  Build flexible systems not hardwired to any given set of workflows

Reassess workflow and organizational options  ILS model shaped library organizations  New Library Services Platforms may enable new ways to organize how resource management and service delivery are performed  New technologies more able to support strategic priorities and initiatives

Time to engage  Transition to new technology models just underway  More transformative development than in previous phases of library automation  Opportunities to partner and collaborate  Vendors want to create systems with long-term value  Question previously held assumptions regarding the shape of technology infrastructure and services  Provide leadership in defining expectations

Questions and discussion