INSIGHTS ON THE NEXT GENERATION OF LIBRARY SYSTEMS AND THEIR POTENTIAL TO SUPPORT ILL, DOCUMENT DELIVERY AND REFERENCE WORK Marshall Breeding Independent Consult, Author, Founder and Publisher, Library Technology Guides April 2013 Will technology impact future co-operation and resource sharing? Nationell konferens om fjärrlån, resursdelning och referensarbete

Summary  Marshall Breeding will present a summary of the latest trends in library management systems and discovery services. Many of these new products, especially those based on cloud computing technologies, have a profound impact on the models of resource sharing available to libraries. Breeding will also review some of the major tech products and organizational trends that have transpired in recent times. On many fronts libraries are consolidating their resource sharing arrangements to form ever larger pools of resources available to their clients.

Library Technology Guides

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

Library Technology Reports  Resource Sharing in Libraries: Concepts, Products, Technologies, and Trends  January 2013  Vol 49, No. 1

Library Technology Reports  Supplementing your local collection through resource sharing is a smart way to ensure your library has the resources to satisfy the needs of your users. Marshall Breeding’s new Library Technology Report explores technologies and strategies for sharing resources, helping you streamline workflows and improve resource-sharing services by covering key strategies like interlibrary loan, consortial borrowing, document delivery, and shared collections. You’ll also learn about such trends and services as:  OCLC WorldCat Resource Sharing, and other systems that facilitate cooperative, reciprocal lending  System-to-system communications that allow integrated systems to interact with resource- sharing environments  Technical components that reliably automate patron requests, routing to suppliers with tools for tracking, reporting, and staff intervention as needed  Specialized applications that simplify document delivery, such as Ariel, Odyssey, or OCLC’s Article Exchange  How the NISO Circulation Interchange Protocol (NCIP) can enable borrowing among consortial libraries using separate integrated library systems  The Orbis Cascade Alliance consortium, examined using a case study

Academic Libraries in Sweden

Public Libraries in Sweden

Libraries in Denmark

Libraries in Finland

Libraries in Norway

ILS Turnover Report

ILS Turnover Report – Reverse

Mergers and Acquisitions

Eventual product consolidation  Alma for resource management  Eventual transition of Voyager and Aleph  Immediate transition of Verde  SFX  DigiTool for digital collections  Primo / Primo Central for Discovery  Rosetta for Preservation  Possible integration into Alma?

OCLC will eventually consolidate products to platforms  CBS (PICA)  TouchPoint (Sisis)  Zportal / Xportal (FDI)  WorldCat Link Resolver  All Legacy ILS  VDX WorldCatWorldShare Speculative

Overarching concern Library success depends on technical infrastructure well aligned with its strategic missions

Key Context: Each type of library faces unique challenges  Academic: Emphasis on subscribed electronic resources  Public: Engaged in the management of print collections  Dramatic increase in interest in E-books  School: Age-appropriate resources (print and Web), textbook and media management  Special: Enterprise knowledge management (Corporate, Law, Medical, etc.)

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)  Public: Emphasis on Customer Engagement  Increased pressure on physical facilities  Increased circulation of print collections  Dramatic increase in interest in e-books  All libraries:  Need better tools for access to complex multi-format collections  Strong emphasis on digitizing local collections  Demands for enterprise integration and interoperability

Reconceptualization of Automation  Current organization of functionality based on past assumptions  Possible new organizing principles  Fulfillment = Circulation + ILL + DCB + e-commerce  Resource management = Cataloging + Acquisitions + Serials + ERM  Customer Relationship Management = Reference + Circulation + ILL (public services)  Enterprise Resource Planning = Acquisitions + Collection Development

Key Text: Changed expectations in metadata management  Moving away from individual record-by-record creation  Life cycle of metadata  Metadata follows the supply chain, improved and enhanced along the way as needed  Manage metadata in bulk when possible  E-book collections  Highly shared metadata  knowledge bases drive new-generation automation  Great interest in moving toward semantic web and open linked data  Very little progress in linked data for operational systems  AACR2 > RDA  MARC > RDF & Linked Data (Library of Congress Bibliographic Framework Transition Initiative)  Bibframe.org

Bibliographic Services Arena  OCLC will maintain and increase dominant position  But:  Other platform providers will build competing services  Ex Libris Community Zone  Serials Solutions expanded KnowledgeWorks  Innovative Interfaces / SkyRiver  Metadata now a commodity  Linked data may change everything

Key Context: Technologies in transition  Client / Server > Web-based computing  Beyond Web 2.0 Integration of social computing into core infrastructure  Local computing shifting to cloud platforms Application Service Provider offerings standard New expectations for multi-tenant software-as-a-service  Full spectrum of devices full-scale / net book / tablet / mobile Mobile the current focus, but is only one example of device and interface cycles

Fundamental technology shift  Mainframe computing  Client/Server  Cloud Computing

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  WorldCat: one globally shared copy that serves all libraries  Primo Central: central index of articles maintained by Ex Libris shared by all libraries implementing Primo / Primo Central  KnowledgeWorks database of e-journal holdings shared among all customers of Serials Solutions products  General opportunity to move away from library-by-library metadata management to globally shared workflows

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

Mobile Computing

Challenge: More integrated approach to information and service delivery  Library Web sites offer a menu of unconnected silos:  Books: Library OPAC (ILS online catalog module)  Search the Web site  Articles: Aggregated content products, e-journal collections  OpenURL linking services  E-journal finding aids (Often managed by link resolver)  Subject guides (e.g. Springshare LibGuides)  Local digital collections ETDs, photos, rich media collections  Metasearch engines  Discovery Services – often just another choice among many  All searched separately

Online Catalog  Books, Journals, and Media at the Title Level  Not in scope:  Articles  Book Chapters  Digital objects  Web site content  Etc. 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 (for some content sources)  Faceted navigation  Enhanced visual displays  Cover art  Summaries, reviews,  Recommendation services

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

Discovery Products

Differentiation in Discovery  Products increasingly specialized between public and academic libraries  Public libraries: emphasis on engagement with physical collection + e-books  Academic libraries: concern for discovery of heterogeneous material types, especially books + articles + digital objects

Discovery from Local to Web-scale  Initial products focused on technology  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)

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

Web-scale Search Problem Search: Search Results Pre-built harvesting and indexing Consolidated Index ?? ? Non Participating Content Sources Non Participating Content Sources Problem in how to deal with resources not provided to ingest into consolidated index Digital Collections Web Site Content Institutional Repositories … E-Journals ILS Data Aggregated Content packages

Populating Web-scale index with full text  Citations or structured metadata provide key data to power search & retrieval and faceted navigation  Indexing full text of content amplifies access  Every title, phrase, term becomes an access point  Important to understand depth indexing  Currency, dates covered, full-text or citation  Many other factors

Full-text Book indexing  HathiTrust: 11 million volumes, 5.3 million titles, 263,000 serial titles, 3.5 billion pages  HathiTrust in Discovery Indexes  Primo Central (Jan 20, 2012) [previously indexed only metadata]  EBSCO Discovery Service (Sept )  WorldCat Local (Sept 7, 2011)  Summon (Mar 28, 2011)

Challenge for Relevancy  Technically feasible to index hundreds of millions or billions of records through Lucene or SOLR  Difficult to order records in ways that make sense  Many fairly equivalent candidates returned for any given query  Must rely on use-based and social factors to improve relevancy rankings

Challenges for Collection Coverage  To work effectively, discovery services need to cover comprehensively the body of content represented in library collections  What about publishers that do not participate?  Is content indexed at the citation or full-text level?  What are the restrictions for non-authenticated users?  How can libraries understand the differences in coverage among competing services?

Evaluating Index-based Discovery Services  Intense competition: how well the index covers the body of scholarly content stands as a key differentiator  Difficult to evaluate based on numbers of items indexed alone.  Important to ascertain now your library’s content packages are represented by the discovery service.  Important to know what items are indexed by citation and which are full text  Important to know whether the discovery service favors the content of any given publisher

Open Discovery Initiative  NISO Work Group to Develop Standards and Recommended Practices for Library Discovery Services Based on Indexed Search  Informal meeting called at ALA Annual 2011  Co-Chaired by Marshall Breeding and Jenny Walker  Term: Dec 2011 – May 2013

Balance of Constituents LibrariesPublishersService Providers 46 Marshall Breeding, Vanderbilt University Jamene Brooks-Kieffer, Kansas State University Laura Morse, Harvard University Ken Varnum, University of Michigan Sara Brownmiller, University of Oregon Lucy Harrison, College Center for Library Automation (D2D liaison/observer) Michele Newberry Lettie Conrad, SAGE Publications Beth LaPensee, ITHAKA/JSTOR/Portico Jeff Lang, Thomson Reuters Linda Beebe, American Psychological Assoc Aaron Wood, Alexander Street Press Jenny Walker, Ex Libris Group John Law, Serials Solutions Michael Gorrell, EBSCO Information Services David Lindahl, University of Rochester (XC) Jeff Penka, OCLC (D2D liaison/observer)

ODI Project Goals:  Identify … needs and requirements of the three stakeholder groups in this area of work.  Create recommendations and tools to streamline the process by which information providers, discovery service providers, and librarians work together to better serve libraries and their users.  Provide effective means for librarians to assess the level of participation by information providers in discovery services, to evaluate the breadth and depth of content indexed and the degree to which this content is made available to the user.

Timeline MilestoneTarget DateStatus Appointment of working groupDecember 2011 Approval of charge and initial work planMarch 2012 Agreement on process and toolsJune 2012 Completion of information gatheringOctober 2012 Completion of initial draftJanuary 2013 Completion of final draftMay ODI Survey:

The rise of e-books  Academic libraries: e-books included in aggregated content packages  E-books used primarily for research and consultation, not long reading  Public Libraries: Subscriptions to e-book services that provide an outsourced collection of loanable e- books  K-12 Schools, Colleges, Universities: interest in electronic textbooks

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

E-book 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  Library backlash against DRM, but stands as current reality

2013: The current state of discovery  Online Catalogs of ILS modules in decline  Increasing numbers of academic libraries offer discovery services  Index-based search emerges  Summon, Primo/Primo Central, EBSCO Discovery Service, WorldCat Local  Indexes growing in comprehensiveness and depth.  Relevancy algorithms gaining sophistication  Increasing numbers of publishers and providers cooperate with library discovery services  Open Discovery Initiative launched October 2011

Changing models of Resource Sharing

Bibliographic Database Library System Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Search: Integrated Library System Patrons use Circulation features to request items from other branches Floating Collections may reduce workload for Inter-branch transfers Model: Multi-branch Independent Library System

Bibliographic Database Library System A Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility WorldCat WorldCat Resource Sharing User: Password: Needed by: Dec 30, :00pm ILLiad Patron has Citation for item not held by Library Interlibrary Loan Request Form Interlibrary Loan Personnel WorldCat Resource Sharing Request Submission Resource tracking and fulfillment ILS Synchronization

Bibliographic Database Library System A Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Bibliographic Database Library System B Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Bibliographic Database Library System C Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Bibliographic Database Library System D Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Bibliographic Database Library System F Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Bibliographic Database Library System E Branch 1 Branch 2 Branch 3 Branch 4 Branch 5 Branch 6 Branch 7 Branch 8 Holdings Main Facility Resource Sharing Application Bibliographic Database Discovery and Request Management Routines Staff Fulfillment Tools Inter-System Communications NCIP SIP ISO ILL Z39.50 NCIP Search: Consortial Resource Sharing System

Bibliographic Database Shared Consortia System Library 2 Library 3 Library 4 Library 5 Library 7 Library 8 Library 9 Library 10 Holdings Library 1Library 6 Shared Consortial ILS Search: Model: Multiple independent libraries in a Consortium Share an ILS ILS configured To support Direct consortial Borrowing through Circulation Module

Strategic Cooperation and Resource sharing  Efforts on many fronts to cooperate and consolidate  Many regional consortia merging (Example: Illinois Heartland Library System)  State-wide or national implementations  New Zealand: K ō tui, Te Puna  Software-as-a-service or “cloud” based implementations  Many libraries share computing infrastructure and data resources

Auckland City Libraries  7 separate library services merged in 2010

MyLibraryNYC

Auckland City Libraries  7 separate library services merged in 2010

OhioLink Innovative Interfaces INN-Reach

Iceland Libraries

South Australia SA Public Library Network 140 Public Libraries

Chile

Georgia PINES  275 Libraries  140 Counties  9.6 million books  Single Library Card  43% of population in Georgia

Northern Ireland  Recently consolidated from 4 regional networks into one  96 branch libraries  18 mobile libraries  Collections managed through single Axiell OpenGalaxy LMS

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

Orbis Cascade Alliance  37 Academic Libraries  Combined enrollment of 258,000  9 million titles  1997: implemented dual INN-Reach systems  Orbis and Cascade consortia merged in 2003  Moved from INN-Reach to OCLC Navigator / VDX in 2008  Current strategy to move to shared LMS based on Ex Libris Alma

Orbis-Cascade Alliance

Denmark

Denmark Shared LMS  Common Tender for joint library system  February 2013  88 municipalities: 90 percent of Danish population  Public + School libraries  Process managed by Kombit: non-profit organization owned by Danish Local Authorities

Danish Joint National Library Infrastructure

2CUL Shared Services : Collection Development Technical Services Shared Infrastructure? :

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

Orbis Cascade Alliance  37 Academic Libraries  Combined enrollment of 258,000  9 million titles  1997: implemented dual INN-Reach systems  Orbis and Cascade consortia merged in 2003  Moved from INN-Reach to OCLC Navigator / VDX in 2008  Current strategy to move to shared LMS based on Ex Libris Alma

New Generation Management

Appropriate Automation Infrastructure  Current automation products out of step with current realities  Increasing proportions of library collection funds spent on electronic content  Majority of automation efforts support print activities  Management of e-content continues with inadequate supporting infrastructure  New discovery solutions help with access to e-content  Library users expect more engaging socially aware interfaces for Web and mobile

Library Automation 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

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.

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

Gaps in Automation  Almost no systematic automation support for references and research services  Customer Relationship Management?  Resource sharing / Interlibrary loan management  Collection development support

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  Support for management of metadata in bulk  Continuous lifecycle chain initiated before publication

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  New structures not yet invented  Open APIs for extensibility and interoperability

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

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, Open Galaxy  LIBERO, Amlib, Spydus, NCS  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

Concluding thoughts  Urgency to align technology with library missions  Innovate locally  Collaborate aggressively collectively  Drive strategic development

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