1. Research Collaborative Management of Shared Print Collections Jim Michalko Vice President OCLC Research Association of Research Libraries Membership Meeting 21 May 2009 Houston, TX with thanks to Constance Malpas for her significant contributions

2. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 2 Books have held us up

3. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 3 Overview Context Implications Library Collaboration OCLC Research activities and reports Storage Facility Shared Print Policy Review [Development of complex infrastructure] Necessary conditions A model project Early insights

4. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 4 THEN

5. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 5 NOW

6. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 6 Viewpoint and vision: Research collections deliver maximum value to the scholarly enterprise when they are managed as a network resource that supports a broadly distributed community of scholars. Implications: Manage in new ways for both service satisfaction and cost imperatives

7. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 7 Library Collaboration Shared Policies Shared Operating Practices Shared Infrastructure Shared Assets

8. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 8 2007: Surveying the Landscape Structured interviews with managers of shared print collections in North America, England and Scotland From shared space to shared ownership Rationalisation of regional holdings Assessing aggregate collection as a collective asset Institutional distribution of unique print book titles in North American research institutions – 6.9M titles in 128 institutions; median 19K Implications for long-term preservation L. Payne Library Storage and the Future of Library Print Collections in North America - commissioned report New incentives for inter-institutional collaboration Shared infrastructure should be more effectively leveraged to produce a broader system-wide approach

9. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 9

10. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 10 ARL Libraries are the ones still investing in print The investment is very unevenly distributed

11. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 11 Duplication Rate in an Aggregate Academic Collection Publication Date Average No. of Copies 4.5

12. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 12 Circulation in an Aggregate Academic Collection % of Books % of Circulation 12.86% (788,483)

13. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 13 2008: Assessing Infrastructure Requirements Shared print policy review Content analysis of 18 single- and last-copy policies: how much is enough? Incentives and imperatives vary but common themes prevail: explicit commitment to retain, escape clauses and exemptions Core requirements: network disclosure of locally negotiated partnerships; a new business model that acknowledges deepening inter-dependencies; common terms of reference Have whats needed to move with confidence Now implement change: Is about building new infrastructure to create shared assets Have facilities, storage and supply practices, have policies What structures needed?

14. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 14 Structures Suppliers Reliable suppliers of digital publications - the publishers and aggregators from whom we license Reliable suppliers of print - the existing library storage facilities transformed Reliable suppliers of digitized print - the HathiTrust (others? OCA? GBS?) Shape these structures? Non-owning customer institutions - other ARL and academic libraries e.g. NYU Service extension to broad audience

15. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 15 Registry Transfers Borrowing System Shared Collections WIthdrawals Retrievals Digitized Library Collections Off-Site Collections Commitments Holdings Loans Disclose Aggregate holdings and joint commitments constitute a shared asset enabling collaborative management strategies Procedures Policies Infrastructure Assets Local Collections

16. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 16 Complex infrastructure development – a word Never from above Modular Incremental Distributed construction Combined Recombined

17. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 17 TLC project - Toward(s) a Cloud Library NYU – motivated customer Space pressures Limited mandate to comprehensive collection ReCap Large-scale shared academic storage collection HathiTrust Large-scale shared digital repository OCLC Research and CLIR –consultants and convener GOAL an implementation framework to rely on HT and ReCap model costs and opportunities requirements for sustainable business partnerships

18. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 18 N=2.3M Opportunities for Institutional Cooperation Shared Policy Frameworks Joint Service Agreements Increased Operational Efficiencies Material that NYU can already source through existing ILL – enhance local collection Material that NYU can obtain through HT dependent on copyright status – means of enhancing local collection Material that NYU may choose to relegate based on copyright/ availability Material that NYU may choose to relegate with appropriate service level agreement N = 7.4 M ReCAP N=2.8M Intersections Material that NYU can relegate with a high degree of confidence Network Effects Increase as Number of Participants Grows

19. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 19 Plan of Work Phase I: Characterize Aggregate Collection (May-June?) Assess duplication rates across NYU, ReCAP and HathiTrust; compare to existing data on supply and demand patterns in aggregate academic collections Phase II: Model Service Expectations (July-August?) Identify core svc reqts to increase NYU reliance on Hathi and ReCAP; draft sample RFP Phase III: Calibrate Supplier Service Offering (August–September?) Evaluate feasibility and cost requirements for meeting stated expectations; draft implementation framework Phase IV: Test Implementation Framework (October ?) Test reliability of joint service agreements against targeted space savings / cost avoidance at NYU

20. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 20 Some early observations and analysis Currently examining intersection of HathiTrust corpus (ca. May 2009), NYU library holdings and a subset of WorldCat representing widely-held scholarly titles Titles in the public domain, representing greatest potential library cost avoidance benefit: History, Language & Literature content predominates Subject areas where print circulation is relatively low …but also Disciplines most resistant to digital format transition Government publications are well represented …but also present challenges for relegation

21. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 21 Managing Risk... Lowest-risk targets for relegation: widely duplicated scholarly print titles that are held in ReCAP and available as public domain content in Hathi High redundancy rate = low preservation risk Digital formats support new forms of scholarly work Regional print repository elevates confidence in preservation & access As of May 2009, nearly 12,000 such titles at NYU Rate of duplication increases each month as new content is added to Hathi and ReCAP -- at a rate faster than annual collection growth in ARL libraries

22. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 22 Much greater opportunities for space/cost savings for in-copyright titles -- and much greater reliance on robust physical delivery networks. Success of shared digital repositories like [Hathi] in creating operational efficiencies for academic libraries is highly dependent upon reciprocal service agreements with shared physical repositories like [ReCAP]and the emergence of joint business agreements with institutional consumers like [NYU].... Maximizing Benefit

23. Research Collaborative Management of Shared Print Collections ARL Membership Meeting 21 May 2009 23 Registry Transfers Borrowing System Shared Collections WIthdrawals Retrievals Digitized Library Collections Off-Site Collections Commitments Holdings Loans Disclose Aggregate holdings and joint commitments constitute a shared asset enabling collaborative management strategies Procedures Policies Infrastructure Assets Local Collections ReCAP