1. Local to OCUL
Leveraging A Shared LSP to Serve the Ontario Academic Library Community
Gordon Bertrand, CF Implementation Manager
Mandy Deans-Kassies, CF LSP Coordinator
Sandra Morden, Queen’s University, Chair CF Discovery & User Experience Subcommittee
Ontario Library Conference, January 30, 2019
Intro from our session convenor Eva Stepanian | Digital Strategies Librarian Kingsway room
Warm-up (Mandy)
Thank you for coming.
-We would like to ask a few short questions [you can raise your hands please] to find out a little about our audience
-Do we have any people attending:
Who are from College / University Libraries, OCUL
Are part of a consortia
Are Alma / Primo users
________________________________________________________________________________
Sandra: Agenda, Rationalizing, Envisioning part 1 (slides 3-13) Highlights of the vision and how we got to the collaboration outcomes (what does this actually look like in a library system?)
Title slide: Relate to the conference theme Powered by the People and the session description. All 3 of us personify the local; Gord and Mandy are in roles at the OCUL level, and all of us are working on behalf of the entire partnership, not as reps of individual institutions; although of course we are building on the understanding of local needs to develop a system and a new level of partnership that is very much about the people - a new system for our users and our staff and taking our success with OCUL consortial initiatives to a new level. It’s about a vision and moving it forward
Mandy: Envisioning part 2 slides 14 /15-19
Gord: Executing slides 19-27
Q&A - all
Session description:
In 2018, the Ontario Council of University Libraries (OCUL) celebrates 50 years of merging information with technology as a means of broadening Ontario’s access to rich collections of knowledge and research. Leveraging the expertise and experience of its members is the founding principle upon which OCUL’s initiatives are based and, in its most ambitious project to date, Collaborative Futures will bring together 14 Ontario university libraries into a single shared library system. The vision is to provide users with seamless access to a diverse Ontario-wide library collection, hosted and managed from a single shared Library Service Platform (LSP), building a foundation for an increasingly shared and collaborative approach to user services and print and electronic/digital resource management.
The Collaborative Futures Project is a 5 year, multi-phase enterprise, currently in the implementation stage of an LSP that will realize the vision of a province-wide platform for Ontario universities. Attendees will learn about the genesis of the project, the challenges involved in developing a strategy, andthe processes currently being employed to realize the plan. This ground-breaking project promises to revolutionize the way Ontario university libraries operate and is a true example of a radical collaboration that is both by the people and for the people!

2. Agenda
Rationalizing
Envisioning
A New Start
Executing
Q&A

3. Rationalizing Background (rationalizing the project)
[upcoming slides overview]:
What is the rationale for Collaborative Futures
Briefly who is OCUL
Acknowledge existing collaboration successes
summarize project vision + keys to achieving vision
briefly describe the project (ultimate goals, LSP implementation as a foundation that we can build on
connect the theme of thinking less locally and more OCULly - powered by the people and the partnership
Project Vision:
○ Early Planning & Vision for OCUL CF began in mid 2013
○ Moved through several Phases
○ Started in fall of a Shared CF Vision was developed that by 2020 OCUL library users experience a large and diverse Ontario with collection focus broader than found at their local library.
OCUL Library Staff will perceive Collaborative work as a given working with staff at other OCUL institutions working with common policies.
Key to achieving vision include:
-Shared Library Service Platform
-Collaboration to manage and preserve resources in a sustainable system
-Collaboration to use shared systems to manage electronic and print

4. Background - OCUL 2 Background – OCUL [Graphic] ·
Who is OCUL? OCUL, or the Ontario Council of University Libraries, is a consortium of all the libraries at Ontario’s 21 universities. It has a province wide reach from Lakehead University to the University of Windsor in the south and reaching as far east as Ottawa and Carleton in Ottawa and of course all the universities in between.
Universities vary in size of student FTE population from 1,300 – 50,000+ with average size around 20 – 25,000
· OCUL’s Mission is to collaborate in the development and delivery of enhanced, innovative, and effective information services and resources for Ontario's universities.
Our Vision is to be a recognized leader, provincially, nationally and globally, in the transformative development and delivery of scholarly resources and innovative services.

5. Thinking OCULly Thinking and working together for common benefit
Collaborate. Innovate. Deliver.
Collections
Scholars Portal
Member services
And now, a shared LSP!
The universities come together through OCUL to do many things, all focused around three core principles: Collaboration, Innovation and Service Delivery.
The key OCUL activities include:
Collections - Consortial licensing of eresources on behalf of members
Scholars Portal - shared technological infrastructure - Ebook Platform – Geospatial Data – Digital Repository (TDR) - Dataverse and more
Member services - which includes collaborative planning, advocacy, professional development, partnerships and research.
The impact of OCUL’s collaboration isn’t just about the collective outcomes. By coming together and discussing ideas, innovations, practices, this knowledge is also often taken back to individual institutions and implemented at a local level. OCUL is a hub for innovation and knowledge sharing that then moves outwards and is put into a local context.
Like any organization of this type, OCUL’s success is due to committed member involvement. OCUL endeavors to make it as easy as possible for all university libraries to be involved, and for its activities to be fair and equitable. Build thinking less locally and more OCULly - powered by the people and the partnership

6. Collaborative Futures Vision
By 2020, OCUL envisions our users experiencing a large, diverse Ontario-wide library collection rather than the collection at their specific institution. They can move seamlessly between different types of content (electronic and print, books and journals, etc.) using multiple interoperable platforms whose design is evidence-based. Via search engine optimization and advanced authentication, many users experience OCUL resources from outside of Ontario. Users have access to more books and specialized content than ever before, and these resources are incorporated into their research, learning and teaching workflows
The Vision - sums it up
In the Fall of 2014 a project charter was developed which included this vision statement for the project
(copied on this slide and the next. )
•I won’t read the slides, in the interests of time, but I will note a couple of things:
•The vision incorporates both the user end and the staff end.
For the users the emphasis is on seamless use of and access to all types of content from an Ontario-wide library collection. The resources in this collection are incorporated into their research, learning and teaching activities.

7. The Vision cont’d
By 2020, OCUL library employees will perceive collaborative work as a given – they are part of a network and naturally work within it. They are likely to work on a daily basis with staff at other OCUL libraries, and are familiar with OCUL wide standards and policies. They may be doing work on behalf of another institution for the good of the OCUL community, and participate in opportunities for job sharing, secondments and exchanges within OCUL libraries.
On the staff side the vision is that collaboration has become a natural way to work for OCUL library staff. And this could mean several things : working with library staff at other institutions, working on common OCUL-wide policies for everyone, or working on behalf of another institution for the good of the OCUL community
Notice no mention of specific technology – this is deliberate

8. The Vision cont’d
A distributed and shared collaborative approach to print and electronic/digital resource management.
The keys to achieving the vision include:
Implement shared next generation library services platforms (LSPs).
Collaborate to manage and preserve print resources in a sustainable system.
Collaborate to effectively use shared systems to manage electronic & print resources.
How did Collab Futures project get started? In 2012/13 the idea of a Universal Resource Mgmt (URM) was taking hold within OCUL partly because there were questions about the future of some consortial services and also some member libraries were anticipating replacing their library management systems. We knew that other libraries and other consortia had made the decision to proceed with the web scale systems but we needed more info. Due to this interest from members and member library directors OCUL held a summit in 2013 on LSPs to identify opportunities….which eventually led to the creation of the project
LSP is concrete thing we can do to to enable the vision
We need to implement the LSP in service of/ to facilitate the other elements of the vision

9. Where others have gone before ...
Within OCUL:
•Tri-University Group (TUG) – Guelph, Waterloo, Wilfrid Laurier
•Evergreen consortium – Algoma, Laurentian
Across Canada:
•Ontario Colleges Library Service – Sirsi consortium
•NEOS (Alberta)
•Novanet (Nova Scotia)
•Bureau de coopération interuniversitaire (Québec)
North America and beyond ...
Of course we are not the first to do this. This is an ever increasing trend
Acknowledge that many consortia within Canada already have a shared ILS and some are investigating a shared LSP . This is new territory for OCUL but we have a lot of expertise across North America (and beyond) to draw on.
Many more than are listed here – just examples WHELF (Wales), Orbis Cascade, LIBSYS (Norway), California State, University System of Georgia (GALILEO)
BCI investigating
We have consulted with numerous consortia throughout the process

10. Envisioning
Phase 1 -- envisioning the project

11. Phase 1 - asking the big questions
Was OCUL's 'radical collaboration' feasible?
How far are we willing to go?
Can we afford it?
Is there a technology to deliver the vision?
Where do we start?
- the Collaborative Approaches Task Force identified an interest in, and general direction, in 3 areas:
· implementation of a shared next-gen library services platform (LSP)
· extended collaboration to manage and preserve print resources
· effectively using shared systems to manage print & electronic resource
- there was general agreement to concepts that existed elsewhere but…
· represented a significant step forward in the principle for OCUL members
· required stepping away from local comfort zones ~ thinking globally (OCULly)
· to this point, no formal commitment or investment had been required
· a lot of questions needed to be answered

12. Coordination Collaboration Cooperation Partial Integration
Independent systems
Local practices
Informal coordination
Collaboration
Independent systems
Shared best practices
Coordinated programs
(shared purchasing)
Cooperation
Independent systems
Some Interoperability
Some shared systems
(ILL, resolver, etc.)
Partial Integration
Single shared system
Separate data sets
Common Configuration
Local distinctiveness
Distinct workflows
Total Integration
Single shared system
Consolidated data
Common Configuration
Consolidated policies
Consolidated budgets
Centralized workflows
Shared Discovery
What would it actually look like to implement the vision of a shared next-gen library system? What do we mean by that? How far will we go with this? We need to come to agreement on a level of collaboration. Working toward a commitment
Some consortia have achieved “total integration”, e.g. Novanet.
We proposed the level of “partial integration” as described here. Directors agreed, and we have held to this as the goal. It was fleshed out/ described in further detail (but still high level) as Priority Collaboration Outcomes [next slide]

13. Priority Collaboration Outcomes
Shared, allow local differences where necessary
Build from the start, enable for future
Shared records, cataloguing, and ERM
Shared bib record loading
Shared discovery, local and OCUL views
Shared patron services and policies
Fulfillment
Shared analytics, acquisitions, and collection mgmt
Shared LSP with common configuration
Allow for local differences where necessary -- what is “necessary”? Keep to the collaborative side of the continuum
Build collaboration from the start, enable for future; confirmed to be ambitious from the start
Envisioning the opportunities in more detail, thinking about how this plays out in a library system
Articulating the vision -- Gord was one of the two people who developed this description that has been rolled forward and refined, placed front and centre in our RFI and RFP to determine what/how LSP suppliers could provide to meet the vision and which supplier was the best match for implementing the vision.
Result: Alma/Primo and now we’re working toward these outcomes within a particular system framework
Full text of Priority Collaboration Outcomes:
This collaboration assumes the implementation of a single system that would share a common configuration by default, but would also allow for local differences where necessary. This initiative will allow OCUL members to reap the benefits of collaboration in those areas where it makes most sense to collaborate, while facilitating local differences where necessary. It will also allow for the possibility of collaboration at the outset in some areas while also enabling further collaboration in the future. The priority collaborative outcomes for Collaborative Futures include:
Shared record loading (Bibliographic records)
Shared record loading is not a new phenomenon for OCUL; OCUL has long been sharing consortially-licensed electronic records from CRKN and Scholars Portal with participating schools, who then individually manipulate the records to format them appropriately for their various library systems. With a shared LSP, the next logical step would be to load electronic bibliographic records once at the consortial level. This would save considerable time and effort across all institutions.
Shared records, cataloguing, and electronic resource management (ERM)
The partners expend considerable time and effort managing records for non-unique materials (physical and electronic) acquired by multiple OCUL institutions. For example, an item may be purchased by 20 OCUL institutions but each institution must edit, process, and import its own bibliographic record or manually catalogue the item. Colleagues at Ottawa would likely need to ensure that the record supports French language access; other institutions may add appropriate subject headings; while still others may opt for shelf-ready records from vendors. Similarly, a package of e-resources may be licensed consortially for OCUL member institutions but management of those e-resources is still done individually. With an LSP, OCUL anticipates sharing the effort to manage common e- resources, activation of records, ensuring access centrally, and even renewals processing and troubleshooting. In addition, shared records would allow partner institutions to redirect staff resources from duplication of effort, and refocus those resources on specialized local and special collection development and metadata creation. Shared records would also permit shared patron-driven acquisition projects and other future collaborations such as deeper shared licensing and collection management.
Shared Discovery
Currently, aside from the Tri-University Group (TUG), each partner has a separate OPAC or discovery layer as a means of providing patrons with access to owned or subscribed resources at that institution. Implementation of a single discovery layer would provide the ability to search across all the partner resources in a unified interface. Individual institutions would have a localized instance of the interface which could be configured with branding, languages, a local view of their own institutional collections, and local integrations as a means of highlighting their own resources or collections without impacting other partners. A single discovery interface would also allow users to expand the view to selected or all partners see if a resource is held at another partner library, and empower them to request that resource directly without staff intervention. In addition, due to existing shared services within OCUL, including shared interlibrary loan service, it is highly desirable to be able to expand the discovery view to include all OCUL collections including those not yet participating in the shared LSP, and to integrate with Scholars Portal content platforms such as the e-books and e-journals platforms, ACE, GeoPortal, and odesi.
Shared Patron Services and Policies
Individual OCUL libraries rely upon institution-specific authentication mechanisms to provide access to patron empowerment features of their ILS and access to electronic resources. In a consortial environment, a shared LSP would contain patron records for all partner institutions as a means of normalizing services and streamlining operations, while at the same time maintaining confidentiality by minimizing the personal details within these records. While the shared LSP would maintain records for all institutions, members must maintain the ability to use local authentication mechanisms (Shibboleth, LDAP, SSO, CAS) to authenticate users and link them appropriately to their library accounts. It is envisioned that borrowing policies will be normalized across OCUL institutions to provide consistent terms of service to all OCUL users, but this may take time to achieve, and local variation will be required until this can be implemented.
Fulfillment
Currently, OCUL uses VDX software for Interlibrary Loans and borrowing within the consortium. VDX uses Z39.50 to connect to the various catalogues at each OCUL member institution in order to present a unified search across all of OCUL resources. In a shared discovery layer an “OCUL view” which would index all resources at all OCUL institutions could be created, resulting in a seamless interface which would make discovery and direct requesting of resources easy for patrons for all OCUL libraries. Initially, when not all OCUL libraries are participants, partner policies may take some time to be harmonized. It will be important to maintain flexibility and scope for a mix of direct request borrowing among the partners and Interlibrary Loan outside the partnership, with the goal to integrate further over time. Among the partners, various fulfillment options should be possible including physical and electronic lending as well as on-demand digitization of requested resources. Detailed metrics tracking requests and fulfillment can be used to facilitate collection development for frequently requested resources.
Shared Analytics, Acquisitions and Collection Management
OCUL institutions pull statistics from a myriad of systems and sources – journal vendors, link resolvers, library catalogues – all of which require manual manipulation in order to perform in-depth analysis for even the simplest collection management exercises, such as weeding or tracking patron requests. An LSP should consolidate these analytics into a single platform, considerably reducing the time and complexity associated with assessment activities. However, what is more critical for the partners is the importance of analytics in a collaborative environment, e.g., the ability to perform collection overlap analysis to support OCUL last copy policies and the potential for shared collection management and acquisitions.

14. A New Start for OCUL
Development of a shared vision of the future of library management systems in Ontario's academic libraries
→ Vision of new possibilities, building on a long history of collaboration and cooperation
New vision involves collaboration to help OCUL libraries face the challenges of today:
Declining / limited resources
Rapid development of information technology
Transformation of scholarly communication and higher education

15. Phase 1 - Envisioning (Nov 2014 - July 2015)
Shared Print Mgmt and Preservation
Total Cost of Ownership
Collaborative Futures Shared Vision Task Force
Market Research
Shared Workflow & Business Processing
Local Consultation
Full-Costing Matrix
Process Analysis
Environmental Scan
RFI
Collaboration Continuum
· Phase 1 was essentially developing a Business Case to investigate the benefits and costs for collaboration
Four Working Groups [formed]
*Representational membership of all CF Libraries -
-Call to Library directors for nominations - endorsed by directors
-Look for appropriate skills and background - Chair selected
- WG develop ToR, regular meetings established, record of meetings, [wiki shared space]
1. Market Research
· identify and research next-gen library services platforms
o environmental scan
o consultations with existing consortia
· develop potential model for infrastructure and management of a shared LSP
o proved more challenging
o Investigate different models in place (from environmental scan)
o needed a way to articulate various type of collaborations & agree upon a strategy
2. Total Cost of Ownership
required to determine what, if any, financial advantage could be gained
determine how much $$$/resourcing was invested in current systems
assist with cost sharing models
identified costs in 5 key categories:
o software
o hardware
o human resources (position-by-positon costs + breakdown of % of time per function)
o facilities (HVAC, maintenance, security, snow removal ,etc.)
o apply costing factors to affiliated institutions
3. Shared Print Management
Consult with local experts within OCUL
o some print management examples were in place:
Downsview (UofT, Ottawa, Western, McMaster, Queens)
TUG Annex (UWaterloo, Guelph, Laurier)
o articulate strategies/practices that could lead to a greater print management solution for OCUL
investigate existing models:
o don't re-invent the wheel
o learn from the experience of other
o identify transferable elements
4. Shared Workflow & Business Processing
· conduct business process analysis of functional areas in OCUL libraries
· identify common work across institutions ~ proposed new workflows
o utilized workflow survey tool to identify existing function
§ monographs, serials, packages (print / electronic)
o measure feasibility of various forms of collaboration
§ authority control, record loading, shared monograph purchasing,
shared staffing
**April 2015 OCUL Request For Information from software vendors and other organizations interested and able to provide creative and future driven solutions to help achieve CF Vision
**Strong support from Directors for OCUL to move forward to Phase 2 of the CF project

16. Phase 2 (Aug 2015 - Fall 2016) MOU /Participant Agreements
Shared LSP Requirements
Collaborative Futures Shared Vision Task Force
Communications
Draft MOU
Market Sounding
Business Plan
18 OCUL Institutions agreed to participate in phase 2 and contributed expertise and staff times on working groups in support of the project
Continued further investigation and planning for the implementation of a shared next general library services platform
Continue to develop the process of collaboration with eventual focus on moving toward a shared LSP - this would
Articulate elements of vision ~ make it tangible
putting the pieces (mechanics) of the project in place
This was the structure for phase 2 working groups:
--Three Working Groups
-Membership of WG representational from all the collaborative institutions
-Call sent to Library directors for volunteers, appropriate background - Chair identified membership approved
--Communications
- Coordinated regular webinars to keep the CF Libraries informed about process, worked with other subcommittees to provide updates, s, lists, developed space on OCUL wiki for organization of working ToR, group notes, documentation
2) MOU Participants Agreement
--Draft MOU produced by the MOU working group, scan to review similar documents and identified key elements, refinement and review
--Work presented to CF Directors
3) Shared LSP Requirements
--Market sounding Process prior to RFP [enables you to gain information without the commitment for RFP process]
-- Writing of the Business Plan --> These documents moved the project forward
** At the end of phase 2, member libraries had the option to decide to move forward toward procurement and implementation of a shared system.
Thirteen libraries decide to forward to phase 3 and 3 other libraries indicated ongoing interest.

17. Recruit the 'local' to build the vision (Phase 3+)
Collaborative Futures Directors
Collaborative Futures Steering Committee
Communications
Discovery and User Experience
Metadata Management and Standards
Shared
Policy
Shared Resources
Systems and Analytics
Shared Policy
Requirements and Evaluation
MOU and Governance
Implementation Leads
Expert Advisory Network
Phase 3 - Winter Ongoing
March libraries agreed to move forward with Phase 3 the Procurement and Implementation of a Shared LSP
Collaboration with the University of Ottawa who offered to assist OCUL with procurement process
November 2017 the University of Ottawa issued a request for proposal [RFP] for the Shared System on behalf of OCUL
Finalized Development of Memorandum of Understanding among the participating members
Creation of a framework to develop shared policy
Establish Expert Advisory Network of members to provide guidance and information during the procurement and implementation process
Selection of the Ex Libris Alma LSP and Ex Libris Primo VE Discovery Solution

18. MOU - OCUL CF MOU Governing Document for OCUL Collaborative Futures
Outlines the committee structure
Directors - one from each member Library - select Chair
Steering Committee - provides operational oversight Membership:
- Chaired by the Chair or Directors
- Standing Subcommittee chairs
- Exofficio members from OCUL
MOU Governing Document for OCUL CF Collaboration
MOU subcommittee started working on developing an MOU and produced a draft in phase 2 of the project
*Continues to be refined
Outlines the structure for the Governance model including the formation of the Standing Subcommittees and the model for consultation and collaboration
Provides governance model for developing the Standing Subcommittees
Process for recruiting members -
-Request nominations, approval of Library Director / UL
-Important to get representation from different libraries which represent size and scope of Libraries
-Average 5-7 members on each subcommittee
Standing Subcommittees develop policy and procedure

19. MOU - OCUL CF (continued)
Standing Subcommittees coordinate development of policy and procedure
Average 5-7 members on each subcommittee
Consultative process for recruiting members
Broad representation from CF Libraries
Expert advisory network representatives from all Libraries - functional expertise consulted during policy development
Now we continue to leverage local resources as we work on implementation
o recruit LSP Coordinator + Implementation Manager [Secondment positions]
Requested Universities identify:
o Local Implementation Lead
o Expert Advisory Network - (Functional Experts)
→ Put the OCUL perspective into practice:
Subcommittees: SIX - As Outlined in the MOU
Communications
Discovery and User Experience
Metadata Management and Standards
Shared Policy
Shared Resources
Systems and Analytics
Developing Policy, Best Practices and providing recommendations:
Committees are critical in creating the policies, processes necessary for implementation and to realize the vision
Functional Experts in the area of Metadata, Discovery, Acquisitions, etc.
Collaborative & Consultative approach -
Now Gordon will talk about how this governance model is being applied in practice as we are implementing our shared LSP

20. Executing
Executing the vision

22. What's the plan Stan?

23. We can work it out Project Wiki Basecamp Zoom
Enabling collaboration and the work involved
Moving from local decisions to collaborative policy/process
Building the foundations of working together
Operationalize the consortium

24. Operationalizing the plan
Action Item
Due Date
Status
Orientation Sessions / ILS-specific Sessions
Oct 2018
Complete
SFTP Spreadsheet
Oct 19, 2018
Institution Form
Oct 24, 2018
Firewall configurations
Nov 1, 2018
'Best Effort' test data extraction
Nov 2, 2018
Consortial Collaboration Session
Nov 21, 2018
Full test data extraction
Nov 30, 2018
Migration Forms
Dec 7, 2018
3rd Party Integration Form
Dec 12, 2018
Authentication / SIS Form
Jan 25, 2019
Test ERM Extract
Confirm capacity for local SFTP server
Feb 15, 2019
In Progress
Network Configuration - Ex Libris Sites Only
Feb 28, 2019

25. Chicken and egg...decision making
CF Directors
CF WIKI
Review
& Approval
CF Steering Committee
CF Subcommittees
Development & Consultation
ILs + EAN

26. Factors Supporting Success
Get 'buy in' from Administrators (key to local participation)
Keep the vision front-and-center (i.e. priority collaboration outcomes)
Be ambitious from the start - don't undersell the plan
Set timelines and stick to them (pressure is great motivation)
Recognize/appreciate that some things will take time to achieve
Maintain consistent messaging
Ensure the process is transparent and open to all
Provide as many opportunities as possible for dialogue
Say please, thank you and I'm sorry whenever necessary
These are transferable to any scale\level of system integration

27. Lessons learned Establish governance in advance
Perfection is the enemy of progress
Don't be too proud to ask for help
Populate committees strategically
Be prepared to work with ambiguity
Be prepared to make mistakes
Celebrate small victories
Work your vendor!
Lessons learned

29. Collaborative Futures
Knowledge
Expertise
OCUL
Collaborative Futures
Collections
Infrastructure
Resources
· begin bringing the elements together (star forming analogy)
· creating organizational gravity/inertia to kick start the vision

30. One day at a time

31. Q&A
Discussion, Q&A, challenges that you (the audience) might be able to help us with, such as:
Shared policy and policy of sharing -- how to get there
Experience moving to discovery and no longer option of old-style OPAC
If we have lots of time we could briefly demo Basecamp to give people a look at the kind of activity going on there; possibly also SpotDocs wiki