1. The DLF Electronic Resource Management Initiative Sharon E. Farb Angela Riggio UC Electronic Resource Management Planning Meeting March 11, 2004 UC Irvine

2. Talk Outline Overview and Context of Digital Resource Management Initiatives Overview and Context of Digital Resource Management Initiatives The DLF E-resource Management Initiative The DLF E-resource Management Initiative How Can This Work Be Used In UC-wide Environment? Impact, Challenges, And Next Steps How Can This Work Be Used In UC-wide Environment? Impact, Challenges, And Next Steps Questions And Comments Questions And Comments

3. Context for Digital-Resource Mgmt. Logarithmic growth of d-resources Logarithmic growth of d-resources High demand for 24/7 access High demand for 24/7 access Digital resource budget shares continue to grow Digital resource budget shares continue to grow (mostly digital environment in 5 years?) Budget issues driving shift to d-only journal access Budget issues driving shift to d-only journal access Dynamic marketplace & business models Dynamic marketplace & business models Impact of licensing Impact of licensing D-resources are complex (to acquire, describe, fund, and troubleshoot and support) D-resources are complex (to acquire, describe, fund, and troubleshoot and support) “Google-ization” (make it easy or forget it!) “Google-ization” (make it easy or forget it!)

4. Digital Resource Management Systems and Initiatives California Digital Library California Digital Library Colorado Alliance (Gold Rush) Colorado Alliance (Gold Rush) Columbia Columbia Griffith University (Australia) Griffith University (Australia) Harvard (ExLibris) Harvard (ExLibris) Johns Hopkins (HERMES) (Dynix) Johns Hopkins (HERMES) (Dynix) MIT (VERA) (ExLibris) MIT (VERA) (ExLibris) Michigan Michigan Minnesota Minnesota Notre Dame Notre Dame Penn State (ERLIC) Penn State (ERLIC) Stanford Texas (License Tracker) Tri-College Consortium (Haverford, Bryn Mawr, Swarthmore) UCLA (erdb) University of Georgia University of Washington (III) Virginia Willamette University Yale

5. Chaos or Convergence? Other related work in progress Other related work in progress Increasing vendor development and library-vendor collaboration Increasing vendor development and library-vendor collaboration NISO/EDItEUR Joint Working Party for the Exchange of Serials Information (ONIX for Serials) NISO/EDItEUR Joint Working Party for the Exchange of Serials Information (ONIX for Serials) Project COUNTER—Usage statistics Project COUNTER—Usage statistics ODRL—Open Digital Rights Language (v. XrML) ODRL—Open Digital Rights Language (v. XrML) Shibboleth—Authentication Shibboleth—Authentication What has not been designed: a consortial, interactive, collaborative digital resource management tool. What has not been designed: a consortial, interactive, collaborative digital resource management tool.

6. ERM Metadata Standards Comparison

7. DLF ERMI Steering Group: Tim Jewell (University of Washington) Tim Jewell (University of Washington) Ivy Anderson (Harvard) Ivy Anderson (Harvard) Adam Chandler (Cornell) Adam Chandler (Cornell) Sharon Farb (UCLA) Sharon Farb (UCLA) Angela Riggio (UCLA) Angela Riggio (UCLA) Kimberly Parker (Yale) Kimberly Parker (Yale) Nathan D. M. Robertson (Johns Hopkins) Nathan D. M. Robertson (Johns Hopkins)

8. DLF ERMI Goals Formal Formal Describe architectures needed Describe architectures needed Establish lists of elements and definitions Establish lists of elements and definitions Write and publish XML Schemas/DTD’s Write and publish XML Schemas/DTD’s Promote best practices and standards for data interchange Promote best practices and standards for data interchange Informal Informal Promote growth and development of vendor and local ERM systems and services Promote growth and development of vendor and local ERM systems and serviceshttp://www.diglib.org/standards/dlf-erm02.htm

9. Project Deliverables Problem Definition/Road Map Problem Definition/Road Map Workflow Diagram Workflow Diagram Functional Specifications Functional Specifications Entity Relationship Diagram Entity Relationship Diagram Data Elements and Definitions Data Elements and Definitions XML Schema XML Schema

10. Librarian Reactor Panel (17 members) Bob Alan (Penn State) Bob Alan (Penn State) Angela Carreno (NYU) Angela Carreno (NYU) Trisha Davis (Ohio State) Trisha Davis (Ohio State) Ellen Duranceau (MIT) Ellen Duranceau (MIT) Christa Easton (Stanford) Christa Easton (Stanford) Laine Farley (CDL) Laine Farley (CDL) Diane Grover (Washington) Diane Grover (Washington) Nancy Hoebelheinreich (Stanford) Nancy Hoebelheinreich (Stanford) Norm Medeiros (Haverford) Norm Medeiros (Haverford) Linda Miller (LC) Jim Mouw (Chicago) Andrew Pace (NCSU) Carole Pilkinton (Notre Dame) Ronda Rowe (Texas) Jim Stemper (Minnesota) Paula Watson (Illinois) Robin Wendler (Harvard)

11. Vendor Reactor Panel (12 Members) Tina Feick (SWETS Blackwell) Tina Feick (SWETS Blackwell) Ted Fons (Innovative Interfaces) Ted Fons (Innovative Interfaces) David Fritsch (TDNet) David Fritsch (TDNet) Kathy Klemperer (Harrassowitz) Kathy Klemperer (Harrassowitz) George Machovec (Colorado Alliance) George Machovec (Colorado Alliance) Mark Needleman (SIRSI) Mark Needleman (SIRSI) Oliver Pesch (EBSCO) Oliver Pesch (EBSCO) Chris Pierard (Serials Solutions) Chris Pierard (Serials Solutions) Kathleen Quinton (OCLC) Kathleen Quinton (OCLC) Sara Randall (Endeavor) Sara Randall (Endeavor) Ed Riding (Dynix) Ed Riding (Dynix) Jenny Walker (ExLibris) Jenny Walker (ExLibris)

12. Entity-Relationship Diagram

13. Data Element Dictionary: Overview Brief history Brief history Structural simplicity Structural simplicity Data Element Name Data Element Name Identifier Identifier Definition Definition Comments Comments Groundwork for Data Structure and ERD Groundwork for Data Structure and ERD

14. Data Element Dictionary

15. Data Elements: Considerations Overlap/integration with existing metadata schema Overlap/integration with existing metadata schema ISO 11179 ISO 11179 Element names Element names Defining complex concepts Defining complex concepts Exhaustibility/flexibility Exhaustibility/flexibility Recommending standards for element values Recommending standards for element values

16. Data Structure Overview ERD + DED = Data structure ERD + DED = Data structure Data Dictionary Elements Data Dictionary Elements plus entity identifiers plus entity identifiers plus pointers between entities plus pointers between entities Data Dictionary Definitions Data Dictionary Definitions plus data types plus data types functionality functionality optionality & cardinality optionality & cardinality

17. ERMS Data Structure

18. "The process of definition begins not with an abstract metadata schema but with a functional analysis of the application that the metadata schema and the commercial and procedural rules are designed to support.” "The process of definition begins not with an abstract metadata schema but with a functional analysis of the application that the metadata schema and the commercial and procedural rules are designed to support.” -- DOI Handbook, 5.7.2 -- DOI Handbook, 5.7.2 Form Follows Function Form Follows Function -- Louis Sullivan

19. Development of the Specs Series of meetings between Harvard and MIT, Spring 2003 to discuss possible work with Ex Libris on ERM development Series of meetings between Harvard and MIT, Spring 2003 to discuss possible work with Ex Libris on ERM development DLF Data Element Set (now Data Structure and Data Element Dictionary) DLF Data Element Set (now Data Structure and Data Element Dictionary) “But what is the functionality???” “But what is the functionality???” Ensuing document formed the basis for the current DLF document Ensuing document formed the basis for the current DLF document

20. Functional Requirements: Guiding Principles Integrated environment for management and access Integrated environment for management and access Interoperation and/or exchange of data with existing services: OPACs, web portals, library management systems, link resolution services… Interoperation and/or exchange of data with existing services: OPACs, web portals, library management systems, link resolution services… Single point of maintenance for each data element Single point of maintenance for each data element

21. Functions Support the ongoing and persistent ‘life cycle’ or “continuum” of digital resources Support the ongoing and persistent ‘life cycle’ or “continuum” of digital resources Selection and acquisition Selection and acquisition Access provision Access provision Resource administration and support Resource administration and support Renewal and retention decisions Renewal and retention decisions

22. Provide Support Evaluate Monitor Provide Access Register IP Addresses Portals/ Access lists Proxy servers Campus authentication URL maintenance Acquire User IDs Preferences (store) Holdings lists Access restrictions View rights for use Problem log Hardware needs Software needs Contact info Troubleshoot/ triage Trial use Assess need/budget License terms Price Evaluate Administer Usage stats Downtime analysis Review problems User feedback

23. Selection and Acquisition Mount Trials Mount Trials Evaluate Evaluate Content, interface Content, interface Technical compatibility Technical compatibility Select Select Arrange funding / make deals Arrange funding / make deals Negotiate License Negotiate License Order Order

24. Access Provision Manage IP addresses and passwords Manage IP addresses and passwords Store & maintain URLs Store & maintain URLs Catalog / add to resource discovery portals Catalog / add to resource discovery portals Provide remote access services (e.g. via proxy server) Provide remote access services (e.g. via proxy server) Interface with local authentication and authorization services Interface with local authentication and authorization services Assign persistent names Assign persistent names

25. Administration Keep track of administrative IDs and passwords Keep track of administrative IDs and passwords Configure resources for local use Configure resources for local use user interface options user interface options institutional branding institutional branding link resolvers link resolvers etc. etc. Mechanisms for restricting access to administrative functions Mechanisms for restricting access to administrative functions

26. Support Staff and end users Staff and end users Hardware and software requirements Hardware and software requirements Downtime information Downtime information Incident logging Incident logging User support, documentation and training User support, documentation and training Designated vendor and local support contacts Designated vendor and local support contacts Mechanisms for disseminating information to: Mechanisms for disseminating information to: Reference librarians Reference librarians Help desk staff Help desk staff

27. Renewal Information needed for renewal and retention decisions Information needed for renewal and retention decisions Problem history Problem history Downtime records Downtime records Usage statistics Usage statistics Renewal ticklers Renewal ticklers

28. Functional Requirements: (excerpt) 32. Store license rights and terms for reference, reporting, and control of services 32.1 For services including but not limited to ILL, reserves, distance education, course web sites, and course packs: 32.1.1 Identify whether a given title may be used for the service and under what conditions 32.1.2 Generate reports of all materials that may or may not be used for the service, with notes about conditions

29. Core Requirements (2) Support integrated bibliographic access and management Support integrated bibliographic access and management Provide relevant license information to the end user Provide relevant license information to the end user Share and/or exchange bibliographic data with other local systems and data exchange partners Share and/or exchange bibliographic data with other local systems and data exchange partners Store access-related information Store access-related information urls, IDs, passwords, ip addresses urls, IDs, passwords, ip addresses Store administrative information Store administrative information Administrative urls, IDs, passwords Administrative urls, IDs, passwords Configuration information (Z39.50, MARC records, OpenURL resolvers) Configuration information (Z39.50, MARC records, OpenURL resolvers) Usage statistics metadata Usage statistics metadata

30. Functional Requirements: Reactor Panel Themes Minimizing duplicative data among systems Minimizing duplicative data among systems Which is the system of record? Which is the system of record? ‘Consistent information for the user regardless of the path taken’-- is this realistic? ‘Consistent information for the user regardless of the path taken’-- is this realistic? Appropriate locus of acquisitions functionality Appropriate locus of acquisitions functionality ERMS or LMS ERMS or LMS Usage statistics Usage statistics Pointers vs. Containers Pointers vs. Containers Access management Access management Optional support for persistent URIs Optional support for persistent URIs Functional integration with local access management environment (e.g. proxy servers) Functional integration with local access management environment (e.g. proxy servers)

31. XML Investigation Scope Possible use case examples Possible use case examples Focused special attention on problem of formatting holdings data Focused special attention on problem of formatting holdings data Feasibility of XML schema to represent elements and entities Feasibility of XML schema to represent elements and entities Next steps Next steps

32. Possible Use Case Examples A web service between libraries and vendors for reporting and communicating support incidents A web service between libraries and vendors for reporting and communicating support incidents Transmission of IP ranges to vendors and contact info to libraries Transmission of IP ranges to vendors and contact info to libraries Exchange license data with a contracting partner Exchange license data with a contracting partner

33. XML Next Steps Continue work with Renato Iannella: how may the Open Digital Rights Language be used to represent license terms? Continue work with Renato Iannella: how may the Open Digital Rights Language be used to represent license terms? Create instance documents to demonstrate possible use of the DLF ERMI base schema Create instance documents to demonstrate possible use of the DLF ERMI base schema Secondary product: further refinement of our element set attributes Secondary product: further refinement of our element set attributes

34. Summary Managing electronic resources over time creates unique challenges for libraries of all types Managing electronic resources over time creates unique challenges for libraries of all types What functionality and metadata are required to support persistent e-resource management across and among UC and other libraries? What functionality and metadata are required to support persistent e-resource management across and among UC and other libraries? DLF project offers first comprehensive schema, data model and tools specifically designed to address e-resources throughout their lifecycle DLF project offers first comprehensive schema, data model and tools specifically designed to address e-resources throughout their lifecycle What further work is necessary to guide or maintain development in this area? What further work is necessary to guide or maintain development in this area?

35. Issues and Implications (1) Overall d-environment—highly dynamic, logarithmic growth, high cost, multidimensional nature Overall d-environment—highly dynamic, logarithmic growth, high cost, multidimensional nature Library environment—particularly complex Library environment—particularly complex Hard to predict the future—plethora of business models Hard to predict the future—plethora of business models Growing reliance and investment in e-resources with no guarantees re digital archiving or persistent access Growing reliance and investment in e-resources with no guarantees re digital archiving or persistent access

36. Issues and Implications (2) No single global identification system No single global identification system No registry or authority list of identifiers, packages or providers No registry or authority list of identifiers, packages or providers Vocabulary issues Vocabulary issues Privacy and confidentiality re authentication Privacy and confidentiality re authentication Usage data--COUNTER, ARL e-metrics? Usage data--COUNTER, ARL e-metrics? Open v. proprietary standards Open v. proprietary standards Customization and standardization Customization and standardization Interoperability of stand-alone ERM? Interoperability of stand-alone ERM?

37. No Silver Bullet A variety of initiatives and projects addressing various aspects of d-resource management A variety of initiatives and projects addressing various aspects of d-resource management To date, none has specifically addressed the complexity and challenge of consortia To date, none has specifically addressed the complexity and challenge of consortia This planning meeting is an opportunity to begin that discussion This planning meeting is an opportunity to begin that discussion