1. Resource Management: Strategies, Technologies, and Practices Marshall Breeding Independent Consultant, Author, Founder and Publisher, Library Technology Guides http://www.librarytechnology.org/ http://twitter.com/mbreeding April 26, 2015 Computers in Libraries – Preconference Workshop

2. Description Library collections today have become more complex than ever, with proportions of electronic and digital resources increasing relative to print and other physical materials. To manage these complex, multiformat collections, libraries need to consider many different options, both in the technology tools used and in their operational workflows. Many different types of technical options are available for libraries to manage their collections and operations, including traditional integrated library systems and a new generation of library services platforms, with open source and commercially licensed options and locally installed or cloud-based deployment possibilities. This half-day workshop explores the realm of library resource management technologies, helping attendees understand the relative strengths of each of the many alternatives and which automation scenarios may be most appropriate to pursue for their library. Filled with real-world examples, this workshop presents many possible strategies, technologies, and possibilities for managing library collections.

3. Agenda  Introductions  Institution and Role  Current issues and challenges  Top expectation from Workshop  Review of current trends in library resource management systems  Integrated Library Systems  Resource management Systems  Matching Systems to Strategic needs  Other topics of interest  Discussion and Questions throughout

4. New-generation Library Management

5. 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

6. Strategic shift for Academic Libraries  Collection Shift from Print > Electronic + Digital  E-journal transition largely complete  Circulation of print collections slowing  Large-scale investment in e-books  Technical infrastructure support:  Need better tools for access to complex multi-format collections  Strong emphasis on digitizing local collections  Demands for enterprise integration and interoperability

7. 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

8. 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

9. Traditional model of Automation  Oriented to Print collections  Single Library System  Includes branches or divisional facilities  Automation strategies often set when capabilities of automation systems were limited  Institutional solo of collection management

10. 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

11. Fragmented Library Management  LMS for management of (mostly) print  Duplicative financial systems between library and local government or other parent organization  E-book lending platform (multiple?)  Interlibrary loan (borrowing and lending)  Self-service and AMH infrastructure  Electronic Resource Management  PC Scheduling and print management  Event scheduling  Digital Collections Management platforms (CONTENTdm, DigiTool, etc.)  Discovery-layer services for broader access to library collections  No effective integration services / interoperability among disconnected systems, non-aligned metadata schemes

12. 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

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

14. 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

15. 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

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

17. 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

18. 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

19. New Metadata management WorkFlows  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  E-journal knowledge bases, e.g.  Great interest in moving toward semantic web and open linked data  Path emerging for linked data in resource management and discovery systems  AACR2 > RDA  MARC > BIBFRAME (http://bibframe.org/)

20. Metadata Management  MARC-based cataloging prospects  Library collections shifting to electronic and digital  Many components of collections appropriately described with other formats: Dublin Core, VRA,

21. RDA  Resource Description and Access  http://www.loc.gov/aba/rda/ http://www.loc.gov/aba/rda/  Major change relative to resources devoted to transition  Minor impact relative to operational and strategic use of metadata

22. BIBFRAME  Emerged from the Initiative for Bibliographic Transformation of the Library of Congress  http://www.loc.gov/bibframe/ http://www.loc.gov/bibframe/  bibframe.org  Replacement for MARC (Machine Readable Cataloging), but broader in scope  Encoded using RDF (Resource Description Framework)  Major departure from MARC  Today more conceptual than operational

23. New Technical processing workflows  Demand-driven acquisitions  Managing records in bulk  Personnel Resources distributed among acquiring and describing electronic, print, and digital resources  Resource allocation should be loosely proportionate to collection budgets and high-level strategies  New systems provide more flexibility to handle multiple families of metadata

24. 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

25. 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

26. 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

27. Development Schedule WorldShare Management Services AlmaIntota Sierra Services Platform Kuali OLE General Release in July 2011 ~200 now in production First ARL member in production in June 2014 329 libraries have signed for Alma. Over 200 in production Libraries in production by 2015 336 contracts completed, many libraries in production (~250?) Version 1.0 released Dec 2013 Version 2.0 underway Summer 2014 implementations planned by University of Chicago and Lehigh University

28. Development Timeline http://librarytechnology.org/chron/libraryservicesplatforms.pl

29. Library Services Platform Installations Production installations as of December 2014 ProductInstallationsSales Alma150370 WorldShare Management Services270340 Kuali OLE210 Intota021 Sierra495560 Total9171316

30. 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

31. Integrated Library Systems?  ILS products continue to evolve  Continue to be appropriate for libraries with active physical collections  Public Libraries  Development trajectory must include  Integration of e-book lending  Service-oriented architecture  Improved support for non-print materials  Evolved ILS will eventually resemble library services platforms

32. Resource Management Models Category Integrated Library System Progressive integrated library System Library Services Platform Resources managedPhysicalPrint, electronicElectronic, Physical Technology platformServer-based Multi-tenant SaaS KnowledgebasesNone e-holdings, bibliographic Patron interfacesBrowser-based Staff interfaces Graphical Desktop (Java Swing, Windows, Mac OS) Browser-based Procurement modelsPurchasePurchase, licenselicense Hosting optionLocal install, ASP Saas Only Interoperability Batch transfer, proprietary API Batch transfer, RESTful APIs, APIs (mostly RESTful) Products SirsiDynix Symphony, Millennium, Polaris Sierra, SirsiDynix Symphony/BLUEcloud, Polaris, Apollo WorldShare Management Services, Alma, ProQuest Intota, Sierra, Kuali OLE Development strategyBrownfield Greenfield (mixed)

33. Progress on Resource Discovery

34. 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

35. 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) Usage- generated Data Customer Profile Open Access

36. 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 ILS Data Aggregated Content packages Archives Usage- generated Data Customer Profile

37. Library Web Presence Integrated Library System Library Web site Subject Guides Article, Databases, E-Book collections Public Interfaces : Presentation Layer

38. Bento Box Discovery Model Search: Digital Collections Web Site Content Institutional Repositories E-Journals Search Results Pre-built harvesting and indexing Consolidated Index ILS Data Aggregated Content packages Open Access VuFind / Blacklight

39. Trend Demise of the local catalog  Many library services platforms do not include the concept of an online catalog dedicated to local physical inventory  Designed for discovery services as public-facing interface  Implication: Discovery service must incorporate detailed functionality for local materials and related services

40. Trend Tendency toward re-alignment with management systems  Alma + Primo / Primo Central  Sierra + Encore  WorldCat Local + WorldShare Management Services  Intota + Summon

41. Convergence  Discovery and Management solutions will increasingly be implemented as matched sets  Ex Libris: Primo + Primo Central Alma  ProQuest: Summon Intota  OCLC: WorldCat Discovery Service 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

42. Trend Content providers cooperate with discovery service providers for indexing in Web-scale services  New content partnerships continue to be announced  Web-scale discovery service providers assert that most scholarship in English now well covered and are now focusing on international and specialized resources

43. Development and Deployment Strategies

44. Open source and Open Access  Open source development of platform services  Open source infrastructure components  Open APIs to expose platform services  Knowledge base components  Open access  Community maintained  Adequately resourced

45. Open Source Integrated Library Systems  Alternative model of library systems development  Koha  Evergreen  Kuali OLE

46. 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

47.  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

48. 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

49. 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.

50. 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

51. Changing models of Resource Sharing

52. 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)

53. 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

54. Library Consortia  Groups of libraries want to work together to share an automation system  Number of participants limited by the perceived capacities of the automation system

55. Shared Infrastructure  Common discovery  Retention of local automation systems  Technical complex with moderate operational benefits  Common discovery + Resource Management Systems  Shared Resource management with local discovery options

56. 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

57. 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)

58. 2CUL Shared Services : Collection Development Technical Services Shared Infrastructure? :

59. 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  Currently working on implementation of shared system

60. Iceland Libraries

61. Chile

62. Norway: BIBSYS  Provides automation services for:  National Library of Norway  105 Academic and Special Libraries  History of local system development  Originally selected WorldShare Platform for new generation system development (Nov 2010) and later withdrew (Oct 2012)  Primo implemented for Discovery (May 2013)  Alma selected for new shared infrastructure (Jan 2014)

63. E-book lending ecosystem  Publishers  E-book lending service providers  Libraries  Library users

64. Publishing Industry  Most popular titles are offered through large media companies that each own many imprints  Many smaller independent publishers  Academic and scholarly publishers  Primary revenue lies in sales to consumers  Differing approaches to library e-lending

65. Big 5 Publishers  Hachette Book Group  HarperCollins  Macmillan Publishers  Penguin Random House  Merged July 2013  Simon and Schuster

66. Free / Open Access Titles  Project Gutenberg  46,000 free ebooks  http://www.gutenberg.org/  Open Library / Internet Archive  Open access catalog of 1,000,000 titles, including public domain, and e-books available for borrowing from participating libraries  Self-published

67. Key Library e-book lending challenge  Offer titles the public wants to read  Large publishers may have restrictive policies and work primarily through established library e- lending providers  Different opportunities for small or local publishers  Public domain content  Lots of content, but not what general reading public demands

68. E-book lending historical progress  Digital content providers (such as Overdrive)  Link to external Platform  Entry of new competitors  3M Cloud Library  Expectation for integrated discovery and download  Library Controlled e-book content and lending  “Douglas County Model”

69. Commercial E-book lending services  Content + e-lending platform  OverDrive  3M Library Services  Baker & Taylor  Platform + Locally managed & other e-book content  OdiloTK OdiloPlace Supports Douglas County e-book lending Model

70. OverDrive  Pioneering and still dominant provider of e-book and audiobook lending services to libraries  Also provide digital media platform services to publishers and other organizations  History  1986 Company Founded  2000 Launched Content Reserve service  2003 Launched download service for libraries  2013 Released APIs for discovery integration

71. 3M Library Services  Longstanding business in self-service and security products  Launched 3M Cloud Library in 2011  Early emphasis on integration with library interfaces  Growing catalog of titles

72. Baker & Taylor  Major supplier of materials to libraries  Launched Axis 360 service in 2011  Integrated procurement of print and e-book titles

73. Advantages  Able to leverage large-scale deals  Availability of large catalog of popular content  Fully supported and managed service

74. Disadvantages  Lack of control  At the mercy of deals negotiated between publishers and e-book service providers  Subscription vs Ownership  Many deals do not provide library with permanent ownership of content

75. ReadersFirst

76. ReadersFirst: Four Key Principles ReadersFirst calls upon publishers and e-book vendors to observe Four Key Principles to enhance the library e-book reading experience, allowing readers to: 1. Search one comprehensive catalog to access all of a library’s offerings 2. Place holds, check out and renew items, view availability, manage fines, and receive communications within the single source the library has determined will serve their users best (website, catalog, or other) 3. Seamlessly enjoy a variety of e-content 4. Download e-books that are compatible with all reading devices

77. Douglas County Model  Libraries want control or ownership of content  Negotiate directly with content owners  Publishers  Authors  Control of content and lending process

78. Library managed e-book lending  Douglas County Colorado  Local Infrastructure  Adobe Content Server  VuFind interface

79. Related US-based projects  Douglas County Libraries  eVoke Colorado  Colorado Library Consortium  Enki – e-book distribution and lending program by:  Califa Library Group and  Contra Costa County Library

80. Odilo  Provides a platform that supports the Douglas County Model  OdiloTK: E-book lending management  OdiloPlace: Libraries acquire content from Odilo’s catalog or develop their own local catalog from titles acquired from publishers and authors  OdiloTT Full library management system option

81. Connecting authors to readers Publishers Many others… Authors Readers

82. Connecting e-books to readers Publishers Many others… Authors Readers E-Book Services

83. Non-integrated e-book service

84. Connecting e-books to readers Publishers Many others… Authors Readers E-Book Services

85. E-Book Integration Model Search: Digital Collections Web Site Content Local E-book Repository Local E-book Repository Search Results Index ILS Data Aggregated Content packages Library Catalog External E-Book Lending Service External E-Book Lending Service Authentication Checkout - Download Discovery

86. 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

87. Integrated e-book lending

88. Connecting e-books to readers Publishers Many others… Authors Readers E-Book Services

89. Connecting e-books to readers Publishers Many others… Authors Readers E-Book Services

90. Connecting e-books to readers Publishers Many others… Authors Readers

91. Conclusion  E-book lending critical to library service  Libraries demanding more content with more ownership and control  New products and services strengthen the position of libraries

92. Questions and discussion