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Whither ERMI? the Once and Future DLF Electronic Resource Management Initiative becomes NISO ERM Data Standards Review Ivy Anderson California Digital.

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Presentation on theme: "Whither ERMI? the Once and Future DLF Electronic Resource Management Initiative becomes NISO ERM Data Standards Review Ivy Anderson California Digital."— Presentation transcript:

1 Whither ERMI? the Once and Future DLF Electronic Resource Management Initiative becomes NISO ERM Data Standards Review Ivy Anderson California Digital Library NISO Forum Library Resource Management Systems: New Challenges, New Opportunities October 8-9, 2009 Metro Meeting Center Boston, MA

2 Orens opening remarks Libraries want: Single entry point for discovery and delivery Consolidating workflows – uniting traditional functions with digital library functions Re-use of bibliographic metadata for leveraging of effort

3 A Working Definition for ERMs Tools for managing the license agreements, related administrative information, and internal processes associated with collections of licensed electronic resources. Ellen Duranceau, Against The Grain, June 2005

4 Background: Digital Library Federation E-Resource Management Initiative

5 Evolution of the DLF Initiative Outgrowth of Tim Jewells 2001 DLF study, Selection and Presentation of Commercially Available Electronic Resources Two-Year Project Goals: Develop common specifications and tools for managing the license agreements, related administrative information, and internal processes associated with collections of licensed electronic resources Describe architectures needed for electronic resource management Foster systems development Promote best practices and standards

6 Drivers E-resources an increasing focus of library purchasing activity

7 2003: $230 million (25%) 2007: $536 million (47%) ARL Libraries 2007 E-Resource Expenditures

8 Drivers E-resources are different from print Complex to describe Complex to fund and acquire Complex to support and manage Rise of licensing as a new practice in libraries Trends in local practice Wide staff involvement in selection, implementation & ongoing support Tracking and presenting license terms to staff and end users Planned/cyclic product evaluations prior to renewal Lack of tools to support new activities and workflows

9 Acquisitions Process Print Linear Performed by a single individual at each step Many tasks can be done by clerical staff Not time-intensive Electronic Iterative, multiple steps performed simultaneously Team-based Requires higher level of professional involvement Time-intensive - Duranceau, Ellen, "Beyond Print: Revisioning Serials Acquisitions for the Digital Age," Serials Librarian, v. 33, no. 1-2, 1998

10 Print Acquisitions Workflow Order Catalog Bind / Book Prep Select

11 E-Resource Acquisitions Workflow Evaluate Content, Platform, CostLicenseTechnical Feasibility Approve / Negotiate Implement Catalog PortalProxy Server Link Resolver OK Order / Register for Access Propose Ongoing Management / Stewardship

12 Provide Support Evaluate Monitor Provide Access Order, Register Catalog Digital Registry Proxy server Gateway WebBridge Investigate Inform users Track problems Troubleshoot Manage changes Provide Training Trial Assess need/budget License terms Price Evaluate Administer Usage stats Review alternatives Review problems User feedback Contact info Payment, manage financials Setup contacts Customize interface Holdings management Set up usage statistics

13 The DLF ERMI 2004 Report

14 Relationships (Data Model) Packages and their constituent parts Knowing which resources share the same interface, license terms, business terms… Information (Data Dictionary) License permissions and constraints User IDs, passwords, administrative info Contacts for support and troubleshooting Cancellation restrictions, price caps, etc. Workflows (Functional Requirements) Mounting Trials Routing Licenses Placing Orders Implementing access Notifying relevant staff

15 Appendix C: Entity Relationship Diagram

16 Appendix D: Data Element Dictionary Almost 350 data elements with definitions Alphabetical order Data Element Name IdentifierDefinitionComments Embargo Period embargoperiodThe amount of time by which content is intentionally delayed Refer to developing standards (e.g., ONIX for Serials) for values Fair Use Clause Indicator fairuseclauseA clause that affirms statutory fair use rights under U.S. copyright law (17 USC Section 107), or that the agreement does not restrict or abrogate the rights of the licensee or its user community under copyright law Fair use rights include, but are not limited to, printing, downloading, and copying Most applicable for U.S. libraries but may be of interest for other countries when recording terms for products licensed by U.S. businesses FormatformatThe form of presentation of a resource Examples of electronic formats include descriptions of text (e.g., ASCII); images (e.g., JPEG); audio (e.g., basic) excerpt :

17 Appendix E: Data Structure The data elements of Appendix D structured to show logical groupings and relationships System functionality explanations Data types, enumerated values, cardinality Interface Entity DefinitionInterface entity is part of the master set Electronic Product. It is comprised of many elements identifying or associated with the interface of an electronic resource. An interface is the software platform or website through which a particular electronic resource is made available. ElementsInterface ID, Interface Acquisition, Interface Prevailing Terms, Interface Access Information, Interface Administrative Information, Interface Name, Interface Digital Object Identifier, Interface Other Identifier Source, Interface Other Identifier Number, Interface Provider, Medium, Interface Status, Interface Public Note NotesElements may be derived from other linked entities as appropriate. Interface is one of two subsets of the Electronic Product set; for some bridge entities an id from either its sibling Electronic Resource or from Interface must be present, but both are not always required. FR19 ElementDefinitionElement Type System Use / Functionality ValuesOption- ality Repeat- ability Notes / Examples Interface IDThe identification number assigned to the interface by the electronic resource management system unique IDsystem generated identifier RNThis should be considered a unique local identifier. Links an Interface record to other data. Interface Acquisition The acquisition which has made the interface available to the collection pointerID from Acquisition entity RAN Interface Prevailing Terms The business and legal terms under which the interface is licensed and acquired pointerFR1, FR2ID from the Prevailing Terms entity RAN excerpt :

18 Functional Requirements Support the Life Cycle of electronic resources Selection and acquisition Access provision Resource administration User support and troubleshooting (staff and end- users) Renewal and retention decisions

19 Appendix A: Functional Requirements Focus: Information and Workflows for e-resource management in a library setting 47 major requirements in 8 categories Over 150 itemized requirements excerpt: 27. Store license rights and terms for reference, reporting, and control of services 27.1 For services including but not limited to ILL, reserves, distance education, course web sites, and course packs: Identify whether a given title may be used for the service and under what conditions Generate reports of all materials that may or may not be used for the service with notes about conditions

20 ERMI Successes Articulated the relationships among licenses, resources, packages, providers, and platforms Fostered recognition that licenses and related metadata had to be properly managed Spawned the development of systems to manage e-resource information If last years hot product was federated searching, then 2004 belongs to electronic resources management (ERM) and of the impact of the DLF ERMI documents: in a nearly unprecedented move, nearly every large automation vendor has used the specifications created by librarians. Andrew Pace, American Libraries, 2004

21 What ERMI Was Not

22 A Standard

23 ERMI Phase 1 as a basis for a standard for license terms expression; commissioned from Rightscom ERMI 1 was a valuable starting point, but further development required Terms dictionary would need a more rigorous ontological structure Proposed an -based rights model: licenses are about events (permitted, prohibited, required, etc) EDItEUR review of ERMI

24 The DLF Electronic Resource Management Initiative, Phase II (2006) Training for License Term Mapping (ARL/DLF collaboration) E-Resource Usage Statistics Protocol for automated delivery (SUSHI) Statement of functional requirements Data Standards Data Dictionary revision License Expression

25 License Information: Challenges

26 ERMI Terms of Use Elements Fair Use Clause Indicator Database Protection Override Indicator All Rights Reserved Indicator Citation Requirement Details Authorized User Definition Local Authorized User Definition Indicator Other User Restriction Note Other Use Restriction Note Concurrent User Digitally Copy* Print Copy* Scholarly Sharing* Distance Education* Interlibrary Loan Print or Fax* Interlibrary Loan Secure Electronic Transmission* Interlibrary Loan Electronic* Interlibrary Loan Record Keeping Required Indicator Course Reserve Print* Course Reserve Electronic/ Cached Copy* Electronic Link Permission* Course Pack Print* Course Pack Electronic* Remote Access*

27 ERMI Permission Values Permitted (explicit) Permitted (interpreted) Prohibited (explicit) Prohibited (interpreted) Silent (uninterpreted) Not Applicable

28 ERMI Mapping Challenges Different wording Term buried in the license License more granular than data element Data element more granular than license No match between license and data elements Local interpretation

29 Joint License Expression Working Group (LEWG) sponsored by NISO, DLF, PLS and EDItEUR (2005) now ONIX-PL Working Group (2008) A structured ontology and XML messaging protocol for exchanging licensing information ONIX-PL format specification v1.0 (2008) Pilots underway by JISC and others ONIX-ERMI mapping completed 2007 ONIX for Publications Licenses (ONIX-PL)

30 The Constructive Role of Ambiguity China Alters Language On Taiwan By Philip P. Pan Washington Post Foreign Service Friday, May 13, 2005 BEIJING, May Chinese President Hu Jintao proposed new diplomatic language Thursday aimed at ending the decades-old state of hostilities between China and Taiwan […] Under the new language, Hu effectively agreed to open talks if Taiwan accepted the principle of "two shores, one China" while acknowledging that the two sides might differ on precisely what that term meant.

31 Silence, Interpreted The good thing about the law is it can be argued either way. -- Anonymous legal source

32 Enter SERU

33 Other Related Standards Developments post-ERMI Usage Data: COUNTER and SUSHI Knowledge-bases: KBART Cost Data: CORE Institutional Identifiers: I2

34 COUNTER: Counting Online Usage of Networked Electronic Resources Code of Practice first released Jan 2003 Release 3 published Aug 2008 Code of Practice Addresses: Content, format, delivery mechanisms and data processing rules for a set of core usage reports Terminology Layout and format of reports Processing of usage data Delivery of reports

35 NISO Standardized Usage Statistics Harvesting Initiative (SUSHI): Z39.93 A key project of the ERMI 2 initiative Solves the problem of harvesting and managing usage data from a growing number of providers A web-services model for requesting data that replaces the users need to download files from vendors website The SUSHI client runs on the librarys server, usually associated with an ERM system. The SUSHI server runs on the Content Providers server, and has access to the usage data.

36 SUSHI is Now a Requirement of the COUNTER 3 Code of Practice Vendors must be SUSHI-compliant as of September 2009

37 Future of SUSHI: Beyond COUNTER reports SUSHI was designed as a general protocol for retrieving XML reports SUSHI can be used for non-COUNTER usage reports SUSHI can also be used for other XML messages, for example, automate delivery of: Holdings data with ONIX-SOH License terms with ONIX PL Source: Oliver Pesch Presentation

38 KBART (Knowledge Base and Related Tools) Joint effort of NISO and the UK Serials Group (launched January 2008) Drraft guidelines for best practice to effect smoother interaction between members of the knowledge base supply chain Content standards for holdings data exchange Centralized information portal

39 NISO Cost of Resource Exchange (CORE): Z x DLF-ERMI White Paper on Interoperability between Acquisitions Modules of Integrated Library Systems and Electronic Resource Management Systems (January 2008) Working Group Co-chairs Ed Riding, SirsiDynix Ted Koppel, Auto-Graphics Facilitate transfer of acquisitions data between ILS and ERM systems provide a common method of requesting cost-related information from an ILS for a specific electronic resource Develop and refine the list of data elements to exchange create a transport protocol useful in moving these data elements from one system to another. Write a small number of use cases Draft Standard for Trial Use available (March 2009)

40 I2: Institutional Identifiers Working Group Co-chairs Grace Agnew, Rutgers University Tina Feick, Harrassowitz A globally unique, extensible identifier for institutions for use in the information supply chain E-Resources, Institutional Repositories, Library Resource Management Related work: OCLC Networking Names es es

41 Learning from ERMI: some thoughts Comprehensiveness is difficult To describe To build and implement Example: e-metrics Many useful sources, multiple views needed E-resources and markets change quickly Small-scale development works Robust data exchange is critical

42 Library needs for e-resource data maipulation march relentlessly onward

43 Enter ERMI Data Standards Review

44 Goal: Gap Analysis Is the ERMI Data Dictionary still needed? If so, what persistent structures should be instituted to revise and maintain it? What other e-reource management needs remain unaddressed by current standards efforts?

45 Current E-Resource Standards Landscape

46 ALA Midwinter 2009 NISO-led Discussions: What We Heard Discussed current ERM needs and future of ERMI with over a dozen domain experts: Librarians, system developers, standards representatives, supply chain vendors Libraries want: Simplified license elements Workflow tools and best practices Authority control for products, vendors (including tracking vendor name changes, acquisitions & mergers) Management of data elements for future interoperability and data transport Holdings data for ebooks and journals – a huge pain point for many customers – this resource from this publisher / provider on this platform during this time period

47 What We Heard: Flexibility Need an ERMI lite for selected core elements and lots of free form notes – for business terms, resources in negotiation, etc. Rapidly evolving business models – open access, pay-per-view…

48 What We Heard: Conflicting Inputs Focus on data elements, leave application to system developers. User community should shape application and use Libraries need best practices guidance to help them implement systems

49 What We Heard: ERMI Still Has Many Champions We still need ERMI to create a context for how all of the pieces need to work together ERMI has done a good job of identifying and organizing the problem, not necessarily solving it ERMI should be the master custodian of data elements One thing ERMI has done well is to define a data dictionary that different systems can use to move data around

50 Major Takeaways About Standards ERMI data model is still important for reference and context Data dictionary is key to functionality and interoperability License elements / values need simplification – ONIX-PL may or may not serve library needs Vendor and product identity management is an ongoing problem need to accurately represent vendor-resource-holdings relationships need to manage resources and holdings in a standardized and shareable way About Libraries Libraries need help with workflows and best practices About Systems Existing systems are under-developed Libraries need more specific functionality – ability to import / export data, support everyday business activities / functions Data exchange capability is critical

51 NISO ERM Data Standards Review: Goals Perform a gap analysis of functions and needs unaddressed by existing standards More data-gathering through surveys, conference-related focus groups, webinars Make recommendations for future work Membership currently being formed Seek participation from librarians, systems and content management vendors, publishers A mailing list will be set up for wider communication Report due to NISO Business Topic Committee April 2010 More information at

52 Future Data Movement and Management Landscape Features? Budget constraints are real, getting tougher, and not going away Libraries need to get more efficient We need less: Silo-ization Redundancy of effort We need more: Modularity, specialized applications Data sharing and transport Light weight standards Flexible, dynamic structures for knitting pieces together where needed

53 Broader Challenges Its about agility and flexibility As library systems and services move from the local level to the network level, how do we ensure agility and adaptability? Can our organizations evolve fast enough?

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