1. Rethinking Library Resources: Print Books in a Digital Age Texas Council of Academic Libraries Rethinking Library Resources: Print Books in a Digital Age Texas Council of Academic Libraries October 3, 2013

2. SCS Background Founded in February 2011 Principals – Chief Analytics Officer [Andy Breeding] – Chief Technical Officer [Eric Redman] – Chief Operations Officer [Ruth Fischer] – Chief Executive Officer [Rick Lugg] – OCLC [Strategic Partner] 70+ projects to date Sustainablecollections.com 2

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4. SCS Mission To help libraries manage and share print monographs Sustainablecollections.com 4

5. Deselection: Defined Broadly ‘Deselection' can encompass a number of different goals: Transfer to offsite storage, automated storage & retrieval systems (ASRS) or compact shelving Shared Print Archiving Retention and Preservation Digitization Weeding or Withdrawal Sustainablecollections.com 5

6. Today’s Specials The Why: The Changing Value of Local Print Collections The How: Collecting and Using Deselection Metadata Shared Print Monographs Sustainablecollections.com 6

7. THE WHY: THE CHANGING VALUE OF LOCAL PRINT COLLECTIONS 7

8. Evolution of the Library Paradigm Reader-centered: from monastic scriptorium and library; dominated by light and reading tables Book-centered: collection growth; unrelenting need for more shelving Learning-centered: digital content; information commons; learning spaces; information literacy Source: Scott Bennett, Libraries and Learning: A History of Paradigm Change (2003) 8

9. The Problem Stacks are overcrowded Use of print books is low and declining Library space is wanted for other purposes Print redundancy is significant The cost of keeping books on shelves is high Alternatives exist, but data is scattered Traditional approaches to deselection are costly and time-consuming Sustainablecollections.com 9

10. Stacks are crowded and empty 10

11. Circulation in Academic Libraries: Declining Since 2004 11 37% Decline

12. Print Use Dwarfed by Electronic Use 12 -23% +76%

13. Space Requirements: Monographs VolumesSquare Feet 100,00020,000 250,00045,000 500,00080,000 1,000,000150,000 2,700,000405,000 Source: Stephen R. Lawrence, Lynn Silipigni Connaway, and Keith H. Brigham, “Life Cycle Costs of Library Collections” College & Research Libraries, November 2001, p. 546. 13

14. Library space is wanted for other purposes… “The crowding out of readers by reading materials is one of the most common and disturbing ironies in library space planning.” --Scott Bennett Sustainablecollections.com 14

15. Lifecycle Costs: Monographs CLIR, June 2010 Courant & Nielsen Estimated Annual Costs  $4.26/ volume annually in central stacks  $0.86/volume in high- density facility 15

16. Lifecycle Costs: Monographs 16

17. Print redundancy is significant… 17 Potential for shared print And local reductions Potential for shared print And local reductions

18. The Case of Bertrand Russell… Alternatives exist, but the data is scattered… Just because it’s rational doesn’t mean it’s easy… 18

19. Sustainablecollections.com 19

20. Premises for Action Users value other library services more than print collections Opportunity for deselection with no impact on users and no risk to the record New tools and approaches will be necessary to make it safe & economical 20

21. WHAT TO DO? Sustainablecollections.com 21

22. How else could we…? Preserve collection integrity Assure low-use content is available if/when needed AND Bear less unnecessary cost Free more space for users and other purposes 22

23. Shared Collections? 23

24. Store offsite? 24

25. Discard? 25

26. Create? 26

27. Regret? 27

28. Benefit? 28

29. Independent action in a collective context Sustainablecollections.com 29

30. Shared print initiatives (Monographs) Michigan Shared Print Initiative (MI-SPI) Maine Shared Collection Strategy (IMLS- funded; Statewide scope) Connect New York Shared Print Archiving Central Iowa Collaborative Collections Initiative Washington Research Library Consortium Virtual Library of Virginia FLARE (Florida), GWLA, SCELC Sustainablecollections.com 30

31. THE HOW: USING DATA TO INFORM MONOGRAPHS DESELECTION 31

32. Two functions of library print collections Preservation function “Dispensing” function: accounts for the “the great preponderance of operating costs. Sustainablecollections.com 32 Source: Michael Buckland, Redesigning Library Services: A Manifesto (Chicago: American Library Association, 1992).

33. Many monographs are digitally archived Sustainablecollections.com 33

34. To a high standard… TRAC: Trustworthy Repositories Audit & Certification Site visit, sampling of archives content, review of documentation “preservation audit” – Organizational Infrastructure – Digital Object Management – Technologies, Technical Infrastructure, Security 34

35. 35 But we still need a print archive…

36. ‘Archive’ copies Digital Archives Secure, high-quality Hathi Trust, Portico CRL certification Print Archives Failsafe for technological or natural disaster New digital surrogates or re-digitization Dark, dim, or light? 36

37. ‘Service’ copies Once content is securely archived, ‘dispensing’ function can be managed with fewer surplus copies Focus on distribution, convenience, speed of delivery Borrow or re-purchase; print, electronic (including PDA, DDA, Short-term Loan); POD 37

38. Surplus copies Archiving requirements satisfied Sufficient service copies to meet anticipated demand How many holdings/copies remain? Are all of them needed? Sustainablecollections.com 38

39. Good Decisions Require Data How many holdings/copies? Where are they? Is the title secure? Can the title be accessed quickly? Can the title be re-obtained if needed? What options are available for each title? Sustainablecollections.com 39

40. SCS and Collection Analytics Assembles deselection metadata Supports library-defined rules that operate against that metadata Coordinates withdrawal and retention scenarios across all institutions (in a group setting) Incorporates ‘archival’ values and ‘service’ values into deselection decisions Sustainablecollections.com 40

41. The SCS Approach: Data-Driven Decisions Circulation & other use data (ILL, in-house) Holdings in other libraries (peer, regional, national) Secure digital copy (Hathi) Authoritative title lists [Commercial availability] Library-defined rules Interactive rule sets 41 http://sustainablecollections.com

42. Sustainablecollections.com 42 Deselection Metadata

43. SCS Monographs Index 2013 Sustainablecollections.com 43

44. The Average SCS Monographs Collection Of the 459,000 circulating print books: 182,039 have no recorded uses in the past 15 years 342,551 have been used 3 or fewer times in the past 15 years 356,377 are held by more than 100 other libraries in the US 9,639 are held by fewer than 5 other libraries in the US 221,192 are securely digitized in Hathi Trust 22,216 of those Hathi Trust titles are freely available in electronic form Sustainablecollections.com 44

45. Trinity’s Data Sustainablecollections.com 45

46. Collaborative Analysis Sustainablecollections.com 46

48. SHARED PRINT MANAGEMENT: GROUP PROJECTS Sustainablecollections.com 48

49. SCS Group Projects to Date Michigan Shared Print Initiative (MI-SPI) Maine Shared Collection Strategy Connect New York Shared Print Archiving California State University System Central Iowa Collaborative Collections Initiative Tri-University Group (Canada) Washington Research Library Consortium Virtual Library of Virginia Academic Libraries of Indiana Sustainablecollections.com 49

50. Project Segments Planning & requirements gathering Getting usable catalog extracts Data preparation and review Group collection summary Scenario development Iterations Candidate lists Sustainablecollections.com 50

51. High-level project schedule/dependenies Sustainablecollections.com 51TaskDescriptionDates Planning Meetings Key players discuss data extracts, anomalies, peers, etc.Sept 2013 2013 Collections Decisions Comparators, local interest rules, scoping refinements Sept-Oct 2013 Data Preparation Libraries prepare and deliver extracts to SCS. SCS validates, normalizes, matches, and performs holdings lookups.Sept-Dec2013? Group Collection Summary Categorical overview of the group data set. Used to gauge opportunities and guide scenario development. Early 2014? Scenario Development Project leaders suggest preliminary assessment criteria. SCS iterates and revises scenarios. Jan-April 2014 Candidate Lists Detailed Excel spreadsheets for review, bases on finalized criteria for retention and withdrawal. Modify as necessary. April-June 2014 Discussions Facilitation This will be needed at many points – but especially around scenario development, allocation, and policy development. Through- out Allocation Assignment of withdrawal opportunities and retention commitments – based on many factors.TBD List Production List Production Once allocation decisions have been made, SCS will derive title/item lists for use by individual libraries.TBD Ongoing Data Management SCS will maintain (but will not update) the VIVA dataset for 2 years, which can be used for additional projects. … You Are Here

52. Collections and Analytical Strategies Ensure a shared understanding of the scope of the project Most productive focus: circulating print monographs Which libraries, which branches? What comparisons will the group’s data support? Sustainablecollections.com 52

53. VIVA Data Extracts: 10 Sources, 12 Libraries InstitutionILSOCLC SymbolEstimated Records*Notes George MasonVoyagerVGM[750,000]Also in WRLC. Re-use extract for VIVA. Old DominionIII SierraVOD713,995 University of VirginiaSirsiDynix Symphony VA@ 1,240,421 Virginia CommonwealthAlmaVRC884,649 Virginia TechMillenniumVPI660,000 James MadisonMillenniumVMC[460,443]Extract already paid via JMU-specific project RadfordMillenniumVRA233,809 Germanna CCAlephPZJ31,730CC Libraries share a system, so the three pilot libraries count as a single data extract J. Sargeant Reynolds CCAlephPZL66,062See above Mountain Empire CCAlephPZP37,205See above University of RichmondVoyagerVRU382,228 Washington & LeeMillenniumVLW405,409 Est. Total Records to be Processed** 5,800,000 Est. Total Records to be paid In Pilot*** 4,600,000 53

54. LibraryTotal ChargesEarliest Last Charge Date Library 120 years6/29/1993 Library 211 years6/26/2002 Library 37 years1/20/2005 Library 423 years7/23/1990 Library 515 years9/22/1998 How to deal with uneven depths of data? 54

55. Extensive item data will be collected item call number volume last reserve date copy # in-house uses barcode last check-in date last check-out date Sustainablecollections.com 55 location code* item type code* note field* opac message* item status code* total checkouts item record number item create date

56. Comparator library groups 56 LibraryUNIUIISUOther IPAL University of Northern IowaNIU University of Iowa NUI Iowa State University IWA Ashford University IO9 Briar Cliff University IOB Buena Vista University IOE Clarke University IOC Coe College ION Cornell College IMV Des Moines University IWO Divine Word College DIV Dordt College IOT Graceland College IOF Iowa Wesleyan IOI Loras CollegeIOL Luther CollegeIOH Maharishi University of ManagementMIU Mercy College of Health SciencesY4Q Morningside CollegeIOM Mount Mercy CollegeUIW Northwestern CollegeIOO Palmer College of ChiropracticPWT St. Ambrose UniversityIOJ University of DubuqueIOV Upper Iowa UniversityIOY Waldorf CollegeIX5 Wartburg CollegeIOW Wartburg Theological SeminaryIWT William Penn UniversityIOX

57. SCS normalizes the data from each library Bibliographic, item, circulation, and holdings data extracted, transformed, and loaded to an SCS Postgres database Filter out-of scope bib records (eBooks, maps, DVDs, Gov Docs) Eliminate duplicate bib records Normalize call numbers Eliminate trailing spaces in control numbers Validate OCLC numbers LCCN/title-string lookups for records lacking an OCLC number Identify and accommodate unusual implementations of MARC Identify bibs without items and items with multiple bib records Map item-level data and interpret codes Assign LC (and/or Dewey) Classes to records 57

58. Compare group’s holdings to other libraries External comparisons – WorldCat Holdings – Hathi Trust In-Copyright – Hathi Trust Public Domain – Internet Archive – CHOICE – CHOICE Outstanding Academic Titles Sustainablecollections.com 58

59. GROUP COLLECTION SUMMARY 59

60. By “titles” we can mean two different things 60 1. Title Set Adelphi Bard Canisius Cazenovia Colgate Hamilton 2. Title Holding

61. Library Total Charges Last Charge Date Last Item Add Date Adelphi 25/1/067/25/94 Bard 19/11/96 Canisius 510/14/096/24/94 Cazenovia 11/29/96 Colgate 89/23/026/23/94 Hamilton 124/20/115/28/02 Le Moyne 33/27/95 Medaille 06/26/08 Pace 25/13/0911/1/94 St Lawrence 24/4/1210/25/94 Union 29/13/104/5/03 Vassar 89/4/121/11/95 Each Title-Holding can have different characteristics Publication Year 1994

62. Recorded Uses 62 Title-Holding CountsAll Libraries % 1All Title Holdings - Filtered1,048,251100% Recorded Use Counts 2Total Recorded Uses = 0448,17343% 3Total Recorded Uses = 1208,56820% 4Total Recorded Uses = 2119,03911% 5Total Recorded Uses = 373,7547% 6Total Recorded Uses 4-9150,15614% 7Total Recorded Uses > 1048,6515% 14Last charge after 2010104,93310% 15Last charge after 2007211,84220% 16Last charge after 2005272,62626%

63. WorldCat™ Counts – US 63 WorldCat Counts - US - Specific EditionTitle Holdings % 2Unique in the US2,8040% 42-4 Holdings in the US7,3271% 65-9 Holdings in US10,8221% 810-19 Holdings in US19,4522% 1020+ Holdings In US1,007,21396% 1250+ Holdings in US953,53991% 14100+ Holdings in the US875,57984% 16200+ Holdings in the US728,01969%

64. Overlap based on SCS Matching – for a 5 Library Group 64 Overlap within the 5 participating librariesTitle Holdings % 2 Unique in group 526,52650% 3 Title-holdings in 2 libraries 280,36027% 4 Titles-holdings in 3 libraries 154,35115% 5 Titles-holdings in 4 libraries 68,6817% 6 Titles-holdings in all 5 libraries 18,3332%

65. Overlap with a Peer Group 65 Overlap with other IPAL libraries – specific editionsTitle Holdings% 29WorldCat holding set in 1 other IPAL Library170,96216% 30WorldCat holding set in 2-4 other IPAL libraries293,05328% 32WorldCat holding set in 5-9 other IPAL libraries155,25915% 34WorldCat holding set in 10+ other IPAL libraries33,6783%

66. Title-Holdings by Publication Year 66

67. Title Holdings by LC Class 67

68. Number of Title Holdings 68 Average Uses per Title-Holding Holdings and Usage Levels Compared

69. Hathi Trust and Internet Archive 69 SCS MatchesTitle Holdings % 9Hathi Trust Public Domain Match53,595 5% 10Hathi Trust In-Copyright Match455,250 43% 11Internet Archive Match158,75415% 12In Internet Archive not in Hathi60,8756% 13In Hathi not in Internet Archive425,41441%

70. High-level project schedule Sustainablecollections.com 70TaskDescription Tentative Dates Planning Meetings Key players discuss data extracts, anomalies, peers, etc. October 2012 Data Preparation Libraries prepare and deliver extracts to SCS. SCS validates, normalizes, matches, and performs holdings lookups. November 2012 Group Collection Summary Categorical overview of the group data set. Used to gauge opportunities and guide scenario development. January 2013 Scenario Development Project leaders suggest preliminary withdrawal and preservation criteria. SCS iterates and revises. Begin February 2013 Candidate Lists Detailed Excel spreadsheets for review, bases on finalized criteria for withdrawal. Modify as necessary.2013 Discussions Facilitation This will be needed at many points – but especially around scenario development, allocation, and policy development. Through- out Allocation Assignment of withdrawal opportunities and retention commitments – based on many factors. 2013 2013 Production of Picklists and Keeplists Once allocation decisions have been made, SCS will derive title/item lists for use by individual libraries.2013 Ongoing Data Management SCS will maintain (but will not update) the CNY dataset for 2 years, which can be used for additional projects. … You Are Here

71. 71 TITLE-SETS with -Pub Year < 2000 TITLE HOLDINGS with -Last Add Date < 2000 -Total-Charges = 0 -Last Add Date < 2000 -Total-Charges = 1 or less -Last Add Date < 2000 -Total-Charges = 3 or less Keep 1 Title Holding 599K withdraw843K withdraw1,085K withdraw Keep 2 Title Holdings 389K withdraw538K withdraw680K withdraw* Keep 3 Title Holdings 255K withdraw346K withdraw430K withdraw Original Shared Print Scenarios 71 CRITERIA

72. 500,000 Surplus Holdings 100,000 square feet Over 12 campuses & branches Still 2 title holdings available among the 12 libraries Highest circulating items: 1 circulation in 20+ years Impact on space: significant Impact on service: negligible Sustainablecollections.com 72

73. Allocation of withdrawal candidates 548,314 allocable withdrawal candidates How many are on each library’s shelves? How does that match each library’s withdrawal target? How do we divide them equitably? Proportionately to withdrawal candidates? Proportionately to collection size? How do we reconcile disparities? Sustainablecollections.com 73

74. Allocation of withdrawal candidates 548,314 allocable withdrawal candidates How many are on each library’s shelves? How does that match each library’s withdrawal target? How do we divide them equitably? Proportionately to withdrawal candidates? Proportionately to collection size? How do we reconcile disparities? Sustainablecollections.com 74

75. CLOSING THOUGHTS 75

76. Strong preferences: print, self-sufficiency Hathi Trust or other digital surrogate Print in Collective Collection Print in state Print within group Sustainablecollections.com 76

77. There are other solutions… 77

78. Amazing Desk Made From Recycled Books at Delft University by Bridgette Meinhold, 09/13/10Bridgette Meinhold 78

79. Q & A / DISCUSSION Sustainablecollections.com 79

80. Contact details sustainablecollections.com Email – rick@sustainablecollections.com rick@sustainablecollections.com – ruth@sustainablecollections.com ruth@sustainablecollections.com Blogs – SCSInsight Blog http://sustainablecollections.com/weed-feed/ http://sustainablecollections.com/weed-feed/ – Rick’s Blog – Google ‘rick lugg blog’ or go to http://sampleandhold-r2.blogspot.com/ http://sampleandhold-r2.blogspot.com/ Twitter: @SCSinsight; @ricklugg Sustainablecollections.com 80