1. Tools for Mature Management of Electronic Resources Lifecycles in Libraries IFLA 2007 16 August 2007 Kimberly Parker Head, Electronic Collections Yale University Library

2. Outline for Today 1. Background and e-resource management functions with DLF ERMI history 2. The uses of the DLF ERMI report 3. An exercise in using the workflow piece 4. DLF ERMI 2 5. Maturing of the concept

3. On the Road to ERM Systems Mid 1990’s: E-Journals on the web Late 1990’s: E-resource positions in large libraries 2000: DLF Spring Forum 2001: DLF Study on Acquiring E-Resources & ALA informal gatherings 2002: NISO workshop & DLF ERMI charged 2004: DLF ERMI Report issued

4. Context for E-resource Management High demand for “24x7” access E-resource budget shares continue to grow (when do you expect to go over 75%?) Budget and other issues driving a shift to e-only journal access Dynamic marketplace & business models “Google-ization” (Digital Ambience) E-resources are complex (to describe, fund, and support) Impact of licensing

5. Some E-resource tasks not supported by current integrated library systems Generating and maintaining alpha and subject lists License term negotiation, tracking, and communication processes Wide staff involvement in selection & support -- communication and workflow Problem tracking Escalation/triage support Planned, cyclical product reviews Systematic usage reporting Result: creation of many separate documents and/or applications

6. The DLF E-Resource Management Initiative Tim Jewell (University of Washington) Ivy Anderson (Harvard) Adam Chandler (Cornell) Sharon Farb (UCLA) Angela Riggio (UCLA) Kimberly Parker (Yale) Nathan D. M. Robertson (Johns Hopkins)

7. ERMI Deliverables Problem Definition/Road Map/Final Project Report Workflow Diagram –How do tasks inter-relate Functional Requirements –What do the systems need to do or support Entity Relationship Diagram (“Tree”) –How do pieces of information interact Data Elements and Definitions –Data Element Dictionary (“Leaves”) –Data Structure (“Where the Leaves Go”) XML Investigation

8. Use of ERMI Deliverables Workflow Diagram –Re-examining organization approaches Functional Requirements –Local and Vendor system planning –Source for RFP’s Entity Relationship Diagram (“Tree”) –Local and Vendor system planning Data Elements Dictionary –Local and Vendor system planning –Implementation planning Data Structure –Local and Vendor system planning

9. Functional Specifications Support the ‘Life Cycle’ of electronic resources –Selection and acquisition –Access provision –Resource administration and support –Renewal and retention decisions

10. Functional Requirements Outline Introduction and Goals Guiding Principles Functional Specifications (47 main points) –General (4) –Resource Discovery (7) –Bibliographic Management (2) –Access Management (5) –Staff Requirements (29) General interface requirements (4) Selection and evaluation processes (9) Resource administration and management (11) Business functions (5)

11. Functional Specifications: (Excerpt) 38. Support the administration of e-resources 38.1 Store administrative URIs, IDs and passwords and associated notes, and make these available to authorized staff 38.2 Store subscriber numbers used to register online journals that are tied to print 38.3 For configuration options including but not limited to features such as institutional branding, hooks to holdings, Z39.50, OpenURL support, and live reference links: 38.3.1 Identify whether a given title supports the feature and whether it has been implemented, with associated notes 38.3.2 Generate reports of all materials that do or do not support the specified feature, including implementation status...

12. Entity-Relationship Diagram

13. ERD: Major Entities and Relationships

15. Data Element Dictionary

16. ERMS Data Structure

17. The Work of E-Resources Workflow (lifecycle) Functional Specifications (how do we need to do our work) Data Dictionary (what do we need to keep track of)

18. Checking Our Thoughts Against Real Life Parts of Workflow –who does it in the real world at your institution? Questions about Functional Specifications –the “hows” for your institution Questions about Data Dictionary –the “whats” for your institution?

19. What is Workflow Good For? Facilitating the work that must be done Facilitating the rest of the work of the library that may not directly involve handling e-resources on a daily basis.

20. Product licensing

21. Product Licensing Discussion (1) Who? –Who reviews the license? Who negotiates the license (if necessary)? Who signs? Who handles the paperwork? –What types of job groups are involved? Does this vary from unit to unit in a large library system? How? –How does the communication about the license happen? How are license negotiations facilitated?

22. Product Licensing Discussion (2) What? –What do you record for the license process? What happens when a license is unacceptable? –Do you record with whom the current change request is? –What are your default definitions or alternative wordings?

23. Product Technical Feasibility

24. Product Technical Feasibility Discussion (1) Who? –Who assesses the technical requirements? Who analyses how much work it would take to make the product work in your environment? To whom is the information communicated? –What types of job groups are involved? Does this vary from unit to unit? How? –How does the communication about the technical feasibility happen?

25. Product Technical Feasibility Discussion (2) What? –What are your standard “pass” definitions? –Do you record negative decisions?

26. Product Business Issues price, archival needs, interface trajectory, vendor quality, branding capability, usage statistics, MARC record availability and price (if appropriate), instructional ports/accounts (if appropriate), OpenURL compliance, deep-linking capability, etc.

27. Product Business Issues Discussion (1) Who? –Who reviews the vendor and any attendant issues? Who weighs the business issues against each other? Who communicates concerns to vendor or asks for details from vendor? –What types of job groups are involved? Does this vary within different parts of the library? How? –How does the communication about the business issues happen?

28. Product Business Issues Discussion (2) What? –What are your “whats?” That is -- which business issues do you care about? –What do you record about the business issues? What happens when a desired feature is “coming soon”? –Do you record negative decisions? –What are your dealbreakers?

29. Product Information Gathering & Communication

30. Product Information Gathering & Communication Discussion (1) Who? –Who are the catalogers and service administrators? –Who are the contact people (externally and internally) for different aspects of the product? –Who’s responsible for recording what about the product? –What types of job groups are involved? Does this vary within the library? How? –How and when does the communication happen?

31. Product Information Gathering & Communication Discussion (2) What? –What administrative information will you record? –NOTE: There is a major part of the element recording that is license terms, but this is just one component of data that needs to get recorded about a product

32. Product Preparation for Public Use

33. Product Preparation for Public Use Discussion (1) Who? –Who activates or installs the product? Who customizes the interface? Who creates the instruction guides? Who announces and does PR? –Who catalogs? Who inserts in other public displays? –Who manages e-resource services? (e.g. proxy server manager, OpenURL resolver manager, broadcast search service manager) How? –How does the communication happen?

34. Product Preparation for Public Use Discussion (2) What? –What are the typical components of an instructions guide? –What public displays will this product be added to? –What are the standard interface design preferences? –What information is needed for special services (e.g. proxy)

35. Product Routine Maintenance troubleshooting and resolving problems, routine product changes from the vendor (such as URL revisions), revisions to public documentation, etc.

36. Product Routine Maintenance Discussion (1) Who? –Who is involved in troubleshooting? Who records (or processes) routine product changes? Who revises documentation? Who are the caretakers? Who knows what? –What types of job groups are involved? Does this vary within the library? How? –How does communication occur efficiently? –How are changes populated to all the right places?

37. Product Routine Maintenance Discussion (2) What? –Where are changes recorded? What changes are recorded? –How much needs to be communicated? What does not need to be communicated?

38. Product Renewal Processes

39. Product Renewal Processes Discussion (1) Who? –Who reviews the product? Who deals with license revisions? Who decides about interface changes? –What types of job groups are involved? Does this vary within the library? How? –How does communication occur efficiently? –How are updates or extensions recorded in all the right places?

40. Product Renewal Processes Discussion (2) What? –What pieces are part of a package renewal? What pricing model is in effect now? –What changes do we want to the pre-existing arrangement? What changes is the vendor asking for?

41. Product Expiration/Cancellation

42. Product Expiration/Cancellation Discussion (1) Who? –Who decides? Who deals with PR? Who “withdraws” from all public access points or edits closed holdings? Who removes from various service offerings? Who pays attention to archival rights? –What types of job groups are involved? Does this vary within the library? How? –How does communication occur efficiently? –How are revisions or deletions recorded in all the right places?

43. Product Expiration/Cancellation Discussion (2) What? –What history do you want to hang onto?

44. Does It Ever End? When a product no longer has a life in any form, then our work if finally considered done. This almost never happens.

45. DLF ERMI Completion http://www.diglib.org/pubs/dlfermi0408

46. DLF ERMI 2 Usage Statistics –SUSHI License Expression –Work with EdiTEUR Interoperability issues –Core elements

47. Future Assumptions (adapted from ACRL) There will be an increased emphasis on digitizing collections, preserving digital archives, and improving methods of data storage and retrieval. The skill set for librarians will continue to evolve in response to the needs and expectations of the changing populations that they serve. Patrons will increasingly demand faster and greater access to services. Debates about intellectual property will become increasingly common. The demand for technology related services will grow and require additional funding. Distance services will be an increasingly common option and will co-exist but not threaten the traditional bricks-and-mortar model. Free, public access to information stemming from publicly funded research will continue to grow. Privacy will continue to be an important issue in librarianship. What's to come, is still unsure … William Shakespeare. Twelfth Night, ACT II SCENE III.

48. Researcher's Use of Academic Libraries (April 2007) a sharp fall in the number of researchers who visit their institution's library regularly researchers use digital finding aids to locate both digital and print-based resources growth of collaborative and inter-disciplinary research teams And, as you journey on your ways Serves as a road-map in your chaise … George Keate. The Distressed Poet. 1787

49. Recap 1. Background and e-resource management functions with DLF ERMI history 2. The uses of the DLF ERMI report 3. An exercise in using the workflow piece 4. DLF ERMI 2 5. Maturing of the concept

50. Discussion and Questions kimberly.parker@yale.edu

51. Transforming Libraries 100+ years developing library practices in support of traditional formats and publications 15 years adjusting to transformed formats and communication trends Building on our strengths without becoming chained to the past (traditions as touchstones, not millstones) … teach us how to teach, that we may sow thy truth, broadcast, o'er all the fields below … John Critchley Prince, Miscellaneous Poems. “Address Spoken at a New Religious and Literary Institute, Ashton-under-Lyne.”

52. A Few Cautions Those who will not risk cannot win (John Paul Jones) Those who try to do everything, find they have done nothing well. You can please some of the people all of the time, and all of the people some of the time, but you cannot please all of the people all of the time (variant of Abraham Lincoln). Make not your thoughts your prisons … William Shakespeare. Antony and Cleopatra, ACT V SCENE II.