1. DDA Program: UCSD vs. UC General Collection
Shi Deng on behalf of
Harold Colson, Deborah Kegel
Gayle Seibert, Cindy Geraldo, Peter Rolla
Adolfo R. Tarango, Donal O’Sullivan, Kate Garvey-Clasby
UC San Diego Library for
CEAL Workshop on NISO DDA and KBART, March 24, 2015
Thanks to Bie-Hwa and CEAL ERMB TF for the opportunity to share UC and UCSD DDA programs for general collection. Thanks also to my colleagues listed here. They are the key players at UCSD on DDA programs. They provided rich information for my presentation today. However, within 7 minutes, I will try to give a very brief summary and try to answer questions at the Q&A session.

2. DDA Programs: UCSD Gen. Coll. Background/Introduction
UCSD DDA Programs
Library goal: Make more titles available for discovery without purchase, only purchase when needed
Three DDA programs in place, one more coming
Commercial aggregators via YBP except for DDA4
Profile: Mirror library approval plan profile except for DDA4
Consideration pool file update
New title file provided weekly by aggregators via YBP or OCLC
Delete file monthly only by one DDA program
UCSD
DDA 1
DDA 2
DDA 3
DDA 4
Start Date
2011-
2012-
2015-
Consideration Pool (as of 3/3/2015)
15, 211
19,012
2,874
26,000
Triggers
3 STLs + mediated
3 STLs + auto-buy
4-6 STLs + auto-buy
UCSD has 4 DDA Programs, three of them started in 2011 & 2012 while the 4th one is just about to start; Discoverability is our goal
The first three DDA programs have profiles that mirror library approval plan profile, titles and MARC files provided by commercial aggregators via YBP and added weekly. For the new DDA program, will take everything provided by an academic aggregator, MARC records will be added from OCLC KB. We are very excited about the new program, because that is where most our users are for access information.
Note: Not all publishers via DDA programs allow STLs, so some are triggered by first meaningful use that past free discovery terms.

3. DDA Programs: UC Gen. Coll. Background/Introduction
UC Consortia DDA Pilot Programs (CDL DDA)
Library goal:  Maximize investments in digital content that enrich the system wide library collection, accelerate the transition to a primarily digital environment, and optimize the use of physical library space
Two DDA pilot programs in place
Consideration pool file update
New title file weekly, add holdings to OCLC records
No delete file, identified title by title
CDL
DDA 1
DDA 2 (EBA)
Start Date
Consortia
9 campuses
7 campuses
Consideration Pool
(as of 3/13/2015)
3,158
2014: 585
2015: 90+
Triggers
3 STLs + auto-buy
n/a
Multiplier
3 or 4
2.5
Profile
From Univ. Press titles on Arts, Humanities and Social Sciences
From one publisher on Engineering
Both are pilot programs on three year term. Maximize investment in digital contents across system is the goal.
One program use STL+auto purchase while the other use Evidence-Based Acquisition (EBA)
There are two differences between UC and UCSD programs:
Program profile: while UCSD are comprehensive, UC programs on focused. DDA 1 is from university press titles on arts, humanities, and social science, and DDA 2 is from one publisher on Engineering
MARC records: CDL get records from OCLC and attach holdings while UCSD load records without adding holdings to OCLC, because CDL wants DDA records discoverable through Melvyl, our shared catalog which we use OCLC WorldCat Local

4. DDA Programs: Models Three STLs + Mediated purchase: UCSD DDA 1
Free discovery: Browse up to 10 min. or 10 unique pages in single session, free access to front/back matter (first or last 5% of the book)
STLs: More than 10 min. or 10 pages; print/copy/download one or more page; cost: 10-15% or more
Three STLs + Auto-purchase: UCSD DDA 2-3, CDL DDA 1
Same as the above for free discovery and STLs
Four-Six STLs + Auto-purchase: UCSD DDA 4
STLs: 4 chapters download or 6 chapters viewed and NO COST
Evidence-Based Acquisitions: CDL DDA 2
Pledge to spend a certain amount by the end of year
Titles didn’t get purchased are removed at the end except some being included in the next year package
UCSD Cascading preference among existing three DDA programs
Post-purchase: Single User Purchase Option (default), or optional unlimited or three concurrent users
Among the models used, most are combination of STLs and purchase, either mediated or auto, except one use EBA
I want to point out that for our 4th DDA program, the terms for STLs are very generous in comparison to the STLs used in other programs, 4 chapters download or 6 chapters viewed, and no cost. We are very excited and look forward to monitoring how this program will be used
I also want to point out that for the first UCSD 3 DDA programs, we use cascading preference
For post-purchase terms: single user purchase option is default, we also have options of unlimited access or three concurrent users, it varies by publisher within a program
Note: 24 hours rule for STLs. No other short-term loans for that book can be triggered during the 24-hour period;
Post-purchase: SUPO (single user purchase option): some publisher allow full title downloads (7-day checkout); 60 page total printing/PDF downloading/copying permitted per user session (no login required); Download chapters or up to 60 pages in standard, non-DRM PDF format (login to account required), etc.

5. DDA Programs Workflow UCSD Workflow managed mostly by Acquisitions
Upload file weekly, MARC records provided
Monitor/initiate purchase and pay invoice
Catalog purchased titles
Troubleshoot any problems
Delete records manually and/or report to vendor
CDL Workflow (varies)
Catalogers login on content providers’ website to retrieve add title list weekly, search OCLC to download records and add holdings
Acquisitions specialist monitors purchase and pay invoice
Bibliographers in DDA TF collect, process and analyze usage data provided by content providers
UCSD workflow managed mostly by acquisitions staff
For cataloging, I want to point out that UCSD load records vendor provided, so save staff time on cataloging, while CDL/Shared Cataloging Program get records from OCLC and add holdings so title can be discovered from both local and shared catalog
Bibliographers, for CDL are bibliographers in DDA TF, collect, process, and analyze usage data provided by content providers

6. DDA Programs: What works?
UCSD:
Free discovery/access to a larger pool of titles
Work with one vendor for three DDA programs
MARC records provided regularly by vendors
Vendor has a designated person to facilitate troubleshooting
Library has access to all history records
Library can add title(s) outside profile
CDL:
Getting larger set of new materials from publishers, evidence of large portion were used
Making titles available across system that each campus may not get
Option of not purchasing some titles being used (EBA DDA)
For overlapping titles, auto-purchase is triggered at system level
Both content provider and vendor are very collaborative when setting up the programs
Discovery records are generally in good quality
UCSD:
Free discovery/access to a larger pool of titles regardless the financial aspect;
Manage three DDA programs via one vendor, very effective and efficient
CDL:
Getting larger set of new materials with evidence of large portion were used,
Making titles available across system that each campus may not get
Option of not purchasing some titles being used (EBA DDA)
For both UC and UCSD,
Content providers and vendor are very collaborative
Discovery records, although varies by programs, are generally in good quality

7. DDA Programs: What improvements are needed?
Control the cost increase of STLs
Modify the number of STLs for trigger
Alternative models: E-approval for certain subject areas
Models that build STLs cost into purchase cost
Usage statistics (CDL EBA)
Difficult to analyze incomplete data within given deadline
Usage data are cumulative and consortia members’ usage data on separate files
Understand the rules when they are not spelled out (CDL EBA)
List price increased without notice
If title purchased overlapping with what CDL has in other subscribed package, who gets the credit?
The availability of discovery records need to be in sync with titles added to the pool (both CDL DDA programs)
Cost increasing for STLs (10% goes up to 30% or more), a TF formed to look into it by evaluating and investigating on model being used and reviewing usage data, especially for science books, as they cost more; some possible ideas: may reduce number of STLs before purchase; may look into e-book approval plan for certain subject area, from cost saving perspective...
Another improvement: would like to see in a model that it offers to make fee for STLs a part of book cost or at least at some degree when a book triggered to be purchased … ….

8. UC Consortial DDAs for East Asian Collections
Bie-hwa Ma on behalf of
Ying Zhang, UC Irvine
Toshie Marra, UC Berkeley
Adolfo Tarango, UC San Diego
CEAL Workshop on NISO DDA and KBART, March 24, 2015
Disclaimer:
-As I am not the person doing all of the work and will try my best answering your questions. If something goes beyond what I know, I would pas it to the UC colleagues who are responsible for the programs.
-Like Shi did, I would highlight what I think most important only and will leave more time for your questions during Q&A session.
-our purpose is to encourage more experience changes w/o intentions of evaluating each program by the models, vendors, or libraries as how to constantly collectively evaluate the program with vendors is the key to the success of programs.

9. Consortial DDA Pilots Background/Introduction
East Asian 1 (6 campuses)
East Asian 2 (9 campuses)
Library Goal
Just-in-Need acquisition; resolve space problem; reduce cost
Timely provide user-selected EA language e-books across campuses
Start Date
Aug
Feb
Consideration Pool
1237 (as of 3/25/2015)
1844 (as of 3/25/2015)
Update frequency
Bimonthly
Semiannually
DDA records Deletion (in general)
5-year old DDA records
No plan to remove DDA records until program ends
Profile
Certain publishers, certain subjects; publication date
The scope of that specific area studies; price under a preset cap
Triggers for purchase
download using after login with user-created ID and password
a) View 10 minutes or b) 10 pages of full text in one book or, c) print, save, or copy any portion of e-book full text
Type of vendor
Asian commercial aggregator
American commercial aggregator
Load DDA Records
MARC records from vendor
MARC records from OCLC
For the coming slides, I will be talking about two consortial DDA programs for two individual language collections, East Asian 1 and East Asian 2, (I’ll call them EA1 and EA2). As most of the info in this table is self-explanatory in this slide, I would just mention three points.
1st, library goal: EA1’ goal is to transition from jut-in-need acquisition instead of just-in-case type of acquisition; while EA2 primarily want to Timely provide user-selected EA language e-books across campuses.
2nd, DDA records deletion: EA1 would remove the 5-year-old DDA records from time to time. For example, the records loaded in March 2015 will be removed in March 2020 if the titles are not purchased. However, EA2 does not have this limitation, the only time to remove the records is when titles are withdrawn from the database for any reason.
3rd, Trigger for purchase: EA1’s only trigger is downloading any portion of a bood with a vendor assigned ID and password via application. EA2’s trigger is one of the following three actions listed here.

10. DDA Programs: Models East Asian 1 (6 campuses)
*The sale price for each book = this number times the list price; This multiplier may be but not necessarily the same as the no. of simultaneous users.
East Asian 1 (6 campuses)
East Asian 2 (9 campuses)
Free discovery
Unlimited Free discovery
Free access up to 9 unique pages or shorter than 10 min. in the same book
Purchase
Auto purchase by preset triggers, and
EBA - Based on usage, librarians make selection with the remaining balance on the pledged amount by the end of the contract year
Auto purchase by preset triggers
Consortial aspect
A multiplier of 2 (2 simultaneous users)
A multiplier of 1 (1 simultaneous user, another option; 2 for 3 users)
The top two rows describe different models used in terms of free discovery and purchase, two of the major components in DDA programs. The evidence Based Acquisition used by EA1 is a spare model in case the triggered purchases cannot spend the pledged amount of money by the end of DDA period.
Both DDA programs use multiplier as the consotial model which allows the consortium members to share e-books with a pre-set number of simultaneous users and the agreed-upon number of multiplier. Note that the consortial price for each e-book = the multiplier times the list price. For example, if the listing price of an e-book from EA1 is $25, the consortial price in EA1 would be $50 for 2 simultaneous users.

11. DDA Programs Workflow East Asian 1 East Asian 2 License DDA programs
Lead by a librarian, assisted by local e-resource librarian and colleagues from campuses; MARC requirements attached
Lead by a librarian, assisted by CDL
Select consideration pool
Librarian reviews title list from vendor according to the profile
Librarian reviews and deselects unwanted subjects and resources
Load/Remove DDA records
Currently vendors records loaded to local OPACs by Shared Cataloging Program (SCP), existing consortial cataloging unit, who has set up a mechanism to remove 5-year-old records
Vendor-provided OCLC records loaded directly to local OPACs by SCP; records viewable in WorldCat; records will stay till the end of program
Monitor expenses, pay invoice
bimonthly vendor report on new purchase and usages; predetermined overspent cushion; preset cap of expenses; CDL-coordinated payment
Weekly vendor report on new purchase and usages; vendor notification of low deposit level; CDL-coordinated payment
Catalog purchased titles
SCP delete vendor DDA records; and then catalog purchase titles like any other e-resources
SCP update DDA records from OCLC to regular records for purchased titles
Here are the similar workflow in terms of licensing, selecting considerations pool, loading/removing records, monitoring expenses, paying invoice, and cataloging purchased titles. Most of them are similar except for the workflow in loading/removing records and cataloging purchased titles. The major difference were MARC records, vendor-provided records vs. OCLC records.
East Asian 1
- Lead by a librarian, assisted by local e-resource librarian, EA bibliographers and technical serivices representatives, MARC requirement attached
- Librarian reviews automatically generated title list from vendor and deselects subjects and publishers not included in the profile
- Vendors records loaded to local OPACs by vendor in the first few months, but by Shared Cataloging Program (SCP) now; each record is assigned a unique vendor identifier and a title hook for easy removal of 5-year old DDA records
- Monthly vendor report on new purchase and usages; allow a predetermined overspent cushion; preset cap of expenses; CDL coordinates payment procedure
- SCP delete vendor DDA records; and then catalog purchase titles as other e-resources
East Asian 2
- assisted and approved by CDL
- Lead by a librarian, librarian reviews and deselects unwanted subjects and resources such as science and those too expensive
- Vendor-provided OCLC records loaded directly to local OPACs by SCP; records viewable in WorldCat
- Weekly vendor report on new purchase and usages; vendor notification when the deposit reaches below 10% of its initial deposit; CDL coordinated payment procedure
- SCP update DDA records from OCLC to regular records for purchased titles

12. DDA Programs: What works?
East Asian 1
Careful plan of PDA profile
Close collaboration among librarian, TS representatives, and vendor
Test and retest in early stage (MARC, content, interface)
Ongoing reviewing and monitoring
Standardization (file name, record generation/loading procedure…), most responsibilities transitioned to SCP as a result of issues from vendor’s workflow
East Asian 2
Platform works well for users across campuses
Leverage existing service across UC consortia (SCP) for DDA Records management saved tremendous time negotiating, testing, and troubleshooting
OCLC MARC records loaded by UC wide Shared Cataloging Unit eliminates incompatibility problems as well as provide access via WorldCat Local
What work for EA1 are the careful plan of PDA profile, close collaboration among stakeholders, many tests, standardization, and existing consortial acquisition and cataloging services.
What wok for EA2 are the vendor’s platform, existing consortial services, and OCLC records for displayed in both local OPAC as well as the UC’s new discovery platform, WorldCat Local.

13. DDA Programs: What improvements are needed?
EA1
Vendor was not on the same page technology wise
Had to compromise between what you want and what you get (# of copies)
May have to include print version contents as not all print books have equivalent e-books and a delay from P to E
Still early stage pilot, not sure whether where will be a saving or overspending, etc.
Need OCLC # in MARC records
EA 2
Multiple East Asian language e-books suppliers/vendors with ability of providing MARC records and DDA programs
For EA1, vendors’ making complicated models available and easily adjusted, inclusion of print version, assessment against the goal of saving money, and provision of OCLC records are next-step tasks. For EA2, there are needs for licensing with more vendors that provide DDA programs and MARC records.

14. NISO DDA Recommendations: Reality check
In general, UCSD and UC DDA programs are in compliance with NISO recommendations
In certain areas, we have gained experience and improved the DDA programs over time
NISO Recommendation
UCSD
CDL (Gen. Coll.)
CDL EA 1
CDL EA 2
Est. Goals
Discoverability √
Choosing content to make available
Yes √
Choosing DDA models
STL + Auto-purchase
STL + Mediated-purchase
EBA
Auto-purchase
Profiling
Load records
Weekly/vendor records
Weekly/OCLC records
vendor
OCLC
Removing contents
Title no longer available
or monthly delete file
Title no longer available or out of EBA profile
5 year-old record
Assessment
Yes, in process √
Preservation
N/A
Consortial DDA
Multiplier model √
Choosing contents (p ): looking at if met the established goal; determine whether to include print DDA (availability, not all titles have e-book); number of aggregators/vendors and number of DDA programs, (more comprehensive, need more aggregators/suppliers, or print); how to set up profiles: different suppliers with different focus, or comprehensive, etc.
Profiling (p. 33): What’s goal for profiling? Do you have a good size of pool for discovery? Coverage: whether to include non-core subjects broader than the institution’s need; Do you want provide retrospective coverage? Yes, how far back? Do you allow overlap between e-books and print collection?
Load records (p. 33): do you load regularly, as soon after receipt as possible? do you load records into as many discovery tools as is feasible? Do your code records for easy suppression or removal? Enrich metadata to increase discoverability
Removing contents: remove records from all discovery tools as soon as is feasible, often by using a supplier’s delete file; establish a regular cycle for removal of records from the pool, maintain a record for titels removed to be used for assessment purposes
Assessment: Overall effectiveness, cost reduction, usage, predicting future spending, managing the consideration pool
Preservation: working with publishers to make library un-owned content accessible to users far into future, probably through third party solutions such as Portico or LOCKSS
Consortial DDA: determine which model to use: multiplier, limited use, or buying club
Public library DDA: not listed here

15. Thank You! Shi Deng sdeng@ucsd.edu Bie-Hwa Ma bcma@ucsd.edu