1	Collection Management of Electronic Resources in a Consortial Environment Arnold Hirshon Executive Director
2	About the Long Road We Are About to Trod There is a lot to cover Please stop me if: You can’t hear me You can’t understand me (language) You need more information (comprehension) You need a break Please participate! Don’t let me do all the talking! Let me know if I am not covering what you want to learn about! You will learn more if you ask questions, supply examples, and respond to my questions!
3	Documents Available Copies of PowerPoint slides In print Electronically Bibliography Collection Management Plan Outline Format to help you prepare your own plan 14 pages Available electronically
4	Agenda Caveats Concepts and terminology Scope: what is collection management? Understanding today’s information environment Approaches to collection management: strategic, tactical, opportunistic Organizational factors affecting consortial collection management Collection management contexts: (institutional vs. consortial, print vs. e-resources, commercial vs. non-commercial resources) The collection management planning process Some final considerations: technology and marketing
5	Largely Not on the Agenda E-resource statistical analysis Separate workshop in association with General Assembly in October 2003 Licensing and legal issues Fred will discuss
6	General Caveats Different countries may use different terms, or have different cultures or laws Not a question of “right or wrong” Must be sensitive to differences and understand them Publishers may have different perspectives given their point of origin May or may not be able to negotiate given those perspectives We will concentrate on “consortial” collection management, not “institutional” management Will discuss differences in more detail later
7	General Caveats We will emphasize commercial e-resources (not locally produced resources or institutional repositories) There are no “absolute” rules E.g., some rules may apply to some types of resources but not others This is still a period of transition between print and electronic There are not necessarily any clear-cut answers There are no easy answers or “cookie cutter” approaches
8	Collection Management: Concepts and Terminology
9	Scope: What is Collection Management? A strategy and process for deciding what to purchase Setting of mission, goals and objectives A method for selecting materials for purchase Budget and funding strategies Evaluation of what to select or retain based upon Value Usage Cost effectiveness Support of organizational mission Quality of access Assessment of if and how selected materials are used User input and feedback Marketing strategies
10	Scope: What is the Difference?
11	Scope: Types of Electronic Resources Formats and types of publications A&I E-journals E-books Discovery tools and e-reference Static Images Sounds (streaming) Video (streaming)
12	Other Terminology Content E-Resources Licensing A&I services Material formats Consortia Country consortium Regional or local consortium Individual (or local) institution Technology Local library system Consortial library system Linking Federated searching Serials management software
13	Consortium Collection Management: Understanding Today’s Information Environment
14	Changing Times:
15	Changing Times: Today
16	Information Industry Transitions
17	Mergers & Acquisitions Approved Thompson purchase of West Publishing (1996) Not Approved Reed Elsevier and Kluwer (1998), BUT…
18	Merger Mania: Reed Elsevier
19	Merger Mania: Kluwer
20	Information Industry Transitions
21	Approaches to Collection Management: Strategic, Tactical & Opportunistic
22	Strategic E-Collection Management
23	Tactical E-Collection Management
24	Opportunistic E-Collection Management
25	Which Approach is Best?
26	Organizational Factors Affecting Consortial Collection Management
27	Consortium Model: Taxonomy
28	Library and Consortial Relationships and Services
29	Taxonomy Matrix: Exploit Your Core Strengths for Collection Management
30	Collection Management Contexts: - Institutional vs. Consortial - Print vs. Electronic Resources - Commercial vs. Non-Commercial
31	Context: Single Institution vs. Consortium Development Single institution Concentrate on building a collection customized to the need of particular institution Consortium Must consider and compromise among competing needs of consortium members May or may not have a “core collection” Publisher and vendor negotiation is more complicated
32	Print vs. E-Resource Management Ways in which they are the same Need a collection management policy and plan Need funding to make purchases Evaluation of resources Put purchases (or deselection of items) into a priority order Monitor usage Renew (serials) or expand purchases (one-time or monographic)
33	Print vs. E-Resource Management
34	Print vs. E-Resource Management For many libraries, e-resources are rapidly becoming the norm, and print resources almost the exception Key factors of more importance today Timeliness Breadth and depth of content Interface functionality Levels and extent of access Ability to create a complete collection quickly
35	Commercial vs. Non-Commercial E-Resources Commercial Materials purchased from sources outside of the institution or consortium Commercial publishers (e.g., Elsevier) Non-commercial Digitized locally held materially “Alternative publishers” (SPARC, etc.) “Free” resources Open Access Initiative materials
36	Collection Management: The Planning Process
37	Consortium Collection Management Plans Plans may vary Must be based upon the nature of the consortium Purpose of the Plan To help the consortium predict and cope with higher user expectations, rapid change, and competitive pressures Essential elements of a plan General needs of the consortium (e.g., common academic programs to be supported) Assess current collection strengths and weaknesses Outline user needs Develop a collection development policy, e.g., Establish what types of materials will or will not be collected Establish the funding priority for each collection area
38	Planning Process Steps: Overview Setting the Stage Identify the decision-making group Engage in general education of the decision group Develop selection evaluation criteria Create a consortium collection development policy Establish the consortium budget for purchasing Develop effective communications mechanisms
39	Collection Management Process Steps for Consortia: 1 Identify decision group Knowledge Flexibility Collaborativeness Engage in general education of the decision group Licensing issues Best practices Statistical analysis
40	Selection Evaluation Criteria
41	Process for Developing Selection Criteria SWOT Gap analysis of consortial collection strengths, weaknesses, opportunities, and threats Survey users Benchmark Compare to “peer” organizations
42	General Evaluation Criteria
43	General Evaluation Criteria Trials What did the trial tell us about the product? Note: trials usually last weeks, not months Note: don’t do a trial if you aren’t serious about a potential purchase Audience What is the target audience or potential users (e.g., faculty, students, general community)? Does the product intended to meet the needs of a broad audience, or is it a “niche” product? For niche products, is there a strong secondary clientele?
44	General Selection Criteria: Access Strategies Web-based resources Readily available Does not require local technology expertise to implement Local loading Local search engine, interface, and statistics puts some of the bargaining power back in the hands of libraries addresses strategic archiving issues gains control over the number and functioning of user interfaces provides customized and normalized statistical usage measurements
45	Selection Criteria – 1
46	Selection Criteria – 2
47	Selection Criteria - 3
48	Selection Criteria - 4
49	Selection Criteria - 5 User Support Is there adequate documentation for librarians and for users? Does the product require any special staff training needs? If so, will the publisher/vendor provide the training? Cost Is the price fair relative to the competition? Is there sufficient room to negotiate the price? (Consider consortium overhead costs!) Licensing and Business Arrangements Are all terms and conditions acceptable?
50	Consortium Selection Criteria
51	Special Selection Issues: Abstracting & Indexing (A&I) Services Redundancy of coverage E.g., Proquest and EBSCO: how to avoid paying for the same thing twice New tools are available for analyzing redundant content (e.g., Gold Mine) Determine which resources are indexed Determine which resources include full text Determine if full text is complete (e.g., all images)
52	Special Selection Issues: E-Journals Types of E-journals General Aggregator (e.g., EBSCO, Proquest, Ovid) Proprietary Single publisher, e.g., Elsevier ScienceDirect) Usually large commercial publishers Small publisher aggregators (e.g, HighWire, Muse) Alternative publishers Not-for-profit publishers (e.g., ACS, APA, Science) Can be more difficult to deal with than commercial publishers
53	Special Selection Issues: E-Journals Advantages over print Distributed access: anytime, anyplace, anywhere Unlimited simultaneous use Timeliness of content Quick searching Live cross-linking Ability to download and/or print Usually at least as complete as print counterpart May have supplementary materials not in print version No shelf space required Reduced claiming necessary
54	Special Selection Issues: E-Journals Disadvantages compared to print Not always complete “Missing issues” can be hard to identify E-only web-based services lack a live archive if consortium discontinues subscription Impact Factors Premium placed on journals with highest “impact factor” (ISI most cited journals) Faculty want to publish in high impact journals
55	Special Selection Issues: E-Journal Serials Management Article-level links within a single service PubMed's LinkOut, Silverplatter Silverlinker, ISI Web of Science, OCLC Electronic Collections Online, Cambridge Scientific, EBSCO, etc. Limitations: may offer links only to content from publishers with which these companies have agreements, or that a library accesses within a specific service Cross-Ref A publisher industry initiative to enable article linkages across participating publishers
56	Special Selection Issues: E-Journal Serials Management
57	Special Selection Issues: E-Books Types of e-books General, e.g., netLibrary or ebrary Specialized, e.g., Books 24X7, Knovel Advantages over print Timeliness Always available Cannot be multilated or stolen No space required Disadvantages compared to print Not generally amenable for reading an entire book Technology limits (e.g., no good CD-ROM products) Some limits based upon purchasing model
58	Special Selection Issues: E-Books Options for purchasing e-books Shared versus institutionally-unique collections One user at a time (with loan periods) versus unlimited access User-driven collection management Type of books: general monographs, scholarly texts/university press, e-reference, etc. Timeliness of the collection Depth of coverage Subject coverage Reader equipment capabilities and requirements Printing and downloading allowances Availability of cataloging records
59	Special Selection Issues: De-selecting E-Resources Drivers for de-selection A bad economy Availability of statistical data on actual use Changing publisher pricing A response to the changes in the “Big Deal“ High-cost packages of e-journals from for-profit publishers May provide added content to all consortium members Problem: “electronic only” subscriptions Publishers are attempting to force libraries to surrender their ability to negotiate terms when they enter such agreements No archival backup
60	Special Selection Issues: Effective De-selection Gathered cost-per-use data Do not just cancel expensive items just because they are easy targets Explore whether a valued resource is now available from another vendor at a lower cost Use the competition, especially in the aggregator databases, to maximize opportunities
61	Most Significant Consortium Selection Criteria Does resource meet the needs of all member libraries? Is there an agreement on the purchase priority? Are institutions willing to share in the cost?
62	Creating the Consortium Collection Development Policy
63	Create a Consortium Collection Development Policy Caveats General scope of policies Best practices Typical policy issues for e-resources
64	Collection Policy: Caveats Part of a whole An “e-resource collection management policy” should be a subset of the general collection policy Consortium policies differ from an individual library policies Will the consortium purchase resources for the entire group? Will individual institutions have the opportunity to opt-in or opt-out of each offer separately?
65	General Scope of Collection Development Policies General/Institutional Organizational mission, vision, goals Analyze user needs Locus of responsibility for resource selection Levels of collection strengths and collecting intensity Limitations (language, geography, form, etc.) Detailed policies by subject Special Consortial Issues Cooperative relationships among members Resource collection areas Types of materials (e.g., A&I, e-ref, e-journals) Subject collection areas Balancing special needs (e.g., small public libraries and research universities)
66	Collection Policy Best Practices The reality Many individual institutions have written policies Few consortia have written policies Often “chaos-management” i.e., selection by opportunity and look backward to see the pattern Share Plans with Stakeholders Consortium members, to ensure that the policy is complete and accurate There is “buy-in” and general agreement User community (e.g., university faculty)
67	E-Resource Policy Creation: Principles Licensing Who is negotiating the license (institution or consortium)? What are the key terms and conditions (other than price)? Fair Use What are the limits of the allowance? Analysis What quantitative information does the publisher or vendor supply? How will consortial statistical analysis differ from institutional analysis? Archiving How will long-term access be guaranteed when the vendor controls both content and the means of access?
68	Example: NERL E-Journal Licensing Principles Flexibility for libraries to cancel subscriptions Publisher allowed only graduated price adjustments Future contracts must incorporate provisions of previous contracts Price controls: allow only 5% each year Must provide early termination clauses in multiyear contracts Uninterrupted access to licensed materials (no downtime) Subscription agents may manage print or e-subscriptions Perpetual and archival rights for subscribed years of content, regardless of mergers, insolvency, or transfers of ownership Allowed to use licensed content to fulfill interlibrary loans Cross access allowed to titles owned by other member libraries for a nominal fee Offer to consortium must be better than to individual libraries
69	E-Resource Policy Creation: Other Typical Issues Non-Content Costs What is the cost to acquire and process resources? What are the technology costs to provide access (e.g., network requirements, local portal interface, workstations, bandwidth)? User Support Are the resources intuitive and require no instruction? Should we teach users how to use e-resources? How does support change if the library employs virtual reference to support virtual resources? Scholarly Publishing How does the resource advance or hinder the development of alternative services?
70	Funding and Purchasing Models
71	Establish the Consortium Budget for Purchasing Understand the funding models Understand the e-resource pricing models Understand cost sharing and recovery strategies
72	Funding/Purchase Model 1:
73	Funding/Purchase 1: Buying Club Model
74	Funding/Purchase Model 2: Central Funding
75	Funding/Purchase 2:
76	Central Funding & Consortial Relations:
77	Central Funding & Consortial Relations: Sometimes Institutional and Consortium Collection Goals Are Independent
78	Funding/Purchase Model 3:
79	Funding/Purchase Option 3:
80	E-Resource Pricing Methods Single (one-time) purchase Unlimited access anticipated use size of consortium (e.g., FTE) Limited access Simultaneous users Per transaction (“pay per view”) Per subscription (e-journals) Per-item or collection (e-books, e-reference)
81	E-Resource Pricing Options - 1
82	E-Resource Pricing Options - 2
83	E-Resource Pricing Options - 3
84	E-Resource Pricing Options - 4
85	Cost Sharing Models
86	Cost Sharing Models
87	Funding: Consortium Cost-Sharing Strategies Size of institution (e.g., based upon FTE count) Actual usage (e.g., based upon the previous year’s activity) Ability to pay (e.g., based upon each member’s annual expenditures for library materials) Equal-share (e.g., each pays an identical amount regardless of budget or size)
88	Develop Effective Communications Mechanisms Establish electronic listservs Create and maintain a working group web site Hold meetings or conference calls (if practical to do so) Create surveys (including web-based surveys)
89	Identify Specific E-Resources for Potential Purchase
90	Determine Purchase Priorities Generate rank-ordered lists of resources for further consideration Schedule vendor demonstrations and free trials Generate an action plan and timetable for each resource that is to be pursued
91	Establish a Database of Membership Profiles Create and continuously update a database of your member institution profile, e.g., IP address ranges user population size subject interests and expertise current e-resources offered institutional contact information
92	Negotiate E-Resource Agreements Identify target price for the product Know the pricing variables
93	Pricing Variables: E-Journals Print subscription basis (note: for countries in transition with few print subscriptions this may not a meaningful variable) Electronic access fee (based upon print subscription base or if subscription is e-only) Cancellation allowances Consortial cross access to titles held within the group for non-subscribed titles Resource sharing & downloading provisions Multi-year cost increase (inflation) factor Try to predict so you don’t subscribe for a year and not be able to purchase later For countries in transition: Publisher willingness to subsidize access
94	Generate Orders Collect subscriber information Handle all invoicing and billing Provide support to members concerning terms of the agreement
95	Product Training and Support
96	Analysis: Assessing E-Resource Effectiveness
97	Consortial Collection Assessment Tools
98	Assessment: Statistics
99	Assessment Statistics: Examples Cost per capita How does cost per person compare to that of circulated print materials? Cost per unit printed or downloaded? Is it going up or down? What is the relative unit cost for different types of products? What would cost be if each library subscribed separately to each e-journal?
100	Example: Unit Cost Based Upon Print Subscription Cost Findings Georgia: spent only $10,000 for it’s annual EBSCO service subscription through eIFL Total cost if subscribed to all print journals from which electronic fulltext was viewed: $116,033 Per article cost to view full-text if purchased a subscription: $63.30 Total cost for print subscriptions with fulltext or abstract viewed: $224,411 If all articles viewed were purchased through commercial document delivery (@ $22/article): $40,326 (out-of-pocket expense only)
101	Some Final Considerations
102	Technology Requirements for E-Access: Overview Bandwidth Authentication Workstations Remote access Software System integration Usage data output Preservation and Archiving Specific issues Cataloging of E-Resources Portal Development Linking and Serials Management
103	Technology: Cataloging E-Resources Source of cataloging records Batch loading Authority control Loading into local systems Batch de-selection of materials and cataloging records Consortium union catalog access
104	Technology: Portal Development Portal components: the search interface (or presentation) format, including a system to enable federated searching the content that is accessible through the portal the technology infrastructure to support the interface functions Value of portal Use of specific resources can increase based upon gateway placement and visibility Consortium role Does the consortium need to provide a portal? What role should the local online catalog or the consortium union catalog play? Should the portal provide broadcast search functions? Federated searching?
105	Marketing Consortial Resources
106	Marketing E-Resources
107	Marketing E-Resources
108	Bibliography: Additional Items NERL Principles for Electronic Journal Licenses (June 12, 2003) http://www.library.yale.edu/NERLpublic/EJrnlPrinciples.html Brainard, Jeffrey. “Lawmaker Introduces Bill to Make Research Papers Freely Available.” Chronicle of Higher Education (June 27, 2003)
109	Questions?