Carpenter "Working Together and Working More Efficiently"

Working Together and
Working More Efficiently:
Issues at the Forefront of
Library Standards
Todd A. Carpenter, Executive Director
National Information Standards Organization (NISO)
Fedlink Spring Expo – May 12, 2021

How do you purchase content,
then connect your users
to the content they need,
while effectively
managing your resources?
Now, that’ better, isn’t it?

2021 FEDLINK Spring Expo 2
Join me on a short journey

April 28, 1999…

April 28, 1999… muse.jhu.edu
NB: Thanks to the Internet Archive for this window
into our past.

1999 Library Tech Trends

The 1999 LITA Tech Trends discussion group
included Karen Coyle , Walt Crawford , Pat
Earnest , Elizabeth Lane Lawley , Clifford
Lynch , Roy Tennant , Carol Tenopir , Joan
Frye Williams , Tom Wilson , and Milton Wolf

1999 LITA Top Technology Trends
Trend #1: Customization and Personalization
Trend #2: Evaluation of Internet Sources
Trend #3: Human Factors
Trend #4: Co-opt Existing Technologies
Trend #5: Home Scholar
Trend #6: Authentication and Rights Management
Trend #7: Submerging Technologies

Trend #1: Customization and Personalization
“Library users who are Web users, a growing group,
expect customization, interactivity, and customer support.
Approaches that are library-focused instead of user-
focused will be increasingly irrelevant.“

Trend #2: Evaluation of Internet Sources
“In dealing with electronic information resources, what
librarians bring to the table is evaluative guidance.
Comprehensive lists and catalogs aren't possible anymore
(if they ever were!), but librarians can help the overloaded
information user by selecting, evaluating, and adapting
features such as ‘people who liked this book also liked*.’”

Trend #4: Co-opt Existing Technologies
“Why reinvent the wheel? Co-opt existing technologies
that haven't been used in libraries and take advantage of
cooperative efforts in information access. Libraries can
afford less and less wasteful inefficiency and duplication
of effort. You can't catalog the Web yourself; instead, tune
in to OCLC's Project CORC or the ISAAC Network .”

Trend #6: Authentication and Rights Management
“The World Wide Web allows more access by more
people to more connected information than ever before in
history, but documents and identities are also more
malleable than ever before. Libraries are going to have an
increasing interest in verifying that you are who you say
you are, you do have the right to access this resource, and
the resources you are receiving are authentic.”

Yet Library Systems Haven’t Kept Pace

Library content has changed

Library services have changed

Library Systems… Haven’t Changed
User Interface WEB
Staff Interface
OPAC
Acquisitions
E-Resource
Management
Catalog
Circulation
Discovery
Service
Link
Resolver

Incremental Improvements Have Occurred
This isn’t to say the library systems vendors haven’t
made incremental improvements.
Software as as Service / Cloud Integration
Linked Data Applications
Standards improvement (KBART/ODI/RDA)
17

2021 FEDLINK Spring Expo
Realistically are library
systems serving this
new environment?
18

Do these systems effectively support:
Open Access
Cooperative Collections
How content is packaged and linked
19

Ways that trends in open access cause
problems in existing library systems
In discovery:
Discovery systems are journal focused rather than object focused
Catalogs only include items the library has subscribed to, but not all the world’s open access content
DOAJ catalogs only fully-OA titles, not all titles with hybrid content.
In order processing:
Are libraries paying for things they can get for free?
In transformative agreements, are article processing charges (APCs) connected to library systems?
Subscribe to open deals are not managed to or connected to the ILS
In reporting:
Reporting Open Access usage was never a concern because it doesn’t tie to institutional spending. With
transformative agreements it now does.
When describing library usage, what role does facilitating access to OA content play?

DOAJ is Not a Window to All of OA content
• Many libraries use the Directory of Open Access Journals as a
filter for including Open Access content in their catalog.
• However, OA is much broader than DOAJ
• DOAJ criteria for inclusion includes
– Only OA journals – Not any hybrids
– DOAJ definition of OA includes only “journals where the copyright
holder of a scholarly work grants usage rights to others using an open
license”
– Only journals with no embargo periods
– Journal must include OA statement in compliance with DOAJ policies

Open Access role in Acquisitions
• At what point, does it make sense to no longer maintain a
subscription because a majority of the content is OA?
• Should packages include titles which are majority OA content?
• How do you track OA expansion in subscribed titles and
thereby reduce your spending?

Open Access – Transformative Agreements
• Several institutions are exploring transformative agreements /
read & publish / subscribe to open (S2O) with publishers.
• To do this, institutions need data—lots of data—from sources
that they don’t traditionally gather
– Who publishes in what titles?
– What grants require publishing in OA titles?
– What are the terms related to those publishing outlets (Creative
Commons license, for example)

Open Access Reporting Needs
Usage of Open Access resources hadn’t really been a concern for
libraries, although COUNTER 5 now supports OA reporting.
Existing COUNTER Reports attempt to filter access by location
rather than reporting all access - though this is inconsistent.
Some libraries seek to use COUNTER reports to count only usage
funded by their subscriptions or at their institution, not all access

Open Access Reporting Needs (for Funders)
Funders have a particular interest in reporting usage of OA.
Publishers have challenges isolating usage by institution or the
world, as the content is open, and these data are reported by IP
Because OA content is often licensed using Creative Commons,
usage may be distributed across multiple platforms and
therefore not easily aggregated

An example of OA Reporting Implications - UnSub

Cooperative
Collections
29

Traditional
Inter-Library Loan

Operationalizing the BTAA Collective Collection
OCLC Report of the Big Ten Academic Alliance
(BTTA) Cooperative Collection Project
Dempsey, Lorcan, Constance Malpas, and Mark
Sandler. 2019. Operationalizing the BIG
Collective Collection: A Case Study of
Consolidation vs Autonomy. Dublin, OH: OCLC
Research.
https://doi.org/10.25333/jbz3-jy57

Image: Dempsey, Maplas, Sandler OCLC BTTA Report

Elements of Supporting Library Services

Requirements of Cooperative Collections
• Leadership commitment to manage, build, and share a collective collection
• Explicit commitments to a collective collection strategy, process and policies, and a
group-wide awareness and decision making.
• Improve network fulfillment systems
• Integrate resource sharing into collection development processes
• Generalized broker infrastructure and network level data components to provide
system-wide awareness
• Consolidated metadata management and aggregated usage data
• Develop network-level prospective collection coordination capacity
• License electronic resources with digital sharing rights

Cooperation, Coordination or Consolidation

Traditional ILL vs Cooperative Collections
• Institutions operate independently
• Independent governance/leadership
• Discrete systems
• Separate, disconnected catalogs
• Clear understanding of circulation
• Distinct collections
• Separate acquisitions
• High-cost sharing transactions
• Bounded collections
• Institutions coordinate deeply
• Shared governance
• Integrated, communal systems
• A unified view of a catalog
• More fluid circulation notion
• An integrated group collection
• Coordinated acquisitions
• Lower sharing transaction costs
• Comprehensive collections

Project ReShare
“The ReShare Community is a group of libraries,
consortia, information organizations, and developers,
with both commercial and non-commercial interests,
who came together in 2018 to create Project ReShare –
a new and open approach to library resource sharing
systems.
The ReShare Community has a bold vision for building a
user-centered, app-based, community-owned resource
sharing platform for libraries to set the standard for
how we connect library patrons to the resources and
information they require.”
https://projectreshare.org/about/

Moving in the Direction of Cooperative Collections
Project Components
ReShare Returnables - supports requesting and
supplying of physical materials between
libraries
ReShare Shared Inventory - allows a group of
libraries to contribute each member’s
bibliographic and holdings metadata to a
central repository
Considering Controlled Digital Lending
developments

39
Controlled Digital Lending
Another aspect of the
Cooperative Collection

Controlled Digital Lending (CDL)
Controlled digital lending is
the process of digitizing a
physical item, making it
inaccessible, and lending a
secure electronic copy in its
place.

Phase 1 – Timeline is TBD
• Allow patron to select electronic fulfillment option
• CDL request type and state model
• CDL metadata enrichments
• Mediated review process
• Pull slips
• Real-time availability checking
• Local ILS integrations
• Associate documents with a request
• Deliver access details to patrons
• Handle expired requests
Phase 2
• Allow patron to select book chapter or whole book
• Unmediated review process
• Route rejected requests to ILLiad
• Waitlist
• CDL loan rules
• Expire unclaimed documents
Phase 3
• Enrich the ReShare Shared Index with CDL metadata
including references to scanned documents
• Enrich the request mediation process to use
consortial availability
• Provide file storage within ReShare
• Support CDL messaging between libraries
Controlled Digital Lending ReShare Roadmap

In the beginning of the pandemic, the
Internet Archive aggressively advanced
CDL, which led the publishing industry to
sue for copyright infringement.
Is this a problem of not understanding ILL
and CDL?
Could this inhibit Cooperative Collections?
Could a partnership be reached around
rights and cost?
Controlled Digital Lending Challenges

During the NISO Plus Conference, one of
the top ideas of potential new work was
controlled digital lending.
A group is exploring the potential aspects of
best practices and standards related to CDL,
for potential launch in the fall 2021.
NISO Potential Work: Controlled Digital Lending

We already live in this world, it needs to get better

Mergers
45
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Mergers
46
NISO Connects the Pieces in
Information Distribution So They Work Together

Standards grease the wheels of information
creation and dissemination
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47

Interacting with
Publisher Systems
48

How Publishers Act Has Profound Impacts
Publisher systems changes have a profound impact on how
libraries function. Three projects NISO is working on related to
address these challenges:
• Content Platform Migrations
• Package Identification
• Connecting preprints and published content

Publisher Platforms
Most publishers partner with third-party platform providers to
host their content, which is served to users.
Publishers move from platform provider to platform provider
from time to time, or from their own to an outside vendor
This has unintended and often problematic consequences on
downstream users.

Content Platform Migrations
A successful platform migration minimizes the disruption in a
user’s ability to access and retrieve the content during and after
the migration process.
Project participants agreed that improved communication
between parties, to best support a user’s journey to content, was
the ultimate goal of their work.
(From the Introduction)

Content Platform Migrations RP Sections
Introduction:
Purpose/Scope/Definitions
Continuous Access:
Linking to content, redirects,
resolvers and authentication
Content Migration
Content Metadata Migration:
KBART, MARC, Identifiers
User and Administrative Accounts
Usage Statistics
Communications
• Recommendations include
guidance on responsibilities for:
– Publishers
– Platform Providers
– Library Staff

Draft NISO Recommended Practice Status
• Draft Released for public comment period
March 10 -- April 23, 2021
• 11 Comments received
• Working group working on responses

Package Identification
Increasingly content is sold as a collection, with a tremendous
number of content objects—be they books or serials—packaged
together.
Content is often moved in and out of these packages over time.
It’s difficult to know what you have, what the library bought and
what can be preserved.

Package Identification
Draft new work item has been received and is under
consideration.
If approved by the NISO leadership and the NISO Members, work
will likely begin in the fall 2021.

Content systems need to be interoperable

”When we were producing print, we could do pretty
much whatever we wanted. Now with digital content,
and the need to interact with other company’s
systems, all of our content needs to be
interoperable.”
- Publishing Technology Executive
58

Linking the world of content
Outcomes of the 2021
NISO Plus Conference.
Two potential new projects on retractions
display and publisher/repository
interoperability

Linking the world of content
When a content provider decides
an object should be withdrawn or
retracted, what happens next?
How does the system become
aware of the decision?
How is this signaled to the
community?
How are related-objects handled?

Linking the world of content (2)
The current ecosystem requires a
machine-readable standard that tracks
objects (articles/data/software) during
its lifespan from creation, validation,
availability, and use across platforms
Bidirectional ecosystem where
information is exchanged about
objects between repository and
publishing community systems
• Examples:
– Terminology of events - what could
change over time, versioning, citation
patterns, how the objects interrelate,
how events may happen to an object
and how to communicate the change
of status to others in the community.
– Version history: changes; mutability;
and provenance
– Use, rights, and status information

Imagine the systems we’ll have in 2040!
62

Thank you!
Todd Carpenter
Executive
Director
tcarpenter@niso.org
@TAC_niso
3600 Clipper Mill Road
Suite 302
Baltimore, MD 21211 USA
Tel.: (301) 654-2512
Fax: (410) 685-5278
www.niso.org
@NISOinfo
63

Carpenter "Working Together and Working More Efficiently"

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