CDL Acquisitions and the Shared Cataloging Program

1. CDL Acquisitions and the Shared Cataloging Program A Collaborative Vision Realized A Presentation By Becky Culbertson, Ryan J. Finnerty, Adolfo R. Tarango, and Terry Vrable To UC Library Staff June 21, 2005 through November 10, 2005

2. Presentation Overview • CDL Acquisitions • Shared Cataloging Program Background • Cataloging • Record Manipulation and Distribution • Beckoning on the Horizon

3. CDL Acquisitions: Who We Are • Acquisitions functions were outsourced to a UC campus • We started small and grew with the CDL. Staff now includes: • Tony Harvell (tharvell@ucsd.edu) • Katie Grimm (cgrimm@ucsd.edu) • Maria Figueroa (mdfigueroa@ucsd.edu) • Terry Vrable (tvrable@ucsd.edu)

4. How We Fit In: Some Background on the CDL’s Selection Process

5. Our Role: Traditional Acquisitions Functions • During the negotiation process we provide support to CDL Licensed Content staff including • Collection of subscription information from UC campuses • Preparation and verification of the UC Subscription Base (content and value) for journals packages

6. Traditional Acquisitions Functions • Creation of the formal purchase order in UCSD’s Acquisitions System (Innovative) • Verification of amount due and payment of invoices • Renewal of a growing number of licensed resources for the ten campuses, the CSU system (for shared contracts) and two National Laboratories managed by UC (LBL & LLNL) • Renewals are considered to be automatic unless otherwise notified by a campus or there is a substantive change in the cost or the resource

7. Paying the Vendor is Only Half the Equation • Invoices are paid with UCSD funds and UCSD is reimbursed by the campuses through the Recharge Process • CDL Acquisitions coordinates the collection of payment from the CDL, campuses, CSU and the National Laboratories • We prepare electronic Recharge Forms with UCSD’s budget details and forward them to the CDL Acquisitions Liaisons at each campus • CSU, LBL and LLNL are invoiced following a separate process • Campuses complete the Forms with the appropriate budgets to be debited and return them to CDL Acquisitions • The completed Recharge Forms are handed off to General Accounting where the transfer of funds between campuses occurs

8. The Budget Process • CDL Acquisitions maintains a cumulative spreadsheet of payments • Based on payments made to date and the details of each agreement, we issue quarterly budget projections • Projections are sent to the CDO at each campus with a copy to the CDL Acquisitions Liaisons • We work hard to ensure all payments and related recharges are wrapped up by the end of each fiscal year

9. There’s a Lot of Information to Track • Publisher journal packages: getting what we pay for and paying for what we get • Implementation of the business terms: from license language to reality • CDL agreements affect campus renewals • Keeping it straight: an important role is sending renewal terms to campuses and to subscription agencies • Tracking what moves into and out of journal packages and asserting our rights for continued access has become a job in itself. • Maria Figueroa serves as coordinator and proactively monitors CDL-licensed journal packages

10. There’s a Lot of Information to Track, but There’s Hope … • In April 2005 a UC-wide Task Force issued a Request for a Proposal (RFP) for an Electronic Resources Management System (ERMS) • The ERMS Task Force reviewed the responses and submitted their report to SOPAG who endorsed it and forwarded it to the University Librarians for their approval • The University Librarians recommended negotiations proceed and a Negotiating Team was appointed • All campuses will have representation on the Implementation Team

11. Communication is key • Inside CDL contains a wealth of information • http://www.cdlib.org/inside/resources/ (cdl /s33dl) • Report a Problem • Collection Development Process includes links to: • Current Activities • Policy and Procedural Documents • Tool Kit • Contact Information • Collections Page includes links to: • Contract Information • Licensed Journals, Databases, and other Resources

12. Adding New Journals to CDL-Licensed Publisher Packages • Very few publisher journal packages have global access to their titles • New Titles must be formally added at renewal following the guidelines endorsed by CDC • New titles include • Newly published titles • Newly electronic titles • Publisher transfers • The guidelines are at: http://www.cdlib.org/inside/collect/ejournal_guidelines.html

13. The Tier Approach • Tier 1: Electronic titles or packages licensed and managed for all or almost all UC campuses through the CDL • Tier 2: Electronic titles or packages licensed and managed for more than one but not all UC campuses through the CDL • A campus may negotiate and license on behalf of a group of campuses • CDL Acquisitions will manage payment including renewals • CIG will integrate the resource into the workflow • Tier 3: Titles or packages licensed and managed locally by a campus or campuses

14. We Rely Greatly on Campus Help: The CDL Acquisitions Liaisons • The CDL Acquisitions Liaisons at each campus are critical: • Berkeley, Jody Bussell, jbussell@library.berkeley.edu • Davis: Karin Chacon, klchacon@ucdavis.edu • Irvine, Carole Kiehl, lib_aomt@lib.uci.edu • Los Angeles, Michael H. Randall, mhr@library.ucla.edu • Merced, Jim Dooley, jdooley@ucmerced.edu • Riverside, Stefanie Wittenbach, stefw@ucr.edu • San Diego, Stacy Nelson, scnelson@ucsd.edu • San Francisco, Paul J. Wakeford, paul.wakeford@library.ucsf.edu • Santa Barbara, Catherine Nelson, nelson@library.ucsb.edu • Santa Cruz, Lai-Ying Hsiung, cdlacq@library.ucsc.edu

15. Campus Help: Resource Liaisons & Resourceful Librarians • For non-routine renewals, the CDL Resource Liaisons are an invaluable source of help • A renewal is non-routine when there’s a large increase, there is additional new content or there are technical problems that need to be addressed. • Feed back from campus librarians is indispensable • CDL Acquisitions is a support unit and we’re here to serve you

16. From Acquisitions to Cataloging… • The CDL’s Collection Integration Group • CIG is a working group composed of CDL staff • Headed by Wendy Parfrey (licensed Content) and it includes a wide range of staff: • CDL Acquisitions • License Agreement Coordinator • Resource Liaison Coordinator • Technical staff (IP address coordination, linking, testing access, CDL Directory) • Shared Catalogers • Each member knows their part and when to do it

17. Adolfo’s Not-so-ConciseHistory of the SCP • 1997: California Digital Library (CDL) established • Oct. 1997: UC Task Force on Electronic Resources (TFER1) • Nov. 1998: TFER2 • Feb. 2000: Shared Cataloging Program (SCP) established at UCSD

18. Adolfo’s Not-so-ConciseHistory of the SCP • Dec. 2000: First meeting of the SCP Steering Committee • Jan. 2002: First “package” of open access resources “acquired” – CalDocs • May 2002: First package of non-English language resources acquired – CAJ • Mar. 2003: SCP record distribution transferred to UCSD

19. Adolfo’s Not-so-ConciseHistory of the SCP • Apr. 2003: Monographic cataloging guidelines adopted • Jan. 2004: SCP Steering Committee becomes SCP Advisory Committee • Apr. 2005: Distinct SCP Unit established at UCSD

20. Adolfo’s Not-so-ConciseHistory of the SCP • October 1, 2005: • 343 databases • 14,737 serials • 65,512 monographs • 80,592 titles

21. The Cast of Characters • SCP Catalogers • Renee Chin • Hanley Cocks • Kate Garvey-Clasby • Becky Culbertson

22. The Cast of Characters • ETL Specialists • Karen Peters • Ryan Finnerty • Administrators • Linda Barnhart • Adolfo Tarango

23. The Supporting Cast • Cataloging • Director for Licensed Content • SCP Advisory Committee • CDL Systems Staff • ETL • UCSD Libraries IT Department • CDL Systems Staff • Viewers like you

24. Organization Chart Director for Licensed Content HOTS Cataloging Policy Reports to Acquisitions Priorities, Resource Allocations, and Purchase Authorizations Cataloging Priorities & Resource Allocations SCP Advisory Committee Select Campus Participants Reports to SCP Unit CDL Acquisitions Unit Consults with ETL Processing Coordinates with

25. Cataloging • Identification • Cataloging • Access • Maintenance

26. Initial Reconnaissance • CIG (Collections Integration Group) • Operational level CDL personnel • Biweekly conference call • Marking progress of resources • NRF (New Resource Form) • ALA Exhibits • Vendors

27. Planning the Cataloging… • Policy and Planning Group at UCSD • Upcoming resources from CIG • Primary focus is on monographs as • Databases are few in comparison • Serials are done the same way each time • Monographs are done differently each time • Plan batch processing • Decide timing of records release

28. Databases • Integrating resources • Cataloged by one person • Use electronic records on OCLC • Require “revisiting”—maintenance can be high

29. SCP Serials Cataloging 101 • Use the “print” records if they exist • Use the open URL if possible • Use LC classification numbers • Use LCSH in each record • Add local subject headings (based on UCSD’s Sage) • Add package names in a local title field (793 field)

30. SCP Monographs Cataloging 101 • Use “separate” records • Decide the nature of the cataloging records needed • Electronic reproductions? • Electronic versions? • We look for existing record sets • OCLC first • Vendor record sets second

31. Electronic Fields on Both Formats • 007 Field. Acts as a “limit” in the OPAC • 530 Field. On the print record this makes reference to the fact that there is another format available—standard wording is: Also issued online • 655 Field. “Online resources” is a genre term that is used on all records • 793 Field. The same title hook goes on each resource and ties them all together • 856 Field. Provides link to the resource

32. New Record Sets (Monographs) • OCLC records are used if they exist; records are created inhouse if set doesn’t already exist in electronic format • Vendor sets are used for big sets • OCLC WorldCat Collection sets • ACM Digital Library • IEEE Xplore • Lecture notes in computer science • SPIE

33. Collaborative Cataloging • Cataloging Long Distance (or across the room…) • Consists of giving directions to Ryan/Karen to add a particular field(s) to a large group of records that are in the same package • Very common on monograph packages

34. Stable URLs • PURLs • PIDs/PID server • http://uclibs.org/ • BibPURLs • GPO PURLs • Durable links (IEEE Xplore) • OpenURLs • ARKs

35. Maintenance: Journal Titles • Updates from Maria • Requests from package liaisons (RL’s) • E-Resources tracking page • E-mail alerts from vendors • Vendor title lists • List-servs • Patrons

36. Communication (1) • Campuses • E-mail • SCP Advisory Committee • SCP monthly update at: http://www.cdlib.org/inside/projects/scp/updates.html

37. Communication (2) • Vendors • Initial cataloging process • 1st priority: Persistent URL establishment • Serials: need delimited title lists • Monographs: advise on data elements • Later • Title change lists for new and dropped titles • SFX reports • Especially for databases

38. Tools for You SCP Web Page http://www.cdlib.org/inside/projects/scp/

39. Record Manipulation and Distribution • Batch creating CDL bibliographic records • Record manipulation • Record distribution • Record redistribution

40. Batch Creating CDL Bibliographic Records • Serials • Catalog describing the print version • Output and reload • Exceptions for vendor records (e.g. American Periodical Series)

41. Batch Creating CDL Bibliographic Records • Monographs • Catalog describing the electronic version • Output, reload, and switch basis of description • Some record sets do not need to be switched • Some record sets are uploaded to WorldCat

42. Record Manipulation • Techniques • Load tables • MarcEdit • PID translator • Macros • Millennium Global Update

43. Record Distribution • Creating the master files • Weekly • Based on OUTRECS file • Location is “cdl” & has 599 field • Two files for serials and monographs • Serials file sent to CDL

44. Record Distribution (cont.) • Creating the campus files • 18 files created with the “CDL Upload Software” • Based on the 920 fields in the bibliographic records • Files are mounted on a UCSD server for the campuses to retrieve • Retained for three months

45. Record Redistribution • Individually through the 599 field • Groups of records may be requested for redistribution • Secure record transmission between campuses • Please be judicious as this is big workload

46. Beckoning on the Horizon • New online resource types • Cartographic resources • Rumsey Map Collection • LC’s American Memory Map Collection 1500-2004 • Music sound files • Classical Music Library (Alexander Street Press) • Naxos Music Library (Naxos Digital Services) • Smithsonian Global Sound (Alexander Street Press) • Database of Recorded American Music:DRAM (New World Records) • Shared Print Collection

47. Beckoning on the Horizon • Open Content Alliance • Google Print Library Project • UC-wide Electronic Resources Management System • SOPAG Bibliographic Services Task Force • Draft of part 1: http://libraries.universityofcalifornia.edu/sopag/BSTF/interim081405.pdf