From Selection to Access: Optimizing the Collections and Technical Services Workflow

1. From Selection to Access: Optimizing the Collections and Technical Services Workflow Ruth Fischer and Rick Lugg R2 Consulting June 2006

2. Our Focus • Library Workflow Analysis & Redesign • Organizational Redesign • Facilitation & Strategic Planning • Change Management • Integration of ILS and Vendor Systems • Training and Animated Tutorials • Product Analysis & Development for the Academic Library Market • Professional Seminars & Workshops

3. Libraries MIT Libraries Skidmore College Library Arizona State University Libraries Vassar College Libraries Macalester College University of Minnesota Middlebury College Colby College Oberlin College University of Texas/Dallas Appalachian State University Cushing/Whitney Medical Library, Yale University University of Miami UAB, LHL of the Health Sciences Denison University/Kenyon College Smithsonian Institution Vendors Blackwell’s Casalini Libri CAVAL Collaborative Solutions Common Ground Publishing Eastern Book Ebook Library Follett Library Resources HARRASSOWITZ Innovative Interfaces Integrated Book Technology OCLC RR Bowker Sage Reference University of California Press Xrefer YBP Library Services OurExperience

4. Why Workflow Redesign?

5. The Library Environment Prognostications Collection Development Acquisitions/Serials Cataloging/Discovery

6. User expectations Collection Development Acquisitions/Serials Cataloging/Discovery Library Organizations GYM; Amazon; Netflix and other Web Digital content; vendor tools; consortia Business practices; new players Google, federated search, link resolvers, A-Z lists New priorities, skill sets Drivers?

7. From the LITA Blog • 2002 was the year of the blog • 2003 was the year of the RSS feed • 2004 was the year of the Wiki • 2005 was the year of the podcast

8. TS Big Heads (January 2006) • ERM Implementations • Future of Cataloging/Metadata • Casalini Enhanced Cataloging Trial • Link Resolver Implmentations • eBook pilot projects • Digitization • Workflow/Process Reviews • (Cornell, Texas, Mich) • “Hidden” Collections • Asian Languages

9. Top Tech Trends 2005 • Web 2.0/Library 2.0 • Storage • Blogs, Libraries and Citizen Journalists • E-Books • OPACs, FRBR, and Interface Design • Google Print, Scholar, and Metasearching • User Tagging, Automated Tagging • Digital Rights Management

10. Keys to the Future? • Quality learning spaces • Creating metadata • Virtual reference • Information literacy • Choosing resources & managing licenses • Collecting & digitizing archival materials • Managing a digital repository Source: Jerry D. Campbell, “Changing a Cultural Icon: The Academic Library as a Virtual Destination” Educause Review, (January/February 2006) 17-30.

11. TAIGA Forum 2006 Provocative Statement #5 “A large number of libraries will no longer have local OPACs. Instead, we will have entered a new age of data consolidation (either shared catalogs or catalogs that are integrated into discovery tools), both of our catalogs and our collections.”

12. TAIGA Forum 2006 Provocative Statement #11 “Simple aggregation of resources will not be enough. They have to be specialized for constituency use and projected into user environments (my.yahoo, e-portfolio, CMS, RSS aggregator, podcast). Workflow replaces database and website as the primary locus of attention. The library’s role is to project specialized services into research and learning workflows.”

14. Collection Development

15. Collection Developments • RCL: Resources for College Libraries (Fall) • WCA: WorldCat Collection Analysis (2005) • OCLC: 26 million items held by 10+ libraries • Coordinated selection of eBooks/pBooks • Increases in A-V, media collecting • “Hidden” Special Collections and Archives • Blogs and other kinetic content • Digital Libraries/Institutional Repositories • Print Journal Cancellations • UC: 93% redundancy in Gov Docs • An “expansive” view of collections

16. Janus Conference/CCDO • RECON: Coordinate conversion of the scholarly record nationally & internationally • PROCON: Accelerate the transition to digital publishing—push publishers to act now • CORE: Collective definition by research libraries; collect same core; different advanced materials • Work collectively in negotiations with publishers • Archiving: divide responsibility for low-use print; take back responsibility from publishers for digital • Create and support alternative channels of scholarly communication

22. Acquisitions/Serials

23. Acquisitions/Serials • More subscriptions, fewer purchases • More cancellations of print serials • ILS Web Services capabilities • Role of the subscription agent • OCLC record number available in some vendor records • Extended consortial history at point of selection/order • Batch checking of orders against holdings • Ability to order eBooks from approval vendor systems • Enhanced cataloging records from Casalini Libri • New title alerts for faculty • Interfaces with University accounting

24. Recent Developments • ILS Web Services capabilities • OCLC record number available in some vendor records • Batch checking of orders against holdings • Enabling vendor systems as OpenURL Sources • New title alerts for faculty • Extended consortial history at point of selection/order • Group comparison/monitoring tools

26. Cataloging/Discovery

27. Cataloging/Discovery • RDA (Resource Description & Access)—successor to AACR2 • FRBR (Functional Requirements for Bibliographic Records) • Reduced emphasis on controlled vocabulary (UC System, Harvard) • Increased need for non-MARC metadata (MODS, Dublin Core, EADS, OAI-MHP, VRA 3.0, DOI, user-created descriptors) • Free-structured “tagging”; social bookmarking • “Satellite” systems for e-resource access (ERMs, A-Z lists, link resolvers, proxy servers) • Expansion of outsourced cataloging to Western European vendors • Re-envisioning the user search (NCSU, Queens Library) • New items lists

30. UC Bib Services Task Force “The current Library catalog is poorly designed for the tasks of finding, discovering, and selecting the growing set of resources available in our libraries. It is best at locating and obtaining a known item. […] We offer a fragmented set of systems to search for published information […], each with very different tools for identifying and obtaining materials. For users, these distinctions are arbitrary.”

40. Competitive Advantages • The Library “brand” (quality assurance) • Breadth & Depth of Print Collections • Special Collections • Metadata and Information Structure • Relationships with Academic Departments • Controlled vocabularies & classification • Locally-produced Original Digital Content • Archiving

41. Workflow Analysis: R2 Approach

42. Print Workflow • Resource Identification • Selection / De-selection • Ordering and Order Maintenance • Receiving and Payment • Providing Access • Cataloging • Holdings Maintenance • Physical Prep materials and data

43. E-Resources Workflow • Resource Identification • Trials / Decision Tracking • Selection • License Evaluation / Negotiation • Ordering and Order Maintenance • Payment / Pre-payment • Activation / Registration • Cataloging • Holdings Maintenance • Resource Discovery • Access Management • Usage Tracking • Renewals / Cancellations

44. Resource Identification • Faculty/Patron Requests • Approval Plan Profiling • Notification Services • Gifts • Retrospective Lists • Publisher Announcements • Critical and Literary Reviews • Searching

45. Selection and Deselection • Approval Book Review (accept / reject) • Gift Selection (Deselection) • Cancellation / Renewal of Journals • Trials of E-Resources • Use of Vendor Web Databases for electronic form selection • Fund Code Assignment • Format Preference • Activity visible in ILS or vendor database or local tracking system

46. Purchase Authorization • Duplication Control • Assisted by OCLC; ILS; Vendor • Fund Management • Order Record Visible in ILS • Electronic orders • Claiming, Substitutions & Cancellations • License negotiation and signing

47. Receiving and Payment • Verify receipt (match materials to invoice) and correct errors • Serials check-in • Update library system • Disencumber funds • Approve invoices • Make payment (university accounting) • Sort and route materials

48. MARC records Produced by library Produced by vendor Produced by OCLC Record Maintenance Create Item Records Set and Display Holdings Link added copies Link added volumes Shelf Prep Binding Call Numbers and Spine Labels Theft Detection Ownership Stamps Electronic Access License management Link maintenance A-Z Lists Providing Access

49. R2 Workflow Principles • Know your costs • Incorporate “systems thinking” • Simplify and standardize requirements • Create a mainstream • Automate the mainstream • Take full advantage of existing resources • Outsource sometimes • Establish quantifiable goals • Measure performance • Control quality via sampling • Make strategic choices

50. Direct and Indirect Costs Direct Costs • Wages and fringe benefits • If the salary of an original cataloger = $55K per year and the fringe rate is 39.9% then annual direct personnel costs = $76,945 • If the annual production is between 1,500 and 2,000, the direct cost per record created is between $38.40 and $51.30.