next generation workflows for next generation libraries

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Next Generation Workflows for Next Generation Libraries OLA Super Conference 2011, Session #320, February 3 Metro Toronto Convention Centre Rick Anderson, Scholarly Resources & Collections, University of Utah Karen Calhoun, VP Metadata, OCLC Convenor: Moira Davidson, Lakehead University

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Presented at the OLA 2011 Superconference in Toronto by Rick Anderson (University of Utah) and Karen Calhoun (OCLC). Abstract: In these budget-challenged times, redesigning workflows is on library and special collections managers' minds more than ever. One new workflow innovation is PDA (patron driven acquisitions). The speakers present an evidence-based case for process redesign and suggest what library and special collections managers might do to create efficiencies and free up substantial staff time for new initiatives.

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Page 1: Next Generation Workflows for Next Generation Libraries

Next Generation Workflows for Next Generation Libraries

OLA Super Conference 2011, Session #320, February 3

Metro Toronto Convention Centre

Rick Anderson, Scholarly Resources & Collections, University of Utah

Karen Calhoun, VP Metadata, OCLC

Convenor: Moira Davidson, Lakehead University

Page 2: Next Generation Workflows for Next Generation Libraries

Let Them Eat... Everything:Embracing a Patron-Driven

Future

Rick Anderson

Associate Director

Scholarly Resources & Collections

Page 3: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

Toward Greater Sanity in Scholarly Communication

Less sane Interlibrary loan Big Deals

Subscriptions Approval plans

Reference/Bib instruction Redundant cataloging Print runs

More sane Article purchases

(document delivery) Wikipedia Shared cataloging Ease of use PDA (for books) Print on demand

Page 4: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

Up through the 19th century, a library was...

“... a building, room, or set of rooms, containing a collection of books for the use of the public or of some particular portion of it, or of the members of some society or the like; a public institution or establishment, charged with the care of a collection of books, and the duty of rendering the books accessible to those who require to use them.” (OED)

“... a place in which literary, musical, artistic, or reference materials (as books, manuscripts, recordings, or films) are kept for use but not for sale.” (Merriam-Webster)

Page 5: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

(Up through) 19th-century model

Page 6: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

A more recent definition:

“... a collection of sources, resources, and services, and the structure in which it is housed; it is organized for use and maintained by a public body, an institution, or a private individual.” (Wikipedia)

Page 7: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

20th-century model

Page 8: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

In other words, when we say library we’ve usually meant:

a structure, filled with

a collection.

Page 9: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

Then comes the internet.

Buildings start mattering much less Collections are diffuse and hard to define Access is available from anywhere in the world Access can be purchased virtually immediately Collection size is potentially limitless Economies of scale make vast purchases affordable

... and therefore Libraries can cast a huge net rather than carefully craft

artisanal collections; or Libraries can put off acquisition until need is demonstrated

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J. Willard Marriott Library

21st-century model

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J. Willard Marriott Library

Today, when we say library we increasingly mean:

a “structure,” “filled” with

a “collection.”

Page 12: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

Game-changers in the next five years:

Continued budget declines (or, at best, flattening) Google Books

Radical discoverability Radical availability

Hathi Trust Robust, trustworthy archiving with effective metadata ( = even better

discoverability) 8 million books in 2010; 14 million by 2012

Patron-driven options Ebook/article PDA Print book POD (Espresso Book Machine)

Page 13: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

Espresso Book Machine: The UU Experience

Basic design Two printers Saw Glue pot

Complications Dry climate Ink systems Still waiting for color printer

What works: Physical processes

What doesn’t: Discoverability of content (metadata) A certain creakiness (glue pot, etc.)

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J. Willard Marriott Library

Espresso Book Machine: The UU Experience

Surprises: Demand for self-publishing Demand for blank books (!) Opportunities for commercial publishing

Plans for the future: U of Utah Press backlist Unique digital collections Hopefully, more ODB content with better discoverability

ODB’s plans: Advanced search by end of 2010 Adding new in-copyright content (with metadata) at a rate of roughly 10k ti/month Currently working on deals with Internet Archive (1.8m titles) and Bibliolife (1.5m)

Page 15: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

To summarize: this is our new context:

Documents tend strongly to be available online Documents are radically more discoverable than they have ever

been (even if only available in print) Print-on-demand (whether outsourced or insourced) is an

increasingly available option Our budgets have been/are being dramatically cut Waste is decreasingly acceptable to stakeholders When we try to guess what patrons will want, we’re wrong nearly

half the time

Page 16: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

Circ Trends at the University of Utah

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 20100

2

4

6

8

10

12

14

16

Initial Circs Per Enrolled Student

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J. Willard Marriott Library

Reshelving Trends at the U. of Utah

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 20100

5

10

15

20

25

30

35

40

45

50

Reshelvings per student

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J. Willard Marriott Library

Why we are still building collections anyway:

Not everything needed is available (or even discoverable) online

Some essential documents require physical curation Watch for growing bifurcation: library as archive (special collections) vs. library as

information resource (general collections)

Not everything can be shown to patrons before purchase and then purchased immediately upon demand

Budget management: easiest way to control spending is to keep control inside the library

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J. Willard Marriott Library

The Unattainable Ideal (or North Star Approach)

Every book ever published is easily and immediately findable

Any book ever published can be purchased by library for patron immediately upon realization of need (purchase or borrow)

Every article...

Every data set...

This ideal does not have to be attainable in order to be useful.

Page 20: Next Generation Workflows for Next Generation Libraries

J. Willard Marriott Library

What can we do in the meantime?

Share. (Ugh.)

Books: expose everything we can and buy when the patron points Ebooks (MyiLibrary, NetLibrary, EBL, Ebrary, etc.) Print books (LightningSource, OUP, etc.) Print books (Espresso Book Machine)

Journals: by-the-drink purchasing Remember: patrons don’t need journals; they need articles This is the opposite of the Big Deal: it’s the Tiny Deal Problem: publishers don’t want to sell that way

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J. Willard Marriott Library

Contact:

Rick Anderson

University of Utah

[email protected]

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Library Process Redesign: Renewing Services, Changing Workflows

Karen CalhounVP Metadata, [email protected]

Prepared for the

OLA Superconference,

Toronto

3 February 2011

The Deming circle.Image: CC BY 3.0Diagram by Karn G. Bulsuk (http://blog.bulsuk.com)

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Outline

•Review of library collection trends▫E-resources and special collections as

priorities•Trends in special collections’ usage and

management•Freeing up time for new initiatives

▫The principles and practice of library process redesign

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Median Circulation and Reference Transactions in North American Research Libraries 1991-2008, With Five Year Forecast

19911992

19931994

19951996

19971998

19992000

20012002

20032004

20052006

20072008

0

50000

100000

150000

200000

250000

300000

350000

400000

CirculationLinear (Circulation)Reference TransactionsLinear (Reference Transactions)

Data source: ARL Statistics 2007-2008http://www.arl.org/bm~doc/arlstat08.pdf

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“65% of information requestsoriginate off-campus.” –University of Minnesota Discoverability report, p. 4

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Percentage Change in Median Resources Per Student at ARL Libraries, 2000-2008(Compared to 2000)

-0.035

-0.03

-0.025

-0.02

-0.015

-0.01

-0.005

0

0.005

StaffMonographs PurchasedVolumes Added

Change in Staff, Volumes Added, Monographs Purchased Per Student

2000

2001

2002

2003

2004

2005

2006

2007

2008

0.000.200.400.600.801.001.201.401.601.802.00

Eserials Expen-ditures

Change in E-Serials ExpendituresPer Student

Data source: ARL Statistics 2007-2008http://www.arl.org/bm~doc/arlstat08.pdf

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What Did Users Say They Want? (2002)

•Faculty and students do more work and study away from campus

•Loyal to the library, but library is only one element in complex information structure

•Print still important, but almost half of undergraduates say they rely exclusively or almost exclusively on electronic materials

•Seamless linking from one information object to another is expected

•Fast forward to 2011: these trends many times stronger!

Do you use electronic sources all of the time, most of the time, some of the time, or none of the

time?

0%

10%20%

30%

40%50%

60%

All of thetime/most of

the time

Some of thetime

None of thetime

Responses

Per

cen

t

Faculty/Graduate

Undergrad

http://www.clir.org/PUBS/reports/pub110/contents.html

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Open Access Repositories Gaining Visibility and Impact

Sources: Alexa.com 15 Nov 2009 and the Cybermetrics Lab’s ranking of top Repositories (disciplinary and institutional) athttp://repositories.webometrics.info/about.html

2008-2009 TrafficCompared:

*Social Science Research Network*arXiv.org*Research Papers in Economics*British Library (bl.uk)

27

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October 2010

http://www.oclc.org/research/publications/library/2010/2010-11.pdf

“Special collections and archives are increasingly seen as elementsof distinction that serve to differentiate an academic or research library from its peers … however, much rare and unique material remainsundiscoverable, and monetary resources are shrinking at the same time that user demand is growing.”—Executive summary

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Rising Interest in Digital Collections on the BnF and LC Web Sites

Source: Alexa.com, 15 Nov 2009

Where do people go on bnf.fr and loc.gov?

BnF:Expositions: 30%Catalogue: 26%Gallica: 26%

LC:American Memory: 41%Catalog: 17%Legislative information (THOMAS): 6%

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Research into use and users of digital library collections

“Digital libraries, far from being simple digital versions of library holdings, are now attracting a new type of public, bringing about new, unique and original ways for reading and understanding texts.”—BibUsages Study 2002 [3]

“The availability of primary sources has been crucial for the success of my teaching in history. Students have remarked what a difference it has made, and I have noticed a big difference between this course with the availability of online primary resources to those I have taught before that were based on printed resources.” –History instructor, University of California [2]

Usage of University of Wisconsin Digital Collections 2001-2008 [1]

R2 = 0.9701

0

1000000

2000000

3000000

4000000

5000000

6000000

7000000

8000000

9000000

10000000

2001 2002 2003 2004 2005 2006 2007 2008

Mill

ion

s o

f S

essi

on

s/U

ses

“The function of searching across collections is a dream frequently discussed but seldom realized at a robust level. This paper … discusses how we might move from isolated digital collections to interoperable digital libraries.”

—Howard Besser [4]

30

See final slide for citations.

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Some process redesign principles for special collections

• Programs not projects• Describing special collections—

take a page from the archivists• Quality vs. quantity—quantity

wins!• Discovery happens elsewhere—

get exposed!

“Special collections are stuck in an eddy, while the mass of digitized books drift by in the current of the mainstream. We need to jump into the flow or risk being left high and dry.”—p. 4

http://www.oclc.org/research/publications/library/2007/2007-02.pdf

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Don’t Get Further Behind! Learn from the Archivists

• Item level description – Get over it!

• Some access is better than no access - really

David Steuart Erskine, founder, ScottishSociety of Antiquaries

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Meanwhile …

… the demands of processing the print/AV collections continue to dominate how technical services staff spend their time

By UlleskelfCC-BY-NC-ND 2.0http://www.flickr.com/photos/ulleskelf/349312876/

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Staffing allocations = de facto priorities

70%

9%

8%

4%3%

3% 2%

Estimated FTE Allocations in A Research Library TS Division

Print/AV Support Management/Training Metadata

E-Resources Special Collections Programming/Web Support

Desktop Support

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What to do?

•How to free up time for these new priorities …•… while TS staffing continues to shrink?

The Deming circle.Image: CC BY 3.0Diagram by Karn G. Bulsuk (http://blog.bulsuk.com)

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A Blueprint for Change: Innovate and Reduce Costs

http://www.loc.gov/catdir/calhoun-report-final.pdf

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Where metadata comes from (and will come from)

•Library cataloging

•Publishers, vendors, aggregators

•Publication supply chain data (ONIX)

•Abstracting and indexing services

•Authority, classification data, terminologies

Professionally produced

•Institutional repositories

•Scholarly portals (e.g., arXiv.org)

•Tags, reviews, lists, etc.

Author/User contributed

•Knowledge bases

•Algorithmically-created indexes

•Author identity pages

•Facets for topics, places, events

•FRBR Work Sets …

Mined

Algorithmically produced, re-

used, harvested

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Achieving efficiencies: workflow redesign principles

1. Look at the whole process as one process (e.g., selection to ordering to receipt to cataloging to shelf-ready)

2. Maximize acquisitions/cataloging collaboration3. Capture bibliographic data as far upstream as

possible (at point of selection/ordering if you can) 4. To the greatest extent possible, handle items and

records only once5. Perform work where it makes the most sense; and

maximize use of students/volunteers 6. Wholly manual processes do not scale; integrate

automated and manual operations

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Case study: Before and after workflow redesign for print monographs processing

Before

redesign

•All cataloging done in cataloging

•Many exceptions

•Manual approach

Redesign and free up

staff

•Automated approach

•Few exceptions

•50% of cataloging done in acquisitions

Address

priorities

•E-resource unit staffed

•Metadata unit staffed

•Special collections/digital projects staffed

Percent Change during this period:

FTE down 20%

Cataloging up 64%

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Themes of the Transition in Technical Services

• More with less• Streamlined workflows• Greater use of batch and macro strategies • Greater use of technology• Greater integration of acquisitions and cataloging• More cooperation• Partnerships with vendors• Outsourcing • New roles and responsibilities

▫ E-resources licensing and management▫ Metadata services (institutional repositories)▫ Special collections / digitization projects

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A range of outsourcing solutions being implemented by many

▫Approval plans (with records supplied)▫Shelf ready services ▫Outsourced non-English language cataloging▫Re-use of publisher and vendor records▫Post-cataloging authority control▫Batch search/record capture services▫Record sets for e-journals and e-books▫And now … patron-driven acquisitions (records

loaded to library’s catalog or discovery service)

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What is Technical Services “Quality”?

•Must begin with user’s needs and end with user’s perceptions

•What does ‘quality’ mean?▫Fast cycle time for new materials▫Providing for easy, convenient use of library

collections*▫Being creative, responsive and flexible▫Optimizing the library’s investment in personnel,

materials, equipment, etc.▫Balancing trade-offs

*A recent example = patron-driven acquisitions!

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Metadata Before and After the Web: What is a “Full” Record?

+ 3 more screens

Productdescription& purchaseinformationMore like this

Editorialreviews & author infoInside the bookTags, RatingsCustomer reviewsListsMore

With thanks to David Lankes:http://quartz.syr.edu/rdlankes/Presentations/2007/ALCTS.pdf

Bibliographic dataLibrary HoldingsDetailsSubjectsEditionsReviews

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What is ‘good enough’

cataloging?

http://www.oclc.org/research/publications/library/2010/2010-06.pdf

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How many of you have considered or implemented changes to workflows for physical materials? For example …

•Get most of your cataloging done as part of the acquisitions process?

•Re-use others’ records (including publisher or vendor record sets) with minimal or no further review?

•Ruthlessly pare down exceptions to standard workflows?

•Do patron-driven acquisitions for print books?

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Library metadata has reached a point of discontinuous change

We must change how we think about it and what we do

Photo by: OMG Ventureshttp://www.flickr.com/photos/imagebuilders/2877401212/

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Digital Collections Slide - Citations

• [1] Data source for chart: University of Wisconsin Digital Collections Center. Summary Statistics. http://uwdcc.library.wisc.edu/usageStats/publicView.shtml

• [2] Quote from survey respondent as reported in Harley, Diane. 2007. Use and users of digital resources. Educause Quarterly 4, p. 12-20. http://net.educause.edu/ir/library/pdf/EQM0742.pdf

• [3a] Assadi, Houssem, et al. 2002. Use and users of online digital libraries in France. (BibUsages project) http://bibnum.bnf.fr/usages/bibusages_ecdl2003.pdf

• And• [3b] Lupovici, Catherine, and Lesquins, Noémie. 2007. Gallica 2.0: a second life for the

Bibliothèque nationale de France digital library. http://www.ifla.org.sg/IV/ifla73/papers/146-Lupovici-en.pdf

• [4] Besser, Howard. 2002. The next stage: moving from digital collections to interoperable digital libraries. First Monday 7:6. http://firstmonday.org/htbin/cgiwrap/bin/ojs/index.php/fm/article/view/958/879

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Questions and Comments?