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Research
Collaborative Management of Shared Print Collections
Jim MichalkoVice PresidentOCLC Research
Association of Research Libraries Membership Meeting21 May 2009Houston, TX
with thanks to Constance Malpas for her significant contributions
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Books have held us up
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Overview
• Context• Implications• Library Collaboration• OCLC Research activities and reports
• Storage Facility• Shared Print Policy Review
• [Development of complex infrastructure]• Necessary conditions• A model project • Early insights
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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THEN
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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NOW
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Viewpoint and vision: Research collections deliver maximum value to
the scholarly enterprise when they are managed as a network resource that supports a broadly distributed community of scholars.
Implications:
Manage in new ways for both service satisfactionand cost imperatives
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Library Collaboration
Shared Policies
Shared Operating Practices
Shared Infrastructure
Shared Assets
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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2007: Surveying the Landscape
• Structured interviews with managers of shared print collections in North America, England and Scotland• From shared space to shared ownership• Rationalisation of regional holdings
• Assessing aggregate collection as a collective asset• Institutional distribution of unique print book titles in
North American research institutions – 6.9M titles in 128 institutions; median 19K
• Implications for long-term preservation
• L. Payne “Library Storage and the Future of Library Print Collections in North America” - commissioned report• New incentives for inter-institutional collaboration• Shared infrastructure should be more effectively
leveraged to produce a broader system-wide approach
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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ARL Libraries are the ones still investing in print
The investment is very unevenly distributed
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Duplication Rate in an Aggregate Academic Collection
1
2
3
4
5
6
1900 1915 1930 1945 1960 1975 1990 2005
Publication Date
Ave
rag
e N
o. o
f C
op
ies
4.5
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Circulation in an Aggregate Academic Collection
0%
20%
40%
60%
80%
100%
0.001% 0.010% 0.100% 1.000% 10.000% 100.000%
% of Books
% o
f C
ircul
atio
n
12.86%
(788,483)
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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2008: Assessing Infrastructure Requirements• Shared print policy review
• Content analysis of 18 single- and last-copy policies: how much is enough?
• Incentives and imperatives vary but common themes prevail: explicit commitment to retain, escape clauses and exemptions
• Core requirements: network disclosure of locally negotiated partnerships; a new business model that acknowledges deepening inter-dependencies; common terms of reference
• Have what’s needed to move with confidence
• Now implement change:• Is about building new infrastructure to create shared assets• Have facilities, storage and supply practices, have policies• What structures needed?
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Structures
• Suppliers• Reliable suppliers of digital publications
- the publishers and aggregators from whom we license• Reliable suppliers of print
- the existing library storage facilities transformed• Reliable suppliers of digitized print
- the HathiTrust (others? OCA? GBS?)
• Shape these structures?• Non-owning ‘customer’ institutions
- other ARL and academic libraries e.g. NYU• Service extension to broad audience
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Registry
Transfers
Borrowing System
SharedCollections
WIthdrawals
Retrievals
DigitizedLibrary CollectionsOff-Site Collections
Commitments
Holdings
Loans
Disclose
Aggregate holdings and joint commitments constitute a
shared assetenabling collaborative
management strategies
ProceduresPolicies
InfrastructureAssets
Local Collections
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Complex infrastructure development – a word
Never from above
Modular
IncrementalDistributed construction
CombinedRecombined
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TLC project - Toward(s) a Cloud Library
• NYU – motivated customer• Space pressures• Limited mandate to comprehensive collection
• ReCap• Large-scale shared academic storage collection
• HathiTrust• Large-scale shared digital repository
• OCLC Research and CLIR –consultants and convener
GOAL• an implementation framework to rely on HT and ReCap• model costs and opportunities• requirements for sustainable business partnerships
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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N=2.3M
Opportunities for Institutional Cooperation Shared Policy Frameworks
Joint Service Agreements Increased Operational Efficiencies
Material that NYU can already source through existing ILL – enhance local collection
Material that NYU can obtain through HT dependent on copyright status – means of enhancing ‘local’ collection
Material that NYU may choose to relegate based on copyright/ availability Material that NYU
may choose to relegate with appropriate service level agreement
N = 7.4 M
ReCAP
ReCAP
N=2.8M
Intersections
Material that NYU can relegate with a high degree of confidence
Network Effects Increase as Number of Participants Grows
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Plan of Work
• Phase I: Characterize Aggregate Collection (May-June?)Assess duplication rates across NYU, ReCAP and HathiTrust; compare to existing data on supply and demand patterns in aggregate academic collections
• Phase II: Model Service Expectations (July-August?)Identify core svc req’ts to increase NYU reliance on Hathi and ReCAP; draft sample RFP
• Phase III: Calibrate Supplier Service Offering (August–September?)
Evaluate feasibility and cost requirements for meeting stated expectations; draft implementation framework
• Phase IV: Test Implementation Framework (October ?)Test reliability of joint service agreements against targeted space savings / cost avoidance at NYU
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Some early observations and analysis
Currently examining intersection of HathiTrust corpus (ca. May 2009), NYU library holdings and a subset of WorldCat representing widely-held scholarly titles
Titles in the public domain, representing greatest potential library ‘cost avoidance’ benefit:• History, Language & Literature content
predominates• Subject areas where print circulation is relatively low …but also• Disciplines most resistant to digital format transition
• Government publications are well represented…but also present challenges for relegation
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Managing Risk . . .
• Lowest-risk targets for relegation: widely duplicated scholarly print titles that are held in ReCAP and available as public domain content in Hathi
High redundancy rate = low preservation risk Digital formats support new forms of scholarly work Regional print repository elevates confidence in
preservation & access
• As of May 2009, nearly 12,000 such titles at NYU• Rate of duplication increases each month as new
content is added to Hathi and ReCAP -- at a rate faster than annual collection growth in ARL libraries
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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• Much greater opportunities for space/cost savings for in-copyright titles -- and much greater reliance on robust physical delivery networks.
Success of shared digital repositories like [Hathi] in creating operational efficiencies for academic
libraries is highly dependent upon reciprocal service agreements
with shared physical repositories like [ReCAP]and
the emergence of joint business agreements with institutional consumers like [NYU].
. . . Maximizing Benefit
Research Collaborative Management of Shared Print CollectionsARL Membership Meeting 21 May 2009
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Registry
Transfers
Borrowing System
SharedCollections
WIthdrawals
Retrievals
DigitizedLibrary CollectionsOff-Site Collections
Commitments
Holdings
Loans
Disclose
Aggregate holdings and joint commitments constitute a
shared assetenabling collaborative
management strategies
ProceduresPolicies
InfrastructureAssets
Local Collections
ReCAP
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