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Reconfiguring Academic Collections:
Stewardship, Sustainability and
Shared Infrastructure
Constance Malpas
Program Officer, OCLC Research
University of Minnesota
24 February 2011
Roadmap
[OCLC Research]
• A framework for academic collections
• Some remarks on libraries and the higher education
landscape
• Emerging infrastructure and its impact on the organization
of academic libraries
• University of Minnesota libraries in a system-wide context
OCLC Research: what we do
Special focus on libraries in research institutions:
in US, libraries supporting doctoral-level education account for
<20% of academic libraries;>70% of library spending
changes in this sector impact library system as a whole;
collective preservation and access goals, shared infrastructure, &c.
Supports global cooperative by providing internal data
and process analyses to inform enterprise service
development (R&D) and deploying collective research
capacity to deepen public understanding of the evolving
library system
OCLC Research: who we are
• ~45 FTE with offices in Ohio, California and (soon) Leiden
• Sponsored by OCLC and a partnership of research libraries
around the world that share:
• A strong motivation to effect system-wide change
• A commitment to collaboration as a means of achieving collective gains
• A desire to engage internationally
• Senior management ready to provide leadership within the transnational
research library community
• Deep and rich collections and a mandate to make them accessible
• The capacity and the will to contribute
OCLC Research: current portfolios
System-wide organization
• Characterization of the aggregate library resource
Collections, services, user behaviors, institutional profiles
• Re-organization of individual libraries in network context
Institutions adapting to changes in system-wide organization
• Re-organization of the library system in network context
„Multi-institutional‟ library framework, collective adaptation
Research theme addresses “big picture” questions about the
future of libraries in the network environment; implications
for collections, services, institutions embedded in complex
networks of collaboration, cooperation and exchange
Low
Stewardship
High
Stewardship
In few
collections
In many
collections
Collections Grid
Licensed
Purchased
Purchased materialsLicensed E-Resources
Research & Learning Materials
Open Web
Resources
Special CollectionsLocal Digitization
Credit: Dempsey, Childress (OCLC Research. 2003)
Low
Stewardship
High
Stewardship
In few
collections
Licensed
Purchased
Limited
High attention
Less attention
Limited Aspirational
Occasional
Intentional
Library attention and investment are shifting
In many
collections
OCLC Research, 2010.
Low
Stewardship
High
Stewardship
In Few
Collections
In Many
Collections
Academic institutions are driving this change
Licensed
Purchased
Redirection of library
resource
Univ. library spend on e-resources in 2008:
Total US ARL = $627M US (41% total library exp.)
today +5 yrs
OCLC Research, 2010.
Change in Academic Collections
• Shift to licensed electronic content is accelerating
Research journals – a well established trend
Scholarly monographs – in progress
• Print collections delivering less (and less) value at great (and
growing) cost
Est. $4.25 US per volume per year for on-site collections
Library purchasing power decreasing as per-unit cost rises
• Special collections marginal to educational mandate at many
institutions
Costly to manage, not (always) integral to teaching, learning
An Equal and Opposite Reaction
As an increasing share of library spending is directed
toward licensed content . . .
Pressure on print management costs increases
Fewer institutions to uphold preservation mandate
Stewardship roles must be reassessed
Shared service requirements will change
• Erosion of library value proposition in academic sector
institutional reputation no longer determined (or even
substantially influenced) by scope, scale of local print collection
• Changing nature of scholarly record
research, teaching and learning embedded in larger social and
technological networks; new set of curation challenges
• Format transition; mass digitization of legacy print
Web-scale discoverability has fundamentally changed research
practices; local collections no longer the center of attention
What factors are driving this change?
Core library operations
are moving “outside”
institutional boundaries
cooperative cataloging
ILL, resource sharing
approval plans
digital preservation
. . . print management
As transaction costs fall, so do boundaries
creating room for more
distinctive library services
Boundary work at the University of Minnesota
Externalization of ‘core business’ operations:
From infrastructure to customer relationship management:
A new emphasis on innovation and moving ‘into the flow’:
New vision for library discovery environment emphasizes
decentralized discovery; proposes strategies for making local
collections discoverable in external systems Discoverability: Phase 2 Final Report [http://purl.umn.edu/99734]
Collection development/management reconceived as Stewardship
in a Global Context; proactively leverage CIC and HathiTrust
partnerships
A shift from acquiring the products of research to supporting the
lifecycle of knowledge, strengthening campus capacity by
contributing to university’s teaching/learning missionSupporting the Lifecycle of Knowledge: Strategic Priorities for the University Libraries
[http://www.lib.umn.edu/pdf/ULibraries_strategic_planning.pdf]
A long-term, system-wide trend
0.00%
0.50%
1.00%
1.50%
2.00%
2.50%
3.00%
$0
$50,000,000
$100,000,000
$150,000,000
$200,000,000
$250,000,000
$300,000,000
$350,000,000
$400,000,000
US Academic Library Expenditures vs. Total Spending on Post-Secondary Education
Aggregate US Spending on Post-Secondary Education US Library Operating Exp. as % of Ed. Spending
$6.8 billion in 2008
OCLC Research. Derived from data reported in NCES Digest of Education Statistics: 2008.
Distribution of Post-Secondary Educational Institutions
in the United States by Source of Funding
(derived from NCES data)
0
500
1,000
1,500
2,000
2,500
3,000
2000
-200
1
2001
-200
2
2002
-200
3
2003
-200
4
2004
-200
5
2005
-200
6
2006
-200
7
2007
-200
8
No
. o
f In
sti
tuti
on
s
For Profit
Public
Private Not-for-Profit
Shift in provision of higher education
Distribution of Post-Secondary Educational Institutions
in the United States by Source of Funding
(derived from NCES data)
0
500
1,000
1,500
2,000
2,500
3,000
2000
-200
1
2001
-200
2
2002
-200
3
2003
-200
4
2004
-200
5
2005
-200
6
2006
-200
7
2007
-200
8
No
. o
f In
sti
tuti
on
s
For Profit
Public
Private Not-for-Profit
Distribution of Post-Secondary Educational Institutions in the United States by Source of Funding
OCLC Research. Derived from data reported in NCES Digest of Education Statistics: 2008.
Limited reliance on library infrastructure
A limited population, growing economic pressure
0
500
1,000
1,500
2,000
2,500
3,000
3,500
4,000
4,500
$0
$1,000,000
$2,000,000
$3,000,000
$4,000,000
$5,000,000
$6,000,000
$7,000,000
$8,000,000
x 1
00
0
US Academic Libraries & Operating Expenditures1977-2008
Operating Expenditures Libraries
OCLC Research. Derived from data reported in NCES Digest of Education Statistics: 2008.
Increasing expense, decreasing purchasing power
In US research libraries, a tipping point …
0
10
20
30
40
50
60
70
80
90
100
$- $5,000,000 $10,000,000 $15,000,000 $20,000,000 $25,000,000 $30,000,000 $35,000,000 $40,000,000
Lic
ense
d C
onte
nt
as
% o
f Lib
rary
Mate
rials
$
Library Materials Expenditures (2007-2008)
OCLC Research. Derived from ARL Annual Statistics, 2007-2008
Majority of research libraries shifting towarde-centric acquisitions, service model
Shrinking pool of libraries with mission and resourcesto sustain print preservation as a ‘core’ operation
Harvard
Yale
Center of gravity
… the books have left the building
0
20,000,000
40,000,000
60,000,000
80,000,000
100,000,000
120,000,000
140,000,000
1982 1986 1987 1992 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
Built
Capacit
y
in V
olu
me E
quiv
ale
nts
(2007)
Derived from L. Payne (OCLC, 2007)
In North America, +70M volumes off-site (2007)
~30-50% of print inventory at many major universities
Growth in library storage infrastructure
Est. 13% (?) of UMTC holdings
managed in MLAC . . .
It‟s not about space, but priorities
• If the physical proximity of print collections had a
demonstrable impact on researcher productivity, no
university would hesitate to allocate prime real estate to
library stacks
• In a world where print was the primary medium of
scholarly communication, a large local inventory was a
hallmark of academic reputation
We no longer live in that world.
Cloud-sourcing Research Collections (2009/10)
• Case study in de-composition of library service bundle:
externalization of print repository functions
• Data-mining Hathi and WorldCat to determine where cost-
effective reductions in print inventory can be achieved for
individual libraries (micro-economic context)
• Characterizing optimal service profile for shared
print/digital service providers; collective market for
service (macro-economic context)
• Exploring social and economic infrastructure
requirements; technical infrastructure a separate,
secondary challenge
0%
10%
20%
30%
40%
50%
60%
0 20 40 60 80 100 120
% o
f Tit
les
in L
ocal C
ollecti
on
Rank in 2008 ARL Investment Index
A global change in the library environment
June 2010
Median duplication: 31%
June 2009
Median duplication: 19%
Academic print book collection already substantially
duplicated in mass digitized book corpus
OCLC Research. Analysis based on HathiTrust and WorldCat snapshot data, Jun 2009 – Jun 2010.
Mass-digitized books in print repositories
0
500,000
1,000,000
1,500,000
2,000,000
2,500,000
3,000,000
3,500,000
Sep-09 Oct-09 Nov-09 Dec-09 Jan-10 Feb-10 Mar-10 Apr-10 May-10 Jun-10
Uniq
ue T
itle
s
Mass digitized books in Hathi digital repository Mass digitized books in shared print repositories
~75% of mass digitized corpus is ‘backed up’ in
one or more shared print repositories
~3.5M titles
~2.5M
OCLC Research. Analysis based on HathiTrust and WorldCat snapshot data, Jun 2009 – Jun 2010.
Prediction
Within the next 5-10 years, focus of shared print archiving
and service provision will shift to monographic collections
• large scale service hubs will provide low-cost print
management on a subscription basis;
• reducing local expenditure on print operations, releasing
space for new uses and facilitating a redirection of library
resources;
• enabling rationalization of aggregate print collection and
renovation of library service portfolio
Mass digitization of retrospective print collections
will drive this transition
A third of titles held in UMTC Libraries are
duplicated in the HathiTrust Digital Library
993,088 titles
214,770 titles
~3.9 million University of Minnesota (MNU) holdings in WorldCat
~1.2M duplicated in HathiTrust Digital Library
OCLC Research. Analysis based on HathiTrust and WorldCat snapshots. Data current as of February 2011.
0 50,000 100,000 150,000 200,000 250,000 300,000
Language, Linguistics & Literature
History & Auxiliary Sciences
Business & Economics
Government Documents
Philosophy & Religion
Art & Architecture
Engineering & Technology
Library Science, Reference
Sociology
Political Science
Education
Music
Biological Sciences
Agriculture
Physical Sciences
Geography & Earth Sciences
Law
Mathematics
Performing Arts
Unknown Classification
Health Professions & Public Health
Anthropology
Psychology
Medicine By Discipline
Chemistry
Computer Science
Medicine
Preclinical Sciences
Physical Education & Recreation
Health Facilities, Nursing
Medicine By Body System
Communicable Diseases & Misc.
Titles / Editions
Subject distribution of UMTC-owned titles
duplicated in HathiTrust Digital Library
Represents approximately
14 miles of library shelf space
(2.5 if restricted to public domain)
OCLC Research. Analysis based on HathiTrust and WorldCat snapshots. Data current as of February 2011.
Stewardship and sustainability:
a pragmatic view
Using recent life-cycle adjusted cost model* for library print collections,
$4.25 per volume per year --- on campus
$ .86 per volume per year -– in high-density storage
the University of Minnesota is spending between
[1.2M titles * $.86 =] $1M to $5M [= 1.2M titles * $4.25 ] annually
to retain local copies of content preserved in the HathiTrust Digital Library
The library is not financially accountable for these costs
but it is responsible for managing them
Paul Courant and M. “Buzzy” Nielson, “On the Cost of Keeping a Book” in The Idea of Order (CLIR, 2010)
OCLC Research. Analysis based on HathiTrust and WorldCat snapshot data. Data current as of February 2011.
Value of Hathi preservation increases
Market for shared print provision increases
System-wide print distribution of UMTC titles
duplicated in HathiTrust Digital Library
How HathiTrust adds value at UMTC
UMTC holdings contributed to HathiTrust
Increased visibility, accessibility
Shared investment in repository infrastructure
HathiTrust content not held by UMTC
Extends local collection at reduced cost
UMTC-owned content duplicated in Hathi
Redirection of local print management
Reduces costs as inventory is rationalized
Supports reconfiguration of library space & service portfolio
1) UMTC title contributed to HathiTrust
This edition held by only 3 libraries
UMTC copy stored in MLAC
Increased discoverability & access
Reduce wear & tear on local copy
UMTC collections deliver more
value in webscale environment
2) Public domain content not held by UMTC
Source via ILL @ ~$20?
Purchase reprint @ $25?Or offer free down-loadable version?
This edition held by 52 libraries
More cost efficient, just-in-
time fulfillment
3) UMTC-owned title duplicated in HathiTrust
Full text available from HathiTrust (contributed by Michigan)
Also held by 218 other libraries, including 5 in Minnesota
Held in Wilson; transfer to MLAC to reduce costs or withdraw?
3) UMTC-owned title duplicated in HathiTrust
A relatively common book.
Published 1962
Snippet view in GoogleBooks
Full view in HathiTrust
UMTC can manage this asset
more efficiently
It all adds up: ROI for shared infrastructure
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
0
200,000
400,000
600,000
800,000
1,000,000
1,200,000
1,400,000
Lin
ear
feet
of
lib
rary
shelv
ing
Tit
les
/ Edit
ions
Titles duplicated at UMTC Public domain not held by UTMC Titles contributed by UMTC
Content UMTC can now manage more efficiently
Content UMTC can source at lower cost
Content UMTC contributes to transform library environment
OCLC Research. Analysis based on HathiTrust and WorldCat snapshot data. Data current as of February 2011
University of Minnesota in regional context
• 98 academic libraries in 2008
• represents 3% of all academic libraries in the US
• 1 ARL / AAU member
• UMTC (with MINITEX) provides essential backbone for state
academic libraries
• Rich collections, robust infrastructure, reliable fulfillment
• UMTC library holdings account for ~18% of state-wide academic
collection
• Upholding print preservation mandate an increasing challenge
Diversity of Educational Mandates
Doctor's
Master's
Bachelor's
Less than 4-year
Hig
hest
level
of
degre
e
0 5 10 15 20 25 30 35
16%
20%
27%
35%
Academic Libraries in Minnesota
OCLC Research. Derived from NCES Academic Libraries Survey, 2008 .
Less reliant on
traditional library
infrastructure
Circulation per FTE student declining in all sectors
OCLC Research. Derived from NCES Academic Libraries Surveys, 1992-2000.
Expectations for long-term preservation are greatest here
Increasing privatization of higher education
OCLC Research. Derived from NCES Academic Libraries Surveys, 2000 , 2004, 2006 and 2008 .
0
10
20
30
40
50
60
70
80
90
100
2000 2004 2006 2008
Academic Libraries in Minnesota by Control & Funding
Public Private
48% 48% 56% 57%
43%52% 52% 44%
Decreasing
proportion
with
mandate
to serve
state HE
community
0%
10%
20%
30%
40%
50%
60%
70%
80%
Oberlin Non-ARL academic Community College ARL
The next few years are critical
Academic libraries in Minnesota:
a common trajectory, different timelines
*Jan „12
Apr „12
Mar „13
May „13* * *
OCLC Research. Analysis based on HathiTrust and WorldCat snapshot data. Data current as of February 2011
The end game?
• Enabling a renewal and revitalization of the library‟s core
service mission to the University
• Redistributing the costs and benefits of stewardship across
research library sector
• Ensuring the long-term survivability of low-use, long-tail
content for future generations of scholars
Reconfiguring academic collections is
not about “removing books” or
devaluing scholarly interactions with legacy print
A vision of the future
University of Minnesota Libraries will . . .
• fulfill its preservation mandate by partnering with regional
and national partners to ensure sustainable stewardship of
shared print and digital repositories
• provide faculty, students and citizens of Minnesota with
access to an increasingly broad array of legacy and current
content by sourcing content by the most efficient means
• enhance the University‟s teaching and research reputation
by supporting the process of scholarship, increasing the
visibility impact of locally created content
Academic print: it‟s not the end . . .
but it’s no longer the means
“Archive of the available past” photograph by Joguldi.Abandoned books at the Detroit Central School Book Depository (6 May 2009) Flickr
Ongoing redefinition of scholarly
function and value of print
will entail some loss
and some gain in library relevance
Thanks for your attention.
Comments, Questions?
Constance Malpas
