Electronic Resource Management in Libraries: Research and Practice

Electronic Resource

Management in Libraries:

Research and Practice

Holly Yu

California State University, Los Angeles, USA

Scott Breivold

California State University, Los Angeles, USA

Hershey • New York

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Library of Congress Cataloging-in-Publication Data

Electronic resource management in libraries : research and practice / Holly Yu and Scott Breivold, editors.

p. cm.

Summary: “This book provides comprehensive coverage of the issues, methods, theories, and challenges connected with the provision of

electronic resources in libraries, with emphasis on strategic planning, operational guidelines, and practices. Its primary focus is management

practices of the life-cycle of commercially acquired electronic resources from selection and ordering to cataloging, Web presentation, user

support, usage evaluation, and more”--Provided by publisher.

Includes bibliographical references and index.

ISBN-13: 978-1-59904-891-8 -- ISBN-13: 978-1-59904-892-5 (ebook)

1. Libraries--Special collections--Electronic information resources. 2. Electronic information resources--Management. I. Yu, Holly. II.

Breivold, Scott.

Z692.C65E425 2008

025.2’84--dc22

2007036853

British Cataloguing in Publication Data

A Cataloguing in Publication record for this book is available from the British Library.

All work contributed to this book set is original material. The views expressed in this book are those of the authors, but not necessarily of

the publisher.

If a library purchased a print copy of this publication, please go to http://www.igi-global.com/reference/assets/IGR-eAccess-agreement.

pdf for information on activating the library's complimentary electronic access to this publication.

Foreword ............................................................................................................................................xiii

Preface ................................................................................................................................................. xv

Acknowledgment ..............................................................................................................................xxii

Section I

Historic Overview, Strategic Planning, and Usage Statistics

Chapter I

History of Electronic Resources ............................................................................................................ 1

Dalene Hawthorne, Emporia State University, USA

Chapter II

Strategic Planning for Electronic Resource Management ................................................................... 16

Melissa Holmberg, Minnesota State University, Mankato, USA

Bobby Bothmann, Minnesota State University, Mankato, USA

Chapter III

Electronic Usage Statistics ................................................................................................................... 29

Pat Hults, Rensselaer Polytechnic Institute, USA

Section II

Workflow Management and Competencies of Electronic Resource Librarians

Chapter IV

Selecting, Acquiring, and Renewing Electronic Resources ................................................................. 48

Smita Joshipura, Arizona State University, USA

Table of Contents

Chapter V

Sharing the Albatross of E-Resources Management Workflow ........................................................... 71

Jodi Poe, Jacksonville State University, USA

Mary Bevis, Jacksonville State University, USA

John-Bauer Graham, Jacksonville State University, USA

Bethany Latham, Jacksonville State University, USA

Kimberly W. Stevens, Jacksonville State University, USA

Chapter VI

Process Mapping for Electronic Resources: A Lesson from Business Models ................................... 90

Marianne Afifi, California State University, Northridge, USA

Chapter VII

Evolving Roles for Electronic Resource Librarians .......................................................................... 105

Debra Engel, University of Oklahoma, USA

Sarah Robbins, University of Oklahoma, USA

Section III

Copyright and Licensing

Chapter VIII

The Evolution of License Content ..................................................................................................... 122

Trisha L. Davis, The Ohio State University, USA

Celeste Feather, The Ohio State University, USA

Chapter IX

Copyright Implications for Electronic Resources .............................................................................. 145

Aline Soules, California State University, East Bay, USA

Donna L. Ferullo, Purdue University, USA

Chapter X

Tactics and Terms in the Negotiation of Electronic Resource Licenses ............................................ 174

Kincaid C. Brown, University of Michigan, USA

Section IV

Working with Electronic Resources

Chapter XI

Working with Database and E-Journal Vendors to Ensure Quality for End Users ............................ 194

Heather Christenson, California Digital Library, USA

Sherry Willhite, California Digital Library, USA

Chapter XII

One-Stop Shopping for Journal Holdings .......................................................................................... 213

Janet Crum, Oregon Health & Science University, USA

Chapter XIII

Beyond OpenURL: Technologies for Linking Library Resources .................................................... 235

George Boston, Western Michigan University, USA

Randle J. Gedeon, Western Michigan University, USA

Chapter XIV

Authentication and Access Management of Electronic Resources .................................................... 250

Juan Carlos Rodriguez, California State University, Sacramento, USA

Bin Zhang, California State University, Sacramento, USA

Chapter XV

Using Consistent Naming Conventions for Library Electronic Resources ....................................... 275

Diana Kichuk, University of Saskatchewan, Canada

Section V

Electronic Resource Management Systems (ERMS)

Chapter XVI

Standards, the Structural Underpinnings of Electronic Resource Management Systems ................. 295

Ted Koppel, ExLibris Inc., USA

Chapter XVII

Challenges and Potentials of Electronic Resource Management ........................................................ 306

Yvonne Wei Zhang, California State University, Pomona, USA

Chapter XVIII

Panorama of Electronic Resource Management Systems .................................................................. 322

Margaret Hogarth, University of California, Riverside, USA

Viki Bloom, University of California, Riverside, USA

Chapter XIX

The Impact of Locally Developed Electronic Resource Management Systems ................................ 350

Marie R. Kennedy, University of Southern California, USA

Chapter XX

The Future of Electronic Resource Management Systems: Inside and Out ...................................... 363

Ted Fons, Innovative Interfaces Inc., USA

Chapter XXI

In the Eye of the Storm: ERM Systems Guiding Libraries’ Future ................................................... 374

Ted Koppel, ExLibris Inc., USA

Compilation of References .............................................................................................................. 383

About the Contributors ................................................................................................................... 409

Index ................................................................................................................................................... 414

Foreword ............................................................................................................................................xiii

Preface ................................................................................................................................................. xv

Acknowledgment ..............................................................................................................................xxii

Section I

Historic Overview, Strategic Planning, and Usage Statistics

Chapter I

History of Electronic Resources ............................................................................................................. 1

Dalene Hawthorne, Emporia State University, USA

Traces the history and major developments of electronic resources in libraries in the United States.

The chapter discusses the rapid changes and underlying issues which have affected the evolution of

library electronic resources from the 1960’s to the early 2000’s. It is the author’s hope that this historic

overview may lead the reader to a better understanding of the current situation and provide lessons for

the future.

Chapter II

Strategic Planning for Electronic Resource Management .................................................................... 16

Melissa Holmberg, Minnesota State University, Mankato, USA

Bobby Bothmann, Minnesota State University, Mankato, USA

Addresses the subject from the perspective of planning, policy, and workflow management issues expe￾rienced by libraries. The authors suggest ideas and methods to address these management challenges.

Chapter III

Electronic Usage Statistics .................................................................................................................... 29

Pat Hults, Rensselaer Polytechnic Institute, USA

Provides an overview which includes methods of defining, collecting, and using usage data. A survey of

some of the systems of estimating journal usage in the print environment is followed by a description

Detailed Table of Contents

of the development of electronic usage practices. The important contributions of the COUNTER and

SUSHI projects are reviewed, along with examples of other ways statistics can assist in decision-making

throughout a product’s life cycle.

Section II

Workflow Management and Competencies of Electronic Resource Librarians

Chapter IV

Selecting, Acquiring, and Renewing Electronic Resources ................................................................. 48

Smita Joshipura, Arizona State University, USA

Provides an in-depth analysis of the workflow for electronic resources from selection to acquisition. It

addresses major steps, processes, procedures, and issues in selecting and acquiring electronic resources

and covers the selection process including tools, challenges, and selection criteria.

Chapter V

Sharing the Albatross of E-Resources Management Workflow ........................................................... 71

Jodi Poe, Jacksonville State University, USA

Mary Bevis, Jacksonville State University, USA

John-Bauer Graham, Jacksonville State University, USA

Bethany Latham, Jacksonville State University, USA

Kimberly W. Stevens, Jacksonville State University, USA

Illustrates that while management of electronic resources is often seen as a strictly technical services

endeavor, it should be approached as a multifaceted process requiring all areas of the library. This chapter

offers a detailed account of how one library handles the electronic resources management workflow

collaboratively.

Chapter VI

Process Mapping for Electronic Resources: A Lesson from Business Models ................................... 90

Marianne Afifi, California State University, Northridge, USA

Bases its research on the premise that existing electronic resource management guidelines are conceptu￾ally linked to actual management situations. This chapter describes how a business and industry method

called process mapping can be applied to the management of electronic resources in libraries. A case

study is presented to illustrate the process.

Chapter VII

Evolving Roles for Electronic Resource Librarians .......................................................................... 105

Debra Engel, University of Oklahoma, USA

Sarah Robbins, University of Oklahoma, USA

Examines the emergence of the electronic resource librarian specialty within academic libraries as a

result of increasing demands for library professionals trained in the planning, selecting, implementing,

and evaluating of electronic resources. The authors discuss the core competencies of these positions by

analyzing job advertisements published in the College & Research Libraries News and The Chronicle

of Higher Education between July 2001 and June 2006. Implications for library education and organi￾zational structures are also discussed.

Section III

Copyright and Licensing

Chapter VIII

The Evolution of License Content ..................................................................................................... 122

Trisha L. Davis, The Ohio State University, USA

Celeste Feather, The Ohio State University, USA

Provides a comparative analysis of 35 licenses created prior to 2000 (and their 2006 equivalents) to reveal

how license agreements have evolved to meet the principles set forth in recent years by the American

Association of Law Libraries, the International Federation of Library Associations, and the NorthEast

Research Libraries. The results of the study indicate that efforts in the library community to encourage

the development of licenses that meet the needs of most institutions are having a positive impact.

Chapter IX

Copyright Implications for Electronic Resources .............................................................................. 145

Aline Soules, California State University, East Bay, USA

Donna L. Ferullo, Purdue University, USA

Begins with an examination of the sections of copyright law that impact electronic resource management.

Copyright is discussed in relation to particular types of electronic resources and their unique characteristics

and challenges. The chapter incorporates information gathered from a survey of professionals working

in a variety of libraries—providing a practical view of how librarians are approaching copyright in the

daily reality of their increasingly electronic environments.

Chapter X

Tactics and Terms in the Negotiation of Electronic Resource Licenses ............................................ 174

Kincaid C. Brown, University of Michigan, USA

Provides the reader with an overview of basic contract law as it relates to electronic resource licensing.

The chapter also discusses the negotiation process as well as license agreement terms and clauses. By

sharing tips and lessons learned in the negotiation process, the author hopes to provide librarians with

a practical understanding of the resource licensing process.

Section IV

Working with Electronic Resources

Chapter XI

Working with Database and E-Journal Vendors to Ensure Quality for End Users ............................ 194

Heather Christenson, California Digital Library, USA

Sherry Willhite, California Digital Library, USA

Describes how the California Digital Library (CDL) supports the thousands of electronic journals,

databases, collections and reference works that are licensed by CDL on behalf of the ten campuses of

the University of California (UC). It indicates that three key components were vital to CDL’s success:

involvement of librarians at all campuses; internal processes for working with vendors; documentation

which emphasizes technical standards and best practices.

Chapter XII

One-Stop Shopping for Journal Holdings .......................................................................................... 213

Janet Crum, Oregon Health & Science University, USA

Advocates providing a unified, seamless, interface for the full range of journal literature available to

library patrons. The author reviews the tools available for making journal collections accessible, and

then analyzes the categories of journal literature to which a library could provide access. It closes with

a brief look at future trends that will affect the ability of libraries to provide coherent, seamless access

to journal literature.

Chapter XIII

Beyond OpenURL: Technologies for Linking Library Resources .................................................... 235

George Boston, Western Michigan University, USA

Randle J. Gedeon, Western Michigan University, USA

Provides an overview of the existing techniques for reference linking of scholarly research materials

and discusses some of the new techniques designed for advanced linking. The discussion also includes

information about the impact of Web and Library 2.0 tools on resource linking.

Chapter XIV

Authentication and Access Management of Electronic Resources .................................................... 250

Juan Carlos Rodriguez, California State University, Sacramento, USA

Bin Zhang, California State University, Sacramento, USA

Opens with a discussion of the need for libraries to provide users with local and remote access to elec￾tronic resources. It discusses authentication and authorization mechanisms currently in use by librar￾ies, their parent organizations and electronic resource providers. The chapter concludes with a look at

considerations and directions libraries and e-resource providers may take in the future to provide secure

and seamless access to electronic resources.

Chapter XV

Using Consistent Naming Conventions for Library Electronic Resources ....................................... 275

Diana Kichuk, University of Saskatchewan, Canada

Points out that there are no accepted standards governing naming electronic resources in A to Z lists or electron￾ic resource management (ERM) systems. Current practice superficially resembles cataloging standards and

guidelines, but is substantially ad hoc, and reliant on local adaptation and innovation. The issues related to naming

electronic resources are discussed and a draft set of principles and conventions is offered.

Section V

Electronic Resource Management Systems (ERMS)

Chapter XVI

Standards, the Structural Underpinnings of Electronic Resource Management Systems ................. 295

Ted Koppel, ExLibris Inc., USA

Built to manage all steps in the lifecycle of an electronic product, ERM systems must interoperate with

existing integrated library systems (ILS), public service, and financial software already in use within the

library. The importance of ERM standards is discussed, including efforts like SUSHI and the License

Expression Work Group to define new standards and protocols for ERM systems.

Chapter XVII

Challenges and Potentials of Electronic Resource Management ........................................................ 306

Yvonne Wei Zhang, California State University, Pomona, USA

Discusses problems encountered at an institution during the installation and utilization of ERM systems,

such as Ex-Libris SFX and III ERM. The author’s objective is to provide readers with a balanced un￾derstanding of ERMS pros and cons from a librarian’s perspective.

Chapter XVIII

Panorama of Electronic Resource Management Systems .................................................................. 322

Margaret Hogarth, University of California, Riverside, USA

Viki Bloom, University of California, Riverside, USA

Discusses the Electronic Resource Management Initiative reports, various library-developed systems,

and how existing and developing standards help with the continued development of ERMS and with

their integration into integrated library systems.

Chapter XIX

The Impact of Locally Developed Electronic Resource Management Systems ................................ 350

Marie R. Kennedy, University of Southern California, USA

The development of “home grown” tools at several academic institutions is traced, with a focus on the

aspects of how the systems are unique to each university. As a result of locally development systems,

community-wide efforts to identify key elements for managing electronic resources have begun to

emerge.

Chapter XX

The Future of Electronic Resource Management Systems: Inside and Out ...................................... 363

Ted Fons, Innovative Interfaces Inc., USA

Examines ways in which collection analysis and other functionality might be facilitated by the use of

data stored in electronic resource management systems. The author suggests that as ERMS evolve, their

utility should expand to include collection analysis as well as the source for critical access and license

data for patrons wherever they access the library’s electronic resources.

Chapter XXI

In the Eye of the Storm: ERM Systems Guiding Libraries’ Future ................................................... 374

Ted Koppel, ExLibris Inc., USA

Describes how libraries have struggled to rethink policies, procedures, systems, and their own roles,

to meet the information seeking and research demands of their patrons. The chapter discusses ways

in which ERMS should evolve to help libraries meet the challenges of the future. They conclude that

ERMS represent the “new ILS”—the next “heart” of library management systems, and believe that it’s

imperative libraries direct ERMS development in ways that support and advance, rather than undercut,

their missions.

Compilation of References .............................................................................................................. 383

About the Contributors ................................................................................................................... 409

Index ................................................................................................................................................... 414

xiii

Foreword

I am delighted and honored to provide a foreword for this fine collection of richly informative articles

on a wide array of topics within the emerging field of electronic resource management. I think the book

will be just as useful to relative beginners as to those like me who have been working in this area for

some time.

It is no longer news that libraries continue to invest more and more heavily in e-journals, e-journal

back files, “traditional” databases, e-books, and newer types of e-resources of every description—or

that something like 500 libraries have now purchased and are implementing e-resource management

(“ERM”) systems to help them manage these collections more effectively. As director of the Digital

Library Federation’s E-Resource Management Initiative that helped shape many of these systems, I

came to realize during “phase one” of that project both how complex they need to be in order to sup￾port the many different facets of ERM work and how flexible they will need to be to adapt to changing

technologies, business models, and other variables we may now only dimly envision.

With such a challenging and unpredictable environment, what is needed is a collection of articles that

strikes a balance between providing background and practical information for the “here and now” and

helps build toward and bring order to the future; this volume succeeds in doing this remarkably well.

To focus briefly on some immediate and practical organizational concerns, several articles discuss such

crucial issues as workflows, roles and collaboration, or explore how strategic planning or less familiar

approaches like “process mapping” can be used to promote orderly and efficient operations. Others deal

thoroughly and helpfully with more readily defined but still challenging problems like processing and

making optimal use of usage statistics for decision-making, how to present journal holdings, or how to

work productively with vendors on quality control issues—even across a large and complex consortium

like the University of California’s.

Few will dispute that another important and problematic area for libraries, publishers and vendors

these days is licensing; while licenses must be understood and negotiated in the present, evolving business

models and legal developments are likely to have serious implications for the future environment that

libraries will work in. Serious and continuing attention must therefore be paid by librarians to this part

of the landscape, and those seeking a deeper understanding of it will be pleased to see three substantive,

complementary articles that deal, respectively, with the evolution of license terms over the last several

years, the role of copyright, and the negotiation process.

The book also provides much of interest on what might be called the “technical” front, as well.

There are, for example, two helpful articles concerning ERM systems—as well as excellent discussions

of linking technologies and authentication. In addition, there is a nice survey of standards relevant for

ERM systems that describes and explains the important existing and emerging ones and provides use￾ful ideas about how new standards might further simplify and automate needlessly time-consuming

tasks. Lastly, two additional articles focus more directly on and discuss possible but achievable ERM

xiv

“futures”—including one that argues that ERMs can and will provide the core or essential functionality

for future integrated library systems.

That is quite a remarkable notion, since not many years ago there was a pervasive sense among li￾brarians involved in managing electronic resources that they were on their own and had to “make things

up as they went along!” Now it seems much clearer that there is firm ground to stand on while we deal

with our day to day management and operational issues, and one of the great strengths of this collection

is that it helps solidify that place while contributing a basis for intelligent discussions and planning for

the future. That is no mean accomplishment!

Tim Jewell

University of Washington Libraries, USA

June 2007

Tim Jewell has coordinated the Digital Library Federation’s Electronic Resource Management Initiative—which has helped

to encourage and shape the development of electronic management systems and related data standards—since its inception

in 2002. He is currently director of information resources, collections and scholarly communication with the University of

Washington Libraries in Seattle, where he has worked since 1983. Active in regional consortium activities for a number of

years, he also served as visiting program officer for electronic resources at ARL from 1996 to 1998. He holds an MLS from

SUNY-Albany and an MA in sociology from Pennsylvania State University.