mitchell memorial library’s 7 th annual e-resource workshop

Library Standards and E-Resource Management:A survey of current initiatives and standards efforts

Mitchell Memorial Library’s 7th AnnualE-Resource Workshop

July 20, 2007

Oliver PeschEBSCO Information Services

opesch@ebsco.com

Overview

• Background

• Standard development organizations and their standards

• E-Journal Life Cycle

• Relating standard to the life-cycle

• Some observations

• Focus on specific standards (COUNTER, SUSHI, SERU)… time permitting

Overview

• Background

Background

• Management of e-journals is very challenging

• Many organizations are working on ways to help

• A myriad of standards and initiatives exist

• Its not always easy to match a standard to a problem

• Presenting them in a familiar context can help

• ERMI developed the e-journal life-cycle

• This presentation will map standards to the life-cycle

Overview

• Background

Standard development organizations

• NISO

- Accredited by ANSI; develops standards related to information management.

• Editeur

- Focus on developing the standards infrastructure for e-commerce of books and subscriptions. Standard carry the ONIX brand.

• COUNTER

- A collaboration between libraries, publishers and aggregators to ensure provision of usage statistics that are credible, consistent and comparable.

Standard development organizations…

• Digital Library Federation

- A consortium of libraries and related agencies pioneering the use of electronic information technologies and collections.

• ICEDIS (International Committee on EDI for Serials)

- Brings together publisher and subscription agents with the goal of creating industry standards to facilitate the journal subscription business.

• UKSG (United Kingdom Serials Group)

- An interest group to promote the free exchange of ideas on electronic and print serials and the process of scholarly communication.

NISO Standards and initiatives (selected)

Z39.2 – 1994 MARC record

Z39.50 – 2003 Information retrieval in a client-server environment.

Z39.88 – 2004 OpenURL for context sensitive linking

Metasearch XML Gateway (MXG)

Initiative to allow content providers a simple way to make their content available for searching in an federated search environment.

Z39.91 (200x) Collection description standard – part of MXG

Z39.92 (200x) Service description standard – part of MXG

Z39.93 (200x) Standardized Usage Statistics Harvesting (SUSHI)

SERU Shared E-Resource Understanding. Simplify the process of subscribing to e-resources by providing an alternative to license agreements.

ONIX standards from Editeur (selected)

ONIX SPS(version 0.91)

Serials Products and Subscriptions. Standard format for publishers, agents and libraries to communicate product and subscription lists.

ONIX SOH(version 1.1)

Serials Online Holdings. Provides an XML schema for communicating holdings information about online resources.

ONIX SRN(version 0.91)

Serials Release Notification. Message format for communicating information about a new release of a journal. The message can reflect an issue, an article or articles within an issue.

ONIX PL(in development)

Publication License. A message format for communicating terms of license agreements in a structured way. Initiative also is producing a license editor. Note that this format is not intended for “machine actionable” terms as might be used Digital Rights Management systems.

COUNTER

COUNTER Code of Practice for Journals and Databases (release 2)

Guidelines on terminology, processing, formatting and delivery of usage reports for journals and databases.

COUNTER Code of Practice for Books and Reference Works (release 1)

Guidelines on terminology, processing, formatting and delivery of usage reports for books and other reference works.

COUNTER XML Schema

An XML schema that enables the transfer of COUNTER usage reports between systems

DLF (E-Resource Management Initiatives)

ERMI The E-Resource Management Initiative was a joint library and vendor effort to address the complexity of managing e-resources. This initiative produced a report, functional specifications, data dictionary and entity diagrams that form the basis of most ERM systems.

ERMI-2 A continuation of ERMI focusing on data standards, license expression and usage data.

ICEDIS

ICEDIS Automates the transfer of orders, renewals and transfers between subscription agents and publishers. Uses the EDI protocol.

TRANSFER A working group formed to address the problems resulting from a transfer of title(s) from one publisher to another. Developing guidelines and a central repository to serve as a knowledge base for transferred titles.

Overview

• Background

• Relating standard to their life-cycle

ACQUIREACQUIREACQUIREACQUIRE

SUPPORTSUPPORTSUPPORTSUPPORT

Title Lists Prices

License Terms

Invoices

Title Lists Cataloging

Holdings lists

Proxy support

Usage data

Business terms

Invoices

Holdings changes

Title list changes

Trouble shooting

Contacts Check-in

Claims

Use rights & restrictions

Business terms

Registration & activation

Cost data

Renewal orders

Orders

Searching & Linking

Subscription Lists

Overview

• Background

Standards related to the life-cycle: Disclaimers

In the following slides we provide more details on the life-cycle from the perspective of information transfer and, in particular, the potential for that transfer to be from machine to machine. In this regard:

- The discussion is not exhaustive

- The parties indicated are intended to represent parties most likely to engage in machine-to-machine transfer of data (e.g. make use of the standards)

- The standards identified are those which define or enable automated data exchange.

- Standards are listed due to their potential to help solve the problem, in many cases these standard have not been fully adopted or may still be in draft form.

Title Lists Prices

License Terms

Invoices

Business terms

Orders

Subscription Lists

WHAT: Package and price info

PARTIES: publisherlibrary publisheragent agentlibrary

STANDARD: ONIX SPS

WHAT: Package and price info

STANDARD: ONIX SPS

WHAT: List of current subscriptions (also needed for packages)

PARTIES: librarypublisher publisheragent

STANDARD: ONIX SPS

WHAT: List of current subscriptions (also needed for packages)

PARTIES: librarypublisher publisheragent

STANDARD: ONIX SPS

WHAT: Start date, term, price and payment terms, etc.

STANDARD: ONIX PL; SERU

WHAT: Start date, term, price and payment terms, etc.

STANDARD: ONIX PL; SERU

WHAT: License terms and conditions (terms of use)

STANDARD: ONIX PL; ERMI license terms; SERU

WHAT: License terms and conditions (terms of use)

STANDARD: ONIX PL; ERMI license terms; SERU

WHAT: List of content included in the transaction

STANDARD: ONIX SPS; ONIX SOH

WHAT: List of content included in the transaction

STANDARD: ONIX SPS; ONIX SOH

WHAT: Orders and proof of payment

PARTIES: agentfulfillment

STANDARD: ICEDIS

WHAT: Orders and proof of payment

PARTIES: agentfulfillment

STANDARD: ICEDIS

WHAT: Detailed invoice for subscriptions

PARTIES: agentlibrary (ILS) agentlibrary (ERM) library (ILS)library (ERM

STANDARD: <none>

WHAT: Detailed invoice for subscriptions

PARTIES: agentlibrary (ILS) agentlibrary (ERM) library (ILS)library (ERM

STANDARD: <none>

Cataloging

Holdings lists

Proxy support

Registration & activation

Searching & Linking

WHAT: Bibliographic data

PARTIES: agentlibrary (OPAC) publisherlibrary (OPAC) EAMSlibrary (OPAC)

STANDARD: Z39.2 (MARC)

WHAT: Bibliographic data

PARTIES: agentlibrary (OPAC) publisherlibrary (OPAC) EAMSlibrary (OPAC)

STANDARD: Z39.2 (MARC)

WHAT: Holdings data with URLs and coverage

PARTIES: agentlibrary publisherlibrary EAMSlibrary

STANDARD: ONIX SOH

WHAT: Holdings data with URLs and coverage

STANDARD: ONIX SOH

WHAT: Proxy configuration info (list of domains)

PARTIES: agentlibrary EAMS library

STANDARD: <none>

WHAT: Proxy configuration info (list of domains)

PARTIES: agentlibrary EAMS library

STANDARD: <none>

WHAT: Order details for e-journals

PARTIES: agenthost agentfulfillment fulfillmenthost

STANDARD: ICEDIS

WHAT: Order details for e-journals

PARTIES: agenthost agentfulfillment fulfillmenthost

STANDARD: ICEDIS

WHAT: Searching of collection

PARTIES: librarycontent provider metasearchcontent provider

STANDARD: Z39.50; MXG; Z39.91; Z39.93

WHAT: Searching of collection

PARTIES: librarycontent provider metasearchcontent provider

STANDARD: Z39.50; MXG; Z39.91; Z39.93

WHAT: Context sensitive linking

PARTIES: content providerlink resolver

STANDARD: Z39.88 (OpenURL)

WHAT: Context sensitive linking

PARTIES: content providerlink resolver

STANDARD: Z39.88 (OpenURL)

Holdings changes

Title list changes

Check-in

Claims

Use rights & restrictions

WHAT: Interpretations of rights and restrictions of use

PARTIES: agentlibrary (ERM) publisherlibrary (ERM) library (ERM)library (AtoZ)

STANDARD: ERMI license terms; ONIX PL

WHAT: Interpretations of rights and restrictions of use

PARTIES: agentlibrary (ERM) publisherlibrary (ERM) library (ERM)library (AtoZ)

STANDARD: ERMI license terms; ONIX PL

WHAT: Holdings data including URLs and coverage

STANDARD: ONIX SOH; Z39.2 (MARC)

WHAT: Holdings data including URLs and coverage

STANDARD: ONIX SOH; Z39.2 (MARC)

WHAT: Titles moving between publishers

PARTIES: publisheragent publisherlibrary agentlibrary

STANDARD: TRANSFER

WHAT: Titles moving between publishers

STANDARD: TRANSFER

WHAT: Alerts on new issues

STANDARD: ONIX SRN

WHAT: Alerts on new issues

STANDARD: ONIX SRN

WHAT: Alerts on missing issues

PARTIES: library (ILS)agent agentpublisher library (ILS)publisher

STANDARD: <none>

WHAT: Alerts on missing issues

PARTIES: library (ILS)agent agentpublisher library (ILS)publisher

STANDARD: <none>

Trouble shooting

Contacts

WHAT: Who to contact for various needs (sales, technical, etc.)

PARTIES: publisherlibrary publisheragent agentibrary

STANDARD: <none>

WHAT: Who to contact for various needs (sales, technical, etc.)

PARTIES: publisherlibrary publisheragent agentibrary

STANDARD: <none>

WHAT: Information on triage and solving problems.

PARTIES: publisherlibrary (ERM) agentlibrary (ERM)

STANDARD: <none>

WHAT: Information on triage and solving problems.

PARTIES: publisherlibrary (ERM) agentlibrary (ERM)

STANDARD: <none>

Usage data

Cost data

WHAT: Usage data

PARTIES: content hostlibrary (ERM) usage servicelibrary

STANDARD: COUNTER; Z39.88 (SUSHI)

WHAT: Usage data

PARTIES: content hostlibrary (ERM) usage servicelibrary

STANDARD: COUNTER; Z39.88 (SUSHI)

WHAT: Cost information including breakdown by content item

PARTIES: agentlibrary publisherlibrary library (ILS)library (ERM)

STANDARD: ONIX SPS

WHAT: Cost information including breakdown by content item

PARTIES: agentlibrary publisherlibrary library (ILS)library (ERM)

STANDARD: ONIX SPS

Overview

• Background

Observations

The message versus the transfer of the message

• Seamless integration of systems requires a message and a means of transferring that message

• Many standards focus on the message (e.g. ONIX, COUNTER XML schema, etc.)

• Yet don’t prescribe how two systems should exchange the message.

• Opportunities exist for continued development of exchange protocols like SUSHI and OpenURL (which focus on the exchange of messages that may be defined by another standard.)

Observations

Evolving definitions of business needs

• Growing sophistication of ERMs require additional data

- Cost information

- Packages costs broken out by title

- Fund information

• Some existing standards don’t handle these new needs (e.g. ONIX SPS does not allow for cost at title level)

• Existing standards will need to be updated

• Standards processes need to be light to allow adaptation in a timely manner

Observations

Standards are more important than ever

• Concepts like Web 2.0 are about seamless integration of sites and services

• To make things appear simple on the surface requires un-seen complexity behind the scenes

• This complexity needs standards for successful scaling

• Collaboration and community involvement is key!

Overview

• Background

Focus on specific standards

• COUNTER

• SUSHI

• SERU

• Non-profit organization includes librarians, publishers and aggregators

• Lead in the standardization of usage

- How use is counted

- How use is reported

• “Consistent, credible, comparable”

http://www.projectcounter.org/

COUNTER Code of Practice

• Code of Practice first released Jan 2003

• Release 2 released Jan 2006

• Code of Practice Addresses:

- Terminology

- Layout and format of reports

- Processing of usage data

- Delivery of reports

http://www.projectcounter.org/code_practice.html

COUNTER Usage Reports

Journal Reports: • JR1: Full Text Article Requests by Month and Journal

• JR2: Turnaways by Month and Journal

Database Reports:

• DB1: Total Searches and Sessions by Month and Database

• DB2: Turnaways by Month and Database

• DB3: Searches and Sessions by Month and Service

Books and Reference Works:

• Title Requests, Section Requests, Searches and Turnaways

Journal Report 1:Number of Successful Full-Text Article Requests by Month and Journal

Explicit report layout – “consistent”

“Credible” – COUNTER Audit

• Beginning 2007, an audit must be passed for a vendor’s service to be compliant

• Conducted by auditor certified accountant or by organization accredited by COUNTER (ABCE)

• At vendor expense

Overview

• COUNTER

• SUSHI

• SERU

SUSHI: Objectives

• Solve the problem of harvesting and managing usage data from a growing number of providers.

• Promote consistency in usage formatting (XML)

• Automate the process

SUSHI: What is it?

• An XML Message

• Methods to transfer the message between two systems

• Implemented as a Web service

• Using SOAP (Simple Object Access Protocol)

SUSHI : The Exchange

Report Request

Report Response<Requester>

SUSHI Architecture

• The next series of slides graphically show a SUSHI transaction

- Library system requests a usage report

- SUSHI client makes the request

- SUSHI server processes request

- SUSHI server prepares COUNTER report

- SUSHI server “packages” and returns response

- SUSHI client processes COUNTER report

Content ProviderLibrary

SUSHIServer

(web service)

UsageData

SUSHIClient

Request

Internet

The SUSHI request is sent to the Content Provider. The request specifies the report and the library the report is for.

?Request

SUSHIServer

(web service)

UsageData

SUSHIClient

Internet

The COUNTER report (XML) is created and added to the Response as its payload. The response is sent to the client.

?Response

COUNTER

SUSHIServer

(web service)

UsageData

SUSHIClient

Internet

The SUSHI client processes the response and extracts the COUNTER report.

?Response

COUNTER

SUSHI: from concept to standard in record time!

• The SUSHI Steering Committee

- Nov. 2004 - Meetings between Cornell & Innovative

- July 2005 – Cross-Industry Committee forms:Libraries; ILS vendors; Content providers

- Fall 2005 – Technical discussions

- Winter 2006 – Live harvests

- Spring 2006 – NISO involvement

- September 2006 – Draft standard for trial use

- May 2007 – Successful trial period ends

- Summer 2007 – Z39.93 presented for ballot

SUSHI: Adoptions and future

• Release of final standard later this year

• COUNTER Release 3

- Consortia reports

- New COUNTER Schema

- SUSHI compliance

• Extendible design

- Other reports

- Other “payloads”

SUSHI: Status of Z39.93 200x

• Trial period ended in May 2007

• Successful implementations

• A few minor technical adjustments were made

• Revisions to the standard have been finalized

• Standard is at ballot – closes September 1

SUSHI: Contributing Partners

Founding Members:

• EBSCO

• Ex Libris

• Innovative Interfaces, Inc.

• Swets Information Services

• Thomson Scientific

Newer members:

• Endeavor Information Systems

• Florida Center for Library Automation

• College Center for Library Automation (CCLA) from the State of Florida Community Colleges

• Otto Harrassowitz

• OCLC

• Project Euclid

• Serials Solutions

• SirsiDynix

• NISO Website:

http://www.niso.org/committees/SUSHI/SUSHI_comm.html

• SUSHI Schemas:

http://www.niso.org/schemas/sushi/index.html

• SUSHI FAQ:

http://docs.google.com/View.aspx?docid=d2dhjwd_63tkkwf

- What is the relationship of the COUNTER payload schema to the SUSHI schema?

- What variable information has to be supplied in a SUSHI (client) request?

- What variable information has to be supplied in a SUSHI (server) response?

- What COUNTER reports can be delivered with SUSHI?

- Does SUSHI support older Releases of the COUNTER reports?

SUSHI: Resources

Overview

• COUNTER

• SUSHI

• SERU

• Shared Electronic Resource Understanding

• Intended to “stop the madness” of e-journal licenseing (or at least reduce the madness)

• A mutual understanding on how e-resources will be acquired and used

• Allows transactions to take place without the need for a formal license

• Does not replace all license agreements (only works when the understanding is mutual and agreeable)

• Is NOT a standard license or license of adhesion (e.g. click-through)

Supporting Organizations

Publishers

- ALPSP – Association of Learned and Professional Society Publishers

- SSP – Society for Scholarly Publishing

Librarians

- ARL - Association of Research Libraries

- SPARC – Scholarly Publishing & Academic Resources Coalition

* Slide courtesy Karla Hahn

Topics of Shared Understanding

• Subscriptions and subscribers

• Appropriate and inappropriate use

• Confidentiality and privacy

• Online performance and service

• Archival and perpetual access

Next Steps

• Draft statements (v 0.9) available

• Pilot launched June 4, 2007

• Trial period runs through December

• Formal NISO Review Process in 2008

To learn more

• Visit the SERU web site at

www.NISO.org/committees/SERU

- Review draft documents

- Sign up for the SERU listserv to be notified of developments

- Register to participate in the pilot

Thank you!

Oliver Pesch

opesch@ebsco.com

mitchell memorial library’s 7 th annual e-resource workshop

specific standards counter

library standards

niso standards

standards infrastructure

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helpa myriad of standards

seru time permittingstandards

challengingmany organizations

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