The DLF Electronic Resource Management Initiative

The DLF Electronic The DLF Electronic Resource Resource

Management Management InitiativeInitiativeSharon E. Farb Sharon E. Farb

Angela RiggioAngela Riggio

UC Electronic Resource Management Planning UC Electronic Resource Management Planning MeetingMeeting

March 11, 2004March 11, 2004UC IrvineUC Irvine

Talk OutlineTalk Outline

Overview and Context of Digital Resource Overview and Context of Digital Resource Management InitiativesManagement Initiatives

The DLF E-resource Management The DLF E-resource Management InitiativeInitiative

How Can This Work Be Used In UC-wide How Can This Work Be Used In UC-wide Environment? Impact, Challenges, And Environment? Impact, Challenges, And Next StepsNext Steps

Questions And CommentsQuestions And Comments

Context for Digital-Context for Digital-Resource Mgmt.Resource Mgmt.

Logarithmic growth of d-resourcesLogarithmic growth of d-resources High demand for 24/7 accessHigh demand for 24/7 access Digital resource budget shares continue to Digital resource budget shares continue to

growgrow (mostly digital environment in 5 years?)(mostly digital environment in 5 years?)

Budget issues driving shift to d-only journal Budget issues driving shift to d-only journal accessaccess

Dynamic marketplace & business modelsDynamic marketplace & business models Impact of licensingImpact of licensing D-resources are complex (to acquire, D-resources are complex (to acquire,

describe, fund, and troubleshoot and support)describe, fund, and troubleshoot and support) ““Google-ization” (make it easy or forget it!)Google-ization” (make it easy or forget it!)

Digital Resource Digital Resource Management Systems and Management Systems and

InitiativesInitiatives California Digital LibraryCalifornia Digital Library Colorado Alliance (Gold Colorado Alliance (Gold

Rush)Rush) ColumbiaColumbia Griffith University Griffith University

(Australia)(Australia) Harvard (ExLibris)Harvard (ExLibris) Johns Hopkins Johns Hopkins

(HERMES) (Dynix)(HERMES) (Dynix) MIT (VERA) (ExLibris)MIT (VERA) (ExLibris) MichiganMichigan MinnesotaMinnesota Notre Dame Notre Dame Penn State (ERLIC)Penn State (ERLIC)

Stanford Stanford Texas (License Tracker)Texas (License Tracker) Tri-College Consortium Tri-College Consortium

(Haverford, Bryn Mawr, (Haverford, Bryn Mawr, Swarthmore)Swarthmore)

UCLA (erdb)UCLA (erdb) University of GeorgiaUniversity of Georgia University of Washington University of Washington

(III)(III) VirginiaVirginia Willamette UniversityWillamette University YaleYale

Chaos or Convergence? Chaos or Convergence? Other related work in progressOther related work in progress Increasing vendor development and library-Increasing vendor development and library-

vendor collaborationvendor collaboration NISO/EDItEUR Joint Working Party for the NISO/EDItEUR Joint Working Party for the

Exchange of Serials Information (ONIX for Exchange of Serials Information (ONIX for Serials)Serials)

Project COUNTER—Usage statisticsProject COUNTER—Usage statistics ODRL—Open Digital Rights Language (v. ODRL—Open Digital Rights Language (v.

XrML)XrML) Shibboleth—AuthenticationShibboleth—Authentication What has not been designed: a consortial, What has not been designed: a consortial,

interactive, collaborative digital resource interactive, collaborative digital resource management tool. management tool.

ERM Metadata Standards ERM Metadata Standards ComparisonComparison

DLF ERMI Steering Group:DLF ERMI Steering Group:

Tim Jewell (University of Washington)Tim Jewell (University of Washington) Ivy Anderson (Harvard)Ivy Anderson (Harvard) Adam Chandler (Cornell)Adam Chandler (Cornell) Sharon Farb (UCLA)Sharon Farb (UCLA) Angela Riggio (UCLA)Angela Riggio (UCLA) Kimberly Parker (Yale)Kimberly Parker (Yale) Nathan D. M. Robertson (Johns Nathan D. M. Robertson (Johns

Hopkins)Hopkins)

DLF ERMI GoalsDLF ERMI Goals FormalFormal

Describe architectures needed Describe architectures needed Establish lists of elements and definitionsEstablish lists of elements and definitions Write and publish XML Schemas/DTD’sWrite and publish XML Schemas/DTD’s Promote best practices and standards for Promote best practices and standards for

data interchangedata interchange

InformalInformal Promote growth and development of Promote growth and development of

vendor and local ERM systems and vendor and local ERM systems and servicesservices

http://www.diglib.org/standards/dlf-http://www.diglib.org/standards/dlf-erm02.htmerm02.htm

Project DeliverablesProject Deliverables

Problem Definition/Road MapProblem Definition/Road Map Workflow Diagram Workflow Diagram Functional SpecificationsFunctional Specifications Entity Relationship DiagramEntity Relationship Diagram Data Elements and DefinitionsData Elements and Definitions XML SchemaXML Schema

Librarian Reactor Panel (17 Librarian Reactor Panel (17 members)members)

Bob Alan (Penn State)Bob Alan (Penn State) Angela Carreno (NYU)Angela Carreno (NYU) Trisha Davis (Ohio Trisha Davis (Ohio

State)State) Ellen Duranceau (MIT)Ellen Duranceau (MIT) Christa Easton Christa Easton

(Stanford)(Stanford) Laine Farley (CDL)Laine Farley (CDL) Diane Grover Diane Grover

(Washington)(Washington) Nancy Nancy

Hoebelheinreich Hoebelheinreich (Stanford)(Stanford)

Norm Medeiros Norm Medeiros (Haverford)(Haverford)

Linda Miller (LC)Linda Miller (LC) Jim Mouw (Chicago)Jim Mouw (Chicago) Andrew Pace (NCSU)Andrew Pace (NCSU) Carole Pilkinton Carole Pilkinton

(Notre Dame)(Notre Dame) Ronda Rowe (Texas)Ronda Rowe (Texas) Jim Stemper Jim Stemper

(Minnesota)(Minnesota) Paula Watson (Illinois)Paula Watson (Illinois) Robin Wendler Robin Wendler

(Harvard)(Harvard)

Vendor Reactor Panel (12 Vendor Reactor Panel (12 Members)Members)

Tina Feick (SWETS Blackwell)Tina Feick (SWETS Blackwell) Ted Fons (Innovative Interfaces)Ted Fons (Innovative Interfaces) David Fritsch (TDNet)David Fritsch (TDNet) Kathy Klemperer (Harrassowitz)Kathy Klemperer (Harrassowitz) George Machovec (Colorado Alliance)George Machovec (Colorado Alliance) Mark Needleman (SIRSI)Mark Needleman (SIRSI) Oliver Pesch (EBSCO)Oliver Pesch (EBSCO) Chris Pierard (Serials Solutions)Chris Pierard (Serials Solutions) Kathleen Quinton (OCLC)Kathleen Quinton (OCLC) Sara Randall (Endeavor)Sara Randall (Endeavor) Ed Riding (Dynix)Ed Riding (Dynix) Jenny Walker (ExLibris)Jenny Walker (ExLibris)

Entity-Relationship Entity-Relationship DiagramDiagram

ELECTRONIC PRODUCT

PRINT VERSION

WORK

E-RESOURCE

ACQUISITIONUSER GROUP

AVAILABLE TO

LICENSE

LIBRARY

CONSORTIAL

PARTICIPATION

ORGANIZATION

is licensee

publishes

provides

vends

includes/is part of

TERMS DEFINED

E-PRODUCT/

LICENSE

negotiates

ACCESS

INFO

ADMIN

INFO

is licensor

LOCATION

AVAILABLE AT

CONSORTIUM

PARTNER LIBRARY

INTERFACE

delivers

WORKFLOW RULES

CONTACT

PROCESSING

WORKFLOW

TRIAL

PREVAILING TERMSCONTACT

RESPONSIBILITIES

negotiates

LIBRARY

PARTICIPATION

Data Element Dictionary: Data Element Dictionary: OverviewOverview

Brief historyBrief history Structural simplicityStructural simplicity

Data Element NameData Element Name IdentifierIdentifier DefinitionDefinition CommentsComments

Groundwork for Data Structure and Groundwork for Data Structure and ERDERD

Data Element DictionaryData Element Dictionary

Data Elements: Data Elements: ConsiderationsConsiderations

Overlap/integration with existing Overlap/integration with existing metadata schemametadata schema

ISO 11179ISO 11179 Element namesElement names Defining complex conceptsDefining complex concepts Exhaustibility/flexibilityExhaustibility/flexibility Recommending standards for Recommending standards for

element valueselement values

Data Structure OverviewData Structure Overview

ERD + DED = Data structureERD + DED = Data structure Data Dictionary ElementsData Dictionary Elements

plus entity identifiersplus entity identifiers plus pointers between entitiesplus pointers between entities

Data Dictionary DefinitionsData Dictionary Definitions plus data typesplus data types functionalityfunctionality optionality & cardinalityoptionality & cardinality

ERMS Data StructureERMS Data StructureAdministrative Information Entity Support Group

Definition: Used to record information necessary to support use of the electronic resource

Elements Hardware Requirements, Software Requirements, Maintenance Window Value, Provider System Status Uniform Resource Indicator,Provider System Status Uniform Resource Indicator Type, Resource Unavailable Flag, Resource Advisory Note, Incident Log,Training Information, Administrative Documentation, User Documentation

Notes FS36.5

Element DefinitionElementType

System Use /Functionality

Values Optionality Cardinality Notes / Examples

HardwareRequirements

Information about hardware requirements text R N

SoftwareRequirements

Information about software requirements text R N e.g., browser versions, plug-ins, fonts, andspecial client software

MaintenanceWindow Value

The provider's regularly-scheduleddowntime window for this resource

text FS36.2 R N

Provider SystemStatus UniformResource Indicator

The URI at which the provider posts systemstatus information

text hypertext linkfunctionality.Paired elementwith ProviderSystem StatusUniformResourceIndicator TypeFS36.4

Layout: URI.Latest Draft:UniformResourceIdentifiers (URI):Generic Syntax(RFC 2396)(August 1998)

R N

Provider SystemStatus UniformResource IndicatorType

The type of URI used to post system statusinformation

text Paired elementwith ProviderSystem StatusUniformResourceIndicatorFS36.4

URL, URN, etc RA N

ResourceUnavailable Flag

A flag that indicates that a resource is notavailable

logical public displayFS9

Yes / No O N may trigger a particular action

Resource AdvisoryNote

A note used to describe a problem with aresource, provide advance notice ofanticipated downtime, or convey othertemporary information.

text may be used forpublic displayFS6.2, FS9,FS10, FS36.6

O N

Local PerformanceMonitoring Notes

Information concerning Web sites orprograms that do local performancemonitoring

text FS36.3 O N

Incident Log A log of downtime and problem reports andtheir resolution

text FS36.7 O N An external call tracking system may be usedinstead.

TrainingInformation

Information about special arrangementsavailable for training, for example, tocircumvent simultaneous user restrictions

text FS34.1, FS34.3 O N May also include training contact names andother general information

Value might be a URI pointing to trainingdocumentation or interactive tutorials.

AdministrativeDocumentation

Information about and/or location ofdocumentation available for resourceadministrators

text FS34.2 O N

User Documentation Information about and/or location ofdocumentationavailable for end users

text FS34.2 O N

"The process of definition begins not "The process of definition begins not with an abstract metadata schema but with an abstract metadata schema but with a functional analysis of the with a functional analysis of the application that the metadata schema application that the metadata schema and the commercial and procedural and the commercial and procedural rules are designed to support.”rules are designed to support.”

---- DOI Handbook, 5.7.2DOI Handbook, 5.7.2

Form Follows FunctionForm Follows Function

-- Louis Sullivan-- Louis Sullivan

Development of the SpecsDevelopment of the Specs

Series of meetings between Harvard Series of meetings between Harvard and MIT, Spring 2003 to discuss and MIT, Spring 2003 to discuss possible work with Ex Libris on ERM possible work with Ex Libris on ERM developmentdevelopment

DLF Data Element Set DLF Data Element Set (now Data (now Data Structure and Data Element Dictionary)Structure and Data Element Dictionary)

““But what is the functionality???”But what is the functionality???” Ensuing document formed the basis for the Ensuing document formed the basis for the

current DLF documentcurrent DLF document

Functional Requirements:Functional Requirements:Guiding PrinciplesGuiding Principles

Integrated environment for Integrated environment for management and accessmanagement and access

Interoperation and/or exchange of Interoperation and/or exchange of data with existing services: OPACs, data with existing services: OPACs, web portals, library management web portals, library management systems, link resolution services…systems, link resolution services…

Single point of maintenance for each Single point of maintenance for each data element data element

FunctionsFunctions

Support the ongoing and persistent Support the ongoing and persistent ‘life cycle’ or “continuum” of digital ‘life cycle’ or “continuum” of digital resourcesresources

Selection and acquisitionSelection and acquisition Access provisionAccess provision Resource administration and supportResource administration and support Renewal and retention decisionsRenewal and retention decisions

Provide Support

EvaluateMonitor Provide Access

RegisterRegister

IP AddressesIP Addresses

Portals/ Access lists

Portals/ Access lists

Proxy serversProxy servers

Campus authentication

Campus authentication

URL maintenance

URL maintenance

Acquire

User IDsUser IDs

Preferences (store)

Preferences (store)

Holdings listsHoldings lists

Access restrictions

Access restrictions

View rights for use

View rights for use

Problem logProblem log

Hardware needs

Hardware needs

Software needs

Software needs

Contact infoContact info

Troubleshoot/ triage

Troubleshoot/ triage

Trial useTrial use

Assess need/budget

Assess need/budget

License terms

License terms

PricePrice

EvaluateEvaluate

Administer

Usage statsUsage stats

Downtime analysis

Downtime analysis

Review problemsReview

problems

User feedback

User feedback

Selection and Selection and AcquisitionAcquisition

Mount TrialsMount Trials EvaluateEvaluate

Content, interfaceContent, interface Technical compatibilityTechnical compatibility

SelectSelect Arrange funding / make dealsArrange funding / make deals

Negotiate LicenseNegotiate License OrderOrder

Access ProvisionAccess Provision Manage IP addresses and passwords Manage IP addresses and passwords Store & maintain URLsStore & maintain URLs Catalog / add to resource discovery Catalog / add to resource discovery

portalsportals Provide remote access services (e.g. Provide remote access services (e.g.

via proxy server)via proxy server) Interface with local authentication Interface with local authentication

and authorization servicesand authorization services Assign persistent namesAssign persistent names

AdministrationAdministration Keep track of administrative IDs Keep track of administrative IDs

and passwordsand passwords Configure resources for local useConfigure resources for local use

user interface optionsuser interface options institutional brandinginstitutional branding link resolverslink resolvers etc.etc.

Mechanisms for restricting access Mechanisms for restricting access to administrative functionsto administrative functions

SupportSupport

Staff and end usersStaff and end users Hardware and software requirementsHardware and software requirements Downtime informationDowntime information Incident loggingIncident logging User support, documentation and trainingUser support, documentation and training Designated vendor and local support contactsDesignated vendor and local support contacts Mechanisms for disseminating information to:Mechanisms for disseminating information to:

Reference librariansReference librarians Help desk staffHelp desk staff

RenewalRenewal

Information needed for renewal Information needed for renewal and retention decisionsand retention decisions Problem historyProblem history Downtime recordsDowntime records Usage statisticsUsage statistics Renewal ticklersRenewal ticklers

Functional Requirements: Functional Requirements: (excerpt)(excerpt)

32. Store license rights and terms for 32. Store license rights and terms for reference, reporting, and control of reference, reporting, and control of servicesservices

32.1 For services including but not limited to 32.1 For services including but not limited to ILL, reserves, distance education, course ILL, reserves, distance education, course web sites, and course packs:web sites, and course packs:32.1.1 Identify whether a given title may be used 32.1.1 Identify whether a given title may be used

for the service and under what conditionsfor the service and under what conditions

32.1.2 Generate reports of all materials that may 32.1.2 Generate reports of all materials that may or may not be used for the service, with notes or may not be used for the service, with notes about conditions about conditions

Core Requirements (2)Core Requirements (2) Support integrated bibliographic access Support integrated bibliographic access

and managementand management Provide relevant license information to the end userProvide relevant license information to the end user

Share and/or exchange bibliographic data with other local Share and/or exchange bibliographic data with other local

systems and data exchange partnerssystems and data exchange partners Store access-related informationStore access-related information

urls, IDs, passwords, ip addressesurls, IDs, passwords, ip addresses

Store administrative informationStore administrative information Administrative urls, IDs, passwordsAdministrative urls, IDs, passwords

Configuration information (Z39.50, MARC records, Configuration information (Z39.50, MARC records,

OpenURL resolvers)OpenURL resolvers)

Usage statistics metadataUsage statistics metadata

Functional Requirements:Functional Requirements:Reactor Panel ThemesReactor Panel Themes

Minimizing duplicative data among Minimizing duplicative data among systemssystems Which is the system of record?Which is the system of record?

‘‘Consistent information for the user Consistent information for the user regardless of the path taken’-- is this regardless of the path taken’-- is this realistic?realistic?

Appropriate locus of acquisitions Appropriate locus of acquisitions functionalityfunctionality ERMS or LMSERMS or LMS

Usage statisticsUsage statistics Pointers vs. ContainersPointers vs. Containers

Access managementAccess management Optional support for persistent URIs Optional support for persistent URIs Functional integration with local access Functional integration with local access

management environment (e.g. proxy servers)management environment (e.g. proxy servers)

XML Investigation ScopeXML Investigation Scope

Possible use case examplesPossible use case examples Focused special attention on Focused special attention on problem of formatting problem of formatting holdings dataholdings data Feasibility of XML schema to Feasibility of XML schema to represent elements and entitiesrepresent elements and entities Next stepsNext steps

Possible Use Case ExamplesPossible Use Case Examples

A web service between libraries and A web service between libraries and vendors for reporting and vendors for reporting and communicating support incidentscommunicating support incidents

Transmission of IP ranges to vendors Transmission of IP ranges to vendors and contact info to librariesand contact info to libraries

Exchange license data with a Exchange license data with a contracting partnercontracting partner

XML Next StepsXML Next Steps

Continue work with Renato Continue work with Renato Iannella: how may the Open Digital Iannella: how may the Open Digital Rights Language be used to Rights Language be used to represent license terms?represent license terms? Create instance documents to Create instance documents to demonstrate possible use of the demonstrate possible use of the DLF ERMI base schemaDLF ERMI base schema Secondary product: further Secondary product: further refinement of our element set refinement of our element set attributesattributes

SummarySummary Managing electronic resources over time Managing electronic resources over time

creates unique challenges for libraries of creates unique challenges for libraries of all typesall types

What functionality and metadata are What functionality and metadata are required to support persistent e-resource required to support persistent e-resource management across and among UC and management across and among UC and other libraries?other libraries?

DLF project offers first comprehensive DLF project offers first comprehensive schema, data model and tools specifically schema, data model and tools specifically designed to address e-resources designed to address e-resources throughout their lifecycle throughout their lifecycle

What further work is necessary to guide or What further work is necessary to guide or maintain development in this area? maintain development in this area?

Issues and Implications Issues and Implications (1)(1)

Overall d-environment—highly Overall d-environment—highly dynamic, logarithmic growth, high dynamic, logarithmic growth, high cost, multidimensional naturecost, multidimensional nature

Library environment—particularly Library environment—particularly complexcomplex

Hard to predict the future—plethora of Hard to predict the future—plethora of business modelsbusiness models

Growing reliance and investment in e-Growing reliance and investment in e-resources with no guarantees re digital resources with no guarantees re digital archiving or persistent accessarchiving or persistent access

IssuesIssues and Implications and Implications (2)(2)

No single global identification systemNo single global identification system No registry or authority list of No registry or authority list of

identifiers, packages or providersidentifiers, packages or providers Vocabulary issuesVocabulary issues Privacy and confidentiality re Privacy and confidentiality re

authenticationauthentication Usage data--COUNTER, ARL e-metrics?Usage data--COUNTER, ARL e-metrics? Open v. proprietary standards Open v. proprietary standards Customization and standardizationCustomization and standardization Interoperability of stand-alone ERM?Interoperability of stand-alone ERM?

No Silver BulletNo Silver Bullet

A variety of initiatives and projects A variety of initiatives and projects addressing various aspects of d-addressing various aspects of d-resource managementresource management

To date, none has specifically To date, none has specifically addressed the complexity and addressed the complexity and challenge of consortiachallenge of consortia

This planning meeting is an This planning meeting is an opportunity to begin that discussionopportunity to begin that discussion