CDL Acquisitions and the Shared Cataloging Program

A Collaborative Vision RealizedA Presentation By

Becky Culbertson, Ryan J. Finnerty,Adolfo R. Tarango, and Terry Vrable

To UC Library Staff

June 21, 2005 through November 10, 2005

Presentation Overview

• CDL Acquisitions

• Shared Cataloging Program Background

• Cataloging

• Record Manipulation and Distribution

• Beckoning on the Horizon

CDL Acquisitions: Who We Are

• Acquisitions functions were outsourced to a UC campus

• We started small and grew with the CDL. Staff now includes:– Tony Harvell (tharvell@ucsd.edu) – Katie Grimm (cgrimm@ucsd.edu) – Maria Figueroa (mdfigueroa@ucsd.edu) – Terry Vrable (tvrable@ucsd.edu)

How We Fit In: Some Background on the CDL’s Selection Process

CDL LicensingWork Plan,2004-2005

Licensing Analysis-- price quote

-- business terms-- technical pro/con

-- current print/digitalexpenditures

Marching Orders

JSC Proposaland Campus/

CDL CostShares

Formal Proposalwith

Co-InvestmentScenarios

to CDC

Vendor

Vendor

Vendor

JSC AnnualSurvey on Digital

Priorities

JSCSummary

Candidatesfor Tier 2Licensing

CDCBibliographerGroups and

other SubjectSpecialists

CDL andCampusBudgets

CDCReview

Our Role: Traditional Acquisitions Functions

– During the negotiation process we provide support to CDL Licensed Content staff including• Collection of subscription information from

UC campuses• Preparation and verification of the UC

Subscription Base (content and value) for journals packages

Traditional Acquisitions Functions

• Creation of the formal purchase order in UCSD’s Acquisitions System (Innovative)

• Verification of amount due and payment of invoices

• Renewal of a growing number of licensed resources for the ten campuses, the CSU system (for shared contracts) and two National Laboratories managed by UC (LBL & LLNL)

– Renewals are considered to be automatic unless otherwise notified by a campus or there is a substantive change in the cost or the resource

Paying the Vendor is Only Half the Equation

• Invoices are paid with UCSD funds and UCSD is reimbursed by the campuses through the Recharge Process

• CDL Acquisitions coordinates the collection of payment from the CDL, campuses, CSU and the National Laboratories– We prepare electronic Recharge Forms with UCSD’s budget details and

forward them to the CDL Acquisitions Liaisons at each campus• CSU, LBL and LLNL are invoiced following a separate process

– Campuses complete the Forms with the appropriate budgets to be debited and return them to CDL Acquisitions

– The completed Recharge Forms are handed off to General Accounting where the transfer of funds between campuses occurs

The Budget Process

– CDL Acquisitions maintains a cumulative spreadsheet of payments

– Based on payments made to date and the details of each agreement, we issue quarterly budget projections

• Projections are sent to the CDO at each campus with a copy to the CDL Acquisitions Liaisons

– We work hard to ensure all payments and related recharges are wrapped up by the end of each fiscal year

There’s a Lot of Information to Track

• Publisher journal packages: getting what we pay for and paying for what we get– Implementation of the business terms: from license

language to reality– CDL agreements affect campus renewals

• Keeping it straight: an important role is sending renewal terms to campuses and to subscription agencies

• Tracking what moves into and out of journal packages and asserting our rights for continued access has become a job in itself.

• Maria Figueroa serves as coordinator and proactively monitors CDL-licensed journal packages

There’s a Lot of Information to Track, but There’s Hope …

• In April 2005 a UC-wide Task Force issued a Request for a Proposal (RFP) for an Electronic Resources Management System (ERMS)

• The ERMS Task Force reviewed the responses and submitted their report to SOPAG who endorsed it and forwarded it to the University Librarians for their approval

• The University Librarians recommended negotiations proceed and a Negotiating Team was appointed

• All campuses will have representation on the Implementation Team

Communication is key

• Inside CDL contains a wealth of information– http://www.cdlib.org/inside/resources/ (cdl /s33dl)– Report a Problem– Collection Development Process includes links to:

• Current Activities• Policy and Procedural Documents• Tool Kit• Contact Information

– Collections Page includes links to:• Contract Information• Licensed Journals, Databases, and other Resources

Adding New Journals to CDL-Licensed Publisher Packages

• Very few publisher journal packages have global access to their titles

• New Titles must be formally added at renewal following the guidelines endorsed by CDC

• New titles include– Newly published titles– Newly electronic titles– Publisher transfers

• The guidelines are at:http://www.cdlib.org/inside/collect/ejournal_guidelines.html

The Tier Approach

– Tier 1: Electronic titles or packages licensed and managed for all or almost all UC campuses through the CDL

– Tier 2: Electronic titles or packages licensed and managed for more than one but not all UC campuses through the CDL

• A campus may negotiate and license on behalf of a group of campuses

• CDL Acquisitions will manage payment including renewals• CIG will integrate the resource into the workflow

– Tier 3: Titles or packages licensed and managed locally by a campus or campuses

We Rely Greatly on Campus Help: The CDL Acquisitions Liaisons

• The CDL Acquisitions Liaisons at each campus are critical:

– Berkeley, Jody Bussell, jbussell@library.berkeley.edu – Davis: Karin Chacon, klchacon@ucdavis.edu – Irvine, Carole Kiehl, lib_aomt@lib.uci.edu – Los Angeles, Michael H. Randall, mhr@library.ucla.edu – Merced, Jim Dooley, jdooley@ucmerced.edu – Riverside, Stefanie Wittenbach, stefw@ucr.edu – San Diego, Stacy Nelson, scnelson@ucsd.edu – San Francisco, Paul J. Wakeford, paul.wakeford@library.ucsf.edu – Santa Barbara, Catherine Nelson, nelson@library.ucsb.edu – Santa Cruz, Lai-Ying Hsiung, cdlacq@library.ucsc.edu

Campus Help: Resource Liaisons & Resourceful Librarians

• For non-routine renewals, the CDL Resource Liaisons are an invaluable source of help– A renewal is non-routine when there’s a large

increase, there is additional new content or there are technical problems that need to be addressed.

• Feed back from campus librarians is indispensable

• CDL Acquisitions is a support unit and we’re here to serve you

From Acquisitions to Cataloging…

• The CDL’s Collection Integration Group– CIG is a working group composed of CDL staff

• Headed by Wendy Parfrey (licensed Content) and it includes a wide range of staff:

– CDL Acquisitions

– License Agreement Coordinator

– Resource Liaison Coordinator

– Technical staff (IP address coordination, linking, testing access, CDL Directory)

– Shared Catalogers

• Each member knows their part and when to do it

Adolfo’s Not-so-ConciseHistory of the SCP

• 1997: California Digital Library (CDL) established

• Oct. 1997: UC Task Force on Electronic Resources (TFER1)

• Nov. 1998: TFER2

• Feb. 2000: Shared Cataloging Program (SCP) established at UCSD

Adolfo’s Not-so-ConciseHistory of the SCP

• Dec. 2000: First meeting of the SCP Steering Committee

• Jan. 2002: First “package” of open access resources “acquired” – CalDocs

• May 2002: First package of non-English language resources acquired – CAJ

• Mar. 2003: SCP record distribution transferred to UCSD

Adolfo’s Not-so-ConciseHistory of the SCP

• Apr. 2003: Monographic cataloging guidelines adopted

• Jan. 2004: SCP Steering Committee becomes SCP Advisory Committee

• Apr. 2005: Distinct SCP Unit established at UCSD

Adolfo’s Not-so-ConciseHistory of the SCP

• October 1, 2005:– 343 databases– 14,737 serials– 65,512 monographs– 80,592 titles

The Cast of Characters

• SCP Catalogers– Renee Chin– Hanley Cocks– Kate Garvey-Clasby– Becky Culbertson

The Cast of Characters

• ETL Specialists– Karen Peters– Ryan Finnerty

• Administrators– Linda Barnhart– Adolfo Tarango

The Supporting Cast

• Cataloging– Director for Licensed Content– SCP Advisory Committee– CDL Systems Staff

• ETL– UCSD Libraries IT Department– CDL Systems Staff

• Viewers like you

Organization Chart

Director forLicensed Content

CDL Acquisitions Unit

Reports to

SCP Unit

Cataloging Priorities & Resource Allocations

SCPAdvisory

CommitteeSelect

CampusParticipants

HOTS

Consults with

CatalogingPolicy

Reports to

ETL ProcessingCoordinateswith

Acquisitions Priorities, Resource Allocations,

and PurchaseAuthorizations

Cataloging

• Identification

• Cataloging

• Access

• Maintenance

Initial Reconnaissance

• CIG (Collections Integration Group)– Operational level CDL personnel – Biweekly conference call– Marking progress of resources

• NRF (New Resource Form)

• ALA Exhibits

• Vendors

Planning the Cataloging…

• Policy and Planning Group at UCSD– Upcoming resources from CIG– Primary focus is on monographs as

• Databases are few in comparison• Serials are done the same way each time • Monographs are done differently each time

– Plan batch processing – Decide timing of records release

Databases

• Integrating resources

• Cataloged by one person

• Use electronic records on OCLC

• Require “revisiting”—maintenance can be high

SCP Serials Cataloging 101

• Use the “print” records if they exist

• Use the open URL if possible

• Use LC classification numbers

• Use LCSH in each record

• Add local subject headings (based on UCSD’s Sage)

• Add package names in a local title field (793 field)

SCP Monographs Cataloging 101

• Use “separate” records

• Decide the nature of the cataloging records needed– Electronic reproductions?– Electronic versions?

• We look for existing record sets– OCLC first– Vendor record sets second

Electronic Fields on Both Formats

• 007 Field. Acts as a “limit” in the OPAC• 530 Field. On the print record this makes

reference to the fact that there is another format available—standard wording is: Also issued online

• 655 Field. “Online resources” is a genre term that is used on all records

• 793 Field. The same title hook goes on each resource and ties them all together

• 856 Field. Provides link to the resource

New Record Sets (Monographs)

• OCLC records are used if they exist; records are created inhouse if set doesn’t already exist in electronic format

• Vendor sets are used for big sets• OCLC WorldCat Collection sets

– ACM Digital Library– IEEE Xplore– Lecture notes in computer science– SPIE

Collaborative Cataloging

• Cataloging Long Distance (or across the room…)

• Consists of giving directions to Ryan/Karen to add a particular field(s) to a large group of records that are in the same package

• Very common on monograph packages

Stable URLs

• PURLs– PIDs/PID server

• http://uclibs.org/

– BibPURLs– GPO PURLs– Durable links (IEEE Xplore)– OpenURLs– ARKs

Maintenance: Journal Titles

• Updates from Maria

• Requests from package liaisons (RL’s)

• E-Resources tracking page

• E-mail alerts from vendors

• Vendor title lists

• List-servs

• Patrons

Communication (1)

• Campuses– E-mail– SCP Advisory Committee– SCP monthly update at:

http://www.cdlib.org/inside/projects/scp/updates.html

Communication (2)

• Vendors– Initial cataloging process

• 1st priority: Persistent URL establishment• Serials: need delimited title lists• Monographs: advise on data elements

– Later• Title change lists for new and dropped titles• SFX reports• Especially for databases

Tools for You

SCP Web Page

http://www.cdlib.org/inside/projects/scp/

Record Manipulation and Distribution

• Batch creating CDL bibliographic records

• Record manipulation

• Record distribution

• Record redistribution

Batch Creating CDL Bibliographic Records

• Serials– Catalog describing the print version– Output and reload– Exceptions for vendor records (e.g. American

Periodical Series)

Batch Creating CDL Bibliographic Records

• Monographs– Catalog describing the electronic version– Output, reload, and switch basis of description– Some record sets do not need to be switched– Some record sets are uploaded to WorldCat

Record Manipulation

• Techniques– Load tables– MarcEdit– PID translator– Macros– Millennium Global Update

Record Distribution

• Creating the master files– Weekly– Based on OUTRECS file– Location is “cdl” & has 599 field– Two files for serials and monographs– Serials file sent to CDL

Record Distribution (cont.)

• Creating the campus files– 18 files created with the “CDL Upload

Software”– Based on the 920 fields in the bibliographic

records– Files are mounted on a UCSD server for the

campuses to retrieve– Retained for three months

Record Redistribution

• Individually through the 599 field

• Groups of records may be requested for redistribution– Secure record transmission between

campuses– Please be judicious as this is big workload

Beckoning on the Horizon

• New online resource types– Cartographic resources

• Rumsey Map Collection• LC’s American Memory Map Collection 1500-2004

– Music sound files• Classical Music Library (Alexander Street Press)• Naxos Music Library (Naxos Digital Services)• Smithsonian Global Sound (Alexander Street Press)• Database of Recorded American Music:DRAM (New World

Records)

• Shared Print Collection

Beckoning on the Horizon

• Open Content Alliance

• Google Print Library Project

• UC-wide Electronic Resources Management System

• SOPAG Bibliographic Services Task Force– Draft of part 1:

http://libraries.universityofcalifornia.edu/sopag/BSTF/interim081405.pdf