Northeast RegionalLibrary Print Management Project

Planning Meeting

Thursday July 17, 2014

Agenda

10:00 am Welcome and Project Overview (Neal Abraham)

10:15 Proposed Operating Policies (Lizanne Payne)

11:30 Proposed Membership and Governance Policies (Lizanne Payne)

12:00 Lunch (provided)

1:00 pm Proposed Business Model (Lizanne Payne)

1:30 Next steps (Neal Abraham and Chris Loring)• Timetable• Budget and cost-sharing• Participants

2:30 Open discussion and wrap-up

4:00 Adjourn

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Overview of the Project

An 18-month planning activity to identify detailed strategies and business models for developing and managing regional print collections of monographs (and, along the way, other library print materials) and to document willingness of libraries to participate in one or more of the models, funded by an Officer’s Grant from The Andrew W. Mellon Foundation with matching contributions (for travel and staffing).

Website: https://www.fivecolleges.edu/libraries/regionalproject

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Project Team

Project Directors

Neal AbrahamExecutive DirectorFive Colleges, Incorporatednabraham@fivecolleges.edu

Chris LoringDirector of LibrariesSmith Collegecloring@smith.edu

Project Coordinator Planning Consultant

Mary BehrleMary.a.behrle@comcast.net

Lizanne Paynelizannepayne03@gmail.com

Steering Committee

Bryn Geffert, Amherst CollegeClement Guthro, Colby CollegeW. Lee Hisle, Connecticut CollegeBart Harloe, ConnectNYNeal Abraham, Five Colleges, Inc. Matthew Sheehy, Harvard UniversityTerry Snyder, Haverford College

Christopher Loring, Smith CollegePeggy Seiden, Swarthmore CollegeLaura Wood, Tufts UniversityScott Kennedy, University of ConnecticutJay Schafer, University of Massachusetts AmherstIan Graham, Wellesley College

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Project TimelineTime Period Activities

Spring 2013 Invite participation

Spring/summer 2013

Survey of needs and interests

Kick-off planning meeting July 9

Fall/winter 2013 Complete inventory of campus interests (followup to survey)

Convene working groups to generate recommendations

Spring 2014 Convene Summarizing Panel to develop specific proposal(s)

Summer 2014 Final group meeting

Fall 2014 Final report and plan

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Working Groups

Monographs Journals Shared Offsite Shelving

• Pat Tully, Wesleyan University (convener)

• Ian Graham, Wellesley College

• Clem Guthro, Colby College

• Susan Raidy Klein, University of Massachusetts Dartmouth

• Matthew Sheehy, Harvard University

• Terry Snyder, Haverford College

• Laura Wood, Tufts University

• Peggy Seiden, Swarthmore College  (convener)

• Amira Aaron, Northeastern University

• Randi Ashton-Pritting, University of Hartford

• Matthew Revitt, University of Maine

• Kelly Woodside, Massachusetts Library System

• Jennifer Walton, Marine Biological Laboratory / Woods Hole Oceanographic Institute

• Terry Simpkins, Middlebury College (convener)

• Bart Harloe, ConnectNY

• Scott Kennedy, University of Connecticut

• Frances Maloy, Union College

• Jay Schafer, University of Massachusetts Amherst

• Thomas Wall, Boston College

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Three working groups were defined based on interest at July 2013 meeting

Recommendations for a

Northeast Regional Shared Print Program

The proposals and policies that follow are recommendations from the working groups, Summarizing Panel, and Steering Committee described in the “Northeast Regional Library Shared Print Management Program Summary” (May 2014).

Suggested Program NameEastern Academic Scholars’ Trust (EAST)

Program Goals

• Share stewardship of library print holdings to ensure preservation of the scholarly record while recognizing that some individual institutions may need to take steps to alleviate space pressures;

• Provide access and delivery to meet the needs of scholars, teachers and their students; and

• Provide information to support libraries’ needs for separate contracted offsite shelving for local collections.

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EAST Clearinghouse for Contracted Offsite Shelving

• Libraries need offsite shelving for their own library materials, often long-term and sometimes for a fairly small quantity and/or for a temporary period of time.

• EAST will create an “Offsite Shelving Information Clearinghouse” containing information such as

1. factors to consider when planning for contracted offsite shelving;2. characteristics of potential offsite shelving providers;3. a list or database of regional (or national) commercial and non-commercial offsite shelving providers; and4. links to other resources related to offsite shelving.

• EAST partners may use this service for non-shared holdings.

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Selection of Materials

• Both monographs and journals.

• Monographs will be identified through collection analysis and related decision-making, expected to include both widely-held and rarely-held monographs, single-volume monographs and monographic series, and circulating and non-circulating monographs.

• Journals initially will be included by approaches such as library-volunteered or publisher-based titles. Collection analysis of journal holdings may be explored later.

• Will not include federal depository government documents.

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Location and Ownership

• Distributed collection with volumes maintained at the owning libraries.

• Participating libraries will maintain ownership of their own materials.

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Retention

• Holders agree to retain committed volumes for a minimum of 15 years (both monographs and journals).

• At least two copies will be retained among the libraries

participating in the program (or more than two depending on other factors (e.g., number of participants, geographic distribution).

• Governing body will revisit retention commitments at least every five years, and again two years before the end of the initial agreement, to determine if circumstances warrant changing retention period (increase or decrease).

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Validation

• EAST will not specifically require validation of metadata or physical condition at this time.

• Procedures and guidelines to add validation and condition

information will be defined for any libraries that wish to do so.

• The owning library will be expected to follow established procedures for replacing damaged or lost volumes that have retention commitments.

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Question about Uniqueness

• What defines a unique monograph?▫ Bibliographic uniqueness (e.g., different editions)▫ Physical uniqueness (e.g., marginalia)

• Some factors defining bibliographic uniqueness can be determined during collection analysis (how to define a match?).

• It will be very difficult to account for physical uniqueness as it would require a validation level that is impractical.

• Recommendation is to consider “uniqueness” further during the collection analysis.

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Access, Discovery, and Delivery

• Accessible light archive (with limitations for unique or rare volumes).

• Existing structures and systems for discovery, e.g., OCLC WorldCAT and CRL’s PAPR registry.

• Preferred delivery through scanning and digital delivery, with physical delivery where required.

• Journal volumes restricted to in-library use at the borrowing library.

• Members will agree to fulfill requests for EAST materials through ILL at no charge to other EAST members.

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• Monographs prioritized by collection analysis• Journals nominated by libraries or selected by

publisher/aggregatorContent & Selection

• Distributed, held at librariesCollection Locations

• Library retains ownership• Retention for minimum 15 years

Ownership & Retention

• No validation of metadata or physical condition requiredValidation

• Accessible light archive• In-house use for journal vols• Delivery by ILL at no charge to EAST members

Availability

Summary of Operating Policies

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• Eligibility for membershipMembership

• Who makes decisionsGovernance

• Who operates the program ongoingAdministration

• How are costs coveredBusiness Model

Membership and Governance and Business Model

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Partnership in EAST

• Open to academic and research libraries in the East/Northeast United States who are committed to the long-term preservation and access of print collections.

• Retention Partners: Libraries willing to steward parts of their print collections over the long term. They may be willing to accept and ingest materials from other libraries as well.

• Supporting Partners: Libraries that are willing to participate in EAST by supporting Retention Partners in their commitment to long-term stewardship of print collections, in return for guaranteed access to those collections.

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EAST Governance

• Executive Committee: balancing need for representation and access with the need for organizational effectiveness

• Executive Committee will be comprised of:▫ Number of members equal to 10% of the number of

partner libraries subject to the range specified below; ▫ No less than 5 and no more than 12 members; ▫ A mix of public and private, two- and four-year

institutions; and▫ 60% of the representation should be from Retention

Partners.

▫ Consortium representation?

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EAST Administration

• An existing consortium or institution will serve as the administrator of the EAST program.

• Administrator will provide services such as:▫ Employer to EAST staff members or contractors;▫ Receive and manage grants; ▫ Handle all financial transactions; and▫ Support a website and other communications.

• EAST planners will seek interested organizations later in the process.

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Questions about Membership and Governance?

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• Role of consortia?

• Relationship to other programs like Maine Shared Collections Strategy, Five Colleges, ConnectNY, …

EAST Business Model: What are the costs and who supports them?

Administration

Periodic Group Activity

Fixed Costs

Activity Costs

• Staff• Grant admin• Financial admin

• Collection analysis

• Collection space *

•Disclosure•Validation•Lending/Borrowing•Deselection

Member fees and grant funding

Absorbed by EAST libraries

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* Recommendation is not to compensate Retention Partners

Program management costs and cost-sharing

• Program management costs are expected to include:▫ Staff members (program manager (.5 to 1 FTE), collection

analyst or systems librarian (.5 to 1 FTE)); ▫ Administrative support (fees or staff support by the

administrator for accounting, billing, payroll, etc.); ▫ Meetings and travel for program participants; and▫ Website for the program and the information clearinghouse,

other communications costs.

• Ballpark budget estimate for program management: $200,000 - $300,000 annually.

• Cost-sharing: Current recommendation is to use a formula based primarily on each library’s materials budget.

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• Periodic collection analysis every few years.

• Costs usually based on number and collection size of participants.

• Separate collection analysis budget and cost-sharing

agreement will be prepared for each new collection analysis.

• Ballpark budget: $75,000 or more depending on participants, as needed (periodic, every few years).

• Cost-sharing formula to be determined.

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Collection analysis costs and cost-sharing

Next Steps: Two Projects

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Target DatePlanning Project

(original Mellon grant)Implementation Project

July – October 2014

• Identify initial participants• Determine administrator

organization• Complete final planning report

• Get collection analysis price quotes

• Finalize budget and fee structure• Submit implementation grant

proposal to funder(s) (based on final planning report)

November - December

•  Submit final planning report to the Mellon Foundation (January or earlier)

(waiting for grant notice, background planning)

January – March 2015

• Secure implementation grant funding ($$ awarded)

• Initiate services by administrator organization

• Develop and execute MOU  

April – July 2015

  • Conduct initial collection analysis• Finalize collection decisions

August – December 2015

• Define remaining policies• Begin retention and disclosure

Primary Next Steps July – October 2014

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• Identify program participants.

• Determine administrator organization.

• Get collection analysis price quotes.• Issue RFI to potential providers based on

participants, request cost estimate.

• Finalize budget and fee structure.

What Does Program Participation Mean?

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• Participate in development of an MOU (January – February 2015).

• Participate in collection analysis for monographs (April – July 2015):• Provide or provide access to bibliographic, holdings, and

circulation records, using your library’s resources and staffing;• Participate in design of collection analysis methodology,

review and analyze reports provided by vendor, and participate in selection and retention decisions for the EAST program; and

• Contribute to collection analysis costs based on formula TBD (dependent on fund-raising success).

• Participate in development of policies (March – December 2015).

• Provide financial support to the EAST program beginning in 2015.

Identify Program Participants

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Initial Cohort

These libraries have expressed interest in participating in the initial EAST implementation (collection analysis, retention agreements and planning governance structures and business model).

• Connecticut College• University of Connecticut• Dartmouth College• Haverford College• University of Massachusetts,

Amherst• Middlebury College

• Smith College• Swarthmore College• Tufts University• Wellesley College• Wesleyan University• Westfield State University

EAST seeks additional participants for the first cohort by September 12. This would not require a final commitment to join EAST.

VERY PRELIMINARY EAST Budget Estimates

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Category Est Cost

Program management and administration

~$200K-$300K

Collection Analysis ~$75K (or more)

TOTAL $300K-$400K/yr initially

Less possible grant funding -$150K-$250K

Costs to be shared $50K-$250K

Please note these are very preliminary estimates. Final costs and cost-sharing amounts will be determined and provided before libraries make firm commitments to the program.

VERY PRELIMINARY EAST Cost-Sharing Fees

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Please note these are very preliminary estimates. Final costs and cost-sharing amounts will be determined and provided before libraries make a firm commitment to the program.

Working assumptions are:

• Costs to be shared = ~$150,000

• Number of participants = ~25

• Goal = $4,000 to $8,000 each for 2015

Requested Action:

Volunteer to participate in initial EAST implementation

Send message by September 12 to

Neal Abraham nabraham@fivecolleges.edu

or Mary Behrle mary.a.behrle@comcast.net

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Thank you

Project Directors

Neal AbrahamExecutive DirectorFive Colleges, Incorporatednabraham@fivecolleges.edu

Chris LoringDirector of LibrariesSmith Collegecloring@smith.edu

Project Coordinator Planning Consultant

Mary Behrlemary.a.behrle@comcast.net

Lizanne Paynelizannepayne03@gmail.com

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