NISO RP-20-2014 Demand Driven Acquisition of Monographs.pdf

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1、 NISO RP-20-2014 Demand Driven Acquisition of Monographs A Recommended Practice of the National Information Standards Organization Approved: June 24, 2014 Prepared by the NISO DDA Working Group About NISO Recommended Practices A NISO Recommended Practice is a recommended “best practice” or “guidelin

2、e” for methods, materials, or practices in order to give guidance to the user. Such documents usually represent a leading edge, exceptional model, or proven industry practice. All elements of Recommended Practices are discretionary and may be used as stated or modified by the user to meet specific n

3、eeds. This recommended practice may be revised or withdrawn at any time. For current information on the status of this publication contact the NISO office or visit the NISO website (www.niso.org). Published by National Information Standards Organization (NISO) 3600 Clipper Mill Road Suite 302 Baltim

4、ore, MD 21211 www.niso.org Copyright 2014 by the National Information Standards Organization All rights reserved under International and Pan-American Copyright Conventions. For noncommercial purposes only, this publication may be reproduced or transmitted in any form or by any means without prior pe

5、rmission in writing from the publisher, provided it is reproduced accurately, the source of the material is identified, and the NISO copyright status is acknowledged. All inquiries regarding translations into other languages or commercial reproduction or distribution should be addressed to: NISO, 36

6、00 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISBN: 978-1-937522-44-5 NISO RP-20-2014, Demand Driven Acquisition of Monographs iii Contents Foreword vii Section 1: Introduction 1 1.1 Background and Problem Statement 1 1.2 Scope 2 1.3 Methodology . 2 1.4 Terms and Definitions . 2 Section 2: K

7、ey Aspects of DDA 5 2.1 Sustainability . 5 2.2 Free Discovery 5 2.3 Temporary Lease 5 2.4 Purchase . 6 2.5 Alternative Models 7 Section 3: Goals and Objectives of a DDA Program 8 3.1 Breadth of the Program 8 3.2 Access vs. Ownership 8 Section 4: Choosing Parameters of the Program 9 4.1 Overall Goal

8、and Philosophy of the Program . 9 4.2 Triggers and Transactions 9 4.2.1 Overview . 9 4.2.2 Automatic Financial Transactions . 10 4.2.3 Evidence-Based Acquisition (EBA) . 10 4.3 Loan Periods . 11 4.4 Print . 11 4.5 Print on Demand (POD) 11 4.6 Suppliers . 11 4.6.1 Overview . 11 4.6.2 Commercial Aggre

9、gator 12 4.6.3 University Press Aggregator . 12 4.6.4 Publisher . 13 4.6.5 Approval Vendor . 13 Section 5: Profiling 14 5.1 Ensuring a Pool of Adequate Size Relative to Budget and User Base 14 5.2 Identifying Books (Subject and Non-Subject Parameters) . 14 5.3 Relationship to Print To Duplicate or N

10、ot to Duplicate 15 5.4 Retrospective Titles 15 NISO RP-20-2014, Demand Driven Acquisition of Monographs iv Section 6: Managing MARC Records for DDA 16 6.1 Discovery Records 16 6.1.1 Customization and Enrichment . 16 6.1.2 Discoverability . 16 6.2 Point-of-Purchase Records . 17 6.2.1 Overview . 17 6.

11、2.2 Library Catalog/OPAC 18 6.2.3 Discovery Tool 18 6.2.4 Shared/Consortial Catalog 18 6.3 Tracking Spending in the ILS 18 6.3.1 Overview . 18 6.3.2 Order Records for Short Term Loans . 18 6.3.3 Order Records for Auto Purchases . 19 Section 7: Removing Materials from the Consideration Pool 20 7.1 Re

12、asons for Removing Materials 20 7.2 Profiling (Subject and Non-Subject Parameters) 20 7.3 Frequency . 21 7.4 Discovery Records 21 7.4.1 Local Catalog/OPAC . 21 7.4.2 Discovery Tool 22 7.4.3 Shared/Consortial Catalog 22 7.4.4 Other . 22 Section 8: Assessment 23 8.1 Need for Assessment . 23 8.2 Data S

13、ources 23 8.2.1 COUNTER 23 8.2.2 Vendor/Supplier Reports . 23 8.2.3 Circulation Data . 24 8.2.4 Payment Data . 24 8.3 Evaluating the Overall Effectiveness of a DDA Program. 24 8.3.1 Cost Reduction 24 8.3.2 Use, Increased Use of Items Purchased, Continued Use of Purchased Content 25 8.4 Assessment Pr

14、ogram to Support Predicting Expenditures 25 8.4.1 Factors Affecting Expenditures . 25 8.4.2 Assessment Programs for Managing Trigger Event to Purchase Cycle . 25 8.4.3 Assessment Programs for Managing the Consideration Pool. . 26 8.5 Metrics For Evaluating Consortial DDA Programs . 26 Section 9: Con

15、cerns About Providing Long-Term Access to Un-Owned Content 27 9.1 Un-Owned E-Book Content 27 9.2 Un-Owned P-Book Content 27 NISO RP-20-2014, Demand Driven Acquisition of Monographs v Section 10: Consortial Considerations for DDA 28 10.1 Unique Issues for Consortia . 28 10.2 The Multiplier Model 28 1

16、0.3 The Limited Use Model . 28 10.4 The Buying Club Model 28 10.5 Managing Duplication with Local Collections . 29 Section 11: Public Library DDA . 30 Section 12: Recommendations 31 12.1 Establishing Goals 31 12.2 Choosing Content to Make Available . 32 12.3 Choosing DDA models . 32 12.4 Profiling .

17、 33 12.5 Loading Records . 33 12.6 Removing Content 34 12.7 Assessment 34 12.8 Preservation 35 12.9 Consortial DDA . 35 12.10 Public Library DDA 35 Appendix A: Survey Results 36 Bibliography 37 NISO RP-20-2014, Demand Driven Acquisition of Monographs vi NISO RP-20-2014, Demand Driven Acquisition of

18、Monographs vii Foreword About this Recommended Practice In May 2012, a proposal was submitted to NISO by Michael Levine-Clark (Penrose Library, University of Denver) on behalf of an informal DDA interest group to develop a Recommended Practice for the demand-driven acquisition (DDA) of monographs. L

19、ibraries are increasingly implementing demand-driven acquisition (DDA) plans for some portion of their monograph collections. DDA allows libraries to: provide users with immediate access to a wide range of titles to be purchased at the point of need; present many more titles to their users for poten

20、tial use and purchase than would ever be feasible under the traditional purchase model; and make it possible, if implemented correctly, to purchase only what is needed, allowing libraries to save money or to spend the same amount as they spend on books now, but with a higher rate of use. As noted in

21、 the Background and Problem Statement (section 1.1), several different DDA models have been in use and a number of issues identified. The proposal suggested that a flexible model for DDA that works for publishers, vendors, aggregators, and libraries be developed to allow libraries to develop DDA pla

22、ns that meet differing local collecting and budgetary needs while also allowing consortial participation and cross-aggregator implementation. The proposal was approved by the NISO Business Information Topic Committee and Voting Members in May and June 2012, respectively, and a Working Group was form

23、ed in August 2012. Libraries, publishers, e-book aggregators, approval vendors, and discovery and catalog record providers will all be impacted by DDA and are represented on the DDA Working Group. NISO BI Topic Committee Members The following individuals served on the NISO Business Information Topic

24、 Committee that had oversight for this work and approved this Recommended Practice. Nawin Gupta Association of Subscription Agents (ASA) Timothy Strawn California Polytechnic State University Christine Stamison Center for Research Libraries Norm Medeiros Haverford College Greg Raschke North Carolina

25、 State University Libraries Karla Strieb Ohio State University Libraries Denise Davis Sacramento Public Library Gary Van Overborg Scholarly iQ Charles Watkinson University of Michigan Library NISO RP-20-2014, Demand Driven Acquisition of Monographs viii DDA Working Group Members The following indivi

26、duals served on the NISO Demand Driven Acquisition Working Group that developed and approved this Recommended Practice: Lenny Allen Oxford University Press Lisa Mackinder (Chair, Access Models Subcommittee) University of California, Irvine Stephen Bosch University of Arizona Norm Medeiros (Liaison t

27、o Business Information Committee) Haverford College Scott Bourns JSTOR Lisa Nachtigall (Chair, Technical Issues Subcommittee) Wiley Karin Bystrm Uppsala University Kari Paulson ProQuest Terry Ehling Project Muse Cory Polonetsky Elsevier Barbara Kawecki (Co-chair) YBP Library Services Jason Price Sta

28、tewide California Electronic Library Consortium (SCELC) Lorraine Keelan (Chair, Metrics Subcommittee) Palgrave Macmillan Dana Sharvit Ex Libris Michael Levine-Clark (Co-chair) University of Denver David Whitehair OCLC Rochelle Logan Douglas County Libraries Acknowledgments The DDA Working Group woul

29、d like to offer a special thanks to the following individuals who assisted in preparing the original proposal but were not on the DDA Working Group: Rick Anderson (University of Utah), Beth Bernhardt (UNC Greensboro), Tara Tobin Cataldo (University of Florida), Robin Champieux (Oregon Health this do

30、cument provides an overview of those options and concludes with specific recommendations in order to give guidance to libraries, publishers, aggregators, and vendors as they implement and manage DDA programs. 1.1 Background and Problem Statement Libraries are using e-book aggregators and approval ve

31、ndors to implement demand-driven acquisition (DDA) plans for some portion of their monograph collections. DDA allows libraries to provide users with immediate access to a wide range of titles to be purchased at the point of need. Though commonly referred to as patron-driven acquisition (PDA), the te

32、rm demand-driven acquisition (DDA) is used throughout this Recommended Practice. Libraries have embraced DDA because it has the potential to rebalance the collection away from possible use toward immediate need. DDA allows libraries to present many more titles to their users for potential use and pu

33、rchase than would ever be feasible under the traditional purchase model. If implemented correctly, DDA makes it possible to purchase only what is needed, allowing libraries to spend the same amount of money as they spend on books now, but with a higher rate of use. Libraries may also be able to use

34、the evidence of demand to demonstrate the value of monograph collections and in turn to protect monograph budgets from potential cuts. Under a traditional up-front purchase model for monographs, the acquisition process ends soon after the book arrives in the library. DDA, on the other hand, requires

35、 long-term management of a preselected “consideration pool” of titles available for purchase. Libraries must implement rules and procedures for adding titles to this pool and for keeping un-owned titles available for purchase long after publication. These procedures could include automated steps for

36、 removing a subset of records at regular intervals while keeping others permanently, for indicating owned vs. un-owned content, and for managing the budget when expenditures may not be fully predictable. The process of acquisition evolves from one of getting books into the collection to one of long-

37、term management of the discovery tools that allow for demand-driven access to monographs. To this point, DDA has been adopted primarily by academic libraries, with very few public libraries participating in DDA projects. Because of this broader experience with DDA, some particular concerns for acade

38、mic libraries, scholarly publishers, and approval vendors are already becoming clear. DDA may disrupt the entire scholarly communication supply chain, therefore libraries, publishers, and aggregators must be committed to working together to establish long-term sustainable models that highlight mutua

39、l benefits. The purchase of a book may extend over many years, causing publishers to lose the ability to plan for a financially sound program to support the dissemination of research. Approval vendors will need to transition from booksellers to suppliers of services to manage the consideration pool.

40、 Libraries will need to reconsider the balance between stewardship of research collections and provision of access to materials for current curricular and research needs. NISO RP-20-2014, Demand Driven Acquisition of Monographs 2 Despite these uncertainties, it is clear that DDA will be adopted on s

41、ome scale by libraries, so publishers, vendors, suppliers, and librarians need to help shape practices and tools in a way that allows the scholarly communication supply chain to continue to function effectively. Because some or all of these issues may be of concern as well to public libraries and th

42、e publishers and vendors that supply them with books, this committee has explored further the specific implications of DDA for all library types. Most DDA plans have focused on e-books, though some have also included print books (p-books). Though some specific aspects of acquisition do vary by forma

43、t, there are more similarities than differences in how the DDA process should work for both formats. Because of this, a single set of best practices for both formats was developed, with articulation of differences where they occur. 1.2 Scope This Recommended Practice is intended to identify best pra

44、ctices for DDA that work for publishers, vendors, aggregators, and libraries. These guidelines will allow libraries to develop DDA plans that meet differing local collecting and budgetary needs while also allowing consortial participation and cross-aggregator implementation. They will take into acco

45、unt impacts of DDA across all functional areas of the library. The recommendations address: Best practices for populating and managing the pool of titles under consideration for potential purchase, including methods for automated updating and removal of discovery records Development of consistent mo

46、dels for the three basic aspects of e-book DDAfree discovery to prevent inadvertent transactions, temporary lease, and purchasethat work for publishers and libraries Methods for managing DDA of print and electronic books Ways in which print-on-demand (POD) solutions can be linked to DDA Development

47、of tools and strategies for measurement of use Models for implementation at both the local and consortial levels Guidelines for providing long-term access to un-owned e-book content 1.3 Methodology The information included in this document was generated from several focus groups conducted by this Wo

48、rking Group; three surveys, which are summarized as an appendix; and from the knowledge and experience of the Working Group members. Other than the survey appendix, information gathered from these sources is not cited in this document. 1.4 Terms and Definitions The terms as used in this Recommended

49、Practice, have the meanings indicated below. Term Definition add file A set of discovery records generated to match new titles available in a librarys consideration pool, and used to add those records to a librarys catalog and discovery tools. NISO RP-20-2014, Demand Driven Acquisition of Monographs 3 Term Definition auto-purchase Within a DDA program, a purchase by the library of perpetual access to an e-book based on usage by a patron. Depending on how a library has configured its DDA program, an auto-purchase can occur after a set number of uses of a boo