NISO Webinar: 21st Century Resource Sharing: Which Inter-Library Loan Standard Should I Use? October 15, 2014 1:00 p.m. - 2:30 p.m. (Eastern Time) Has “Rethinking Resource Sharing” Succeeded? – A Survey of Resource Sharing Protocols Ten Years Later Ted Koppel, Product Manager, VERSO® ILS – Auto-Graphics, Inc. Invisible Alphabet Soup: How Libraries Use a Variety of ILL Standards Everyday and Don't Necessarily Know It Margaret Ellingson, Head of Interlibrary Loan and Course Reserves, Robert W. Woodruff Library, Emory University Occams Reader and the Interlibrary Loan of E-books Kenny Ketner, Software Development Manager, Texas Tech University Libraries Ryan Litsey, Document Delivery/Interlibrary Loan Assistant Librarian, Texas Tech University Library

1. http://www.niso.org/news/events/2014/webinars/21st_century/
NISO Webinar
21st Century Resource Sharing:
Which Inter-Library Loan
Standard Should I Use?
October 15, 2014
Speakers:
Ted Koppel, Product Manager, VERSO® ILS – Auto-Graphics, Inc.
Margaret Ellingson, Head of Interlibrary Loan and Course Reserves,
Robert W. Woodruff Library, Emory University
Ryan Litsey, Document Delivery/Interlibrary Loan Assistant Librarian,
Texas Tech University Libraries

2. Has “Rethinking Resource
Sharing” Succeeded? – A Survey
of Resource Sharing Protocols
Ten Years Later
Ted Koppel
Auto-Graphics, Inc.
October 15, 2014
NISO Webinar: 21st
Century Resource Sharing:
Which Inter-Library Loan
Standard Should I Use?

3. What insight do I bring?
• One of the original authors of Rethinking Resource
Sharing document
• Member of IPIG (ISO 10160 standards group)
• Member of NCIP Standards committee 2002-present
(with a minor gap)
• Co-Chair – SIP3 Working Group
• Participant in various standards committees that promote
interoperability
• Worked in standards development and implementation
with several ILS vendors

4. Brief Review – what was the RRS document??
• Document written by colleagues (mostly from IPIG group
that had just worked on the 2002 revision)
• NCIP was just getting going – not sure whether it would
be implemented
• Motivated somewhat by OCLC’s 2003 Environmental
Scan – Pattern Recognition:
– Self sufficiency
– Satisfaction
– Seamlessness

5. Motivators for RRS document
• Uneasiness about what the 2003 ISO
Revision did and didn’t do:
• Still used ASN1-BER encoding
• Minimal new functionality
• Little business case to build to it
• Promoted monolithic, centralized functionality on what
was seen as a peer function
• Didn’t significantly lower costs to libraries
• Didn’t support unmediated ILL well

6. Rethinking Resource Sharing - Goals
• More capable than previous protocols
• Less expensive to develop (ILS and other
providers
• Easier to use
• Easier to interoperate with ILS and other
systems

7. RRS Ten Years Later
• Rethinking Resource Sharing Initiative
(organization: http://www.rethinkingresourcesharing.org)
• Star checklist to vet and recognize libraries that meet
various functional and procedural standards
• Wrote and promoted RRS Manifesto
• Awards for innovation
• Involved in Discovery and Delivery initiatives

8. Concentration on Workflow
• RRS efforts have largely been pointed to:
o Workflow
o Record keeping
o Policies, policy-making and execution
o Fee management

9. Jigsaw Puzzle of Resource Sharing
• Discovery – has gotten much easier
– Physical union catalogs continue to exist
• Tennessee
• Louisiana
– 100% Virtual union catalogs
• MassVC
• Mississippi
– Major recent trend in Hybrid state or consortium union catalogs:
• Some / many virtual libraries, some physical

10. Jigsaw Puzzle (2)
• Linkage between ILL and ILS systems
– Do the ILL transaction using ILL mechanism (ISO 10160,
proprietary)
– Communicate with the ILS system using NCIP messaging to
manage the resulting circulation transaction (CILL) – let ILS
handle the hold pickup notice and the checkout
– Reverse direction for an item to be returned
– See: http://www.niso.org/publications/isq/2011/v23no4/jackson

11. ISO 10160, 10161, 10161-2
• Messages and protocol to enable ILL request / fulfillment
process
• Based on National Library of Canada’s ILL procedures
circa 1985-1986
• 1991: ISO standard
• 1997: 2nd edition, no significant changes
• 2004: 3rd edition passed and then withdrawn
• 2007: 2nd edition reconfirmed, no changes
• 2014 : 2nd edition reconfirmed, no changes

12. ISO 10160, 10161, 10161-2
It works.
• ASN.1-BER encoding (effective but
somewhat of a lost art)
• Based largely on strict state tables
• Assumes centralized clearing function

13. NISO Circulation Interchange Protocol
– Z39.83
• “remote circulation” functionality
– 45+ messages and responses, broadly separated into
the following services:
• Lookup services (identify something!)
• Update services (do something!)
• Notification services (tell me what you did)
– Three application profiles (groups of messages to do a
task)
• DCB (Direct Consortial Borrowing)
• CILL (Circulation – ILL connection)
• Self-service

14. NCIP features
• XML messages (many tools, easy to manipulate)
• Complex, versatile objects
• Messages and message set flexibility
• Real-time
• Sessionless
• Active ongoing maintenance group
• See: http://www.ncip.info

15. SIP2 and SIP3
• SIP and SIP2 originally created by 3M for serial ports
• Began as communications mechanism between ILS and
3M self-service machines
• Now widely used for interoperability between ILS and
many other third party devices and software:
– Computer reservations
– Authentication
– Fine payment
– Print management
• Message and response based
• Structured text (not XML)

16. SIP3 working group
• Editorial work in progress on revised
version
– A number of new messages
– Privacy and security issues
– Many messages have far greater more
granular payloads
• Projected draft early 2015

17. ISO 18626 Interlibrary Loan Transactions
• Approved July 2014
• Very promising development
• Designed to replace ISO 10160 family
• See: http://illtransactions.org/
• Three messages (not 21!)
– Request
– Supplying library message
– Requesting library message

18. ISO 18626
• Stateless
• XML structured messages
• http and https communications
• Aligned with NCIP for terminology and use
However:
• Like any interoperability standard, it takes two sides to
communicate
• Early work is being done, but ISO 18626 will take several
years for widespread industry adoption

19. Drawing the lines
• ISO 10160 - (and eventually ISO 18626) –
resource sharing requests to known (or
unknown) trading partners.
• NCIP - transactions and requests between
known trading partners – e.g. within a consortium
• SIP 2/3 – Usually not for resource sharing, but
rather for internal software and device control

20. Library Communication Format (LCF)
• Developed with support from BIC (Book Industry
Commission, UK) – interested in book supply chain
• Purports to go beyond SIP2/3 and NCIP in that it has
explicit support for RFID transactions
• See:
http://www.bic.org.uk/e4libraries/16/INTEROPERABILIT
Y-STANDARDS/

21. LCF (2)
• Has been described as a meta-format that takes
into account SIP and NCIP and optimizes for
RFID
• Too soon to know:
– Adoption
– Business case

22. In conclusion
• Resource sharing services have improved
since RRS was released
– Self-service (unmediated ILL) is more common
– Discovery is better
– Intra- and inter-state (and consortium sharing) has
grown dramatically
• Interoperability lagged behind …. But …

23. Reason to be hopeful
• NCIP and NCIP-based resource sharing systems are
popping up across the country
• New initiatives (ISO 18626 and possibly LCF) are being
developed to address infrastructural issues
• Time will tell – will library demand make a business
case for developing new resource sharing products?

24. Contact me
Ted Koppel
Auto-Graphics, Inc
tpk@auto-graphics.com

25. NISO Webinar: 21st Century
Resource Sharing: Which Interlibrary
Loan Standard Should I Use?
Invisible Alphabet Soup: How
Libraries Use a Variety of (ILL)
Standards Everyday and Don't
Necessarily Know It
Margaret Ellingson
Head of ILL and Course Reserves
Woodruff Main & Health Science Libraries
Emory University

26. Emory University: Atlanta, Georgia
• Schools
– Emory College of Arts & Sciences (4-yr)
– Oxford College (2-yr)
– Business
– Graduate Studies (Arts & Sciences)
– Law
– Medicine
– Nursing
– Public Health
– Theology
• Total Enrollment Fall 2013: 14,500
– Undergraduate: 7800
– Graduate/Professional: 6,700
• University Faculty & Staff: 13,000
October 15, 2014
26

27. Emory Libraries
• Woodruff Main (EMU)
• Health Sciences (EMM, GAUEMU)
• Law (EMK)
• Oxford (EMO)
• Theology (EMT)
• Storage (shared)
• Emory-Georgia Tech Library Service Center
(EmTech LSC, opening 2015)
October 15, 2014
27

28. Woodruff Main & Health Sci ILL: FY14
40000
35000
30000
25000
20000
15000
10000
5000
October 15, 2014
28
0
3382
7381
8577
19367
11959
26748
Borrowing Lending Total
Health
Main

29. Techology
• Hardware/Software
– Desktop Computers (Windows)
– Barcode Scanners
– Document Scanners
• Telecom/Network
– Telephone (& Telefax)
– Email
– Web
– Internet
• Library/Bibliographic
– ILS (Ex Libris Aleph)
– Discovery Tool (Ex Libris Primo)
– Databases
– ILL Systems (OCLC ILLiad, WSILL, Docline)
October 15, 2014
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30. Selected Standards
• Hardware/Software
– TWAIN (1992)
– Energy Star (1992)
– USB (1996, 2008)
– HDMI (2002)
• Internet
– FTP (1971, 1980)
– TCP/IP (1974/1978, 1981)
– SMTP (1982, 2008)
– DNS (1983, 1987)
– POP (1984, 1988)
– IMAP (1986)
– HTTP (1991)
– PDF (1993, 2008)
– HTML (1993)
– HTTPS (1994)
– URL (1994)
– XML (1996)
– LDAP (1997)
– Shibboleth (2003)
October 15, 2014
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31. Selected Standards
• Library/Bibliographic
– ALA ILL Request Form (1952)
– AACR (1967, 1978)
– MARC (1968, 1999)
– ISBN (1970, 2007)
– ISSN (1971)
– Z39.50 (1988, 2003)
– ISO ILL Protocols (1991, 1995)
– OpenURL (1998)
– NCIP (2002, 2012)
– RDA (2010)
– ISO 18626:2014 (July 2014)
October 15, 2014
31

32. October 15, 2014
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33. Selected Standards Organizations
• UPU – Universal Postal Union (1874)
• ANSI – American National Standards Institute
(1918)
• NISO – (U.S.) National Information Standards
Organization (1939)
• ISO – International Organization for
Standardization (1947)
• W3C – World Wide Web Consortium (1994)
October 15, 2014
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34. Item Discovery
• URL — navigate to website
• HTML/XML — web page display
• AACR2/MARC/RDA — Item description/metadata
• ISBN — identify monographic item
• ISSN — identify serial item
October 15, 2014
34

35. Customer Request
• LDAP — login to catalog/request system
• Shibboleth — single-sign-on
• OpenURL — transmit request data to ILL or other
system
October 15, 2014
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36. Requesting Library
• OpenURL — receive request data from customer
• Z39.50 — search local and/or remote catalog(s)
• ISO ILL Protocols — request messaging between
libraries
October 15, 2014
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37. Supplying Library
• ISO ILL Protocols — request messaging between
libraries
• Z39.50 — catalog searching & data import
• NCIP — create record in circulation system & charge
item
• TWAIN — scan requested document
• TIFF — document transmission format
• PDF — document display format
October 15, 2014
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38. Receipt & Payment
• ISO ILL Protocol — request messaging
• NCIP — create bib record &/or update Circ system
• TIFF — document transmission format
• PDF — document viewing format
• LDAP — customer authentication
• Shibboleth — single sign-on
• International Reply Coupon (UPU) — form of payment,
especially for international transactions
October 15, 2014
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39. Troubleshooting Problems
• Metadata – contact catalogers/metadata specialists with
specific information about bibliographic, holdings, location,
call number
• OpenURL – contact appropriate expert(s) &/or check URL
itself, target server name, genre, and field mapping in target
system
• Z39.50 – contact appropriate expert(s) &/or check Z39.50
specs in target catalog & configuration in the client system
• LDAP – check with identity management experts for
your organization re: customers status, credentials, etc.
• Shibboleth – remind customers to close their browser
in order to end their single-sign-on session
October 15, 2014
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40. October 15, 2014
40

41. Questions?
October 15, 2014
41

42. Thank you!
Margaret Ellingson
Interlibrary Loan
Woodruff Main Library
Emory University
Atlanta, GA 30322-2870
404-727-6893
margaret.ellingson@emory.edu
https://emory.academia.edu/MargaretEllingson

43. NISO 2014

44. Occam’s Reader
Our vision stems from the idea that, “Other things being equal,
a simpler explanation is better than a more complex one.”
A collaboration between

45. Our Story So Far
• Spring 2011 Launched GWLA EBook Lending Task
Force
• Fall 2011 First Occam’s Reader planning meeting
• Fall 2012 First proof-of-concept demo to GWLA
Deans
• Spring 2013 Occam’s Reader began alpha testing
• Fall 2013 Added features, major publisher interest
• Spring 2014 Partnership with Springer announced
• April 7, 2014 First transaction recorded
• September 1, 2014 Over 250 eBooks have been shared

46. The Occam’s Reader Team

47. Patron makes an ILL
request in the normal
manner, Borrowing staff
confirms with add-on
ILL staff at the lending
library receives the
request in ILLiad
ILL staff activates the
Occam's Reader
ILLiad add-on and
launches the Occam's
Reader software
Occam's Reader
processes the request
and uploads the eBook
Lending library sends
an Occam's Reader
generated email
Borrowing library
completes the
request
How it
works
Borrowing library
receives the email with
log in credentials and
forwards it to the
patron

48. Current Features
• Lender
o Support for plain text and PDF eBooks
o Customizable image quality and text rendering settings
o Complete ILLiad integration (as an add-on)
• Server
o Secure online access to borrowed eBooks
o Occam's Reader interface discourages piracy through simplicity
o Usage tracking and statistics
• Borrower
o At place of request the ILL staff has access to Occams Reader discoverability
service
o Viewable on any device with an internet connection
o Ability to zoom, rotate, previous, next and jump to page

49. ILLiad Addon Integration
LUA script
PHP web pages
Shares ILLiad data
Borrowing addon:
discovery tool
Lending addon:
software launcher,
email generator

50. The Conversion Software
Windows .NET
program launched
from within ILLiad
Generates, archives,
and uploads images
Prerequisites:
Imagemagick,
GhostScript, 7zip

51. Web Viewer
• Function across all web browsers
• Display PNG images
• Zoom
• Pan (move) across the page image
• Rotate the page image
• Navigate to next/previous pages
• Jump to specific pages

52. Occam’s Reader Web Viewer
OpenSeadragon +
More
Javascript
PHP HTML5

53. OR Viewer Sample
From page 54 of the viewer demo at OccamsReader.org/demo

54. Occams Reader Pilot Terms – Key Points
• Springer eBook chapters and full eBooks will be eligible
for use in this pilot
• Requestor viewing time shall be set at 14 days for full
eBooks and 90 days for eBook chapters. Additional loan
time will require another loan request.
• Request & loan details, including institutions involved and
ISBNs, (but not including personal information) will be
shared with Springer.
• Development of a new discovery layer to
accommodate multiple types of eBook discovery

55. Occams Reader Pilot Statistics
• 964,655 Springer eBook titles among 33 GWLA Libraries
o Most are available as a single PDF, but some are split into chapters
• 113,854 distinct Springer eBook titles in this set
• Top 10 institutions with the most Springer eBooks:
o University of Arizona (95,785)
o Texas A&M University (82,835)
o Oklahoma State University (63,033)
o University of Oklahoma (60,682)
o University of Illinois Chicago (52,559)
o Texas Tech University (48,622)
o University of Nevada Las Vegas (48,521)
o Southern Illinois University Carbondale (43,020)
o University of Southern California (42,916)
o University of Wyoming (41,553)
• Over 250 eBooks lent to patrons so far
o Feedback survey (feel free to leave a comment yourself)

56. Occams Reader
Google Analytics:
General Overview

57. Occams Reader
Google Analytics:
Audience Overview

58. Lessons Learned
• The need for a standalone version for non ILLiad libraries
or ILLiad libraries with unique instances
• Refinement of the discovery layer
• **Inclusion of home library in lending strings
• Workflow improvements
• Enhance image conversion process

59. Future Goals
• Add watermark capability
• Support additional eBook formats other than PDF
• Add options to enforce local lending policies
• Continue to refine the discovery layer
• Improve the image conversion experience
• Offer a “recommend for purchase” option after the item has been
used via ILL

60. Thank You
• Occam’s Reader Project
o www.OccamsReader.org
o Libraries.occams.reader@ttu.edu
• Ryan Litsey ryan.litsey@ttu.edu
Assistant Librarian Document Delivery
Texas Tech University Libraries
• Kenny Ketner kenny.ketner@ttu.edu
Software Development Manager
Texas Tech University Libraries
• And thank you to our Occams Reader Team Members:
o Joni Blake Executive Director, Greater Western Library Alliance
o Naomi Chow Librarian, ILL/ESP, University of Hawaii at Mānoa
o Arthur Shum Educational Specialist, University of Hawaii at Mānoa
o Erin Kim Information Technology Specialist, University of Hawaii at Mānoa
o Wing Leung Information Technology Specialist, University of Hawaii at Mānoa

61. NISO Webinar:
21st Century Resource Sharing: Which Inter-Library
Loan Standard Should I Use?
Questions?
All questions will be posted with presenter answers on
the NISO website following the webinar:
http://www.niso.org/news/events/2014/webinars/21st_century/
NISO Webinar • October 15, 2014

62. THANK YOU
Thank you for joining us today.
Please take a moment to fill out the brief online survey.
We look forward to hearing from you!