Shared e-Resources (ECC and Opt-in) - Alma Consortial Acquisitions

Background

Currently, libraries track the acquisitions and payment of shared Electronic Core Collection (ECC) and Optional (Opt-in) e-resources in their local systems.  The Chancellor's Office Systemwide Digital Library Content (SDLC) team negotiates and in some cases with the Electronic Core Collection (ECC), pays for e-resources.  Optional (Opt-in) resources are negotiated and paid-for by the central office but the library then pays the central office for the negotiated price for the optional e-resource via Cash Posting Order (CPO).  

The CSU uses the CPO as its standard mechanism for cost recovery between campuses (including the Chancellor's Office). Instead of invoicing Campus B for expenses Campus A has incurred on its behalf, Campus A simply submits a CPO to the Chancellor's Office. The Chancellor's Office then notifies the bank used by the CSU to move cash from Campus B's account to Campus A's account.

The campus department receiving the funds is the one who initiates the CPO request and submits the form to their campus Accounting Office. 

The CPO Process will remain in place for the Chancellor's Office and the libraries.  The payment process may change in the future with further investigation by the Systems and Acquisitions Task Forces.

Best practice recommendations

There are three models of acquisitions available for Alma.  

Institutional Zone (IZ), the local acquisition, licensing and e-resource management by the individual libraries.  This model is only for the IZ and will not be used for shared acquisitions and libraries will continue to manage acquisitions of e-collection in the IZ.  Libraries will locate and order e-collections, for those resources subscribed locally, from the CZ and will be maintained in the IZ.  E-collections in the IZ will not appear in the NZ.  

Network Zone (NZ) ECC is the centralized ordering, acquisition, licensing, activation and e-resource management of the ECC e-resources in the NZ.  These e-collections DO NOT appear in the IZ.  The Chancellor's Office will manage the acquisition and payment for the e-collections included in the ECC.  The continued management of the shared e-collection will be done by the NZ e-resource administrator.  The ECC e-collection will have view-only access of the portfolios included in the shared e-collection from the NZ tab.  The shared acquisitions data will not be available to be viewed in NZ ECC.  License terms information for NZ ECC e-collections can be viewed in Primo and at the portfolio level.  The other acquisition data for ECC e-collections will not be viewable.  Complementary and open access collections will be included in NZ ECC.

Network Zone (NZ) Opt-in is centralized negotiation and management of the Opt-in e-resources in the NZ instance and local acquisitions managed by libraries in the IZ.  The e-collection remains in the NZ tab and has view-only access for the e-collection and portfolios.  License terms and negotiated details are available to the subscribed library.  The acquisitions (order records) part of the Opt-ins will be managed and available in the IZ.  Upgrades to ECC e-resources will also be included in this model.  Upgrades are defined as resources libraries pay a nominal fee to upgrade a resource included in the ECC, i.e. EBSCO Academic Search Complete or Business Source Complete.  Libraries will order the Opt-in resource from the NZ and will maintain order records in the IZ.

The acquisition data will not appear in the e-collection in the NZ tab.  To locate the acquisition data in NZ Opt-in, a central office user will need the the POL or PO number to locate the acquisitions information for that Opt-in or Upgrade e-collection.  ECC/Opt-in e-collections are located and activated or ordered by the NZ e-resource administrator from the CZ and are managed in the NZ.  Libraries will then order the Opt-in or Upgrade (Upgrade to an ECC resource) e-collection from the NZ and manage the acquisitions in the IZ. 

 License terms and fees are negotiated by the Chancellor's office and purchasing and invoice processing is done by the individual libraries.  Libraries will need to create a vendor for the Chancellor's Office (vendor=SDLC/CO) in the IZ for the Opt-in e-collections.  The library will use the CO as a vendor to order and pay for the Opt-in resource (NZ Opt-in).  For more details ordering Opt-in resources, see the Acquisition's policy on Ordering using the Alma Network Zone.  

The NZ instance must be populated with vendors (material providers and licensors) and funds for NZ ECC and vendors (licensors) for NZ Opt-in.  Negotiated licenses are also required in the NZ to track costs of e-collections for each subscribed library in NZ Opt-in and for one vendor with multiple databases in NZ ECC.

*Sharing Electronic Resources in the NZ but not ordered from SDLC:  If your library is sharing a resource in the NZ but did not negotiate for that resource with SDLC, the POL will need to be attached to a provider-neutral record/OCLC record.  The electronic full text collection can be shared but the licenses and purchases orders cannot be maintained centrally and will need to be attached to this PNR record.  Please DO NOT use the Alma CZ Descriptive Record for that resource (See Catalog recommendations: Provider-Neutral Records & Use of Database-Level Records).  Acquisitions Task Force has information for attaching current POLs to records in the NZ: Acq FAQ . Example:  HeinOnline is a shared resource that 3 libraries are sharing in the NZ.  Only two of those libraries negotiated the resource via SDLC.  All 3 libraries can continue to share the NZ resource but only 2 of those libraries will have consortial acquisitions attached to the e-collection.   The other library will need to attach POLs to the OCLC/PNR record in the NZ.

Ordering an Opt-in electronic collection in the NZ.:  Description of the records in the NZ and which records can be ordered and which records remain suppressed.

Procedures for NZ ECC and NZ Opt-in

There are various scenarios and procedures for e-collection activation and acquisitions for NZ ECC and NZ Opt-in.  When all database-level collections have been added to the CZ, the Chancellor's Office will begin adding these resources to NZ ECC and NZ Opt-in.  We will follow the policy for Provider-Neutral Records and Database-level records until it has been determined that all subscribed database-level (zero-portfolio) electronic collections are available in the CZ.

Procedures for NZ ECC e-Resources Scenario #1: When there is one vendor with one e-resource included in the subscription.  E-resource ordering, activation and management will be done by the Chancellor's Office for NZ ECC.  Libraries do not have to do anything on their end.  Libraries will be able to view the portfolios and the license terms for the ECC resources.

Procedures for NZ ECC e-Resources Scenario #2: When there is one vendor but there are multiple e-resources included in the subscription.  E-resource ordering, activation and management will be done by the Chancellor's Office.  Libraries do not have to do anything on their end.  

Procedures for NZ Opt-in e-Resources Scenario #1: When there is one vendor with one e-resource included in the subscription, the e-resource is ordered in the local instance.  E-resource activation and management will be done by the Chancellor's Office and ordering (acquisitions) will be done by the libraries.  Libraries will Order the e-resource from the NZ and maintain the orders in the IZ.  License terms and negotiated price will be visible in the IZ once the e-resource has been ordered.

Procedures for NZ Opt-in e-Resources Scenario #2:  When there is one vendor but there are multiple e-resources included in the subscription and each resource has a separate cost.  This scenario would include "upgrades" to e-collections, such as EBSCO Academic Search Complete or Business Source Complete.  This Scenario uses the same procedures for NZ Opt-in Scenario #1.  *for use by NZ Admin only

Procedures for NZ Opt-in e-Resources Scenario #3: When a single resource is ordered but the resource has more than one collection included with that single resource.  Example would be IEEE:  The subscription is for IEEE but that resource includes 5 collections.  The collections are not separated in the shared agreement, the agreement is for IEEE.  EBSCO OmniFile is also ordered using this scenario.  Gale All Access also falls under this scenario.  For libraries ordering a resource such as IEEE, OmniFile, or Gale scenario #3 or #4 could be used to setup local PO's.

Procedures for NZ Opt-in Resource Scenario #4: This is for a resource that is ordered that includes a second resource in the price.  The example is EBSCOhost Academic Search Complete subscription that also includes Business Source Complete.  Some libraries only subscribed to ASC and some libraries subscribe to ASC/BSC.  For those libraries that only subscribe to ASC, NZ ER Admin should use the procedures for Opt-in e-Resources Scenario #2 to set up the negotiated license and PO.  For the combination of ASC/BSC, use for the procedures for Opt-in e-Resources Scenario #4 procedures.

Ordering an Opt-in Full Text electronic collection in the NZ.:  

This is a description of the e-collections or records that can be ordered.  The Opt-in Full Text Electronic Collection should be ordered.  If a library cannot order the full text e-collection, then the OCLC record can be ordered.  Do not create a new order or attach an existing order to a Descriptive record.  This document displays the differences between the electronic collections and the bib records in the NZ.  See Section below: Libraries that purchased or locally negotiated an ECC or Opt-in Resource for more information and links to policies and procedures for this process.

*To see procedures for ordering full text Opt-in electronic collections in the NZ, see the Library section in NZ Opt-in Resources, scenarios 1-4.  Links to each scenario are listed in the above section.  To see how to order a shared A&I resource in the NZ, see the section below; Sharing and Ordering Opt-in A&I databases in the NZ.

Sharing and Ordering Opt-in Abstract and Indexing (A&I) databases in the NZ:

A description of how to order for both the CO and the local library.  There are two sections that describe what steps the CO should take to set up an A&I in the NZ and how the library should order the A&I database from the NZ.  There is a section that describes how the resource can be displayed in Primo.  Links to the resource in Primo are created and maintained in the IZ using the NZ Descriptive Record.  The NZ Descriptive record remains suppressed for all ECC and Opt-in resources (full text and A&I's).

Libraries that purchased or locally negotiated an ECC or Opt-in Resource

Acquisitions exception -Sharing Electronic Resources in the NZ but not negotiated by SDLC:  If your library is sharing a resource in the NZ but did not negotiate for that resource with SDLC, the POL will need to be attached to a provider-neutral record/OCLC bib record.  The electronic full text collection inventory can be shared but the licenses and purchases orders cannot be maintained centrally and will need to be attached to this PNR or OCLC bib record.  Please DO NOT use the Alma CZ Descriptive Record or CZ bib records for that resource (See Catalog recommendations: Provider-Neutral Records & Use of Database-Level Records).  Acquisitions Task Force has information for attaching current POLs to records in the NZ: Acq FAQ . Example:  EBSCO Art Full Text is a shared resource that 8 libraries are sharing in the NZ.  Only two of those libraries negotiated the resource via SDLC.  All 8 libraries can continue to share the NZ resource but only 2 of those libraries will have consortial acquisitions attached to the e-collection. Only those 2 libraries can order the e-collection from the NZ.  The other 6 libraries will need to attach POLs to the OCLC record /PNR record in the NZ.

Licences: view-only access to licenses in the Network Zone

There is now view-only access to the ECC and Opt-in licenses in the NZ.  SDLC will be uploading the signed agreements to the attachment tabs as well as any title lists or URLs to title lists.  Libraries will be able to see the license terms and the cost for each Opt-in resource under Negotiation Details.  SDLC has migrated the old subscription logs to a license labeled, SUBSCRIPTION LOG.  These files are in the Attachment tab. *These older subscription logs will eventually be removed from Sharepoint.  The current subscription log will remain on Sharepoint as this is a live document and updated daily.  

Appendix B 

List of recommended license terms
Refer to the ONIX-PL documentation as a guide for standard license fields.

The following terms and conditions of use are present in the following areas in various SDLC agreements.

• Abide by the Copyright Act of 1976
• Accessibility
• Authorized user definition
• Remote access: security procedures are undertaken that will prevent remote access by institutions, employees at non-subscribing institutions or individuals
• Printing/downloading/extraction
• Course Pack/courseware/electronic reserve: e.g. shall be used only in electronic form. Course packs appearing in print; CD-ROM, DVD, or any other physical medium shall be prohibited and should not be used or offered for commercial use and
• Interlibrary loan: e.g in print format only and not in digital content, etc
• Linking/deep linking:
• Perpetual Access product: Archiving and long-term access: back-issues Annual access fee, or Archive Capital fee (one-time fee); members opts to purchase with hosting services by XXX, or to be hosted by the member (an electronic file in XML format or other standard format will be delivered to that member
• Perpetual access for e-books: if in the event of an institution’s cancellation or non-renewal of an institutional participation agreement
• Post cancellation access for current issues: if subscription lapses, {subscriber} retain access to "paid content" or "years paid for" following the institution’s cancellation or non-renewal of a subscription to the current issues of the applicable journal (“ Post Cancellation Access”)
• Intellectual property rights
• Simultaneous user limits

References

• New e-resources:  Order e-Resources Negotiated and Managed in the NZ by a Member (start at: 6:30): https://www.youtube.com/watch?v=nXcl1rrb_JE&hd=1
• Ordering a Centrally Managed e-resource
• Refer to the ONIX-PL documentation as a guide for standard license fields.
• OCLC pn records: Provider-Neutral Records & Use of Database-Level Records
• Acquisitions Task Force FAQ: Acq FAQ #2
• Acquisition Task Force procedures for Order in the NZ: ULMS Acquisitions Policies & Procedures - DRAFTS

Action log