Alternatives to CONTU at UMass Amherst

15 October 2024

K. Zdepski

Resource Sharing Librarian, UMass Amherst

kzdepski@library.umass.edu

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UMass Amherst

• Public research university
• 5,000+ Faculty & Staff
• 32,000+ Undergraduate & Graduate
• ILL averages annually
• 15,000+ Borrowing requests
• 10,000+ copies
• 18,000+ Lending requests
• 4,000+ Doc Del requests
• ILLiad resource sharing management
• Connected to OCLC, Rapid, ComCat, web form, email, Reprints, publisher purchases, etc., etc., etc.

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2019 ILL Copyright Evaluation & Payment Task Force

Charge

Institute a new form of copyright evaluation and payment in alignment with U.S. Code § 107 (Fair use) and U.S. Code § 108 (Reproduction by libraries and archives).

Improve connections between Interlibrary Loan data and acquisition processes.

Deliver workflow documentation and a 1 page policy document.

Pilot the process in 2020 2021.

Membership

K. Zdepski, Resource Sharing Librarian (chair)

Sarah Fitzgerald, Assessment Librarian

Lisa Di Valentino, Law and Public Policy Librarian

Paulina Borrego, Science and Engineering Librarian

Laura Quilter, Copyright and Information Policy Librarian

Scott Stangroom, Acquisitions Unit Coordinator

Jaime Taylor, Discovery & Resource Management Systems Coordinator

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Task force process

• Reviewed white paper and available policies from other institutions (Ohio State and Georgetown)
• Considered:
• Possible measures of what “substitutes for subscription”
• Process time and consistency
• Number of people to involve
• Determined available data:
• Request volume and fields in ILLiad?
• Current subscriptions and usage?
• Subscription costs?
• Journal publication frequency?

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CAUSeS Method

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Copyright Assessment for Uses that Substitute for Subscriptions

Published in Journal of Library Resource Sharing, and free in the UMass Institutional Repository:

https://hdl.handle.net/20.500.14394/32196

CAUSeS Criteria

Primary measure: An average of one article for every other issue published would not substitute for a subscription

Secondary Measure: If requests for a particular title are objectively high (especially year after year), consider if we are substituting for a subscription, regardless of other measure(s)

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CAUSeS example

With a quarterly publication (4 issues/year):

• If we borrow 6 articles published in 1 year, we would pay license fees for 4 articles
• (4 issues * 1 year)/2 = 2 → 6 borrowed - 2 = 4

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• If we borrow 6 articles published across 3 years, we would pay license fees for 0 articles
• (4 issues * 3 years)/2 = 6 → 6 borrowed - 6 = 0

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In comparison to CONTU, CAUSeS…

• Better meets the “substitutes for a subscription” formula in § 108
• Better meets Fair Use § 107 factors #2 through #4:
• nature of the original work [quarterly, monthly, etc]
• amount taken [% of journal publication year]
• effect on market [for subscription]
• Licensing fees more accurate for use of older publications
• Licensing fees more accurate for impact to publishers
• e.g. 10 requests from a quarterly publication is more significant than 10 requests from a daily publication.
• Provides data for collection development
• → improves our subscriptions → benefits publishers

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Throughout the year

• ILLiad/Constant Data set to CCL (not CCG)
• IDS Logic:
• Moves requests through ILLiad’s Awaiting Copyright Clearance Processing queue (no CCC data saved)
• Runs ISSN normalization on all requests
• Requests with ambiguous ISSNs or publication years are routed to Awaiting Staff Review

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Annually

1. Run report of transactions out of ILLiad
2. Run report of journal frequency from UlrichsWeb
3. Review list of current subscriptions
4. Combine in sheet and run calculation
5. Submit list of transactions for payment

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Annually

0. Additional cleanup of ISSNs and publication years

• Run report of transactions out of ILLiad
1. Make sure CopyrightAlreadyPaid is accurate!
2. Move book chapters to another sheet!
• Run report of journal frequency from UlrichsWeb
• And fix all the “irregular” or missing frequencies!
• Review list of current subscriptions
• But can’t get at print only subscriptions!
• Combine in sheet and run calculation
• Submit list of transactions for payment

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ILLiad report

SELECT CreationDate, ISSN, PhotoJournalTitle, PhotoJournalVolume, PhotoJournalIssue, PhotoJournalYear, Status, Department, LendingLibrary, CopyrightAlreadyPaid, TransactionNumber

FROM Transactions

JOIN Users ON (Transactions.Username = Users.Username)

LEFT JOIN LenderAddresses ON (Transactions.LendingLibrary = LenderAddresses.LenderString AND ransactions.LenderAddressNumber = LenderAddresses.AddressNumber)

WHERE ([Transactions].[CreationDate] >= convert(datetime, '2021-01-01', 121)AND [Transactions].[CreationDate] <= convert(datetime, '2022-01-01', 121)

AND (isnull(CharIndex(N'Borrowing', [Transactions].[ProcessType]), 0) > 0)

AND (isnull(CharIndex(N'Article', [Transactions].[RequestType]), 0) > 0) �AND NOT [Transactions].[Username] IN (N'Reserves',N'DisabilityServices')

AND NOT ([Transactions].[ISSN] IS NULL OR LEN[Transactions].[ISSN] = 0)

AND NOT ([Transactions].[TransactionStatus] LIKE 'Cancelled by ILL Staff')

)

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Sheet & Calculation - year tab

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=COUNTIF(C:C,C2)

https://tinyurl.com/CAUSeS-sample

UlrichsWeb & journal frequency

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https://tinyurl.com/CAUSeS-sample

Sheet & Calculation - summary tab

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https://tinyurl.com/CAUSeS-sample

Sheet & Calculation - payment tab

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https://tinyurl.com/CAUSeS-sample

After the evaluation

Encourage Collections Strategies Group and others to review popular titles on report

Update report to include cost

ILLiad batch update to save costs in BaseFee field

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In review

• Journal frequency confirmation
• ~5 hours (spread across multiple people and days)
• Additional ISSN cleanup
• ~4 hours; at end less than 5% had no identifier
• Report creation and payment:
• ~1 hour
• 80-140 transactions marked for payment
• Avg $5,000 under CAUSeS (vs $34,000 under CONTU)

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