Document Delivery Working Group Meetings
22-23 March 1999
Göttingen

2. Minutes of Document Delivery Working Group, 22 March

3. Summary of a further meeting of Mary Jackson (ARL) , Irina Sens (GBV) and Reimer Eck (SUB Göttingen) on 23 March

4. Next Steps (a checklist extracted from the above minutes)

1. Prologue: two personal notes

From Sem C. Sutter (3 April 1999):

On the basis of the ground work which we had laid in February and March on our listserv and in American testing of the GBVdirekt-NA prototype interface, the document delivery working group had high expectations for the productivity of our time face-to-face in Göttingen. But I know that I speak for all of the American members of the group when I say that in our highly congenial and collaborative sessions we accomplished even more than we would have thought possible. The minutes that follow will amply demonstrate and document this. We are grateful to Elmar Mittler, Beatrix Dudensing, and Roger Brisson for the careful and thoughtful planning of local arrangements that made our meetings enjoyable as well as productive.

From Reimer Eck (25 March 1999):

The rather recent creation of a special document delivery group and mailing list within the ARL German Resources Project has in very short time led to a flurry of activities and discussions that has made the German partners very confident that GBV-NA might play a major role in the GRP concept. Thus from our side we were expecting that the Göttingen meeting would lead to some tangible results. Our expectations have been considerably surpassed due to the fact that our American friends and colleagues consented to take care of their side of the access point to GBV-NA. We also managed to settle on the necessary accounting routines. Finally, we also have made remarkable progress on the topic of American delivery of documents to German libraries. All discussions were held in a remarkably agreeable, friendly and cooperative atmosphere so that we are convinced that this part of the project will on the long run have a considerable positive impact on further transatlantic scientific cooperation. If librarians can play a key role, so much the better.

2. Minutes of Document Delivery Working Group, 22 March, 14:00 - 18:00

(written by Sem C. Sutter based on his notes and those of Reimer Eck and Mary Jackson)

Present:

working group members Reimer Eck (Göttingen), Günter Heischmann (Bayerische Staatsbibliothek), Mary Jackson (ARL), Louis Pitschmann (Wisconsin), Sem C. Sutter (Chicago, chair); plus Eileen Degenhardt (Göttingen), Ludger Hüning (Tübingen), Irina Sens (GBV), and Dorothea Sommer (Halle-Wittenberg). Roger Brisson (Penn State) and Elmar Mittler (Göttingen) were able to be present for portions of the meeting.

A. American test use of GBVdirekt

Sem Sutter reviewed American test use of GBVdirekt, describing problems and questions that bibliographers and ILL librarians at Chicago, Cornell, Penn State, and Wisconsin had encountered. Some of the difficulties result from dead ends in the prototype interface that will disappear when we move to production on a North American section of GBVdirekt. Other problems arise from ambiguities or inconsistencies in the North American text prepared quickly in the summer of 1998.

Irina Sens and Reimer Eck were able to clarify a number of characteristics of the system that had puzzled the American testers. An example is the "no supplying library" message that sometimes appears when one transmits an order for an article. We learned that GBV is more sophisticated than we had understood in determining availability in participating libraries of the serial volume required. It automatically excludes institutions which hold the volume but do not participate in document delivery (remember that GBV serves as a union OPAC for numerous such libraries) and participating libraries that hold the title but lack the specific volume. It is therefore a waste of time for the interlibrary loan librarian to check this manually – one should simply enter the volume in the order template and rely upon the result.

The group discussed the current English-language terminology in GBV for search terms and indices, some of which were confusing to American testers. Mary Jackson suggested, and the group agreed, that using the new ISO ILL terminology wherever possible is highly desirable. Irina Sens and Reimer Eck also indicated that particularly confusing GBV search functions, such as those that rely on German codes or cataloging thesauri, can be left out for North America. To add new ones would be very difficult for obvious reasons.

Some testers had wondered whether GBV automatically refers an order if the initial library cannot fill it. This is in fact a standard ILL function in GBV but it cannot be applied here because Subito is limited to a strict dialogue between the individual borrower and the particular lender addressed. There are various reasons for this. A referral routine could break Subito’s strict requirement of 72-hour response times. Also, most of the pure Subito partners in the GBVdirekt system do not (yet?) have referral routines and belong to different regional library systems that do not (yet?) have a complete electronic dialogue (varying ILL protocols). This means that an American library that receives notification of inability to supply from the German library to which their initial order went may wish to try again and direct the order to a different library.

B. Other issues raised by test use of GBVdirekt

The working group is satisfied that the services discussed comply with copyright regulations in both countries.

The group discussed at length the merits of mediated versus unmediated ordering. We decided for now to limit GRP document delivery to orders mediated through ILL departments. Spreading the access code given to one partner library over campus would immediately compromise confidentiality of user information since order histories are clearly visible on the website. Restricting GBV-NA ordering access to ILL departments would also facilitate the borrowing/lending of returnables. If need should arise, GBV could either issue additional individual sub-codes for one campus, or if, an individual German department, for example, has major projects that overload the local ILL department and therefore and wants continuous access of its own, it could become a "partner library."

C. Organization of the GBVdirekt-NA homepage

The group agreed that we need to redesign the GBVdirekt-NA homepage and its associated online documentation in preparation for "going public" with the service. Initially Roger Brisson offered to draft these texts and mount them, but upon further consideration we concluded that, given his larger responsibilities for the German Resources Project, members of the working group itself ought to take the lead in this regard.

Mary Jackson will draft sections that explain registration, payment and accounting procedures and Sem Sutter will develop help screens based upon existing text augmented by experience gained at the test sites. Other members of the group, both German and American, will review their work for accuracy and add their own perspectives. All updating and refining during the beta testing phase should be subject to constant revision. The Americans will be responsible for the content, and Irina Sens can mount the material on the Web when it is ready.

[A later note from Reimer Eck: We should aim to refine the English interface as soon as possible. However, there is one complication: GBV is about to come out with a new and definitely improved search interface for the German library association meeting at the end of May. A prototype can be seen through the Dutch PICA access point. Mary has seen it. Other members of the working group please address Irina Sens (sens@mail.sub.uni-goettingen.de) for access. Sem and Mary should take this into account as they draft English text.]

D. Accounting and payment procedures

The group discussed costs. It is important to know that some Subito and GBV libraries are 25% to 50% higher than others for the same service. Among these in particular are: TIB Hannover (with Sondersammelgebiete in science and technology), LuUB Dresden (Sondersammelgebiet modern art), UB Karlsruhe (general Subito-provider) and UB Saarbrücken (Sondersammelgebiet psychology). These costs can not be standardized, but many of the libraries $8.00 for up to 20 pages sent by attached e-mail is the typical rate and our literature can describe it as such while preparing users for the inevitable variations they will encounter. The person ordering a document can, of course, consider this factor when choosing the supplying library.

The German delivery notes are currently made out in DM. The amounts recorded in these delivery notes are not the complete amount actually charged. GBV will charge 1,- DM in addition to the amount stated and ARL will charge an additional amount still to be decided for their handling of bills and accounts. The complications that ARL will face in accounting will become clearer when more orders have been processed and when the German libraries have sent more bills to GBV for accounting. (See further information on the accounting process in the notes on the discussions on 23 March, section 3 below.)

Roger Brisson raised the problem of special orders not being handled through the GBV accounting system. We recognized that in some cases, such as special orders to photoduplication departments, this cannot be prevented. If a German partner library invoices GBV for such a charge, they are willing to handle it, but will need to add an extra surcharge of DM 5,- because such bills require manual addition to the accounting system. Within reasonable limits we should try to run all German bills for American partner libraries through the GBVdirekt-NA system.

E. Timetable and process for going public

Beta testing will continue at Chicago, Cornell, Penn State and Wisconsin. The group considers it useful to bring in additional testing partners, possibly Virginia, Northwestern, and Colorado State. It will be especially valuable if staff from the test sites continue to indicate their experiences with the interface and help to refine the background documentation on the Web.

Mary Jackson has a complete list of all American libraries that currently hold independent GBVdirekt accounts without having gone through the German Resources Project. She will contact them to encourage moving their accounts to GRP accounting. We believe that most will see this as an attractive option.

1 July is our target date as we gear up the access interface, procedural documentation, accounting system, and appropriate publicity for all GRP member libraries to begin full participation in document delivery. This will enable us to publicize the service at ALA at the end of June, aiming not only at current GRP institutions, but at other libraries who will find the service attractive and choose to join GRP in order to participate.

We agreed that the accounting system as presented will have a pilot phase of one year from the date of public availability. At that point we will evaluate how well it has functioned and make appropriate changes if necessary.

F. Possible new initiatives: returnables

American members of the working group expressed strong interest in borrowing monographs from German libraries as well as willingness to explore avenues for American loans to German libraries. All agreed that returnables can play an important role in GBVdirekt-NA.

Lou Pitschmann argued strongly and convincingly that the two world wars gave rise to serious gaps in collections on both sides of the Atlantic. He therefore proposed books published since 1900 as the target collection for loans in both directions. The group considered this definition valuable while recognizing that not all potential participating libraries would be willing to follow this suggestion.

Reimer Eck proposed that Göttingen serve as the test library to loan returnables for a beta test period and the working group enthusiastically accepted this offer. During this period it will be possible to compile statistics regarding typical shipping times in both directions, rate of damage in transatlantic transit, etc. This data can become the basis for informing potential lending and borrowing libraries of what to expect. Göttingen will also inquire during the beta phase whether some other GBV-partner libraries may be willing to loan returnables as well.

The lending period will be four weeks. Orders should comply with copyright regulations, and preferably be for out-of-print books. Göttingen will supply 19th-century material within reasonable limits. Returnables will be sent by airmail within 72 hours (or better). During the test phase until the end of June, the price of DM 15,- per item will apply except in cases of excess weight or size. The final price will probably be more like DM 20,-. Göttingen might later also add its usual surcharge of DM 10,- for "Altbestände" of the 19th century.

G. Possible new initiatives: American delivery of documents and returnables

Lou Pitschmann expressed the willingness of the CIC libraries (Big Ten plus Chicago and University of Illinois-Chicago) to explore document delivery service and loaning books to German libraries, possibly using the consortium’s Virtual Electronic Library catalog to locate and order titles. Gauging the extent of potential German need for American delivery of documents and loan of books is the logical next step. While Günter Heischmann and Ludger Hüning did not expect sizable demand for ILL from North America, Reimer Eck reported that Göttingen’s experience has been different.

Reimer proposed attempting to measure potential demand and supply by gathering GBV negative ILL orders (articles as well as books) and then checking them against American holdings via the OCLC World Cat to see how many might be filled by ordering from the United States. This would require a period of Göttingen access to OCLC – perhaps ARL could pay for this during the beta phase? The searcher might first check for holdings from GBV-NA partner libraries. If Lou Pitschmann could arrange for similar CIC-VEL access, their holdings could be checked separately. The results could provide a basis for further discussion of needs and possible ways to supply them. [Reimer Eck reports subsequently that "this has already been discussed in-house and we should be able to go ahead."] Lou agreed to communicate Göttingen's interest to the CIC and to determine how best to provide trial access to the VEL. He will report his findings to the Document Delivery Working Group and to Reimer Eck.

H. Other

Ludger Hüning explained and demonstrated the University of Tübingen Library’s own document delivery system. (See http://www.uni-tuebingen.de/ub/ssgsfm_.htm) The price for FTP delivery of scanned documents is DM 15,- for non-European customers and credit card payment is possible.

At the plenary session on 23 March Berndt Dugall, Director of the Stadt- und Unversitätsbibliothek Frankfurt am Main whose Sondersammelgebiete include German language and literature as well as linguistics, announced that the library will participate in GBVdirekt-NA beginning 1 April 1999. This will be a particular boon to meeting American needs in those fields.

3. A further meeting on registration and accounting issues on the afternoon of 23 March

Summary written by Reimer Eck

Present:

Mary Jackson (ARL) , Irina Sens (GBV) and Reimer Eck (SUB Göttingen)

A. Registration

Irina and Mary decided that ARL will receive an updated registration form designed specifically for GBVdirekt-NA use. GBV has also issued to ARL five more registration numbers and pincodes so that additional libraries can join during the beta phase. Upon new registration ARL (Mary) will mail the filled out registration form to GBV (Irina). The new account should function within 72 hours maximum (but remember the jet-lag factor!) GBV will also inform ARL when a new library from the U.S. or Canada has registered with GBVdirekt through their world-wide homepage. (Or would American libraries consider this information confidential?)

B. Accounting

Bills to ARL will be sent in an Excel-file with the following information:

The list is sorted by libraries.
It contains only the transactions for which GBV has paid the suppliers to date.
It contains the relevant GBV transaction number (A-Nummer) and an abbreviated code for the supplying library.
It contains the date the original order was sent and the date the German bill was paid.
Shipping costs are not indicated separately.
The GBV surcharge is added. Prices are in DM.
ARL will also receive a list of GBVdirekt supplying libraries in order of the numerical "Bibliothekssigel" or the abbreviated codes used in the bills in order to facilitate checking the where the original bills come from.

We decided that after the beta phase tri-monthly bills will be sent by GBV. This could be stepped up to monthly, or (if traffic is unexpectedly slow) be changed to biennial depending on demand.

C. Statistics by subject

We discussed the feasibility of generating statistical data for analytical purposes. Since the German supplying libraries use rather heterogeneous classification systems it would be rather difficult to supply ARL with statistical data by subject. It is possible to produce statistical data out of IBZ-use, even down to (German) subject headings. Also, statistical data for monograph use from GBV libraries could be created according to BK (Basisklassifikation) for more recent literature. Information on American borrowing habits by subject would never be complete. The available data could nevertheless be supplied by GBV on demand at an extra charge. They might be interesting for the collection development working group of GRP.

D. Information material

There are already GBV flyers in English. Mary was given a sample copy. For GBV-NA this text would definitely have to be modified. The document delivery working group, in particular Sem, Reimer and Mary will try to come up with an agreed text that should be ready for the ALA Annual Conference. It should conform with the basic information on the new GBV-NA homepage. It should also have room for an individual ILL department to add its contact information on campus. ARL will take care of printing and distribution. Anybody interested may contact Irina for sample copies of this existing GBVdirekt flyer in English.

E. Further discussion re: giving German libraries access to American collections via ILL

Mary strongly suggested OCLC as the access point for German libraries in search of material from the U.S. She believes that OCLC might be willing and able to create a group-access approach to the OCLC catalogue for German libraries that might mark those libraries prepared to supply ILL to German libraries (not unlike the GBV interface). For accounting of services rendered she suggests the OCLC Interlibrary Loan Fee Management (IFM) system. German libraries interested would have to open an account with OCLC/IFM and naturally pay for search – but not download or shared cataloguing – privileges. German libraries willing to do transatlantic ILL borrowing should have access to this privilege by reduced rates. Although American ILL rates might be higher and vary stronger from library to library, this might be a welcome approach, doing away with IFLA lending slips meandering somewhere in Nirvana. Since IFM already is a virtual accounting system and IFLA (Amsterdam ILL meeting, 1998) is seriously considering the "electronic voucher," we might in the long run really come to transatlantic ILL with very limited cash-transfer if we can sometime tie the GBV accounting system into it.

Without having talked to my superiors, I am rather positive that Göttingen might want to serve as what Roger loves to call a "test bed" for German ILL orders through OCLC.

4. Next Steps (a checklist extracted from the above minutes)

Continued testing of the GBVdirekt/NA interface (Chicago, Cornell, Penn State and Wisconsin; plus Virginia, Northwestern, and Colorado State?) – now through June

Drafting info and help screen texts for the next iteration of the GBVdirekt/NA interface (Mary in re registration, payment and accounting; Sem in re searching and ordering) – ASAP

Review of Mary’s and Sem’s draft (members of working group and staff testers) – as soon as ready

Mounting the approved texts on the Web (Irina) – as soon as ready

Contacting American libraries now using GBVdirekt to urge them to participate via GRP (Mary – already done?

Revise English-language GBV flyer for GBVdirekt/NA purposes (Reimer, Mary and Sem) – before ALA

Planning ALA-related and other publicity (all American members of the working group) – May and June

Beta-testing of lending/borrowing German returnables (Göttingen and American test sites) – now through June

Assessing German need for American documents and returnables on basis of data at Göttingen (Reimer) – no deadline

Further exploration of possibilities for German use of CIC-VEL (Lou) – no deadline

Provide ARL with an updated registration form designed specifically for GBVdirekt-NA use (Irina) – already done?