Progress Toward a Recommended Practice on Controlled Digital Lending

By Todd Carpenter (Executive Director, NISO) <tcarpenter@niso.org> ORCID: 0000-0002-8320-0491

Circulation of content in all formats is a core feature of what libraries exist to do, and they have been doing so legally for centuries. Libraries have also shared their collections with other institutions because it is understood that no library, regardless of its resources, can collect every item available. Providing patrons access to content via interlibrary loan (ILL) is another way in which institutions serve their patrons by connecting with other institutions through collections sharing. Building upon these traditions, controlled digital lending (CDL) is an emerging method that allows libraries to replicate their right to loan their legally acquired items in a digital format to patrons under controlled conditions. A new NISO recommended practice seeks to develop and promote community consensus on how best to apply this new approach to circulating content.

For direct-to-patron lending, CDL relies on many traditional circulation protocols and practices, with some variations, such as removing the print version of the loaned copy and setting hold periods differently from traditional circulation, to replicate the “friction” of handling the physical item. For institutional sharing, CDL is an extension of traditional ILL services, using the application of new technologies to more efficiently serve these requests, with lower costs, faster response time, lower environmental impact, and more effective collections development and management. In addition, through CDL, libraries can make available out-of-print books and provide access to readers with disabilities. Fragile collections that would not be able to circulate in any scenario can be made available via CDL — particularly for access to rare or unique materials, CDL thus supports a wider range of researchers who might not be able to travel to physically view the item. In addition, as items do not need to be physically shipped, CDL is a more environmentally friendly practice for content sharing.

As with any expansion of an existing service, there are new elements, features, and practices that need to be developed to adapt traditional circulation and ILL activities, policies, and infrastructure to the requirements of CDL. Many institutions implemented initial CDL trials and explored possible services, taking a variety of approaches to address differences between CDL and traditional circulation and ILL services. These differences include the interoperability requirements between systems, circulation policy and practice such as returns and holds, and technical measures to limit further sharing of copyrighted works. Other issues, such as the implications for the user experience, the network-awareness of the availability of digitized versions, and how CDL aligns with — or diverges from — long-standing practices that guide decision-making about copying materials, highlight the need for consensus-based approaches to aligning community practice.

In the fall of 2022, the National Information Standards Organization (NISO) launched a project, with the support from a grant from the Andrew W. Mellon Foundation, to develop a consensus Recommended Practice addressing the growing practice of CDL. The Interoperable System for Controlled Digital Lending (IS-CDL) project was approved by the NISO Voting Members in September of 2021. Following a public call for participants, a working group numbering nearly 30 people from across the information community was organized. Cochaired by Jennie Rose Halperin, from Library Futures and Allen Jones, from The New School library. The aim of this group is to identify and define a reference model of recommended practices supporting the technical and functional aspects of Controlled Digital Lending (CDL), an emerging method that allows patrons to electronically access books (print and digital) and book-like objects in a “lend like print” fashion.

The group began its work focused on four key areas: Digital Objects, General Circulation / Reserves, Inter-Library Lending, and Asset Sharing. The goal of the project is to develop a reference model upon which libraries and service providers can build and then operate a system of components to enable controlled digital lending within a library’s current service portfolio. Focusing on four operational areas of libraries, the group is considering the role of CDL in course reserves, general circulation, ILL, and digitization of content. Secondary goals for the project include agreeing on a common definition for CDL and the potential need for additional changes in other related standards such as OpenURL, circulation protocols (NCIP/SIP) and interlibrary loan standards. Importantly, this project is not seeking to define the legal rationale for whether an institution should engage in CDL or not, or for what types of circulation CDL might be appropriate, but rather it aims to describe best practice for how CDL should be implemented regarding functionality and control of access.

The group began its work undertaking an environmental scan of CDL systems that are presently in production and development. It is reviewing requirements of special collections digitization as compared with general circulation or ILL. It is also considering how objects available for CDL might be represented in MARC records; how terms of use should be represented, and how analytics and usage data should be gathered and reported. The final recommendations will also include user journeys, model workflows and staff roles in the CDL process. It will also contain a glossary of CDL terms and a bibliography of additional readings on the topic.

There are a variety of models available in which CDL can be incorporated into existing library infrastructure. Some approaches have included centralized system where institutions collectively upload to a single, shared, cooperative system. In this model, the library’s ILS and CDL systems are integrated. Building upon model this some networks of libraries may have a centralized system where a number of institutions collectively upload to a single, shared, cooperative system. In this model, the ILS and CDL systems of a particular institutions are NOT integrated, but rather shared resources across the system of participating institutions. The own-to-loan ratio is managed within the ILS, but the CDL system manages access controls to digital objects and assets via an interconnected and interoperable network. Individually, institutions may deploy local digital asset management systems where digital objects are upload to an institutional instance for access. In this model, the ILS and CDL systems are integrated. The final scenario envisioned is where these local digital asset management system exists but that the CDL system and ILS are not integrated, but interoperable in some capacity.

Addressing the specifics of these models, each of the subgroups has made progress advancing their areas of focus. The subgroup working on how digital objects are managed is developing a profile of standards related to the discovery, description and delivery as it relates to the creation, requesting, supplying and lending of CDL and E-ILL objects. They have begun outlining best practices for how CDL copies are represented within discovery services, evaluate MARC-based, OPDS as well as other exchange standards. Within these contexts, the group is evaluating file formats, encryption approaches, and the accessibility requirements of sharing these files and their associated metadata.

A second subgroup is focused on reserves and is developing end-to-end staff workflow and library staff technical and business requirement recommendations. They are outlining the technical requirements for delivery via browser and mobile devices of CDL/E-ILL objects to patrons. They are then identifying and documenting own-to-loan procedures and potential circulation interoperability interfaces that address these issues. Finally, the group will describe metrics to articulate the transaction and service performance of CDL activities.

Since CDL can be used not only to exchange content directly with patrons, but also between institutions, another subgroup is focused on ILL aspects of CDL exchange. They have begun by identifying integration opportunities for component developers and library systems vendors. This subgroup will describe ideal workflows for the exchange of CDL and licensed digital objects between institutions and the variety of systems used in digital circulation of content. Since many existing standards relate to this exchange among institutions, the group will develop draft work items for existing standards groups to consider, that could address the gaps in those standards the communicate information between institutional and broker endpoints. Ideally, the subgroup will be able to articulate best practices for an interoperable user experience and outline metrics to articulate the transaction and service performance. The final subgroup tasked with exploring asset protection will be describing the processes by which libraries securely exchange digital files between CDL systems and digital asset management systems. They will document best practice for how to discover representations of CDL objects that are exchanged between lending systems. A key elements of this will be how descriptive and exchange standards are defined within the bibliographic record, which are required to enable libraries to import CDL objects into local digital asset management systems. The subgroup will also articulate technical requirements for the secure exchange of unencrypted digital assets between systems.

The group is working toward a draft for public comment in the first quarter of 2023. Ideally, the final recommendation will be published by the end of 2023 and the group remains on target toward that goal. Obviously, many factors will play a role in whether the project is completed on schedule. The volunteer team involved in this project is working diligently and the community should be appreciative of their efforts. Additional information regarding the project will be posted to the NISO website (https://www.niso.org/standards-committees/ is-cdl) for the initiative and public presentations are planned throughout the coming year. Given the range of applications for CDL, regardless of the outcome of pending litigation, it is likely that this recommendation will serve as a guide for institutions seeking to deploy controlled digital lending in their environment.