ALCTS Technical Services Directors of Large Research Libraries Discussion Group

2004 Midwinter Meeting (San Diego, California)
January 9, 2004

Appendix to Minutes of Meeting:

Round Robin of Issues of Importance (major events/developments/concerns) to Local Institutions These reports were distributed over the Big Heads electronic discussion list in the weeks prior to the San Diego Midwinter Meeting in January 2004.

For the minutes of the Big Heads meeting at San Diego, click on NOT YET AVAILABLE.

This compilation was prepared by Judith Hopkins, University at Buffalo



Columbia University
Cornell University
Duke University
Harvard University
Indiana University
Library of Congress
National Agricultural Library
National Library of Medicine
New York Public Library
New York University
Ohio State University
Pennsylvania State University
Princeton University
Stanford University
University of California at Berkeley
University of California at Los Angeles
University of Chicago
University of Illinois at Urbana-Champaign
University of Michigan
University of Minnesota
University of Pennsylvania
University of Texas at Austin
University of Virginia
University of Washington
University of Wisconsin at Madison
Yale University


ALA Annual meeting, January 2004
From: Lee Leighton(

UC Berkeley round robin report, January 2004

During fiscal year 2003-2004, the library was asked to give back 2.4 million dollars in permanent funds to the campus (approximately 35 positions including 8 from Technical Services). Those savings were achieved by a hiring freeze and voluntary resignations. We are also expecting a mid-year budget cut during the current fiscal year. In addition, the Library has been asked to give back an additional 2.2 million dollars (approximately 30 more positions including a 25% reduction in student employment) in the coming fiscal year, 2004-2005.

Electronic resources workflow.
Carole McEwan, our electronic resources cataloger, has been working with the many library staff who select, acquire, pay for and catalog electronic resources to regularize and streamline our processes.

Approval plans.
With the demise of the Academic Book Center, which supplied our domestic science books, we have consolidated our domestic approval plans with Yankee Book Peddler, the vendor that also supplies our domestic arts, humanities and social sciences materials.

Germanic brief cataloging.
We have been experimenting with brief cataloging for our current Germanic materials. The Germanic cataloger and the Germanic book selector have worked together to prioritize our Germanic backlog into 1). high priority books that need full cataloging, and 2). lower priority materials that can receive brief cataloging, at least in the short term. The brief records were cataloged on OCLC, following a University of California standard, with nearly full description, an LC call number (but no subject headings), and a code that allows us to later retrieve those records. After about 7 months, we are researching over 3,000 of the brief records on OCLC to determine if other libraries have added subject headings to our records. We will then add those subject headings to the brief records in our local catalog and export them again as full records to RLIN and MELVYL, the University of California union catalog. Because the books have been classified, they are already on the shelf and will not have to be rehandled. A public services/technical services committee is currently discussing extending this experiment in some form to other materials in Western European foreign languages, Slavic languages, and Arabic.

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ALA Annual meeting, January 2004
From: Cynthia Shelton, Associate University Librarian, Collections and Technical Services (

UCLA report for ALA Heads of Technical Services
Midwinter Report
Cindy Shelton

The Library has focused the last 6 months on implementing budget cutting plans and planning for data migration and implementation of a new LIS system.

New University Librarian

Gary E. Strong, formerly Director of the Queens Borough Public Library, took over the helm at UCLA on September 2. He has immersed himself in budget planning, capital program planning and fund raising, and outreach to the deans and provosts.

Budget Cuts 2003-04

The UCLA Library eliminated 25.5 staff positions (around 8 percent) in order to meet a 7 percent budget cut. We did this through attrition and avoided layoffs. We planned for these cuts by centralizing and consolidating services in the various libraries. These consolidations included centralizing cataloging into a single department serving all libraries, and merging seven separate acquisitions units into five. Implementation of these consolidations has involved vast workflow and space planning. We started implementation of these changes on July 15. 

The Library is planning for a minimum 5 percent cut for 2004/05.

Voyager: UCLA's new system.

UCLA is happily and busily immersed in planning for migration to Endeavor's Voyager. We will implement the new system in summer 2004.

Shared Collections and Acquisitions: 

UC launced a pilot to test some of the policies and goals for building a shared print collection. The pilot is using around 1000 journal titles from Elsevier and AMC.  UCLA is handling the acquisition of the materials that are being processed and housed in one of UC’s two shared storage facilities. An assessment report of the pilot to determine the cost effectiveness, feasibility,  and scalability is due in March.


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ALA Annual meeting, January 2004
From: Judi Nadler (

January 2004



After more than twenty years of successfully guiding the programs and activities of the Libraries at the University of Chicago, Martin Runkle, Director of the Library, has announced his intention to retire, effective October 1, 2004.  A search for a new Director of the Library is underway, and announcements will appear in national publications and on web sites in the upcoming weeks.


At the present rate of collection growth all of the shelving in Library buildings on campus (including the storage facility) will be filled by the end of 2007 and we will be “functionally full” well before that date.  So far the burgeoning of online information has not slowed appreciably the growth of our print holdings—in the past five years the collections have grown by an average of 146,000 volumes per year, some 115,000 annually in Regenstein. The Special Collections Research Center will run out of space for archives and manuscripts by the end of this year.

The Library has taken several steps in planning to accommodate future growth, including: a capital budget request for a cost & feasibility study for on-site and off-site shelving (request approved, and study underway) and the appointment of an ad hoc faculty advisory committee on shelving options. The Committee’s recommendations will be critical in the continuing process of deliberation and decision-making.

Also, a committee was charged with proposing the design for a weeding project in the Regenstein stacks, focusing on duplicate monographic and journal holdings that can be de-accessioned. The Committee completed its work and the project is now being tested in pilot mode. The Report can be found at

Budget and staffing

Preliminary data predict a tight budget for the next fiscal year—0% increase for operating, 2% increase for compensation, and 6% increase for acquisitions. A decrease of 4% in endowment payout coupled with the falling value of the $ add to the gloomy picture. In light of this year’s and of next year’s budget, all vacancies are under scrutiny and only selective vacancies are to be filled.

Strategic planning process continues

Current Situation Analysis: Summary of Findings is a product of ten weeks of thoughtful study, discussion, and research on the part of the Strategic Planning Group into the internal environment of the University of Chicago Library and external trends that have affected its collections and operations and will continue to have an impact in the future. The document summarizes the major internal factors and most significant external trends to be considered in planning for the next five years. 126 members of the library staff representing all divisions and job classifications, including student workers, participated in the focus groups. Additionally, meetings were held with faculty on the Library Board, members of the Visiting Committee to the Library, and representatives from the University of Chicago Press.

During December 2003 the planning engaged in a brainstorming technique known as SWOT Analysis. SWOT identifies the Strengths and Weaknesses of the organization and articulates the Opportunities enjoyed by and the Threats faced by the organization. The SWOT brings the discovery stage of the SPG's work to a close and provides a foundation for the next stage - the articulation of mission, vision, values and strategic goals. Completion date for the next stage is May 1.

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ALA Annual meeting, January 2004
From: Robert A. Wolven, Director of Bibliographic Control and Systems(

  This year, we had an 8% increase in the materials budget, but a 2% reduction in the operating budget.  (The impact was slightly reduced because we were allowed to carry three positions in Cataloging and Systems on a temporary basis through FY05.)  We are anticipating a 2% increase in operating budget for next year (effectively, a slight decrease, since we will have to cover salary increases) and another 8% increase for materials. 

Voyager Implementation.
   We 'completed' Voyager implementation in July (in the sense that all modules are up and running) just 1 month before the August blackout wiped out access to all of our NOTIS data!  Now, we're gradually refining procedures, developing new reports, and restoring various batch processes and uploads.  We expect to resume uploading to RLIN and OCLC very soon.

Embedded Order Data, Shelf-Ready Books.
  With Voyager out of the way (so to speak) we have begun to load records with embedded order data from Blackwell's Collection Manager, and will institute a shelf-ready books pilot for firm orders in the spring.  We hope to quickly expand the pilot to include approvals and books from other vendors. 

  We have begun canceling print subscriptions for many journals in the sciences and social sciences, and will rely on e-only access for most titles in certain large packages.  We have also expanded our profile with SerialsSolutions to include records from sources other than CONSER, in order to provide more comprehensive access through the online catalog and web listings. 

Union Theological Seminary.
  As mentioned in the summer report, we are preparing for the integration of the UTS library into the Columbia University Libraries system in July 2004.  Records from the UTS catalog will be migrated into the Libraries' Voyager catalog, and technical services operations will be assumed by the Libraries' central technical services units. Collections and public services will remain in their current location at UTS.

  We continue to move about 50,000 volumes per month to the shared offsite storage facility at RECAP.  At present, most of these are coming from our two near-campus storage sites; one of these was emptied in September, and the other is to be vacated by July.  With the termination of Columbia's management contract for the Biosphere2 Center, the library in Arizona closed and collections have been moved back to campus.  At almost the same time, we opened our newest satellite library, at the Dakhla archaeological dig in Egypt.    We have also begun to prepare for the opening of a new Social Work library in August 2004.  

Bob Wolven
Director of Bibliographic Control and Systems
Columbia University

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ALA Annual meeting, January 2004
From: Karen Calhoun(

Cornell University Library

January 2004

ALA Midwinter Round Robin

ITSO CUL (the integrated tool for selection and ordering at CUL)

Early in 2003, the library’s decision to move away from the LC Alerts service created an opportunity to reengineer firm ordering.  Designed and implemented by technical services librarians, with support from students in a graduate computer science class and strong cooperative relationships with collection development and library IT, “ITSO CUL” was born. 

ITSO CUL serves review records to selectors in a web-based interface.  As selectors make their choices, the tool captures MARC cataloging and other data for the library’s ILS.  With ITSO CUL, a large percentage of monographic firm orders can be ordered with minimal human intervention. 

Beginning on January 5, 2004, the library will be serving review records from the weekly output of the Library of Congress (about 3,000 unique titles each week).  In early spring, we have agreements to incorporate bibliographic records from our major US and European vendors into ITSO CUL.  Most of our major vendors have proprietary web-based selection tools already built.  The ITSO CUL takes automated selection and ordering a step further by using a single interface to serve review records to selectors for all of our vendors.  We anticipate staff savings in several areas: 

  • no more sorting of paper review slips to selectors
  • no more duplication between vendor review slips
  • more control over encumbrances and fund codes
  • decreased paper shuffle between Acquisitions and Collection Development
  • reduction of searching in utilities for order-supporting bibliographic records
  • quicker turnaround from selection to order
  • Expanded and improved e-journal title list

    Cornell University Library has completely redesigned its procedures for alerting users to the library’s e-journal holdings.  Beginning late this summer, the OPAC and a separate searchable list of e-journal titles offer comprehensive discovery and connection to the library’s e-journals—over 22,000 titles.  In addition, regular maintenance of the e-journal catalog records and title list provide more current and accurate holdings coverage information than has been possible in the past. 

    The new maintenance routines are the result of recommendations made by the CUL E-Journal Maintenance Task Force earlier this year (  These processes include the use of vendor-supplied metadata to generate separate brief MARC records (also called “sleek” records) for some of the titles. The machine-generation and loading of records requires an up-front investment by librarians and programmers, but over time this strategy greatly simplifies and lowers the costs of e-journal access and maintenance. 

    Sharing of CUL publication patterns

    After three years of creating Voyager serial pattern templates from scratch, CUL has publication pattern data covering nearly all of the library’s serial titles.  Because having access to this ready set of pattern templates can save significant time and staff resources, other Voyager libraries have requested the use of our pattern templates, which follow the guidelines established by the Library of Congress.  To date, six institutions have utilized our templates.

    Backlog reduction and class-on-receipt implementation

    The library’s decades-long battle with its cataloging backlog is ending.  From the beginning of fiscal year 1997/98 to 2003/04, library staff reduced the backlog by 70% (97,025 to 29,034 items).  In the same time frame, receipts have continued at a steady rate of about 8,000 titles per month.  Shortly after the introduction of classification on receipt a year ago, we stopped adding any new receipts to the backlog, so the rate of backlog reduction has now accelerated.  Forecasts suggest the backlog could be gone by the end of December 2004.

    Tech services participation in ENCompass implementation

    In August the library introduced a new ENCompass-based discovery and access system with three components—“Find Articles,” “Find Databases,” and “Find e-Journals.”  “Find Articles” is Cornell's implementation of ENCompass for Resource Access. It offers federated searching and reference linking via LinkFinderPlus.  Focusing on metadata, data migration and loading, and system configuration, CUL technical services staff played pivotal roles in the implementation and launch.

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    ALA Annual meeting, January 2004
    From: Deborah L. Jakubs(

    Duke University Library

    Round Robin Report, December 2003

    At Duke, the Collections Services Division encompasses “everything from the selection of materials through their preservation,” or five departments:  Collection Development, International and Area Studies, Acquisitions, Cataloging, and Preservation.  This report contains selective highlights from Collections Services at Duke.

    Highlights from Collection Development

    Gift Processing:  The implementation of the Gift eXpress (GX) processing has made a significant difference in reducing the gift backlog and in making many more materials accessible to our users.  Over 6,000 books have been processed since April 2003.  Collection Development, Acquisitions, & Cataloging developed a new workflow to facilitate the cataloging of the current backlog of gifts with imprint dates older than the previous three years.  The processing of current imprint gifts (materials published the current calendar year and in the past three years) will continue to be processed through the normal workflow, but with the added step of having records entered into INNOPAC by Acquisitions staff.  The new workflow will make gifts that are being added to the collection more accessible to our patrons, will begin to address the limited space available for unprocessed gifts, and should boost the morale of all staff involved in the gift process from the time of receipt until they are accessible.  A Collection Development staff member identifies cataloging records and adds holdings to DRA (holdings indicated in OCLC). Each title is assigned an accession number with the first being GX1. Dewey Decimal classifications are not assigned nor are additional subject headings added to the records.  These materials are being housed in the Library Service Center (offsite facility) and will circulate to all service points.  Materials that have no OCLC record, sets, non-roman materials, non-book formats, and books that need preservation will be handled on a case by case basis as they come to our attention. By working with staff with the appropriate language expertise,  we are processing many East Asian gifts in Chinese and Japanese as well as Cyrillic gifts.  The process has enabled us to dispatch a significant gift backlog very quickly and efficiently.

    Booksale:  We had a very successful booksale of gifts and duplicates. 

    Approval Profile Review:  Acquisitions and Collection Development have coordinated a project to document all of our approval arrangements.  We provided a template for appropriate subject librarians to complete and have almost finished the process of editing and revising them to cover all pertinent issues before sending them to the vendors to sign that they are in agreement with the terms outlined. Final versions of the profiles will be posted on the Collection Development web page and will be updated as needed. We resolved to undertake this project after experiencing a fiscal year when many of the plans were over budget.  We would also like to reduce returns and duplication with firm orders.

    Budget Management:  Staff in Acquisitions Accounting and Collection Development are making more efficient use of R/3, the University's accounting system, in monitoring the collections funds in conjunction with the budget data from INNOPAC.

    Highlights from International and Area Studies

    Gift eXpress has had a huge impact:  hundreds of Chinese, Japanese and Cyrillic books have been processed and are now available to patrons.

    Continued progress on recon, especially Slavic and Chinese and Japanese.

    We added holdings records for all CJK journals.

    Pinyin conversion done and all records reviewed/cleaned up.

    Funding:  Worked closely with campus area studies centers to secure U. S. Department of Education Title VI grants and associated library funding (East Asia, South Asia, Slavic/Eastern Europe, International, Latin America).

    New approval plans for Middle East and Spain.  Refining/rewriting approval plan profiles to ensure greater clarity, less duplication.

    Highlights from Acquisitions

    ExLibris training and table configuration: We plan to “go live” with ExLibris in July 2004.  The Department is actively involved in configuring tables for the implementation, our decision to close the fiscal year a month early to accommodate this transition, and the initial training that has occurred with unit managers and the appointment of our department trainers.

    Serials Review: The Library conducted an extensive serials and database review this past summer and selected titles accounting for $300,000 of our budget for cancellation. This was a library-wide effort that involved faculty and staff. All vendors have been notified and we anticipate these savings to be reflected in our 2004 subscription invoices.

    Monographic Series Review: The department is making plans to conduct a review of our standing order monographic series to determine their need for continuance relative to our teaching and research needs. It has been many years since such a review has taken place and we anticipate that it will take a good year for us to review the series titles and determine their future status. It had been hoped we could accomplish the whole process before the implementation of ExLibris but that target is now stretching into next fiscal year.

    Electronic Resources and Consortial deals: Duke has evaluated several of these consortial deals as all of our contracts were up for renewal.  The Duke licenses involve not only the Perkins Library System (main library and branches) but the libraries of the professional schools (law, medicine, business) as well (which report to their respective deans).  A few licenses have not been successfully renegotiated; others have been limited by cancellations taking place on all of the campuses of the Triangle Research Libraries Network (TRLN)  members,  and some are still under negotiation. These renegotiations have given rise to rethinking the types of access we will provide our users in light of new contracts and costs projected by publishers. These negotiations have also underlined the importance of clear and frequent communication among consortium members as early as possible in the renegotiation process relative to sharing title level access decisions.

    Highlights from Cataloging

    Duke Investigates Dewey to LC Conversion:  Duke completed an RFP process in March of 2003 and is now in the final throes of a decision to convert its on-site Dewey classified collection to LC. 

    Barcoding Project:  The main library is entering the final phase of a project to barcode and move at least 600,000 volumes to its off-site facility.  Facilitating this project is a concerted effort from more than 100 library staff who have volunteered to apply vendor-supplied smart barcodes. The Cataloging Department has been working hard to keep pace with this effort through the creation and barcoding of item records that are necessary for the generation of barcode labels.

    Authority Control:  LTI processing is now routine, requiring less than 8 hours of staff time per week devoted to authority-related activities.  When compared to some other libraries, the Duke’s decision to spend an additional $8,000 a year for Level II Authority Update Service saves 1 to 2 FTEs per year.  Most recently, LTI expanded their validation of series tracings to include the volume designator.   Variations in volume designators have long been a cause of tracings filing out of order, and now they are corrected automatically. We were please to see the implementation of several suggestions from Duke that included supplying general subject cross references in addition to those that link to specific headings, and changing "Russian" to "Soviet" in subject subdivisions for World War II.  In April 2003, Duke became the host of the newly formed LTI-Users listserv. If anyone is interested, our local LTI documentation was revised in February and is now available on the web (

    PCC News:  Ana Cristan from the Library of Congress led a NACO refresher workshop in December, with attendance from Monographic and Serials Cataloging and the Law Library. Midyear statistics (Oct.-March) rank Duke 14th of 187 NACO institutions in creation of name authority records, 15th in creation of series authority records, and 23rd of 46 in BIBCO production. End of LC year statistics: There are 46 BIBCO and 41 CONSER members, 20 of these participate concurrently in both bibliographic programs.  BIBCO members created 74,793 new bibliographic records while CONSER members authenticated 22,342 and provided maintenance to 36,747 serial records. The average numbers per participating library are 399 new name authority records, 22 new series records, 122 modified ARs, 1625 BIBCO records. We are pleased that Duke’s NACO statistics are well above average:  1845 new name authority records, 158 new series records, 381 modified ARs, 1004 BIBCO records.   Our statistics rank 19th in the program for new name authority records, and 24th for BIBCO records.

    Highlights from Preservation

    Binding:  Closed out the 2002/03 fiscal year by binding a record number of volumes (36,368 vols) through our commercial binding unit. This came despite activities such as deferred binding, which placed some 9.000 softcover volumes in the stacks unbound.

    Condition assessments:  Completed data gathering for three separate condition assessments: general collections monographs, general collections serials, and special collections monographs. Data are being analyzed and the condition assessment report written.

    NCCU mold problems:  Advised North Carolina Central University (NCCU) on treatment for their mold problem and strategies for cleaning the volumes before moving them to Duke's Library Service Center. Total volumes: 500,000 in Shepard, 100,000 in the law school library

    Accompanying materials:  Put forward a task force report to address accompanying material, particularly CD-ROMs.

    Exchanges:  Called together a task force to examine the Perkins Library's exchange program. Aspects to examine include cost to Duke, percent of titles that would be retained if the exchange agreement was discontinued, and effect on acquisitions budget.

    Environmental monitoring: Expanded the Library's environmental monitoring program with a pilot program installing internet-accessible dataloggers in branch libraries. The pilot site is the Vesic Library, which experienced a severe mold outbreak last year.

    Conservation project:  Began a conservation project to treat the Baroque literature portion of the Harold Jantz Collection.  This collection, in excess of 3,500 titles, is rivaled only by the smaller and complementary Faber du Faur collection at Yale.  The project began with an item-level condition assessment.  From that we determined which volumes had the highest priority and pulled them for review by faculty and bid by three vendors.

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    ALA Annual meeting, January 2004
    From: Jeffrey Horrell, Associate Librarian of Harvard College for Collections (

    Harvard University
    Round Robin Report


    1.   During the last week of December, 2003 Harvard migrated to version 16 of the Aleph system (Ex Libris).  Although we have been testing this version for several months, the production of real life is just beginning.  The OPAC and circulation systems made the transition smoothly.  The organization has expended huge amounts of time and effort in adjusting to version 15.2 which was implemented in July of 2002. 

    Harvard College Library Technical Services, the largest tech services unit at Harvard has experienced a dramatic increase in its cataloging backlog.  Because of design inefficiencies in the system, cataloging is off by nearly half of its previous levels.  Acquisitions, receiving, and payment functions have experienced similar, serious setbacks.  We are working steadily at developing macro applications to address these issues.  To be fair, our previous system had been finely crafted over nearly two decades with many highly developed productivity features, so we are beginning a new era at a basic level.  Also, some small units at Harvard have had few productivity problems during this past year.  We are all examining workflow on an ongoing basis.

    2.   During this past year, we completed a report entitled “Technical Services in the Harvard College Library – Issues and Recommendations.”  This was a multi-year effort of focus groups with technical services staff across the College Library culminating with recommendations.  The report outlines a set of seemingly obvious recommendations, but for us to commit them to paper and implementation is progress.  We held two open forums in the fall to review the report.  We have subsequently organized a technical services managers group.  Their first charge has been to review and analyze the various classification schemes in the College Library with a goal of weighing the advantages and disadvantages of moving more completely to the Library of Congress system.  Our Collections Management Council, which guided the work of this report, will oversee the implementation and progress of the recommendations.

    3.   We continue to wrestle with issues surrounding scholarly communication.  A provost’s committee is being developed to consider mechanisms to explore these issues with faculty.  We did take an important step of rejecting a multi-year license agreement with Elsevier and canceling approximately 100 little used titles.  The decision was driven in part by our financial situation, but also by a desire to work towards a more fiscally sustainable environment for research publications generally.  This decision has considerable short-term costs but will give us more flexibility and control over our collections.

    4.   Also, as a cost containment measure, we are in the process of identifying duplicate serial titles and planning their cancellations.  As part of this process we are establishing a “Library of Record” sub-field and guidelines for documenting responsibility for titles across Harvard.  This has implications for what we store in print at our depository library and what might be retained in print at one of our campus libraries.

    5.       As at other institutions, we are facing a period where there is a serious gap between our income and our expenditures.  The income from our endowment and from unrestricted sources does not match the increased costs of collections, utilities, and staff salaries and fringe benefits.  In an effort to reduce costs, we are in the process of identifying areas where there is duplication of collections or services.  Our goal is to safeguard the overall quality and to reduce in areas where we can build back when the economic situation improves.  This year we have moved a number of technical services positions onto endowed acquisitions funds where the terms would allow.  But there is a limit as to how much we can do and still maintain a balance.  These are not easy times, but we look forward to better conditions and improvements in our own efficiency in workflow and systems.

    Jeffrey Horrell
    Associate Librarian for Collections
    January 5, 2004

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    ALA Annual meeting, January 2004
    From: Mechael D. Charbonneau(

    —JANUARY 2004


    In July 2003, Harriette Hemmasi, Associate Dean and Director of Technical Services, was promoted to the newly created position of Executive Associate Dean within the Indiana University Libraries.  In August, Mechael Charbonneau (Head, Cataloging Division) was named Director of Technical Services and Lynda Fuller-Clendenning (Head, Acquisitions Division) was named Associate Director of Technical Services.  Both Mechael and Lynda will also continue in their roles as division heads.

    Linda Cantara, Metadata Librarian, has accepted a position at Case Western Reserve University effective January 2004. 


    With the merger of Academic Book Center (ABC) and Blackwell’s Book Service (BBS) in early September, acquisitions staff in accounting, ordering, and approvals have worked diligently over the past several months to ensure a seamless migration. 

    Work continues to identify automated approaches in order to reduce or eliminate manual acquisitions processes.  A program is being developed that will enable batchloading of MARC records and order information received from vendors into our local system.  A pilot project with EBSCO is being conducted for submitting electronic data interchange (EDI) claim transactions.  In a joint project with university IT personnel, acquisitions staff worked to add ordering and accounting data elements to our local data warehouse (Datamart) and to create a user-friendly search interface   Bibliographers are now provided with a new fund management tool that allows them to produce their own specialized reports on demand.  Although we have several small shelf ready programs in place, our goal for 2004 is to expand shelf ready to a larger range of materials, particularly in the area of approval plans.  


    A new batch loading technique was recently implemented.  Using a macro, catalogers flag records within the local online catalog that are then extracted on a weekly basis and sent to OCLC for FTU (first time usage) updating. 

    Cataloging continues to provide a substantial amount of support to facilitate the selection, retrieval, preparation, and transfer of materials for off-site shelving in the new Ruth Lilly Auxiliary Library Facility (ALF).  To date, a total of 263,127 items have been accessioned in the ALF collections vault.

    Staff in the Western European Cataloging Section began providing cataloging support to 13 libraries on the Indiana University, Bloomington campus that are not administratively tied to the IU Libraries.  Two different insourcing models are being used to cover the cost associated with this additional work:  1.) A “pay-as-you-go” invoicing plan based on an agreed upon pricing structure for type of material and copy level; and: 2.) The establishment of an additional cataloging position paid for by the outsourcing library. 


    In our continuing efforts to provide access to electronic resources, we expanded our Serials Solutions (SS) services to include monthly MARC record files.  In September, a total of 11,770 MARC records were loaded into our local online catalog.  Our users now have access to approximately 77% of the 30,000+ electronic journals listed on our A to Z web page. 


    The metadata librarian continued to consult with units (internal and external to the libraries) in preparation for future digital projects as well as participating in many library initiatives.  Examples include the development of a MARC-to-Dublin Core crosswalk for OAI harvesting for Indiana University’s Open Archives Initiative Sheet Music Project and assisting with the establishment of our new EAD Finding Aids web site (  Both the Lilly Library (rare books & manuscripts) and University Archives routinely create EAD finding aids for all newly cataloged collections.  In November 2003, Indiana University Libraries began contributing our encoded finding aids to RLG Archival Resources.

    Catalogers participated in a special project that involved the review of over 8,700 digitized vernacular photographic images within the I.U. Digital Library Program’s Charles W. Cushman Photograph Collection (  In addition to proofreading and editing descriptive metadata, the catalogers also identified and added eighty-four new subject headings not included in the original project thesaurus. 

    Mechael D. Charbonneau
    Director of Technical Services & Head, Cataloging Division
    Indiana University Libraries
    Main Library, Rm. E-350
    1320 East Tenth Street
    Bloomington, IN 47405-3907
    Phone:  812-855-5674
    Fax:      812-855-7933

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    ALA Annual meeting, January 2004
    From: Duane Arenales(

    NLM ALA Update January 2004


    NLM has not yet installed Voyager's release 2001.2  since there are a few outstanding issues with callslip. We hope that Endeavor will resolve these soon and we can move it to production early in 2004.


    Work on the installation of the Index Catalogue of the Surgeon General on ENCompass continues due to the large size of the Catalogue and the magnitude of data formatting needed for display and retrieval Over three million records have been loaded so far. We hope to be live early in 2004.

    NLM Classification

    NLM published  the  NLM Classification 2003 in July 2003.  This edition reflects additions and changes for MeSH 2003 and its publication put the online classification on an annual revision schedule.  Internally, NLM completed enhancements to the Windows-based editor for the NLM Classification that supports annual validation against the changes in NLM’s MeSH vocabulary.   With this software in place, NLM anticipates publication of the NLM Classification 2004 sometime in the second quarter of this calendar year.


    Version  2.0 of DOCLINE, NLM’s automated ILL request and routing system,  features links from DOCLINE and Loansome Doc via PubMed to free full text articles whenever the article requested is available either in PubMedCentral  or at the producers site. For more information on DOCLINE 2.0, see Technical Notes NLM Tech Bull 2003 Sep-Oct;(334):el.

    To support the first SERHOLD to OCLC batch update, staff in the Cataloging Section updated approximately 3,500 serial bibliographic records to match NLM’s serial bibliographic records with the corresponding serial records on OCLC.   Serial bibliographic records were edited both in NLM’s database and in the OCLC database to assure that reciprocal links were present and accurate.

    Wade-Giles to Pinyin Conversions Status

    Conversion of Chinese language Wade-Giles romanization to the pinyin schema has been completed.  Manual review and updating of pre-AACR2 Chinese authority records is still in progress.. 

    Regular distribution of new cataloging records for Chinese materials romanized in pinyin began on a weekly basis on August 1, 2003.  All retrospective records pinyinized in this conversion project will be distributed in January along with changes due to the annual maintenance processing of records required by the adoption of the 2004 MeSH subject headings for cataloging.

    Progress on Developing XML for NLM Bibliographic Data in Voyager

    NLM has finalized the XML DTD for NLM bibliographic records and plans to make  XML data available to licensees early in 2004.

    Personnel News

    On June 29, 2003, the five members of the Bibliographic Unit in the Serials Section were incorporated into the Cataloging Section as a new unit with responsibity for serial bibliographic work.  Changes in workflow and file integration resulting from the implementation of the ILS several years ago made this change desirable.   The move also provides an opportunity to broadens the skills of  affected staff and increases the pool of personnel available for serials cataloging and other serial bibliographic projects.

    Christa F.B. Hoffmann, Head, Cataloging Section, was awarded the Frank B. Rogers Award for her leadership and vision in the reinvention of the production, dissemination, and maintenance of the NLM Classification at the NLM Board of Regents meeting on September 9, 2003.  In addition, after twenty-three years in the position at NLM, she has announced her retirement effective March 1.

     TSD continues its effort to expand teleworking opportunities for staff. Currently about nine percent of the staff are teleworking one or more days a week.


    A competitive procurement  for blanket purchase agreements for monographs and continuation services is nearing completion. Award announcements are expected by the end of December.

    New NLM Web sites: (, a new talking web site with formats and topics tailored to the needs of older people was launched on October 24. The senior friendly site takes advantage of techniques developed by the National Institute on Aging (NIA) and the National Library of Medicine (NLM)  to encourage older people to use the Internet, and this site in particular, as a resource for the best information on health and medical research.

    The Library As Place: Symposium on Building and Revitalizing Health Sciences Libraries in the Digital Age :

      This symposium, held at NLM on November 5-6, 2003,  focused on the importance of the Library As Place and the impact of new technologies and other factors on planning for new library facilities and the renovation of existing facilities. . It featured a wide range of speakers, poster presenters, and exhibitors, as well as approximately 175 attendees.

    The Web site includes links to Web sites and print citations relevant for planning, as well as links to recent health sciences libraries building projects (both new and renovated buildings). There are also links to resources for help and advice for those considering a building project or in the midst of one. A videocast of the Symposium and the slides from most speaker's presentations are available from the Agenda, Presentations, and Videocast portion of the  site.

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    ALA Annual meeting, January 2004
    From: Cynthia Clark(

    New York Public Library
    Round Robin Report
    January 2004


    The book budget was permanently reduced by $1.5 million this fiscal year. An emergency fundraising campaign has raised 2/3 of its $6 million goal that would compensate for the funding loss. No new city or state cuts have been imposed yet, however, the Research Libraries have been affected by the loss of income due to performance of endowment fund investments. Recruitments to fill vacancies are restricted, but several positions were recently released for recruitment in Technical Services.

    ReCAP – Remote Storage Facility

    We completed our initial push to transfer materials to the new storage facility in early November, reaching our goal of transferring 1.8 million items in 22 months. Annual transfers will reduce to approximately 155,000 items per year. Planning is underway to build a 4th module at the facility.

    Web Opac

    A new main page for the web opac was designed and debuted in December. The search and results screens will be redesigned in the future as new stylesheets are created. Work is underway to install functionality that allows search and display of records in Hebrew and CJK vernacular scripts.

    Smart Barcodes Project

    In the fall the Research Libraries completed specifications for the last of the 1.5 million smart barcodes and item records purchased from Backstage Library Works ( formerly MARC Link). We’ll take receipt for the final quantity of barcode labels early in 2004.

    Preservation Microfilming

    The Preservation Division completed a preservation microfilming project funded by NEH for its brittle books program. This project was the second devoted to the microfilming of Latin American collections in the General Research Division of the Humanities and Social Sciences Library that was supported by NEH. 5,808 monographs, periodical and pamphlet titles were filmed during the period July 2001-June 2003. A total of 13, 368 titles were filmed over four years. The microfilm master negatives and original texts will be stored at ReCAP, the remote storage facility to insure their longevity and safekeeping.


    The Research Libraries are in the process of revamping gathering and reporting of statistics. In spring 2003, Technical Services defined new data categories for the gathering of cataloging statistics from units within and outside of the Cataloging Division. A similar process is underway for preservation and measuring collection growth, among other activities.

    Administrative Changes

    Bill Walker, who served as Director of the Research Libraries, left to become Director of Libraries at the University of Miami. A recruitment has begun to hire his replacement. Heike Kordish is serving as the Acting Director of the Research Libraries in the interim.

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    ALA Annual meeting, January 2004
    From: Arno Kastner(

    NYU round robin report


    I.                   Search for a new ILS.  We are inching closer to a contract for a new ILS.  We expect to bring up the new system Spring/Summer 2005.

    II.                Budget.  Our non-faculty hiring freeze has melted to the extent that we can fill vacant positions as long as we reserve vacancy accruals.

    III.             Renovation of Bobst Library.  A reconfiguration of Technical Services workspace will be the first step in an overall renovation of Bobst’s 11 floors.  We will not be given any additional space (on the other hand, we have lost some positions over the past few years), but we will get a nice-sized TSD conference room, better-proportioned offices for supervisors, and improved HVAC.  Once Tech Services is moved, the rest of B-Level will renovated for group and individual study space and a refurbished electronic resources center.

    IV.              Staffing.  Dawn Lawson starts as our East Asian Studies Librarian on January 5th.  This is one of three area studies positions with split selection and cataloging responsibilities.

    V.                 Offsite storage.  We are finishing up moving 66,000 volumes to our temporary offsite storage facility.  Monographs were selected based on circulation activity reports from our ILS.  For education, sciences and business we are using the criterion of no circulation within the past five years.  For journals, we are first focusing on JSTOR titles. As part of our selection process, we also weeded over 20,000 duplicates of non-circulating titles. Most of these duplicates date from time when NYU had two campus libraries.  The project is staffed by a library assistant supervisor and students—making it economical but a bit difficult to manage.  We are also sending off barcoded, boxed, archival materials for which we indicate box-level holdings in our online catalog.

    VI.              Digital projects.  The Cataloging Unit is working with our Digital Team and the University’s Center for Latin American Studies to catalog a collection of reformatted videos relating to Latin American performance art.  The original videos belong to libraries that are part of a consortium of NYU and Latin American academic institutions.

    VII.           VI.  Library Website.    The library launched its new website at the end of the Summer.  Reactions have been largely favorable, though users are not thrilled with our subject index to e-resources, mostly because at this point results are not sortable.  Technical services staff added locally created subject headings to cataloging records for over 10,000 e-resources.

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    ALA Annual meeting, January 2004
    From: Sally Rogers (

    Ohio State University Libraries
    January 2004
    ALA Midwinter Round Robin

    Preparation for renovation of Main Library

    Progress continues on target at the rate of over 100,000 volumes/year to transfer monographs, serials, and microforms out of the Thompson Memorial (Main) Library to the Libraries' off-site compact storage facility in preparation for a major building renovation scheduled to begin 2005/06.  All personnel and collections will be removed from Main Library during construction/renovation.  Procedures have been established using existing library personnel plus additional students to review which books to transfer, pull items from the shelves, and review bibliographic data to ensure it is correct prior to transfer.  The approx. 3% preservation and 4% cataloging problems identified are forwarded to existing units for correction.  Unwanted items are also being withdrawn during the review.

    In addition to keeping current with the cataloging of over 35,000 new receipts in western languages, non-roman languages, and non-book formats, Cataloging personnel have been very successful in conducting several special projects to meet renovation preparation goals.  A retrospective conversion project targeting materials residing in the Main Library was initiated to facilitate transfer of items to the compact storage facility.  By converting short records up front, the Cataloging Dept. has been able to reduce the number of books sent to the department at a later time, allowing a larger volume of material to be transferred more quickly.  About 75% of the 23,500 brief records for Main Library materials have been converted. 

    A project to convert brief records for OSU theses and dissertations held system wide from cards pulled from the card catalog was undertaken a year ago; to date about a third of the 40,000 records have been completed.

    Cataloging also negotiated an on-site cataloging contract with OCLC TechPro to eliminate backlogs of brittle Slavic and Hebrew materials prior to renovation. (OSU already had a standard contract with TechPro for cataloging of current receipts in these languages.) 

    Accounting interface with University

    The Libraries are now transmitting our main approval plan vendors' electronic invoices from our INNOPAC acquisitions system to the PeopleSoft system used by the University’s Accounts Payable.  The Libraries, the OSU Office of Information Technology, and Accounts Payable have been working together for about a year to develop the means for the Libraries to transmit processed invoices to Accounts Payable for payment. 

    Budget issues

    Due to loss of purchasing power from a relatively flat budget, cutbacks are being planned in both serials and monographs.  A mid-year reprofiling of the primary domestic approval plan is in progress with the goal of slowing expenditures approx. 5% on that plan.  Preparations also are underway for another major serials cancellation project necessitated by the flat budget and inflation. 

    We did receive some good news at the end of the year when the Libraries received a portion of the licensing and trademark money generated by the OSU football team’s 2003 national championship title.  This money will be used to augment the materials budget.

    Knowledge Bank

    The Libraries received $400,000 in one-time funds from the University’s central administration to support the campus-wide Knowledge Bank initiative.  These funds will be used over the next two years for personnel and equipment in the Libraries and other campus units to advance the project.   Currently OSU is piloting the DSpace software developed at MIT as a platform for the Knowledge Bank institutional repository.  The OhioLINK consortium also plans to develop a statewide Digital Resource Commons, and OSU personnel are assisting with the planning.

    Migration to GOBI2

    In-house workshops are being developed and all collection managers, staff, and student assistants are being trained on GOBI2, the 2nd generation front-end software to YBP's vendor database.  Access to "original" GOBI is being discontinued Jan. 15, 2003.  Migration to GOBI2 will further position the Libraries to test receipt of online notification slips and shelf-ready options.

    OCLC Connexion implementation

    Having participated in Connexion field testing, we are now preparing for full-scale implementation.  In-house training on the software has been completed and OHIONET training on cataloging using Connexion is planned for the end of January 2004.

    BIBCO independence

    Despite staffing shortages and increased workloads, OSU’s Technical Services gained independence in contributing PCC records to BIBCO.  We are very pleased to have achieved this status and to be contributing to this important international cooperative cataloging program.


    The Libraries held about 28 positions vacant to accommodate budget reductions over the past two years.  This fall, we carefully evaluated our staffing needs and decided to fill 6 positions, 2 of which are in Technical Services. We are searching for a Metadata Librarian to participate in the design and recommendation of metadata schema to facilitate the use of OSU collections.  Initially, this Librarian will implement EAD in appropriate collections as well as concentrate on collections that will be part of our developing institutional repository. We are also recruiting for a Cataloging Coordinator to coordinate non-Roman language cataloging and other special projects.  We are very pleased to be able to hire some new personnel again.

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    Round Robin, January 2004
    The Pennsylvania State University Libraries
    Rosann Bazirjian, Assistant Dean for Technical & Access Services

    Debt Collection, Payroll Deduction :

    In response to the University Comptroller's request that the Libraries institute a more robust system to collect on outstanding six figure debt, both an automated payroll deduction process (for faculty and staff) and a debt collection process, using a collection agency, have been implemented.  These two programs augment the process already in place with the bursar to bill students.   The payroll deduction process required individual sign-off, managed electronically, for each borrower. The collection agency Unique Management Systems, Inc. was chosen for their expertise in retrieving materials. We now have a method to collect from University employees, both staff and faculty, as well as non-affiliated community borrowers. 

    Desktop Delivery from Annex:

    Penn State will begin using OCLC’s ILLIAD as the request and delivery tool for journal articles held at its two off-site shelving annexes.  ILLIAD is already being used for materials from the University Park and campus library collections. Users can place requests, monitor the progress, and download documents from their personal ILLIAD accounts.  ILL and Annex staff will cooperate in processing the requests. 

    EDI invoicing  :

    Penn State University Libraries maintains over 11,000 periodical subscriptions that are on a calendar year cycle with our major vendor.   In order to process payment for these renewals in a timely fashion each fall, the Libraries opted to make renewal payments by processing invoices directly against renewal funds rather than posting against individual title level order records.  As a result, title level reconciliation and problem resolution was a time-consuming process.

    With the implementation of EDI invoicing, the Libraries will continue to be able to make timely renewal payments but our order records will now contain the title level payment information that we require.  In addition to posting renewal payments to individual order records, the EDI invoice function also updates linked serials control records with the essential data required to process claims via EDI.  This feature places the Libraries in a position to begin testing X12 subscription fulfillment claims in early 2004.

      Our vendor’s renewal invoices will be downloaded from their FTP server.  The invoice data files will be loaded into our Unicorn system via the EDI reports/processing capabilities that SIRSI’s version 2003 has provided.  Earlier this year in anticipation of this feature, the Libraries and our vendor worked to ensure that all of our records were updated with the required EDI linking fields, i.e. Unicorn order id.

    In order to implement the EDI functions, a cooperative testing environment was essential between SIRSI, our vendor, Penn State’s Digital Library Technologies, Fiscal and Data Services and the Serials Departments.  Currently, we are waiting for our vendor to create the FTP files of our renewal invoices.

    Serials Review Website:

    Each spring our Selectors perform a “rolling review” of serials subscriptions. This may be in combination with a serials cancellation project based on the status of the collections budget. Tools provided to selectors have been a static web page list of current subscriptions, cancellation target amounts, if applicable, as well as information on e-journal implications. Selectors then provide ranked lists of cancellation decisions which are posted for all selectors to review. In addition, the Serials Department maintains Excel files of cancelled titles.

    This year, we are moving from a static web page environment for serials review to a dynamic website utilizing Cold Fusion. Selectors will be able to review serials lists across the Libraries, rank/mark titles for potential cancellation, and post comments for view by all selectors. Technical and Access Services will be able to query the database for lists based on rankings, or cancellation status and post cancellation activities at the website, which will eliminate the need for the Excel lists. Summary of target titles and dollar status will be displayed dynamically via CF report and selectors will be able to post concerns about potential cancellations. We are also exploring ways to incorporate document delivery and other use data of interest to selectors.

    Newspaper Finding Aid Project:

    Patrons have been able to locate microfilm newspapers by chronological period or geographic coverage utilizing a website called Microfinder developed several years ago. Although a very useful resource, Microfinder is based on several hundred linked static web pages which have been difficult to keep current. We explored solutions such as a Cold Fusion application, but learned that what patrons really want to do is to have the ability to search for all newspapers by title, subject, chronological period and geographic coverage, regardless of the format. We found that we do not have a central source that can meet this need and have recommended that 1) our catalog be the central source, and get updated with relevant data from Microfinder, and 2) the Libraries develop a newspaper interface to search our catalog for newspapers only by title, geographic coverage, and chronological period. We are currently identifying and documenting required updates, and creating upload files using the cat key as our unique identifier to programmatically update. The final step of the project is to develop the newspaper interface.

    New Uses for ERLIC2:

    ERLIC2 is in its’ final stages of development; testing is complete, and the application is being used by the Serials Department as the central resource for all acquisitions, access and license information relating to e-resources at Penn State. All library faculty will have read access to this database, as well as faculty and staff in the Interlibrary Loan and E-Reserves departments.

    Two new features have been added to the ERLIC website. Interlibrary Loan and Electronic Reserves permissions and restrictions relating to use of electronic resources at Penn State are now displayed on web pages, and made readily available to support these processes. In addition, the process of sending text files of our e-journal holdings to Ingenta and the British Library has been greatly streamlined. Text files are now downloaded from ERLIC with the click of a button and emailed to our vendors.


    We are very pleased to announce a new Assistant Head of Access Services – Barbara Coopey. Barbara was on staff as our Interlibrary Loan Co-Team Coordinator.

    SSN Project:

    We are embarking on a University-wide project to replace the use of social security numbers as identifiers. This is a major undertaking as the Libraries will need to revise many paper forms and determine new ways of handling various online systems and databases. The Libraries has completed phase one of identifying all uses of the social security number. We will be awaiting instructions on how to proceed now that this information has been identified.

    Bibliographic Loads:

    We are continuing to rely heavily on the purchase of bibliographic cataloging records for major electronic resources purchases and microform sets. We have loaded records for:

    • ALCL History E-Book Project,
    • CIC Congressional Committee Hearings on Microfiche 1833 – 1969,
    • CIS Executive Branch Documents 1789 – 1909,
    • CIS Microfiche Library 1970-1985,
    • Early American Imprints Series 2,
    • German Baroque Literature,
    • History of Photography,
    • NetLibrary,
    • Three Centuries of English and American Plays,
    • Wright American Fiction Collection,
    • Cornell Digital Math Books Collection,
    • Adam Matthews and the University of Michigan Historical Mathematics Collection.
    In total, over 157,000 bibliographic records were loaded. Each collection required different loading specs and good cooperation between the Libraries and Digital Library Technologies.

    Vendor Enhancements:

    With the closure of Blackwell’s Academic Book Center and their BookBag product, Penn State implemented Blackwell’s Collection Manager in two months. As a result, all of our non-University Park sites (about 20 locations) are now placing their orders in Collection Manager. Within one day after order placement, the orders are exported to our Unicorn Workflows database. As they load, each order is automatically checked against funding and other criteria. Short bibliographic and order records are then established. Problems are kicked out to a report and resolved the same day.

    Penn State has developed its system specifications for the implementation of GOBI 2 for the placement of University Park firm orders that are sent to YBP. The project is now in the hands of our developers and those of YBP to complete the implementation. Similar to the Collection Manager project, brief bibliographic and order records will be downloaded into our system the next day and a report will be generated for problematic orders. Using PrompCat, the books will arrive as full shelf-ready books and shortened bibliographic records will be overlaid with full-level records.

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    ALA Annual meeting, January 2004
    From: Katharine Farrell (

    Princeton Update January 2004


    We are looking forward to welcoming a new Circulation Services Director on March 1, 2004. This is the culmination of a long search, with the position having been vacant since July 2002. Borrow Direct continues to be an extremely popular service here and has resulted in a number of procedural changes to aid in identifying missing items quickly.


    Our newly renovated art library opened in August to rave reviews. State of the art technology, good staff and study space, and beautiful appointments have made it the library of choice for study on campus. Construction of a fourth module at the ReCAP shared storage facility will begin in February.  For the past year we have been transferring lesser-used material to ReCAP at the rate of more than 10,000 items per month.  The main library (Firestone) will undergo a major facilities upgrade starting this summer that will focus on bringing the building up to current health and safety codes as well as modern security and risk management systems.  This is anticipated to be a long and at times highly disruptive process that, among other things, will involve the installation of fire suppression systems (mainly sprinklers) in all staff office spaces and most of the book stacks.  The impact upon current space for staff and collections is as yet undetermined.


    An experiment with Marcadia to expedite processing of backlogged receipts proved unsuccessful: returning too little acceptable copy to be cost effective.  The post mortem showed that only half of the available acceptable copy was being retrieved because of profiling limitations.  We have determined that employing students to do the copy searching and record overlaying is more cost-effective. We have successfully implemented a workflow that allows us to process approval books at time of receipt using full catalog records purchased from Casalini Libri. The result has eliminated both professional staff involvement in this stream and the duplicate handling of material. We are not planning to look for “better” copy later; we are accepting these purchased records, with minimal edits and authority work performed locally, as final.


    A modest, although significant for Princeton, serials cancellation project this summer is expected to have an effect on the number of print issues received and allow for some re-orientation of check in staff to other related serials activities. Princeton had been a customer of W.H. Everetts for both approval plans and subscriptions and the demise of that firm has continued to have repercussions in those areas. We are particularly noticing the further reduction of choice among subscription agencies.

    Electronic resources and metadata:

    We are testing the feasibility of loading records for titles in aggregator databases into our OPAC. We have a working model, crafted by our metadata librarian, which not only extracts the records from our SFX database and loads them into our OPAC as brief MARC records, but also sends the patron back to SFX to allow them to select among multiple instances of the same title. We are completing a search, from a strong pool, for an electronic resources cataloger.

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    ALA Annual meeting, January 2004
    From: Lisa German (

    University of Illinois at Urbana-Champaign

    Round Robin Report

    January, 2004


    The collections budget for FY04 was the same as it was for FY03.  However, the Library was asked to prepare for a 1% rescission.  The $300,000 set aside for this rescission will come from collections dollars.  It is unclear as of yet whether we will have to give back that money. 

    Electronic Resources:

    We entered into a contract with TDnet to purchase their data repository.  We will be adding data from Tdnet and other sources to populate our ejournal registry.  This new eregistry will be rolled out sometime during the spring semester.  We are also working on a link resolver and between both of these initiatives; we anticipate the access to our electronic resources to be greatly improved.  We have been working with the Purchasing Department on our campus to simplify licensing and renewal procedures and Wendy Shelburne joined us as the Electronic Resources Librarian last January. 

    Personnel Changes:

    Many personnel changes have occurred in the Technical Services Division over the last year.  As was mentioned earlier, Wendy joined us and is based in Acquisitions.  Barbara Henigman, who had been the Technical Services Division Coordinator and head of Original Cataloging, will be moving to the Law Library as the Head of Technical Services there.  We have combined Original and Copy Cataloging into Monographic Cataloging and have advertised internally for an interim Senior Monographic Cataloger to work with the faculty and graduate assistants in the Monographic Cataloging unit for 1 year.  Gail Hueting will be filling that role beginning January 16, 2004. Lisa German assumed the role of Division Coordinator.

    Workflow Changes:

    We have begun the use of Promptcat for both firm and approval books.  Since we’re a Dewey Library we still need to classify the books, but we are very excited at the efficiencies this will bring to us.  We’re coupling this with the use of Blackwell’s Collection Manager for ordering.  Selectors request books on Collection Manager, they’re reviewed in Acquisitions, and then released to Blackwell’s.  This should make both the selection and ordering process much easier for the majority of our firm orders.  We are moving to electronic selection slips from Harrassowitz.

    We also began using Voyager Acquisitions this past July and have implemented EDI with Ebsco for our invoice renewals.  The switch from III Acquisitions to Voyager Acquisitions has been challenging but ultimately using the same system for both Acquisitions and Cataloging will be much better.

    We will be implementing Dewey 22 this spring.

    Vendor Changes:

    Last spring we wrote RFPs for both periodicals services and approval/firm order/standing order services.  Ebsco and Blackwells Book Services were the successful vendors.  We did a massive serials revend coupled with massive cancellations this fall and began reprofiling our approval plans this fall and winter.  More RFPs are planned this spring for European monographs.


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    ALA Annual meeting, January 2004
    From: Catherine Tierney, Associate University Librarian for Technical Services (

    Stanford University Libraries

    January 2004


    Stanford Digital Repository (SDR)

    The SDR is an amalgam of technology, content, talent, and process crossing all lines in SULAIR to build and populate a long-term storage environment for a variety of digital objects.  In December, the first objects, scanned by the DL1 robot scanner, were ingested into the SDR; we expect by spring to have routine processes for loading selected categories of objects into this OAIS implementation.  In the meantime, the DL1 is busily scanning books which do not have copyright complications; files are stored elsewhere and will be loading from the SDR queue. 

    Off-campus Shelving Facility (SAL3)

    Construction of our high-density storage facility in Livermore, CA, was completed in November; staff now are setting up the space and are labeling the 16,000 shelves.  Inventory system training (GFA’s LAS) is in mid-January.  Capacity is expected at 3 million volume equivalents.  Lower use book materials as well as many archival collections will be housed here.

    Business Systems

    Stanford University began its migration to Oracle Financials in September 2003 after a number of years of planning.  The structure of University funds and all account numbers are changed.  Our success with sending Unicorn-based transactions to Oracle Financial system was relatively speedy (looking back on it); there were minor delays in getting checks cut the first few weeks.  Acquisitions staff provided selectors with personalized cheatsheets for use of new account numbers and names. 

    New Web Site

    As of January 5, 2004, SULAIR presents itself via a completely new web site, redesigned to be easy and intuitive for Stanford faculty and staff:

    Media Solutions (a cost-center in SULAIR) developed the structure, designed the look & feel, selected tools for ongoing maintenance, and migrated the majority of patron-based pages.  The Tech Services pages were not included in migration – using the tools such as Dreamweaver, we will rebuild our sites ourselves over the course of winter and spring quarters.  Some of the more complicated patron sites (Chemistry Library for example) were too specialized for general migration, so regular staff will make the changes.  Consider it a work in continual process.

    Budget Reductions

    For fiscal 2004, SULAIR managed a budget cut of 7.5%, approximately $2.8 million.  Of the 25 positions cut (10 in T.S.), there were approximately 5 layoffs.  The effective hit on the collections budget was about the same percentage.  We are in process of planning for another 3-5% cut for fy 2005.

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    ALA Annual meeting, January 2004
    From: Barbara A. Stelmasik, Director of Materials Acquisition and Control (


    In July the Coordinate Campuses (Crookston, Morris and Duluth) joined the
    Twin Cities campus in a shared catalog when they switched to production
    on Ex Libris Aleph version 14.2. All campuses now share bibliographic
    records (Law Library on TC campus is the one exception).  The transition
    was relatively smooth but there is still clean up work to be done on
    converted records, and we are still feeling our way through issues of
    varying cataloging policies and new communication concerns.  The Twin
    Cities campus technical services eagerly anticipates restored and
    enhanced functionality this spring: ability to import and export records,
    routinized claiming, more EDI, and reporting are all on the spring
    agenda. We plan to move to version 16 this summer.

    Technical Services Process Improvement

    The Twin Cities technical services did a cost analysis of source of
    records and based on preliminary findings has switched to a sequence of
    Z39.50 searching first of the LC catalog, second RLIN and third OCLC
    (except in cases where a poor hit rate in one source or another justifies
    a different sequence).  In August, all Twin Cities staff who do searching
    received training in the new strategies. Costs have dropped as a result
    of this strategy.

    Other process improvements (more use of shelf-ready processing, changes
    to policies for analytics, and cataloging of materials where we lack
    language expertise) are in early stages of discussion and
    implementation.  In particular, we have drafted a white paper
    recommending that we move from a "shared record" policy for e-resources
    to a separate record policy. The paper has been reviewed in our
    cataloging group and now moves to a broader audience.

    We have almost eliminated our CJK cataloging backlog through out-sourcing
    in combination with a project group comprised of technical services and
    East Asian Library staff. Our next goals are to complete some residual
    conversion clean up and to load vernacular characters into Aleph, as soon
    as we regain import/export capability.


    We have been very cautious in filling vacancies in technical services,
    both because of budgetary issues, and because of our planning process. 
    We are now moving ahead to fill 3 paraprofessional positions and a
    professional/managerial position.  We have also created a split position
    with our Aleph Systems unit.  50% of this position is funded by technical
    services and we hope the position will help us move quickly in
    implementing many of our process improvements.

    Cooperative ventures

    Technical services staff are actively participating in a variety of
    projects led by other units of the University Libraries.  These include 
    a EAD project with Special Collections and Archival Units, SFX
    implementation, assisting in the migration of data to the LibData
    application, a database which supports the creation and maintenance of
    online pathfinders, course webpages, and other local tools), work on a
    grant funded digitization project, and some work with the University
    portal development group.


    In December we held a one day colloquium on planning for technical
    services. Our speakers, Karen Calhoun and Carol Pitts Diedrichs, drew an
    excellent crowd of all technical services staff and a good representation
    from many other areas of the libraries.  This was the kick off event of
    our planning process to prepare technical services to meet the challenges


    Technical services has greatly expanded its use of macros for large
    projects and daily routine tasks.  Similarly, we make more use of
    templates to facilitate prompt and consistent publication of procedures
    and minutes.  Technical services staff offer training sessions to all
    staff in both of these areas.

    We had a soft roll-out of SFX in late October. We are continuing to
    activate targets and sources within SFX. 

    Barbara A. Stelmasik                  
    Director of Materials Acquisition and Control   Phone: 612-625-8074
    University of Minnesota Libraries                  Fax:     612-625-3428
    160 Wilson Library                       
    309-19th Ave. So.
    Minneapolis, MN  55455 

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    ALA Annual meeting, January 2004
    From: Robin Fradenburgh, Assistant Director for Technical Services (


    Harold Billings retired August 31 after serving 25 years as Director of the General Libraries.  Fred Heath started as the new Vice Provost and Director on August 1.  Fred implemented a new administrative structure, which was put in place in Sept.  The decision making group consists of the Vice Provost, the Executive Associate Director and 6 ADs.  Sue Phillips was promoted to the position of Executive Associate Director and I was promoted to Assistant Director for Technical Services.  As an organization we are still transitioning to the new leadership and organizational style.  There is general excitement and anticipation of good things to come and renewed energy amongst the staff.


    One of Fred's first priorities is securing funding for a Library Management System.  In the meantime, we have formed a steering committee to coordinate the process of putting together questions for an RFI and, later, system requirements for an RFP.  Several of us in Technical Services have been going on fact finding field trips to university libraries in Texas that have various integrated systems.  It has been eye opening to observe and compare how different organizations operate, how they arrange their workflow and how they staff their operations. 


    2002/03 was a difficult fiscal year as all University departments' budgets were cut by 5%.  A hiring freeze was instituted in Feb. and the Library had to return $1,065,900 to the University by the end of August.  Fortunately, we lost enough positions through attrition that there were minimum lay-offs.  But these were permanent reductions.  We lost five FTE in Technical Services.  2003/04 has a much more optimistic outlook.  The Texas Legislature allowed for tuition deregulation over the summer, which has allowed UT to increase it's tuition for the Spring semester and then again in the Fall of 2004.  There is a 4% merit pool for raises in January and an anticipated 5% pool in September.


    We are embarking on a strategic management planning process, which we anticipate will take much of the year.  The planning consists of costing out our operation, gathering information from internal and external sources about what we should be doing, reviewing our mission and goals, etc., etc.  There is a retreat planned after ALA for the administrative group to formally start the planning process.


    We are currently recruiting for a Documents Delivery/ILL Librarian and plan to recruit for the Head of Music Cataloging and for the Head of our Fine Arts Library in the Spring.


    After 18 years, retrospective conversion may actually be completed by the end of this fiscal year.  We are currently converting vernacular languages and if this year's funding can cover the remaining titles, we will be finished.

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    ALA Annual meeting, January 2004
    From: Beth Picknally Camden (

    University of Virginia Big Heads Round Robin Report
    January 2004


    1.  Staffing and Reorganization

    ·         Deputy University Librarian, Kendon Stubbs, retired in Sept., after 42 years at the Library.    Diane Walker was named Deputy University Librarian, with responsibility for day-to-day Library operations, in addition to User Services departments.  

    ·         Associate University Librarian, Martha Blodgett’s existing Information Technology area was renamed “Library Production & Technology”.  Acquisitions, Cataloging, and Digital Library Production Services (DLPS) departments joined that division in September.  In January, Production and Technology was reorganized into the following areas:

    o        Content Management Services:  Beth Picknally Camden, Acting Director.  Beth (formerly Director of Cataloging) assumed responsibility for the development of workflows and processes for acquiring, producing, managing, and delivering traditional and digital library content.  Reporting to Beth:  Melinda Baumann, Director, Digital Library Production Services; Leslie Johnston, Director, Digital Access; Erin Stalberg, Acting Director, Cataloging; Paul Rittelmeyer, Director, Acquisitions and Acting Director, Preservation.

    o        Digital Research and Instructional Services:  Mike Furlough, Director. Mike continues to focus on developing user-driven support services for scholars using technology, such as consultation, training, collection access, and information communities.  Reporting to Mike: Bradley Daigle, Associate Director, Rare Materials Digital Services; Matthew Gibson, Associate Director, Electronic Text Center, and Donna Tolson, Associate Director, Geospatial and Statistical Data Center.

    o        Information Technology Systems, Guy Mengel, Director.  Guy continues to oversee the Library’s desktop environment, the LSP program, UNIX server administration, and systems programming support.

    o        Research and Development, Thornton Staples, Director.  Thorny continues to lead development projects that extend the development of the digital library management system FEDORA and the development of end-user tools that help users make creative use of digital library content.

    ·         Associate University Librarian, Gail Oltmanns resigned in May.   Yolanda Cooper, formerly Assistant Dean for Libraries Human Resources at Indiana University, was hired in December as the new Associate University Librarian for Organizational Development.

    ·         Hoke Perkins was named as the Associate University Librarian for Philanthropy and Director of the Mary and David Harrison Institute for American History, Literature, and Culture

    ·         Other retirements:   Documents Librarian, Walter Newsome;  Director, Business Services, Chuck Frieden

    2. Building projects

    Renovation of the Science and Engineering Library was completed in Sept. 2003 (  Construction is well underway on the Mary and David Harrison Institute for American History, Literature, and Culture and Albert and Shirley Small Special Collections Library; expected completion date April 2004 ( 

    3.  Digital Library/Fedora Project

    Version 1.2 of the Fedora(TM) Project software was released in December. (  Fedora is an open-source Digital Repository Management System, and provides the underpinnings for UVa's Central Digital Repository.  The prototype of the Repository was released to the Library staff in summer 2003.  A new website for UVa Digital Initiatives was launched (   The most recent UVa Library member report to the Digital Library Federation on digital library activities (covering mid-2001 to mid-2003) is available online (

    4.  SIRSI Rooms

    The Library has an agreement with SIRSI to evaluate their Rooms product, including Single Search, Open URL resolver and context management.

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    ALA Annual meeting, January 2004
    From: Joyce L. Ogburn

    University of Washington Libraries
    Report to ALA Directors of Technical Services of Large Research Libraries
    January 5, 2004

    The UW Libraries doesn't have a lot of big news this year. The best news is that we fared better than many libraries in the budget cutting of the past year. Due to a ground swell of support from many quarters, the collections budget was projected and we had an addition to the base, but this was still not enough to overcome inflation. We had to perform a serials cancellation project and expect to do another one next year. We totally eliminated our equipment budget and will rely on one time monies from the university every year. On the personnel side, we eliminated some positions, but had only one lay off and one position reduced to half time.

    We have not concluded our search for Assistant Acquisitions Librarian but hope to have interviews wrapped up soon. We will soon be advertising for a half time librarian to add to our team in Collection Management Services dealing with electronic resources.

    On the cataloging scene, lively discussions have taken place on a number of issues. One was in regard to FRBR and its potential impacts on our catalog. Another was about the sharing of metadata records at the image level with various players, one of which is OCLC. They are quite interested in populating Worldcat with images and their associated metadata. We supplied test records for a demonstration project for OCLC but deleted them from the database after the demos were concluded. We have been talking with OCLC about what it would mean to contribute these kinds of records, how to treat them in terms of "credits" for original cataloging (if at all), how these records can be used, how the images display, and so forth.

    Electronic resources management has progressed from the very successful development phase with III to implementation of the new module. The core team of staff from UW involved in the development will continue serving through the implementation stage.

    The Libraries is involved in two IMLS digitization grants. We are developing a virtual community museum with tribes on the Kitsap Peninsula of Washington and are also participating in the Greater Western Library Alliance successful grant for a Western Waters project. We will be very busy with these two digital projects for the next couple of years, scanning and creating metadata. (Our IMLS project on Crossing Organizational Boundaries, which also created a kind of virtual museum of photographs from King County WA museums and libraries, is now concluded. Results can be viewed at Meanwhile, work on an institutional repository continues utilizing DSpace. We are now building communities with several departments but don't have much online to share as yet.

    Also on the digital collections front, we have entered conversations with other units at the university and the three campuses about managing digital images, particularly art and architecture. Now that there are more options for obtaining and managing images in digital form, the situation has become more muddy as to what units should be negotiating paying for, and managing the image collections, in addition to supporting the use of images in teaching.

    At the fall ARL meeting word slipped out that the UW Libraries has been in conversations with the UW Information School and other national organizations in starting a repository for library science. We know that other repository building efforts are out there but are interested in taking a different path from self archiving by individual authors and instead seeking to create a repository for the literature published by major organizations, library practices and policies, and other kinds of "grayer" literature that tend to be hard to find and keep track of. A longer term goal would be to develop an more interactive digital community of practitioners and researchers and to foster new ways of conducting our business. More on this as it develops.

    Joyce L. Ogburn, Associate Director of the Libraries
    Resources and Collection Management Services
    University of Washington
    Box 352900
    Seattle WA 98195-2900
    Phone: 206-685-2889
    Fax: 206-685-8727

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    ALA Annual meeting, January 2004
    From: Richard Reeb, Assistant Director for Collection Development and Technical Services (

    University of Wisconsin-Madison
    ALA Midwinter Conference 2004
    Round Robin Report

    Budget and staffing update:
    This year the library’s operational budget was assessed a 2% cut—the library’s contribution to a $250,000,000 reduction in the University of Wisconsin System’s budget imposed by the state.  Although the collections budget was not spared from the base budget cut, the loss of funds to the materials budget was restored through an internal reallocation by the director.

    In July of 2002, the General Library System took over the responsibilities of managing the Regional Federal Depository Library from the Wisconsin Historical Society.  In the spring we created another Unit within the Acquisitions and Serials Department to handle the technical processing of documents received through the Federal Depository Library Program as well as other foreign, international, state, and local documents.  Ruth Adams, who had previously worked with our documents collection, was appointed Head of the Documents Unit.

    In September after serving in an acting capacity as the Collection Development Officer, my duties were formally expanded and reflected in a change of title to Assistant Director for Collection Development and Technical Services. 

    In December Michael Cohen, who has worked for many years in several campus libraries/departments, was appointed Head of the Copy Cataloging and Catalog Maintenance Units in the Cataloging Department.  

    In July a new system of statistical categories designed for the purpose of tracking collection growth through our ILS was implemented.  Manual statistics will still be maintained during the current fiscal year until we are assured the statistical data can be reliably extracted from Voyager

    For the second consecutive year we calculated the unique serial title count.  Although the statistic is not recognized by ARL, we believe it’s a better indication of the size of our currently received serial collection.  For FY 2002/03 we calculated our campuswide unique serial title count to be 75% of the serial standing order total reported to ARL.   That is 1% less than the percentage determined for the previous year.    

    Shelfready, Embedded Order Data, Approval Plans, and GOBI:
     The shelfready services which we first contracted with YBP Library Services to provide for the past two years has now also been established with Ambassador Books for firm orders we place with this vendor.   During the past year we have also expanded use of OCLC’s PromptCat service for music scores received from Theodore Front.  

    Initial testing, conducted during the past month, of Yankee’s embedded order confirmation records (EOCR) for titles we firm order from our primary vendor for domestic monographs have been successful.  We hope to put this acquisitions initiative into full production in the next several months and thereby realize greater efficiencies in our ordering process. 

    We continued work on expanding approval plans with our major domestic vendor, YPB. We completed a thorough analysis of our university press plan and expanded its coverage. University press titles are received with PromptCat bibliographic records, embedded order data, EDI invoices, and shelfready services. We also created a new approval plan for materials from the United Kingdom with Lindsay and Howes. Currently, we are undertaking a thorough review of our two trade plans with YBP with an eye toward expanding their coverage as well.

    Last summer we migrated to YBP's GOBI Edition II online ordering and selecting system. We also worked with collection development staff to create five new electronic slip profiles so that our selectors can choose titles online. Their selections are then electronically transmitted to staff within the acquisitions department. A total of fourteen selectors, almost half of the collection development staff, now select some of their titles through GOBI.

    Shelving Facility:
      Discussions are underway on determining the best and most cost-effective categories of library materials for transfer to an on-campus shelving facility.  The building, currently the home of the Health Sciences Library, will become available in mid-2004 when Health Sciences moves to its new location.  With the installation of compact shelving we expect the space allocated to campus libraries to accommodate about 335,000 volumes offering temporary relief to an ever-growing campus problem of overcrowded stacks.  

    Submitted by Richard Reeb

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    ALA Annual meeting, January 2004
    From: Joan Swanekamp(

    Report of Recent Activities at Yale University

    Personnel:  Meg Bellinger assumed her new duties as Associate University Librarian for Integrated Library Systems and Technical Services at Yale in July.  Meg was formerly Vice President for Digital and Preservation Issues at OCLC.   Her portfolio includes Acquisitions Department, Catalog Department, Library Systems Office, Manuscripts and Archives and the Social Science Library and Government Documents Center.

    Library Management System.  We continue to broaden our use of Voyager and have begun using embedded order data from a number of our vendors, greatly improving our effectiveness in our acquisitions processes.  We have recreated our ability to add records (from various vendors) for electronic resources, and are pleased with our ability to handle deleted and changed titles.  In our cataloging operations, we are ready to initiate batch searching and overlay processes again.  And we are moving forward with the implementation of Gary Strawn’s toolkit. 

    Library-wide planning.  The Library’s strategic planning process was completed this fall with another large group (200+ staff) day-long session.  Every staff member has now had the opportunity to participate in one of the large planning sessions.  The Library does plan to move forward with the strategic initiatives described at: 

    The University is facing a deficit situation and the Library has been asked to reduce its operating budget by 5% for FY2004/05.  We are hopeful that we can realize most of these savings without layoffs.   The Collections budget is not included in this reduction.

    Process Improvement.  Technical Services continues its service quality/process improvement effort, though with a somewhat scaled-back set of objectives.  An Implementation Team and Project Manager have been recently appointed. 

    Library Renovation.  Plans are moving forward for the next phase of renovation to the Library’s Cross-Campus Library.  The project will include a significant weeding and transfer project tentatively scheduled to begin next summer.

    Joan Swanekamp
    Yale University

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