ALCTS Technical Services Directors of Large Research Libraries Discussion Group

2000 Midwinter Meeting (San Antonio, TX)
January 14, 2000
Appendix: Issues of Importance (major events/developments/concerns) to Local Institutions - Round Robin

These reports were distributed over the Big Heads electronic discussion list in the weeks prior to the San Antonio, TX midwinter meeting.

For the minutes of the Big Heads meeting at San Antonio, click on

This compilation was prepared by Judith Hopkins, University at Buffalo



Columbia University
Cornell University
Duke University
Indiana University
Library of Congress
National Agricultural Library
National Library of Medicine
New York Public Library
New York University
Northwestern University
Ohio 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 Washington
University of Wisconsin at Madison
Yale University


Update, December 1999
From: Lee Leighton

    We have hired two new Associate University Librarians. They are Isabel Stirling who is the new AUL and Director of Public Services, who came to us from the University of Oregon, and Patty Iannuzzi who will be the new AUL and Director of the Doe/Moffitt Libraries. Patty will be starting to work with us at the end of January, and she comes from Florida International University in Miami.

    Our collections budget, which remained at $8,000,000 for many years, has been augmented by our University Chancellor with an additional $4,000,000 in permanent funds. Technical Services, along with many other library units, is facing the challenge of dealing with the increased funding.

    The Library has assigned two new permanent and two temporary library assistant positions to Technical Services to help us cope with the influx of new library materials.

    The University is in the final stages of implementing a new accounting system that uses PeopleSoft software. The library and all other campus units have experienced an increased workload because of the new system as well as an increase in the time it takes to pay our vendors.

    We are continuing to work with the Academic Book Center to test their Book Bag E-link service which will enable us to load ACBC records into our INNOPAC system as order records.

    Berkeley and the other campuses of the University of California have begun to explore the feasibility of replacing the hardware and software on which the statewide MELVYL union catalog operates.

Lee Leighton

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From: Judith Nadler

    We have just brought to closure a broad-based library reorganization effort which will have major implications for Technical Services. A main feature of this reorganization is the bringing together of operations that have strong affinities related to the processes of acquiring, preserving, and providing intellectual access to information resources in both traditional and electronic forms. These operations have been aggregated into a newly created Information Resources Management Division. This Division will report to me. My title has been changed to Associate Director of the Library.

    The Information Resources Management Division encompasses the Integrated Library Systems (previously part of the Systems Division now obsolete), and the Acquisitions, Cataloging, Serials, and Preservation departments (previously the Technical Services Division, now obsolete). Acquisitions, Cataloging, and Serials will be reconfigured along two functional lines: Acquisitions operations (monographs, serials, and electronic forms) and Cataloging operations (monographs, serials, and electronic forms). The Head of Acquisitions will also be responsible for managing the process of licensing and purchasing digital resources and for the on-going maintenance of license and subscription arrangements.

    The East Asia technical Services (already configured along functional lines) will continue to report to me via the Curator of the East Asia Library.

    Also reporting to me is a newly formed Digital Library Development Center (DLDC). The DLDC will incorporate the staff of the Digital Library Systems (previously part of the Systems Division) and several new positions. The Center will be co-directed by a Systems Manager and a Coordinator and Web Manager.

    Much of this is still "under construction". We expect to bring the new Division up in early 2000.

    Phase I of the Regenstein Reconfiguration Project, including (1) installing compact shelving for a net added capacity of 1.2 million volumes; (2) reconfiguring Special Collections (3) remodeling the main entry foyer; (4) relocating and consolidating Circulation, Reserves, ILL, Entry/Exit Control, and the Privileges Office, was completed in the Fall. Phase II of the Regenstein Reconfiguration is pending additional funding.

    The conversion with OCLC of 1.4 million records, a project begun in November 1997, is nearly complete. Included in this project are the general collections in Regenstein and the unique Crerar Library collection in science and technology. A pilot project to test standards and cost for the conversion of the East Asia Library collections is in progress. Following the outcomes of the pilot, we will embark on a multi-year conversion project for CJK.

    With conversion winding down, we will concentrate on post-recon clean-up and record enrichment. We have purchased the entire back-file of the Table of Contents (TOC) enriched records from BNA and we are now loading TOC records on a monthly basis. We have purchased the full set of Early English Books MARC records with 865 links and will load them when available early next year.

  5. CORC
    We have been participating in CORC since its beginnings. To date we have created records or edited existing records in the CORC database for a number of our Oriental Institute's web sited referenced in their fairly elaborate set of web pages. We are now gearing up for a small test project in the sciences using the pathfinder function. We have about eight (8) catalogers who have been trained and now one copy cataloger as well. We expect to involve more copy catalogers over time. To date we have exported MARC records in our OPAC for every site we catalog in CORC. In future there may be some materials where we only want to work with the DC records and we are in the process of developing an insfrastructure to support this option.

Judith Nadler
Associate Director
University of Chicago Library
773 702-8743
FAX 773 702-6623

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From: Bob Wolven
Columbia University Update: December 1999

    The cooperative borrowing project among Penn, Yale, and Columbia formerly known as CoPY finally became available to patrons in November under the name Borrow Direct. The project, coordinated by RLG and using software from CPS, allows patrons to search a virtual catalog of the combined holdings of the three institutions and to request materials not held locally. The request is submitted electronically to the lending library, which then retrieves the item. By changing the status of the request to "Shipped", the item is automatically charged in the local circulation system through the CPS software.

    The aim of the project is to expedite interlibrary borrowing by reducing the amount of staff intervention. The goal is to have items delivered within four days of the request. November marks the start of a one-year pilot project to evaluate the success of Borrow Direct in meeting these goals.

    Work continues on plans for the joint offsite storage facility to be shared by New York Public, Princeton, and Columbia. The facility will open in July 2001 on Princeton's Forrestal campus. The initial three modules will house close to 6 million volumes, with capacity on the site for an additional twelve modules, for a total capacity of 30 million volumes. Recent work has focused on defining service expectations and initial exploration of mechanisms for sharing access to the stored collections among the participants.

    [For more detailed information see the summary sheet that Richard J. Schulz prepared for presentation to the staff of the Princeton University Library, Nov. 1999.]

  3. RECON
    Projects are currently under way with OCLC and MARC Link to convert 220,000 titles in 1999/2000. An additional 500,000 titles will be converted over the next 4 years, leaving a residue of about 200,000 microforms, serial analytics, and pamphlets to be completed after 2004. Additional funding is being sought to escalate the pace of this conversion.

    Automated authority control was suspended in August 1997, with the cessation of Blackwell's service. RFPs have now been sent to vendors for processing a catch-up file and resuming an ongoing service in 2000.

    Along with everyone else, we continue to reassess the support and organization for implementing networked electronic resources. Two key vacancies in serials acquisitions and serials cataloging will lead to a reconsideration of job responsibilities in this area. A tracking database to manage information related to licenses, access, proxying, acquisitions, etc. has been designed using the structure of the Libraries' Master Metadata File, and will be implemented in 2000.

    The MMF is also being expanded to include administrative metadata for all digital library projects taking place on campus. The aim is both to support project management and to share information among widely dispersed units. To this end, the database will focus not only on the digital content, but also on the technologies employed and functionality supported.

    Participation in netLibrary and Early English Books Online (through two different consortial agreements) has served both to highlight the costs of cataloging for large collections and the issues associated with shared cataloging for electronic materials.

    The multi-year renovation of Butler Library continues, with the new Circulation desk and Wien Reference Room having opened in the fall. Spring openings will include additional undergraduate reading rooms, InterLibrary Loan, and the Electronic Text Service. The Business Library and Engineering Library also underwent major renovations over the summer, with smaller projects planned for other units in 2000.

    Renovation has greatly increased use of the libraries, placing even greater demands on reader space and especially on public workstations. Control of food and drink has become a major issue, as has the volume of public printing. In the spring, new task forces will examine alternatives in these areas.

Bob Wolven
Acting Deputy University Librarian
Columbia University Libraries
phone: 212-854-2226
fax: 212-854-9099

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From: Christian M. Boissonnas
Subject: News from Cornell


    This is the dominant event of our year. We are planning to migrate to the Voyager system next Summer. We will do our first data migration tests in January. For more information, see our implementation-related information at


    21 months ago University Librarian Sarah Thomas charged us with eliminating our cataloging backlog by April 2001. We will complete this project in the Spring of 2000, or about one year ahead of schedule. One major challenge that we face in our migration to Voyager is to avoid recreating our backlog.


    Sometime in February we will complete the conversion of our collections classified in the P, D, and E Library of Congress classification. This will leave us with about 400,000 titles to convert.


    We had an extremely successful experience as part of the CORC Project. In its final report CORC project team identified these benefits accruing from our participation in the project:

    For more information see the project team's final report at


    We have implemented a PURL server utilizing the system from OCLC and have standardized about 4,000 URLs in our on-line catalog. It is working as expected.


    Earlier this year the Sarah Thomas decided that we should decentralize the receipt of subscription items. We have done so. Orders, renewals, and payments for new subscriptions and receipts for the central library are handled in Central Technical Services. Receipts and claims for department libraries are handled in those libraries. As a by-product of this decision we canceled almost 900 orders that we had direct with publishers. All but 40 or 50 of these titles were reordered from Blackwell's to whom the list was awarded after a competitive bidding process.


    The Library is involved with the Graduate School and Cornell Information Technologies in a project to digitize dissertations. When I last reported on this topic we had formed a task force to plan the implementation of a prototype project. We are now beyond the prototyping state and are planning for a process in which all graduate students will submit their dissertations in digitized form. For background information on this project, see


    University Librarian Sarah Thomas has created the new division of Digital Library and Information Technologies. Headed by Associate University Librarian for Information Technologies Thomas Hickerson, the new division groups under one umbrella several initiative which were scattered throughout the Library. These include Library Systems, Desktop Support, Electronic Publishing, and the Cornell Institute for Digital Collections.

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From: Jeri Van Goethem

Duke University Libraries
Technical Services
Fall 1999

    In August of this academic year Technical Services completed a three-year strategic plan (URL: This plan evolved out of a "Symposium on the Future of Technical Services" that was held just over a year ago in December 1998. A follow-up workshop was carried out a few months later where participants identified major library initiatives that were later incorporated into our strategic plan. In addition to providing a road map to the future direction of Technical Services, it serves as an effective tool for communicating Technical Services' priorities to the rest of the library. This has resulted in a much-needed swell of support as we stretch our existing resources to cover a number of new projects.

  2. RECON
    Ten plus years and over one million records later, Duke is approaching an end to its monographic recon project. At the close of fiscal year 1998-99, only the non-Roman languages and microform collections remained to be done. We began working on the non-Roman collections in July and expect to complete all but CJK by the end of this academic year. We are in the planning stages for converting these remaining collections, which we plan to finish within the next couple of years.

    Effective November 1999 the library reached general consensus to cease producing and filing shelflist cards in its main library. We are investigating the use of cards by our Reference Dept. and some of the branch libraries with an eye toward eliminating those cards as well. The prognosis looks promising.

    Duke has decided to tackle authority control in-house. We have purchased the LCAF and loaded it as a separate DRA database. A script automating DRA's verification command automatically corrects headings, which match a 1XX or 4XX in an LCAF record. By the time you read this, we should have finished the initial run through the online catalog database. Using available staffing resources and printouts of headings that did not match the LCAF, we Duke has decided to tackle authority control in-house. We have purchased the LCAF and will do a manual review and corrections. In many cases global changes can be made. We are just beginning this phase of the project. We hope that eventually DRA will allow searching of multiple databases in such a way that the LCAF will supply references to patrons, functioning like a local authority file. At this point, it is accessible only to technical users. However, we have loaded all subject authority records into the catalog and copy in name headings on a case by case basis as cataloging takes place.

    Technical Services has volunteered to be the first division in the library to implement the university's new performance management system. Once implemented, this will mark the first time that the library has used one method for evaluating performance that applies equally to both professional and support staff. It provides a systematic way of defining expectations and developing performance standards that are measurable, attainable, and results oriented. Supervisors underwent an all-day training workshop in December and the rest of the staff will participate in a half-day training workshop in January. Following the training, we will begin identifying major job responsibilities and developing standards. We are on schedule for implementation of the new system on July 1, 2000.

    About a year ago, all library staff participated in a series of Diversity Training workshops. These workshops produced a wide variety of issues and a broad range of desirable workplace behaviors. Since that time, the library has fully engaged a diversity program and appointed a committee that represents a cross-section of the organization to coordinate and oversee its implementation. To date the committee has develop a plan for implementation; synthesized the list of desirable workplace behaviors into a set of core workplace behaviors which have been endorsed by the administration and the staff; and drafted a work climate assessment tool set for testing in January. This assessment tool will provide a baseline assessment of our current environment. It will be administered annually to measure progress and to identify issues. The next major step is to develop and implement ways to inculcate the workplace behaviors into the library's work culture, including a system for individual accountability and responsibility.

    Duke has finalized the purchase of land, located approximately five miles from campus, for its new off-site storage facility. A barcode number storage and retrieval system will be used, which will necessitate the addition of piece specific holdings to all serial records. In addition to 600,000 items in our present facility, which will be moved to the new site, an additional 600,000 items from the main stacks will be shifted. The building is expected to be completed in less than two years. The implications for staffing this project are significant and a planning task force is scheduled to begin work in January.

    This off-site storage land is also being considered as a potential site for locating Technical Services. Some preliminary work on space and equipment needs was completed a little over a year ago and we are now embarking on closer scrutiny of the issues surrounding organizational structure, workflow, and communication that have evolved out of discussions regarding a remote Technical Services facility.

    Digitized information is being managed through multiple approaches:
    1. The Duke Scriptorium web site contains locally digitized, original source material with the collections cataloged using metadata protocols;
    2. commercially purchased resources are added to the library collection with hot links in the opac cataloging records as well as from web pages; and
    3. selected, free, Internet resources are, upon recommendation from the Resource Specialists, cataloged and added to the online catalog with interactive links.
    The Duke online catalog now contains 9859 bibliographic records containing Internet links in the 856 fields. Aggregated databases such as those from EBSCO, Information and Learning, Information Access (Gale), and CIS have had analytic links added for each title in those databases----which has greatly increased usage. Collections of journals such as JSTOR, SpringerLink, Project Muse, CIAO, Kluwer, etc. are cataloged and directly linked. Link checking software is run against the online catalog each month to check "link-rot", and corrections are made. Software is being developed to harvest subject web pages from the opac to prevent the need for individually keyed and maintained pages. Thus far, the major focus has been on the serial format, but we are planning analytics for monographs contained in such collections as CIAO and LION, as well as the possibility of collections of electronic books from NetLibrary, now under consideration for purchase. Staff involved in electronic information management range beyond technical services to include Library Information Systems staff, Reference staff, and Collection Development--necessitating considerable coordination and communication.

    Using Innovative Interfaces software, electronic claiming is carried out with all major serial vendors. Invoices are posted electronically. Monograph orders are sent electronically to most vendors. Software is in the final stage of development for downloading firm orders into Innopac with the inclusion of fund codes, vendors, and other relevant coding.

Jeri VanGoethem
Head, Acquisitions/Serials Dept.
Perkins Library, Duke University
Box 90187
Durham, NC 27708-0187

Phone: 919-660-5894
Fax: 919-684-2978

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From: Michael Kaplan

Indiana University Library Big Heads Report
ALA Midwinter 2000


    In September Indiana University signed with SIRSI for a system-wide installation of Unicorn to replace the shared NOTIS and Horizon systems we presently have. Installation is planned for December 2000. Because Indiana University did not implement NOTIS on the basis of a single, shared bibliographic record, we are expending a great deal of time and energy trying to determine how far we can go toward sharing a single record prospectively.


    We are beginning to plan for the potential of a true shelf-ready /catalog-ready plan for implementation together with the migration to SIRSI. Over the years IU has made minimal use of the NOTIS loaders and has done little, if any, customization to them, so we are not prepared to try to load vendor files or build complete records with items, holdings, etc., from information shipped by vendors. With SIRSI we expect to make that step.


    As part of that plan we are consolidating our various vendors and making greater use of those vendors that are the more advanced technologically. We are doing this for 2 basic reasons: to put the onus for (inadvertent) monographic duplicate order detection on the vendors (which we could not do if the orders continued to be fragmented) and with an eye to EDIFACT. Accordingly, we are in the process of concentrating our domestic monographic firm order and approval business with Academic/Blackwell's. For serials, we have moved those portions of our domestic business that was not already with Ebsco to Faxon (RoweCom) and our entire European serials business to Harrassowitz (except for the UK). In 2-3 years the University purchasing office has recommended that we plan to put out an RFP for the domestic serials business.


    Recon continues apace. OCLC has converted approximately 275,000 titles for us since March, with another 125,000 to go. We are close to finishing the non-Roman languages in-house. Classed-together monographs-in-series we are also doing in-house, but we have changed tack and are culling their cards from the public catalog rather than working from the shelflist/stacks. We have internally generated enough money from various savings in Technical Services to put about $125,000 into Recon for the Lilly Library. We are piping the OCLC Recon records through LTI's authority control service as an add-on to the service that comes free from OCLC as part of their Recon efforts and are finding substantial improvements in the records. I owe my thanks to Cath Tierney/Stanford and Carol Fleishauer/MIT for sharing their experiences and tests with LTI and moving us along in that direction. Post-Recon, post-SIRSI implementation, we plan to funnel all new cataloging through LTI's authority process.


    Beginning in early fall we brought in new power and data distribution service to the Third Floor, where the majority of Technical Services staff resides. Telecommunications wiring was pulled in early December. The final stages of the reorganization of Technical Services will take place between Christmas and New Year's when staff will actually move into their new units and Serials acquisitions and cataloging will move from the Ground Floor to the Third Floor. It has taken 18 months of planning and has been very frustrating, but it will be a relief to see it done. It is a serious disappointment that the University has not given us new, ergonomic furnishings; that will likely have to await the overall Main Library renovation plan. Given that it is just now beginning to work its way through the Campus and University approval process and that the furnishings will come along only in the context of our eventual relocation back on the Ground Floor, this is still several years in the future.

Michael Kaplan, Ph. D.
Associate Dean & Director of Technical Services
Indiana University Libraries
Main Library C-2
Bloomington, IN 47405-1801
Voice: (812) 855-3403
Fax: (812) 855-2576

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From: Barbara Henigman

Bigheads Round Robin Report - January 2000
University of Illinois at Urbana-Champaign

    Paula Kaufman joined our library on September 7th as University Librarian. As is typical of any transition period, the UIUC Library has spent most of the Fall working on it's strategic plan and evaluating management structures.

    As a result of post-implementation evaluation, the Illinois Library Computer System Organization (ILCSO), of which UIUC is a member, has formed a task force to survey the vendor market and evaluate library systems. This group will be hosting vendor visits, as well as gathering information from currently operational sites. The task force will present it's report to the ILCSO Policy Council in February. In the meantime, UIUC will continue to work toward implementation of the Web-based PAC Client. Decisions to implement DRA Classic Serials Control and Acquisitions are under review.

    The Technical Services Division continues to settle in after the reorganization in 1998. Focus continues to be placed on reengineering procedures and staff development. After a round of successful audits and staff upgrades, TSD staff are concentrating on learning new job duties and procedures. We are now beginning to evaluate long-term staffing needs.

    UIUC continues to participate in the OCLC CORC project. Currently we are concentrating on cataloging web based resources and e-journals.

    The newest item on our agenda is a library wide examination of the current decentralized cataloging process that was implemented in the early 1980's. As a part of this examination, we will be evaluating the use of Prompt Cat and other opportunities for outsourcing.

    The UIUC Library continues it's work to meet the challenges of space - both people and collection - throughout the library. Technical Services has been working to design its new space and expects renovation to begin by the fall of 2000.

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From: Beacher Wiggins

LC Round Robin report to Big Heads, January 2000

  1. LC/Ameritech National Digital Library Competition
    In the third and final year of a three-year competition made possible by a $2 million gift from the Ameritech Foundation, the Library awarded a total of $615,965 to twelve institutions to digitize American history collections and make them available on the Library's American Memory Web site. A total of 33 award winners have now received support for their digitizing efforts. Five winning collections from the inaugural competition in 1997 were completed and debuted on the American Memory site in 1999.

  2. Digital Libraries Initiative
    The Library is a cosponsor of Phase II of the Digital Libraries Initiative, a multi-year research grant program led by the National Science Foundation that aims "to advance the use and usability of globally distributed, networked informati on resource, and to encourage existing and new communities to focus on innovative applications areas." The Library offers to make American Memory collections available to grantees to support research that will benefit future users of digital information in all libraries.

    Information Technology Services (ITS) continued to implement the Computer Security Plan and the Year 2000 Plan in order to ensure that the Library's computer systems, applications, and data are secure, and will be fully functioning into the twenty- first century. At year's end, all of the Library's mission-critical systems were Y2K-compliant.

  3. Library of Congress Integrated Library System
    The Library successfully completed the implementation of the Integrated Library System (LC ILS) within budget and on track with its original estimated date of all parts "live" by October 1, 1999. The Cataloging and Circulation modules were implemented August 16th; the Online Public Access Catalog, Windows version, August 25th, the Web version, August 31st, and the Acquisitions and Serials check-in modules, October 1st.

    Staff completed the largest workstation and software roll-out and training program in the Library’s history in preparation for the ILS. Over 3,320 staff received new ILS equipment and training.

    Approximately 16 million bibliographic and authority records were migrated from 6 legacy systems. Thousands of patron, order, and vendor records were also loaded.

    The Library also began the retrospective holdings conversion of data in its two largest remaining manual files, the 12 million card shelflist file and the 900,000-title serials check-in file. Conversion of the holdings information from these files into the LC ILS will greatly contribute to the Library’s inventory control and materials security.

    In fiscal 2000 the ILS Program is scheduled to implement LC Voyager task orders and updates, increase the system server and storage capacity, maintain the system, provide training for new software releases, and continue contract services to convert the shelflist and serials check-in retrospective holdings files.

    Additional information can be found on the public ILS Web page at URLs: and and on the LC Web page at URL:

  4. Bibliographic Enrichment Advisory Team (BEAT)
    The Bibliographic Enrichment Advisory Team (BEAT) develops tools to aid catalogers, reference specialists, and searchers in creating and locating information, seeks to enrich the content of LC bibliographic records as well as improve access to the data the records contain, and conducts research and development in areas that can contribute to furthering these efforts.

  5. Digital Tables of Contents (D-TOC )
    The Digital Tables of Contents project creates machine readable TOC data from surrogates of the actual TOC, and using scanning and optical character recognition (OCR) as well as original programming written by project staff, materials are subsequently HTML-encoded and placed on a server at the Library. In the process the underlying MARC records are also modified to include links to the TOC data.

    At the time MUMS was frozen on August 12, Digital TOC had placed over 1,500 TOC on the Web, more than 1,000 of those completed in the calendar year ending May 31. In addition, in a related project with the Electronic CIP pilot program, more than 1 ,700 TOC records have been created for publications cataloged through the Library’s ECIP program. For the D-TOCs, both the MARC records themselves and the linked TOC data may be viewed through a Web browser by accessing the Library's online catalog directly. In addition, various Web indexing software also makes catalog and TOC records available over the Web from any location.

  6. Business and Economic Resources Online (BEOnline)
    BEOnline began as an experimental project designed to explore means of access and bibliographic control for remote Internet resources of interest to the practice or study of entrepreneurship and small business, including general business resour ces. The project is now preparing to expand its subject coverage across the disciplines. The team was also instrumental in framing a recommendation to the Cataloging directorate that LC register with the CORC project, and that it use the CORC cataloging feature to replace the program which LC staff had written for the BEOnline cataloging project within LC. With the decision to participate, the BEOnline Team is proceeding to develop a workflow for the expanded version of the project, called BEOnline Plus.

  7. BECites+
    (Bibliographies plus: Enhanced citations Including Indexes, Tables of Contents, Electronic resources, and Sources cited).

    This new BEAT initiative is designed to enhance traditional bibliographies by placing them on the Web and including, along with annotated citations, links to the scanned tables of contents, indexes, and back-of-book bibliographies contained in the sources, as well as reciprocal links between the citations in the bibliography, the scanned elements of the works and their catalog records in the OPAC. In addition, links to pertinent online indexes to journals and other related web resources are als o included, where available.

  8. LC AACR2 Implementation
    The Library of Congress plans to implement the "1998 Revision" of the Anglo-American Cataloguing Rules, 2nd ed. (AACR2) in February or March 2000. The actual implementation date will depend upon receipt of the copies of the paperback edition from ALA as well as the availability of the updates to the Library of Congress Rule Interpretations that are related to the "1998 Revision." LC deferred implementation until after the LC ILS implementation. The few rule revisions that are unique to the "1998 Revision" pertain mainly to provisions for bibliographic description rather than to headings. Most are already covered by existing LCRIs. The "1998 Revision" incorporates both the "1988 Revision" and "Amendments 1993" to AACR2.

  9. Implementation of Change in Indicator Value for Multiple Surnames in MARC 21
    In 1996, the first indicator value 2 (Multiple surname) in X00 fields in MARC 21 was made obsolete. Value 1 (Single surname) was redefined as "surname" to be used for headings with either single or multiple surnames. At the time value 2 was made obsolete, various factors contributed to a delay in implementation, including, more recently, the installation of the LC ILS. (By exception, the change was implemented by the British Library and three NACO libraries (National Library of Scotland, University of Cambridge, and University of Oxford) linked with the BL in a UK cooperative called the Copyright Libraries Shared Cataloguing Programme (CLSC), and the UK's National Art Library. Authority records contributed by the Dance Heritage Coalition also contained the change.) Now that the LC ILS has been installed, LC assessed the best way to implement this change within the context of available resources. After consulting various libraries and agencies about the proposed implementation plan, LC implemented the change beginning January 1, 2000, according to the following guidelines for LC/NACO libraries.

    The basis of the implementation of the indicator change is that authority and bibliographic records will be treated independently, i.e., there will be no attempt to keep authority and bibliographic records in synchronization. The goals of the implementation are to assure that: 1) all newly created authority and bibliographic records reflect the change; and 2) all existing records that are changed will be consistent within themselves. Guidelines may be found at URL:

  10. Subject Headings to Individual Works of Fiction
    The Library of Congress is conducting an experiment in assigning subject headings to individual works of fiction. Selected catalogers from the History and Literature Cataloging Division are assigning subject headings according to draft guidelines prepared by the Cataloging Policy and Support Office. The experiment will provide a means of evaluating the draft guidelines with a view to issuing more detailed instructions as part of the Subject Cataloging Manual.

  11. Library of Congress Subject Headings
    Work continues on two long-term projects that are part of the implementation of subfield $v for form subdivisions in the Library of Congress Subject Headings system that took place in February 1999. Since that date, LC catalogers have been coding form subdivisions that function as forms in Library of Congress Subject Headings assigned to new bibliographic records as $v rather than $x. Individual instances of form subdivisions in subject authority records are being recoded from $x to $v. To date over 2,100 authority records have been recoded with the project estimated to be more than halfway complete. Form subdivisions in bibliographic records are being recoded on a case-by-case basis only as subject headings in individual records are updated or revised for other reasons. Using new 18X fields, subdivision authority records are being created to control the more than 3,100 free-floating subdivisions. To date more than 1,100 subdivision authority records have been created and distributed.

  12. LC Classification
    KBR (History of Canon Law) and KBU (Law of the Roman Catholic Church. The Holy See) are in the final stages of development. In cooperation with Islamists at Harvard Law School Center for Islamic Legal Studies, KBP (Islamic law) is in advanced state of development. After an initial round of discussions with specialists at New York University and Professor Menachem Elon of the University of Jerusalem, a draft of KBM (Jewish law) will be developed by LC and two specialists at NYU.

    CDS is planning to conduct a pilot project to test external Web access to the online LC Classification system that is used within the Library. The pilot is expected to commence before the ALA Annual conference in June. CDS staff at the exhibit booth will be collecting the names of libraries interested in participating in the Web pilot. Visitors may also see a demo of the system at the booth.

  13. Pinyin Romanization
    The Library of Congress continues to plan and coordinate conversion activities with the bibliographic utilities, RLG and OCLC. The utilities have agreed to convert bibliographic records in their files to pinyin. RLG will begin by converting some 2,000,000 records which are identified as Chinese in the 008 field in its RLIN database, including some 175,000 LC Chinese records. OCLC plans to convert all 46,000,000 records in its WorldCat file, including the Library's serial records. OCLC has also agreed to identify and convert name authority records with Wade-Giles elements to pinyin.

    The Library has formed a team to draft conversion specifications for name authorities, work with OCLC, and prepare for conversion activities at the Library. Revised conversion specifications have been drafted and sent to RLG and OCLC where they are being used to write conversion programs. OCLC and RLG will work with the same testfiles and will share results in order to achieve uniform results.

    On October 7, representatives from six major collections in the United States and a representative from the Council on East Asian Languages (CEAL) met with staff from the Library of Congress, OCLC, and RLG for an unofficial day-long planning meeting. Participants explored a wide range of issues related to local systems and catalogs, and worked on a coordinated approach to the conversion project. The group reached consensus on a sequence in which certain milestones were to be achieved, along with dates and time frames for major activities. There was agreement that as many authority records as possible should be converted in advance of the display of converted bibliographic records on RLIN and OCLC. The group proposed October 1, 2000, as the target for "Day 1" to allow sufficient time for conversion of authorities. After Day 1, systematic romanization of Chinese on new cataloging and authority records will be done in pinyin. The utilities will begin to convert bibliographic records before Day 1 occurs, and will load those records into their files as they are converted. Both converted authority records and bibliographic records will be marked, for purposes of identification and to prevent re-conversion. RLG and OCLC will return snapshots of converted records to individual libraries for loading into local systems.

    The Library has completed the revision of name authority records for Chinese conventional place names. More than 260 name authority records for Chinese conventional place names and 5300 related authority records have been revised so that they now appear in forms recommended by the US Board on Geographic Names (BGN). Most of these headings on bibliographical records will be changed during machine conversion to pinyin.

    In response to requests from the library community, conversion of subject headings, and related changes to the classification schedule, will be undertaken shortly before Day 1 occurs.

    The pinyin conversion project will be the subject of discussion at the RLG Forum, which will be held on Sunday, January 16 from 9:00 to 11:00 AM, Hilton Palacio Del Rio - Del Ray N. Panelists will include Philip Melzer of the Library, Karen Smith- Yoshimura of RLG, Glenn Patton of OCLC, Peter Zhou representing CEAL, administrators and automation specialists from several of the major library collections. The overall conversion strategy will be presented, along with a timeline jointly written by the Library of Congress, RLG and OCLC. Proposals for markers on bibliographic records (in the 987 local field) and name authority records (in the 008/07 fixed field) will also be presented.

    The Pinyin Home Page provides information and status reports about the conversion project at URL .

  14. Program for Cooperative Cataloging (PCC) Activities
    Fiscal 1999 was a banner year for the BIBCO Program. BIBCO libraries contributed 58,848 new bibliographic records to the pool of shared cataloging. This was a 57% increase over fiscal 1998, and the BIBCO libraries exceeded the goal of increasing the previous year's total by 15,000 new bibliographic records as called for by the PCC's Tactical Plan. Fiscal 1999 saw a 36% increase in core record contribution over last fiscal year; the total number of core contributions was 19,636 records.

    The combined efforts of the PCC Steering Committee's program expansion and publicity campaigns as well as the public relations generated by the Cataloging Now! Workshops added seven new partners to the BIBCO program in fiscal 1999; in fiscal 2000 one new institution has already joined, the Armed Forces Staff College in Norfolk, Virginia.

    To gather information on the other series issues, the PCC Steering Committee authorized a survey to query the PCC membership on the desirability of a national-level series analysis policy and how the addition of the DPCC code to retrospective SARs should be accomplished. The survey generated much discussion resulting in the decision of the Policy Committee to implement a default series policy of fully traced, analyzed, and classified separately (FTS) inasmuch as possible.

  15. CONSER
    At its October meeting, the Joint Steering Committee for Revision of AACR reviewed the report of recommendations on changes to the rules regarding seriality and charged Jean Hirons and CONSER with the revision of Chapter 12 and associated rules . The revision is due by the end of February and the JSC plans to review the rule revision package at its meeting in March 2000.

    Fourteen institutions have signed on to participate in an experiment to add publication pattern data to CONSER records. The short term goal is to be able to share this data among libraries; a longer term goal is to assure that the data is compatible to all systems in order to enable migration of check-in and holdings data to a different system. The task force charge was also expanded to include tasks of reviewing the MARC Format for Holdings Data, working with system vendors, and determining library needs.

  16. NACO
    In fiscal 1999, NACO participants created 133,011 new name authority records in addition to making 39,355 revisions to existing records, and creating 10,617 new series authority records.

  17. PCC Standing Committee on Standards
    The SCS issued the Core Bibliographic Record for Monographic Computer Files, and approved the Supplementary Core for Multiple Character Sets which replaced the "Additional Requirements for Core Records Containing Non-Latin Scripts" and signals the initiation of the review/revision process undertaken by the SCS of all active core standards. As with the previous iteration, this core is an overlay and "records created with this supplementary core standard should conform to the requirements of the appropriate PCC monographic core first and this supplementary core second." Work on a core record standard for audiovisual materials continued and the Collection Level Core Cataloging Record Standard is in the process of being finalized. For more information about the work of this Standing Committee, visit URL

  18. Cataloging (Books and Serials) Production:

    		                FY00 through November    FY99	
    LC Full-Level Cataloging    	22,972			148,628	
    Copy  Cataloging                 3,004                   25,662	
    Minimal-Level  Cataloging        2,104			 19,256
    Collection-Level Cataloging        447                    2,756
    TOTAL records created           28,527			196,302             
    TOTAL volumes cataloged             NA                  205,893
    Authority Records			 
    Names  		          	11,723                   80,176
    Series 	                    	 1,075                    7,272			   
    Subjects	 	    	 1,694                    5,895                      
    TOTAL              		14,492                   93,343
  19. Resource Files
    In early December LC began loading a majority of the resource records it receives from external sources (chiefly vendors) directly to its local LC ILS database. The preprocessing of these records was modified to add local (9XX) fields used in the LC ILS. Records from a few vendors continue to be loaded into a SiteSearch database, since these files include records for titles not being supplied to LC.

  20. MARC 21 Editions of Format Documentation
    The first edition of the MARC authority format with its new name, "MARC 21," went to press in December 1999, following the publication of the MARC 21 edition of the bibliographic format in July 1999. The printed copies of the authority format are expected to be available from CDS in February 2000. The MARC 21 Format for Authority Data replaces the USMARC Format for Authority Data and the Canadian MARC Communication Format for Authority Data, which were fully harmonized in 1997. A French language edition will also be available, prepared and published by the National Library of Canada. The MARC 21 versions of the Classification and Holdings format will be published in early 2000.

  21. Collaboration of Dublin Core/MARC mapping
    NDMSO staff continue to collaborate with OCLC, Inc. on updating and expanding the Dublin Core to MARC mapping, which is currently available at the MARC Web site, URL . This effort is undertaken as part of OCLC’s Cooperative Online Resource Catalog (CORC), which uses a mapping for integrating, exporting and importing records for online resources both in Dublin Core and MARC. The mapping will provide a crosswalk in both directions, both from Dublin Core to MARC and from MARC to Dublin Core, although the latter has not yet been completed.

  22. Z39.50
    The MUMS Z39.50 server will be retired in January 2000. All Z39.50 clients currently accessing MUMS must, therefore, be reconfigured to access the LC ILS (Voyager) Z39.50 server. For information that will be helpful in configuring Z39.50 clients to access LC’s new Z39.50 server, the following document should be consulted: URL

    Users will notice some changes to LC's Z39.50 service when accessing the Voyager server:

    1. system availability will improve to seven days a week, 24 hours a day;
    2. all LC bibliographic records will be in a single database; and
    3. search access to LC's authority files will not be possible.
    The LC WWW/Z39.50 Gateway, implemented by NDMSO with Information Technology Services, will continue to provide external users with an alternative interface to the LC catalog. On average, about half of the million Z39.50 searches that LC receives each month come through the LC WWW/Z39.50 Gateway.

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From: Leighann Ayers

    This year has seen the regularization of mass deacidification services into the Preservation Division's ongoing program. We will send to a vendor for treatment an estimated 5,500 volumes at a vendor cost of approximately $80,000.

    With the 6,700 volumes sent to Mexico for format conversion, we are approaching the half-way point of the Making of America #4 Project.

    Books were moved from the interim storage facility to the first floor of the Buhr addition in February 1999. Construction of the second phase of the Buhr storage facility addition was completed November 30.

    Preparations are being finalized to begin delivering ILL copy requests to a secured website for patrons. A combination of Ariel and Prospero will be used and will send patrons an e-mail giving them the website address and the length of time the article will be posted there. A pilot between MSU and UM will begin winter term.

    Ill is participating in the German Resources Project and ordering documents for patrons through this source.

    Several important monographic collections are currently in the process of being cataloged. The Wantz collection contains rare medical monographs and, in addition to being cataloged, images of the important illustrations within the material are being scanned. The Glazer collection covers Spanish publications from the beginning of printing in that country. In addition, in association with Special Collections and the Music Library, work has begun on the description of the Edison collection of American sheet music which will later be microfilmed by Primary Resource Media.

    Serials Cataloging is providing bibliographic access to all serial titles in aggregator collections. They are following the CONSER interim guidelines for multiple versions. Access is provided through the on-line catalog. To date the following collections have been processed: ProQuest Research Library, General Reference Center Gold, Health Reference Center-Academic, International Index to Music Periodicals, and MD Consult. Efforts will soon begin to catalog Lexis-Nexis Academic Universe.

    Retrospective conversion of the Clements Library collection has begun. This is a collection of original resources for the study of American history and culture from the fifteenth to the early twentieth century.

    We are developing a license database which will provide selectors and other staff members access to the terms of individual licenses for electronic resources. This is being created using FoxPro.

Leighann Ayers
Head, Acquisitions/Serials Division
University of Michigan
Ann Arbor, MI 48109-1205

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From: Barbara A. Stelmasik

Here is the Round Robin Report for the University of Minnesota Libraries, January 2000

    The MnLINK Project, on November 18, 1999, decided to cancel the current RFP under which it was negotiating with DRA for the TAOS system, and to reissue a new RFP for an integrated library system. Whether that will shorten or lengthen the installation period for a new system for the University of Minnesota--Twin Cities campus is up in the air right now. The commitment, however, is to license a new ILS which is already operational in the major modules (circulation, acquisitions, cataloging, OPAC, serials, etc.). Transition dates range from January 2001 to summer 2003, depending upon the speed at which the contract negotiation group can work through the RFP responses, decision process, and final contract. In the meantime, we will diligently work to keep NOTIS up and running and install new versions as they become available.

    In late fall we began moving materials to the new Elmer L. Andersen Library, located near the Mississippi River on the University of Minnesota's Twin Cities Campus. The building will house 8 University special collections and archival units, the central office of the MINITEX Library Information Network, and the Minnesota Library Access Center (MLAC). Well organized collections with good bibliographic control moved in record time. Planning for the moves motivated some excellent process improvement discussions one of which resulted in a new local procedure for producing barcodes on acid free paper.

    The Minnesota Library Access Center (MLAC) is designed to support libraries throughout Minnesota by providing efficient, climate-controlled storage for important, but infrequently used collections. Housed in one of the caverns below Elmer L. Andersen Library, MLAC will help libraries deal with the ever-increasing growth of information resources. MINITEX Library Information Network is responsible for MLAC's operation. Pre-processing of materials for the center has begun, with extensive use of Visual Basic programming to update huge numbers of bibliographic records. Staff from all units have been recruited to assist in folding the 80,000 trays which will be used to hold materials sent to the center.

    The University of Minnesota's Walter Library, dedicated in 1924, will be closed December 24 for a $53.6 million renovation, expected to be completed in fall 2001. In addition to restoring the building to its original beauty, the renovation will include the installation of air conditioning, improvement of fire and safety issues, and upgrading of electrical and telecommunications wiring. To make way for the renovation, Walter Library must be completely vacated. Intensive efforts have been made to alert users to these moves and to the plans to accommodate user access to materials and services in temporary locations.

    We reached our goal of entering 500 records in CORC by training staff from many areas to create records and by exploring batch load processes. We were particularly pleased to be able to load the individual records from our local "Research QuickStart" into the CORC database, because our reference and collections staff are already firmly committed to identifying e-resources for the QuickStart product designed to provide on-line guided instruction for undergraduates writing research papers and speeches. We're gaining experience with Dublin Core as a metadata standard, and with a forms-based input system, and are hoping to compare DC and MARC functionality for end-user data search and retrieval. We learned much about pathfinders and their relation to separate records, and we learned new ways of exporting/importing data. We've also learned that colleagues in technical services, public services, special collections and reference share far more common concerns about data structure than we ever imagined. We hope to use this understanding to inform our decisions as we begin to make more deliberate decisions on whether to provide multiple, parallel or overlapping databases for people to search when looking for our locally held resources.(We have not yet moved any CORC records into our local catalog.)

    We continue the practice (begun last year) of pooling vacant professional positions and then discussing priorities and needs to determine how to define new positions to be funded out of the vacancies. This has resulted in redirection of a substantial amount of staff dollars for system support and administration which is needed as a base for new initiatives.

    We will move all public terminals to Citrix in the very near future. We have been moving toward this solution to reduce network maintenance and to improve service to users. We have also made an agreement with our University Office of Information Technology, wherein they will begin to supply and support our public terminals as part of their technology maintenance efforts. Both of these changes should allow our systems staff to focus more on library specific work.

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

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National Library of Medicine

From: Duane Arenales


    Approximately 15 months after implementation, staff have adjusted well to system changes and new work. flows. Much of the first year was devoted to training and processing of materials backlogged during conversion and start-up. Now there is light at the end of the tunnel . Fourth quarter FY1999 production levels approached pre-Voyager levels in almost all areas. Cataloging production was back to normal. By the end of December, serials staff had created almost 14,000 prediction patterns for the Library's current serials. We estimate there are perhaps 12,000 to go, and there is still much to do in acquisitions.

    Our first Fiscal Close/Rollover took place on October 2, the beginning of NLM's FY2000. Staff discovered that rollover rules will have to be revised next year to accommodate gifts and more purchase orders will have to be made complete to prevent rollover of those orders. At the same time, the Library began posting monograph and serial subscription invoices in Voyager. Serial Records has tested EDI invoicing with Blackwell's Information Services (UK) and is planning to use EDI to load their 2000 renewal invoices.

    NLM continued to work with Endeavor as part of the Acquisitions Task Force to develop new features and functionality for the 2000 release of the Voyager Acquisitions module.

    NLM continued development of the next generation SERHOLD system as part of the new web-based DOCLINE/SERHOLD interlibrary loan system. SERHOLD is the component containing serial holdings information for U.S. and Canadian biomedical libraries and is used to automatically route ILL requests. A group of librarians from the DC area were invited to participate in a usability test of the new SERHOLD at NLM in December and to offer their comments and suggestions on the system. The system will be available for beta testing by all SERHOLD participants in January. NLM hopes to put the new DOCLINE/SERHOLD system into full production in early spring.

    Cataloging completed a phased four years renovation project that provides ergonomic workstations for all staff. We have received funds this year to evaluate the effectiveness of the changes in the cataloging work area and also to evaluate - from an ergonomic point of view - the work habits of all TSD staff hired since the last evaluation four years ago.

    NLM made new awards effective in October for blanket purchase agreement services to six vendors - Book House-- United States, primarily non-trade literature and works not available on approval; Majors Scientific Books-- United States (major biomedical publishers); Yankee Book Peddler-- United States and the United Kingdom (U.S. scholarly, university and general trade publishers and all publishers in the U. K.); Casalini Libri-- Italy, San Marino, Vatican City ; Nijhoff-- Netherlands, France, Belgium, Luxembourg, Sweden, Finland, Norway, Denmark , Iceland; and Harrassowitz-- Germany, Austria, and Switzerland. Book House will provide continuations and firm orders. The others will supply approvals, firm orders and continuations. The award process and switching of vendors temporarily affected monographic acquisitions with a decrease in receipts while new approval plan profiles were established.

    As part of NLM's reengineering effort , Cataloging is integrating several thousand MEDLINE type records for monographs or portions of monographs created by specialized data producers into its Voyager/LOCATORplus database. The records in question are currently resident in specialized databases, i.e.; HSTAR, HISTLINE, SPACELINE, BIOTHICS and POPLINE. HSTAR records were successfully converted and loaded into LOCATORplus in December 1999; HISTLINE records will be loaded in January and SPACELINE records in February. This conversion project is scheduled for completion in the summer of 2000. A project also is underway to integrate citations to journal articles from the same databases into MEDLINE.

    Integrating records that neither comply with cataloging rules or the MARC standards into MARC and a cataloging database is a complex and daunting task.. Each file had specific idiosyncrasies and required special mappings to MARC. In future, contractors will create records for material in these specialized areas from remote sites using the Voyager cataloging module. Initially NLM will distribute records back to the contributors for incorporation in their files in the MARC format, but expects to move to the XML format as use as the conventions for data identification have been firmed up. The records will NOT be distributed to subscribers of CATFILE, i.e., NLM's cataloging records.

    Cataloging Section staff is completing final editing of the fifth revised edition of the NLM Classification. This revised edition incorporates all additions and changes to MeSH from 1995 -1999, and the schedules, as well as Table G, NLM's geographic cutter table. The anticipated publication of the revised print edition is spring 2000.

    Cataloging also is working on a project to convert the present online classification from a PC/DOS based environment to a Windows based program with access from the Internet and links to other cataloging tools such as the MeSH browser. We hope to have the new system available by year's end. The content will reflect the extensive changes made in MeSH 2000, update LC class number referenced in the index and include any additions or changes to class numbers.

    The Literature budget for FY 2000 is $4.9 million. Of this approximately 78 percent is allocated for serials. Although this is about seven percent less than in FY 1999, the change reflects the timing of funding for subscription services rather than an actual decrease in the acquisitions budget.

    Becky Lyon has been appointed Deputy Associate Director for Library Operations, replacing Betsy Humphreys, who is now Associate Director for LO. Ms. Lyon previously served as head of the National Network Office.

    Beginning the first of February, selection of all modern literature will be consolidated in the Selection and Acquisition Section. Up until now the Serial Records Section has been responsible for the selection of serials and S&A for monographs.

    Four additional positions have been added to the Serial Records Section bringing the total staff to 24. These include two librarians for the Check-in Unit, a systems librarian to assist with SERHOLD and personal computer support, and a librarian to assist in the Bibliographic Unit . The additional support for the Check-in Unit is needed to control the flow of print and electronic data to the Indexing Section and to provide additional higher level support for component creation and claiming.

    The Serial Records Section also is recruiting for a new head of the Serial Acquisition Unit with expertise in both serial acquisitions and licensing. S&A is recruiting for a selector (bibliographer) with experience in the acquisition of electronic materials.

    NLM's Profiles in Science web site makes the archival collections of prominent twentieth century biomedical scientists available to the public through digital technology. The collections have been donated to the National Library of Medicine and contain published and unpublished materials, including books, journal volumes, pamphlets, diaries, letters, manuscripts, photographs, audio tapes and other audiovisual materials.

    In November papers of Martin Rodbell , an American biochemist and molecular endocrinologist who shared the Nobel Prize in 1994 for his discovery of G-proteins and the principles of signal transduction in cellular communication. were added to the site. Other collections are devoted to Nobel laureate Joshua Lederberg and Oswald T. Avery, one of this country's first molecular biologists, whose findings proved that the genetic material is DNA.

  10. MEDLINEplus
    MEDLINEplus , NLM database designed for health consumers, continues to expand. This new service provides access to extensive information about specific diseases and conditions and also has links to consumer health information from the National Institutes of Health, clearinghouses, dictionaries, lists of hospitals and physicians, health information in Spanish and other languages, and clinical trials.

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New York University Round Robin Update--January 2000


    This release gave us some new functionality within the cataloging module, but it also gave us USMARC Holdings and the new NISO Standard for display of bibliographic holdings. We wish we had had those standards fourteen years ago when we began online serial check-in or 20+ years ago when we began recording monographic multipart holdings. Squeezing holdings for 1.6 million records through these standards created many nightmares for us. We have completed the first pass through a report of all of problematical multivolume records, and we are cleaning up priority, high-profile serials, but we have a long way to go. Working in a distributed serials check-in environment since 1994 only increased opportunities for inconsistencies and variations in check-in practice and publication pattern creation to creep in.

    Another feature of 6.8 is the appearance in the OPAC of the complete LCSH thesaurus--even headings for which we have no holdings. Many of our public services librarians are not happy; others think it is great having one place to look for all authorized headings.


    With our new Dean of Libraries, Carol Mandel, in place since April, we have resumed a review of our space needs and are working towards a partnership with the Medical Library Center to develop a shared offsite storage facility. At the same time, we have begun a process to review space use within Bobst Library in light of changing service and program needs.


    With the rising cost of cataloging copy from our primary domestic vendor, we are taking a second look at where and how we get our cataloging copy and the reliability of these records. Because of all the variables, it will be difficult to compare the benefits of pricey vendor records over labor costs involved in manually-searched utility copy--just as it is difficult to compare costs between the utilities, but we are making a start. The cataloging staff is finding it increasingly difficult to evaluate the various flavors of utility copy, particularly with the UKMARC records being added to the mix.


    Like everyone else, we are looking for an efficient way to direct our patrons to electronic resources that have passed our selection policy. Since we are not attempting to catalog all serial titles in our aggregator collections, we are trying to create a database of electronic journals.


    We have finally begun loading our WLN authority records into our catalog. This is a multi-phased project that involves first loading "pseudo-authority" records that have cross-references from all of the errant variant forms of headings--this load will flip the variants to the correct form. The second load will be the full LC authority records that will provide legitimate cross-references. All of this is complicated by the recent authorized changes in indicators for name and subject headings. We are also having to closely monitor the impact of loading of authority records that effect several hundred bibliographic records--response time does not seem to be effected, but the queue of updated but not-yet-reindexed headings swells.

Arno Kastner
Director of Technical Services
Bobst Library
New York University
70 Washington Square South
New York, NY 10012

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From: Roxanne Sellberg
Subject: Northwestern round robin report--01/00

Not too much news from Northwestern this time, but here are some things on our minds.

    We survived our first full year with the new LMS. The picture on the serials side, in fact, is pretty positive. A great deal was accomplished in the very necessary project to create purchase order records and prediction patterns for serials. We estimate that 2/3 of them are done, including all the currently received periodicals. That is very good news, because it means we are really now starting to feel the advantages of predictive check-in, and we have been able to resume regular claiming--now using Voyager's claiming features. We now believe we may be able to complete the retrospective implementation work during the 1999-2000 fiscal year. In addition, we processed our first invoices by EDI this fall. We were able to get Harrassowitz going first, and we hopes to process the invoices of several more of our largest serial vendors this winter. A related challenge: negotiating a new record-keeping methodology which will satisfy the university and its auditors without benefit of all that paper.

    The monograph side the picture is not as bright--but nevertheless is rosier than the last time I reported.

    Recall that the combination of Voyager implementation and a healthy increase in the materials budget had us reeling last summer--with most of our cataloging resources being re-allocated to acquisitions work, and with cataloging backlogs growing quickly. Since then we got the money spent for 1998-99, which was no mean feat. We also successfully negotiated our first fiscal year turnover on Voyager September 1 (without serious problem). This fall we started receiving PromptCat records for books received from our primary domestic monograph vendor, Yankee; this has helped speed up the processing of these materials significantly. Thanks to those of you whose staff helped us plan and get this going. Although the lull may be temporary, we are experiencing a lull in monograph orders and new receipts this fall, and are taking advantage of that to make some headway on the "frontlog" of monographs received and paid for, but not cataloged, last year. We have also made a series of decisions and policy adjustments to cope with the reality that new monographs just aren't going to be processed as quickly as they used to be.

    We have a long way to go before any kind of reliable balance (between what comes in and what goes out of the monographic processing workflow) is restored, but I have hopes that continued re-engineering will help. Specifically, I have proposed that we consider re-thinking our fund structure for materials purchases in light of Voyager and materials budget increases. Thanks again to my colleagues who sent me information to help me think about this a few months back. In my view, our fund structure is too complicated (if that is the right word) to allow for effective automation of processes, such as assignment of fund codes to approval materials by profile. I think we need to make some significant changes in order to be prepared to take maximum advantage of some improvements Endeavor plans for Voyager in release 2000. In addition, the fact that our book funds are reflected not only in Voyager but also in the university's accounting system really reduces flexibility and increases work. I suspect that re-allocating the staff time (in TS, Collection Management, and the business office) currently spent churning the fund account numbers, it would really help solve some other problems, including our new cataloging backlog. Needless to say, not everyone in the Library shares my opinion about this. A major library-wide goal for this fiscal year will be to discuss and decide how best to address the important problem of how to keep up with technical processing now and in the future.

    In the mean time, two other challenges are uppermost in the minds of technical services managers right now. First, we are working on a plan for the central technical services units to assume responsibility for a number of activities formerly done by separate technical services staff in the Transportation Library. The Transportation Library will be moving its quarters next summer, and in the process will be making a number of important changes in its service model--including moving some processes to central technical services.

    Second, planning for the management and bibliographic control of electronic resources is on our agenda. The Library is in the process of re-conceptualizing and redesigning its web site. As part of the project (inspired, by the way, by the web site of the University of Washington), we are trying to develop a relational database of information about electronic resources. We are wrestling with the question of how that new database will be fed by (or otherwise relate to) the catalog and other repositories of metadata. Also insuring that electronic materials issues were on our minds this fall: the Library hosted a meeting for teams from the CIC libraries in December to discuss the future of the CIC's Virtual Electronic Library concept and also cooperative digitization issues. As the CIC struggles with questions about what its members can and should do together, Northwestern (and I suspect each individual CIC member library) must struggle with its own vision of the digital library future. I get a headache thinking about it.
See you all very soon.

............................................................................. .............................................................................
Roxanne Sellberg
Assistant University Librarian for Technical Services
Northwestern University Library
1935 Sheridan Road
Evanston IL 60208
tel: (847)467-5359
fax: (847)491-8306

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Update, January 2000
From: Carol Diedricks

    Joseph Branin begins his first day as the 7th Director of the University Libraries at OSU on January 3, 2000. Joe comes to us from the directorship at the State University of New York at Stony Brook. We are looking forward to his arrival with great anticipation.

    Support for the renovation of the Main Library continues to grow. Both University President Brit Kirwin and Provost Ed Ray have publicly committed to the project. In reality, this means the beginning of an 8-10 year process for planning, fund raising and renovation of the Main Library.

    The Technical Services reorganization that was implemented in December 1998 has been settling in as expected and many improvements are evident. For the first time in almost 10 years, we have new librarian faces in the division. These are not additional positions but we had not hired a new librarian in TS in almost 10 years. New Serials Coordinator reporting to the Head, Serials/Electronic Resources, Tschera Connell, began in August 1999. New Non-Roman Cataloging Coordinator reporting to the Head, Cataloging Department, Hee-sook Shin, begins in January 2000 as does new Head, Special Collections Cataloging reporting to the AD for Technical Services, Beth Russell. We have one remaining cataloger position to fill.

    We continue to use OCLC TechPro for Slavic, Arabic and Hebrew materials as well as serials cataloging. In addition, we have just implemented an agreement with the University of Kansas to outsource some Slavic cataloging to them through BCR.

  5. CORC
    As a member of the CIC, we are participating in OCLC's CORC Project for the cataloging of Internet resources. Since we are not yet digitizing original resources, we are focusing our activity for CORC on the cataloging of web sites selected by a small group of collection managers.

    Significant progress was made this year on the last throes of retrospective conversion. We are working in-house on the last categories of material which could not successfully be converted by machine processing. This also included completion of a substantial number of analytics for major microform sets which are identified as the lender for OhioLINK libraries.

      Carol Pitts Diedrichs
      Assistant Director for Technical Services and Liaison to the Regional Campus Libraries
      Editor, Library Collections, Acquisitions and Technical Services
      The Ohio State University Libraries
      1858 Neil Avenue Mall
      Columbus, OH, 43210-1286
      tel: 614-292-4738
      fax: 614-292-7859

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      University of Pennsylvania Update: January 2000

      From: Carton Rogers

        Penn is currently searching for a new head of our Original Cataloging department. In addition to the work of all of the professional catalogers this unit is responsible for all serials cataloging, all rare book cataloging and, currently, all cataloging of digital resources. We're seeking a forward-looking professional to help us create Penn's version of a digital library and to fully integrate the opac with the rest of our digital initiatives. If you know of anybody who might be interested and who possesses leadership qualities (along with a well-developed sense of humor) please have them contact me directly.

        Throughout this past summer and into the fall, we were heavily involved in a library-wide self-study in anticipation of an external review commissioned by the University's Provost and President. All schools and centers at Penn are being reviewed on a rotating basis and this year the fickle finger of fate pointed to the Library. It proved to be a useful experience for us as it helped us focus on our strengths and weaknesses while providing us an opportunity to have our current five-year stategic goals reviewed by an external group of librarians and academics. The review visit actually took place in late October. To paraphrase John Lennon: "I think we passed the audition".

        As Bob Wolven noted in his update, the cooperative ILL project between Penn, Yale and Columbia known originally as CoPY and redubbed Borrow Direct went online in late November. I have nothing to add to Bob's excellent summary of the project other to note how much energy was expended by staff at the three institutions, as well as at RLG, to turn this directorial "vision" into reality.

        Although this topic seems as compelling as a rerun of Wheel of Fortune, it remains a major issue for many of us. Right before Christmas we loaded the final batch of 136,000 titles converted last year by MarcLink. This year we expect to convert at least an additional 145,000 titles. Of the non-rare book collection that leaves about another 140,000 titles classed in the 800s left to convert. Unhappily, of those last 140,000 titles about 54,000 are represented by shelflist cards that are so brief as to be unusable by MarcLink for matching. At this point, those brief cards will have to have some work done on them by staff at Penn before being sent out or we will have to do in-house recon with book in hand.

        This year we created and filled an new Electronic Acquisitions Librarian position in the technical services to coordinate the acquisitions and management of electronic resources. The EAL is working with the Library's Web Manager on the development of a tracking database.

        Our digital catalogers are working closely with the Library's Systems department on a cooperative project between Penn and Oxford University Press to provide access to OUP history books in digital form.

        A project is underway to test the viability of building certain library Web pages for electronic resources directly from the opac record.

        Continuing our efforts to share our expertise and to be part of national initiatives, we became BIBCO participants in 1999. We also have two staff members who are part of the Serials Cooperative Cataloging Training Program (SCCTP). We have also recently joined CORC. Can CONSER be far behind?

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      Princeton Update, January 2000
      From: Richard J. Schulz rjschulz@Princeton.EDU

      =================================== Princeton Update, January 2000

        In December Princeton University Library signed a contract with Endeavor Information Systems to purchase their Voyager system. A test database is already up; initial training commences on January 19th; a plethora of implementation sub committees have been formed. The plan is to go live on OPAC and all technical services/circulation modules on July 1, 2000.

        Between September 1st and December 15th, we successfully migrated all acquisitions and serial control functions and data from Geac to NOTIS and all cataloging functions from RLIN to NOTIS which for the next six months will be our first ever integrated system. This was a Y2K defense measure resulting from Geac's last minute change of plans not to upgrade their GLIS 9000 model to Y2K compliance. The staff did a great job on the migration, with a lot of cross unit cooperation and overtime, such that we had no major problems or backlogs and no hiatus in our record contributions to the national databases. Having all of our functions and data integrated makes the next migration to Voyager that much easier. Organizational restructuring has already commenced focusing on the transfer of the major approval plans from acquisitions units to cataloging units along with some staff transfers and what looks to be some potential staff savings. I will go into this in more detail in the next update when there will be much more to report.

        Our OCLC recon project continues on schedule. Nearly 1.2 million records (out of an estimated total of 1.4 million) have been converted, authority processed and loaded into NOTIS. Around 1/3 of these overlaid brief circulation records representing unconverted titles which circulated on Geac and were migrated when we moved to NOTIS from Geac for circulation last year. The last cards were shipped in December and the project at the OCLC end is scheduled to wind up in March which is right on schedule. We have hired three temporary staff on 18 month contracts to handle clean up and special collections conversion (e.g., Princetoniana). The only remaining unconverted collection will be the CJK collections of Gest Library which will be addressed at some unspecified future time.

        The majority of the work force of the library has been engaged in a massive year-long process to institute a pay-for-performance system for unionized library support staff. This is nearly concluded and the new system is scheduled to go into effect starting July 1. The three main components of the system, all arrived at through a cooperative labor-management effort, are (1) the codification of work unit performance standards to serve as the basis for merit appraisals; (2) a new "appraisal instrument" (i.e., form) which translates standards based performance into quantitative expression; and (3) a distribution algorithm which allocates the annual salary increase pool into merit clusters defined by the annual appraisal. As you can see from the schedule, it will be nearly 18 months before we will know how well this will work in practice. Getting uniform, commonly agreed upon, clearly defined work unit performance standards was, in my estimation, worth the trouble for it own sake.

      5. NEW JSTOR
        The first installment of JSTOR's much anticipated science cluster is about to be released. I am pleased to report that the PUL Technical Services Department^Ňs JSTOR Production Unit was a major contributor in accomplishing that feat.

        In line with what has been noted by several colleagues in this group, Princeton is also experiencing the same PeopleSoft related invoicing and payment problems which are similarly playing havoc with our vendor relations and driving us to distraction.

        I defer to Bob Wolven's summary which is a succinct and complete rendering of the highlights.

        For any who might interested in more detail I have attached a summary sheet I prepared for a presentation to the staff last fall here at Princeton.

        Shepley, Bullfinch, Richardson, Abbott Architects have been hired to design a master plan to serve as the basis of a major renovation of Firestone Library which celebrated its 50th birthday last year. This will include a much needed "facelift" for Technical Services, but also most likely involve a relocation. No details are known as yet. Elsewhere the campus seems to be in the throes of construction everywhere one looks much of which involves parts of the library system. The construction of a Campus Center is nearing completion which will include new reading collections and clusters with access to library databases. As part of the Campus Center project, the Near East Library was closed down and the collection has been permanently transferred to Firestone Library. A new acre of compact shelving was installed to accommodate the addition of these nearly 100,000 volumes to the general stacks which are now the responsibility of Technical Services' Shelving and Annexes Section.

        Technical Services' Reserve/General Periodicals Services unit began a new program this past fall to circulate portable computers and wireless ethernet cards to students. The laptops on loan are loaded with Microsoft Office and all required software to access the internet, the opac and all of the library's other electronic resources. The wireless ethernet cards allow students to connect to the campus network without the need of a jack. Since NOTIS lacks a materials booking module the computers and ethernet cards are controlled through phony catalog records which are suppressed from public display. The service is going well and is very popular.

        We now have a number of senior cataloging staff serving part-time in various public services capacities throughout the library system. Two catalogers are providing reference and patron assistance for the Art Library; one cataloger is working the general reference desk in Firestone Library; one cataloger just finished a 13 month assignment which seconded him to Interlibrary Services patron assistance; one cataloger team teaches a specialized bibliographic instruction course for the Latin American Studies Program along with the collection development librarian responsible for selection in this area. These have all been extremely worthwhile experiences for the public services units involved, which have enabled them to expand their hours and depth of service, and also as a job enrichment experience for the catalogers in question.

      Richard J. Schulz
      Associate University Librarian for Technical Services
      Princeton University Library
      Phone: (609) 258-5297
      Fax: 609-258-0441

      Book Depository of the Columbia-Princeton-NYPL Consortium Forrestal Campus of Princeton University (Plainsboro)

      A Book Depository Consisting of a Central Processing Facility with Multiple Adjoining High Density Storage Modules

      Building & Operations

      • To be contracted to outside independent agency. Consortium appointed director will oversee performance of contractor.
      Physical Plant
      • Each storage module capable of storing 2 - 2.5 million "book volume equivalents."
      • 6-9 modules envisioned as part of the initial agreement.
      • 3-4 modules to be ready by July 1, 2001.
      • Up to 15 modules long term.
      • Environmental controls: 50o F / 35% RH; specially designed air filtration/cleaning system. Separate cold storage vaults (35o F / 25% RH) for color film and acetate based media.
      • Shelving: 35' high; books shelved by size (5 size groups) and stored in trays; three smaller size categories shelved two trays deep per shelf. Can hold approximately 10X the number of books as equivalent building space in normal stacks.
      • Processing facility: 25,000 square feet.
      • Designed to handle intake of up to 2.7 million new accessions per year during initial 2 years of operation. 400,000 accessions per year thereafter - normal (steady state) operations - 200,000 NYPL; 110,000 Columbia; 90,000 Princeton.
      • Average daily circulation transactions: 750-1,000 volumes (each way).
      • Requested items delivered to requesting institution next business day.
      • Will include specialized delivery services: next day fax, rush fax, etc.
      • Books, trays and shelves are all linked through coordinated bar codes.
      • Books of each institution shelved separately, possibly also separated by sub location within the institution.
      • Institution's local library management system forwards request for items to depository inventory control system; latter system periodically (twice per day) generates a pick list of items for staff to retrieve and send to requesting institution. Requested items are "charged out" on the inventory control system which logs only which borrowing institution has the item.
      • Returned items are "discharged" on the inventory control system which generates a shelving "refile list" for operator.
      • Books retrieved and re-shelved by staff on specially designed forklifts called "order pickers."
      • Projected staffing for steady state operations: 17; double that for initial 2-3 years.

      Governance Group

      • Provosts (or the equivalent) and Library Directors.
      • Details of legal issues and overall cooperative goals for the partnership. Decide on cost factors.
      Library Operations Group
      • Collection organization & maintenance officers.
      • Determine the operating program, i.e., how the facility will work and what design and equipment are necessary to accomplish this. Facilities Design and Construction Group
      • Facilities planning officers + contractors + real estate planning officers for Princeton.
      • Build the facility to the operating specifications developed by the Library Operations Group.


      • Architect and construction project management have been hired.
      • Several initial designs have been proposed and revised.
      • "Design Concept" has been approved by the Plainsboro Planning Commission.
      • The inventory control system of the primary vendor in this field has been reviewed by the Library Operations Group plus a sub committee of the system representatives from each institution.
      • The Library Operations Group has prepared an RFI (Request For Information) describing the operational aspects and service requirements of the new facility to solicit bids from contractors who are interested in managing it.
      • The three institutions have all agreed in principle to working out inter-institutional lending procedures. These will likely mirror current internal access and borrowing policies.

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      From: Catherine Tierney

      Stanford University Libraries

        After working the past 12 mos. with Sirsi Corp. enhancing the functionality of its original serials module, SUL and Law began online serials conversion and check-in in September. We have built 13,000 control records for incoming pieces, and we project our 46,000 active serials will be converted by end of summer. It is going well, and OPAC users are delighted with piece level holdings.

        In November we put in place most of the elements of the newly designed workflow and work product of the Catalog Department. Head of Cataloging visited Cornell, Michigan, and Columbia, and consulted with other colleagues to devise a design to: a.) eliminate the concept and reality of "backlog; b.) form a metadata (i.e., non-MARC) unit without additional funding; c.) leverage skills of catalogers to enrich their jobs and their contributions to clients' current and future information needs; d) provide staffing flexibility to support occasional large-scale ("bulk") acquisitions without backloging; and d.) miscellaneous other objectives. Concept document is attached. Stanford Concepts
        New org chart at:
        [10/23/1999 is old version; new one coming very shortly]

        Now known as the Bing Wing of the Green Library, P.S. points opened softly in summer, and full service for fall quarter. General Stack collections move began January 4, 2000. The complete series of moves redeploys 2 million volumes across three buildings and will take about 3 more months for dominoes to settle in this phase.

        Many holdings record changes were driven by machine (through Unicorn APIs); majority are behind us, but next 3 months will have the most complicated changes. Estimate 750,000 hldg record changes overall. Preservation Department was significantly involved with planning and implementing environmental monitoring and problem resolution for the varied challenges of this old building.

        Construction begins in March for another remote storage building on campus. Sited adjacent to SAL I and II, this new building will be high density cool storage (same as Harvard and Yale). Plans are to handle 2.8 million volumes, for ten years of growth. Activation targeted for early 2001. We have yet to determine scope of what is sent there or to deal with any of the record control issues.

        Some recent additions to the model that we put in place over past two years:
        1. EDI for annual serial renewal invoices from Harrassowitz
        2. Shelf-ready prep and EDI for classed as sep standing orders from YBP
        3. Moving forward with reprofiling with Lindsay & Howes with intent to go shelf-ready in 6 months.

        On the public side, we interviewed for Digital Library Program Officer (DLPO) to coordinate the various trials, pilots, and more substantial digital services that have grown up on their own across all of SUL. And to construct a plan for moving rapidly into the future. As that posting is in process, we in TS now are posting our Media Preservation Officer, whose product will overlap significantly with deliverables of the DLPO.

      Catalog Department Redesign

      Stanford University/Philip Schreur/June 15, 1999

      • Rationale
        As Technical Services went through the redesign process in 1996, emphasis was placed on how to better process the bulk of incoming material. It is not surprising, then, that most changes centered around acquisitions and copy cataloging. Although the Catalog Department went through some changes in workflow, it was necessary for the above flows to be finalized before the Catalog Department's throughput could be analyzed. In the meantime, the Department has been very hard hit by staff reductions, both exempt and non-exempt, and additional work as Redesign was implemented. Bulk purchases add an unpredictable and unmanageable burden on a constrained budget. Outside the Department, creative uses of metadata and its treatment/integration into a broader knowledge environment have become an exciting area for exploration. The cataloging code itself is being restructured due to the impact of digital resources and electronic publishing. Models based on automated processing are creating a new demand for proactive quality control.

        The need to respond to immediate needs has prevented the Department from stepping back and reanalyzing its mission based on the realities of the new world order. Technical Services has now made sufficient headway in the redesign process that this is possible. Arbitrary reduction in staff based on retirement and attrition has made this necessary.

      • Priorities and Assumptions
        In a world of shrinking resources, even after exploring developing technologies for more quickly and efficiently processing material, there is simply not enough financial support to process all the material which comes into the Catalog Department following the traditional paradigm. Given this constraint, new priorities must be set in order to create a predictable, accomplishable workflow. The overarching priority of the Catalog Department redesign will be no backlogs at any level. Our fiscal base will not be expanding in any significant way in the future. To defer work to a later date not only hinders access but puts an additional strain on future resources. In the following plan, these assumptions will be made:
        • no significant increase to baseline funding
        • acquisition of physical volumes remains stable with a burgeoning increase in electronic resources
        • bulk purchases have equal processing weight with new, incoming material
        • backlogs are unacceptable
        • alternatives to traditional MARC cataloging are a valid/desirable addition to the SUL knowledge environment
        • SUL reconfirms its commitment to cooperative, national initiatives

      • Key Elements in the Redesign Process
        During the past few years, the Department has been proactive in developing the tools of its redesign. At this point in time, we have had a successful two year functioning of the experimental Classification on Receipt Unit and are better able to assess this proposed replacement to the PUB program. We have also made great strides in our use of Marcadia, RLG's answer to automated copy matching. Marcadia is a key element in the Department's evolution and the redesign of its workflow. Now that we have been able to send PUB95 and the first year of the Classification Unit's work to Marcadia, we are able to evaluate not only the Unit's effectiveness, but the practicalities of automated copy-matching and overlay, aging periods, etc. Our apprenticeship in the BIBCO/NACO programs is nearly complete as well. It is time for us to take our place amongst the other major universities and make a lasting commitment to this greatest of all cooperative programs.

      • Foci
        1. Workflow: Aim for no backlogs at any level; fold bulk purchases into the process. Shift the point of selection for original cataloging to the front end. In the current paradigm, what is left after aging for copy receives original cataloging. The material is often of secondary importance to the overall collection, does not reflect the educational focus of the University, and is in quantities too great to manage. Selecting material at the beginning of the process allows the Department to focus its limited resources on what is most valuable to the Library's mission and never select more than can be cataloged (no backlog development). The remaining material will be aged for copy, put through the automated copy matching and overlay process, and, if no copy develops, receive minimal level cataloging and be sent to the shelves. In order for this process to work, the material must be allowed to flow freely. In light of the amount of material to be reviewed for original cataloging (new incoming material and bulk purchase), the professional catalogers must be given the ability to select for original cataloging. Their new relationship with the bibliographers (see below) and their own professional expertise should position them to make informed decisions.

        2. Professional commitment: Creating access to important or unique resources through various mechanisms, including original cataloging, is one of our unique contributions to the greater world of knowledge and the function on which our national reputation is built. Over the years, our areas of expertise have diminished and no longer reflect the collection strengths of SUL. We must realign our remaining professional catalogers with curatorial strengths and forge close ties between cataloger and bibliographer. This personal synergy and the commitment to growth in the field outside SUL demands a professionals' commitment both to access and subject area. Allow paraprofessionals to do original cataloging in a more production line manner to cover gaps in our professional coverage.

        3. Alternative access: SUL must accept alternatives to traditional MARC cataloging as both desirable and legitimate. The Department must become active in the development of the greater SUL knowledge environment, of which SocII is only a part, and seek ways of using such emerging tools as the Dublin Core in its development. These new methods of organization and access will be essential if the Department is to keep up with incoming access demands. Their use must be seen as a positive step and as an enhancement to traditional access, not as a denigration of service based on cost saving measures.

        4. Pinnacle of excellence: Between SUL and Hoover, Stanford has one of the richest collections in the United States. Maximizing on SUL's breadth of collections and depth of staffing expertise, the Department should take the lead in developing an area in which it could truly excel and gain national prominence.

        5. Enterprise: The Department should try and take advantage of this new avenue of SUL development. One possible area to explore is in the realm of Slavic studies/cataloging. Skill and/or ability to do Slavic cataloging is on the wane in the United States. SUL is blessed with ever increasing Slavic skills and should leverage the situation. The plan could be as simple as becoming an outsourcer for Slavic cataloging.

          My selective visits to other large Catalog Departments in the United States have shown the wisdom of our earlier redesign process. By focusing on the larger portion of our incoming material (those items having some form of copy), we have resolved our most difficult fiscal problems. These strategies have left SUL with a strong base on which the Catalog Department can build in order to move into the cutting edge arenas that have come to be expected of us.

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      From: Carol Hixson

      UCLA's Round Robin Report
      Submitted by Carol Hixson


        As many of you know, UCLA has been working with DRA to implement its new TAOS client/server system for several years. Staff at UCLA and DRA have been working intensively this past year to bring the system (locally named ORION2) up. Initially, it was hoped that we would bring cataloging, circulation and the OPAC up in the summer of 1998. When that became impossible and the time between the original data migration and implementation grew to more than a year, it became necessary to do a second extraction (a gap load) of data from the existing ORION1 database in July 1999. DRA has been providing us with frequent software updates to address issues of performance and stability and there has been improvement, though not as quick as we would like. Staff had already done extensive testing and had begun doing some work in the system in the Spring of 1999. In anticipation of a September 1999 go-live date to the public, access to the old ORION1 system was removed for the public in September and for staff in October. Unfortunately, we were unable to bring the system up to the public when planned and are still working with DRA to be able to bring it up by the start of the next quarter. In the meantime, public users have been using the statewide Melvyl catalog for information about Library holdings. Staff have access to the ORION2 database and also to an archive of ORION1 data. We are using the TAOS circulation module, but information on circulation status is not available to our users without consulting a staff member.

        Ordering of new materials has been taking place in the DRA Classic system since July 1998. Because the acquisitions and serials modules of TAOS are not yet available, ordering continues in Classic. Because of problems with system reliability, pre-order searching has become more onerous and time consuming. Since we are using DRA Classic as a stand alone acquisitions module, we have had to rethink workflows with Cataloging. Staff have shown creativity, flexibility and determination in developing workarounds. There has been a decrease in productivity, as expected, but staff are pitching in where needed to help cover essential functions. While it's a difficult time for Library staff and for the UCLA community as a whole, we are continuing to look toward the future and the days when we can laugh about the challenges we've faced and conquered.


        After asking three vendors to make presentations, YRL switched the domestic approval plan from Blackwell's Book Services to Yankee Book Peddler. So far we have been very pleased with the switch, and feel we are receiving appropriate material on the approval profile. We decided not to include any technical services options in the approval plan, such as receiving catalog records or having books come "shelf ready", while waiting to see how the ORION2 implementation would play out.

      3. CORC

        UCLA is preparing to join the CORC project to help evaluate the functionality of the software, to explore the feasibility of a workflow where a cataloging record originates with a bibliographer, and to evaluate the effectiveness of a tool that produces both MARC records and pathfinders for the same resource and explore ways to reduce duplication of effort locally.

      4. BUDGET

        We received a 14 percent increase to the materials base budget, part of which was designated for collection related processing. The materials budget is now $8.9M. For the first time we were able to establish a sizable permanent fund for licensed electronic resources.


        Susan Allen, Head of Special Collections, was lured away to become the Director of the Getty Resarch Center in July 1999. The search for her replacement is underway.

        Amy Tsiang became the new Director of the East Asian Library in July 1999.

        Brian Schottlaender left UCLA in September 1999 to become University Librarian at the University of California, San Diego. Though we all miss Brian's unique style and many contributions, we were happy for him and helped celebrate his new position with a party that has set new standards for UCLA parties.

        Cynthia Shelton, Head of the Young Research Library Bibliographers Group and former cataloger, became the new Associate University Librarian for Collections and Technical Services in October. Cindy's first few weeks were a trial by fire, as she assumed her new responsibilities just as we failed to bring the new system up to the public when announced. We're all delighted that she decided to stay with UCLA and are looking forward to her continued leadership on this and many other issues. A search for a replacement for the Head of the Bibliographers Group is now underway.

        UCLA has hired its first Digital Library Coordinator, Harold Batchelor, who began his duties a few weeks ago.

        Carol Hixson, Head of the Young Research Library Cataloging Department, is leaving UCLA for the University of Oregon. A search for her replacement will get underway shortly.

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      From: Joyce Ogburn

      University of Washington
      Report Midwinter 2000

      Since I am new to the group as Associate Director for Resources and Collection Management Services (RCMS), let me thank you for the opportunity to reporting on the work going on at UW. I am looking forward to joining the group.

        With the arrival of a new Associate Director, a process of assessing our organization, priorities and processes has begun. Many projects underway to change workflow are being pushed forward. RCMS includes the divisions of Monographic Services, Serials Services, Collection Management Services, and also includes the Preservation officer and International Studies. We are committed to a strong partnership with public services and to being user-centered in setting our priorities and in decision-making.

        Last year acquisitions was merged into monographic cataloging to become Monographic Services. This year we are merging the quick cat operations into acquisitions. At UW Quick catters not only perform copy cataloging but do scanning for digital projects, adding a different dimension to acquisitions. Our US and UK approval plan is also undergoing major review and possible overhaul. It has been tweaked but not systematically reviewed for some time and its effectiveness questionable.

        UW has been participating in CORC and adding records there and in our local catalog. We are going one step further and will be conducting a research project to understand the best application of the harvester by checking its effectiveness against different kinds of sites and comparing its success against original cataloging. We will be looking at how it performs with sites that have meta data vs. those that do not (we will use the same sites and add or strip meta data out to do the study) and how well it performs with finding aids (with and without EAD) to create cataloging records. The pathfinder feature of CORC is also of interest - we want to see whether it can replace or enhance our process for generating subject web pages.

        The creation of meta data for digital projects has been mainstreamed as a natural part of cataloging. For example, the data for the LC Ameritech project on Indians of the Pacific Northwest was created in cataloging units. (BTW, this site should be coming up at LC very soon). We have a meta data implementation group that includes a member of the faculty of the school of library and information science. This spring we will start planning on using EAD for finding aids.

        UW is facing more difficulties than some libraries with the conversion to Pinyin. We have a very large collection, some of which is still in card form or in very brief records. We have the largest holdings in OCLC and will have to rely on them for conversion, as we are not a member of RLG. The East Asia Library shelves journals by title and is at capacity--shifting of materials will be extremely difficult. We have a conversion task force in place to work through the many issues we need to address.

        In March we will be hosting a campus-wide symposium of scholarly communication and will host renowned speakers from across the country. The campus is excited about this event and we anticipate an excellent turn out.

        We will be starting a formal process of preservation planning this spring. Two priorities will be to update our disaster plan and to develop a comprehensive binding policy.

        We have just hired a cataloger for manuscripts and special collections who has extensive experience with meta data and with working with a wide variety of formats of material. We will be searching for a temporary position to provide computer support for International Studies. Our acquisitions librarian is retiring at the end of February and we expect to post that position shortly. We also anticipate that our South Asia Librarian will be retiring in the summer. We have also created and filled a position within Collection Management Services for managing, testing, and assessing electronic resources. This person will also spend time in reference to assist with successfully integrating electronic resources into public services programs.

        The role and future of the catalog will be one of our hot topics this year. We have already begun discussions on the relationship of the catalog to subject web pages and foresee many more discussions to come. As you may know, we use catalog records to generate our digital registry, which in turn creates the subject pages. The digital registry will be reviewed this year to deselect sites that are no longer desirable for our subject web pages. This process is only part of the issue of the future of the catalog, but an important stage in the dialogue.

        We have appointed two task forces to create effective strategies for now and future in dealing with electronic media. The first is e-journals and databases, a group that is far along in its work. The second is e-books and texts, which is just beginning its process. We have also entered discussions with Microsoft regarding the management and display of electronic texts.

        The library is also undergoing a strategic planning process that will help us set new priorities and directions. Assessment of library programs and services will likely be a big part of our future and RCMS will be working with public services in developing an assessment program.

        Parts of the Suzallo Library renovation have begun and the meat of the work will start in the summer. The card catalog will be permanently retired and placed in storage. The shelf list will be retained to support projects.

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      From: Richard Reeb

      Wisconsin Update, January 2000

        1999 will be remembered, with varying degrees of fondness, by our staff as the year when Endeavor's Voyager system was implemented. An intensive and extensive planning effort began a year ago with the analysis of the NOTIS data that was to be migrated. Retraining several hundred staff in the "language" of Voyager was nothing short of herculean. Optimism quickly gave way to frustration as our staff struggled to translate NOTIS procedures into the Voyager environment. The current system design and interface often requires multiple clicks to perform routine tasks, and some functionality we had expected Voyager to support in our multi-library campus environment does not yet exist. As a result, productivity has suffered significantly in technical services, especially in acquisitions. Compounding our problems, we have been beset by numerous performance issues, most significantly users and staff getting "timed out" when working in any of the modules. Endeavor's concerted efforts to correct the problem led to the recent discovery that errors had been made in setting the database parameters for Oracle during the initial load of the database. To rectify the problem it was determined that the entire database had to be reloaded. That major undertaking is being scheduled during intersession and will be done in tandem with the loading of release 99.1. The system was taken down on January 7th and we do not expect it to be available again until January 17th. A non-updatable copy of the OPAC has been made available for the public during the outage.

        We are only about 125,000 titles shy of achieving a significant milestone enroute to full conversion of our cataloged collections. Continuing to manage conversion as an in-house project, we had hoped to be able to celebrate the official--not the popular one recently observed by the world--beginning of the new millennium, i.e., 1/1/2001, by completing the conversion of the LC-classified collections. Having lost some momentum during the past year, wrestling with Voyager implementation, it now appears that we will not achieve our goal until midyear 2001. Nevertheless, progress is inching along at a pace of 5,000-6,000 titles per month.

        We have been working with Yankee Book Peddler to launch a six-month pilot study to evaluate the potential advantages of contracting with our primary domestic monographic vendor for shelfready processing services. Orders began being placed this month against a separate firm order account in the social sciences. We opted to experiment with firm orders rather than approval plan receipts and eschew predictable objections from selectors that processing approval plan receipts would undermine one of the primary advantages of the plan--ability to return out-of-scope items.

        UW-Madison in partnership with the Ohio State University and the University of Minnesota has been awarded funding by the Dept. of Education to develop a searchable "Digital Library" to enhance access to Internet resources relevant to the study of Asia. The project aims to create, within the framework of CORC, a searchable catalog of evaluated and selected links to quality resources from Asia. The project partners will contribute to a DAL Web site that will serve as a comprehensive catalog of up to 10,000 quality Web resources after three years. The project manager will begin her duties this month.

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      From: Ann Okerson


      Here follows Yale Library's report for the Big Heads of Technical Services group. Technical Services at Yale comprises the Cataloging Department (Chief Cataloguer, Joan Swanekamp); Acquisitions Department (Chief Acquisitions Librarian, Viveca Seymour); and the Preservation Department (Head, Paul Conway).

        Overall, the second half of 1999 saw several important developments in Yale's technical services arena:

        Effective 10/1/99, the Library re-organized from three to two AULs, moving technical services within the purview of the former AUL for collections and adding technical services to her portfolio. This organizational structure will likely be reviewed when a new University Librarian takes office, following Scott Bennett's retirement in summer 2001.

        Yale Library is beginning to make plans for a new library management system. Initial explorations will begin in spring of 2000 with the goal of migrating to a new system by late 2002, following the completion of the current retrospective conversion project. Current discussions revolve around organization of the project under a project manager and a constellation of working groups.

        The Yale Library continues to make huge strides in adding to its digital resources (externally accessed and/or licensed). For the first time this past fall, Yale reported to ARL electronic expenditures in excess of $1million, including both local and consortial purchases. This number does not include costs paid to cataloging utilities, though it does include costs of public access (as a collections resource and service) to these. As in other libraries, our librarians are examining the effects of such a major resources shift and all the concomitant changes. As others have observed, the current ILS systems are not very capable of handling all the information that attends e-resources, and we too are conflicted: can we make NOTIS do the necessary, somehow, until we migrate systems, or will we need to establish a complex, parallel database system to handle our new needs? Good arguments exist, pro and con.


        1. CATALOGING

          1. RECON.
            Retrospective conversion is proceeding on schedule, the goal being to convert 2.25 million titles by early 2002. The Library is close to achieving targeted production levels of about 60,000 records per month, largely converted through the services of OCLC. Internal cleanup is proceeding and the bulk of it should be completed in 2003 or 2004.

            The Library Shelving Facility (LSF) has been open for one year. Overall, the facility (under the Public Services umbrella) is operating beautifully. With regard to technical services, policies and processes for transferring materials are in place and working well. The challenges have been many, including:
            1. Selecting materials which are already represented in our online catalog
            2. Ensuring accurate and complete bibliographic and holdings data
            3. Defining standards for bibliographic completeness for monographs, serials, non-print resources and special collections
            4. Creating a processing stream or workflow that insures accurate data in a distributed processing environment

            The Department is continuing to review processes and workflows with an eye toward greater efficiencies and better service. After comparing the hit-rate statistics using OCLC and RLIN for backlog re-searching, staff discovered a much higher hit rate in OCLC. This led to a decision to extend use of OCLC as a first source of copy for the backlog items. Cataloging is also experimenting with vendor batch-matching of backlog files and expects thereby to achieve additional efficiencies in processing these materials. Finally, the Department has converted two support staff positions to 1.5 FTE professional catalog librarian positions to expand its original cataloging capacity and ensure that it is better equipped to deal with its not inconsiderable original cataloging backlog. One more rare book catalog librarian position has been added.

            Cataloging is moving toward full participation, by late winter, in the Program for Cooperative Cataloging BIBCO Program. Meetings are scheduled with all the Library's constituencies to discuss the core record concept. In November, twenty-one Yale catalog librarians were trained to contribute NACO Series records. Judy Kuhagen from the Library of Congress provided the training, which everyone agreed was outstanding. Two Yale librarians participated in the PCC/SCCTP Train-the-Trainer Program and have done their first outside training.

          5. DIGITAL PROGRAMS.
            On the digital resources cataloging front, Yale continues to participate in the OCLC CORC project, though with a limited commitment. We hope to encourage OCLC to expand CORC to also include the VRA standard, the standard in use at Yale for art visual resources. Cataloging staff are working with the Systems Office to develop a mechanism for loading and maintaining catalog records for serial "aggregator analytics." A new term-appointment Visual Media Cataloger position has been created. Residing in the Catalog Department, this librarian will work in close collaboration with the Visual Resources Curator (in the Arts Library) and the Chief Catalog Librarian and Head Catalog Department (Sterling Memorial Library).


            The Yale Acquisitions Department, together with the Systems Office and the Library Business Office, successfully managed the migration to the Oracle accounting system in July 1999. Prior to July, invoices for library resources were paid by running a batch job every night in NOTIS to process invoices approved during the day. The invoice records were reformatted and transferred to Yale's legacy system in a mainframe-to-mainframe process. Beginning in July, the NOTIS nightly invoice batch job is transferred to the Oracle interface tables in a mainframe to UNIX server FTP process. Instead of a single batch, the library now sends a series of 11 batches, or sources, from each invoice processing location in the library organization.

            As part of the Oracle migration, the library implemented the University's new general ledger codes and account structure. The Acquisitions Department trained over 50 acquisitions staff in one week before the cut-over. We have seen the migration of several tasks and responsibilities from central accounts payable down to university departments. The library's Acquisitions Department and Business Office have managed this transition in the current distributed processing environment. Problems (and sometimes baffling ones) continue to pop up unexpectedly, but generally operations have proceeded smoothly throughout the implementation process.

            The Acquisitions Department has been placing more and more orders for out-of-print materials. The use of a purchasing (i.e. credit) card has greatly facilitated the process. The department has managed to cut its vendoring almost in half when selectors use this method.

          3. RECRUITMENT.
            We are saddened at the prospective loss of Vickie Seymour, our wonderful Chief Acquisitions Librarian, to family priorities (effective late January 2000). We will be recruiting energetically and soon for the position, which will bring with it many opportunities for a talented hire, including process improvement and participation in the selection of a new ILS system.

          Two initiatives launched this year are particularly noteworthy.

            In September the department began a seven-year program to clean comprehensively the contents (and the shelving system) of the Sterling Memorial Library 4.5 million volume stack tower. This project follows on the heels of a major renovation in the library. The renovation brought environmental controls, improved lighting, and fire suppression technology to the stacks but left somewhat of a mess in its wake. The Preservation Department has contracted with the New Haven chapter of Catholic Family Services (CFS) to provide the labor force for this cleaning project. CFS is responsible for recruitment, training, and retention of staff and for the purchase of all supplies and materials. The Department's responsibility is largely confined to managing contract compliance based on productivity and quality bench marks. Department staff worked with CFS to prepare a training videotape used to orient new project staff over the life of the project. The contract also has a built-in bonus system to provide productivity incentives.

            As of May 1999, the Preservation Department began making regular shipments of library materials to Preservation Technologies, Inc. in Cranberry, PA, a town near Pittsburgh. The number of volumes in a given shipment varies from 300 to 500, depending on the size of volumes. All materials are bound (although we plan to experiment with loose papers later this year). All materials are highly acidic but not yet brittle, which in practice means publications since 1950. The department considers its initial project to be a success on two counts: (a) materials are processed to and from the vendor efficiently and reliably and (b) the deacidification process works. The books that go through the process are completely deacidified with little or no visible or tactile impact on the books themselves. The deacidification result can be very dramatic. In some cases the shift from acidity to alkalinity is over three orders of magnitude.

            The project is concentrating initially on two collections. The first is a collection of published literature from Burma, a set unique to the United States. Here the choice to deacidify reflects Yale's commitment to this important area of study, the rarity of the materials, and their highly acidic character. The second collection in the project is the US Government Publications Office Serial Set. The Serial Set exists in various states of completeness in nearly every government documents library in this country. It is used daily by readers to provide access to government documents. It also exists in microfilm and could be purchased for use in this format; however, the cost to Yale to acquire the film approaches $200,000. The US Serial set is published on highly acidic paper and is rapidly heading toward brittleness. We know of no plans to create an electronic database from this resource, and so paper is the most appropriate format at this time. It is essential that this resource be useable in its original format for as long as possible. The cost of deacidification is far less than the cost of the microfilm replacement.

            To identify the target collections, we followed a rather rigorous selection process. In essence the Department issued to selectors an RFP that described the mass deacidification process and articulated selection criteria. The RFP process resulted in a queue of acidic collections that selectors determined to have long-term value in their paper formats. The cost of mass deacidification services averages approximately $16.00 per volume, including shipping and handling. During FY 1999-2000, the Library has earmarked $50,000 for this endeavor.

      Respectfully Submitted,
      Ann Okerson
      Associate University Librarian, collections & technical services

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