Developing Requirements for Automated Serials Control Systems

The Serials Librarian ISSN: 0361-526X (Print) 1541-1095 (Online) Journal homepage: http://www.tandfonline.com/loi/wser20 Developing Requirements for...
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The Serials Librarian

ISSN: 0361-526X (Print) 1541-1095 (Online) Journal homepage: http://www.tandfonline.com/loi/wser20

Developing Requirements for Automated Serials Control Systems Richard W. Boss To cite this article: Richard W. Boss (1987) Developing Requirements for Automated Serials Control Systems, The Serials Librarian, 11:3-4, 37-70, DOI: 10.1300/J123v11n03_05 To link to this article: http://dx.doi.org/10.1300/J123v11n03_05

Published online: 18 Oct 2008.

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Date: 15 January 2017, At: 02:27

Developing Requirements for Automated Serials Control Systems Richard W. Boss

I . INTRODUCTION Anyone who has had the most fleeting acquaintance with the development, management or usc of a serials collection is aware of the complex and time-consuming procedures required to control this most valuable but frustrating type of library material. The benefits of the application of automation in other areas of library operations is now well established; it is a natural progression for librarians and systems designers to seek to apply the power of the computer to the control of one of librarianship's most troublesome processes. That this progression is well under way is demonstrated by the range of automated serial control options available. Of 47 bibliographic utilities, serials subscription agencies, automated library system vendors and library software developers surveyed by Information Systems Consultants Incorporated in 1984 and 1985, 20 had operational automated serial control systems by the end of 1984. Another 12 vendors had plans to complete serial control capabilities during 1985, and an additional 10 indicated some degree of intcrest in developing such systems in a less clearly defined timeframe. However, the relatively widespread availability of automated serials control capabilities does not mean that a library administrator's serial management problems are amenable to a quick and easy solution. Current options for the automation of serials management range from a $75 program for an Apple microcomputer, through a $93,750 package of hardware and software for a standalone system capable of managing a collection of some 50,000 subscriptions, to multifunction turnkey systems costing hundreds of thousands of dollars and capable of automating numerous functions in a large library or consortium. The challenge is to select the approach to serials automation that is most appropriate for the unique requirements of a particular library. To succeed in meeting this challenge library staff responsible for the Richard W. Boss is Senior Consultant for information Systems Consultants. Inc. P.O.Box 30212, Bclhesda. MD 20814. Q 1987 by The Haworth Press. Inc. All rights reserved.

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selection must develop a clear understanding not only of the library's current and future needs but also of the state of the art of serials automation. In many situations it will be appropriate to select a system that does not provide for the maximum degree of automated support of all functions that can be achieved. However, it is essential that such decisions be made from a position of full knowledge and recognition of the implications of the choice. This paper addresses several aspects of serials automation: basic questions about the nature and content of the database to be supported by the system; a checklist of the capabilities that an automated serials control system can be expected to provide; the identification of candidate systems; and procurement. The detail and complexity of the list comprising the bulk of this paper is not intended to encourage libraries to seek systems that support all of these capabilities; rather its purpose is to serve as a catalyst to encourage those specifying the requirements of a particular library to investigate their needs in detail.

11. THE BIBLIOGRAPHIC DATABASE To open an examination of automated serial control systems with a discussion of the bibliographic database may seem a classic example of putting the cart before the horse. A moment's reflection will show that not to be the case. The cost of procuring hardware and software or subscribing to automated serials control services is obvious. It is not so clear that the bibliographic database-a term used somewhat loosely here to refer to all the machine-readable files in an automated serials control system that contain data relating to the bibliographic description and local holdings of a serial-also represents a considerable investment. If p~operlyconstructed, the bibliographic database may prove to be the most lasting component of an automated serials system. In a local serials control system hardware will be replaced periodically, softwarc will be upgraded from time to time, and even the total system may be removed and replaced by a different system. If a library has chosen to perform its serial control operations using the centralized service of a utility or vendor, the database is the only tangible product in which the library has any equity, if the service ceases or thc library chooses to change to another method of serials control. A database developed in adherence to the relevant national standards can be used indefinitely, being moved from system to system over a pcriod of years. A library's decisions about the format and quality of the database it develops may be limited by the capabilities of the system on which the database is developed. It will be difficult to record data elements such as

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alternate titles, subject headings, and classification numbers in a system that provides only a limited number of pre-defined fields for the recording of bibliographic data. Similarly, the consistency of the bibliographic database will be lessened by a system that limits the amount of data that can be recorded in a particular field: for some libraries a system that provides only 26 character positions for recording title information might seem adequate, until a subscription is placed for a serial that has a title 30 characters in length. Another library might wish to generate lists of holdings arrangcd by country of publication. This will only be possible if the system permits the creation of a bibliographic record containing information on the country of publication, and allows that piece of data to be distinguished from other data elements such as the publisher's name. To summarize, a bibliographic database is a valuable resource. It can be a lasting resource if it is developed under conditions that permit the creation of a file that will meet both the library's present and future needs. The database is analogous to the 100% rag catalog cards that libraries have been filing in their card catalogs. The cards are intended to last indefinitely and to be transferred to new card catalog cabinets when the old cabinets are replaced. Therefore, decisions about the nature and quality of the database need to be made in advance of the selection of an automated serials control system.

111. SERIALS CONTROL SYSTEM REQUIREMENTS The functions that a library requires in an automated serials control system will vary widely according to the type and size of the library and its serial management and usage practices. A library that routinely discards serial publications 18 months after receipt will have no need for automated binding support; one that subscribes to 100 or so titles will have limited subject description and access requirements; and an institution that subscribes to thousands of titles and is required to allocate each subscription against one or more of dozens of different funds and prepare detailed fund expenditure analysis reports will need sophisticated fund control capabilities. The point is that the requirements of each library are unique and the successful selection of an automated serial control system can only be achieved after careful definition of the needs of the individual library, followed by evaluation of the capabilities of the candidate systems. In the context of evaluating the suitability of available serial control systems, the definition of a library's serial automation requirements does not necessitate a full-scale analysis and documentation of serial operations; such a traditional systems analysis approach is necessary only when

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an institution is developing the detailed specifications for custom programming-an approach not recommended because of the time and cost involved. What is required is careful consideration of the functions and capabilities to be automated; a statement of needs rathcr than the detailed definition of how the system should function to meet these needs. This section contains a checklist of the functions involved in serials control and some indication of the ways in which automated systems approach the fulfillment of these needs. Each of the elements is available from several vendors, but no system will have all of the capabilities described and, equally obviously, few if any libraries will require a serials control system with all these capabilities. It is the responsibility of the staff of the library considering the automation of serials control to determine the specific functional requirements of that library. The checklist should be sufficient to enable library staff to enhance their awareness of requirements and operations so familiar as to become unnoticed. Once the library has performed a first run-through of its functional requirements, selecting from the checklist as appropriate to the library's local practices, the library's statement of functional requirements can be prepared. The process of developing a list of functional requirements for a particular library situation may well result in dccisions producing requirements that are not an exact reflection of the current policies and practices of the library. Under the pressure of day-to-day operations, it is easy to avoid or postpone decisions relating to the implementation of standards such as AACR, the MARC I1 communications format, serials holdings statements, or the evaluation of the suitability of the various sources of copy cataloging. Such issues will have to be resolved in order for a library to precisely define its automated serial control needs. The checklist is presented in columnar format. The columns on the left present the functions involved in the various serial control operations, irrespective of whether or not these operations are performed with the assistance of an automated system. The columns on the right define associated requirements unique to the automated control of serials. Library staff will be assisted in their definition of system requirements and, later, in the evaluation of candidate systems by the development of a profile of the serials collection. Such a profile does not require an exact and exhaustive statistical analysis of the collection. What is required is an indication of quantities and the range of conditions that represent the average and exceptional characteristics or the serials in the library's collection. The profile should include the following information: total number of active serial titles number of ceased titles

Richard W.Boss

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0

0

0

0

0

0

0

0

0

number of new titles added each year types of suppliers (domestic jobber, foreign publisher, etc.) from which serials are obtained proportion of the serials collection associated with each type of supplier number of suppliers of each type number and hierarchical nature of the various funds against which expenditures are allocated number and nature of other types of classification or grouping on which the library has to report financial or statistical information relating to serials average and maximum number of copies per title extcnt to which multiple copies of titles are obtained from different sources extent to which multiple copies of titles receivc different handling and processing frequency and enumeration patterns which dominate in the collection examples of the extreme exceptions in relation to frequency and enumeration any readily available information on the number of items for which claims should be issued, and the number of claims required for a satisfactory response number of copies which are routed number of recipients and locations receiving routed materials

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number of copies which are subject to binding action number of binderies used by the library

General System Requirements

a

a

a

a

a

capable of being operated and maintained by library staff without special programming or sybtems staff capable of maintaining separate files for serials located in different library branch locations capable of combining data from these separate files to producc system-wide reports when required provides ready access to various functions-searching, checkin, record creation and modification, etc.-through the use of clearly inarked function keys uses consistent commands throughout all functions: common procedures for retrieving the next screen of a display; for performing a numeric scarch; for requesting a display with all field tags and other control characters present, etc. provides online instruction in the use of the various functions and readily accessible help screens. Returns user to the point at which help routines were invoked after help data has been accessed. contents of online instruction and help screens capable of being modified by authorized library personnel without assistance of programmers scrcen displays are appropriate

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to the functions in which they appear screen displays are capable of modification-in rclation to both format and content-by authorized personnel offers security control options including password identification and the limitation of certain functions to specific terminals

SearchinglAccessing Capabilities

0

supports library definition of access points to data in all files access points to bibliographic records shall accommodate data in title, alternate title, subject, author/publisher fields, and ISSN; also other control numbers and data in coded fields a variety of searching procedures shall be accommodated including: keywords, with or without a defined context; truncation capabilities; control number access; and the use of Boolean techniques applicable within and among fields capable of identifying occurrences in the file of specific issues of particular titles to enable rapid responses to questions such as "Does the library have Vol. 3 No. 6 of Arena in hardcopy? Where is it located?" the results of searches shall be available both as screen displays and as printed outputs

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Bibliographic Information form of entry in a single entry listing title of the serial variations of title former titles relationship with other publications: merger, division, incorporation, etc association with an issuing body nature of that association name of the issuing body form in which this name is recorded previous names of the body other organizations with which the serial islwas associated place of publication name of publisher previous places of publication previous publishers beginning date of publication current publication status-

continuing/ceased/superseded, etc. current frequency of publication previous frequencies of publication language(s) of publication physical format(s) of publication related indexes, special issues, etc.

Subject Information subject of the publication-expressed in classification subject of the publication-expressed in words abstracting and indexing services which include the publication

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Bibliographic Record Format a

0

a

accommodates bibliographic records in full MARC format accommodates full lcngth bibliographic records permits the creation of abbreviated records in the MARC format supports authority records in full and abbreviated MARC formats retains formatting data internally so that data can be output in the MARC format if required

Authority Control 0

a

a

permits the creation of separate authority files for names, subjects and series records supports the creation of lists of authority file data provides authority control capabilities, including: a automatic recognition and extraction of authority file data from bibliographic records kcyed or loaded into the system; chccking this data against existing authority files to identify and isolatc terms new to the system; a ability to automatically reflect changes made in authority filc records i n all occurrenccs of those terms in the bibliographic file

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Data Entry, Validation, and Maintenance

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0

supports input of records by keying, tape loading and onlinc interfacing with cataloging support systems such as those of the bibliographic utilitiesOCLC, RLIN, UTLAS, and WLN-and standalone systems such as MiniMARC provides formatting screens for manual data entry. Such screens shall provide the maximum degree of automatic display of field tags, subfield codes, etc. provides detailed validation of data input by keying. Such validation to include: presence of mandatory fields; absencc of mutually exclusive fields; checking the alphabetic or numeric characteristics of data cntcred into fields specified as accepting only one of these types of data; 0 confirming that coded data "matches" the codes registered as valid for use in a particular field; chccking the authenticity of specified data elementssuch as ISSNs-that are capable of being validated by check digit calculations such validation shall be performed online with real time feedback to the operator batch validation with printed error listings should also be available

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similar validation capabilities shall bc available for records input from tape or by online transfer degree of system supplied validation shall be capable of adjustment by authorized library personnel without the assistance of programmers provides a range of approaches to modifying records from alteration of a single character or group of characters to replacement of whole subfields and fields and replacement of full records shall implement such modifications online in real time performs appropriate validation of records so modified

Copy Records 0

0

copy specific information such as subscription data, shelving and retention information, holdings, binding instructions, etc. shall be retained in separate copy records. Copy records shall bc linked to the relevant bibliographic record. Bibliographic records shall be capable of accommodating linkages to multiple copy records. single copy records shall be capable of holding data relating to multiple copies of a title if all copies are acquired and handled identically. the concept of a copy record may be interpreted as multiple copy specific records, each accommodating data relating to

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different functionsloperations.

Interfacing If the serials control system is a standalone system, the system shall be capable of interfacing with other cxisting or planned automated systems installed in the library. The degree of required interfacing will vary according to the particular library situation, but may include the following: a capable of accepting tape loading of machine-readable records output by the other sy stem(s) 0 capable of interfacing online with other system(s) for the transfer of data terminals on the serials control system shall be capable of accessing the other syst e m ( ~ )for data base inquiry and messaging 0 terminals on the serials control system shall be capable of accessing the other syst e m ( ~ appearing ) to that system as one of its own terminals, and performing all functions on that systcm These requirements may also be specified as applying from the other automated system(s) to the serials control system. 0 capable of interfacing with the online ordering and information files of the various vendors, as well as the bibliographic record sources previously identified

0

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Automated Functions 0

provide automated support for the following operations in addition to file creation, maintenance, and searching: selection acquisition fund accounting and financial control check-in and receipt processing 0 identification of missing issues claiming of missing issues binding routing 0 production of union list data system may also be required to provide online public access to serial records, offer automated circulation control, and word processing, electronic mail, and report generator capabilities. if the serials control capability is part of a larger automated library system, the serials module shall be fully integrated with other modules and the requirements for operational capabilities described for serials functions shall also apply to all other functions as appropriate

Capabilities Relating to Specific Functions

0

record formats shall accommodate the data elements identified in the description of each task capable of supporting access to these data elements, either sin-

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gly or in combination, and outputting the results of such searches on display screens and1 or as printed products support all applicable library standards Specific requirements for the individual functions are detailed in the following paragraphs. Selection

method whereby item was selected for considcration person who requested the item selection decision: acquire1 rejectlcancellreconsiderlplace on desiderata list, etc. reason for selection decision person making selection decision results of usage evaluations conducted on the title Selection

capable of supporting a file of dcsiderata capable of supporting a file of information on negativc selection decisions, containing information on titles considered for selection and the rcasons for the negative decisions it shall be possible to flag items in both files for the automatic production of reminders to reconsider. Such reminders to be capable of being issucd either on a specified date or as a group including all records which are flagged within a variable, userdetermined time frame

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W.Ross

Holdings a 0

0 0 0

0 0

composite holdings of all copies of this title location(s) of all holdings and copies number of copies received holdings of each copy location(s) of all pieces of each COPY latest issue received gaps in holdings

Holdings

a

Copyright Status a

0

a

copyright status of this item: copyrightedtregistered with Copyright Clearance Center1 copyright expiredhot copyrighted, etc. copying permissions which have been arranged for the title details of arrangements amount of the copyright royalty to be paid for reproducing material from this title

support up to seven hierarchical levels of holdings enumeration capable of defining and displaying the enumeration and chronology data of the most current issue of a title recorded in the system. This capability shall not be copy specific. capable of automatically summarizing individual holdings into a consolidated statement of holdings. This capability to be available for titles and for specific copies.

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payee details: addressicontrol number(s), etc. year-to-date and cumulative copying statistics for this item

Acquisition and Payment

0 0

0

0 0

0

0

0

0

0

0

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0

method whereby this copy is obtained: subscriptionistanding orderlexchange/gift, etc. source of this copy type of source: publisher, subscription agcnt, etc. billing address claiming address contact person at source sourcc's controliidentification number for the title other itcms received from this source actual price paid for the copy currency in which payment is required type of rate: standardidiscounti combinedimernbershipl national, etc. list price for the title national value of an exchange title title against which exchange takes place regular or special delivery period covercd by the subscriptionlarrangement date of expiration of this arrangerncnt deadline for renewal to ensure uninterrupted supply date subscription was paid invoice number against which payment was made chcck number for payment fund from which money was allocated

.

Richurd W.Boss 0

0 0 0 0

a 0

details of previous payments for this copy have back issues been ordered source of back issues extent of order date order placed status of order: open/closed/ pending invoice details payment details Acquisition and Payment a

0

0

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0

capable of processing purchase orders, for single or multiple orders multiple orders shall be capable of being selected for processing on a variety of library-determined paramaters such as: 0 all orders to a single vendor all orders for a specific department or fund all orders authorized in a particular time frame, etc. capable of producing either printed or machine-readable purchase orders machine-readable orders shall bc in the format (to be) specified by the Serials Industry Standards Committee (SISAC) the format of printed purchase orders shall be determined by the library when producing multiple purchase orders, selected for processing on any criteria, the system shall group all orders to the same vendor the library shall have the option of including items on order in any file of serials available for access by the public

SERIAL CONNECTIONS

0

0

0

Check-in and Processing

method(s) whereby check-in record may be identifiedl retrieved: main entry/title/call nurnberlISSN, etc.

support invoice processing produce payment orders and checks produce reports of subscriptions due for renewal within a specified time frame such lists shall include information on price and the fund against which items are allocated support up to xxx separate fund accounts up to four hierarchies of fund accounts shall be accommodated when an order is processed, the appropriate fund(s) shall be encumbered capable of producing a variety of fund analyses including: 0 total expenditure and encumbrances by each funding level, available for selected funds or all funds comparison of expenditures and encumbrances year-todate compared with previous year-to-date 0 proportion of available funds committed year-to-date and previous year-to-date 0 average cost per title in different funds 0 expenditure by vendor

Richard W.Boss

number of copies of item expected natureof item in hand: duplicate1 next expected issue/issue later than expected/missing issue control/location number(s) to be recorded on this copy destination of this copy Check-in and Receipt Processing r the check-in operation shall be

based on the system predicting the expected chronology and enumeration of the next expected issue of those titles which follow a predictable pattern of publication support the check-in of multiple copies of an issuc on a single check-in screen even when thcsc copics arc accommodated in separate copy records for titles with a predictable pattern of enumeration and chronology: check-in of an expected issue shall be accomplished by a minimum number of keystrokes. The operator shall not bc required to key any data onto the check-in screen, except to indicate the number of copies received when this is less than the number of copies expected by the system check-in of issues earlier or later than expected shall be accomplished by thc opcrator keying adjustments to the expected issue information displayed

SERIAL CONNECTIONS

for titles which do not have a predictable pattern of enumeration or chronology, the system shall operate to require minimal keying of data by the operator capable of being modified to accept check-in data by scanning OCR or barcoded issue identification printed on the serials capable of accommodating the input of item specific control numbers in barcode or OCR form from labels affixed to items during check-in processing provide for the automatic production of call number labels and routing slips at the check-in station immediately after an issue is chccked in. This feature shall be capable of being adjusted by an operator so that a group of products are output at the end of a check-in session, or so that the capability can be suppressed altogether capable of printing item specific barcoded or OCR labels at the check-in station to be affixed to items during check-in capable of detection on attempt to check-in an issue which is in excess of the library's identified requirements system shall advise the operator of appropriate action for that issue

support a list of duplicate issues retained, including information on their location

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Claiming

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0

have any issues been missed has the missing issue been checked-in on the record for another copy is the order operational should the item be claimed when should claiming action be initiated are there outstanding claims against this copy number of claim: first, second, etc. frequency with which the item has been claimed results of previous claims: too soon, none, not yet published, out of stock, etc. usual response to claims for this material supplier's deadline for honoring claims claiming address relevant invoice and check numbers

actiontobetaken:reclaim/cancell seek from another source, etc. Identification of Missing Issues 0

capable of automatically identifying when issues of a serial have not been checked-in. Recognition capabilities shall be applied to all types of acquisition situations, regardless of whether or not the title is received on a paid subscription, and shall include the following situations: failure to receive any issues against a new order within a library specified period after

SERIAL CONNECTIONS

the date of expected first receipt recorded when the order was placed failure to receive the ncxt issue within the expected time frame which is automatically determined by calculations based on publication frequency data and a library specified "grace" period in a title with a predictable pattern of publication, receipt of an issue later than expected in a title with a predictable pattcrn of enumeration, receipt of an issue later in the numeric sequence than the next expected issue for title which the library rcceives in multiple copics, receipt of fewer than the required number of copies within a library specified timc period after check-in of the first copy for items which do not have predictable patterns of frequency or enumeration, the system shall scan the records and flag items which have not had any check-in activity within a library specified period system shall permit an operator to flag any item as missing or overdue. Such manual intervention shall override system generated flags

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Claiming

system shall collocate all items flagged as having missing issues for which first claims have not been generated. This file shall be available online and in hard copy for review by library staff prior to the issuance of a first claim the online review procedure shall allow for staff to indicate that an item should be retained on the missing issue list for reconsideration or passed to a claiming file for the generation of a claim. the system shall also be capable of generating claims without staff review of the potential first claim data claims, in printed or machine readable form, shall be capable of being generated for single or multiple items claims shall be generated in conformity with appropriate industry standards, currently the ANSI standard for Claims of Missing Issues of Serials the format of printed claims shall be determined by the library and shall be capable of changes in format and content without programmer intervention support a variety of selection criteria for the generation of multiple claims. Such criteria shall include: claims to a specific vendor claims for issues which

SERIAL CONNECTIONS

0

0

0

should have been received between certain dates, and all claims according to library determined time lags which may be defined for various types of items, the generic definition being capable of being overridden for specific items, the system shall identify issues requiring second and third claims. Before making this data available for optional review by library staff, the system shall determine that the missing item has not been checked in by the library employ similar procedures to identify items for which three claims have been issued without a response being recorded. This file shall be subject to staff review to determine further action. Options for such action shall include the retention of items in the file and the ability to flag them for further review at a later, specified, date. record formats shall provide areas for recording the specific details of responses to claims capable of accepting vendors' reports on claims in machinereadable form

Routing 0

0

accommodate the development and maintenance of routing lists for specific copies of serials routing lists shall include recipients' names, positions and locations, or subsets of that data accommodate both standard and customized routing lists

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capable of automatically prioritizing the order of recipients on routing lists according to the priority of the individual and hislher location globally implement on all routing lists changes in a recipient's name, position title, location or priority once that change has been entered into the system provide ready access-online and printed-to lists of all titles routed to individuals and lists of all individuals receiving specific titles or a specific copy of a title. The capability shall be available for single and multiple individuals, and for titles selected by a variety of criteria system shall produce printed routing lists at the check-in operator's terminal. It shall also be capable of producing such lists individually or in userdefined batches, such as might accord with a single check-in session

Binding

0

indication of whether this copy gets bound condition which triggers binding action: end of volume/end of yearlreceipt of x issues, etc. other material to be included with item policy in relation to retention of indices, title pages, advertisements, etc. type of binding: material, color, method-case, sewn, paper, etc.

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0 0

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0 0

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0 0

SERIAL CONNECTIONS

information to be recorded on bound material type of lettering: typeface, color, etc. name of bindery for this item address of bindery contact person volumes due to be bound volumes now with the binder date sent date due volumes overdue for return claiming action taken response to claim usual performance of this binder other titles handled by this bindery account number for binding this item estimated cost of binding this item fund to which binding of this item is charged amount owing date of most recent payment special instructions relating to this copyltitlelbindery

Binding 0

system shall indicate when an item is ready to be considered for binding. The system shall support a variety of approaches for determining binding readiness. These shall include: 0 upon receipt of a specified number of issues 0 upon receipt of the final issue in a specified level of the enumeration hierachy at regular intervals specified by the library offer the library the choice of

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delaying flagging for binding readiness until any outstanding issues of a copy have been received or removed from the missing issues file items identified as ready for binding shall be made available for staff review both online and in print. It shall be possible to select subsets of this file for review based on a variety of selection criteria including: 0 bindery 0 fund against which purchase of the serial is charged 0 fund against which binding of serial is charged 0 range of dates during which items were flagged as ready for binding the requirement for staff review of the file of items ready for binding shall be capable of being overridden system shall produce the outputs listed below. These shall be output in print but shall also be available online: list of missing issues required to be finalized before item can be processed for binding bindery pickup list showing enumeration and location of each issue required for binding; this list shall be available in both title and shelving location order 0 bindery slips indicating title and copy identification, type and color of binding and lettering, text of lettering, range of issues to be bound,

SERIAL CONNECTIONS

a

treatment of indices, advertisements, etc. a bindery packing lists of all items being dispatched in a single consignment to a specific bindery capable of accepting amendments to the contents of these lists at any stage up to the time that an operator indicates that a consignment has been dispatched system shall adjust the location records of issues being assernbled for binding to indicate binding in process. It should also give an indication of the expected data of return of the volume from the binder system shall automatically identify items which are overdue for rcturn from the binder and shall be capable of supporting claiming action similar to that described for claiming missing issues

Other a

file(s) in which correspondence relating to this titlelcopy is held

Union Listing a

capable of combining reports for separate branch holdings into a single system-wide listing the holdings of individual locations shall be separately listed, together with a symbol for the location. It is not required that the system combine all separate holdings

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individual copy holdings statements should be listed in summary form system shall accept the input of bibliographical holdings data, for titles not controlled by the system, for output in union list products capable of producing union lists in printed form, or on tape for the production of COM products capable of formatting brief bibliographic and holdings records for online or tape reporting to external union lists

Statistical Reports system shall provide a variety of statistical reports, including: number of titles number of copies number of issues checked in by period, by operator ID, by terminal, etc. number of claims issued by type, by supplier, etc. This capability shall not be copy specific

Vendor Performance system shall provide information on vendor performance, including: price compared with "official" subscription price number and proportion of orders for which claims are issued prior to receipt of first issue number and proportion of

SERIAL CONNECTIONS

claims for items from that vendor responsiveness to claims i.e. number of claims settled after first, second and third claim letters and numbcr of claims unresolved after a library-specified period of time following issuance of third claim

Bindery Performance system shall provide information on claim rate and pricing of individual binderies

N.IDENTIFICATION OF CANDIDATE SYSTEMS Having made a decision with regard to the nature and content of the bibliographic and holdings files to be supported, having itemized the current and future capacity requirements, and having completed a list of the functional requirements of the automated serials control system, the next stcp is to identify that subset of the available systems that will support most of the requirements. (In choosing to take advantage of the development efforts of others by opting for an "off-thc-shelf" or existing system rather than incurring the considerable development and maintenance costs of writing or contracting for a custom system, it should be cxpected that there may not be a system that will meet cvery requirement of the library .) The list of vendors in the Appendix will serve as a starting point for the identification of candidate systems. The general library journal and newsletter literature, including advertisements, should be consulted to identify new systems introduced after the compilation of the list. Once the universe of available systems has been narrowed to candidate systems that appear likely to meet the library's particular needs, more detailed assessment should be undertaken. This assessment will have several components: more detailed assessment of system capabilities through inspection of vendors' literature and review of any library literature which describes the systems;

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arranging to see demonstrations of the systems at conferences or in libraries using the systems; assessing the benefits of the various systems: the extent to which they will improve the performance of serials control functions and the identification of the additional benefits such as improved service to users; undertaking research into the actual costs of system acquisition and operation. With some types of systems, such as those based on personal microcomputers this will be relatively easy; with others, especially the distributed systems offered by some vendors and utilities, it is more difficult to estimate the actual ongoing costs involved in using the serials control systems. The author recommends obtaining information from the system vendors and supplementing this by making enquiries of libraries with similarly sized collections that are using the systems for the serial control functions the investigating library is considering using. Cost will not necessarily be the primary determinant in the choice of a system, but library staff have a responsibility to ensure that they have clearly determined the extent of the financial commitment being considered.

The formality of the arrangements for the acquisition and implementation of the serials controls system that has been determined to meet (most closely) the library's specific requirements in terms of functional capabilities, cost and benefits will vary depending upon the total expenditure involved in the purchase and long-term operation of the system or service. A standalone system costing tens of thousands of dollars in hardware, software and ongoing maintenance payments will require much more elaborate procedures than the purchase of a software package for a few hundred dollars. Library administrators considering the purchase of a more extensive system are referred to the author's Library Managers' Guide to Automation and his study of automated circulation control systems, published as Vol. 18, No. 2, of Library Technology Reports. These publications offer detailed suggestions on preparing formal specifications, issuing a request for proposal, evaluating vendor responses, and negotiating a contract with the selected vendor. While such formal procedures will not be appropriate for many libraries seeking to acquire automated support for serials control, it behooves such institutions to be aware of the practices followed in the more complex acquisitions situations. Among the issues that may be identified in this way are: the need to determine the exact nature of support serviccs offered by the vendor. In less complex situations, these may include:

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availability and cost of documentation, training program, availability of advice from the vendor on configuring the required hardware, a availability of telephone advice on using the system, a extent of the vendor's responsibility for correcting any "bugs" in the system software, a software enhancement program, and a recourse available to the library should the system fail to perform as represented; the fact that it is becoming common for libraries to seek to negotiate agreements which offer them some protection should a vendor or product fail to perform or provide the agreed service, and the fact that libraries or groups of libraries can seek to negotiate agreements that limit the degree of escalation in service charges. a

a a

a

a

Other considerations of significance to a particular library may also emerge from a review of the procedures and practices followed in larger or more formal acquisitions programs. The formal approach is essential for a library seeking to procure a system or service that will entail the expenditure of tens or hundreds of thousands of dollars over a five-year period.

APPENDIX SERIALS CONTROL VENDORS Battelle Software Products Centel BASIS Marketing Office 505 King Avenue Room 11-8-1 12 Columbus. OH 43201 (614) 424-5524 BibliaTech Library Software System Camslow Information Serviccs 302 Boxboro Road Stow. M A 01775 (617) 897-7 163 Book Trak Follctt Library Book Company 4506 Northwest Highway Crystal Lake, IL 60014 (800) 435-6170

Capital Systems Group, Inc. 11301 Rockville Pike Kensington. MD 20895 (301) 881-9400

Card Datalog DTI Data Trek I21 West E Street Encinitas. CA 92024 (619) 436-5055

Checkmate CLASS 1415 Koll Circle, Suite 101 San Jose. CA 951 12-4698 (408) 289-1756

Richard W. Boss Aclon, MA 01720 (61 7) 263-2277

CLSl 1220 Washington Street West Newton. MA 01265 (617) 965-6310 Data Research Associates 9270 Olive Boulevard St. Louis, MO 63132-3276 (314) 432-1 100 DOBISILEUVEN IBM 10401 Fernwood Road Bethesda, MD 20817 (30 1) 897-2WO Dynix Inc. 1455 West 820 North Provo, UT 84601 (801) 375-2770 EBSCO Subscription Services P.O. Box 1943 Birmingham, AL 35201 (205) 991-6000 The Faxon Company, Inc. 15 Southwest Park Westwood. MA 02090 (617) 329-3350 Gaylord Bros.. Inc. P.O. Box 490 1 Syracuse. NY 13221 (800) 448-6160 Geac Computer International 350 Steelcase Road West Markham, Ontario L3R 183 Canada (416) 495-0525 Innovative Interfaces Inc. 213 1 University Avenue Suite 334 Berkeley, CA 94704 (415) 540-0880 Maxwell Library Systems Suite 21, 271 Great Road

MetaMicro Library Systems, lnc. 3 1 1 West Laurel, Suite 2 1 1 San Antonio. TX 782 12 (5 12) 224-8455 Northwestern University Library 1935 Sheridan Road Evanston. IL 60201 (3 12) 492-7004 OCLC Subsystem Suppon and Training Section 6565 Frantz Road Dublin. OH 43017 (614) 764-6000 PERLINE Blackwell Library Systems. Inc 3 10 East Shore Road Great Neck, NY 11023 (516) 466-5418 or (800) 645-5395 PHILSOM Network Washington University School of Medicine Library 660 South Euclid Avenue St. Louis. MO 631 10 (3 14) 362-2788 Professional Software 2 1 Forest Avenue Glen Ridge, NJ 07028 (201) 748-7658 Sedna Corporation 970 Raymond Avenue St. Paul. MN 55114 (612) 647-1101 UCLA Library Technical Processing System University of California Library Los Angeles, CA 90024 Unicorn Sirsi Corporation 8106-8 Memorial Parkway

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UTLAS 80 Bloor Street West. 2nd Floor Toronto. Ontario M5S 2VI Canada (416) 923-0890

Virginia Tech Library System Cenler for Library Automelion 416 Newman Library Virginia Tech Blacksburg. VA 24061 (703) 961-5847

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