lib-MOCS-KMC364-20131012113423 $c This subfield will contain all but the first character (or all but the first if a longer escape sequence is used) of every escape sequence found in the record. If the same escape sequence occurs more than once, it will be given only once in this subfield. The subfield is repeatable. This subfield does not identify the default charac- ter sets. Example: l'>l'l~c)W A record containing the ISO extended Cyrillic character set. l'>l'>$c)W$c)X A record 3.4 Discussion-Other Details containing both the ISO Greek and extended Cyrillic character sets. When a field has an indicator to specify the number of leading characters to be ig- nored in filing and the text of the field be- gins with an escape sequence, the length of the escape sequence will not be included in the character count. When fields contain escape sequences to languages written from right to left, the field will still be given in its logical order. For example, the first letter of a Hebrew title would be the eighth character in a field (following the indicators, a delimiter, a subfield code, and a three-character escape sequence). The first letter would not appear just before the end of field character and proceed backwards to the beginning of the field. A convention exists in descriptive cata- loging fields that subfield content designa- tion generally serves as a substitute for a space. An escape sequence can occur within a word, after a subfield code, or between two words not at a subfield boundary. For simplicity, the convention that an escape sequence does not replace a space should be adopted. One other convention is also advo- cated: when a space, subfield code, or punctuation mark (except open quote, pa- Reports and Working Papers 215 renthesis or bracket) is adjacent to an escape sequence, the escape sequence will come last. Wayne Davison of RLIN raised the fol- lowing issue. After the Library of Congress has prepared and distributed an entirely ro- manized cataloging record for a Russian book, a library with access to automated Cyrillic input and display capability will create a record for the same book with the title in the vernacular. (Since AACR2 says to give the title in the original script "wher- ever practicable," the library could be said to be obligated to do so.) In such an event the local record could have all the authori- tative Library of Congress access points. To keep this record current when the Library of Congress record is revised and redistrib- uted, it would be necessary to carry the LC control number in the local record. Most automated systems are hypersensitive to the presence of two records with the same con- trol number. The two records can be easily distinguished: in the Library of Congress record, the modified record byte in field 008 will be set to "o" and it will not have any 066, character sets present field. A Comparison of OCLC, RLG/RLIN, and WLN University of Oregon Library The following comparison of three major bibliographic utilities was prepared by the University of Oregon Library's Cataloging Objectives Committee, Subcommittee on Bibliographic Utilities. Members of the sub- committee were Elaine Kemp, acting assis- tant university librarian for technical ser- vices; Rod Slade, coordinator of the library's computer search service; and Thomas Stave, head documents librarian. The subcommittee attempted to produce a comparison that was concise and jargon- free for use with the university community in evaluating the bibliographic utilities un- der consideration. The University Faculty Library Committee was enlisted to review this document in draft form and held three meetings with the subcommittee for that purpose. The document was also shared with library faculty and staff in order to elicit suggestions for revision. 216 Journal of Library Automation Vol. 14/3 September 1981 A copy of the draft was sent to each utility with a request for suggestions for correction and/or clarification of the report. Each of the utilities responded promptly, and their recommendations were reviewed by the subcommittee and have been incorporated into the report as it appears here. In reading this report two considerations should be kept in mind: (1) the information is current as of December 1980, and (2) the efforts at brevity and jargon-free compari- son may have resulted in oversimplification in some areas. This report is one aspect of the six- months-long decision-making process that led the University of Oregon Library to se- lect OCLC, Inc. (now the Online Com- puter Library Center). INTRODUCTION An online bibliographic utility provides computer services to member libraries who, in turn, contribute computer-readable rec- ords to a common database. The database is a collection of catalog records input by the members and other sources such as the Li- brary of Congress, the Government Print- ing Office, and the National Library of Medicine. Use of the database is online, meaning that each member library accesses the computer directly and carries out its work in an interactive, conversational manner through a computer terminal lo- cated in the library. Communications with the central computer are carried over a leased long-distance telephone line. The bibliographic utility produces two primary products-catalog cards and magnetic tapes of a library's catalog records-and of- fers many other services for processing and bibliographic control in libraries. In addition to providing the products and services of a bibliographic utility through the Research Libraries Information Net- work (RLIN), the Research Libraries Group (RLG) has three other goals: (1) to provide a structure through which common research library problems can be addressed, (2) to provide scholars and others with in- creasingly sophisticated access to biblio- graphic and other forms of information , and (3) to promote, develop, and operate cooperative programs in collection devel- opment, preservation of library materials, and shared access to research materials. The purpose of this report is to provide an overview of considerations in selecting an online bibliographic utility and a compari- son of the three utilities being reviewed by the University of Oregon Library. Each consideration is accompanied by a brief definition or explanation, and a summary of each utility's capability in providing the necessary services or products. An attempt has been made to distinguish between cur- rently available services and those that are planned for the future, but technological and organizational changes in the utilities have complicated this task and, in some cases, made it difficult for the subcommit- tee members to distinguish between opera- tional and projected capabilities. BASIC CHARACTERISTICS HISTORY OCLC OCLC, Inc., was founded in 1967 by the Ohio College Association as the Ohio Col- lege Library Center, to be the first online shared cataloging network. It has since ex- panded beyond the confines of the State of Ohio and is currently used by nearly 2,400 member libraries in the United States and abroad. In 1977 it adopted its present name. RLGIRLIN The Research Libraries Group, Inc. , was established in 1974 by four major research libraries. In 1978 it acquired from Stanford University the BALLOTS bibliographic data system, which became the foundation for RLIN (Research Libraries Information Network), RLG's wholly-owned biblio- graphic utility. Besides being the basis for RLG's cooperative processing activities, RLIN supports its other three programs: Shared Resources, Cooperative Collection Development, and Preservation. RLG pres- ently has 23 owner-members. WLN In 1975 the Washington Library Net- work began testing its online system using as its base a computerized bibliographic data- base that several Washington libraries had been building since 1972. WLN is a project of the Washington State Library and pres- ently has over 60 members, primarily in the Northwest. Membership Configuration OCLC OCLC had 2,392 member libraries, in early 1981, including about 1,300 college and university libraries, 330 public li- braries, 250 federal libraries, 145 special li- braries, 77law libraries, 71 members of the Association of Research Libraries, 168 med- ical libraries, 37 state libraries, and at least 48 art and architecture libraries. RLG!RLIN In December 1980, there were 23 owner- members (21 university libraries, The New York Public Library, and the American An- tiquarian Society), two associate members, two affiliate members, and several museum and three law library special members. Li- braries which formerly contracted for BAL- LOTS cataloging services from Stanford University are still being served by RLIN. These include 52 libraries using RLIN for online cataloging and 136 libraries using RLIN on a search-only basis. WLN WLN had 65 members, in early 1981 , including 34 college and university li- braries, 21 public libraries, two special li- braries, three state libraries, five law li- braries, and the Pacific Northwest Bibliographic Center. Governance Methods of governance are of concern to libraries considering membership inasmuch as they determine to a great extent the re- sponsiveness of the utilities to the needs of their members and the ability of members to participate in setting the direction and priorities for the utility. OCLC A 15-mem ber Board of Trustees holds the powers and performs the duties necessary for governance (including filling manage- ment vacancies and approving policy and budgets). A Users' Council, elected by the members, participates in the election of trustees and represents the interests of the membership in an advisory capacity. It also Reports and Working Papers 217 must ratify amendments to the OCLC Code of Regulations and Articles of Incorpora- tion. Of the 69 delegates to the Council, 44 are from academic libraries. Various advi- sory groups exist representing the interests of special groups within the membership, including a Research Libraries Advisory Group. Twenty regional networks contract with OCLC to provide services to their members. OCLC libraries in Oregon par- ticipate through the OCLC Western Ser- vice Center, Claremont, CA, and are served by OCLC's Portland office. RLG!RLIN RLG /RLIN operates through a Board of Governors consisting of one representative from each full member institution with the President as chief operating officer. Stand- ing committees for Collection Manage- ment, Public Services, Preservation, and Library Technical Systems & Bibliographic Control; and Program committees for East Asia, Art, Law, Theology, and Music are composed of appointees from member insti- tutions and report to the President. WLN An 11-member Computer Services Council is elected directly by the online par- ticipant libraries. Legal responsibility for WLN resides with the Washington State Li- brary Commission. Financial Stability An indicator of a utility's financial stabil- ity is its proven ability to generate sufficient revenues to cover expenses with the least recourse to outside funding sources. Financial stability in a utility is a concern to a library considering membership not only from the standpoint of a utility's mere survival, but because of its implications for future system developments, possible dra- matic fee increases should outside funding evaporate, and maintenance of high qual- ity services and products. OCLC OCLC, Inc., is a not-for-profit corpora- tion, with tax-exempt status having been granted under section 501 ( c)(3) of the Inter- nal Revenue Code . It is self-supporting, re- ceiving no government or private subsidies, 218 Journal of Library Automation Vol. 14/3 September 1981 and issuing no stock. Its revenues alone sup- port existing operations, expansion, and re- search and development activities. Reve- nues result from fees charged member libraries for products and services. OCLGs estimated assets for fiscal year 1980 were over $55 million and its revenues approxi- mately $24 million. Its revenue base is its 2,400 member institutions. RLGIRLIN The Research Libraries Group, Inc., is a tax-exempt corporation owned by its 23 owner-member institutions. Revenues result from fees charged members for use of the RLIN database. RLG currently must supplement this income with foundation grants and loans from Stanford University, because of relatively high development costs and relatively low revenues. As of this year, nearly $5.25 million has been received in grants and a $2.2 million loan was ob- tained, to be repaid by August 1986. RLG has projected that in 1982-83 ongo- ing operating costs will be met by fee- generated income. RLG's Board of Gover- nors recently approved a new income/ expense structure to take effect September 1, 1981: "operating expenses matched by rates for services; system development matched by grants and loans; program and administration matched by a program part- nership fee." This new program partner- ship fee will be a flat annual rate for full members in the range of $20,000 to $25,000. A decline in the number of units cata- loged by member libraries (due in part to decreased acquisitions budgets), which is the basis for fees charged, forced the Board lo inslilute this new fee. Il.LG is encourag- ing member libraries to seek these addi- tional funds from institutional sources out- side the libraries' own budgets. The new financial structure appears to reflect a recognition of the need for outside resources to provide for research and devel- opment for at least the immediate future, and at the same time an effort to reconcile income and expense in the areas of operat- ing expenses and program administration. Its revenue base is its membership of 23 in- stitutions. In the past RLG has estimated that financial stability would be reached when membership reached 35, but it is un- clear how the new rate structure will affect that projection. WLN The Washington Library Network re- ceives revenues in the form of fees for ser- vices and products. As a division of the Washington State Library, it also receives some funding from the State of Washing- ton. WLN has been the recipient of some outside grants, but does not appear to rely heavily upon grant monies to meet ongoing expenses or system development costs. WLN would like to lessen its dependency upon the State of Washington, and has taken the first step by broadening the base of its advisory committee to include out-of- state members. Its revenue base is its mem- bership of approximately 60 libraries. The committee preparing this report does not have information as to the proportion of revenues generated by fees. However, a re- cent (July 1, 1980) 10% increase in service rates was put into effect for these stated pur- poses, among others: "to recover the cost of operation of the computer service" and to "allow a modest margin to insure stability." Track Record in Meeting Past System Developme11t Deadlines Past success or failure in meeting an- nounced deadlines for system developments may be indicative of future performance in this regard. All three utilities are heavily engaged in research and development and, while we are primarily interested in the fea- tures that are presently available, it is also important to try to gauge what each system will look like several years from uuw. The amount of information available to the committee varied according to the utility, so these columns are not directly compara- ble, but merely suggestive. OCLC OCLC tries not to attach dates to its pro- jections because of early failures to meet an- nounced deadlines. However, its interli- brary loan system was implemented one year early and its searching improvements are claimed to be ahead of schedule. The planned acquisitions subsystem had been scheduled for completion in Summer 1980, and is currently being tested by a small number of member libraries. The conversion of OCLC's database to accommodate the new cataloging rules and include new forms of names was completed on schedule in December 1980. The serials union listing capability was also completed on time. (Seep. [224]) RLGIRLIN A study dated August 1978 performed for the University of California listed planned BALLOTS system developments with pro- jected completion dates. This list follows, with actual completion dates or revised pro- jections added: • Network File System (now called "reconfig- ured database" by RLIN) Projected January 1979 Revised projection April 1981 Serials cataloging Projected January 1979 Actual completion late 1979 Authority control system, phase 1 Projected January 1979 Revised projection Spring 1981 Authority Linking and Control, phase 2 Projected Fall1979 Revised projection Spring 1981 Generalized acquisitions Projected Fall1979 Revised projection (in two phases) June 1981, October 1981 Serials Control Projected 1980 Revised projection post-1982 Library Management Information System Projected 1979 No projected date, no resources allocated Book/COM Catalog Interface Projected 1980 Revised projection 1981 WLN WLN's present online system was one year late, and its acquisitions module was also late. The processing of retrospective conversion tapes which had been three months behind was current by early 1981, *Since 1978 the RLG Board of Governors has determined the order of priorities for research and development. Reports and Working Papers 219 with the exception of two special projects. Large-scale system adjustments to ac- commodate new cataloging rules were completed on schedule, as was implementa- tion of roll-microfilm catalogs. Database Size and Components The size and makeup of the utility's data- base is of concern to libraries considering membership because those factors have the greatest bearing on the library's likelihood of obtaining a large portion of its cataloging information from the system. OCLC Size. Over 7.1 million bibliographic records (February 1981) Books: 4.9 million (October 1979) Serials: 341,000 (October 1979) Other: 340,000 (October 1979) Name authority records: 500,000 (est. by 1981) Formats Available. Books Serials Films (AV) Maps Manuscripts Music recordings Music scores Sources of Data. Member-contributed records Library of Congress-produced Machine- readable cataloging records (MARC) (1968 to date) Government Printing Office-produced rec- ords (cataloged directly into OCLC by GPO) CONSER records (Conversion of Serials- a project of 15 major libraries to produce machine-readable serials cataloging rec- ords). Data are entered directly into OCLC, then authenticated by the Li- brary of Congress and the National Li- brary of Canada. National Library of Medicine-produced records Additional sources include the following databases: Canadian MARC serials Minnesota Union List of Serials Pittsburgh Regional Library Center Serials 220 Journal of Library Automation Vol. 14/3 September 1981 RLG/RLIN Size. Over 3 million bibliographic records 0 une 1980) Books: 2.5 million (June 1980) Serials: 460,000 (June 1980) Authority records: 1.6 million (early 1981) Formats Available. Books Serials Films (AV) Maps Music recordings Music scores Sources of Data. Member-contributed records MARC (excluding 1968- 1972) GPO records (to be added Spring 1981) CONSER records Cataloging records from Columbia and Yale Universities and University of Minne- sota Biomedical Libraries, previously put into machine-readable form, have been added to RLIN. Records from the New York Public Library, Northwestern and Pennsylvania State Universities will be added in the near future. Additional sources include the Avery In- dex to Architectural Periodicals. WLN Size. 2 million bibliographic records (January 1981) Authority records: 2.3 million (January 1981) Holdings records: 2.3 million (December 1980) Formats Available. Books Serials Films (AV) Music recordings• Music scores• Sources of Data. Member-contributed records MARC (1968 to date) GPO records CONSER records (except those not yet au- thenticated by the Library of Congress) Machine-readable records from the Uni- versity of Illinois will be added to WLN's • Awaiting implementation by the Library of Congress. database on a weekly basis by mid-1981. Records from certain libraries in the South- eastern Library Network (SOLINET) will be added in the future, ,as part of an ar- rangement whereby WLN made its com- puter software package available for use by Illinois and SOLINET. RESOURCE SHARING Interlibrary Loan (ILL) ILL is the process by which library mate- rials are lent and borrowed by libraries in the U.S. and foreign countries. A biblio- graphic utility provides two tools to aid in this process: an online union catalog used to determine which library owns the needed material, and a message switching system used to communicate among libraries and to carry out the transaction. ILL at the Uni- versity of Oregon Library is currently ac- complished using a large number of printed union catalogs and is communicated by mail or Western Union teletype. A biblio- graphic utility will not completely replace ILL transactions carried out in this man- ner. The number of requests for materials from the library collection will probably in- crease due to the "visibility" gained in the online union catalog. OCLC The OCLC database provides the largest online union catalog through a holdings record listed with each catalog entry. The ILL message system transfers records from the database to the lending library in a re- quest form, automatically sends the request to up to five libraries, generates records on the status of each request, and provides sta- tistics on ILL transactions. OCLC ILL transactions are generally faster than tradi- tional methods of interlibrary loan because of the ability to move data directly from the online union catalog to the request form without re-typing and the ability to have requests automatically forwarded if a li- brary is unable to fill the request immedi- ately. OCLC's ILL subsystem has been in operation for a year and participating li- braries have reported general satisfaction with its performance. RLG/ RLIN The RLIN database provides an online union catalog through a holdings record listed with each catalog entry. Materials not located in the RLIN database may be referred to the Bibliographic Center at Yale University for further manual searching through printed union catalogs. The RLG Message System may be used to create and send ILL requests to other RLG libraries, though this system is not specifically de- signed as a comprehensive ILL support sys- tem. The Shared Resources Program com- mittee has recently formed a task force charged with the responsibility to create a functional specification for an automated interlibrary loan system, and to determine the priority for its implementation. RLG resource sharing policy requires members to give priority to ILL requests from other RLG members, to suspend fees to members, to provide on-site access to users from mem- bers' libraries' institutions, and to provide free photocopies of non-circulating mate- rials. WLN The WLN database provides an online union catalog through a holdings record listed with each catalog entry. This online union catalog includes the local library call number and, for serials, the specific hold- ings of the library. The WLN Resource Di- rectory is a microfiche listing of the biblio- graphic and holdings information in the database. WLN offers no message switch- ing system for ILL, though this is their highest priority for future development. In cooperation with Pacific Northwest Biblio- graphic Center, WLN is planning experi- ments with a message switching system for interim use until the comprehensive ILL system is developed. Cooperative Acquisitions Cooperation in purchasing library mate- rials is done in order to minimize the dupli- cation of expensive purchases and to ensure that important works are easily available to users of the library, whether they are actu- ally owned or not. OCLC Member libraries may search the data- base to determine the holdings of particular items by other member libraries, in order to Reports and Working Papers 221 avert undesirable duplicative purchases. RLGIRLIN Members actively coordinate purchases of certain categories of materials in desig- nated fields in order to avoid extensive du- plication and to ensure that at least one copy of every item of research value be ac- quired by a member institution. In support of this effort is an automated "cooperative purchase file," containing limited bibliographic information and ac- quisition decisions of RLG members for all new serials on order and for all expensive items ($500 or more). Member institutions agree to develop conspectuses reflecting their level of hold- ings and development in certain fields (sub- jects, language, and formats). These con- spectuses are time-consuming to develop. A survey of holdings in Chinese, Japanese, and Korean languages has been finished by 12 members. Older members have com- pleted Language and Literature, Fine Arts, Philosophy, and Religion. History is ex- pected by March, 1981, to be followed by the hard sciences. Based upon these con- spectuses, RLG members will build a system-wide collection development pol- icy. New members are expected to begin work on their conspectuses as soon as possi- ble, but not necessarily immediately after joining RLG. WLN Members may search the database to de- termine the holdings of particular items by other member libraries, in order to avert undesirable duplicative purchases. Li- braries may also search the in-process file to determine if items are on order by one of the 23 libraries using WLN's Acquisitions Sub- system. Support for Collection Development Activities A bibliographic utility is potentially use- ful for collection development in that it pro- vides a large file of bibliographic records that may be searched to assist in a) deter- mining the existence of published materials in specified categories (on a particular sub- ject, by a particular author, in a particular series, for example), and b) obt~ining cor- 222 Journal of Library Automation Vol. 14/3 September 1981 rect bibliographic information about spe- cific items to assist in ordering them. Im- portant features in a utility in this regard are database size and variety of access points (subject, author, series titles, etc.). OCLC Useful access points by which the data- base may be searched include: • Personal author • Corporate author • Title • Series title • Variant names (e.g. Clemens or Twain) • Conference names The database must be searched using a "search key" (a code based upon a sequence of initial letters in the words to be searched), not real words. RLG/RLIN Useful access points by which the data- base may be searched include: • Personal author • Corporate author • Conference names • Title • Series title • Subject heading or call number range (excluding items cataloged by the Library of Congress) • Publisher, using a truncated ISBN (In- ternational Standard Book Number) [re- stricted to items cataloged by the Library of Congress] A search of RLIN is likely to produce multiple records for particular items be- cause an item held by more than one mem- ber will be displayed for as many libraries as have cataloged it through the system. It is projected that by April, 1981, RUN's "re- configured database" will have solved that problem by attaching holdings information to one unified record. It will also have merged the two bibliographic subfiles (Li- brary of Congress and member cataloging) so that access by subject heading, call num- ber range, and ISBN will be available for the entire database. WLN Useful access points by which the data- base may be searched include: • Personal author • Corporate author or corporate author keyword (keyword searching permits the user to search for items using either the full heading: American Society for Information Science; or words from the heading: "soci- ety" and "information. " This capability is useful when the complete phrase is not known.) • Title • Corporate or conference author/title series (keyword) • Series title or truncated series title • Subject heading and/or subdivision or truncated subject heading • Corporate and conference name sub- ject headings (keyword) Preservation of Library Materials All bibliographic utilities, because of their function as a union catalog of their members' machine-readable cataloging in- formation, have some usefulness for li- braries making decisions about preserva- tion priorities. A library may, for example, choose to give preservation treatment to item A rather than item B because item B is owned by several other libraries in the vi- cinity, whereas item A appears to be unique. It must be remembered, however , that many older items will not appear at all, because they were cataloged long before the utilities came into existence. OCLC Members may search holdings informa- tion in the database to determine the rela- tive rarity of an item that is a candidate for preservation treatment. RLGIRLIN Members may search holdings informa- tion in the database to determine the rela- tive rarity of an item that is a candidate for preservation treatment. A computerized list of members' micro- preservation activities is provided. Experimental programs are conducted to test new preservation technologies and ap- plications of existing processes . Preservation microfilming is being done for members by staff at Yale and Princeton. Funds are provided to members for pres- ervation activities. r These activities are part of RLG's Preser- vation Program, one of its four major pro- grams. WLN Members may search holdings informa- tion in the database to determine the rela- tive rarity of an item that is a candidate for preservation treatment. TECHNICAL PROCESSING Acquisitions The steps by which the library purchases books and other materials include: l. Pre-order searching to determine that a requested item is not already owned by the library or on order. 2. Selecting a dealer likely to be able to supply desired item. 3. Placing the order. 4. Receiving the item. 5. Clearing the order records. 6. Processing the invoice for payment. 7. Maintaining precise accounting of all book funds. 8. Inquiring about the status of items which are not received when ex- pected. 9. Cancelling orders and adjusting ac- counting records when items are not available. At the UO most acquisitions forms and files are created and maintained manually. In an automated acquisitions system the placing of the initial order generates an ac- quisition record for each item, which is up- dated as the item moves through the cycle outlined above. This eliminates the need for maintaining separate files according to the status of an order. OCLC Operational. OCLC has an online name- address directory which presently can be searched while using other OCLC subsys- tems. This file contains information about publishing, educational, library, and pro- fessional organizations and associations. This information will be automatically transferrable to forms being produced on- line. Planned. OCLC's Acquisitions Subsys- tem, which is presently being tested by se- Reports and Working Papers 223 lected member libraries, is projected to be generally available in Spring 1981. When operational the Acquisitions Sub- system will permit users to: Place orders for all types of bibliographic materials (forms generated will be sent directly to supplier with copy to library) Renew subscriptions Request publications or price quotations Create deposit account orders Send prepaid orders Cancel orders Create and adjust fund records Receive periodic fund reports RLGIRLIN Operational. RLIN does not have an op- erational Acquisitions Subsystem. Stanford University is continuing to use a system de- veloped as part of BALLOTS. Planned. The RLG Board of Governors has approved functional specifications for an Acquisitions Subsystem to be introduced in two phases. By June 1981, RLIN plans to have a centralized in-process file which will contain records of all new orders, gifts, sub- scriptions, etc. of members, and will be able to support non-accounting aspects of the ac- quisitions process. The capability to store and maintain an online book fund account- ing system will be achieved in October 1981. RLIN expects to be able to support all files, processing, and products necessary to establish, coordinate, and monitor mate- rials acquisitions from the point of selection decision, request, order, or receipt through completion of technical processing activity. WLN Operational. WLN's Acquisitions Sub- system, which has been operational since May 1978, is comprised of four files: 1. In-process file which supports the ma- jority of acquisitions activities. 2. Standing orders file which has records for subscriptions and other items which are renewed or reordered on a continuing or periodic basis. 3. Name and address file which contains names and addresses of book dealers and other vendors, main libraries, branch libraries, etc. 4. Account status file which provides ca- 224 Journal of Library Automation Vol. 14/3 September 1981 pability to maintain up-to-date ac- counting. Information keyed into the terminal during the day is entered against the accounts nightly and is re- flected in the account totals available online the following day. Records of completed transactions are transferred to a magnetic tape history file and can be used for generating statistical and other reports. With each step of the order cycle, appro- priate forms and reports are generated. Special system reports reflecting the status of the four files may be generated on re- quest. Instructions entered at the time of the initial order provide for automatic genera- tion of notification forms for individuals re- questing the specific item being ordered or inquiry notices for materials not received after a specified period. Planned. Further refinements of the pro- cedures and capabilities of the system. Cataloging The creation of a cataloging record in- volves: I. Describing an item 2. Assigning headings for names of per- sons or organizations and titles by which the user might be expected to seek the item in the catalog 3. Assigning a unique call number which will place the item with others of a similar nature, and 4. Assigning subject headings which re- flect the content of the item. Because most libraries collect many of the same materials, the concept of sharing the responsibility for cataloging was devel- oped which makes materials available more quickly at reduced cost. With the establish- ment of national and international catalog- ing rules and standards, and the growth of large online computerized databases, it is becoming increasingly feasible to have each item cataloged only once with that catalog- ing information available for all libraries to use. The Library of Congress catalogs ap- proximately 250,000 titles per year into machine-readable form . This cataloging is available through each of the bibliographic utilities and may be used for the creation of local catalogs. When the Library of Con- gress has not yet cataloged a specific item, a utility member library may prepare the cat- aloging according to specified standards and enter its cataloging into the database for use by other member libraries and for its own catalog. Another aspect of the cataloging activity is the creation of a local database which can be used as the basis of not only the local library catalog, but also of a local circula- tion, acquisitions, and serials system, as well as for regional union catalogs. In order to provide total access to a library's collec- tion in this machine-readable database, in- formation concerning every item in the li- brary must be entered into the system. This process is called retrospective conversion. During the retrospective conversion process the library can choose to eliminate existing inconsistencies in the treatment of library materials including reclassifying books so that most materials are retained in one main classification system. The University of Oregon Library has as a long-term goal completing total retro- spective conversion of its collection so that all materials can be searched and located in an online catalog. OCLC Operational. OCLC's online Cataloging Subsystem has been operational since 1971. Based on the experience of similar libraries, the University of Oregon Library might ex- pect to find entries in OCLC's database for over 90 percent of the items searched . • These cataloging records can be modified online or accepted as is. The local library's symbol is added to indicate that it has used the cataloging record and then presorted, alphabetized catalog cards are ordered. The cards are printed overnight and shipped on a daily basis. Many OCLC li- braries print their call number labels by means of a printer attached to their termi- nal. Once a cataloging transaction has been completed, it is not possible to retrieve your local modifications online in the OCLC sys- tem. The record of your transaction is stored and sent to your library on magnetic tape on a periodic basis. These magnetic archive tapes can be used by a vendor or •see footnote on page 225. local computing center to generate a local microform or online catalog, run a circula- tion system, etc. It is presently possible to catalog most types of materials in the OCLC system in- cluding books, serials, microforms, motion pictures, music, sound recordings, maps, and manuscripts. Increased emphasis has been placed on quality control and adherence to specified standards in the creation of cataloging rec- ords, but there is no official editing of cata- loging records by OCLC staff. In 1979-80 nearly 45 percent of the activ- ity on OCLC's Cataloging Subsystem was related to retrospective conversion. OCLC's large database, extended hours of service, and special pricing schedules for retrospective conversion and reclassifica- tion make it attractive for these activities. OCLC charges 60 c~nts per retrospective conversion record during hours of peak sys- tem activity (prime time) and five cents per retrospective conversion record during less busy hours (non-prime time). Planned. OCLC continues to explore means of improving quality control. After moving their central facility to new quar- ters in early 1981, OCLC will reconsider the possibility of storing and displaying the number and location of local copies of a title. RLGIRLIN Operational. At this time the University of Oregon might expect to find cataloging available for 70 to 90 percent of its ongoing work in RLIN. t A search of RLIN's data- base retrieves multiple records because each library's records are stored separately. The Reports and Working Papers 225 library selects the desired record, modifies or accepts it, enters the library's symbol, and orders cards which are printed nightly and sent in presorted, alphabetized batches. No call number labels are pro- duced, and it is not presently possible to print labels from the terminal. Local library modifications are accessi- ble online. Magnetic tapes or cataloging transactions may be purchased and used to create local online or microform catalogs. Most materials may be cataloged with RLIN including books, serials, microforms, motion pictures, music, sound recordings, and maps. Member libraries agree to catalog in con- formity with RLIN standards, but there is no formal editing of records by RLIN staff on an ongoing basis. Sample quality check- ing is the responsibility of a newly-created position of Quality Assurance Specialist. With only 23 owner-members, RLG must carefully consider the impact on the system of allowing individual members to undertake retrospective conversion proj- ects. Each project must be approved by the Board of Governors, and members are en- couraged to seek outside financial support rather than asking RLIN for reduced rates. RLIN has just received a 1.25 million dollar grant including $600,000 to support retro- spective conversion projects. RLIN does not charge for retrospective records which are completely recataloged and upgraded with the book in hand. The prices for other levels of retrospective conversion cataloging range from fifty-five cents to $1.85 per rec- ord. Planned. In April 1981, RLIN plans to reformat its database so that there will be t A wide range of success rates for searching each system are cited in the literature, each dependent on the sample procedures used. The University of Oregon Library had 100 items searched against each database. This sample excluded books with printed Library of Congress card numbers, and included books, serials, microforms, music scores, recordings, documents, and non-book materials. Of this sample OCLC found 96, RLIN found 65, and WLN found 38. The range of figures cited in this report allows for variation between studies cited in the literature, word-of-mouth reports from librarians using these systems, and the University of Oregon Library's own sample. An analysis of this sample is being prepared. Recent comparisons of searching success are found in the following: Linking the Bibliographic Utilities: Benefits and Costs, submitted to the Council on Library Resources ... by Donald A. Smalley [and others). Columbus, Ohio, Battelle, 1980; Matthews, Joseph R. , "The Four Online Bibliographic Utilities: A Comparison," Library Technology Reports 15:6 (November-December 1979), p. 665-838; Tracy, Juan I. and Remmerde, Barbara, "Availability of Machine-Readable Cataloging: Hit Rates for BALLOTS, BNA, OCLC, and WLN for the Eastern Washington University Library," Library Re- search 1:3 (Falll979), p. 227-81. 226 ] ournal of Library Automation Vol. 14/3 September 1981 only one copy of each cataloging record. Member libraries' symbols and local cata- loging information will be displayed with the appropriate records. WLN Operational. Based on the experience of others, the University of Oregon Library might currently expect to find cataloging records available for 50 to 70 percent of its ongoing work in the WLN database. • Li- braries search WLN's database, accept or modify the cataloging records, and order cards and labels which are printed nightly and shipped weekly. (Card sets are not pre- sorted for filing.) Local cataloging information is accessi- ble online through the library's WLN ter- minal. Magnetic tapes of a library's cata- loging transactions may be purchased to run a local online or microform catalog. WLN also provides microform catalogs on either microfilm or microfiche. Books, serials, and audio-visual mate- rials, but not music, sound recordings, and maps may be cataloged on WLN's system. Libraries cataloging in WLN must con- form to well-defined WLN standards. New cataloging records go through an edit cycle and are reviewed by central WLN staff be- fore being added to the WLN database. Presently this review takes about two weeks. During this period, the cataloging record may not be retrieved online. The WLN batch Retrospective Conver- sion Subsystem has been operational since August 1980. Using this system a library en- ters brief cataloging records which are col- lected by the system and searched later as a unit through the WLN database. Records for which a match is found are billed at six cents. Records not matched are billed at one cent and may be searched again at a later date. Over 30 WLN libraries are using this capability, which can be made available to non-members under special circumstances. Planned. WLN is considering dispersing among selected member libraries responsi- ~ility for editing member-created catalog- mg records. WLN :will make music catalog- ing available within the near future. •See footnote on page 225. Serials Check-in Serials are publications issued in succes- sive pa~ts be~ring n~merical or chronologi- cal designations whiCh are intended to be co~tinued indefinitely. They include peri- odiCals; newspapers; annual reports and yearbooks; i?urnals, memoirs, proceedings an~ transactiOns of societies; and numbered senes. The average research library will have between 15,000 and 20,000 such titles. Precise data must be maintained to enter ~ach issue as received, to discover missing ~ssues, to requ_est replacements for missing Issues, to momtor accounting information, to ~enew or cancel subscriptions, and to mamtain binding information. Serials files contain such information as title, relationship to earlier publications, name and address of publisher volumes the library owns, call number a'nd location date, volume, and number of each issue' date each issue was received, subscriptio~ dates, price, etc. At_ t?e University of Oregon Library all of this mformation is maintained in manual files. Once the serials check-in operation is co_mpute~ized, it is possible to generate a w1de ~anety of serials finding lists, analyses of senals subscriptions by subject, location, department, etc., and to provide current serials information online. OCLC Operational. OCLC introduced its Se- rials Control Subsystem in 1976 and im- provements to the system in 1979. Partici- pants create online local data records with information necessary to monitor and con- t~ol each iss~e o~ each serial received by the hbr~ry. I_nshtutwns can check-in currently received Issues online. ~- recent ancillary to this system is the ability to create and maintain online a co- operativ~ r~or~ of serials owned by any group of mshtutwns (a union list of serials). Pl~nned. OCLC plans to continue up- gradmg the capabilities of its Serials Con- trol Subsystem as needed. RLG!RLIN Operational. None. Planned. Automated serials check-in is one of several items listed for consideration after current development activities are re- leased, probably in late 1982. No resources are presently committed to this project. WLN Operational. While WLN has no current serials check-in capabilities, it does support maintenance of serials subscriptions in the Acquisitions Subsystem, including auto- matic renewal and reorder reminders. WLN also produces union lists of serials. Planned. WLN is investigating existing commercially-created check-in systems to see whether they can purchase an existing system to incorporate into WLN's services. Management lnfonnation Precise up-to-date information concern- ing library operations can be very useful in planning improvements in library services and in attaining efficient utilization of available personnel, resources, and mate- rials. Without the computer, the laborious record-keeping necessary to obtain useful management information almost negates the benefits of having the information. OCLC Operational. OCLC produces catalog- ing, interlibrary Joan, and serials check-in system use and system performance statis- tics on a regular basis. Libraries can make local arrangements to create additional analyses of the information stored on sub- scription archival tapes of their local cata- loging activity. OCLC offers semimonthly, monthly, or quarterly accession lists of new materials cataloged by each library. These lists may be in call number or subject se- quence. OCLC has produced some special studies for institutions based on their cata- loging records. Planned. When the Acquisitions Subsys- tem is operational, libraries may choose to receive a cumulative, monthly Fund Activ- ity Report and a periodic, cumulative Fund Commitment Register. These reports will provide institutions with current financial control data. OCLC plans to continue to develop its ability to provide management informa- tion. Reports and Working Papers 227 RLGIRLIN Operational. System use statistics are provided in the form of the monthly in- voice, which may be used to monitor cata- loging and public service activity, and may be broken down into appropriate accounts by pre-planning. Lists in call number order of materials cataloged by a library into RLIN could be produced from local printers attached to the terminal. Planned. The generation of management information is a future development proj- ect; no special management reports are pre- pared presently. Among the management reports included in the specifications for the Acquisitions Subsystem, projected for im- plementation by October 1981, are status reports on in-process files, materials await- ing receipt, materials received, and book fund balances. WLN Operational. WLN produces aggregate system activity reports monthly, but does not analyze the cataloging activity or sub- ject holdings. WLN's Acquisitions Subsys- tem can be used to produce acquisitions- related management reports concerning account transactions, account history, standing orders, renewals and reorders, re- ceipts, detailed encumbrances, etc. A mi- croform accession list by title is available. A general-purpose text-editing facility may be used by management to maintain data not derived from WLN operations and to pro- duce formatted reports of this data. Planned. WLN is developing the capabil- ity to store and maintain detailed collection information for each library online, includ- ing copy numbers and location symbols for each copy of a title owned by a library. No specific management information plans have been outlined at this point. PUBLIC SERVICES Reference Use of the Utility's Terminal A bibliographic utility has potential for use in library reference services in three ma- jor areas: 1. Verification of bibliographic infor- mation. The utility's database may be searched for cataloging information 228 Journal of Library Automation Vol. 14/3 September 1981 not in the UO Library catalog. A veri- fication search is made to locate a complete catalog description of a spe- cific, known item and is carried out most easily using one of the unique numbers assigned to a publication (Library of Congress Card Number, International Standard Book Num- ber, etc.). If one of these is not known, a combination of author and title words, or a "search key"• based on author and title is used to retrieve the information. Verification places a greater reliance on the quality of bib- liographic information in the utility's database than on search techniques used to locate the information. 2. Compilation of subject bibliogra- phies. The utility's database is searched through words in the titles and subject headings in a biblio- graphic record in order to produce a list of materials on a given subject. This subject query can be modified us- ing the logical relationships AND, OR, and NOT to indicate, respec- tively, limitations, synonyms, or ex- clusions in the search. The ability to obtain a printed list of references is convenient, if not required. 3. Compilation of author bibliogra- phies. The database is searched to find all material created by a particular individual or corporate body. The size of the utility's database is a major consideration, as is the source of the cataloging found in an author search. Again, a printed list is necessary. OCLC The OCLC database can be searched in a variety of ways to support reference ser- • A search key is a code based on a certain number of characters drawn from a particular element in the bibliographic reference. For instance, to find a record for William Manchester's American Caesar, an author/title search key using the first four letters of the author's name and the first four letters in the title would be MANC,AMER. Var- ious combinations of letters are used to search author names, titles, or author/title combina- tions. A search key may not necessarily be unique to a given item , and may retrieve other items beside the one desired. vices, though there is no subject search ca- pability in the system. The following access points may be used in a search: 1. LC Card Number 2. International Standard Book Num- ber (ISBN) 3. International Standard Serial Num- ber (ISSN) 4. CODEN (an abbreviation devel- oped by Chemical Abstracts Service for designating periodical titles) 5. Government Documents Number 6. OCLC Identification Number 7. Personal author (search key, not full words) 8. Corporate author (search key) 9. Performer (search key) 10. Title (search key) 11. Author/Title (search key) 12. Series title (search key) 13. Variant names (search key) 14. Conference names (search key) Searches may be restricted by year or by type of material, such as books, manu- scripts, maps, etc. The logical operators AND, OR, and NOT are not used in OCLC. The OCLC search system is pri- marily based on search keys and is best uti- lized to locate a known item. Local printing is available on any OCLC terminal so equipped. There is one standard print for- mat offered. RLGIRLIN The following access points may be used in a search of the RLIN database, though not all are currently active in each subfile of the database: 1. LC Card Number 2. ISBN 3. ISSN 4. CODEN 5. Government Documents Number 6. RLIN Identification Number 7. Call number (complete or trun- cated) 8. Recording Label Number 9. Personal author 10. Corporate authors or conference names (keyword or phrase) 11. Title words 12. Subject headings (keyword or phrase) 13. Music Publisher - Truncation (searching of partial entries) is available to aid in searching incomplete entries and the logical operators AND, OR, and NOT may be used to broaden or restrict a search. Local printers may be attached to the RLIN terminals. A variety of print for- mats is offered. Plans include unified search access points for all subfiles of the database as of April, 1981. WLN The "following access points may be used to search the WLN database: 1. LC Card Number 2. ISBN 3. ISSN 4. WLN Identification Number 5. Personal author 6. Corporate authors or conference names 7. Title words 8. Series title (complete or truncated) 9. Corporate or conference author/title series (keyword) 10. Subject headings (complete or trun- cated) For a variety of reasons, the WLN search system is the most powerful of the three util- ities. Truncation is available and the logical operators AND, OR, and NOT may be ap- plied to broaden or restrict a search. Rec- ords may be printed locally in a variety of formats on any WLN terminal so equipped. WLN will also provide printing at the cen- tral computer for reference bibliographies. WLN search software may be purchased for local database management applications (see the section on Online Public Catalogs.) Links to Other Computerized Services There are presently over 150 reference databases available through commercial computerized reference service vendors. During the last ten to fifteen years, stan- dard bibliographic indexing and abstract- ing publications such as Chemical Ab- stracts, Historical Abstracts and Dissertation Abstracts International have used computerized methods to organize and print references to periodical articles, re- ports, dissertations, conference papers, etc. The vendor creates a computer searchable version of the reference database and makes Reports and Working Papers 229 it available to libraries for a fee based on their use of the computerized search system. Membership in a bibliographic utility can provide two benefits in the use of other computerized reference services: 1. Discounts on fees through member- ship in large group contract adminis- tered by the utility. 2. Access to the reference vendor's com- puter through the utility's terminal and communication network. OCLC OCLC's Affiliated Online Services pro- gram provides access at discounted rates to the information services of Bibliographic Retrieval Service (BRS), Lockheed Infor- mation Systems (LIS), and the New York Times Information Bank. OCLC's com- munications network does not yet permit users to link to the hosts using an OCLC terminal, though this capability is antici- pated in the near future. RLG!RLIN RLIN does not offer a formal program in this area, though the RLG 40 terminal is compatible with other information re- trieval systems. WLN WLN does not offer a program in this area, but anticipates offering access to BRS, LIS, and New York Times Information Bank. Circulation None of the bibliographic utilities under consideration currently support circulation functions on their computers. However, each system can provide a machine- readable archive tape of our cataloging in- formation to be used in developing a com- puterized circulation system. In order to keep track of circulation transactions, it is necessary to have complete retrospective conversion of the UO Library catalog. An- other important consideration is the trans- ferability of data between the utility's com- puter and the circulation computer. OCLC OCLC anticipates offering support for local circulation systems on their computer 230 Journal of Library Automation Vol. 14/3 September 1981 for member libraries and will demonstrate their system in mid-1981. OCLC data has been successfully transferred to many local circulation systems. RLG/RLIN RLIN does not anticipate offering local circulation services for member libraries. RLIN data has been successfully transferred to several local circulation systems. WLN WLN does not anticipate offering local circulation systems on their computer for member libraries. WLN data has been suc- cessfully transferred to local circulation sys- tems and an agreement has been reached with DATAPHASE, a computerized circu- lation system vendor, to discount purchase of their system by WLN member libraries. Public Online Catalogs Again, none of the bibliographic utilities under consideration currently support pub- lic online catalogs of an individual library's collection. A public online catalog requires further programming in order to make it easy for the public to locate materials of interest without extensive training; the bib- liographic utility's searching procedures are too esoteric to be used by the general public. As in circulation, issues of data transferabil- ity and full retrospective conversion of the UO Library's catalog are paramount. OCLC OCLC does not currently encourage public access to their database and does not support use of local online catalogs on their computer due to the tremendous demand for computer resources exerted by 2400 member libraries. OCLC and RLG/ RLIN are participating in a study of user requir~ ments for a public online catalog. OCLC data has been successfully transferred to several local online catalogs, including Eugene Public Library's circulation and online catalog system, ULISYS. RLGIRLIN RLIN anticipates being able to offer pub- lic access to their database. They are partic- ipating in a study with OCLC of user re- quirements for such a system, but no date has been announced for the development of this capability in RLIN. RLIN data has been successfully transferred to a local pub- lic online catalog at Northwestern Univer- sity. WLN WLN does not believe that a local online patron accessed catalog should be provided through the WLN computer, even though they anticipate having such a capability within one year. Instead, they encourage libraries to develop local systems for public access to the online computerized catalog and to obtain data from the WLN catalog- ing system . The University of Illinois is adapting the WLN computer search and database management software to provide a local online catalog and computer- assisted instruction in its use for the public. Checklist for Cassette Recorders Connected to CRTs Prepared by Lawrence A. WOODS: Purdue University Libraries, West Lafayette, Indi- ana, for the Technical Standards for Library Automation Committee, Information Science and Automation Section, Library and Infor- mation Technology Association . INTRODUCTION A data cassette recorder connected to a printer port is an effective, low-cost method of collecting data in machine-readable form from display terminals such as the OCLC 100/105. It is important that a data recorder be used rather than an audio recorder al- though the cassette itself can be a good- quality audio tape. It is also important to note that the data recorded on the tape are not the same as the data originally transmit- ted to the display terminal, but are simply a line-by-line image of what appears on the screen. A typical installation will have a minimum of two devices: one attached to the display terminal to collect data, and one attached to a printer or an input device to another computer for playback of the data. There are more than 150 various data re-