College and Research Libraries FLOYD M. CAMMACK Remote-Control Circulation A new circulation system was initiated in October 1964 at the Uni- versity of Hawaii's Gregg M. Sinclair library. This article describes the system in general terms and sets it in the context of future auto- mation plans at Hawaii. The unique aspect of the system is its use of IBM 1001 data collection devices, a remote control system for data transmission over telephone circuitry. OF MAKING many circulation systems there appears these days to be no end. The one described here is primarily the work of Donald V. Black, now head of technical services at the University of California's Santa Cruz campus. This description is a preliminary one, to be supplemented by a more technical eval- uation in the near future. In 1963 Black agreed to design an automated circula- tion system for the University of Hawaii's Gregg M. Sinclair library, one which would handle a rapidly-increasing workload while keeping personnel re- quirements from escalating in propor- tion. A little over a year later the system was installed and is now going through its first year of testing. Preliminary re- sults reported from the circulation de- partment are encouraging. The operational principles on which the Hawaii system is based are similar to those underlying IBM's installations at Southern Illinois, Missouri, and Florida Atlantic. Two source documents, a ma- chine-readable book card and a machine- readable borrower's card, are read serial- ly to produce a transaction record, which then is transferred to magnetic tape at Dr. Cammack is University Librarian, Oakland University, Rochester, Michigan . the computing center and processed as required to provide the desired loan in- formation, overdue notices, and borrower lists. The unique aspect of the Hawaii system is its use of IBM's 1001 data collection units rather than the general- ly-preferred 357 units. The 1001 is a smaller, cheaper terminal which can transmit a limited amount of data over standard telephone lines to an 026 key- punch. The 357 unit requires regular cable connections. Both units will per- mit th~ keying-in of variable data as re- quired, but only the 357 can be con- nected to multiplexing equipment allow- ing more than one terminal to transmit to a single keypunch. The 357 can trans- mit more information at a single reading than the 1001, and can handle two input documents ( e.g., a punched card and a plastic borrower's card) at the same time rather than serially as is required by the 1001. There is some latitude for adaptation of both units to local require- ments, and from the borrower's point of view, there is little noticeable difference in transaction time or service potential. BoRROWER IDENTIFICATION Students, faculty, staff, and off-campus borrowers at Hawaii are now provided with machine-readable identification I 213 214 I College & Research Libraries • May, 1965 cards. These are 51-column punched cards, designed to fold into a convenient wallet size. Off-campus borrowers' cards are prenumbered so they may be filled out and used by the borrower without delay. Student and faculty cards are pre- pared by the computing center and dis- tributed at the beginning of each semes- ter. While there is little question that a plastic badge capable of being both punched (for EDP input) and embossed (for printed records ) , is more flexible, the coordination of users' requirements proved difficult to accomplish in a short period of time. The punched card is probably easier and cheaper to replace, and no special updating systems are re- quired. The new system has not been in operation long enough to tell whether or not card wear will be a problem. If so, issuing a new card should require only a few moments at one of the Circulation Department's keypunches. BooK IDENTIFICATION Machine readable book cards are being prepared for each item as it cir- culates for the first time under the new system, and for all new additions to the collection. Fifty-one-column book cards are punched with the complete call number, a collection code, and a loan- period code. Short author and title in- formation is also printed on the card for ease of identification, but not punched because of the shortened format of the card. Book cards are prepared on con- tinuous form stock by the computing center from punched card information originating in the circulation and catalog departments. Several other systems are now avail- able for the production of machine-read- able book records, including the use of service bureaus working from shelflist cards or microfilm copies thereof. The .. do-it-themselves" decision at Hawaii has shown some disadvantages but has served to acquaint the staff more thoroughly with the workings of punched card equipment while offering more flex- ibility during the experimental stages. It is interesting to note that while two additional keypunch positions were authorized for the switch-over period, it proved impossible to fill them in time to be of much use. With only a week's training, two members of the circulation department's clerical staff took over the job and have managed through heroic efforts to keep up with the daily re- quirements of the new system. Their creative ideas have been responsible for several important refinements in the sys- tem's implementation and operation. To BoRRow A BooK To borrow a book which has already circulated through the new system, the borrower brings the book to the main circulation desk and presents it, with his personal identification card. The desk at- tendant inserts the borrower's card in the 1001 and slides the carriage into reading position. The information is read and transmitted in about three seconds to an 026 keypunch located in the circu- lation department work area where its chatter does not disturb library users. Next, the attendant removes the bor- rower's card and inserts the book card in the 1001 for reading in the same fashion. A system which retains certain punch codes will permit the charging of a number of books to the same borrower without reinserting the borrower's card each time. The attendant returns the book card to its pocket and the borrow- er's card to the borrower, inserts a date- due slip in the pocket, and the transac- tion is complete. Meanwhile, back at the keypunch, a single transaction card has been auto- matically produced for each book bor- rowed. Over telephone circuits, the elec- tronic impulses from the 1001 have been translated into audio impulses and sent to the keypunch where they were re- translated to electronic impulses which the machine could recognize. The result l I Remote-Control Circulation I 2I5 is a transaction card with information ar- ranged as follows. CoLUMN I 2-IO II I2-45 46 47 48 CONTENT Borrower class code (e.g., grad., undergrad., fac. ) Borrower identification number Check punch Call number Collection code Loan period code Check punch The machines are equipped so that operator errors or faulty transmissions produce a tone signal to inform the op- erator that the process must be repeated correctly. Any mechanical failures are also brought quickly to the attention of the operator. If a borrower does not have his card and can identify himself to the satisfaction of the desk attendant, the borrower's number can be keyed in man- ually on the IOOI, thus avoiding any service delay. A duplicate set of bor- rower registration cards could also be maintained at the desk if desired. CoMPUTING CENTER SERVICE The transaction cards, each carrying their book and borrower information, are sent to the statistical and computing center daily, where they are read into the computer, sorted into call number sequence and added to the master rec- ord of books on loan. A daily printout of this regularly updated record is re- turned to the library where it takes the place of all the manually filed card rec- ords which once occupied the depart- ment's staff both day and night. Faculty and other long term loans are separated weekly from the daily loan record and added to a separate listing to reduce over-all processing time and the necessity of repeatedly processing in- active records. Preparation of overdue notices, calculation of fines, and all cir- culation statistics are also handled by the computer (a 1401 plus 7040 con- figuration with off-line printing capabili- ties). The general estimate of daily proc- essing time was calculated to be less than an hour a day. To RETURN A BooK The borrower need only deposit a re- turned book in one of the library's reg- ular return bins. The discharging process again involves a machine operation. A student assistant removes the book card and inserts it in the IOOI near the dis- charge area. This device is also con- nected by telephone lines to a keypunch in exactly the same manner as the charg- ing machine, and may be used inter- changeably with it in case of overload or machine failure. In place of a bor- rower's card the machine is "primed" with a general return card and requires only that the book cards for returned books be placed in the carriage and read. When the carriage returns to its original position, the student cancels the date due slip, inserts the book card, and the volume is ready for shelving. The re- turn transaction cards go to the com- puting center and are processed with the charge cards, thus clearing the master loan record daily. OvERDUEs, RENEWALS, AND HoLDS Overdue books returned to the bin without notification are identified by the computer and fine notices prepared auto- matically. When a borrower returns an overdue book and offers to pay the fine, it is collected and a "paid" slip is in- serted in the pocket. In discharging "paid" books, the 100I is primed with a special card and the borrower's ID num- ber is added later at the computing center to assure credit to the right "ac- count," and a proper clearing of the master loan record. Fines for unreturned books are cumulated automatically and notice!i sent periodically. Renewals are handled like new loans after ascertaining that there is not a 'nold request" for the item. The com- 216 I College & Research Libraries • May, 1965 puter counts the number of renewals and thus prevents the possibility of abuse of the privilege by indicating on the daily printout the number of times a book has been charged out to the same borrower. A two part "Hold Request" card can be filled out by the borrower with author, title, and borrower's ID number. Of the several possible systems for seeing that a book wanted by a specific bor- rower does not get back on the shelves, two were proposed for testing. The first is a simple adaptation of the old "dum- my" system, whereby cardboard dum- mies are shelved in the appropriate spot in the stacks, and returned books with "hold requests" are stopped at the shelv- ing point and returned with the dummy to the circulation department. There, the stub of the hold request is sent to the requester and the rest of the card shelved with the book on special hold shelves for a stipulated length of time. A second "matching" system has been recommended, whereby hold-request forms are punched with the book in- formation and machine matched against return transaction cards several times each day before books leave the sorting shelves for the stacks. Holds are then pulled and processed as described above. FACULTY AND LoNG-TERM LoANS Faculty members at the University of Hawaii are accustomed to a semester- long loan period with renewal privileges for another semester. Discounting sum- mer-session loans, this means that facul- ty are required to return all library books in their possession only once a year. Since faculty members account for some 50 per cent of all loan transactions, it is not difficult to see that, for many of them, it is difficult at the end of a semes- ter to know exactly what library books are charged to them. A faculty delegate system adds to the potential confusion when return time comes around. With the new system, it is possible at the end of each semester to machine-list all titles on loan to a faculty member and to send the list to him with a request to return all unwanted items and to note those for which renewal is re- quested. It is hoped that this reminder system will at least limit the tendency of a portion of the faculty to build large office "libraries" at the expense of stu- dents and other would-be borrowers. The ability to print out all items on loan to a given borrower should also facilitate the clearing of records for graduating students and others who leave the uni- versity. Listing of books on long term loan to the reserve room are also subject to call- number arrangement and to virtually any other useful permutation. The neces- sity of maintaining a separate reserve room catalog is therefore eliminated, along with the traditional lag imposed by large periodic increases in workload. LosT BooKs AND SNAGS A book reported lost or destroyed can be cleared from the master loan rec- ord by punching and running a dupli- cate card through the return transaction card system. (Books returned without cards can be treated in much the same fashion. ) Search procedures for snags are essentially unchanged under the new system, although it is now possible to assign a "missing" code and list all such items on the master loan record by running the card through the charging system. The same technique covers items out to mending, binding, and interlibrary loan. STATISTICS The hours spent preparing daily circu- lation statistics are now a thing of the past. Daily figures appear on the master loan record and are automatically cumu- lated to produce monthly and quarterly reports. It was further recommended that all charge transaction cards be kept for at least one semester. These cards \..,j Remote-Control Circulation I 217 can then be sorted to ascertain areas of heavy use, titles in short supply, pos- sible titles for a proposed undergraduate library, and so forth. If matched against borrower number, reading profiles on individuals or specific groups can also be obtained. If eventually combined with registration records, it would be possible to discover whose students in what courses read what and how much of it. A great deal of such information can be machine produced as the needs and interests of faculty and administration develop. From the library's point of view, for instance, automatic reorder records could be set by merely establishing the number of circulations for a given title, above which added copies would be automatically ordered. SYSTEM ExPANSION When the circulation system described above was approved for implementation by the university administration and the state department of budget and finance's statewide data processing or- ganization, it was anticipated that the system would be immediately expanded to include order department routines .and coordinated with certain book prep- aration operations in the catalog de- partment. With these plans in mind, two 826 typewriter-keypunches were in- stalled in the order and catalog depart- ments respectively. Serials records were to be considered separately in connec- tion with a new edition of the Hawaii Library Association's Union List of Serials ; The initial function of the catalog de- partment's 826 was to produce machine- readable book cards as a by-product of typing book pockets. The information on both could be easily coordinated, and training of staff to use the simple type- writer-keypunch combination presented no problem. The creation of a machine- readable shelfl.ist card was deferred pending experiments with other depart- ments and the results of national activi- ties in this direction. The automation of order department routines is already flow-charted and ap- proved. Personnel vacancies have de- layed th expected implementation date, but the advantages and experience gained in the circulation operation will contribute significantly to the effective- ness of this aspect of the proposed total system. A system for punched-card handling of a certain portion of serials records has been suggested, and it is hoped that implementation of some ma- chine handling of these records will not be long delayed. SYSTEM CosTs The system is not yet fully operative, and perhaps more than a year will be re- quired before accurate cost figures will be available. It was designed to operate at approximately the same cost as the un- satisfactory manual system which pre- ceded it, not taking into consideration any expansion into departments other than circulation. A $25,000 switchover budget was approved, and at this writ- ing it appears that a large portion of this amount will be returned to the state at the end of the fiscal year. Machine costs turned out to be considerably lower than expected as a result of un- predictable advantages gained through cooperative use of certain items. Tele- phone equipment, however, exceeded the expected amount. Though not alto- gether as a result of library planning, it may well turn out that all extra person- nel costs, including consultant fees, will have been absorbed within the general operating budget, thus leaving the li- brary in a position to state that the new system literally paid for its own imple- mentation and operation. Significant savings are expected to accrue over an extended period of time as workload in- creases are absorbed by machines rather than by additional staff. These «savings," however, are far less important to the 218 I College & Research Libraries • May, 1965 library, its staff, and its users than are the time saving advantages of a really efficient, reliable, circulation system. HAWAII's AuTOMATION PoTENTIAL Few states in the country offer the vast potential for improved library ser- vice through creative use of data proc- essing equipme~t that Hawaii provides. A relatively small population and a high- ly centralized state system of education and library service hold extraordinary opportunities for librarians to experiment with, select, and establish high standards of service and facilities for formal edu- cational goals and for waging a War on Ignorance proposed by President John- son. A Governor's Committee on State Library Resources has recently submit- ted a report in which a number of pro- posals are made for the further coordina- tion of library activities in Hawaii. Al- ready, under the office of the state librar- ian, a centralized processing center handles ordering and cataloging for some schools and for the Library of Hawaii. A punched card system for this center was recently implemented and should be transferred to a computer sys- tem within the near future. A Union List of Serials is nearing completion, and is scheduled for computer processing. Computer-produced book catalogs are under consideration for the statewide public library system, and a proposal has been made to work with the Su- preme Court law library toward putting certain portions of the state's laws on magnetic tape, following examples al- ready set in several mainland states. With the coordinating guidance of the state librarian, it should be possible to expand the beginnings now made toward a total, integrated statewide information system of extremely advanced concep- tion and design. The resultant advan- tages to state government, to research interests, and to educational institutions would be virtually incalculable. • • ALA Headquarters Library Loan Service THE ALA HEADQUARTERS LIBRARY has been designated as a working collection for the staff of ALA headquarters by the ALA Executive Board. It has, how- ever, offered several services directly to the members through interlibrary loan. Among them is a collection of library handbooks, procedure and policy manuals and surveys. These have been given to the library over the years by the col- lege and university libraries which prepared them. To keep the collection up to date and more helpful to the libraries which borrow the manuals, the library has asked that college and university libraries make their manuals available to others by depositing one copy in the ALA headquarters library, 50 E. Huron St., Chicago, Ill. 60611. Each library can be sure that it would then be sharing its materials with those libraries needing them. Those libraries which are interested in borrowing manuals should send a standard ALA Interlibrary Loan Request form for each manual or survey it wishes to borrow.