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EBSCONET serials control system: A case history and analysis
collection
UNION
management
resources
LISTS & A U T O M A T I O N
EBSCONET Serials Control System: A Case History and Analysis Rick B. Forsman Over the past several years, we at the Lister Hill Library of the Health Sciences at the University of Alabama in Birmingham have been working to convert all of our manual serial records and management files to a fully automated system. We are now completely online with the EBSCONET Serials Control System, available through EBSCO Subscription Services. Due to the size of our serials collection and the urgency involved in many requests for medical information, it is essential for us to have our entire serial holdings in one system. The EBSCONET Serials Control System has proven the ideal host. Putting our records online has been a very extensive task: as the largest biomedical library in the state, the Lister Hill Library (hereafter referred to as LHL) serves the six health schools of the University of Alabama in Birmingham. We collect in the subjects of medicine, dentistry, nursing, optometry, allied health, and public health. The library has 92,000 bound serials and 68,000 books including a large collection of rare and valuable items relating to the history of medicine. We utilize the EBSCONET Serials Control System to maintain holding records for all of our serials - 2,360 current subscriptions plus 2,450 inactive titles. We use TYMNET to access the EBSCO computer and are connected between 70 and 80 hours a month. In a year's time we check in about 20,000 items. In order to appreciate our conversion to the EBSCONET System, it is important to recognize from the outset that LHL is somewhat atypical in terms of automating serial records. In the late 1960s the library experimented with a local batch process modeled on the PHILSOM system, using punch cards. In 1974, we requested a grant from the National Library of Medicine to implement the online serials control system developed by the UCLA Biomedical Library. The grant was awarded in 1975, and the library began the lengthy project of converting manual records to the format used by the UCLA system. However, due to differences in computer hardware, several major changes were made to the software obtained from UCLA, resulting in a system unique to the environment and needs of the Lister Hill Library. By December of 1976, our online system was operating so successfully that manual files such as the Kardex were discontinued. But -- as sometimes happens with local computer systems - the termination of grant funding forced the library to recognize some unpleasant realities. The library budget did not allow for a programmer on the staff. This made us dependent on the services of the university computer center. Even then, the budget could not support enhancements Forsman is Associate Director for Technical Services at the Lister Hill Library of the Health Sciences, University of Alabama.
the library would have desired. Thus, mainly for economic reasons, LHL made do with a system which performed well in most respects, but which remained largely unchanged for a period of five years. By 1981 we needed a new system, one that would accommodate our changing needs. EBSCO Subscription Services provided that system. Switching to EBSCO's Serials Control System in May of 1981 has provided us with most of the features of the previous LHL system, plus the promise of many new developments.
System Use The Serials Control System is separated into six subcomponents: check-in, claiming, binding, reference display, full record display and accounting. We use the check-in task on a daily basis, and the binding task almost as frequently. We plan to install a terminal soon at the information desk to take advantage of the reference display component, which is designed for patron assistance. Recently we have been working with EBSCO to test and modify the claiming task, and we are very excited about the ability to place all claims online. The full record display allows viewing of all the information for a title, field by field, and permits changes to be made to any field. The accounting task is presently in development. Each library using the EBSCONET Serials Control System (hereafter referred to as SCS) has its own unique data base, which must be individually created by the library or by EBSCONET staff. Once the data base has been established, all of the six subcomponents access and utilize the full information entered for each title, but the different tasks trigger different programs for specific functions and also provide unique screen displays of data. For example, the screen display for check-in of current issues includes any fields which note an expected late arrival or other claiming information. And the display begins with designation of the issue we are expecting. However, these fields are not displayed for the binding operation. This library's experience with SCS has proven to us that a system divided into task-oriented subcomponents is very efficient and facilitates the training of new staff. SCS also prompts all users by displaying or suggesting available commands at appropriate points.
Full Record Display The easiest way to begin a description of the system is to look at a complete record, as shown in figure 1. The full record display begins with two fixed fields. These fields contain coded data on the status of subscription, language, country of publication, location within the library,
SERIALS REVIEW
WINTER 1982
83
and other pertinent information. Also coded here is a variety of data which controls the check-in, binding and claiming functions. All subsequent fields are variable in length. Holdings are shown in the 930 field as either bound volumes or u n b o u n d issues. The data in this field are specifically formatted to interact with the binding subcomponent. As a result, it condenses holdings as much as possible to save space and to make the holdings easier to read. As figure 1 shows, the record construction is close to, but not the same as, the MARC serials format - field tags and the order of fields are not MARC, but the content of the record is similar. Freetext note fields are also available for those miscellaneous remarks or instructions one may need to attach to a record.
The Serials Control System keeps statistics in a number of different areas. We receive figures for the number of current and inactive titles, total records in the data base, onorder titles, cross references, and a host of other useful statistics. At the end of the day the system displays the number of titles in the binding and claims files, and how many issues were checked in during each of the past seven days.
Reference Display
Prin to u ts
The reference display task restricts public service staff and patrons to retrieval of information and prohibits alteration of records or holdings. Figure 2 shows a typical screen display. Searching is based on key words from the title, or may be done by country of publication, language, medium, serial number, or subject. Boolean searching is available for linking multiple concepts. Online subject searching has proved to be a tremendous benefit to this library. Due to the large number of degree programs offered by the six health schools which we serve, one department or another is often being considered for reaccreditation. This usually results in a request for a list of library-owned journals in specific fields. Subject searching provides quick, up-to-date listings which are tailored for each requester. Listings are printed on a hard-copy terminal in the library, but could also be printed offline at EBSCO.
Once a m o n t h we receive multiple copies of a printout of our full data base. These copies are distributed to key locations in the library. We can also request printouts of on-order titles, cross references in the data base, current titles only, or other tailored listings. Figure 5 shows a sample printout entry as it appears to staff and patrons.
Check-In The check-in process for current issues begins with retrieval by key words from the title. (See figure 3.) Key word searching eliminates the need for sorting issues into alphabetic order prior to check-in, thus saving time. It also facilitates retrieval when the exact title is not certain, a situation our reference staff frequently enounters. The issue in hand is compared to the check-in line shown on the CRT screen for the next expected issue. If they match, a simple command checks in the issue and the system automatically advances the data for next expected issue. If the issue received does not match the data in the check-in record, it can still be checked in. The terminal operator alters the "expected " data to those of the issue in hand, then checks it in. The system automatically registers any gap in displaying the holdings for that title and, in addition, enters the missing item information in a claims file. When the missing issue is received, it can easily be inserted into its proper place in the holdings field.
Binding The binding task allows an operator to change u n b o u n d issues to bound volumes in the holdings field, and merges bound volumes and years to conserve space. Figure 4 shows that issues 1 to 6 volume 29 have been received for Experimental Eye Research. A simple command indicates that they have been bound. Subsequent retrieval for this title will show the holdings data as revised by the computer. Built into each record is information relating to the publication and binding pattern. Both are monitored by the system. A batch procedure in the binding subsystem will generate an oflline printing of those titles with completed volumes ready to go to the bindery. We do not utilize the binding slip program or the cumulative list at present, but plan to do
84
SERIALS REVIEW
WINTER 1982
so in the next year. Both check-in of one issue and merging of binding information for one title are averaging slightly over one minute per transaction at the terminal.
Statistics
Claims The claims component of the Serials Control System is now fully functional. For several months LHL was involved in testing online claims for EBSCO. In May of 1982 we began initiating all claims on the CRT rather than filling in forms manually. Claiming is divided into three sections: "manual" or operator-initiated claims, overdue search, and skipped issue review. The last two features utilize information which is automatically generated by the system to facilitate the claiming process. "Manual" claiming lets the user initiate a claim for something such as an issue of a very irregular title. The terminal operator calls up the title, fills in the necessary information for a claim, and updates the claim file with these data. To identify current subscriptions for which issues have stopped arriving, the system monitors the data coded into the two fixed fields of each record, such as publication pattern and frequency. Each library must also decide how much time should elapse before a claim is to be generated for overdue titles, and this is coded into the fixed fields as well. For example, on a monthly periodical a library may decide to wait two months before issuing a claim. The system uses these data, or defaults to a time period determined by the publication pattern. If issues stop arriving and the time limit is exceeded, an entry is created in a claim file. Similarly, if a library checks in issue no. 4 of a title and has not checked in no. 3, the system recognizes the gap and enters it in the claim file. The claim file is designed to hold the serial control number for the title and the specific data for the year, volume, issue and date of the item to be claimed. The claim file is the key to the whole claiming task. This author does not expect any automated system to identify all instances when a claim is needed, but the EBSCONET Serials Control System approaches that goal. On a weekly basis we review our claim file, deleting a few entries and approving others for automatic claim form generation. When an entry is approved by us, the system attaches a claim note to the full serial record for that title. Twice a week EBSCO prints claim forms from the entries in our claim file. These forms have proven to be just as accurate and effective as the ones we fill in manually but the claiming process has become faster; placing claims online reduces the time it takes to get the form to a publisher, and the needed issues arrive sooner. EBSCO will also print form letters, without the
mn~q
EBSCO name and address, for the titles which we must order direct. EBSCO also does all follow-up on outstanding claims and produces second, third, and subsequent claims when appropriate. By looking at the claims file or at the check-in record, we can quickly see when claims have been sent for an item.
MEDIA REVIEW DIGEST
Cornnrnents on the S y s t e m
In summary, the EBSCONET Serials Control System offers great flexibility in matching a system to a library's unique needs. Each library controls choice of entry for its serials, the amount of detail built into each of its records, the subcomponents to be used, and variety and frequency of offline products. It is possible to enter the complete serial collection or just a subset. The system is readily available through TYMNET, and will accommodate a wide variety of CRT or hard copy terminals. (The terminal we use costs about $1,000.) Our support from EBSCO staff has been excellent, response time is generally very quick, and down time has been negligible. The biggest disadvantage of the Serials Control System right now is limited flexibility of the binding task. We are looking forward to EBSCO's completing work on this component of the system, so that we can discontinue filling out forms by hand. We are also interested in seeing the development of union listing capabilities among SCS users. Any library entering an automated serials system faces a major problem which is not specific to EBSCONET, but applies to any such system: serials automation is necessarily complex, and conversion from manual records is a demanding endeavor. LHL was fortunate in having machine-readable serials records which could be loaded into SCS to create our data base. The LHL serials unit consists of one librarian and two library assistants, but required an additional full-time clerk during the months it took to create the original data base for our local system. This author's experience indicates that one step is essential prior to any conversion - a recent and thorough inventory of holdings for those serials intended for automation. If a library's serials records are not in good order, its staff must be prepared for a lengthy inventory and conversion process. The Lister Hill Library staff has been very pleased with our decision to change from a local system to the EBSCONET Serials Control System, and we look forward to future modifications and improvements. Based on our experience with automated systems and a comparison of those currently available, we think SCS has many strong features, and a more integrated and comprehensive approach than some serials systems. It is not a panacea, but, to quote Gilb's First Law of Unreliability: "Computers are unreliable, but humans are even more unreliable." A c k n o w l e d g m en t
The successful implementation of LHL's local system, its five years of fruitful service, and the smooth transition to EBSCO's SCS were due in large measure to the dedication and perseverance of Erdeal A. Moore, now retired. The library is most fortunate to have her continued assistance as a regular serials consultant.
@
- belongs in every school, library and media center. Media Review Digest is an annual index to reviews and evaluations of 16mm films, feature films (including foreign films), filmstrips, reco r d s & tapes, and miscellaneous media. Among the 148 periodicals and reviewing services indexed are Booklist, E F L A Evaluations, Industrial Education, Language Arts, The New Yorker, and School Media Quarterly. Among MRD's many features are complete mediagraphic information for all the items indexed, review excerpts, descriptions of educational items, awards & prizes, mediagraphies and book reviews.
M R D is... • • • • •
A fast media review locater A previewing and selection tool A purchasing aid A cataloging and classification tool An extensive catalog of media & producer information
" M E D I A REVIEW DIGEST provides more comprehensive coverage of reviews of all types of non-book media than any other single publication, together with descriptions, cataloging information, and adequate subject indexing. It is recommended for all types of libraries." -BOOKLIST
MEDIA REVIEW DIGEST Annual, with Supplement: $189/yr. Posta_qeis extra. Available on 30 day approval. PIERIAN PRESS P.O. Box 1808 Ann Arbor, MI 48106
SERIALS REVIEW WINTER 1982
85
UNION
management
resources
LISTS & A U T O M A T I O N
EBSCONET Serials Control System: A Case History and Analysis Rick B. Forsman Over the past several years, we at the Lister Hill Library of the Health Sciences at the University of Alabama in Birmingham have been working to convert all of our manual serial records and management files to a fully automated system. We are now completely online with the EBSCONET Serials Control System, available through EBSCO Subscription Services. Due to the size of our serials collection and the urgency involved in many requests for medical information, it is essential for us to have our entire serial holdings in one system. The EBSCONET Serials Control System has proven the ideal host. Putting our records online has been a very extensive task: as the largest biomedical library in the state, the Lister Hill Library (hereafter referred to as LHL) serves the six health schools of the University of Alabama in Birmingham. We collect in the subjects of medicine, dentistry, nursing, optometry, allied health, and public health. The library has 92,000 bound serials and 68,000 books including a large collection of rare and valuable items relating to the history of medicine. We utilize the EBSCONET Serials Control System to maintain holding records for all of our serials - 2,360 current subscriptions plus 2,450 inactive titles. We use TYMNET to access the EBSCO computer and are connected between 70 and 80 hours a month. In a year's time we check in about 20,000 items. In order to appreciate our conversion to the EBSCONET System, it is important to recognize from the outset that LHL is somewhat atypical in terms of automating serial records. In the late 1960s the library experimented with a local batch process modeled on the PHILSOM system, using punch cards. In 1974, we requested a grant from the National Library of Medicine to implement the online serials control system developed by the UCLA Biomedical Library. The grant was awarded in 1975, and the library began the lengthy project of converting manual records to the format used by the UCLA system. However, due to differences in computer hardware, several major changes were made to the software obtained from UCLA, resulting in a system unique to the environment and needs of the Lister Hill Library. By December of 1976, our online system was operating so successfully that manual files such as the Kardex were discontinued. But -- as sometimes happens with local computer systems - the termination of grant funding forced the library to recognize some unpleasant realities. The library budget did not allow for a programmer on the staff. This made us dependent on the services of the university computer center. Even then, the budget could not support enhancements Forsman is Associate Director for Technical Services at the Lister Hill Library of the Health Sciences, University of Alabama.
the library would have desired. Thus, mainly for economic reasons, LHL made do with a system which performed well in most respects, but which remained largely unchanged for a period of five years. By 1981 we needed a new system, one that would accommodate our changing needs. EBSCO Subscription Services provided that system. Switching to EBSCO's Serials Control System in May of 1981 has provided us with most of the features of the previous LHL system, plus the promise of many new developments.
System Use The Serials Control System is separated into six subcomponents: check-in, claiming, binding, reference display, full record display and accounting. We use the check-in task on a daily basis, and the binding task almost as frequently. We plan to install a terminal soon at the information desk to take advantage of the reference display component, which is designed for patron assistance. Recently we have been working with EBSCO to test and modify the claiming task, and we are very excited about the ability to place all claims online. The full record display allows viewing of all the information for a title, field by field, and permits changes to be made to any field. The accounting task is presently in development. Each library using the EBSCONET Serials Control System (hereafter referred to as SCS) has its own unique data base, which must be individually created by the library or by EBSCONET staff. Once the data base has been established, all of the six subcomponents access and utilize the full information entered for each title, but the different tasks trigger different programs for specific functions and also provide unique screen displays of data. For example, the screen display for check-in of current issues includes any fields which note an expected late arrival or other claiming information. And the display begins with designation of the issue we are expecting. However, these fields are not displayed for the binding operation. This library's experience with SCS has proven to us that a system divided into task-oriented subcomponents is very efficient and facilitates the training of new staff. SCS also prompts all users by displaying or suggesting available commands at appropriate points.
Full Record Display The easiest way to begin a description of the system is to look at a complete record, as shown in figure 1. The full record display begins with two fixed fields. These fields contain coded data on the status of subscription, language, country of publication, location within the library,
SERIALS REVIEW
WINTER 1982
83
and other pertinent information. Also coded here is a variety of data which controls the check-in, binding and claiming functions. All subsequent fields are variable in length. Holdings are shown in the 930 field as either bound volumes or u n b o u n d issues. The data in this field are specifically formatted to interact with the binding subcomponent. As a result, it condenses holdings as much as possible to save space and to make the holdings easier to read. As figure 1 shows, the record construction is close to, but not the same as, the MARC serials format - field tags and the order of fields are not MARC, but the content of the record is similar. Freetext note fields are also available for those miscellaneous remarks or instructions one may need to attach to a record.
The Serials Control System keeps statistics in a number of different areas. We receive figures for the number of current and inactive titles, total records in the data base, onorder titles, cross references, and a host of other useful statistics. At the end of the day the system displays the number of titles in the binding and claims files, and how many issues were checked in during each of the past seven days.
Reference Display
Prin to u ts
The reference display task restricts public service staff and patrons to retrieval of information and prohibits alteration of records or holdings. Figure 2 shows a typical screen display. Searching is based on key words from the title, or may be done by country of publication, language, medium, serial number, or subject. Boolean searching is available for linking multiple concepts. Online subject searching has proved to be a tremendous benefit to this library. Due to the large number of degree programs offered by the six health schools which we serve, one department or another is often being considered for reaccreditation. This usually results in a request for a list of library-owned journals in specific fields. Subject searching provides quick, up-to-date listings which are tailored for each requester. Listings are printed on a hard-copy terminal in the library, but could also be printed offline at EBSCO.
Once a m o n t h we receive multiple copies of a printout of our full data base. These copies are distributed to key locations in the library. We can also request printouts of on-order titles, cross references in the data base, current titles only, or other tailored listings. Figure 5 shows a sample printout entry as it appears to staff and patrons.
Check-In The check-in process for current issues begins with retrieval by key words from the title. (See figure 3.) Key word searching eliminates the need for sorting issues into alphabetic order prior to check-in, thus saving time. It also facilitates retrieval when the exact title is not certain, a situation our reference staff frequently enounters. The issue in hand is compared to the check-in line shown on the CRT screen for the next expected issue. If they match, a simple command checks in the issue and the system automatically advances the data for next expected issue. If the issue received does not match the data in the check-in record, it can still be checked in. The terminal operator alters the "expected " data to those of the issue in hand, then checks it in. The system automatically registers any gap in displaying the holdings for that title and, in addition, enters the missing item information in a claims file. When the missing issue is received, it can easily be inserted into its proper place in the holdings field.
Binding The binding task allows an operator to change u n b o u n d issues to bound volumes in the holdings field, and merges bound volumes and years to conserve space. Figure 4 shows that issues 1 to 6 volume 29 have been received for Experimental Eye Research. A simple command indicates that they have been bound. Subsequent retrieval for this title will show the holdings data as revised by the computer. Built into each record is information relating to the publication and binding pattern. Both are monitored by the system. A batch procedure in the binding subsystem will generate an oflline printing of those titles with completed volumes ready to go to the bindery. We do not utilize the binding slip program or the cumulative list at present, but plan to do
84
SERIALS REVIEW
WINTER 1982
so in the next year. Both check-in of one issue and merging of binding information for one title are averaging slightly over one minute per transaction at the terminal.
Statistics
Claims The claims component of the Serials Control System is now fully functional. For several months LHL was involved in testing online claims for EBSCO. In May of 1982 we began initiating all claims on the CRT rather than filling in forms manually. Claiming is divided into three sections: "manual" or operator-initiated claims, overdue search, and skipped issue review. The last two features utilize information which is automatically generated by the system to facilitate the claiming process. "Manual" claiming lets the user initiate a claim for something such as an issue of a very irregular title. The terminal operator calls up the title, fills in the necessary information for a claim, and updates the claim file with these data. To identify current subscriptions for which issues have stopped arriving, the system monitors the data coded into the two fixed fields of each record, such as publication pattern and frequency. Each library must also decide how much time should elapse before a claim is to be generated for overdue titles, and this is coded into the fixed fields as well. For example, on a monthly periodical a library may decide to wait two months before issuing a claim. The system uses these data, or defaults to a time period determined by the publication pattern. If issues stop arriving and the time limit is exceeded, an entry is created in a claim file. Similarly, if a library checks in issue no. 4 of a title and has not checked in no. 3, the system recognizes the gap and enters it in the claim file. The claim file is designed to hold the serial control number for the title and the specific data for the year, volume, issue and date of the item to be claimed. The claim file is the key to the whole claiming task. This author does not expect any automated system to identify all instances when a claim is needed, but the EBSCONET Serials Control System approaches that goal. On a weekly basis we review our claim file, deleting a few entries and approving others for automatic claim form generation. When an entry is approved by us, the system attaches a claim note to the full serial record for that title. Twice a week EBSCO prints claim forms from the entries in our claim file. These forms have proven to be just as accurate and effective as the ones we fill in manually but the claiming process has become faster; placing claims online reduces the time it takes to get the form to a publisher, and the needed issues arrive sooner. EBSCO will also print form letters, without the
mn~q
EBSCO name and address, for the titles which we must order direct. EBSCO also does all follow-up on outstanding claims and produces second, third, and subsequent claims when appropriate. By looking at the claims file or at the check-in record, we can quickly see when claims have been sent for an item.
MEDIA REVIEW DIGEST
Cornnrnents on the S y s t e m
In summary, the EBSCONET Serials Control System offers great flexibility in matching a system to a library's unique needs. Each library controls choice of entry for its serials, the amount of detail built into each of its records, the subcomponents to be used, and variety and frequency of offline products. It is possible to enter the complete serial collection or just a subset. The system is readily available through TYMNET, and will accommodate a wide variety of CRT or hard copy terminals. (The terminal we use costs about $1,000.) Our support from EBSCO staff has been excellent, response time is generally very quick, and down time has been negligible. The biggest disadvantage of the Serials Control System right now is limited flexibility of the binding task. We are looking forward to EBSCO's completing work on this component of the system, so that we can discontinue filling out forms by hand. We are also interested in seeing the development of union listing capabilities among SCS users. Any library entering an automated serials system faces a major problem which is not specific to EBSCONET, but applies to any such system: serials automation is necessarily complex, and conversion from manual records is a demanding endeavor. LHL was fortunate in having machine-readable serials records which could be loaded into SCS to create our data base. The LHL serials unit consists of one librarian and two library assistants, but required an additional full-time clerk during the months it took to create the original data base for our local system. This author's experience indicates that one step is essential prior to any conversion - a recent and thorough inventory of holdings for those serials intended for automation. If a library's serials records are not in good order, its staff must be prepared for a lengthy inventory and conversion process. The Lister Hill Library staff has been very pleased with our decision to change from a local system to the EBSCONET Serials Control System, and we look forward to future modifications and improvements. Based on our experience with automated systems and a comparison of those currently available, we think SCS has many strong features, and a more integrated and comprehensive approach than some serials systems. It is not a panacea, but, to quote Gilb's First Law of Unreliability: "Computers are unreliable, but humans are even more unreliable." A c k n o w l e d g m en t
The successful implementation of LHL's local system, its five years of fruitful service, and the smooth transition to EBSCO's SCS were due in large measure to the dedication and perseverance of Erdeal A. Moore, now retired. The library is most fortunate to have her continued assistance as a regular serials consultant.
@
- belongs in every school, library and media center. Media Review Digest is an annual index to reviews and evaluations of 16mm films, feature films (including foreign films), filmstrips, reco r d s & tapes, and miscellaneous media. Among the 148 periodicals and reviewing services indexed are Booklist, E F L A Evaluations, Industrial Education, Language Arts, The New Yorker, and School Media Quarterly. Among MRD's many features are complete mediagraphic information for all the items indexed, review excerpts, descriptions of educational items, awards & prizes, mediagraphies and book reviews.
M R D is... • • • • •
A fast media review locater A previewing and selection tool A purchasing aid A cataloging and classification tool An extensive catalog of media & producer information
" M E D I A REVIEW DIGEST provides more comprehensive coverage of reviews of all types of non-book media than any other single publication, together with descriptions, cataloging information, and adequate subject indexing. It is recommended for all types of libraries." -BOOKLIST
MEDIA REVIEW DIGEST Annual, with Supplement: $189/yr. Posta_qeis extra. Available on 30 day approval. PIERIAN PRESS P.O. Box 1808 Ann Arbor, MI 48106
SERIALS REVIEW WINTER 1982
85