Interfacing OCLC and dataphase for an automated acquisitions system

Library Acquisitions: Practiceand Theory, Vol. 6, pp. 259-263, 1 9 8 2 Printed in the USA. All rights reserved.

0364-6408:82,030259-05503.00/0 Copyright © 1982 Pergamon Press Ltd

A CQUISITIONS HARD WARE

INTERFACING OCLC A N D DATAPHASE FOR AN AUTOMATED ACQUISITIONS SYSTEM VIRGINIA L. LEIGHTTY and NEAL D. N1XON Kornhauser Health Sciences Library University of Louisville Louisville, KY 40292

ABSTRACT

Installation o f the Dataphase online circulation system at the Kornhauser Health Sciences Library, University o f Louisville, required creation o f an interface between the new circulation system and the acquisitions process. Now edited O C L C records are used to print multi-part order/processing f o r m s on a compressed-type printer. The information is transferred into the circulation system to create an active inventory. The result is a practical acquisition st'stem f o r a medium-sized professional school library at minimal cost.

In early 1981, the Technical Services Department of the Kornhauser Health Sciences Library at the University of Louisville faced a major decision on the future of its acquisitions processing procedures. The semi-automated system that produced order forms and in-process control information as well as circulation lists and check-out cards was being replaced by the Dataphase online circulation system which did not have an operational acquisitions subsystem, Beginning in 1966, the Library had developed an inhouse acquisitions-cataloging-circulation system using the 80-line punched card with unit-record equipment [ 1]. For each item acquired by the Library, a deck of punched cards was made: one in-process card; four cards to produce the order form; and a master card that, with the addition of the classification number added in Cataloging, became the basis for the circulation charge-out cards. As items progressed from on-order to cataloging completed, processing status codes were updated on the in-process cards, providing continuous information on the location of material in Technical Services. From the cards a document printer produced a biweekly list of books-inprocess for the information of library staff and patrons. 259

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VIRGINIA L. LEIGHTTYand NEAL D. NIXON

Figure 1. Equipment configuration: (from left to right) 1. Texas Instrument OMN1800,820 KSR Printer/terminal with compressed print capability; 2. OCLC Terminal; 3. Switch Box for transferring record to Dataphase circulation system; 4. Dataphase ALIS I! terminal with wand attachment. (Photo courtesy University of Louisville Biomedical Learning Resources.)

The decision of the University of Louisville Libraries to implement an online circulation system necessitated the creation of a new acquisition system to replace the lost capabilities. The cost of a commercial acquisition subsystem was prohibitive for a medium-size professional library. Analysis of the needs and available resources led to the conclusion that processing forms could be redesigned and a system developed to satisfy the requirements of acquisitions and cataloging, and be compatible with the new online circulation system. The online equipment currently in the Library for all systems includes two Data General terminals on the Dataphase ALIS-I1 system, an OCLC terminal, and a Texas Instrument OMN1 800,820 KSR printer/terminal (Figure I). A search of the literature revealed that at least one other academic library, DePaul University, had successfully used OCLC records and a printer to produce multi-part order/processing forms [2]. The sample purchase order/processing form kindly sent by the DePaul Technical Services Librarian looked promising. The eight-part form contained a checklist of all the processing descriptions and statistical information required, plus the complete OCLC item record. The size of the form--twelve inches wide by seven inches deep--presented a problem. It would not fit into the existing file drawers, and cutting or folding was not a satisfactory solution. With the other expenses incurred during conversion, new filing drawers were out of the question. Also, all eight copies of the DePaul form contained the same information. The five-part, three-by-eight inch forms used in the old system possessed features that were considered advantageous to retain. A modification of the old order form, designed with the assistance of Moore Business Forms, Inc., resulted in the order/processing form in current use. The color-coded forms are differentiated according to function: the white original order, the white cataloging slip, the green posting and payment record, the goldenrod patron notification slip, and the yellow shelf list perforated to form a three-by-five inch slip. The three inches at the righthand side of the form is reserved for information pertinent to each processing function, while the order/bibliographic data appears on all copies in the five inches at the left side (Figure 2).

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Figure 2, Multipart Order/Processing Form, A. Original order/processing form (white); B. Cataloging slip (white); C, Posting and payment record (green); D. Notification slip (goldenrod); E. Shelf list with perforation (yellow). Photo courtesy University of Louisville Biomedical Learning Resources.) Special features of the Texas Instrument printer/terminal purchased for use with OCLC include an adjustable pin-feed attachment and compressed type capability. These features facilitated the design of a form incorporating the OCLC record while retaining the specialized functions of the processing slips. Moore Business Forms, lnc., supplied five-part, carbonless, continuous feed, consecutively numbered forms to meet our specifications. Using the OCLC data base as the source for bibliographic information and the delete/edit function, the basic record is edited on the screen to eliminate fixed and variable fields not necessary for processing, in place of the deleted fixed fields, purchasing information and statistical codes are inserted (Figure 3).

Screen 1 o~ 2 KLH - FOR OTHER HOLDINGS, ENTER dh DEPRESS DISPLAY RECD SEND OCLC: 7835813 Rec s t a r : P E n t r d : 810915 Used: 820503 vendor:maJors ~und:451 price:59.50 P.d.:s.o. date:5/7/82 1 010 81-15699 2 040 DLC c DLC 3 020 0306408392 I 0 245 O0 T a u r i n e i n n u t r i t i o n and n e u r o l o g y / c e d i t e d bY RYan d. Hu>~table and H e r m i n i a P a s a n t e s - M o r a l e s . 11 260 0 New York : b Plenum P r e s s , c c1982. 12 300 xiii, 551P. : b ill. ; c 26 cm. 13 440 0 Advances i n e x p e r i m e n t a l m e d i c i n e and b i o l o g y ; v v, 139

Figure 3. Edited Print-out with Purchasing Information (vendor, fund, price, etc.) Inserted in Place of Deleted Fixed Fields. Pertinent portions of the OCLC record retained and printed include: OCLC reference number; Library of Congress card number; cataloging source; ISBN; main entry; publisher and date; pagination; and series note. Other fields may be selected for inclusion or deletion as indicated by the nature of the material and the requirements of Cataloging. (Photo courtesy of University of Louisville Biomedical Learning Resources.)

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VIRGINIA 1,. LEIGHTTYand NEAI, D. NIXON

Because of the size of the OCLC data base, an acceptable record is generally found to produce the order. On those occasions when a matching record is not available, a work form is requested on the OCLC screen and the necessary information manually input. Orders are batched and printed once a week. The original order is detached and sent to the vendor with the pertinent purchase information highlighted with a bright yellow felt-tipped pen. The remaining four processing slips are filed, in clear plastic sleeves, in alphabetical sequence by main entry, in the on-order drawer. Upon receipt of the order, the payment and posting record is separated from the packet and, after payment information is recorded, becomes part of the permanent library record, The catalog slip, the shelf list and the notification slip accompany the material to the Catalog Section. If there is a patron hold request, the notification slip goes with the item to Circulation, where the notification slip is mailed to the patron. The OCLC -Dataphase interface is utilized to provide an active inventory of material in process. At the time an order is printed from the OCLC record, it is transferred into the circulation data base and given an optical character read (OCR) label. The terminal operator changes the encoding level on the record to K and inserts the order number in the call number field. When cataloging is complete, the edited record is transferred into the circulation data base with an / or blank encoding level, automatically replacing the record input by Acquisitions. Orders produced from a workform record cannot be transferred into the Dataphase System. For those pieces, the emergency circulation function of Dataphase is used. At the Dataphase terminal, the operator inputs a short title and the order number and attaches an OCR label to the record, During cataloging the emergency circulation entry is replaced by the full bibliographic record. To further facilitate control and retrieval of items in process, three Technical Services "borrowers" cards were created: one for On Order; one for Held in Acquisitions; and one for Cataloging. As individual items move through processing they are checked in and out to location "borrowers." Since the due dates for material can be manipulated and overdue notices are produced automatically at predetermined intervals, items remaining in one category for an unduly long period are readily identified and corrective measures taken. Because the system is capable of displaying all material checked out to any one borrower, a list of everything in each step of technical processing can be produced as necessary (Figure 4). It is possible to determine the processing status, and therefore the physical location, of any item in process by searching the author, title, ISBN/ISSN, LC card number, order number or OCLC number, The variety of retrieval possibilities from any terminal in the University system provides access to the processing status by Public Services staff in response to patron inquiries and serves as the major processing tool for the Technical Services staff. A unique feature of this automated system is that the record is carried forward from the original entry by Acquisitions, through Cataloging, on to the online circulation system without repetitive duplication of input. While this is not an online acquisitions subsystem, it is a very workable substitute in a medium-sized professional library. The cost of implementing the system has been minimal. The custom design order/processing forms are relatively expensive at approximately $.27 each for 5,000 forms or $.18 each for 10,000 forms, but they constitute the only major expense. No additional personnel are necessary, only a rearrangement of duties to meet the procedural changes. The terminals and printer are shared equipment used by all Library departments. The procedures devised to meet the needs of this Library, although lacking the sophisticated claiming and fund control capabilities, provide greater control and flexibility than would be

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Figure 4. Dataphase Screen Display of Material Held in Acquisitions. A list of items being processed in the Acquisitions Department. The ID number A00300042089 is the in-process "borrower" number. In the first vertical column are the OCR label numbers attached to each item as it enters the system; the second column contains the truncated main entry; the third column indicates the order/processing number; and the fourth column is the due date, normally thirty days from initial input. (Photo courtesy of University of Louisville Biomedical Learning Resources.)

possible with the commercial acquisitions subsystems that were investigated. This system is open-ended and a m e n a b l e to revision to a c c o m m o d a t e changes in circumstances as they occur.

Should a fully a u t o m a t e d acquisitions system be acquired by the University, no significant additional expense of equipment or software will have been incurred.

REFERENCES I. Livingston, Frances G. "Semiautomated Journal Check-In and BindingSystem." Bulletin oJ'the Medical Librao" Association, 3 (July 1967):316-320. 2. Brown, Doris R. and DeGraff, Kathryn. "From Purchase Order to ProcessingSlip on OCLC." Librarr Journal 104 (Oct. 15, 1979):2173-2174.