National Library of Australia
Kinetica Kinetica
This page is an archive page and will no longer be updated.

Interfaces Seminar

Melbourne, 1–2 July 1998



In an ‘industry first’ for Australia, 32 representatives of libraries, library book suppliers, and library system vendors met in Melbourne on 1–2 July 1998 to examine issues arising from the outsourcing of technical services. The seminar was hosted by the National Library on the advice of the outgoing Network Committee, to consider the implications of outsourced cataloguing for the National Bibliographic Database.

Emphasis during the seminar was given to the needs of Australian research libraries, whose collections in particular underpin the national interlibrary lending and document supply system. To help identify solutions which will suit Australian libraries, a good number of places at the seminar were reserved for Australian library suppliers. However, the meeting was helped considerably by the North American experience of representatives from Coutts and Yankee Book Peddler.


The challenge

The challenge was to find ways to maintain the currency and coverage of the National Bibliographic Database (NBD) in an environment where libraries are outsourcing their technical services to library suppliers. Until recently, libraries have reported their holdings to the NBD as a 'by-product' of their cataloguing operations. For example, libraries have added holdings to the NBD during online cataloguing, or they have sent batches of MARC records and holdings for 'off line' loading to the NBD.

With the increasing delivery of cataloguing services by library suppliers, new methods must be found to continue to update library holdings on the NBD. The problem is made more complex as technology enables libraries and library suppliers to find MARC records from a wider range of sources, including overseas utilities and supplier databases. With the pressure to cut costs being the main incentive for outsourcing technical services, any new methods need to be cheap and easy for libraries and library suppliers.

The seminar identified three models for updating the NBD as a by-product of outsourced cataloguing. At the end of the seminar, delegates considered what action would be required to make these models work.


Model 1: Library reports holdings to NBD

For the first model, the library retains its role in reporting to the NBD. The method of reporting will change from online addition of holdings, to sending batch reports. As the library will manage all reporting of its holdings to the NBD, it will be easier to ensure that all the library’s holdings are reported, even if the cataloguing is sourced from a number of suppliers. To make this model work, libraries would need to send regular, timely contributions to the NBD. Their systems would need to have the capacity to export standard USMARC records, and to ‘remember’ which holdings have already been reported.


Model 2: Supplier sends MARC records separately to library and to NBD

In the second model, the library supplier obtains MARC records from whatever sources are available to it, including Kinetica, and reports to the NBD on behalf of the library. The advantage of this model is that reporting to the NBD would be routine and very timely, as the library supplier would despatch the NBD reports at the same time as the books and records were sent to the customer library. The disadvantage of this model is that the reporting of holdings would be divided into two or more streams, depending on the number of library suppliers used by the library. This would make it more complex for the library to monitor, and there would be a risk of gaps or delays in the library’s contributions to the NBD


Model 3: The 'pass through' model—supplier sends MARC records to the library, via the NBD

The third model is more complex, with the library supplier providing cataloguing records to the customer library by routing the records via the NBD. In this model, the MARC records are sent to the NBD containing customised data fields for item data and acquisitions data. The bibliographic utility (Kinetica) would add the library's holdings statement to the NBD, loading the basic MARC record if no record were available. Kinetica would then swap control numbers with the library. The library's local control number (or vendor number) would be extracted from the MARC record and indexed on the NBD, and the Kinetica control number (the immutable number) would be inserted in the record. The records would then be sent promptly to the customer library to be matched with the books and other materials sent by the library supplier.

The advantage of this model is that it retains a close relationship between the local system and the NBD, by exchanging control numbers. This would foster efficient reporting of subsequent changes to holdings, particularly discarded items and serial cancellations. However, the seminar participants thought that the disadvantages of this model would outweigh the advantages. The 'bundling' of the NBD reporting with the sending of item and order information did not appeal to libraries because of the risk of delays. This model places a significant responsibility on Kinetica to provide speedy processing of records. This may be unnecessary since the need to provide timely holdings for the NBD is not of the same order as the need to provide cataloguing records as soon as the books are received in the library. The seminar was less committed to this model, but as it is a strongly emerging model in North American libraries, it was retained as one which might find support among Australian libraries in the months to come.

It was agreed that Kinetica should be developed to support this model in the future, if it attracts more support from Australian libraries. As this model is a more complex version of the current ABN MARC Records with Books Service, the meeting considered what should be the future of that service.


ABN MARC Records with Books Service

The seminar considered the future of this service, including whether it should be retained or further developed, and whether it should be migrated from ABN to Kinetica. The ABN MARC Records with Books Service does not fit with any of the three models identified by the seminar. The trials have revealed some shortcomings; the supply of the book is separated from the supply of the MARC record; and the service tends to deliver the MARC records to the library several weeks before the book arrives. If the MARC record is not available from ABN/Kinetica, the library has to catalogue the item. Concern was also expressed that Kinetica will not be an international player in the provision of MARC records, and while the strategies for loading MARC files could be revised, Kinetica users would still need to obtain records from other sources. It was not clear how the Kinetica gateways to overseas databases could be used automatically to support the supply of MARC records for newly purchased books to libraries.

The ABN MARC Records with Books model is the only model which would supply Australian subject headings in the MARC records, and libraries were asked to comment on whether that would be an important consideration for them. Advice from participants was that Australian subject access is of great importance, but it can be supplied by the library after the record is received. It could be done either by review of the copy cataloguing record, or by an automatic refreshment of the subject authority file on the local system.

Our North American colleagues alerted us to the probability of increasing complexity in the ABN MARC Records with Books model, especially if it is used to support shelf-ready books. OCLC's PromptCat Service, which commenced life in a similar form to this service, did not really attract wide-spread support until it developed enhancements, such as the upgrading of Cataloguing-in-Publication records, and spine label print files. On balance, the delegates agreed that the ABN MARC Records with Books Service should continue to operate, so that libraries will have an opportunity to experiment with the service. The decision on whether to migrate this service to Kinetica will be made at a later date in the light of support for this model. Libraries or library suppliers who wish to use the ABN MARC Records with Books Service should contact Julia Trainor (jtrainor@nla.gov.au).


What will make these models work?

The last task of seminar participants was to identify the actions which would make these models work. These are the issues which will need to be considered to support the reporting of holdings to the NBD in an environment of outsourced cataloguing:


Policy and standards for reporting to the NBD

Data standards need to be agreed for transmitting batches of bibliographic and holdings updates to the NBD, including additions, changes and deletions. The standards should specify both the minimum and optimum requirements for reporting updates to the NBD. The minimum content for summary holdings statements should also be defined (for example 'Held' for a monograph, or detailed holdings information for a serial).

In reporting holdings to the NBD, libraries need to consider the routing of interlibrary loan and document supply requests to the appropriate delivery point—for example, central or branch libraries—and make their requirements understood. The National Library will continue to discuss this with libraries as they migrate to Kinetica.

Libraries and library system vendors will need a clear understanding of what updates are eligible for reporting to the NBD, to avoid transmitting trivial updates. The National Library should develop this policy in consultation with libraries and library system vendors.

All parties will need to know the definition of match points used in matching data between systems, for example definition of local 9XX fields in the MARC record.

Library systems will need to keep a record of which holdings they have deleted, so these can be reported to the NBD. Library system vendors will need to develop this feature.

Libraries and system vendors will need clear guidelines on sending batches of updates to Kinetica, including frequency, batch size and transmission methods.

Library suppliers would like to report holdings to the NBD in batch mode on behalf of their customer libraries, for example by sending brief records containing ISBN and holdings statements. In return, they would like to receive a report of which records were not found, so that they can provide original cataloguing and reports of holdings.


Standards for conveying acquisitions information to libraries

The standards for conveying item and order information from library suppliers to libraries were discussed. It was conceded that the MARC record was being used to convey acquisitions data because it was more convenient for the operations of library systems. Library systems have not generally implemented EDI support very well. Another view was that library suppliers do not generally support EDI, and that they usually use only BISAC for the purpose of electronic ordering. This matter will require further attention if Model 3 is adopted in Kinetica.


New title information

Paul Wilkins from Monash University described the efficiencies to be realised from the vertical integration of the bibliographic data used in selection and cataloguing. Shirley Oakley from the University of Western Australia agreed that there is much scope for integrating the data used in recommending titles for purchase, and copy cataloguing. This integration could be achieved via suppliers’ systems, or perhaps by means of Z39.50 links between databases.

The Australian library suppliers wanted access to Australian new title information, particularly records from the ISBN agency, records from the National Library's Cataloguing-in-Publication Service, and records from the Standard Address Number Agency. At the point of selection, MARC format is not essential, as information about forthcoming titles is obtained from a variety of sources in a wide range of formats. Suppliers do not consider that they should be charged for using these records to aid the selection of items by customer libraries. They believe that the National Library should only charge when these records are used for cataloguing in libraries. The National Library is considering how it can make its Recent Australian Publications file, which is a monthly selection of records for the latest Australian publications, available to library suppliers for loading into their databases. The implications of providing NBD records freely to the library supply industry presents the Library with a significant policy issue. The Library would need to discuss commercial arrangements case by case with suppliers.

The ISBN and SAN agencies are not owned or operated by the National Library, but the Library will consider what it can do to make these records more available to libraries via library supplier databases.


Charging policy

The charging policy, including incentives for contributions to the NBD, was considered important by libraries and library suppliers. Libraries expected the reporting to the NBD to be free of charge. Library suppliers wanted clarification of who should bear the cost of reporting to the NBD, even if there are no charges as such. The National Library will discuss with the Kinetica Advisory Committee the issue of financial incentives for contributing to the NBD. The Library intends to negotiate individually with companies to find ways to improve reporting to the NBD, for example by testing the most convenient data formats for export from various library systems, and streamlining the scheduling of updates.

Among library suppliers there were two schools of thought about the contribution of their original cataloguing to the NBD. Some Australian library suppliers considered their databases to be a considerable business investment, and did not want their cataloguing records on the NBD for commercial reasons. They would require payment for re-use, particularly for special materials. They prefer to spread the cost across a number of customers, rather than charge the first customer the full cost. Another view, shared by most libraries and the overseas library suppliers, was that the records were paid for by the customer library, which had the right to report the records to the NBD. Libraries make their original cataloguing available on the NBD as a public good, and this data is used by library suppliers for copy cataloguing. There was a suggestion that the commercial life of a MARC record would be 3–6 months. One library supplier considered that the vendor’s added value lies in the support for the workflows, rather than in the provision of cataloguing data per se.

Z39.50 Extended Service

There was some enthusiastic support among library delegates for the use of the Z30.50 Extended Service Update to enable them to report their holdings to the NBD. Library system vendors were less certain that there is wide demand for Z39.50 Update, and library suppliers advised that none of their database systems were fully Z39.50 compliant. The National Library agreed to continue the exploration of introducing Z39.50 Update into a future release of the Kinetica services, although it would not be available when the service is launched in early 1999. Vendors who are interested in Z39.50 Update should contact Andrew Wells at the National Library (awells@nla.gov.au) or Tony Pearce at IBM Global Services Australia (pearcet@au1.ibm.com).


What next?

The National Library will implement the popular models 1 and 2 in Kinetica. Model 3, which attracted less support among seminar delegates, will need more consideration. The ABN MARC Records with Books Service will continue for the next few months, to enable libraries to try this model, and a decision on whether to support this model in Kinetica will be made in consultation with the Kinetica Advisory Committee.

The definition of these agreed models will provide a practical ‘pre-competitive infrastructure’ in which library suppliers can compete for the provision of technical services to Australian libraries, simultaneously ensuring that the NBD will continue to underpin resource sharing among Australian libraries.


Julia Trainor, 9 July 1998


Appendix 1

Kinetica Interfaces Seminar, Melbourne, 1–2 July 1998


Participants

Libraries and consortia

Representative

CAVAL Limited

Richard Leadbetter

Griffith University

Annette McNichol

Macquarie University

Glenys Oxlee

Monash University

Paul Wilkins

PLAIN Central Services

Vanessa Little

Queensland University of Technology

Carolyn Young

UNILINC Limited

Rona Wade

University of Adelaide

Patricia Scott

University of Melbourne

Suzanne Clarke

University of Queensland

Chris Taylor

University of Technology, Sydney

Carol Scott

University of Western Australia

Shirley Oakley


Library suppliers

Representatives

ALS Library Services

Leonard Woodley &
David Seekamp

Blackwells

Glenda Rowsell

Coutts Library Services

Keith Schmiedl

DA Information Services

Kim Hunt

James Bennett Pty Ltd

Graham Templeman

Masons Book Centre

Dean Mason

YBP

Stephen Pugh

Translib Pty Ltd

Iming Chan


Library system vendors

Altarama Systems

Linda Carmichael

Ameritech Library Services

Vanessa Barrett

Data Research International (Australia)

Tim Colvey

Geac Computers Pty Ltd

Erica Maxwell

Innovative Interfaces Inc

Mac Horn

Sanderson Computers

Julie McKay

Stowe Computing Australia

Margaret Allen

National Library of Australia

Andrew Wells
Bryony De La Motte
Julia Trainor

IBM Global Services Australia

Tony Pearce