Unified Information Access System
Intercampus Services Task Force
Policy Recommendations for PHAROS
September 16, 1998

PART ONE:

I.     INTRODUCTION
  A.     CHARGE OF THE INTERCAMPUS SERVICES TASK FORCE:   Recommend to the UIAS Management Team policies, procedures and standards necessary for the successful execution of Pharos intercampus library operations and activities.

B.     SCOPE OF REPORT:
  • To recommend initial policies and guidelines for CSU interlibrary resource sharing.
  • To have the primary focus be circulating books
  • To address the experience and effectiveness of existing systems such as CSUlink and Orbis.
  • To recommend there be an initial one-year trial/assessment period followed by a review of policies, workflow and staffing needs.
    •
    C.     OVERVIEW:   Pharos is an access service-oriented, resource sharing system offering patrons a one-search strategy into the growing universe of knowledge. Using the Pharos union catalog, and other online databases, patrons can view details of their search results and then place requests for either books or journal articles. Patron generated requests can be sent to other CSU libraries, the Infotrieve document delivery service, and the OCLC ILL system using the Pharos ILL/ICC software.

    In this report the ICS Task Force focuses on the guidelines appropriate for the CSU libraries for inter-campus lending, as distinguished from interlibrary loan, using the history and experience of other existing library consortial efforts. Ameritech Library Service’s Resource Sharing System, RSS, is being used to implement and maintain the Pharos ILL/ICC servers. The RSS is an evolving client server software system which uses the ISO 10160 and 10161 standards for interlibrary loan. RSS is a new system currently undergoing rapid development. The RSS is designed to be flexible and open for future reassessment and enhancement.

    With Pharos a student will be able to view access on a much broader level than has previously been available. Instead of one home campus, a student will be able to utilize a CSU-wide union list providing easy access to the collections of the 23 campuses. The search strategies for materials will be easy and relatively transparent. In addition, with effective delivery options in place, libraries will be able to accurately predict the turn-around time for material.

    One of the goals of the ICS Task Force has been to make access to the CSU collection of books and periodicals throughout the 23 campuses efficient, timely, and cost effective. In determining the policies, the Task Force took into consideration the differences in the size of the CSU libraries to insure that the lending and borrowing load was equitable and reimbursable for all libraries — regardless of size. All policies were developed to enable patron self sufficiency through patron initiated loan requests; to move materials quickly, directly, and reliably to the patrons; and to assure that the options for resource sharing between the campuses were planned, coordinated, and executed in a mutually supporting manner. The guiding philosophy behind the policies is to maximize service.
     

     II.      RECOMMENDED POLICY GUIDELINES:

     A.     Books - Incremental Implementation
     

    1.     Request Limits

    The Task Force recommends a limit of thirty (30) active book loan/requests at any given time. This limit seems a fair number for all types of patrons. However, the Task Force feels that libraries should have at its discretion the capability of overriding this limit on Pharos on a case-by-case basis. The 30 book limit will be enforced by the Pharos patron record. A block will be put on the patron's record once they have checked out 30 items.

    Note: Users may not request a book from another CSU library if the home library owns the book and the status reads available.

    2.     Length of Loan

    A four (4) week loan from the day the patron checks out the material is recommended. The patron is notified automatically by e-mail by the Pharos system and has seven (7) days in which to pick up the material. No printed notices will be sent. Status of book requests may be monitored by the patron utilizing the "view your own circulation record" function. Books are subject to recall after fourteen (14) days of circulation. However, it is suggested that recalls only be requested in extraordinary circumstances.

    3.     Renewals

    The Task Force recommends there be no renewals.
     
    4.     Fines
     
    The Task Force recommends $1 per day with a maximum of $10. At this point the patron would be blocked from using Pharos for other requests.

    A first overdue notice would be sent electronically after 10 days from the date due. A billing notice of $100 would be sent after 30 days. This amount would cover replacement and billing. Money collected from fines and replacement would stay with the patron's home library and be deposited in a replacement account. The Task Force recommends a year end reconciliation be worked out by COLD to offset major inequities between the libraries.

    5.     Media, Archival materials, and other non-circulating items

    The Task Force recommends that the borrowing of these items be subject
    to local policy decisions.

    6.     Periodicals.

    Article requests/copies will be subject to the local library's established policies.
     

     B.     BENEFITS OF PHAROS:
     
      1. Turn around time. When the system is totally operational it should reduce the time to fill requests through patron initiated requests when authenticated.
                    a.     Authentication process: To create an ILL/ICC request, a patron remotely, or in a CSU library, accesses Pharos through a web browser and enters her local ID number and pin. The Pharos authentication system passes this information to the local library system's patron database. Each local library determines what constitutes a valid patron. Based on the borrowing status in the local library system patron database, the patron may then be authorized, by the Pharos system, to create a request. When the patron has been authorized to create a new request and the necessary fields on the ILL/ICC request form have been filled-in by the patron, the request is sent to the RSS ILL web server.
      2. Staff time. The system will save staff time by generating printed notices automatically via e-mail. There are four Pharos generated notices: 1.) Item available notice; 2) Item rejected notice; 3) Item recall notice; and 4) Item overdue notice. Each of these notices is generated by the staff user updating the status on a patron's request. Pharos manages and tracks requests from patrons and ILL/DD partners. Patrons can also check up on the progress of their requests without requiring staff assistance.
      3. OCLC savings. Our libraries should realize savings on OCLC bills when Pharos replaces OCLC for CSU transactions. For example, the 97/98 borrowing and lending statistics for CSU Chico were as follows: (All items were requested using OCLC.)
70% - CSU libraries
6% - U.C. Berkeley
24% - Lending materials to libraries outside the CSU system.
  C.     ADDITIONAL ISSUES:
 
  • Mutual use and Distance Learning. The ICS Task Force recommend that all three operations, Mutual Use, Distance learning, and Pharos be coordinated under one guiding system-wide policy utilizing the RSS software. The Task Force recommends a Pharos interface with the Circulation system of the lending library. This would enable a student from a sister campus to come directly to another library or a distance learning student to check out an item from another campus. With the direct Circulation interface, patron service would be enhanced as the ILL office would not have to be involved at this point in the transaction. Separate loan rules could be identified for the Distance Learning students to enable them to have an equal check out with their local campus students. For example, a local user could have access to the maximum number of books enabled by the local library policy in addition to the 30 books through Pharos. If the Distance Learner never uses the home campus, then it may be necessary to adjust the loan rules to achieve parity for these users.
  • Reconciliation of lost and paid books. To assure the money collected stay with the patron's home library, the Task Force recommends COLD establish a reconciliation committee to review charges and offset any inequities. This committee could meet on an annual or semi-annual basis.
  • Standardizing terminology. The Task Force recommends standardizing statements on the various OPACs from the campuses to reduce patron confusion, e.g., there are several statements to let users know the item is not checked out.
    •      III.     APPENDIX
      A.     CSULINK

    The Task Force felt it would be useful to examine the CSULink project in order to understand the processes, policies, and patron and staff satisfaction. This project, similar in many ways to at least the initial phases of UIAS, provides an example of a successful implementation of a cooperative venture.
     

    1.     Background information:
    • Began in 1995 with 5 participating CSU Libraries.
    • Now 8 CSU Libraries, 2 private colleges (Occidental and Claremont).
    • CSULink is a Union Catalog of library holdings (centrally located) from the participating schools. There are (as of 8/22/98, not including CSULB, part way through loading of Claremont and Occidental) 6,000,673 bibliographic records loaded from sites, 3, 060, 389 master bibliographic records in CSULink. Of these 1,936, 544 total are held uniquely by particular library.
    • Valid CSU students, faculty, staff from participating libraries can request items unmediated, check status of request by viewing circulation record.
    • Items loaned are books. Each library has discretion to block some items from view in CSULink catalog (typically reserve items are blocked, some special collections, could block 1998 books if willing to do some special cataloging, etc.); Status shown in CSULink catalog is "available", "unavailable" or "mm-dd-yy" in the case of checked out materials. What gets marked "unavailable" is also a local option.
      •
    Heaviest months of 1997/1998:
    October 1997 1,438 books requested
    April 1998 1,870 books requested
              2.     Policies:
    • Three week check out period.
    • No renewal.
    • Fines of $1/day. Lost book fee of $100 (only a few lost books in system for 3 years of operation!) Money goes to home library of patron; as with mutual use agreements it is felt that this evens out eventually. This will be re-negotiated now that 2 non-CSU schools have joined the project. No fines for faculty.
    • Books held for 10 days for pickup.
    • 10 requests at a time; 12 books out at a time.
    • Patron checks own circulation record for status; backup notifications sent.
    • Patrons are blocked from ordering materials available at home library.
    • Some of these policies were more heavily discussed than others during

      • initial negotiations:
    No renewals; No fines for faculty; 3 week due date 3.     Concerns:
    • Some libraries might be hit more often than others.

      • This did in fact happen in the short term, but randomization kept it to a minimum. Is not considered to be a big problem in the long run.
    • There would be billing problems:

      • Not a major problem. $1/day fine seems to be deterrent.
    • There would be a big impact on staffing:

      • Fullerton: 1 LA spends about 1/3 time; 2 students about 15 hours/week each
      Hayward: LA time is involved mostly in training students; during Fall/Winter quarter about 3 hours/day of student time to page, process, etc.
      Long Beach: going to training session soon, no firm plans for how it will affect staffing
      For most libraries, Circulation staff (or Access Services) handles CSULink.
              4.     Benefits:
       
    • Unmediated ordering is very popular with students, faculty and staff
    • Patrons can check status themselves
    • Guaranteed short turn-around time serves more people
      •                B.     ORBIS
        Orbis is a consortium of 13 libraries at 4-year academic institutions in Oregon and Washington. Orbis provides 48-hour delivery of materials from the Orbis union catalog. Through a single search, a patron can determine what member libraries own and which items are currently available. Faculty, students, and staff at member institutions have on-site and automated borrowing privileges at any Orbis library. The service is made available by Orbis’ Innovative Interfaces INN-Reach union catalog computer system coupled with an air and ground transportation network. Orbis Borrowing requests routinely exceed 8,000 per month. The system is updated continuously. Changes and additions from each member library are registered immediately to provide current bibliographic holdings, and check-out information.

      Orbis Borrowing is an interlibrary loan service for currently enrolled students, faculty and staff at the member institutions. Requests are initiated using the Orbis union catalog to search for items. All member libraries generally loan circulating books and some libraries loan other materials as well.

      Member institutions have adopted standard policies and procedures to assure uniform and fair handling of all requests. All member institutions have made a commitment to rapid delivery and a standard loan period of three (3) weeks. Any item may be recalled for an urgent need. Fines for late or lost materials are also standard, but each institution has local billing practices.

      When a patron requests an item through the Orbis union catalog, they are asked for their name and bar-code. If the item is available, an on screen message lets them know that arrival of the item should be in three (3) days. Users are advised to "check status in View Your Circ Record" and to use the "Display HELD" item option. No notices are sent to the user and items are held for five (5) days only. The checkout period is 21 days with no renewals.

       
    PART TWO:
      I.       Attachments:
        A. Policies Comparison Chart

      Compares Pharos, CSULink and Orbis negotiated policies.

         B. Enhancements.

      Under the guidance of Marvin Pollard, the Task Force has put together a prioritized list of enhancements, taking into consideration the RSS implementation team suggestions and with input from test sites and from the Task Force members hands on sessions. This is by no means an exhaustive list and the Task Force is committed to updating and amending it as necessary throughout the implementation stages of the Pharos system. The Enhancement list was submitted to the Management Team for an August 24th meeting with Ameritech.
       

       II.      Forthcoming Documentation.
        The Task Force will address work flow, functionality, introducing Pharos to the CSU system and other issues of implementation in the coming months. We will prepare progress reports on these issues to the Management Team and COLD.
       
    ICS Task Force