Next Generation National Union Catalogues
What are the issues, opportunities and options for providing access to the national documentary collection in the current environment and what services should the Library and Archives of Canada be providing
Draft Version 0.4
March 22, 2007
(Abridged for external distribution – 25 April 2007)
Revision History
| Revision Number | Date | Author | Comments |
| 0.1 | February 27, 2007 | Monica Berko, Sam Generoux | Working Draft submitted for feedback to Ingrid Parent |
| 0.2 | March 13, 2007 | Monica Berko, Sam Generoux | Second draft submitted to Ingrid Parent |
| 0.3 | March 20, 2007 | Monica Berko, Sam Generoux | Third draft tabled at DISC meeting 20th March, 2007 |
| 0.4 | March 22, 2007 | Monica Berko, Sam Generoux | Additional catalogue added to functionality matrix in section 5.8, Appendix B annotated with year of latest load to Amicus, and Appendix C added |
| 0.4a | April 25,2007 | Monica Berko | Abridged for external distribution |
Table of Contents
1 Introduction 3
2 Trends 3
Multiple Discovery Channels 3
The Long Tail 4
Discovery to Delivery 4
Doing business on the web 5
Increase in Digital Content 5
Participation and Collaboration 5
Disintermediation 6
Making Data Work Harder 6
Open Source Software Movement 6
Service Oriented Architecture 6
3 What Users Want 7
4 The role of the national union catalogue 8
Resource Discovery 8
Name Authorities 9
Copy-Cataloguing Services 9
Inter-Institutional Lending 10
Supporting the 'Get' Function 10
5 Comparison of selected union catalogues 11
Library and Archives Canada’s Union Catalogue 11
National Library of Australia’s Union Catalogue 11
Danish Union Catalogue 12
OCLC WorldCat 13
Bibliothèque nationale de France’s Union Catalogue 14
Union Catalogues in the United Kingdom 14
California Libraries Catalog: CAtalog 15
Functionality Matrix 15
Comparisons and Observations 16
6 Opportunities 18
The user experience 18
Visibility for Canadian collections 19
Efficiency improvements 20
Making data work harder 21
7 Options 21
Resource database 21
Authority database 22
Service Registry 22
Resource Discovery 22
Data analysis toolkit 23
8 Conclusion 23
Research Bibliography 24
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1Introduction
Just as the explosion of the world-wide-web in the late 1990's forced a major shift in how library networks provided access to the combined collections of their members, the 21st century has introduced a second wave of change that has challenged the library community to re-think how they provide services. The rise of enormous document aggregations such as Google and Amazon has changed the knowledge landscape and the expectations of the communities that libraries serve, and poses fundamental questions to LAC about how to best fulfil its mandate to ensure that all Canadians have equitable, timely and economical access to information. The advent of free public access to OCLC's Worldcat catalogue combined with an accelerating growth in the coverage of this catalogue, is also a shift in the landscape that requires consideration.
As LAC rethinks its organizational and technical approach to maintaining and exposing its own collection catalogue as well as the combined national catalogue, it is timely to re-evaluate the role of the national union catalogue within the context of changing user behaviour and expectations, the needs of Canadian researchers, libraries and other collecting institutions and the national digital information strategy.
This report looks at recent technological and social trends that have impacted on the role of libraries and library networks and the changing expectations of the library user. It examines the current state of the national union catalogue in Canada and compares it with other union catalogues, some national and some regional. It identifies opportunities that the new landscape presents and how LAC could leverage its resources, both financial and human, to meet these new expectations and exploit the rich legacy of decades of cataloguing effort to assist the information seeker faced with ever-increasing sources of information.
Sam Generoux of the Research and Innovation section of the Information Technology Branch of LAC contributed to both the research and writing of this report and is the author of section 5, 'Comparison of selected union catalogues' as well as many aspects of sections 2 and 3, 'Trends' and 'What Users Want'. Liz McKeen, the Director of Resource Sharing, contributed section 4.3 on copy-cataloguing services. Susan Haigh from the Strategic Office at LAC and Dr Judith Pearce, Director of Architecture and Standards at the National Library of Australia also contributed significantly to this report and both reviewed working drafts.
2Trends
Multiple Discovery Channels
"The World Wide Web has become the peoples' encyclopaedia of choice." (Markey, 2007) Information seekers are likely to start with Google, Amazon or Wikipedia and find relevant content accessible immediately or find reference to a pertinent book or journal article. In the case of a book they may purchase it online immediately and in a few days have it delivered to their door. Often they would prefer to borrow it but the process of finding a copy and initiating a request to borrow can be time-consuming, difficult or impossible. Many experts agree that libraries need “to push existing library services across new channels to new users, and to engage with existing and potential users in different ways that make sense to them.” (Chad, Miller, 2005)
Searching for information conforms to the "Principle of Least Effort" (Mann, 1987) and ease-of-use, comprehensive coverage and quick paths from discovery to delivery are important factors in the services users choose.
Fewer information seekers now start their search at the library. OCLC’s recent study of college students put the proportion at 24% (14% at the physical library and 10% at the Library’s website) (De Rosa, 2006). In part this is because many of their information needs can be met elsewhere. However, the OCLC study also found that more than half those surveyed considered library materials would have been useful for their search.
So why not come to the library first? “Suddenly, big is better. Because relevance ranking means that large result sets are not a problem, more users want to simultaneously search large collections of material, which may include library material, but is not restricted to it.” (Dellit and Boston, 2007) As Lorcan Dempsey writes: “Today, we live in a different world. Now, information resources are relatively abundant, and user attention is relatively scarce…. The user is crowded with opportunity. No single resource is the sole focus of the user’s attention. In fact, the network is now the focus of the user’s attention and the available ‘collection’ is a very much larger resource than the local catalogued collection.....We cannot expect the user to come the library any more; in fact, we cannot expect the user to come to the library Web site any more.” (Dempsey, 2006)
The Long Tail
In an article in 2005 for Wired magazine, Chris Anderson argued that the Internet was challenging the idea that most revenue comes from a small number of best-sellers in most industries. He argued that, with online retailing and distribution, we are entering “an age of abundance” of choice: that online businesses are able to offer an enormous catalogue of material, and that people are responding by exploring diverse material. Hence, Anderson claimed, a substantial portion of profits for companies like Amazon and NetFlicks came from the “long tail” of their catalogues: the 80% of material that is accessed only rarely (Anderson, 2005). Anderson’s latest figures claim that 25% of Amazon’s total sales come from rare or out-of-print items that are not available in off-line book chain stores.
Lorcan Dempsey has since argued that most libraries had failed to absorb the relevance of Anderson’s argument to the sector, including the importance of libraries’ aggregating the supply of material, and taking advantage of the aggregation of demand (Dempsey, 2006).
The Canadian Union Catalogue contains approximately 20 million bibliographic records, some of which represent rare, unique or obscure material – “the long tail”. If Canadian library and archive collections are more widely exposed, a world of information is opened up: from indigenous histories through to music collections.
Our challenge is to make these resources as easy to find and get as those in the best “long tail” businesses resources. Finding and getting a library item should be no more complicated than searching and ordering on Amazon, or eBay.
Discovery to Delivery
People who have never used libraries before are finding material in library collections through Internet search engines, and existing library patrons are finding material in their own collections through a range of discovery tools. These items are mixed in with other resources which are either available online, or with a single click users are taken to an online form which enables them to order the item. Discovery services like national union catalogues will need to compete with this level of usability and ease of transition from discovery to delivery. In general, when it comes to discovery, users do not want to be limited to a single collection and they do not want to search multiple sites to discover something. Future discovery services will need to be as broad as possible while maintaining the ability to connect users to specific locations.
Doing business on the web
As the percentage of Canadians who have access to the web reached critical mass, the benefits of doing business on the web became increasingly obvious and more services, both business and government, are now delivered via online transactions. In the case of Canadian adults, 68% (16.8 million) used the Internet for personal, non-business use in 2005. This number increases when we look at Canadian youth, with 94% of grade 4 to 11 students connecting to the Internet at home (Stats Canada). Though the digital divide does still exist, particularly in developing countries, the focus is increasingly on improving the usability of web-based services. This shift from passive consumption of information to interacting with business applications via the web has shifted the expectations and demands of the public when it comes to information services. For individuals, it is no longer just about getting access to a catalogue online, rather the demand is now for easier, faster and savvier information services.
The boundaries of work, leisure and research are converging into a single ‘infosphere’ (OCLC, 2003). This trend should only increase with the proliferation of wireless technologies such as Blackberries and iPhones.
Increase in Digital Content
The amount of digital content is dramatically increasing due to mass digitization projects and the increase in born digital content, both from traditional producers and from new sources as the barriers to ‘publishing’ have fallen. With regards to user-generated content such as blogs, wikis, podcasts, comments, reviews etc, users expect to discover and access this content from the same location as they discover published content like books, journal articles and newspaper articles. For books, the Google Print Project and the Open Content Alliance are aiming through different business models to digitise 'the creative output of humankind' (Open Content Alliance, FAQ). Collecting agencies are increasing the rate of digitisation of cultural heritage materials and newspaper and journal collections (Pearce, 2007).
This increase will allow for greater use of full text searching and the ability to access microcontent. This raises fundamental questions about the role of libraries in the resource discovery and delivery process. There will be an ongoing requirement for services to support requesting and delivery, not just for physical resources (albeit with declining usage) but for resources in any format where there are conditions on access and use. Traditional interlibrary loan will be transformed through simpler business models that support unmediated requesting, digitisation-on-demand and digital loans (Pearce, 2007).
Participation and Collaboration
People are increasingly seeking new ways to communicate, participate and collaborate through web services. The rise in popularity of social sites like Flickr, MySpace, YouTube and annotation services such as those being developed by Amazon, exemplify this trend. There tends to be quick adoption of services, devices and environments that foster some of these socializing forces. They are interested to know what others are reading and what they have to say about it. There is little doubt “that people hunger for context and environments that encourage dialogue, conversation and the ability to share” (OCLC).
Disintermediation
Users are increasingly becoming self-sufficient when it comes to discovering and locating content. Today's library users have a different set of information skills from those of just a decade ago. They are comfortable with the search engines' abbreviated result sets and use various instinctive techniques to identify what might be of interest to them and to further refine their search. They appreciate easy eyeballing and one-click access to summary information if the full content is not accessible immediately. Any assistance that can be provided via the user interface to refine their search strategy is highly valued. They prefer unmediated access to the item itself if possible, and this is increasingly their experience with other online services.
Making Data Work Harder
Successful internet companies are constantly analysing user behaviour in order to target their services more effectively. "A major attribute of Internet companies like Google and Amazon is how they squeeze as much value as they can from the data they have. In other words, they make their data work harder" (Lavoie, Dempsey, Connaway).
Libraries can benefit from the same approach by using available tools to mine the trails and logs left behind by users accessing their services. There is no longer the need to rely only on user surveys or focus groups to analyse user behaviour, as actions speak louder than words.
Similarly the rich data contained in catalogue records needs to be made to work harder in the service of users across the full spectrum of scholarship. Advances in technology permit the intellectual capital that is held in catalogue records worldwide to be better exploited to enrich the resource discovery experience for users at all levels.
Access to digital copies of resources will also provide opportunities to mine full text data to provide an enhanced level of subject description.
Open Source Software Movement
The quality, robustness and scalability of the open source software that is now available has improved dramatically in the past few years. Many of these address various library system requirements and a number of collaborative software development projects have resulted in products that address the particular needs of libraries, archives, and similar non-profit organisations that were beyond the R & D budgets of library system vendors. This phenomenon can be leveraged and supported by these organisations to improve their capacity to meet the technical challenges of these new expectations.
Service Oriented Architecture
There is a general trend towards Service Oriented Architecture (SOA) in the building of IT solutions. This methodology is being used by corporations to reduce the cost of investment in IT systems and to ensure that investment is focussed on delivering effective business solutions. A service-oriented architecture essentially consists of a set of self-contained services that can be requested by applications using an agreed protocol to perform an activity. The service uses mappings to translate the requests into a form required by the underlying technology. (Pearce, 2007)
The benefits to a service-oriented approach include:
a service once developed can be re-used in a range of applications
enhancements to a service are available immediately in all applications that use it
interfaces with third-party applications are more easily established
underlying technologies can be changed without changing the application
This enables a more modular approach to both the development and acquisition of software, with a component-based approach. It also reduces reliance on particular software vendors. Solutions for common services such as session management, authentication and e-payment services are now relatively mature (Pearce, 2007).
The disaggregation of software components allows the best product to be chosen for a particular service and encourages standards compliance as component developers need standards or there is no market for their product. It is also an enabler for the viability of smaller, more specialised software companies and collaborative open source development.
3What Users Want
To reinvigorate the national catalogue service and maintain and increase its importance in the national information infrastructure it is critical to understand what users want. While traditional union catalogue users were information professionals, now the users include researchers and students at all levels and the general public.
Better relevance ranking will improve the search experience for most users, but it is not enough to ensure that users can find what they want in large result sets. Firstly, users express their information needs very differently to each other. Two users entering the same query are likely to have very different expectations from the result set. If we managed to configure relevance ranking to exactly suit one user, it would almost certainly be much less useful for the rest of the population. Secondly, many users still use search queries so broad that the result set is unlikely to meet their information need (Dellit and Boston, 2007).
Rather than simply expecting users to try another search, however, emerging search technologies provide users with more options – to choose from “clusters” taken from their search results, to help refine broad queries, to change to a related or broader search term where there are few results returned, or to follow paths that others looking at similar material followed (Dellit and Boston, 2007).
Based on a survey of the literature, the authors of this report believe that user expectations can be summarised as follows:
To be able to discover relevant content from their portal of choice, across as large a set of collections as possible, regardless of language and format (book, journal article, photograph, web page, blog post etc.)
Access to as much online description as possible, for example: tables of contents, book jackets, author biographies, reviews, commentary
After finding an item of interest, to be able to 'get' it with as few steps as possible, preferably with immediate access to the full text content, or otherwise a seamless request for delivery either electronically or physically
Better user interfaces with query sensitive guidance in result set pages to help find the most relevant resources. This includes features such as:
spelling error detection - "did you mean"
find other resources like this one - "find similar"
facetted navigation with facets such as topic, popularity, publication date, genre, format, audience level, borrowing and purchase locations.
To be able to collaborate and share within the context of the information and knowledge they seek, e.g. tagging and reviewing
Clear reporting of rights restrictions and copyright ownership for electronic materials so they can re-mix and re-use
The evidence suggests that the long-standing and well-documented failures of the online library catalogue are now more acute, given the pervasiveness of alternate search models and interfaces provided by Internet search tools. We need to acknowledge how users actually search for information, then work proactively to build systems that accommodate these actual user behaviours. That likely means that we need:
To build search interfaces analogous to popular search sites such as Amazon.com;
to introduce more full text data into our catalogues;
to put controlled vocabularies to more effective use;
to support user participation features;
and to make greater use of data mining.
4The role of the national union catalogue
Planning for the future of the national union catalogue requires the re-examination of the various roles it performs and the service models possible for supporting those functions.
The chain of use for library and archives material is:
Discover - Locate - Request - Deliver
The national union catalogue should support these functions on a national scale but these functions do not require a single monolithic system to be implemented but rather a series of services (component applications) that can be licensed/developed independently of each other and which access the central data stores of bibliographic, holdings and authority records and the central directory of institutions with their location and contact details, services and policies.
The roles currently understood within LAC for the National Union Catalogue are:
to support resource discovery
to maintain the Canadian National Bibliography, including name and subject authorities
to support copy-cataloguing by Canadian institutions
to enable document request and delivery between institutions and institutional networks.
However there appears to be a lack of data and analysis that measures the usage of these services in the current environment and surveys perceived value from the customer perspective, both library professionals and the general user.
Resource Discovery
This role is considered an essential part of the national information infrastructure. It is a role that involves outreach, education and collaboration with other Canadian institutions and international collaboration also. It assumes that despite the existence of popular global resource discovery services, a resource discovery service tailored specifically to Canadian needs is still required and the costs can be justified. However this assumption needs to be retested in the current technical and social environment.
The visibility of Canadian publications and heritage, nationally and internationally, can be increased by exposing the Canadian Bibliography and location data to other aggregation services. These can be massive collections like Google and OCLC or niche 'mash-up' services designed for a specific audience. The unique requirements of official bi-linguilism and the diverse number of languages and scripts used for publication by Canadians and about Canada present the opportunity to maintain a leadership role in the provision of multilingual resource discovery services.
Name Authorities
Maintaining the official name authority list and subject authority list is an essential requirement for supporting the National Bibliography. Once again it is accepted that the Library and Archives of Canada should maintain this service. However in the current technological and social environment the name and subject authority databases need to:
expose this information using common internet protocols so it can be accessed by other systems
include more types of information
achieve greater integration of name data originating from collections of published and unpublished material
collaborate with trusted partners to aggregate more content
integrate with other directory services and biographical databases, including Wikipedia
allow user annotation
provide better tools for maintainers (sophisticated name matching, name extraction from electronic corpuses, efficient review workflows)
inter-operate with other name and subject authority lists.
Copy-Cataloguing Services
LAC compiles the national bibliography Canadiana, listing some 50-60,000 titles per year. They contain bibliographic data elements designed in part to assist other Canadian libraries for copy cataloguing purposes; for example, the records contain both Dewey and LC classification numbers to meet the needs of academic and public libraries; they contain subject and name headings in both official languages, from which other libraries can choose. LAC also compiles and uses in its bibliographic records certain bibliographic standards tailored to Canadian needs i.e. Canadian Subject Headings, PS8000 for Canadian literature, FC for Canadian history.
The records are available to other libraries for downloading directly from AMICUS, and via Z39.50. The records are also available in bulk on a subscription basis through the MARC Records Distribution Service. Clients of the MRDS service include bibliographic utilities such as OCLC, AG Canada, The Library Corporation etc. which sell their services based on these and other records to libraries around the world. An annual CD ROM edition of the national bibliography Canadiana is also available for sale.
Canadian and other libraries make use of Canadiana records for copy cataloguing, adding the records to their own OPACs to provide access to their holdings. It should be noted that Canadian library collections are often broader than Canadiana, as the interests of the Canadian population extend far beyond its borders. Canadiana records therefore satisfy only a potion of copy cataloguing needs. Even so, a study by McGill University in 2001 found that NLC (at the time) bibliographic records produced a dollar savings for Canadian libraries of a minimum of $7 million per year. Source records from LC available in AMICUS provide an additional source of copy cataloguing, as do the records contributed by Canadian libraries to the Canadian Union Catalogue in AMICUS.
Inter-Institutional Lending
Another service supported by the National Union Catalogue is to enable document request and delivery between institutions. Direct use of this service is trending downwards as more libraries form their own consortia and systems to support inter-lending between their members, however many are still dependent on the existence of the national union catalogue to discover locations outside their own network, although there are a number of alternatives available such as other Canadian library network catalogues and Worldcat.
Current trends suggest that more direct lending services will be offered and a new model is likely to appear that supports unmediated request and delivery. New protocols are under development to support these new models of resource sharing.
Supporting the 'Get' Function
Many libraries give priority to their own collections when it comes to the discovery and delivery of monographs. This reflects an economic reality: the need to limit access to union catalogues in order to keep borrowing costs down. New business models are required to manage costs rather than to erect barriers preventing users from discovering the existence of wanted resources. Union catalogues (and their exposure through popular search portals) need to be promoted as a primary means of access to wanted resources in library and archival collections. This will highlight the need for standards to support the requesting function as an integral part of discovery workflows and new business models to meet user expectations for timely delivery.
Users are growing increasingly accustomed to self-service, and not just for non-returnable items. Online DVD rental is a good commercial analogue to interlibrary loan. Whether to offer such a service has to be a business decision for each library but systems will need to enable choice by supporting a range of mediated, semi-mediated and unmediated models. (Pearce, 2005)
The full implications of these changes are still unclear but this much is certain: people who have never used libraries before will find material in library collections through Internet search engines; and library patrons will find material in their own collections through a range of different discovery tools and expect the same level of service as if they had found the item through the catalogue. To enable this, the discovery service needs to know how to pass the user through to the record for the wanted resource in the local system (Pearce, 2005). This is often referred to as “deep linking”.
The current distinction between lending and interlending and the focus on mediated resource sharing models is reflected in the design of most library systems. There is an assumption that the requester will be a registered user and this influences the way delivery options are presented in the user interface, the design of request forms and the extent to which users can monitor the status of all their requests in one place. In addition, there is no support for managing the request as a commercial transaction and there is no standard way for a third party document request management system to update the circulation system (Pearce, 2005).
5Comparison of selected union catalogues
A selection of national and regional union catalogues was reviewed to look at their coverage and business models and to compare their features.
Library and Archives Canada’s Union Catalogue
Library and Archives Canada’s Union Catalogue contains over 20 million bibliographic records for everything from monographs to maps, websites and Braille items. As of April 1, 2006, the Union Catalogue contained 53 million holdings. It is estimated that 92% of these items come from participating Canadian libraries with the remaining 8% coming from LAC. Of the 20.7 million records, approximately 24% are Canadian.
T Number of Records 20.7 m Number of Holdings 53m Number of Participants 1300
LAC makes its catalogue accessible to the public through either the AMICUS web interface or the federated search function on the LAC website. It also allows selected resource discovery services to access the contents via Z39.50 queries. A comparison of the search requests on the Amicus union catalogue subset for the month of February over the past three years are:
Month Total Z39.59 AAWEB/Gui
Feb 2007 367,325 234,292 (~64%) 133,033 (~36%)
Feb 2006 370,355 234,314 (~63%) 136,041 (~37%)
Feb 2005 306,953 159,134 (~52%) 147,819 (~48%)
The totals for simple and advanced search requests of the Amicus union catalogue subset via the FedSearch Portal for the months of April and September 2006 and for February 2007 are:
Month Simple Advanced
Feb 2007 23,278 3,847
Sep 2006 16,151 3,965
Apr 2006 7,673 2,345
National Library of Australia’s Union Catalogue
R Number of Records 16 m Number of Holdings 42m Number of Participants 1100
In addition to offering a free search service and allowing libraries to upload records, Libraries Australia also has a number of paid services, supporting the following:
Search: allowing users to add holdings to the Australian National Bibliographic Database;
Administration: allowing users to manage accounts, permissions, charges and reports;
Cataloguing: allowing users to add and receive cataloguing information from the National Bibliographic Database;
Document Delivery: allowing subscribers to manage ILL and document delivery electronically, including a payment system that facilitates easy transaction between libraries.
The NLA currently exposes its data for harvesting, allowing popular search services like Google Book Search and Google Scholar to index the bibliographic data. There are plans to extend this to include Google and Yahoo’s general search services.
As well as increasing accessibility by exposing bibliographic data, the NLA is also considering models for direct lending which would potentially allow individuals to borrow items using a home delivery service.
They have also developed Library Labs, a search and discovery prototype that uses the Lucene public domain software product for indexing. Library Labs was a proof of concept, designed to demonstrate and test new possibilities in catalogue functionality; it uses a static set of bibliographic data and is not yet fully functional. The current free search service which is based on the TeraText platform will be replaced by a production version of this prototype in late 2007.
Finally, the NLA is working on a new arrangement with OCLC to improve access to WorldCat for Australian libraries and for their holdings to be reported in the Worldcat service. To date, there has been no official announcement or release of details.
Danish Union Catalogue
The Danish Union Catalogue services are built around two bibliographic databases:
DanBib is the larger database, consisting of bibliographic records and holdings from Danish libraries (academic, national and public) as well as Nordic and Baltic periodical holdings, and records from the Library of Congress and the British National Bibliography. It contains 25.8 million records merged into 18.6 million clusters. There are 1800 libraries on its mailing list and it supported about 2 million loan requests in 2005.
Bibliotek.dk is free to use and contains a subset of records from DanBib focusing mainly on the holdings of the participating Danish libraries. It holds approximately 10 million records and supported 1.3 million loan requests in 2005.
I Number of Records 25.8m (DanBib) 10m (Bibliotek) Number of Participants 1800 on the mailing list
Recognizing some of limitations of the Z39.50 protocol, the future plans for the Danish Union Catalogue will include working with XML-based options to handle ILL messaging and holdings retrieval.
OCLC WorldCat
W Number of Records 76 m Number of Holdings 1billion Number of Participants 9031
OCLC has a number of free services that can be accessed by the general public, including:
WorldCat.org: a resource discovery service
Fiction Finder: a separate interface that allows users to search or browse 2.8 million works of fiction found in the WorldCat database.
OCLC Identities: uses the bibliographic data the authority records to provide a summary page for authors and some fictional characters in the WorldCat database. Corporate names are expected to be added in the near future.
Dewey Browser: an experimental service that allows users to search and browse collections by the Dewey Decimal Classification Scheme.
WorldCat Registry: is an authoritative, web-based directory for libraries.
Find a Library: allows users to locate items in the context of the WorldCat.org resource discovery service.
In addition to the free services listed above, OCLC subscribers also have access to the enhanced services built on top of the OCLC union catalogue:
Connexion: OCLC’s cataloguing service that allows members to create, edit and share bibliographic information.
CatExpress: A simple tool for copy cataloguing.
WorldCat Selection: A service designed to streamline the selection and ordering process by providing a notification service.
GovDoc: Delivers records for government documents held in federal depository libraries.
Z39.50 Cataloguing: Allows users to use there local Z39.50 interface to search and download records from OCLC.
FirstSearch: a reference service that locates resources in local collections.
WorldCat Resource Sharing: gives participants access to a global borrowing and lending network.
ILLiad: Software for managing ILL requests. Currently, OCLC has over 7000 institutions participating in ILL.
Preservation Services: Allows participants to contract preservation services.
Digital Archive: A system for storage of born digital assess.
Bibliothèque nationale de France’s Union Catalogue
The Catalogue Collectif de France (CCFr) is jointly run by the Ministry of Culture and Communication, the Ministry of Education and the BnF. It currently provides a single search interface to more than 15 million records from three major French catalogues:
C
Number of Records
15m
Number of Participants
160 Institutions
atalogue des Fonds des Bibliothèques Municipales Rétroconvertis/BMR
BN-Opale Plus
Catalogue du Système Universitaire de Documentation/Sudoc
The CCFr supports ILL loan requests and allows users to reserve documents to be viewed in a library. It also supports a French National Directory of Libraries and Documentation Centers, a registry that contains the description and details for 4,100 libraries and their collections.
Union Catalogues in the United Kingdom
The British Library doesn’t support a single national union catalogue. Rather there are a number of different discovery and resource sharing tools that search several databases. Typically in the UK, these services have been divided along the lines of public libraries and higher education libraries.
U Number of Records 9m Number of Holdings 40m
C Number of Records 31m Number of Participants 27 institutions
TALIS Source is a union catalogue service which has been developed by the company, Talis, a library system vendor. They are attempting national coverage and also support ILL requests. There is no cost for libraries to contribute their records to this catalogue which bridges the gap between the two services described above. Currently it has in excess of 15 million bibliographic records and 50 million holdings.
California Libraries Catalog: CAtalog
T Number of Records 16.3m (June 2006) Number of Holdings 78.7m (June 2006 Number of Participants Approx. 1,221 institutions
CAtalog provides free searching of public library holdings, however, only registered users can access the holdings of other libraries. It was developed by OCLC and uses the FirstSearch interface to search by region, library type, specific library or state-wide.
In addition to aggregating discovery and search into a single interface, CAtalog also takes advantage of OCLC’s Open WorldCat program to syndicate the records out to popular search services like Google and Yahoo.
Functionality Matrix
The following chart compares the functionality of the discovery interfaces for Library and Archives Canada, National Library of Australia, Danish Bibliographic Centre (DanBib) and OCLC’s union catalogues. For LAC, DanBib and OCLC, the comparison was done using the registered version of AMICUS Web, bibliotek.dk and WordlCat.org respectively. The information provided for the NLA is based on the Libraries Australia service and their prototype service, Library Labs.
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Functionality Matrix | LAC | OCLC | NLA | DanBib |
| Sorting Results: Are users able to sort their results? How many different sorting options are available? |
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| Enriched Records: Are the records in the catalogue enhanced with a table of contents, cover images, etc.? |
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| Save Search: Can users save search results ? | | | |
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| Relevancy Ranking: Query keyword(s) based relevancy ranking |
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| Reviews: Can users participate in the catalogue by writing book reviews? |
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| Rating: Can users participate by rating material in the catalogue? |
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| Recommendations: Does the catalogue offer recommendations for other items of interest? |
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| Browser Plug-in: Does the catalogue have a browser plug-in to facilitate easy search for the user? |
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| Faceted Browsing: Does the site effectively exploit the metadata records and provide users with browsing options from the point of search? |
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| Deep Linking: Are participating libraries able to link their holdings in the union catalogue to the record in their OPAC? Are users easily able to follow through from records in the union catalogue to the appropriate record in the OPAC without having to search again? |
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| Citation: Does the service give easy-to-use, preformatted citation information? |
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| Records Syndicated: Does the service syndicate its records to search engines such as Yahoo! Or Google? |
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| Tagging: Can users add personal keywords (tags) to items in the catalogue? |
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| Spelling Correction: Will the system offer alternative spellings for misspelled words? (i.e. Did you mean?) |
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| RSS: Does the catalogue give users the ability to subscribe to RSS feeds related to specific searches or new publications? |
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| Results Ranking Weights: Is the service explicit about how it ranks results? Can the user adjust the weighting? |
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| Searching outside the catalogue: Can users expand their search beyond the union catalogue? Can they search Amazon, Google or other catalogues? |
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(title, name, date)
Comparisons and Observations
A brief comparison of the functionality offered by LAC, the NLA and OCLC shows that no single system has perfect functionality; however, there is certainly a lot of healthy experimentation and development taking place. Much of this leading-edge functionality is still being worked out, but a key observation surfacing from this simple scan is that the discovery and location functionality has moved beyond the notion of putting records online and providing Boolean-enabled search functions. There is a gap between the current services offered by LAC’s AMICUS Web and the kind of user-centered services that others are developing. Granted that the NLA’s Library Labs is a prototype and many of OCLC’s wonderful functionality is in its infancy, still, there seems to be some general recognition that the future of the catalogue includes developing a strong suite of user-centered services and functionality.
LAC has also begun to develop some of these ‘second generation’ functionalities. For instance, the new federated search function implemented on the LAC web site does provide some forms of faceted browsing, but it still doesn’t support subject facets, dates and names. Furthermore, the faceted browsing offered through federated search has not been fully integrated with the AMICUS Web product.
Additionally, LAC’s AMICUS Web does offer customization through a registered account, but many of the functions and displays offered remain library-centered and not user-centered. For instance, the customization in AMICUS Web allows users to designate a preferred display, offering choices between brief, full or MARC records. Also, users can customize the results by designating their favourite libraries; however, this is done using the library code rather than, for instance, a postal code. The options between MARC and full records display, or basic and advanced Boolean search are important functions, but they are now the baseline functions for catalogues; there is a second generation of functionality, one that focuses on the user’s needs and one that doesn’t assume too much specialized library knowledge.
There are a number functions/features that could be implemented to enhance the resource discovery and location. The following list is by no means exhaustive, but represents some of the ‘second generation’ functionality that is being implemented.
Faceted Browsing: Based on the idea of making metadata work harder, a number of institutions have implemented forms of faceted browsing or guided search. OCLC, the NLA and LAC all have it in some form or another; however, as pointed out above, the types of facets provided vary.
Recommendations: Made popular by AMAZON, the recommendation function tracks usage data in the system and automatically offers recommendations to users based on this data. In the catalogues compared above, the NLA’s Library Lab offered a ‘mashed-up’ form of this function.
Syndicating Records: To provide better access to materials in the collection institutions need to push their records out beyond the catalogue. OCLC achieves this through its Open WorldCat program which syndicates records through Google, Yahoo and other Web discovery services. By extension, the California Libraries Catalog achieves this through its partnership with OCLC. In addition, other institutions such as the NLA and the Danish Union Catalogue are exposing their own records to search services like Yahoo and Google. Other services expose their catalogue for others to include in their resource discovery services e.g. OCLC, Talis Source, LibraryThing
Seamless Discovery: Linking out from the catalogue to other discovery channels allows users to easily expand their searches. For instance, in the Library Labs prototype users are able to expand their search to the web by simply clicking on a Google It button.
Browser Plug-ins and Embeddable Search Boxes: These are light-weight pieces of functionality that allow users to add catalogue search boxes to their web sites and browsers. OCLC has developed some for WorldCat.
Spelling Corrections: Based on the infamous Google response: Did you mean… many catalogues are now beginning to include some form of spelling correction.
Results Ranking Weighting: All systems have some built-in method of ranking results; interestingly, NLA’s Library Labs prototype gives users the option to see and customize the criteria and weighting of the results ranking.
Deep Linking: Both OCLC and Library Labs provided deep linking. Rather than discovering an item in the union catalogue and then trying to locate it in a particular OPAC, deep linking provides users a direct link into the in to the exact record in the smaller, local catalogue.
Enriched Records: Perhaps one of the most noticeable enhancements to the catalogue is the inclusion of features such as cover images and table of contents. However, it is important to draw a distinction in how these enhancements are used and displayed. Users have come to expect and prefer integrated enhancements that look more like Amazon than bibliographic records.
User Participation: The NLA, OCLC and others are beginning to experiment with services that allow users to participate and add to the catalogue. These types of services include tagging, reviews and rating systems. Recently, the Ann Arbor District Library reinvented its OPAC (Online Public Access Catalogue) as a SOPAC (Social OPAC).
Options for Purchasing: In order to give users the option to buy the item, OCLC has integrated purchasing channels in WorldCat. In addition to locating the item in a local library, users are also given the option of purchasing the book through Amazon or through a unique program called Buy It. Buy It is a unique OCLC service that allows users to purchase books though Baker & Taylor and to donate a portion of their purchase to the library of their choice.
While it may not be possible (or desirable) to build all of this functionality into a new union catalogue, LAC does need to consider updating the functionality of its union catalogue. What functionality is added and the best way to obtain it, will require further discussion and research; what this simple review shows is that new types of features are being developed and that this second generation of functionality seems to be based on a new understanding of user needs.
6Opportunities
The platonic shifts that have occurred in the information discovery environment over the past decade, and in particular during the last three years, demand a new approach and re-evaluation of the services provided by LAC and the technology needed to support them. The failure of memory institutions to maintain the relevance of their online catalogues amongst the community they serve needs to be addressed and the national catalogue and the national bibliography reinvigorated.
However the new technological environment also provides many opportunities to implement improved services for users, more efficient work practices for librarians and archivists, and better measurement of costs and benefits. There is healthy competition amongst vendors, open source projects and service providers to supply the building blocks required to provide a modern-day equivalent of the national union catalogue. Meanwhile, competition amongst the super aggregators to unlock the rich store of quality description that is contained in the collection catalogues of every library, museum and archive, has seen them knocking on the door of national aggregators such as LAC for an easier path to growing their own aggregations.
These opportunities can be grouped into the following main categories:
a superior find and get experience for the user accessing the national catalogue directly
ensuring visibility for the collections of Canadian libraries on the web and for the rich metadata they have generated
improved processes for maintaining the national catalogue service, both for LAC as aggregator and for individual libraries or library networks
better understanding of user behaviour and empirical value measurement for services and collections
The user experience
Section 3 "What Users Want" listed a number of features for the resource discovery service that users appreciate and that popular portals provide. Breadth of coverage is a top priority but there are also opportunities to exploit new research and products to improve:
Relevancy: better ranking of the returned results (users rarely go beyond the second screen of results). Users should be able to change the ranking criteria.
Popularity Ranking: utilise usage data and user behaviour to rank results by measures of popularity
Clustering: present the user with options to browse “clusters” of the full results set. These can help refine broad queries, broaden narrow queries with related or broader search terms, or to find similar documents to ones already found relevant. These clusters can make use of content in the full bibliographic record (such as subjects, places, dates, format, material type etc.) in more intuitive ways than the current "Advanced Search" form found on many existing OPACs.
Authority Browsing: allow users to browse the catalogue by people and organisations (as demonstrated in the OCLC Research "WorldCat Identities" trial) or by official subjects
Enhanced Descriptions: enhance the resource descriptions, in particular the brief summaries in the result sets, with data retrieved dynamically from other sources, for example jacket covers, ratings, audience level
User Annotation: allow users (both general and expert) to annotate resources with their own tagging, extended content and commentary
Multi-linguilism: support searching and description in all languages whose scripts are supported by Unicode
If it is not possible to provide a resource discovery service for the national collection that is superior to what is available from Google, Amazon or Worldcat, it can be argued that LAC resources should not be expended on redeveloping the national union catalogue system infrastructure, but shifted to extending the quality of description and the volume of Canadian resources (and location data) in these global services by continuing to maintain the Canadian National Bibliography as a distinct subset, extending the National Bibliography to include more 'unpublished' documents and improving the management and description of the Library and Archives own collection.
Visibility for Canadian collections
As observed in section 2.1 "Multiple Discovery Channels" users have many services to choose from in their quest for information. Resources from their national catalogue need to appear in those services whether they are mass services like Google or specialised 'mash-up' services where only a subset of the national collection is of interest (e.g. only those available in a particular library network, only online resources, only resources with Canadian provenance). As standard protocols emerge, these need to be supported and barriers removed to allow access. Currently only Z39.50 is supported by Amicus and this is not a widely used protocol outside the library community. Simpler HTTP-based protocols such as OpenSearch/RSS for querying and OAI for harvesting resources should be supported as well as the richer protocol SRU/SRW which is the modern equivalent of Z39.50.
The Find-in-a-library option now featured on Google services presents users with locations from which they can access/borrow the wanted resource if it is non-electronic. Are all Canadian publications discoverable in Google services? For Canadian users, do they discover that a library nearby has their wanted resource and is willing to lend it to them and what their opening hours are? Or do they find that the nearest location for this Canadian publication which they want to read is somewhere in New York State? If they have the funds they might go straight to Amazon and buy it. If they haven't the means they are likely to give up and make do with whatever they can access online. If they are regular library users they may access the OPAC's of their local library and re-enter the search, but this scenario is not as likely as the former. Removing these barriers to discovery and delivery is surely a priority.
Web page creators should be able to add "Find in a library" search boxes to their pages which search the related catalogue subset and reports only holdings located in a subset of locations. This is possible now, but the available catalogues and locations do not include the Canadian National Union Catalogue.
It is also now possible for users to download plug-in for their browsers so that when they search Amazon, publications of interest will include a link to "Borrow this book" based on personal user profiles about their location and/or library membership. But unless Canadian catalogue data is pushed into the "network" the fact that they can borrow this book from a local or regional library will not be apparent.
Efficiency improvements
The staff resources required to maintain data quality if the diversity and number of institutions contributing to the National Catalogue were to increase would be unsustainable using current workflows. There are a number of opportunities to reduce the workload for staff performing maintenance on the national union catalogue. Much more can be done programmatically to assist their endeavours and modern bibliographic software has more features and better user interfaces to support quality review than the aging Amicus system. Throughput and quality is contingent on the robustness of the programs used for determining duplication, the consistency and quality of the data provided by contributors, and the workflow interfaces that are provided to support human intervention.
The current approach to maintaining the quality of the union catalogue filters the harvested catalogue data on the way in, performing matching and merging and producing reports that are manually checked before the new or modified records are accessible. The need to exercise caution with the current approach both to ensure a quality product and because it is not trivial to roll back changes means that high thresholds are set for matching and merging and considerable staff time is needed for review of near matches and consequently contributing institutions can see significant delays before new acquisitions appear in searches. Instead of doing matching and merging on ingest, contributed records could be retained and combined for searching and display purposes. Dashboard style web interfaces allow business staff to monitor loads with detected problems or where the contributor profile states that quality review is required. Updates can be rolled back easily because no change to existing records has occurred. Another benefit of the soft approach is that the provenance of the data would not be lost and this could make the national union catalogue more amenable to functioning as an OPAC. This would provide the option for contributing libraries to use the superior search capabilities of the national catalogue as the interface for their own collections and their own Library Management System would be used for managing their collections. Their members could even make borrowing requests via the national catalogue interface if it retains sufficient holdings information to be able to interoperate with the local library system.
If LAC plans to move to an FRBR view of bibliographic resources to provide searchers with a more useful search result set and to display bibliographic resources in context, the same matching rules used to combine records at the FRBR manifestation level can also be applied to duplicate records to create a synthetic MARC record for close copy cataloguing purposes if required.
The use of standard protocols and registry services to facilitate system-to-system interaction will reduce the burden on business and IT staff to set up and test procedures individually for other organisations wishing to make use of the data in the union catalogue or to contribute to it. It reduces the workload and costs for our partners as well. Increasingly, library applications need to know about a variety of entities in addition to resources such as books, journals, maps etc. What about institutions (suppliers, libraries, museums, publishers, agencies, consortia etc), policies (e.g. ILL policies), licenses, collections (databases, special collections, summary level descriptions of archival collections, etc), and services (machine-readable interface details for system-to-system communication and descriptions for human users). For example, to provide a seamless "get" function to the user, the discovery service needs to know how to pass the user through to the record for the wanted resource in the local catalogue system.
Making data work harder
There is a wealth of information about user behaviour and services usage that can be mined from query logs, access logs, request logs, transaction logs and personal user profiles. To realise the potential of these data sources, data mining techniques need to be employed to empower the business user to produce the figures as they want to see them over time periods of their choosing. The current situation at LAC is characterised by the existence of a limited set of regular reports that were designed when systems were first implemented and a number of ad-hoc reports which are produced at the request of management but which require some effort on the part of IT staff to produce. Consequently there are many questions that go unanswered because the cost of extracting the necessary statistics is felt to be too high. This information can inform business decisions about the value of services and collections and can be used to improve service delivery. By renewing and replacing out-of-date systems there is the opportunity to move to common standards for logging and use generic tools for analysis and reporting.
7Options
To examine options for realising the opportunities identified in the previous section it is important to separate the basic components that are required to realise these opportunities and then identify available models for sustaining each component.
The components of a national union catalogue platform can be generally described as:
a database of resources and their locations (analogue and digital, published and unpublished, all types of memory institutions)
a database of people, organisations, subjects (authority records)
a registry of library and related institutions and their services
resource discovery services for both human and system users
data analysis toolkit for business intelligence reporting and user behaviour analysis
Resource database
There are a number of models that can be examined for supporting this component which is the core content of the union catalogue.
maintain a centralised database (as is the current situation) and increase coverage by harvesting more catalogues from library and non-library sources. Some possible technical options are:
to develop a system based on the current Mikan system (this is currently scheduled as part of the Amican project)
integrate and customise open-source components into a locally tailored solution
purchase a platform product and bibliographic utilities necessary for the management and maintenance of the data
maintain a centralised database but implement data-sharing arrangement with OCLC so institutions can contribute records to either database and they will be reflected in both
outsource database maintenance to OCLC or other service provider but continue to develop tailored resource discovery services and provide outreach services to assist Canadian institutions with cataloguing practice and exposing their catalogues for harvesting by OCLC and others; or
outsource to OCLC - including database maintenance, user interfaces and support for institutions contributing their collections
One of the advantages of a maintaining an in-house database is the ability to trial different indexing and clustering methodologies to improve the user experience. This is also possible with the outsourced option but would require the capability to mirror its contents possibly in a local XML repository for indexing purposes.
Authority database
The possible options for supporting the centralised database of people, organisations and subjects (authority records) are the same as for the resource database.
Service Registry
LAC already has a number of directories and registries pertinent to union catalogue services that overlap in the entities being described. It is important that the service registry integrates with the single corporate directory of organisations and people with whom LAC has a relationship. This is already the vision for the newly developed CIM system. This directory needs to support protocols such as LDAP as well as the protocols and schemas developed for exchanging data about library services - e.g. IPIG . There also the opportunity to implement new standards being developed by the library community in this area (see ISO 2146).
An example of a service registry is the OCLC OpenURL Resolver Registry. OCLC is providing a service for individuals and information partners to maintain OpenURL resolver information in a single location and utilize this information across services in the information industry. The registry allows institutions to maintain their own resolver data in the registry and a gateway which can redirect OpenURLs to registered resolvers based on the requester’s IP address.
Resource Discovery
The only resource discovery services that succeed are ones with fast response times. The response times of many search services delivered by libraries is unacceptable, particularly if they attempt good relevancy ranking. The discovery service should be built on indexes of the complete data store which can support speed and flexibility in the criteria used to rank results and with system interfaces that support the standard query and response protocols.
Looking at the experience of others, it would appear that Lucene is the indexing engine most commonly used to support these functions. Multiple user interfaces can be designed for different customer types using standard web technologies such as PHP, XSLT and CSS which are technologies currently used by LAC IT staff. With sufficient memory in the search server, much of the result set processing can be done in memory, speeding response times and reducing the load on the index search server. Endeca is another product used for this type of indexing and OCLC uses ?
Data analysis toolkit
This is a common requirement for all businesses and the software infrastructure needed to support business intelligence requirements has a big marketplace and thus a number of quality products are available at reasonable cost (unlike library systems). The term "business intelligence" is often used to describe these products which enable the liberation of business information from transaction logs (often merged with other information sources such as demographic data). "Data mining" is another term commonly used.
Substantial effort is still required from programmers and business analysts to implement this reporting framework as the various data sources need to be thoroughly understood and the types of analysis and reporting that will be required needs to be predicted to some degree so the extraction and aggregation of data is done appropriately into the "data cubes" which will support the end-user analysis and reporting. Existing reporting programs are very valuable models for this purpose. A data registry is also an important component of successful business intelligence systems.
8Conclusion
LAC's Canadian Union Catalogue is a long-standing service offering that is known to be used and appreciated by a range of Canadian libraries. It is sustained by 18 FTE in the Database Networks section as well as 1 FTE support from ITB.
But the ground has shifted, and the Union Catalogue must evolve. The end-user, approaching library resources through a Web search engine or acting under a set of expectations formed by their use of such search engines, is the new target user. There are opportunities--and these are being vigorously pursued by others who offer similar products
to enhance the user's experience of the catalogue,
to increase the visibility of catalogue data in the broader web environment,
to provide unmediated access to resources with new lending and electronic delivery options,
and to build and administer the catalogue differently.
This paper outlines the new context and the new opportunities, but it largely stops short of pointing the way forward. Options for realising the opportunities presented need to be carefully examined, discussed, costed, and weighed in terms of benefit to the Canadian user, both libraries and individual information seekers. If LAC does not assess its options carefully at this juncture, it risks either providing an out-of-date service at considerable cost to the taxpayer, or falling short on a potential return on its long term investment by the fact that it holds a set of data that suddenly has much broader appeal than ever before.
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