the impact of automation on operations and staffing configurations in cataloguing departments in...

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This article was downloaded by: [University of Toronto Libraries] On: 07 October 2014, At: 18:34 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK Technical Services Quarterly Publication details, including instructions for authors and subscription information: http://www.tandfonline.com/loi/wtsq20 The Impact of Automation on Operations and Staffing Configurations in Cataloguing Departments in Public Libraries Lynne C Howarth MLS, PhD a a Assistant Professor, Faculty of Library and Information Science, University of Toronto, Toronto Published online: 26 Oct 2008. To cite this article: Lynne C Howarth MLS, PhD (1993) The Impact of Automation on Operations and Staffing Configurations in Cataloguing Departments in Public Libraries, Technical Services Quarterly, 10:4, 11-28, DOI: 10.1300/J124v10n04_02 To link to this article: http://dx.doi.org/10.1300/J124v10n04_02 PLEASE SCROLL DOWN FOR ARTICLE Taylor & Francis makes every effort to ensure the accuracy of all the information (the “Content”) contained in the publications on our platform. However, Taylor & Francis, our agents, and our licensors make no representations or warranties whatsoever as to the accuracy, completeness, or suitability for any purpose of the Content. Any opinions and views expressed in this publication are the opinions and views of the authors, and are not the views of or endorsed by Taylor & Francis. The accuracy of the Content should not be relied upon and should be independently verified with primary sources of information. Taylor and Francis shall not be liable for any losses, actions, claims, proceedings, demands, costs, expenses, damages, and other liabilities whatsoever or howsoever caused arising directly or indirectly in connection with, in relation to or arising out of the use of the Content.

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This article was downloaded by: [University of Toronto Libraries]On: 07 October 2014, At: 18:34Publisher: RoutledgeInforma Ltd Registered in England and Wales Registered Number: 1072954 Registeredoffice: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK

Technical Services QuarterlyPublication details, including instructions for authors and subscriptioninformation:http://www.tandfonline.com/loi/wtsq20

The Impact of Automation on Operationsand Staffing Configurations in CataloguingDepartments in Public LibrariesLynne C Howarth MLS, PhD aa Assistant Professor, Faculty of Library and Information Science,University of Toronto, TorontoPublished online: 26 Oct 2008.

To cite this article: Lynne C Howarth MLS, PhD (1993) The Impact of Automation on Operations andStaffing Configurations in Cataloguing Departments in Public Libraries, Technical Services Quarterly,10:4, 11-28, DOI: 10.1300/J124v10n04_02

To link to this article: http://dx.doi.org/10.1300/J124v10n04_02

PLEASE SCROLL DOWN FOR ARTICLE

Taylor & Francis makes every effort to ensure the accuracy of all the information (the“Content”) contained in the publications on our platform. However, Taylor & Francis, ouragents, and our licensors make no representations or warranties whatsoever as to theaccuracy, completeness, or suitability for any purpose of the Content. Any opinions andviews expressed in this publication are the opinions and views of the authors, and are notthe views of or endorsed by Taylor & Francis. The accuracy of the Content should not berelied upon and should be independently verified with primary sources of information. Taylorand Francis shall not be liable for any losses, actions, claims, proceedings, demands, costs,expenses, damages, and other liabilities whatsoever or howsoever caused arising directly orindirectly in connection with, in relation to or arising out of the use of the Content.

This article may be used for research, teaching, and private study purposes. Any substantialor systematic reproduction, redistribution, reselling, loan, sub-licensing, systematic supply,or distribution in any form to anyone is expressly forbidden. Terms & Conditions of accessand use can be found at http://www.tandfonline.com/page/terms-and-conditions

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The Impact of Automation on Operations and Staffing Configurations in Cataloguing Departments

in Public Libraries Lynne C. Howarth

ABSTRACT. Time periods of (I) pre-automation, (2) subscribing to a bibliographic utility, and (3) implementing an automated circula- tion system were compared for the cataloguing departments of four public libraries in Toronto, Canada. from 1970 to 1986. Results suggested that managerial goals for increasing output, decreasing staff, and lowering rates of rise of per-unit costs were more success- fully achieved during both periods of automation as compared to the manual environment, and during the period incorporating an in-house automated circulation system as compared to subscribing to a biblio- graphic utility for cataloguing support. Enhanced computer literacy may have contributed to optimizing applications of subsequent new technologies.

INTRODUCTION AND BACKGROUND TO THE STUDY

In the two decades following the Second World War a tremen- dous growth in scientific, technical, and social science information, combined with the realization that access to these resources was, in fact, to national advantage, intensified collection development in academic and public library facilities. Providing access to growing collections required more cataloguers. The commitment to increased

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Lynne C. Howarth is Assistant Professor on the Faculty of Library and In- formation Science at the University of Toronto. The author earned the MLS and PhD in Library Science from the University of Toronto.

Technical Services Quarterly, Vol. 10(4) 1993 D 1993 by The Haworth Press, Inc. All rights reserved. I 1

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staffing, however, was a long-term, costly response. Adrninistra- tors, more favourably disposed to investing in physical collections than in human resources, began investig&gthe computer as a relatively costeffective tool for providing a record of library collec- tions.' The rationale was that if a task could be broken down into routine components and performed adequately by a computer, then less direct human intervention would be required, reducing the number of staff employed at a defined level of expertise.' With their fast processing speeds, growing storage capabilities, and variety of input and output media, computers emerged as promisingly power- ful innovations for the acquisition, organization, storage, manipula- tion, and reuse of bibliographic data.

By the end of the 1960s, with the development of the Machine- Readable Cataloging (MARC) communications format and the availability of bibliographic records on magnetic tape, it became technically possible for libraries to derive and preserve cataloguing copy using computer technology. Many libraries lacked mainframe hardware, resident software expertise, and requisite funds to mount and use MARC record t w s . Conseauentlv. a number of libraries explored opticms for sharing' nxmxs f6r bib~ographic data exchange. This collaboration spawned several library networks and led to the development of large MARC record databases coordinated and maintained by bibliographic utilities such as the Ohio College Library Center (OCLC: now OCLC Online Computer Library Center), the Research Libraries Information Network (RLIN), the Washington Library Network (WLN; now the Western Library Network), and the University of Toronto Library Automation Systems (UTLAS; now Utlas International). The utilities, offering MARC-based sub- scription services for cataloguing operations and products, gradually extended their support to acquisitions, interlibrary loan, authorities control, fund ac&unting, serials control, and online public access catalogues (OPACs).

Paralleling the rise of the library networks and bibliographic utilities was the development and m&keting of stand-alone, mini- computer-based "turnkey" systems affordable to large and medium- sized libraries. Single-function applications, usually beginning with circulation, were implemented by a number of academic, public, and other libraries. The availability of machine-readable catalogu-

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Lynne C. Howarth I3

ing on magnetic tape was generally prerequisite to creating the databases of in-house automated circulation systems. MARC copy, derived, edited, and filed in bibliographic utility databases, was off-loaded,to magnetic tape and mounted on a library's circulation system. As in-house automated circulation applications stabilized. library systems vendors began developing modules for acquisitions, serials control, interlibrary loan, online public access catalogues (OPACs), and other functions.

A body of library literature from the 1970s and 1980s suggested to managers that, based on experience, subscribing to a bibliograph- ic utility for cataloguing support could effect (1) increases in output, (2) decreases in staffing, and (3) reductions in rates of rise of per- unit operating costs.% While several studies of 0CLC"9 assessed whether, and how well these expectations had been achieved, com- parable research involving the Canadian utility, Utlas International, could not be identified in the literature. Moxeover, many of the assessments of cataloguing support systems focused on academic rather than on public libraries, primarily in the United States. Much of this research was descri~tive rather than em~irical. and tended to rely on managerial percephns of changes in oitput &d costs, rather than on formal measurement and analyses of quantitative data

A review of literature concerning-the benefits of implementing an in-house automated circulation system with a bibliographic data- base typically built and/or maintained locally by cataloguing staff yielded few studies of consequent changes to operations or staffing in cataloguing departments already subscribing to computer-based products and services from bibliographic utilities. Since the circula- tion system is functionally dependent on its bibliographic database, the ongoing construction andlor maintenance of that in-house data- base is often the responsibility of the cataloguing department. Even when the circulation system database is built by downloading records filed with the bibliographic utility, the initial searching, editing and filing of the utilityderived record is often assigned to cataloguing department staff. Furthermore, each volume to be circulated must be bar-coded and linked to a record in the circulation database. While linking existing items in the collection may be assigned to branch staff or a special implementation team, newly acquired vol- umes are bar-coded and linked by cataloguing department staff

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responsible for physical processing (or finishing) of items. It is reasonable to surmise that addine tasks associated with the auto- mated circulation system would necessitate changes to existing bib- liographic utility-based cataloguing workflow, and might impact cataloguing output, staffing, and costs.

PURPOSE OF THE STUDY

The study was intended to address the paucity of empirically- based research involving cataloguing departments in public and Canadian libraries, and assessed whether managerial expectations for increasing cataloguing output, decreasing staff, and lowering rates of rise of per-unit costs were met in automated, as compared to manual, environments.

Similarities or variations in the impact of different implementa- tions of automation were also examined. That is to say, were changes in cataloguing output, staffing, and per-unit costs realized either (1) through the introduction of bibliographic utility catalogu- ing support systems, or in-house automated circulation systems with an in-house bibliographic database or (2) through the introduction of both cataloguing support and in-house automated circulation systems? If differences in the variables were observed, were they significantly different between the two automation components? 'Ibis comparison between two types of functional implementations was to provide research findings unique to in-house systems, and additional to existing studies of cataloguing support through biblio- graphic utilities.

To the extent that the investigation resulted in (1) new informa- tion concerning the impact of in-house automated systems on cata- loguing operations, (2) further data on the affect of cataloguing support systems from bibliographic utilities on cataloguing opera- tions, and (3) new information regarding the impact of the auto- mated components taken singly and in combination, it was consid- ered to be of value to technical services management theory.

STUDY METHOD

A retrospective, longitudinal study of cataloguing depamnents in four comparable public Libraries in Toronto, Canada, from 1970 to

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1986 was conducted post ex-facto across three time-Mes of (1) pre- automation, (2) subscribing to a bibliographic utility for catalogu- ing support (Utlas International, in the four sites), and (3) imple- menting an in-house automated circulation system with a database built andlor maintained by the cataloguing department. Internal monthly, annual, and special reports, descriptive statistics of month- ly and annual output counts of titles catalogued and volumes pro- cessed, and budget documents were analysed. Appropriate technical services and cataloguing department managers were interviewed, as necessary.

With few exceptions, output counts of titles catalogued and volumes processed were available for the entire seventeen-year period under study. To determine whether there were statistically significant changes in cataloguing output across the three time- frames the Wilcoxon Rank Sum test (also known as the Mann- Whitney U Test) was applied to totals of titles catalogued and volumes processed comparing (1) the pre-automation period with the period of subscribing to a bibliographic utility for cataloguing . - support, (2) the pre-automation with the-period of imple- mentinrr an in-house automated circulation svstem with an in- house 6bliographic database, and (3) the perioh of subscribing to a bibliographic utility with the period of implementing an in-house automated circulation system.

From monthly, annual, and special reports, and from follow-up interviews of managers, numbers and levels of staff employed each year from 1970 to 1986. inclusive, were derived. Annual totals of professional librarians, paraprofessionals, and clericals were com- pared across the three time periods to identify possible trends or patterns related to changes in numbers of staff. These raw data counts were analysed descriptively rather than statistically because

. of their relative invariability. Data collection for evaluating rates of rise of per-unit costs

i proved problematic. Because of varying accounting practices and records retention policies, only three libraries could provide total expenses at the cataloguing departmental level, and for these only the most recent seven years of budget documents were still on file. Thus, while the analyses of output variables and st&ng configura- tions spanned the three time-frames constituting the study. only a

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part of the period incorporating subscribing to a bibliographic util- ity, and all of the years covering implementation of an in-house automated cuculation system, could be included in evaluation of per-unit costs for three of four sites. Measuring and evaluating changes in the rate of rise of per-unit costs entailed descriptive, visual interpretation of trends rather than formal statistical analysis. The variability apparent in the rate of rise data made the application of statistical methods such as regression analysis inappropriate.

MAJOR FINDINGS

Cataloguing Output

During the period associated with subscribing to a bibliographic utility (see BIB. Table 1). three of four libraries experienced an increase in median totals of titles catalogued as compared to the pre-automation period (see PRE, Table 1). Only one of those increases, however, was statistically significant (p < .05). When titles cata- logued during the pre-automation period were compared with the period associated with implementing an automated circulation sys- tem (see MS. Table l), three of the four increases in median totals were sigruficant (p < .OS), while output for one library actually declined. Examining the.periods of subscribing to a bibliographic utility (see BIB, Table 1). and implementing an automated circula- tion system (see MS, Table 1). there were higher median totals during the latter period for three of four libraries, but only two of those increases were significant (p < .05).

From the perspective of sigruficantly increasing output of total titles catalogued, there was greater benefit associated with a period incorporating an in-house automated circulation component than with a period incorporating a cataloguing support system. In any case, statistically significantly higher outputs accrued to periods associated with automated rather than with manual systems.

While all sites experienced an increase in median total of vol- umes processed during the period of subscribing to a bibliographic utility (see BIB. Table 2). rather than during the pre-automation period (see PRE, Table 2). two of those increases were significant (p < .05). It may be that higher output of volumes processed occurs

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TABLE 1

Total litles Catalogued *

Site Automation Period Stotisticol Significance **

A 23,298 26,584 36,241 N.S. .O 1 .002

B 19,895 20,785 24.446 N.S. .018 .037

C 28.870 25515 25.386 NS. NS. NS.

D 12,691 21,346 25,881 .023 .014 N.S.

median values for each &rid

** N.S. =not statistically significant p values reported are from the W~lcoxon Rank Sum Test IUII on raw data

for total titles catalogued

when clerical staff, formerly assigned to typing catalogue ciuds now produced by the bibliographic utility, are fi.eed for possible reassignment to physical item finishing. Similarly, the availability of pre-printed products, such as book pockets and spine labels, required at the finishing process may facilitate faster throughput of items for which pockets and labels were previously manually pro- duced in-house.

Only one of three increases in median totals in volumes pro- cessed during a period associated with implementing an in-house automated circulation system (see MS, Table 2). was significantly higher (p < .05) than totals accrued during the pre-automation peri- od (see PRE, Table 2). The necessity to barcode and link all items to bibliographic records in the circulation database may result in

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TABLE 2

Total Volumes Roeessed *

Sire Automarion Period Slatistical Sigtuficance **

A 145,978 176,126 172,730 .011 .033 N.S.

B 57,619 136,357 162,334 N.S. .018 .037

C 60,501 63.723 56,648 NS. NS. N.S.

D 136,938 162,062 177,118 .OOS .009 NS.

* median values for each period

** N.S. = not statistically signif~cant p values reported are from the Wdcoxon Rank Sum Test run on raw data

for total volumes processed

more items being channelled through the f i sh ing process than previously. When the periods of subscribing to a bibliographic util- ity (see BIB, Table 2), and implementing an in-house automated circulation system (see MS, Table 2), were compared, the latter period yielded two increases in median totals but only one was significant (p < .05).

While significantly higher counts of volumes processed accumu- lated during both periods of iudomation as cornpad to tfie preautoma- tion period, there was little evidence to suggest that adding activi- ties requisite to an in-house automated circulation system to a finishing process already incorporating a cataloguing support sys- tem either significantly increased 01 decreased volume throughput.

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Lynne C. Howarth 19

The period of subscribing to a bibliographic utility had a more positive impact on processing than the subsequent addition of acti- vities attendant to the automated circulation system.

Numbers of S h f f

Based on raw data counts, none of the four libraries effected a net d m a s e in total staffing counts throughout the seventeen year period under study. In reviewing median values for each of the three time- frames (see Table 3), it was noted that all sites recorded an increase in total staff during the period of subscribing to a bibliographic utility (see BIB, Table 3), as compared to the pre-automation period (see PRE, Table 3). During the period of implementing an in-house automated circulation system (see MS. Table 3), two sites experi- enced no change and two libraries increased their median totals of staff over those from the period of subscribing to a bibliographic utility. Based on raw data counts, however, actual numbers of staff rose by .5 Full-Time Equivalents (FTE) for Library D, and by 1 FTE for Library A where the sharp rise in the median total (under MS. Table 3) indicated a temporary assignment of staff for a new branch. The data showed, therefore, that the period of implementing an in-house automated circulation system tended towards slightly increasing or s t a b i i g total staffing counts that had risen during the period of subscribing to a bibliographic utility.

Numbers of staff within three levels-librarians, library techni- cians, clericals-were also assessed. The pattern for librarians varied across the fours sites (see Table 4). No change (Libraries A and C). or a slight increase (Libraries B and D) in median totals for librari- ans occurred during a period of subscribing to a bibliographic util- ity. During the period of implementing an in-house automated cir- culation system no change (Site B), a slight decrease (Sites C and D), and a slight increase (Site A, see comment in previous para- eraoh) in median totals of librarians was observed. From these - . , outcomes a general tendency towards stabilizing numbers of librari- ans can be extrapolated. All of the three libraries employing library technicians showed a steady increase in their m e d h tot& from pre-automation through the period of subscribing to a bibliographic utility and again during the period of implementing an in-house automated circulation system (see Table 4). Numbers of librarians

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TABLE 3

Total Number of All Staff *

Site Automation Period

median values for each period

stabilized or began to decline as the numbers of library technicians increased and assumed more cataloguing responsibilities. Median totals of clerical staff increased for 3 of 4 sites during the period of subscribing to a bibliographic utility, but stabilized for Libraries A and B, slightly decreased for Library C and rose slightly for Library D during the period of implementing an in-house automated cir- culation system (see Table 4). From these results a general tendency towards stabiig total numbers of clericals may be inferred.

Compared to a pre-automation period baseline, overall totals and numbers of librarians, library technicians, and clericals we= inclined to increase during a period associated with subscribing to a biblio-

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TABLE 4

Total Number of Staff Within Each Level *

Total Number of Llbrarlans * Site Automation Period

PRE BIB IHS

Total Number of Llbrary Technlctans

Site Automation Period

PRE BIB IHS

Total Number of Clerlcal Stan

Site Automation Period

* median values for each period

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graphic utility. During the subsequent period of implementing an in-house automated circulation system, numbers of librarians and cleri- cals tended to stabilize, while numbers of library technicians continued to rise. This generalized panem holds the potential for increased cata- loguing costs as the number of library technicians continues to rise without a concommitant decrease in numbers of librarians.

Rate of Rise of Per-Unit Costs

Frederick Kilgour suggested'" that, by joining a computerized network for cataloguing support, a library could dramatically increase productivity so as to effect a decrease in numbers of staff, and thereby reduce the rate of rise of per-unit costs to bring them into line with the rate of rise of per-unit costs in the economy as a whole-that is, the Wholesale Price Index (WPI) in the United States, and the comparable Consumer Price Index (CPI) in Canada. For this study per-unit costs were calculated using total cataloguing department expenses divided by total titles catalogued. and total volumes processed, respectively. The percentage changes in per- unit costs from baseline (rate of rise) for each site was plotted against the appropriately rebased CPI for comparison of per-unit and CPI rates of rise. The following section summ& trends across the time span for which data were available rather than comparing, in tum, the periods of subscribing to a bibliographic utility or implementing an in-house automated circulation system.

The most dramatic result occurred with one site's steady decline of per title catalogued cost to well under the level of the CPI (see Figure 1). With this one exception, and with some variation as to whether one was examining cost per title catalogued or cost per volume processed, two of three libraries exhibited a similar pattern. Libraries A and B (see Figures 1 and 2), began to effect reductions in their rates of per-unit costs relative to the economy as a whole (CPI) only as the period of implementing an in-house automated circulation system progressed. For those same sites (see Figures 1 and 2), during a period of subscribing to a bibliographic utility, and for Library D across both periods (see Figure 3), rates of rise of per-unit costs rose well above the CPI suggesting that those sites had been unable to increase output or reduce staff to levels suffi- cient for a lowering per-unit costs. Given that median total staff had

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increased for these three sites during the period concurrent with subscribing to a bibliographic utility, rate of rise results are not unexpected. The tendency towards stabilizing those staff counts associated with h e period of implementing an in-house automated cir- culation system may have influenced the lowering of per-unit costs during that time for Libraries A and B (see Figures 1 and 2). But while per-unit costs were falling more into line with inflation, real dollar savings were not realized through rates of rise consistently below the rate of the CPI.

CONCLUSIONS

Results suggested that managerial expectations for inmasing output, decreasing staff, and reducing rates of rise of per-unit costs weR more successfully achieved during both periods of automation as compared to the manual environment, and during the period incorporating an in-house automated circulation system as compared to subscribing to a bibliographic utility for cataloguing support. It is unlikely that automated circulation systems are beaer suited to im- proving cataloguing operations than computer-based catalogue sup- port systems from a bibliographic utility! Rather it seems more prob- able that technical and computer literacy skills acquired through using Utlas were successfully applied to maximizing possible bene- fits from automated circulation systems. Based on annual and monthly reports examined for this study, cataloguing managers had high expectations for cataloguing support systems but little systems literacy for coping with implementation problems. Expectations concerning benefits for cataloguing operations to be derived from automated circulation were minimal, yet increasingly systems-lit- erate cataloguing managers were able to move quickly to recog- nize and exploit circulation system capabilities to departmental advantage. They saw, for example, the possibilities of using in- house alternatives to products and services from the bibliographic utility. Similarly, learning curves for departmental staff might be expected to be shorter with each subsequent adoption of software or hardware technology, particularly if training allowed for trans- ferring skills from one system to another. Shorter periods of learning

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Lynne C. Howaah 27

and reduced time to implementation would both contribute to mini- mizing negative impacts on departmental output.

While the numbers, type, and geographic location of sites may limit generalizability, the present research adds to the growing body of information concerning automation impacts. While perhaps reas- suring for those administrators who have continued to automate various functions in their libraries, it contains words of caution for those who would increment technologies without carefully review- ing the balance between inputs and outputs. Roductivity gains effected by computerizing routine tasks may, in.fact, have an as yet undeter- mined upper limit. Costs associated with the numbers and levels of staff required to sustain increased numbers of titles catalogued and volumes processed require careful consideration. Fewer, but more highly trained and well paid staff may well suffice to maintain healthy levels of output.

But at what point will the costs associated with that scenario outdistance output, particularly when the value of that output-the bibliographic record in the online catalogue, the finished item to be circulated-is itself unknown? Perhaps cataloguing and technical services managers need to reconsider their goals for automated systems beyond the three most commonly cited expectations which this study was designed to explore. Library administrators may be well advised to examine the real and perceived value of cataloguing outputs in order to determine if they are worth the level and extent of inputs required for their production. On these kinds of consider- ations of utility may rest future decisions to implement or pass over new technologies.

NOTES

1. Hugh Atkinson, "Personnel Savings Through Computerized Library Systems." Library Trends 23.4 (1975): 587-94.

2. Eleanor Montague, "Automation and the Library Administrator," Jour- nal of Library Administration 11,4 (1978): 313-23.

3. Frederick G. Kilgour, "The Economic Goal of Library Automation," College and Research Libraries 30.4 (1969): 307-1 1.

4. Atkinson, "Personnel Savings Through Computerized Library Sys- tems," p. 591.

5. Karen L. Horny, : "Fifteen Years of Automation," Library Resources & Technical Services I . 1 (1987): 69-76.

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6. Peta Spyas-I)llrat5 "The Eflece of Automation m Organizational Changq" m Requiem for the Cmd Cokzlog, ed. Daniel Gore, Jose@ Kimbmugh and Fkm Spy- gs-Duran (W- Oreenwood Ress, 1979), pp. 29-39.

7. Barbara E. Markuson, "The Ohio College Library Center," Library Technology Reports 12, 1 (1983): 11-132.

8. Hewitt, Joseph A., OCLC: Impact and Use (Columbus: Ohio Universi- ties, Office o f Educational Services, 1977).

9. I.T. Morita and D.K. Gapen, "A Cost Analysis o f the Ohio College Li- brary Center Online Shared Cataloging System in the Ohio State University Libraries," Library Resources & Technical Services 21.3 (1977): 286-302.

10. Frederick G. Kilgour. "Objectives and Activities of the Ohio College Library Center," in Indiana Seminar on Informalion Networks (ISIN) Pro- ceedings, Oclobrr 26-28, 1971, comp. D.P. Hammer, and G.C. Lelvis (West Lafayette: Purdue University Press, 1972), pp. 33-41.

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