Approved by LION Board of Directors: 12/21/93
LION GENERAL POLICIES – TABLE OF CONTENTS
Table of Contents
Finances and Insurance………………………………………………………………………………………Part III
General Membership Expectations……………………………………………………………………….Part IV
General LION Responsibilities……………………………………………………………………………..Part V
Cataloging Standards………………………………………………………………………………………….Part VI
Rev. 4/26/94, Sample notices appended.
Circulation and Interlibrary Loan Standards……………………………………………………………Part VII
System Security………………………………………………………………………………………………….Part VIII
Rev. 2/28/95, Level 6 authorization.
Part I – Introduction
The following are general Policies of Libraries Online, Inc. (LION) which express the responsibilities of LION member institutions and LION staff. They reflect both the governing documents of LION and its policies as approved over the years of its existence.
These policies are intended to implement LION’s Bylaws, Guidelines, and Mission Statement. The latter, as approved by the LION Board of Directors at its December 22, 1992 meeting, states:
Libraries Online is a consortium of library institutions committed to the promotion and extension of quality library resources and services. Through shared technology LION provides its members and their users with cost-effective automated services, a high quality bibliographic database, and easy access to other information resources.
The By-Laws state:
This corporation is a voluntary association of libraries and library associations organized for the purpose of promoting and extending quality library services through the creation of a computerized, shared bibliographic data base and certain services dependent thereon. This data base is intended both to serve the needs of the membership and to aid, through appropriate access, the development of a statewide bibliographic data base and system of resource sharing.
LION is a private, non-stock, non-profit Connecticut corporation established in February 1982 which enjoys permanent tax exempt status under the provisions IRS regulations (501 C3). The basic concept of LION is that of a shared computer system with associated files, equipment, telecommunications network, software modules and accounts. LION, as opposed to its individual members, owns all assets associated with the system, including: central site hardware, software licenses, the telecommunications network, all peripheral equipment (except as specifically authorized by the Board of Directors), and all bibliographic data. Members which themselves qualify as 501 C3 institutions may have certain equity rights under Federal law (in the event of the dissolution of LION), and all members have the right to receive copies of their input data (in the case of termination of membership).
LION membership goes well beyond a simple seller/buyer relationship for services provided. The relationship requires a long term commitment to mutual cooperation and responsibility.
As a consortium, LION expects its members to participate fully in all LION activities and to share equal responsibility with all other members for the well-being of LION and its continued usefulness to its members. Members are expected to devote significant staff resources and expertise to LION in terms of active participation in the decision making processes of LION such as the Board of Directors, committees, and task forces, and a willingness to accept leadership responsibility for these as well.
Likewise, members are expected to maintain professional expertise sufficient to sustain and add to the high quality bibliographic database which is LION’s primary resource.
Resource sharing is a primary purpose of LION. LION seeks to extend the availability of library materials to all Connecticut residents, not only between LION member institutions, but also through statewide resource sharing.
Financially, LION seeks to provide cost effective services and resources. In concept, LION acts like a consumer owned utility, wherein once initial service is established through payment of one-time fees and installation of equipment and software, that service continues as long as operational fees are paid. Capital replacement, including system replacement, is planned for through any balance remaining from initial fees, reserve setasides from operational fees, interest/dividend earnings, and any received grants-in-aid.
Part II – Governance
LION is governed by a Board of Directors, made up of one person appointed by and representing each member institution, the responsibilities and structure of which are contained in Article IV of the LION Bylaws.
Except as provided by Connecticut’s Freedom of Information act, all LION Board and committee meetings are considered public meetings. All committees will make an effort to publicize (throughout LION and in advance) the date, time, place, and agenda of each meeting.
In addition to the Board, LION has several Board and Member committees, both standing and ad hoc, as well as informal interest groups. Committee and task force chairs are appointed by the LION President. The committees act as: fora for dissemination and discussion of relevant material among member institutions; investigative task forces for specific purposes; agents for certain ongoing LION business or planning; vehicles for system training and standards education, and sources of recommendations to the Board on those policy matters appropriate to such committees. As such, reports from committees and task forces are included as permanent agenda items for all Board meetings.
Any committee requested or recommended action shall be presented in the form of a written report and motion for Board consideration. If possible, these should be brought to the attention of the LION President in advance of the Board meeting and placed on the agenda as action items.
With the sole exception of the Nominating Committee, the President of LION is an Ex Officio member of all LION Committees, Task Forces, and Interest Groups. With the sole exception of the Nominating Committee, the LION Executive Director or her/his designee shall be seated as an Ex Officio non-voting advisor to all LION Committees, Task Forces, and Interest Groups.
1. Board Committees:
These committees act specifically as subcommittees of the Board of Directors.
a. The Executive Committee – is comprised of the Officers of LION plus its immediate past President and is chaired by the LION President. It may exercise all authority of the Board of Directors as provided by the Bylaws of LION and resolutions of the Board. In addition, it makes recommendations to the Board on matters of member non-compliance with LION standards.
b. The Finance Committee – is comprised of five (5) members of the Board including the Treasurer, as chairperson, and four (4) other members appointed by the President of which at least one shall be a member of the Executive Committee. It is responsible for presentation of the Budget to the Board, recommendation of investment decisions, annual review of the Schedule of Fees and Services, and other issues of significant financial consequence.
c. Nominating Committee – is comprised of three (3) Directors appointed annually by the LION President with the responsibility to present a slate of nominees for Officers of the Board of Directors for election at the first Board meeting following the Annual Membership Meeting.
d. The Personnel Committee – is comprised of three (3) Directors and is chaired by the LION Vice President. It makes recommendations to the Board as requested by the LION Board. Typical matters include the annual performance review of the Executive Director, annual review of LION salaries and wages, changes in job descriptions and LION staffing recommended by the Executive Director, and changes to the Personnel Policy. The Personnel Committee may exclude the Executive Director from its deliberations only on matters relating exclusively to her/him.
e. The Planning Committee – is comprised of the Officers of LION, chairs of the Bibliographic, Circulation, and Public Access Catalog Committees, and the immediate past President of LION. The Executive Director and the Assistant Director of LION are included as non-voting Ex Officio members. The committee is responsible for recommendations to the Board on issues of growth, membership, planning, and policy. It receives input from other LION committees, from LION Board members, or by charge directly from the LION Board. Its chair is appointed from among the membership of the Committee by the President of LION.
f. Negotiations Team – is activated by the Board, chair appointed by the LION President. Membership includes LION Officers and Member Committee chairs; the Executive Director and Assistant Director are Ex Officio non-voting members. It is responsible for contract negotiations and for obtaining legal advice as necessary. Historically it has evolved from a System Selection Committee which has had responsibility to select LION’s automation vendors (including working with professional consulting services); once chosen, this committee has continued as the Negotiations Team in order to finalize contracts with the chosen vendor.
g. Membership Committee – an ad hoc informal group (usually comprised of the LION Executive Director and one or more LION Board members) which meets with prospective new LION members to provide information about and/or a demonstration of the LION system. It is intended to cover both technical aspects of LION’s current system and practical aspects from the point of view of a member library director. It is also responsible, with LION staff assistance, to evaluate prospective new members of LION and make recommendations for or against membership to the LION Board.
2. Member Committees, Task Forces, and Interest Groups.
These committees are bodies whose responsibilities and activity are crucial to the functioning of LION. Each LION member using the functional software or services addressed by these committees is required to appoint a representative to and attend meetings of said committees.
a. Bibliographic Committee (formerly the Bib Task Force) – is comprised of representatives appointed by every LION member institution. It works with LION staff, other committees, and member institutions to assure the continued high quality of the LION bibliographic database and member compliance with LION’s Cataloging Standards.
1). Acquisitions Task Force – is activated from time to time by the President of LION and includes representative from LION libraries using or interested in the Acquisitions function plus a LION staff member. It has worked to share the knowledge required for startup in Acquisitions. Matters of policy raised in this group are normally referred to the Bibliographic Committee.
2). Serials Control Task Force – is activated from time to time by the President of LION and includes representative from LION libraries using Serials Control software. It normally works with the Bibliographic Committee to resolve problems and make recommendations concerned with member use of Serials Control.
b. Circulation Committee (formerly the Circ Task Force) – is comprised of representatives appointed by every LION member institution which circulates materials. It works with LION staff, other committees, and member institutions to resolve issues related to LION’s circulation software and to assure member compliance with LION’s Circulation and Interlibrary Loan Standards.
1). Interlibrary Loan Task Force – is activated from time to time by the President of LION. It normally works with the Circulation Committee to resolve problems and make recommendations concerning Interlibrary Loan services dependent on use of the LION system.
c. Public Access Catalog (PAC) Committee – is comprised of representatives appointed by every LION member institution which uses the Public Access Catalog function. It normally works with the Circulation Committee and Bibliographic Committee to resolve problems and make recommendations concerning the use of PAC and Dial PAC LION terminals, both with the LION bibliographic database and such other databases as LION may provide (e.g., Journal Citations, Gateways, Internet, etc.).
d. Other Interest Groups.
From time to time interest groups may be formed centering upon particular areas of concern. These groups are informal, with “membership” comprised of any interested individuals from LION member institutions. Activities typically include group sharing of information and experience, shared training events.
Part III – Finances and Insurance
LION is operated on a cash basis, with funds maintained in a number of financial instruments. All expenditures must be documented, allocated to a specific LION Budget line item, and approved by both the appropriate LION staff person and the Treasurer of LION. Expenditures not specifically included in the LION Budget shall be approved by the LION Board of Directors.
Current LION Officers are certified annually as authorized to sign checks and transfer funds. The Executive Director of LION is authorized to sign LION checks as well. All expenditures in excess of three thousand dollars ($3,000) require two signatures.
1. Annual Audit.
a. LION’s financial records shall be audited by a Certified Public Accountant on an annual basis.
b. The Auditor’s report shall be presented, with any recommendations, at each Annual Meeting.
2. Financial records:
a. LION shall maintain all financial records in accordance with standard accounting practices.
b. Record of all transactions and authorization for same shall be maintained for at least six (6) years.
3. Reporting – LION files the following required reports:
a. IRS 990.
b. State and Federal Employee Income Tax forms.
c. State Workman’s Compensation Insurance forms.
d. State Consumer Protection report.
e. Federal ERISA report .
f. Connecticut Department of State corporation report.
4. Investment philosophy:
a. LION shall maintain a conservative investment philosophy subject to annual review with preservation of capital as its primary objective.
b. LION shall maintain a combination of short term (up to two years), long term (over two years), and operational reserve funds.
1). Short term funds may be invested in interest bearing checking accounts, savings account s, money market accounts, and certificates of deposit. These funds are intended to cover the cost of short term capital upgrades and replacement.
2). Long term funds may be invested in savings accounts, money market accounts, certificates of deposit, and stock and/or bond mutual funds. These funds are intended to cover the cost of long term capital upgrades and replacement, including system replacement.
3). Operational reserve funds should equal about ten percent (10%) of the current years Operations budget and may be deposited in checking accounts, savings accounts, or money market accounts – provided that such funds are immediately available. These funds are intended to cover ongoing budgeted expenses (either operations or capital) during the fiscal year, and any emergencies not budgeted.
c. The sources of funds for investments include:
1). Any surplus income from one-time fees.
2). Undesignated cash balance at the end of each fiscal year.
3). A designated portion of the Operations Fee as such may be established from time to time.
4). Gifts and grants.
5. Insurance. LION maintains the following types of insurance:
a. Insurance of all owned physical assets on an original purchase cost replacement basis.
b. Loss of income and cost of emergency operations.
c. Corporate and personal liability, including bonding of LION Officers and staff.
Part IV – General Membership Expectations
1. Acceptance of new members into LION and representation on the LION Board of Directors requires the following:
a. A formal letter of application signed by an individual authorized to commit the prospective institution to LION membership.
b. A recommendation from the Membership Committee followed by a two thirds (2/3) favorable vote of the full membership of the LION Board of Directors.
c. A signed copy of the Guidelines by the member and LION.
d. A signed copy of that portion of LION’s OCLC Cluster Agreement which provides for additional participating LION libraries.
e. Payment in full of Membership fees.
f. Presentation of a Designation of Representative form to the LION Secretary. Individual appointed must have full authority to represent the member institution in LION Board decisions.
g. The stated willingness of the member to provide access to its library resources through Interlibrary Loan both to the patrons of other LION member institutions and, through appropriate resource sharing mechanisms, to all residents of the State of Connecticut.
h. A report by the Membership Committee as to whether the prospective new member institution will contribute to the resources of LION and its ability to achieve its mission. Included will be an assessment of the method to be used and payment of costs for retrospective conversion of that member’s holdings to LION, and a determination that the prospective new member’s professional expertise is sufficient for it to sustain and add to the high quality bibliographic database which is LION’s primary resource.
2. Ongoing membership requires:
a. That a current Designation of Representation form be maintained.
1). The Designation form must be presented annually prior to the first Board of Directors following the Annual Membership meeting – as the term of Board membership is one year.
2). A form must also be presented whenever the member institution needs (through resignation, death, retirement, etc.) or wishes to change its voting Designee.
b. Attendance of meetings.
1). Regularly scheduled Board meetings. Unexcused absence from three (3) successive meetings will require the institution to redesignate its representatives and constitutes grounds for loss of that individual’s seat on the Board.
2). A designated representative is required to attend LION Member Committee meetings which are relevant to the functions used by the member.
c. Timely payment of all fees and assessments approved by the Board of Directors. LION fees are established in the Schedule of Fees and Services approved annually by the Board, subject to revision (but not increase) during the year to which it applies.
1). Operations Fees are due within ninety (90) days of receipt. The Board may allow a discount for early payment from time to time. Operations Fees begin the day after a terminal is installed.
2). Payment of Initial Fees for terminals is due upon installation.
3). Payment of other invoices is due within thirty (30) days.
d. Entry of all its patrons and holdings (both titles and items) into the computer system and all other use of the LION System in accordance with the standards adopted by the Board of Directors detailed in Policy and Procedures Manuals or other publications published from time to time by LION.
e. Continued designation of a Project Director to serve as that member’s primary LION contact person with authority and responsibility for coordinating that member’s participation in LION, including:
1). Local LION project management, e.g., initial and ongoing decisions about library parameters, notices, reports, invoicing and payments, orders for LION fee-based services, supplies, or equipment, etc.
2). Training of that library’s line staff .
3). Distribution and local reproduction of LION/system information and documentation.
4). Service as the primary contact person in the event of system emergencies or local failures.
5). Responsibility for assuring appointment and attendance of representatives from that member to LION committees and task forces.
f. Assistance in system maintenance:
1). Mutually scheduled downtime for routine or planned system
maintenance and upgrades.
2). Compliance with instructions received from LION in the event of system emergencies or breakdown, including notification of that institution’s staff and served clientele.
3). Provision of on-site access to library premises as required for repair of LION, SNET, or other equipment installed at that site, regard less of which member is directly served by that equipment.
g. Participation in the training of new member institutions.
h. Adherence to system security policies and procedures.
i. Compliance with site preparation requirements for installation of LION terminals, including installation of LION approved RS-232 cabling and data lines.
j. Provision of adequate physical facilities, including suitable work space and furniture, electrical power (24 hour/day for telecommunications equipment), and maintenance of proper environmental conditions for the operation and maintenance of LION equipment which supports that library’s use of the LION system.
Part V – General LION Responsibilities
LION has a paid staff with responsibilities for the system as a whole, which include:
1. Advice to the Board of Directors, LION Committees and Task Forces, and LION member institutions about and performance of all tasks associated with the procurement, upgrade, operation, and maintenance of the LION system and all assets related thereto.
2. Provision of reports.
a. Regular reports to the Board of Directors including comprehensive statistics on LION’s operation.
b. Reports as requested by LION members.
c. Reports required to agencies outside of LION as required by law or regulation.
3. Assurance of a maximum of system up-time with h ours of user availability as established by the Board of Directors. LION will maintain central site staffing or Emergency standby on-call staffing during all hours of member open hours. Members will be provided toll free telephone access to the LION office and standby personnel.
a. Scheduled up-time.
1). Scheduled hours for LION system availability, unless otherwise notified by LION, are 7 days per week, 24 hours per day with the following limitations:
a). No users are permitted on the system during a database backup. All user ports will be disabled.
b). No users/accounts which open and/or modify files may be
logged on the system during the running of Day End Processing. DEP currently runs from 0015 hours to approximately 0330 daily.
2). The LION office is staffed in support of system operation: Monday through Friday, 8 a.m. to 5 p.m.
3). The LION office may be reached by a toll-free number (1-800 352-6813), or alternately at either 860-347-1704 or 860-344-8554. Libraries within the local calling area of Middletown are expected to use the latter numbers only. An answering machine is provided for receiving after hours messages on any of these numbers.
b. Standby service.
1). LION staff provide after hours Emergency Standby (cellular) service via a statewide toll-free number (860-874-6624). Scheduled hours of coverage are as follows:
Monday through Friday, 5 p.m. to 9 p.m.
Saturday (winter), 8:30 a.m. to 5 p.m.
Saturday (summer – Saturday before July 4 through the
Saturday before Labor Day), 9 a.m. to 1 p.m.
Sunday (winter only), 12:30 p.m. to 5 p.m.
2). Libraries experiencing LION system problems during these hours should first try the LION office and leave a message. Then call the Emergency Standby number and leave a brief (20 second) message stating:
a). Library and person calling.
b). Brief description of emergency.
c). Phone number for return call.
3). LION staff are required to return standby beeper calls within one (1) hour of receiving a beeper page.
4). Assistance provided.
a). Non-Emergency problems. Standby staff will attempt to resolve any problem over the phone in response to your
call. If this cannot be done, solution of the problem
will be deferred until the next regular LION business day.
(1). Non-Emergencies include: individual hung terminals in multi-terminal libraries, barcode reader or pen not working, problems with individual patron/item/
bib records, some keys not working on a keyboard, changes needed in parameters which require LION
assistance, printer not working, etc.
(2). LION staff will seek to solve all reported
Non-Emergency failures of LION hardware by the end of the next business day.
b). Emergency problems. The following situations require the standby person to take whatever immediate action is possible (either remotely or on site) to solve the
(1). NO terminals work, all or an unacceptable number of Circulation or PAC terminals not working, or
several terminals hung.
(2). TAP delay or error message.
(3). Major software function not working, e.g., CKI,
CKO, UBR, UPR.
(4). Strange warning messages, e.g., “write fail”, “file system full”, “ABNORMAL TERMINATION OF UNIVERSE”, etc.
(5). “Condition Red – System Shutdown Imminent” or a
“Condition Yellow – Power Failure” message without
a “Condition Green – Power Has Been Restored”
message within 5 minutes.
c). LION staff will respond on site within three (3) hours to any reported Emergency, provided necessary vendor support e.g. SNET, computer system, telecommunications) and
access to the effected site/s is possible for the time
necessary to fix the problem.
5). Planned downtime, e.g., for loading new software or hardware upgrades, will if at all possible not be scheduled for Mondays or the first business day following a holiday
c. Continuous effort, if necessary on a 24 hour per day basis, will be used to bring the central system back online following any system-wide failure.
4. Provision of certain training and documentation services, including:
a. System vendor provided training and user manuals.
b. LION-staffed training (e.g., for pre-installation forms and item conversion training for new sites, PC and network use).
c. LION member library supported training (e.g., “buddy” support from neighboring/ like LION member libraries for new members).
5. Maintenance of official LION files and records.
6. Administration of these Policies and requests for action of the Board of Directors as appropriate.
7. Security of the LION database, including control of access, database integrity, and maintenance of frequently updated secure copies of all data. See Part VIII, System Security.
8. Assistance to members in obtaining the best use of the system, through coordination of requests for software enhancements, hardware and software problem resolution, advice for and coordination of installation of new sites, equipment, and software.
9. Provision of certain direct and indirect database services, e.g. bibliographic and other database management, notice production, network connection to remote resources through LI ON, and preparation and training for the production of specially requested reports (e.g., Recall).
10. Monitoring of developments in the field of automated library services appropriate to LION’s mission and reporting of significant changes requiring additional study to the Board of Directors.
11. Provision of information to prospective new LION member institutions, and coordination of the application of such institutions for LION membership.
12. Working with the Membership Committee to determine the suitability of prospective new member institutions.
13. Serving as the public relations agency for LION and maintaining an active involvement in state and regional professional activities.
14. Recommendations to the Executive Committee regarding member non-compliance with LION standards and policies.
Part VI – Cataloging Standards
The standard for a final bibliographic record in the LION system follows current Library of Congress practices using MARC format.
The LION system, with the sharing of the bibliographic records by member libraries, permits use of this standard in a highly economical manner – in that each bibliographic record needs to be created only once. This is a major component of the resource sharing provided by LION.
- General Policy
- Lion members will enter their complete bibliographic holdings into the LION database in accordance with these standards as interpreted in the Bibliographic Policy Manual.
- All LION bibliographic description will follow the most current Library of Congress practices, except as described in the Bibliographic Policy Manual.
- Each LION member will comply with the professional cataloging requirements necessary to implement these standards.
- LION has the responsibility to support its members’ use of current technology to implement these standards.
- Importance of the MARC standard:
- It takes maximum advantage of the machine readable nature of the MARC record – i.e., defined record elements have a consistent and important relationship to the content and meaning of the record itself – and the ability of a computer system to store, output, and update these records.
- MARC records are the national standard of bibliographic records, which facilitates LION’s ability to import, export, and maintain these records.
- LION’s MARC database assures the high quality of its participation in resource sharing – both to its own members as they share these records, and to the broader library community through LION’s participation in the state database (ReQuest) and OCLC.
- The standard of MARC records assures relative ease of migrating LION’s data to the next computer system.
- The quality of LION’s bibliographic database is of vital importance for direct public service – through the online Public Access Catalog (PAC) – as well as for subsidiary services.
- Member responsibilities:
- Member libraries are expected to either have their own or contracted staff trained and capable of performing this level of cataloging. Staff are expected to be fully familiar with MARC tagging and cataloging rules.
- Members are expected to attend and participate actively in LION’s Bibliographic Committee.
- Members are expected to comply with the bibliographic policies and procedures recommended by the Bibliographic Committee, approved by the Board of Directors, and included in the Bibliographic Policy Manual.
- Members are expected to enter all titles and holdings into the LION system. All current acquisitions are expected to be added from the point of joining LION onwards.
- Members are expected to complete full final MARC cataloging, including the provision of subject headings, where appropriate, and reported cataloging errors, when such records are referred back to them by the LION office.
- Members are expected to consult the following cataloging documentation:
- Library of Congress Subject Headings and updates.
- Current OCLC Bibliographic Formats and Standards cataloging manual.
- Current Anglo American Cataloging Rules (AACR).
- Current system vendor user manuals.
- LION produced policy and procedures manuals.
- Members are expected to report non-compliance with these standards to LION staff. If no resolution is achieved LION staff should bring the problem to the Executive Committee of the Board of Directors.
- LION responsibilities. LION provides certain bibliographic services – both to maintain and help members create LION’s high quality MARC database, and to dramatically lower member costs by reducing the amount of original full MARC cataloging required to be done by members:
- LION staff are responsible for the maintenance of the central computer files and indexes, including Authority Control, and for quality assurance of member contributed cataloging.
- LION performs online and/or batch searching of OCLC and other full MARC resource databases in order to obtain full MARC upgrades to member entered Initial Search Records (ISRs) – both as a weekly current cataloging routine and in special retroconversion projects.
- LION staff review both ISRs and member contributed final cataloging and report errors to the members:
- Records not found by LION staff are referred back to the LION member who originally entered the ISRs for full MARC cataloging.
- Final MARC cataloging is comprehensively reviewed for compliance with the standards above.
- LION staff review both ISRs and member contributed final cataloging and report errors to the members:
- LION staff responsibility for reporting and monitoring required member cataloging work includes a system of regular notification to member libraries of records requiring full or corrected cataloging, including:
- Initial written listing of records requiring full cataloging and/or cataloging records with errors sent to the responsible cataloging supervisor.
- Follow up notice/s to the member institution’s Cataloger and/or Director listing cataloging work or corrections not done.
- A final notice to the member Director documenting the institution’s failure to perform required cataloging work.
- LION staff are responsible for an online manual review of every MARC record added to or created on the LION system. The purpose is to assure quality of cataloging and to prevent duplicate or incorrect (i.e., mismatched) records. Every final cataloging record created by a LION member on the system is reviewed by a professional LION cataloger.
- LION staff are responsible for the loading and maintenance of certain additional online bibliographic resources.
- LION staff are responsible for providing training specific to the current LION computer system and its application software. This training is provided at no cost for at least one staff member of new LION libraries.
- The Board of Directors may establish guidelines under which LION staff may provide direct professional cataloging services and resources to its members, either on-site or remotely, on a fee basis.
- LION staff will notify the Executive Committee of noncompliance notices. The Executive Committee will contact the library and attempt to resolve the problem/s and notify LION staff of the agreed upon resolution. If such resolution is not completed within thirty (30) days, the Board may impose any of the following:
- A Board resolution requesting member compliance with LION Cataloging standards.
- A Board requirement that the member send staff to appropriate cataloging training courses to remedy the deficiencies, e.g., MARC tagging, AACR Cataloging, system vendor user training – at member library expense.
- Assessment of fees to reimburse LION the costs (including OCLC, travel, labor, etc.) of records obtained or created by LION staff as replacements for deficient member created cataloging records.
- Deletion of the bibliographic record/s by LION staff and a charge to the library.
- Temporary disabling of the member’s cataloging account or software until such time as deficiencies are corrected.
- Termination of LION membership and deletion of that member’s holdings from LION and LION’s contribution to the ReQuest database.
Part VII – Circulation and Interlibrary Loan Standards
LION members positively support the sharing of library resources between libraries (interlibrary loan). Each LION member is expected to meet the library needs of its primary clientele; LION membership and system use is a key method for expanding services and collection access beyond that library’s resources.
1. Expectations of LION members.
a. Members are expected to provide interlibrary loan (ILL) service to all Connecticut libraries, following LION procedures, standard ALA procedures and Connecticut State Library regulations and guidelines as appropriate.
1). Members are expected to comply with LION interlibrary loan procedures for use of the LION online system.
2). Members are expected to “load level” their requests – i.e. to spread requests across all LION members.
3). Members are expected to check daily for LION ILL requests and to respond to same within one business day.
4). Members are eligible to place LION ILL request s, and responsible to respond to ILL requests effective with the commencement of holdings addition on the LION system.
b. Eligible members are expected to participate fully in the Connecticard service program to non-residents and to abide by its regulations and guidelines.
c. Members are expected to actively support the continuance and improvement of state funded resource sharing services, such as Connecticut Library Service Units (CLSUs), ILL, Connecticard, Connecticar, ReQuest, etc.
d. Members which mutually agree to do so may permit direct public borrowing privileges and the placement and filling of holds between member libraries.
e. Members will honor, as practical, the blocked status of a patron anywhere in the LION system. As a matter of policy, patrons may not use the LION system as a way to avoid obligation s incurred at other libraries.
f. Members will obtain from LION and use only those barcode labels provided – at cost – by LION, both for patrons and items.
g. Members are expected to obtain, either from LION or elsewhere as appropriate, and use at least the following documentation:
1). Current Connecticard Regulations.
2). Current ALA Interlibrary Loan guidelines.
3). Current Connecticut Interlibrary Loan guidelines.
4). Current system vendor user manuals.
5). LION produced policy and procedures manuals.
h. Members are encouraged to obtain and provide direct public access to ReQuest, both as a searching tool beyond LION and as a backup to PAC.
i. Members are expected to report non-compliance with these standards: first to the member in question, then to LI ON staff. If no resolution is achieved, LION staff should bring the problem to the Executive Committee of the Board of Directors.
2. LION responsibilities.
a. LION will produce and distribute timely statistics and reports which cannot be locally produced by the members.
b. Unless otherwise requested, LION will produce and centrally mail overdue notices, first class, at cost.
c. LION will output and update the bibliographic and holdings data, as appropriate, of all LION members for ReQuest and OCLC.
d. LION will be responsible for certain file and index updates and maintenance which must be done centrally.
e. LION staff are responsible to refer members which consistently fail to meet LION Circulation and Interlibrary Loan standards to the Executive Committee which will recommend appropriate action to the Board of Directors, which may include:
1). A Board resolution requesting member compliance with LION Circulation and Interlibrary Loan standards.
2). A Board requirement that the member send staff to LION or other member libraries to receive appropriate circulation or ILL training to remedy the deficiencies – at member library expense.
3). Temporary suspension of ILL privileges on the LION system.
4). Temporary disabling of the member’s circulation account or software until such time as deficiencies are corrected.
5). Termination of LION membership.
Part VIII – System Security
The LION computer system includes large amounts of data – representing many years of work by LION libraries – and software subject to copyright protection, licensing restrictions, and confidentiality protection. In addition the present Dynix system includes several critical files (primarily codes) which are shared LION-wide – any unauthorized changes to which may cause serious problems to other users, and unauthorized use of which could allow one library to alter another’s records.
While no system can be made completely secure, both LION members and LION staff are obligated by LION Guidelines, law, an d contract to follow reasonable policies and procedures to prevent loss, corruption, or unauthorized access to the system or its data.
Specific measures for LION’s current system include the following:
1. The User ID #s and Passwords necessary to gain access to system software and data shall not be disclosed to any person(s) except those authorized and require d to have such ID/Password as a LION or LION member staff person.
a. Except for LION or appropriate system vendor staff, only one other person, typically the Project Director of each member library, shall be authorized to add, delete, or modify the ID #s and Passwords in use in that member’s accounts.
b. User ID level 6 authorization is limited to LION staff, Dynix staff, and each library’s Project Director and authorized Recall users only.
c. Changes in access to LION accounts, which may be shared in use by LION members, will be made only by LION staff.2. The User ID/ Password of any user who departs the employ of LION or a LION member library shall be promptly deleted.
3. Any suspected attempts by staff or others to improperly use or access the LION system shall be reported promptly to the LION office.
4. Use of the Copy Around and Copy To features of the Dynix system is prohibited – except for LION or Dynix staff.
5. No code of any type which is either accessible to or used by other LION members may be added, changed, or deleted without prior LION approval. Such codes include:
a. Item Types.
b. Item Status Codes.
c. Collection Codes.
d. Item Statistical Classes.
e. Patron Types.
f. Patron Statistical Classes.
g. City Codes.
h. Block Codes.
i. Notice Headers.
j. Agency Codes.
6. The LION staff serves as the System Administrator on the current Dynix system. In general, System Administrator functions are limited to LION staff only. Those System Administrator functions required to be performed by member library staff are identified, trained, and assigned to member library staff (usually the Project Director) only as needed.
7. LION and its members are bound to protect as proprietary information the software and documentation of the Dynix system. Specifically, “no portion of…the Licensed Software may be disclosed, furnished, transferred or otherwise made available by LION to any person except to those of its employees, agents, and member institution staff who need to use such information in accordance with this Software License.” (from LION/Dynix Purchase Agreement)
8. Data security is enhanced by regular scheduled backups of all LION data and programs.
a. At least weekly a full tape backup with verification is made of all dynamic files. There are at least five sets of backups, four weekly plus one Archive set maintained off-site which is updated quarterly.
b. A Transaction Assurance Process tape is run during all times of system operation – which logs most changes to the database as updates are made. These tapes are stored with their appropriate backup tapes and can be used to Restore the system between backups.
c. LION policy mandates an every six month test of the Restore function in conjunction with the production of an Archive backup tape.
d. LION staff is responsible for scheduling and running ReVive – a data integrity test of the system. This would logically be performed immediately prior to a test of the Restore function.
9. With the exception of authorized, trained member staff using the Recall account, users are prohibited from programming on the system. Specifically users are prohibited from use of Terminal Control Language (TCL) or access to the system’s underlying operating system and control accounts.
10. All user terminals are required to be logged off, i.e. returned to the initial LION Login prompt, both when left unattended by member staff and before being turned off at the end of every member library business day. This is to prevent unauthorized users from gaining access to the system (the terminal “thinks” it’s being used – and has all permissions of the User who initially logs it on). Logging off is also necessary in order to prevent leaving any open records locked by users who fail to log off – which will prevent Day End Processing from completing.
11. Protection against power failure. The LION computer room is fully supported on an Uninterruptable Power Supply (UPS) battery backup – which provides up to an hour of continued system operation in the event of a power failure at the LION central site.
a. Special software notifies all users logged on of any power failure event, with warnings to cease functions involving large changes in data and to file/save records prior to system shutdown.
b. Should the power failure duration approach the end of the life of the batteries, the system will automatically initiate an orderly shutdown in order to prevent serious data corruption which would otherwise likely result.
12. Users must notify LION immediately of conditions which may indicate failure of vital system components, e.g., power failure warnings, program errors, system errors (e.g., “write fail”, “memory errors”, etc.)., failure of TAP, failure of all terminals at a given site to work, etc.
LION Policy Manual – Approved, LION Board, 12/21/93