Collaborating with III, Yankee Book Peddler and OCLC PromptCat to Maximize Technical Services Efficiencies at Record Loa

1. Coordinator/Presenter: Kelly Shook KentLINK Coordinator Kent State University Libraries and Media Services Presenter: Margaret Maurer Assistant Professor Cataloging Manager Kent State University Libraries and Media Services Collaborating with III, Yankee Book Peddler and OCLC PromptCat to Maximize Technical Services Efficiencies at Record Load

2. Where we plan to go today • What is PromptCat • Typical workflow for our new process • PromptCat / III / YBP and data loading • What the process can’t handle • Cost / benefit analysis • What we have gained? • Other options • Final words of advice

5. YBP / PromptCat at KSU Libraries and Media Services Fall 1999 - Started planning process August 2000 - First firm order sent to YBP October 2000 - Approval slip plan began at YBP. PromptCat service started March 2001 - Approval plan up and running April 2002 – Successfully added our 7 regional libraries

7. Basic Ordering Workflow After faculty and liaisons send order requests to Acquisitions department, Acquisitions staff: • Select bibliographic citations in GOBI and fill out GOBI Smart screen • Process the selections on the GOBI website and create a file of GOBISelect records for export to YBP’s ftp site

8. Basic Ordering Workflow (continued) • Pick up file from the ftp site and load into III. • Brief bib records and full order records created • Check for duplication • Order transmitted to YBP via BISAC email • Item is only now “on order” • YBP sends order acknowledgement

9. Basic Ordering Workflow (continued) • When order is ready to ship to library, YBP sends an electronic manifest of titles to PromptCat

10. De-Duplication at Load of GOBISelect records • Normal order record status = “o” [on order] • Loader de-duplicates using a Title Key match • If suspected duplicate order status = “1” [on hold]

13. OCLC PromptCat • OCLC product to streamline cataloging and/or pre-order searching • Cooperatively implemented by OCLC and library materials vendors • A completely automated process requiring up-front planning and, once running, little human intervention

14. MARC Record Selection • How Bibliographic Matches are made at PromptCat: • Match is made in advance in a separate process • Based on ISBN or Publisher Number (from 028) • The vendor control number and OCLC number are recorded in a matching database

15. You can limit the records you receive based on • Encoding Levels • Cataloging Source • Record Type • WorldCat Holdings Set • Any record you don’t receive you can elect to receive a PromptCat Data Record (PDR) in place of

16. PromptCat Data Records (PDRs) • Used to deliver vendor data when you do not receive a full record • Delivered when there is no match OR multiple matches in WorldCat, or there is a match but our holdings are up on it, or there is a match but it doesn’t fit our profile • Can only be delivered when you receive your records on tape or through an EDX account (FTP or Product Services Web)

18. PromptCat Site IDs • Used to determine processing options • You may use: • Location • Subaccount number • Account number, or • Fund code Use as many as individual Site IDs you need, but you can only use one type for each account.

19. Current PromptCat Profiles KSUFM Direct and slip orders KSUAP Approval AutoShip books OCK Stark Regional direct orders OWK Trumbull Regional direct orders KREG Other KSU Regional direct orders

20. Basic Receiving Workflow • YBP ships books to the library • Library picks up file of PromptCat records from OCLC’s ftp site and loads into III, matching off of order record number. Items, invoice lines (and maybe) order records are loaded as bibliographic record is overlaid • Acquisitions staff check / validate bib records and associated records

21. Basic Receiving Workflow (continued) • Check titles against invoice • Add received date to order record • Add barcode to book and scan into item record • Print labels

22. Basic Receiving Workflow (continued) • For no matches (PDR received) search OCLC again • Remaining non-matches routed to OCLC TechPro • Once all titles have been checked the electronic invoice is posted

23. PromptCat / III & Data Loading • III defines how we load records in batch • III requires item record and order record information to be in certain 9xx fields and subfields in order to “map” them to their proper places in item, order and invoice

24. PromptCat / III & Data Loading • Some of the information used to build the item, order and invoice records is default data provided by the loader • Some of the information is imported at load • Some of the information is imported at load if available. In the absence of data the loader will provide default data • Some of the information is system generated at load

25. KSUAP Profile Data mapping through PromptCat 980 $ a – Invoice Date 981 $ o – Sub account # 980 $ b – List Price 981 $ c = Order Location 980 $ e – Net Price 945 $ L – Item Location 980 $ f – Invoice # 945 $ s – Item Status 980 $ g – Quantity > 1 945 $ t – Item IType 981 $ b – Fund Code

27. http://www.library.kent.edu/~mmaurer/index.html

28. KSU’s Extended Approval Plan Interface • Unique in that we use one loader to do the following: • Create a brief bibliographic and order record for direct orders made on GOBISmart • Load records for direct orders that are cataloged by PromptCat and that overlay on order record number, overlaying the brief bibliographic record with a full bibliographic record and creating an item record and an electronic invoice line • Load PromptCat approval records consisting of full bibliographic records with item records, order records and invoice lines all loading in a single load

29. Key points about Kent State University’s Extended Approval Plan Interface • Interface de-duplicates on Title Key. • A Title Key is a 7 character code that is created from the Title or Series field of the record you create • The Title Key uses the first letter of each of the first seven words of the field

30. Key points about Kent State University’s Extended Approval Plan Interface (Continued) Interface de-duplicates on Title Key (Continued) • When creating the Title Key, subtitles and series numbering are eliminated from the title key by stopping at colons ( : ), semicolons ( ; ) and space-slash ( / ) • Only the first 49 alphabetic characters of the field are used in the creation of the Title Key • Ampersands ( & ) are treated as the word "and"

31. Key points about Kent State University’s Extended Approval Plan Interface (Continued) • KSU’s Extended Approval Plan interface overlays on order record number (.o#) • We have also established settings for comparing the encoding level of the incoming record and the target record as another check • The creation of an item record is based on the presence of a 945 field

32. III Documentation • Refer to Record # 102901 for Processing Approval Records and Firm Orders • Refer to Record # 102852 for Invoice Processing • Preference Questionnaire from Innovative Interfaces must be completed

33. Preferences Questionnaire from Innovative Interfaces Please indicate your preferences for how your Extended Approval Plan Interface should operate. Where appropriate, default settings are noted. If you will be loading various combinations of data types from different vendors, please fill out a copy of this questionnaire for each vendor from whom you will receive data. 1. List the vendor(s) from which you will receive records to process with this load table. Yankee Book Peddler and OCLC PromptCAT 2. Which of your current MARC load tables (M2BTABs) should be used to derive the MARC field profiling for this new loading table? M2btab.b

34. Preferences Questionnaire from Innovative Interfaces (Continued) 3. Type of data to be loaded with this table (check all that apply): X_ Bibliographic records X_ Order records X_ Invoice information X_ Item records 4. Do you want Bibliographic records loaded via the table to overlay existing records? _X_ Yes __ No (If no, skip to question #8.) 5. When overlaying Bibliographic records, should INNOPAC protect any fields from being overlaid? __ Yes (default) _X_ No If yes, which fields?

35. Preferences Questionnaire from Innovative Interfaces (Continued) 6. Do you want the interface to use the standard OCLC encoding level priority list (shown below) to determine record overlay? _X_ Yes (default) __ No Standard OCLC Encoding Level Priority List (in order): CODE Record Type <Space> Full LC (or other National Library) 1 Full Record I Full Record (OCLC) 2 Less than full K Less than full (OCLC) M Less than full from tape (OCLC)

36. Preferences Questionnaire from Innovative Interfaces (Continued) Standard OCLC Encoding Level Priority List (In order, Continued): CODE Record Type 4 Core record 5 Partial (preliminary) record 7 Minimal level cataloging (NSDP) 8 CIP (Cataloging in process) u unknown z not applicable

37. Preferences Questionnaire from Innovative Interfaces (Continued) 7. Based on your specified priority list, which incoming records should overlay existing records? Choose one. ____ a. Incoming records with lower priority ____ b. Incoming records with equal or lower priority ____ c. Incoming records with equal priority _X___ d. Incoming records with equal or greater priority ____ e. Incoming records with greater priority 8. Do you want to load call numbers? The default behavior should be the same as that specified by the main cataloging (m2btab) file. _X_ Yes __ No (default) 9. Do you want INNOPAC to automatically insert the system date in the CAT DATE field? _X_ Yes (default) __ No

38. Preferences Questionnaire from Innovative Interfaces (Continued) 10. Will you receive invoices in a currency other than the system's local currency? __ Yes _X_ No (default) 11. Do you want to use specific "new record defaults" for the records created using this table? _X_ Yes __ No If so, please create these defaults and list their names: YBPB – YBP Bib Default YBPI – YBP Item Default YBPO – YBP Order Default

39. Other III Load Documentation • Other documentation available on our website: http://www.library.kent.edu/~mmaurer/index.html • Bringing YBP Firm Orders from YBP into KentLINK • Loading OCLCPromptCAT Records for Firm Orders into KentLINK • Loading OCLC PromptCAT Records for Approval Items into KentLINK

40. Efficiencies • Eliminated pre-order searching • When PromptCat records are loaded we receive a full bibliographic record, invoice and item record. This reduces cataloging costs, eliminates the need to key item records and entering payments individually • Reduces the amount of time it takes to get items to the shelf

41. More efficiencies • Eliminates the need to print purchase orders • Reduces our postage cost because we are no longer mailing printed purchase orders • The more we order from YBP the better our discount

42. Vendor Benefits • Vendor efficiencies • Our efficiencies and cost savings reinforce our desire to maximize our use of the process = more business for YBP / PromptCat • The more integrated workflow promotes a more stable economic relationship

43. This process can not handle everything • Oversize books • Multiple copies • Non-circulating items in the Main Tower (Only one status and itype is transmitted for each title) • Cat dates for brief records

44. Problems • Very dependable automated process • When problems happen to the process they happen to lots and lots and lots of records • Dependable customer service at YBP and at PromptCat

46. Annual Costs for Outsourced Cataloging Cost per Total Cost # of Records Record FY 1997-98 $76,824.60 8,857 $ 8.67 FY 1998-99 $66,433.59 8,050 $ 8.25 FY 1999-00 $51,653.69 6,316 $ 8.18 FY 2000-01 $50,714.09 10,117 $ 5.01 FY 2001-02 $43,244.78 11,650 $ 3.71 FY 2002-03 $36,698.05 13,650 $ 2.69 FY 2003-04 $16,327 5,659 $ 2.89 (Through 12/2003) Difference from FY 1997 to FY 2002 -$40,126.55 4,793 -$ 5.98

47. What have we Gained? • Productivity of load of associated records • Many efficiencies • Lowered record costs • Re-professionalization of cataloging • Promoted centralized cataloging

48. Options that we have chosen not to use: • PromptCat Cataloging Report • Catalog cards • Spine labels (electronic file) • Physical processing • Barcodes inserted in records / on items • Non-book records • PromptCat records from other vendors

49. Final words of advice • Ask lots of questions • Nothing is written in stone • Keep an open mind • Create a unique process that works for you