Transcript At the Table: Developing a Cataloging Workflow for a Successful Demand-Driven Acquisitions Project Roman S.

At the Table: Developing a Cataloging Workflow
for a Successful Demand-Driven Acquisitions
Project
Roman S. Panchyshyn
Catalog Librarian/Assistant
Professor
Kent State University
ALA CMIG 06/23/2012
Goals
• Examine the role played by technical
services cataloging staff in the
implementation of a Demand Driven
Acquisitions (DDA) pilot project
• Share information on the workflow that was
developed for the DDA pilot
• Provide a critical evaluation of the project
from a cataloging perspective
Pilot Background
• Kent State University Library (KSUL)
began considering plans for a patron-driven
or demand-driven pilot in FY 2011
• Demand for access to e-books by faculty and
students was increasing
• OhioLINK consortial purchases were not as
timely or adequate as necessary
KSUL Background
• KSUL is an ARL library, has over 2 million
items in library collection
• Local ILS is Innovative Interfaces
(KentLINK)
• Member of the statewide OhioLINK
consortium
Budget and Selection
• KSUL set aside $50,000.00 in the FY 2012
budget for a DDA pilot
• Collection management librarian
investigated DDA offerings from several
vendors
• YBP/ebrary Integrated Demand Driven
Acquisitions was chosen as pilot vendor
Vendor Notes
• KSUL already had an established
relationship with YBP and ebrary (now part
of ProQuest)
• Cataloging and invoicing information from
YBP for physical items delivered via OCLC
Cataloging Partners (PromptCat)
• During planning stage of DDA project, YBP
insisted that cataloging staff be involved
Cataloging Support Issues
• YBP partnership with ebrary, e-books
accessed through ebrary portal
• MARC records generated by ebrary based
on our YBP DDA profile and passed to YBP
• MARC records delivered to KSU through
YBP FTP site
Cataloging Workflow Outline
• YBP would provide library with 2 types of
MARC records
– Discovery records for all materials available
through the pilot
– Point of invoice records for purchased materials
• Most records derived from the print format
• MARC records of good quality, but not
OCLC records
Basic Workflow Process
• Library will load discovery records into
local catalog on a regular basis
• A “purchase” triggered by contractual
definition of “use” will generate point of
invoice records (POI) with fund accounting
(invoicing) information
• POI records will overlay discovery records
in KentLINK, then replaced by OCLC
records
Discovery MARC Records
• YBP had 2 options
– Standard discovery records
– Customized discovery records
• Customized records carried annual
subscription fee
• KSUL chose standard records—staff had
the skill to customize them locally
MARC Record Quality
• All records were of acceptable quality
• Adhere to PCC’s MARC Record Guide for
Monograph Aggregate Vendors
• All had LC Classification and LCSH
• All had site-specific URLs for KSUL linking
to full text
LDR01346nam 22003371a 4500¶
001ebr10539220¶
003NhCcYBP¶
00520120329135043.3¶
006m||||||||d||||||||¶
007cr||n|||||||||¶
008120329s2012 kyua ob 001 0 eng d¶
020 ‡a081313577X (electronic bk.)¶
020 ‡a9780813135779 (electronic bk.)¶
020 ‡z9780813135762 (hardcover : alk. paper)¶
020 ‡z0813135761 (hardcover : alk. paper)¶
040 ‡aNhCcYBP‡cNhCcYBP¶
043 ‡an-us-ky‡an-us---¶
050 4‡aSF357.K4‡bN53 2012¶
08204‡a798.4009769‡223¶
1001 ‡aNicholson, James C.¶
24514‡aThe Kentucky Derby‡h[electronic resource] :‡bhow the run for the roses became America's premier
sporting event /‡cJames C. Nicholson ; foreword by Chris McCarron.¶
260 ‡aLexington :‡bUniversity Press of Kentucky,‡cc2012.¶
300 ‡a1 online resource.¶
500 ‡aDescription based on print version record.¶
504 ‡aIncludes bibliographical references and index.¶
533 ‡aElectronic reproduction.‡bPalo Alto, Calif.‡nAvailable via World Wide Web.¶
61120‡aKentucky Derby‡xHistory.¶
650 0‡aHorse racing‡zKentucky‡xHistory.¶
7102 ‡aebrary, Inc.¶
776 ‡cOriginal‡z9780813135762‡z0813135761‡w(DLC) 2012003007¶
85640‡uhttp://site.ebrary.com/lib/kentstate/docDetail.action?docID=10539220¶
Sample YBP Discovery
Record
Discovery Record Customization
• KSUL used its e-resource checklist tool to
– verify record quality
– identify customization needs
– document customization specifics
• Systems modified existing Batch MARC
Load Tool for preprocessing modifications
• DDA files always need to be segregated from
all other YBP/ebrary product files (for pilot)
Customization Changes
• Added prefix “1” to ebrary record number
in the 001
• Switched 856 to 956, added public note in
subfield “z”
• Added 506 access restrictions note
• Added 910 as “hook”
• Used 999 to set location (kentc), cat date
(blank), Mat Type “3”, and display “z” local
LDR01569nam 22003731a 4500¶
0011ebr10539220¶
003NhCcYBP¶
00520120329135043.3¶
006m||||||||d||||||||¶
007cr||n|||||||||¶
008120329s2012 kyua ob 001 0 eng d¶
020 ‡a081313577X (electronic bk.)¶
020 ‡a9780813135779 (electronic bk.)¶
020 ‡z9780813135762 (hardcover : alk. paper)¶
020 ‡z0813135761 (hardcover : alk. paper)¶
040 ‡aNhCcYBP‡cNhCcYBP¶
043 ‡an-us-ky‡an-us---¶
050 4‡aSF357.K4‡bN53 2012¶
08204‡a798.4009769‡223¶
1001 ‡aNicholson, James C.¶
24514‡aThe Kentucky Derby‡h[electronic resource] :‡bhow the run for the roses became America's premier sporting event
/‡cJames C. Nicholson ; foreword by Chris McCarron.¶
260 ‡aLexington :‡bUniversity Press of Kentucky,‡cc2012.¶
300 ‡a1 online resource.¶
500 ‡aDescription based on print version record.¶
504 ‡aIncludes bibliographical references and index.¶
533 ‡aElectronic reproduction.‡bPalo Alto, Calif.‡nAvailable via World Wide Web.¶
61120‡aKentucky Derby‡xHistory.¶
650 0‡aHorse racing‡zKentucky‡xHistory.¶
7102 ‡aebrary, Inc.¶
776 ‡cOriginal‡z9780813135762‡z0813135761‡w(DLC) 2012003007¶
95640‡uhttp://site.ebrary.com/lib/kentstate/docDetail.action?docID=10539220‡zConnect to resource. Access available t
o all Kent State University campuses.¶
506 ‡aFor use by Kent State University students, faculty and staff only¶
910 ‡aYBP DDA¶
999 ‡akentc‡c - - ‡e3‡fz¶
Customized fields
added (in red)
Point of Invoice Records
• Delivered for materials purchased through
the DDA pilot
• Contain order and invoice information for
generating order records in KentLINK,
supporting electronic invoicing
• Cost $2 apiece, customization included
Record Specifications
• Cataloging staff specified in detail in YBP
contract how YBP was to output all local
and variable data
• Worked with acquisitions staff to codify
invoice data
Local Variable Data
Tag
1st indicator
2nd indicator Subfield
Data
961
c
Fund code (from approval plan)*
980
a
Invoice date (yymmdd)
b
List price (implied decimal)
c
Tax (implied decimal)
e
Net price (implied decimal)
f
Invoice number
g
Quantity
Local Constant Data
Tag
1st indicator
2nd indicator Subfield
Data
910
a
YBP DDA
960
a
t (ACQ TYPE)
g
e (FORM)
k
a (RLOC)
l
a (BLOC)
m
1 (number one) (STATUS)
v
ybpdd (VENDOR)
961
m
5266-52 (SUBACCT #)
981
a
ybpdd (VENDOR)
b
ddaeb (FUND)
c
onlin (LOCATION)
o
r (ORD TYPE)
a
kentc (LOCATION-BIB)
999
c
- - (CAT DATE)
e
3 (MAT TYPE)
f
Z (DISPLAY)
YBP DDA ORDER RECORD
EXAMPLE
Workflow—Discovery Records
• Initial file based on YBP subject profile
loaded 01/03/2012, 22306 records
• Supplemental files (50-100 records) loaded
weekly after initial load
• Catalog Librarian downloads file from YBP
FTP site, processes it using Batch Marc
Load tool (applies constant data), then loads
into KentLINK using data exchange (“b”
table)
Workflow-Point of Invoice Records
• When purchases triggered, library receives
file every 3-4 days with invoice information
• File picked up from YBP FTP site, imported
by acquisitions staff through Millennium
Acquisitions Import Invoices
• File overlays discovery records using 001
ebrary number
• Review file created for acquisitions staff to
manually pay invoices
Workflow-OCLC Records
• After POI records loaded, copy cataloging
staff import POI records into OCLC
Connexion save file
• Staff searches for best match on OCLC
using current copy cataloging procedures
for e-books
OCLC Records
• When good OCLC copy is located, copy
catalogers:
– Tile records vertically in OCLC
– Delete all 856s in OCLC record
– Transfer 956 from POI record to OCLC record
– Apply constant data (506, 710, 910 “hook”)
– Validate records and control headings
– KentLINK record overlaid with OCLC record
– Statistics kept
Statistics and Backup
• Statistics were kept for every aspect of the
YBP DDA pilot for cataloging, separate
from the ones available via YBP and ebrary
• A copy of all discovery record files and POI
files was retained on KSU server for backup
and examination
Holdings Load Service (ISBN)
• Eliminating duplicates from other sources
– Cataloging/technical services needed to provide
YBP with a list of ISBNs going back several
years
– Spreadsheet file contains ISBN (10 or 13 no. in
column 1) and YBP 4 digit base account no.
with suffix 99 in column 2
• e.g. 9781444341935 || 526699
– Ongoing, first 3 loads per year free, if more
than 3 a $500 annual subscription fee applies
Project Outcomes--Overview
• DDA pilot successful
– Purchased 484 e-books from 1/1/2012 through
5/27/2012
– Spent $47,160 for the same period
– All items purchased with SUPO option (but
37% of items purchased had MUPO option)
– Average cost $96.00 per book (expensive)
Issues—Cataloging Perspective
• Planning and preparation absolutely
necessary to set up cataloging workflow and
technical specifications, but once established
the process went smoothly
• All procedures/decisions were written,
documented and archived
• Quality of records and quality of customer
service from YBP/ebrary very good
Other Issues
• We would have preferred that OCLC records
be delivered at the Point of Invoice stage
• Some discovery records needed to be
removed during pilot as vendor lost
permission to distribute a specific publisher
• Erroneous mixing of record distributions
(direct orders, nursing collection, DDA)
• Next step. What does the library do with the
MARC records once DDA pilot is complete?
Recap
• Cataloging presence “at the table” was
crucial to success of the DDA pilot
– Created and edited technical specifications and
tools
– Tested, developed and archived local workflow
procedures and decisions
• Still much room for improvement
– Manual invoice payment
– Manual OCLC record searching
Conclusion
• KSUL staff now has skill sets and a working
system in place to deal with future
PDA/DDA programs in technical services
• Future of PDA/DDA programs is contingent
upon funding and availability of reasonable
options offered by publishers
Questions?
Contact Information
Roman Panchyshyn, MLIS
Catalog Librarian, Assistant Professor
Kent State University
[email protected]
330-672-1699