Transcript Reclaiming your Catalog: Benefits of Batch Reclamation Roman S. Panchyshyn, MLIS Kent State University ALCTS CCS Catalog Management Interest Group ALA Midwinter January 8, 2011

Reclaiming your Catalog:
Benefits of Batch
Reclamation
Roman S. Panchyshyn, MLIS
Kent State University
ALCTS CCS Catalog
Management Interest Group
ALA Midwinter
January 8, 2011
Topics to cover
• What exactly is an OCLC batch reclamation
project?
• What advantages does this project have for
your library and for OCLC?
• How did Kent State University prepare and
plan for a batch reclamation project?
• What were the outcomes--lessons learned
from the KSU project?
Background
• KSU is part of the OhioLINK consortium
• Local system is Innovative Interfaces
(KentLINK)
• KSU has been cataloging on OCLC since the
late 1970’s, one of the original OCLC libraries
• No attempts have been made to implement
data-base wide clean up since bibliographic
data was migrated from NOTIS to Innovative in
1990s
What is Batch Reclamation?
• Batchload project that allows your library to
synchronize your bibliographic records with
OCLC WorldCat
• Free for OCLC libraries, no setup fees required
• Your cost is calculated in resources committed
• Libraries must commit to maintaining their
holdings either online or through batchload
after project is completed
Direct Benefits
• To OCLC
– Provides OCLC with an accurate view of your
library’s holdings
– Maximizes the effectiveness of OCLC products
such as WorldCat Collection Analysis, WorldCat
Resource Sharing, WorldCat Local … and others
– Potential to increase the use of the OCLC record
number as a manifestation identifier between
platforms
Direct Benefits
• To Library
– Library holdings become in synch with WorldCat
– Allows library to locate and identify problem areas
in their catalogs
• Cataloging errors
• Omissions
• Poor workflows or interesting local practices
– Provides your users with a cleaner and more
accurate database (local and consortial)
KSU Case Study
• Outline of the KSU Batch Reclamation Project-steps
– Local preparation
– OCLC preparation
– Project implementation
– Project deliverables and outcomes
– Project clean-up and evaluation
Local Preparation
• Technical services recruited support from
various areas of the library before project
could move forward
–
–
–
–
–
Technical services administration
Systems
Public Services (Reference and Circulation)
Government documents
Regionals
• Consider what impact the project will have on
all areas of the library and OhioLINK
Local Planning
• KSU Batch Reclamation task force formed in
late 2008. Comprised of:
– Technical services staff members
– Systems staff members
• Purpose was to plan, implement and
document the entire batch reclamation
project
Project Scope
• Project would include all KSU holdings for
branches and for regionals
• Three OCLC symbols included
– KSU (main and all branches)
– OCK (KSU Stark)
– OWK (KSU Trumbull)
• Other OCLC symbols that KSU may or may not
have used in the past were identified and
made inactive
Project Buy-in
• Task force members gave presentations to
regional libraries and public services to “sell”
project
• Systems administration needed to be
convinced that project would not be a drain
on systems resources
Local Issues
• KSU had local practice where duplicate OCLC
records were downloaded into KentLINK for
individual branches
• Departments wanted certain collections
excluded from project, so as not to be visible
in OCLC (Marantz Children’s Collection)
• Branches and regionals had limited resources
for any maintenance and record clean-up
Record Selection
• Critical decision—which records should be
selected or excluded, this has significant
impact on clean-up
• Records excluded were
– All suppressed record (bib lvl = s)
– All records that had a non-OCLC number in the
001 (prefixes and/or suffixes)
– Records that lacked an 001
– Records that had a blank cat date (eliminated
order records and certain special collections
records)
Criteria for Record Selection
• Example 1, from the KSU Batch Reclamation
page, shows the strategy for creating record
files from Innovative
• This strategy was used for the creation of files
for 3 symbols
– KSU
– OCK
– OWK
• Each symbol becomes a separate OCLC project
OCLC Paperwork
• Library must complete OCLC Batchload Order
form for each project and submit order online
to OCLC (OCLC provides checklist for guidance)
• Library must be prepared to deliver record
files to OCLC when requested
• ***Completing this order from correctly is
critical to the success of your project***
Critical Areas of Order Form
• Identifies symbol and contacts for project
• Sets options to retain any local data in the
OCLC archive record and local holdings
• Identifies where the OCLC number (if any) is
stored and where the local system number is
stored in record
• ***Special instructions—Use extended match:
OCLC matches only records where both the
OCLC # and title (245 $a) are exact
matches*** (prevents false hits)
File Creation in Innovative
• Once paperwork completed and submitted,
files were extracted for 3 symbols.
• Cutoff date was set at 03/31/2009
• Record totals:
– KSU 1,725,956
– OCK 48,988
– OWK 33,024
• Records were delivered to OCLC via EDX (KSU
file was split into batches of 90,000)
Timetable
• Paperwork and files delivered to OCLC in April
2009
• OCLC averages about a 90 day turnaround
time for batch reclamation projects
• OCLC runs scan/delete to remove old holdings
• Files were processed and deliverables
returned by OCLC in July 2009
OCLC Deliverables
• For each file we sent to OCLC, we received the
following:
– A report detailing
•
•
•
•
Records processed
Holdings set
Unresolved
Data merged (where OCLC adds info to master record)
– A file containing the unresolved records
Cross-Reference Report
(X-Ref)
• OCLC provides a cross-reference report
(spreadsheet) that lists your local system
number and the number of the matched OCLC
record
• This report can be run against your local
system and correct matching OCLC number
added to the local bib record
3 Column Cross-Reference Report
• OCLC programming can, for no extra cost,
generate a 3 column cross-reference report
instead of 2 (see Example 2)
– Our OCLC number in KentLINK record
– Our local system number
– Matching OCLC record number
• If the matching OCLC number and our OCLC
number do not match, it identifies merged
records matched on the 019 in the OCLC
master record
KSU Results
1,653,754 matches to same OCLC#
+ 68,805 matches to different OCLC#
+ 663 matches without OCLC#
= 1,723,222 total matches
-1,604,203
119,019
unique matches (number of different OCLC
numbers with holdings set)
duplicates by current OCLC# (110,423
by KSU OCLC#)
OCK Results
47,371 matches to same OCLC#
+ 1,399 matches to different OCLC#
+ 20 matches without OCLC#
= 48,790 total matches
- 48,723
unique matches (number of different OCLC
numbers with holdings set)
= 67
duplicates, some with obsolete OCLC#s, for
65 current OCLC records
OWK Results
31,984 matches to same oclc#
+ 948
matches to different OCLC# (including
above error)
+ 5 matches without OCLC#
= 32,937 total matches
- 32,547
= 390
unique matches (number of different OCLC
numbers with holdings set)
duplicates, some with obsolete OCLC#s,
for 383 current OCLC records
Previous Holdings on OCLC:
Comparison Chart
Symbol
Previous
Current
(07/22)
Difference
% Difference
KSU
1,657,872
1,610,553
-47,319
-2.8%
OCK
54,944
49,236
-5,708
-10.3%
OWK
35,706
32,928
-2,778
-7.8%
Overview
• Using data from OCLC FirstSearch, all symbols
showed a decrease in number of holdings, the
percentage was much greater for the regionals
(poorer catalog maintenance)
• KSU had 119,000+ duplicate records
• Number of unresolved records was reasonable
– KSU 2734
– OCK 198
– OWK 87
Matches on the 019
• KSU 68,805
• Negligible for the other 2 symbols
• Workflow decisions
– Do we consider overlaying the updated or merged
OCLC records in our catalog?
– Do we just overlay the OCLC number in the local
catalog?
• At this point, we have not decided to do
anything with the 019 merge/overlay
019 Issues
• For products such as WorldCat Local, OCLC
would prefer that current OCLC numbers be
inserted into the local records
• However, OCLC and Innovative both index the
019
• Downloading and overlaying 60,000 OCLC
records would be a large undertaking
• Local data may be lost
Records Not Sent
• In order to try to account for the decrease in
the number of holdings on OCLC, we also
examined the records we did not send.
• For KSU they included:
– Blank cat date
– Records with non-OCLC numbers in 001
We did not care about suppressed records
Problems Found
• Records with prefixes or suffixes in the 001
were usually part of a vendor load, such as
EBSCO; consortial purchases such as e-books
• Records with blank cat dates revealed
problems with our local workflows
– Found 12,000 brief gov docs shipping list records
from MARCIVE where full records were never
overlaid
– Found 8000 unfinished special collections records
where holdings were set on OCLC
Clean-Up
• KSU undertook clean-up project for the
unmatched and blank cat date records that
were uncovered by reclamation
• Records were extracted from Innovative and
broken into little puddles based on format,
language, and location
• All unmatched records were given a 910 field
(910 ## KSU Batch Reclamation) for
identification and tracking
Clean-Up Resources
• KSU technical services takes advantage of a
strong pool of quality student labor, due to
our relationship with Kent State School of
Library and Information Studies.
• Student and staff help was used to review all
the unmatched OCLC records and match as
many as possible
Clean-Up Data
• Unmatched project: 85% unmatched
complete as of January 2011
• Original records used for student training and
practicums; records added to OCLC as level K
• Some libraries (Map library) chose not to add
their unmatched records to OCLC
• Non-English materials make up the bulk of
unfinished records, they were hardest to
match due to lack of language skills
Clean-Up of Blank Cat Date
Records
• 8000 special collections records
– holdings were re-added to OCLC. Problem was
caused by lack of knowledge of cataloging
workflow. Removing cat date kept the records
from going out for authority control
• 12,000 MARCIVE gov docs shipping list records
– records were never upgraded. We contracted with
MARCIVE to supply as many full records as they
could, and we are using student workers to finish
cleaning up the balance
Project Impact
• KSU holdings now more in synch with OCLC;
catalog much cleaner for KSU users
• No verifiable statistical impact on KSU for ILL.
Statistics for FY 2010 are similar to FY2009. No
need for additional staff resources for ILL
• Poor practices/workflows uncovered and
addressed in certain areas
• Cleanup projects advantageous for student
training
Future Directions
• Review of unmatched records will be
completed. Decisions on what holdings need
to be added to OCLC will be addressed project
by project
• OCLC ongoing holdings project was
established. We are developing a batchload
process to track adds/deletes automatically to
insure nothing is missed
Decisions
• Library still needs to make decisions on:
– What to do with the 019 matches
– How to handle duplicate records in database
– Records containing multiple formats (print vs.
electronic)
Tips for Success
• If your library is considering a batch
reclamation project in the future, keep these
points in mind:
– Get buy-in from all areas of the library affected
– Consult with other libraries that have undertaken
this project
– Be selective about which records are sent to OCLC
and what holdings you want included in WorldCat
• The more junk you send them, the more difficult the
clean-up
More Tips ….
– Fill out all OCLC documentation precisely
• Insure that you use extended matching if you plan to
match on OCLC control numbers
• Request the 3 column spreadsheet if you want to
identify matches on the 019
– Carefully examine the records you do not send out
– Set up a plan for batch reclamation clean-up
projects. Make sure you have the resources
– Document all decisions made for future reference
– Do a follow-up evaluation to find what worked
and where improvement may be necessary
Remember …
• OCLC’s goal is to synchronize your holdings
with OCLC WorldCat
• Your library’s goal should be cleaning up your
catalog for your patrons and provide improved
services
• Batch reclamation can benefit both parties if
planned and carried out effectively
Follow-Up
• Be willing to share your experiences with
batch reclamation with other libraries (see
handout for other examples)
• OCLC has, since we completed our project,
opened up a new support group within their
Customer Service Division, called Consultive
Services. Their function is to assist libraries
with pre-project and support questions.
E-mail: [email protected]
Questions?
Thank You!
Roman Panchyshyn, MLIS
Catalog Librarian
Kent State University
[email protected]
330-672-1699