Coordinator/Presenter:

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

• Presenter
• Margaret Maurer
• Assistant Professor
• Cataloging Manager
• Kent State University
• Libraries and Media Services

• Coordinator/Presenter
• Kelly Shook
• KentLINK Coordinator
• Kent State University
• Libraries and Media Services

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Where we plan to go today

• What is PromptCat
• Typical workflow for our new process
• PromptCat / III / YBP and data loading
• What the process cant handle
• Cost / benefit analysis
• What we have gained?
• Other options
• Final words of advice

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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

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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
  YBPs ftp site

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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

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Basic Ordering Workflow (continued)

• When order is ready to ship to library, YBP sends
  an electronic manifest of titles to PromptCat

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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

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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

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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

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You can limit the records you receive based on

• Encoding Levels
• Cataloging Source
• Record Type
• WorldCat Holdings Set
• Any record you dont receive you can elect to
  receive a PromptCat Data Record (PDR) in place of

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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
  doesnt fit our profile
• Can only be delivered when you receive your
  records on tape or through an EDX account (FTP or
  Product Services Web)

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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.

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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

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Basic Receiving Workflow

• YBP ships books to the library
• Library picks up file of PromptCat records from
  OCLCs 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

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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

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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

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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

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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

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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 gt 1 945 t Item IType
• 981 b Fund Code

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http//www.library.kent.edu/mmaurer/index.html
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KSUs 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

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Key points about Kent State Universitys 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

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Key points about Kent State Universitys 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"

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Key points about Kent State Universitys Extended
Approval Plan Interface (Continued)

• KSUs 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

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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

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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

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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?

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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 ltSpacegt 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)
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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
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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

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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

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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

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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

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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

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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

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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

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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

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• 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

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What have we Gained?

• Productivity of load of associated records
• Many efficiencies
• Lowered record costs
• Re-professionalization of cataloging
• Promoted centralized cataloging

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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

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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

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URLs of Interest

• Yankee Book Peddler
• http//www.ybp.com
• YBP Technical Services http//www.ybp.com/ybp/Dom
  Index.html?tech_services.html1
• OCLC PromptCat http//www.oclc.org/promptcat/

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Library Collections, Acquisitions, and Technical
Services. v. 27 no2 (Summer 2003) p. 155-64
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• Any Questions?
• Kelly Shook - kshook_at_lms.kent.edu III Loaders
• Margaret Maurer - mmaurer_at_lms.kent.edu
  PromptCat, overall process
• Michele Hurst - mhurst_at_lms.kent.edu -
  Acquisitions
• http//www.library.kent.edu/mmaurer/index.html