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PROCEDURES FOR LOADING OUTSOURCED APPROVAL BOOKS
Background: The partnership between Yankee Book Peddler (YBP) and OCLC’s PromptCat will
be used to facilitate the processing of approval books. YBP will stamp, strip, and barcode all
books. PromptCat will supply a file of full bibliographic records that includes YBP order
information. The ALEPH file-96 loader—that generates order records and encumbrances—is used
to batch load this file. A notification e-mail is sent when the records are ready for downloading. In
addition to the file of bibliographic records there is also a report file that is useful for resolving
discrepancies between book titles and record titles. The file-96 loader does not have a matching
procedure so a GenLoad de-duping procedure was established to detect records already in the
system. Avoid any erroneous loading of PromptCat records with order information because there
is no batch-delete process for order records—order records require manual deletion.
Records loaded with the file-96 loader are overlaid using GenLoad—there should be a match on
every record which according to the profile specifications, triggers a ‘merge’. GenLoad does in one
step what it would take many fixes to do in ALEPH—1) it creates HOLs based on the 049 code—
FXGG—with appropriate first indicators, sublibrary/collection codes, and notes in the 852 field, 2)
it creates item records based on the barcode with an appropriate item status/item processing
status as well as material type, 3) it handles the conversion of diacritics and generates a character
conversion error report when there is a problem. The character conversion error report should be
printed and annotated with the OCLC number during processing when the information is readily
available. This saves a lot of time for the post-load process of correcting character conversion
errors. Statistics, including the number of character conversion errors will be recorded on the
attached statistics form at the time of processing. They are input in the approval spreadsheet
(<path>) after all records are loaded and before the review process.
Folder setup on the shared Cataloging drive:
In the T:\Yankee\APPROVALS\ folder create a subfolder for the approval file
o APPyymmdd; i.e., APP070705
Copy the empty subfolders for processing to the new file subfolder
o dedupe—sorting for deduping records occurs in this folder
o dlcs—processing for loading DLC records with GenLoad occurs in this folder
o non-dlcs—processing for loading non-DLC records with GenLoad occurs in this
folder
Retrieval of records after notification email is received:
Go to http://psw.oclc.org/psw/
Click on ‘download records and reports’
Click on ‘PromptCat labels, records and reports’
Logon with OCLC authorization and password and hit ‘Enter’
Download and save the record and report files
o record file
YDX.Dyymmdd.APPR, i.e. YDX.D070705.APPR
save as T:\Yankee\APPROVALS\APPyymmdd\dedupe\APPyymmdd
i.e. T:\Yankee\APPROVALS\ APP070705\dedupe\APP070705
o report file
YDX.Dyymmdd, i.e. YDX.D070705
save as T:\Yankee\APPROVALS\ APPyymmdd\APPyymmdd
i.e. T:\Yankee\APPROVALS\APP070705\APP070705[.txt]
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Created 9/2007
UP Cataloging Procedures for Loading Outsourced Approval Books
NOTE: Files are stored on a shared network drive. Copy files to local hard drive to process
and load. Move files back to network drive when loading is completed.
During the processing of records to identify duplicates, confirm the fund code year in 981
$b is correct. If it does not reflect the code for the current fiscal year, stop all processing
and report this to the Database Maintenance SLTA so the code can be corrected.
Documenting information for Character Conversion Errors for correction after
loading.
As the file is processed for de-duping:
o view and print the associated character file
File/View Character File
File/Print or Ctrl+P
close the character file
o document the OCLC number of each record with character conversion errors
in Preview go to the record number of each character conversion error
write the OCLC number of each record on the printout
File the printout in the APPROVAL/CCE 2b Corrected folder—staple if there are multiple
pages.
De-duping of records for loading with ALEPH loader:
Use GenLoad to identify non-duplicate/new records to be loaded with the ALEPH loader
o open APPyymmdd in GenLoad
o select the APP-DEDUP-M profile
NOTE: This profile is set up to load only ‘matching’ records. Therefore the ‘skip’ file of
records with no match found identifies ‘new records’ that should be loaded with the ALEPH
loader.
o process and Send the records in ‘Report’ mode to create a skip file for new records
that will be loaded with the ALEPH loader
APPyymmdd_skip_yyyymmdd_hhmm.err
i.e. APP070705_skip_20070807_0820.err
o check the log file to make sure records in skip file were skipped because no match
was found. File should be resent if there are records skipped because of an ‘Error
during search’.
o when the skip file contains only records that were skipped because no match was
found, rename the skip file—file with the latest date/time stamp—to indicate records
will be loaded with ALEPH loader
APPyymmdd_skip_yyyymmdd_hhmm.err → yymmddal
NOTE: Files uploaded to the FIU01 scratch directory for loading with the ALEPH loader are
subject to UNIX naming conventions.
Use GenLoad to identify records already in the database
o open APPyymmdd in GenLoad
o select the APP-DEDUP-NM profile
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Created 9/2007
UP Cataloging Procedures for Loading Outsourced Approval Books
NOTE: This profile is set up to load only new records. Therefore the ‘skip’ file of records
that match an existing record in the database identifies ‘duplicate’ records that should be
processed as ‘add copies’ or ‘add campus’ for either BBC or UP.
o process and Send the records in ‘Report’ mode to create a skip file for records that
match
APPyymmdd_skip_yyyymmdd_hhmm.err
i.e. APP070705_skip_20070807_0810.err
o check the log file to make sure the records that the records in the skip file were
skipped because there was a matching record. File should be resent if there are
records skipped because of an ‘Error during search’.
o when the skip file contains only records that were skipped because a matching
record was found, rename skip file—file with the latest date/time stamp—to
indentify/separate the records that are duplicates so the materials can be processed
separately.
APPyymmdd_skip_yyyymmdd_hhmm.err → APPyymmdd-dupe
i.e., APP070705_skip_20070807_0810.err → APP070705-dupe
NOTE: To accommodate the special handling of materials identified as duplicate, create a
list by printing the ‘…-dupe file’ in the MarcBreaker module of the MarcEdit software.
Input file: APPyymmdd-dupe
Output file: APPyymmdd-dupe.mrk
Click ‘Execute’
Click ‘Edit’
Print the displayed records
Highlight the invoice number for each title—980 $f—and add the following information to
the top of the invoice:
APPyymmdd-dupe: x titles need order records
Forward to Acquisitions before boxes are unpacked. Acquisitions will manually create
orders for these titles and provide instructions for their processing—add copy or add
campus for UP or BBC—prior to forwarding the books to cataloging. Since these books do
not need to be removed, they will be pulled from the trucks for processing before students begin
the review process.
Loading of deduped/‘new’ records with the ALEPH loader to generate order
records:
Upload file of new records to the FIU01 scratch directory
o go to http://fi.aleph.fcla.edu/S
o identify yourself by clicking on step one ‘Click here’
login using ALEPH user ID and password
o upload the file of new records to the FIU01 scratch directory
click on Upload files
select radio button for fiu01/scratch
click on browse to locate deduped file
T:\Yankee\APPROVALS\APPyymmdd\ yymmddal
click open to select the file
click ‘upload’ to upload the file-- confirmation message will indicate the file
was uploaded successfully
Load file of new records using ‘p-file_96’
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Created 9/2007
UP Cataloging Procedures for Loading Outsourced Approval Books
o open Catalog module
o click on ‘Services’
o select ‘Load catalog records’ then select ‘Generic Vendor Records Loader (file-96)’
o load parameters:
Input File: yymmddal; i.e., 070705al
Default Values Input: tab_yankee_fiuapr
ADM Library: FIU50
HOL Library: leave blank
Create Item Records: No
Create Order Records: Yes
Create ENC Records: Yes
Fix Routine: YBPAP
Update Database: Yes
NOTE: Make sure the box for ‘Add to History’ is checked. The ALEPH loader loads all the
bib records in a file, creates order records, and processes encumbrances. Note the
PromptCat file date is different—usually several days earlier than the date of the
downloaded file.
click ‘Submit’
o confirm all records loaded and have been indexed
in the search module do a TKR search and verify count of records loaded
matches number of records in PromptCat report
TKR=promptcat <file date>
i.e., TKR=promptcat 070503
Sorting of records that will overlay records loaded with ALEPH loader:
Use GenLoad Utilities/File Sorter to sort records for loading and statistics
o do a preliminary sort to identify printed cartographic materials
sort parameters:
Input file: yymmddal
Output file: APPyymmdd-atlas
Field sort criteria: 000/06/e
for loading purposes rename the match file
APPyymmdd-atlas.match → APPyymmdd-atlas
for further sorting move the nomatch file to the ‘dlcs’ subfolder
…\dlcs\APPyymmdd-atlas.nomatch
o sort to identify DLC and non-DLC records
sort parameters:
Input file: APPyymmdd-atlas.nomatch
Output file: APPyymmdd-dlcs
Field sort criteria: 040, DLC
DLC records = APPyymmdd-dlcs.match
move to ‘dlcs’ subfolder
non-DLC records = APPyymmdd-dlcs.nomatch
for loading purposes rename and move this file
o APPyymmdd-dlcs.nomatch → APPyymmdd-non-dlcs
o i.e., APP070705-dlcs.nomatch → APP070705-non-dlcs
o move to ‘non-dlcs’ subfolder
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Created 9/2007
UP Cataloging Procedures for Loading Outsourced Approval Books
o additional sorting of DLC records
sorting to identify DLC records for books that have an Encoding level 8
Input file: APPyymmdd-dlcs.match
Output file: APPyymmdd-dlc-8
Fix field sort criteria: 17/000/8 (position 17 / LRD fix field/ equal 8)
rename match file for loading purposes:
o APPyymmdd-dlc-8.match → APPyymmdd-dlc-8
sorting to identify DLC records for multivolume sets and books with
accompanying materials
Input file: APPyymmdd-dlc-8.nomatch
Output file: APPyymmdd-dlc-300
Field sort criteria: 300##, v.; 300##, +
rename match file for loading purposes:
o APPyymmdd-dlc-300.match → APPyymmdd-dlc-300
sorting to identify DLC records for books that have a series statement
Input file: APPyymmdd-dlc-300.nomatch
Output file: APPyymmdd-dlc-4xx
Field sort criteria: 4####
rename files for loading purposes:
o APPyymmdd-dlc-400.match → APPyymmdd-dlc-4xx
o APPyymmdd-dlc-400.nomatch → APPyymmdd-dlc
o additional sorting of non-DLC records
sorting to identify materials cataloged by ‘pcc’
Input file: APPyymmdd-non-dlcs
Output file: APPyymmdd-pcc
Field sort criteria: 042##, pcc
rename pcc file for loading purposes:
Appyymmdd-pcc.match → APPyymmdd-pcc
i.e., App070705-pcc.match → APP070705-pcc
sorting to identify second and third level materials
Input file: Appyymmdd-pcc.nomatch
Output file: APPyymmdd-2l
Field sort criteria: 090##; 050#4
rename 2nd and 3rd level files for loading purposes:
second level file
o Appyymmdd-2l.match → APPyymmdd-2l
o i.e., App070705-2l.match → APP070705-2l
third level file:
o Appyymmdd-2l.nomatch → APPyymmdd-3l
o i.e., App070705-2l.nomatch → APP070705-3l
Loading of records using GenLoad to create HOLs and items and to fix
diacritics:
NOTE: Use ‘Preview’ to confirm records will load with appropriate TKRs, indicators, notes,
and item statuses or item processing statuses and that the match criteria is functioning
properly. After loading it is also critical to review the log files to resolve any issues related
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Created 9/2007
UP Cataloging Procedures for Loading Outsourced Approval Books
to the load process: error during search, failed records, no match found, records sent
incomplete, etc.
Generic load specifications:
o matching points
OCLC number
Custom match for YBP number: 0358 $a, tag text (NhCcYBP), length 11,
CMD UTL, Index text, OWN
o BIB match: replace [all bibs should match]
o HOL match with matching BIB: don’t load
o Create HOL: yes
o Create ITEM: yes
o Item Status: 01
o TKR: (Source)%f
o TKR: APPROVAL %f
Load specifications for printed cartographic materials:
o File to load: APPyymmdd-atlas
o Profile: APP-ATLAS
o 049: FXGM[MPAT]
o Material type: ATLAS
o HOL: 852 with blank first indicator
o Items: IPS=IP
o Note: atlas %d
Load specifications for DLC records:
o Ecoding level 8 books
File to load: APPyymmdd-dlc-8
Profile: APP-DLC
HOL: 852 with first indicator ‘0’
o multivolume sets and books with accompanying materials
File to load: APPyymmdd-dlc-300
Profile: APP-DLC
HOL: 852 with first indicator ‘0’
o series
File to load: APPyymmdd-dlc-4xx
Profile: APP-DLC
HOL: 852 with first indicator ‘0’
o remaining DLCs
File to load: APPyymmdd-dlc
Profile: APP-DLC
HOL: 852 with first indicator ‘0’
Load specifications for non-DLC records
o materials cataloged by ‘pcc’
File to load: APPyymmdd-pcc
Profile: APP-PCC
HOL: 852 with blank first indicator
Items: IPS=IP
Note: pcc %d
o second level materials
File to load: APPyymmdd-2l
Profile: APP-2L
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Created 9/2007
UP Cataloging Procedures for Loading Outsourced Approval Books
HOL: 852 with blank first indicator
Items: IPS=IP
Note: 2nd lvl %d
o third level materials
File to load: APPyymmdd-3l
Profile: APP-3L
HOL: 852 with blank first indicator
Items: (IPS=IP)
Note: 3rd lvl %d
Confirm all PromptCat records were overlaid by GenLoaded records
o repeat the TKR search that confirms PromptCat records have indexed prior to
loading records with GenLoad
TKR=promptcat <file name>
search result should be ‘0’
o if result is not ‘0’ resolve any issues before students begin the review process
Tracking statistics:
As records are sorted and loaded:
o record statistics from sorting and loading on the approval statistics form—confirm the
number of records in match and nomatch files are equal to original file
o record statistics for character conversion errors on the approval statistics form
After records are sorted and loaded:
o input statistics in the worksheet for the appropriate fiscal year of the approval
statistics spreadsheet
input numbers for categories highlighted in yellow—other categories are
calculated based on yellow categories
confirm numbers in calculated categories are equal to numbers on approval
statistics form
o save and close the spreadsheet
o file the statistics form in statistics folder of the APPROVAL section of the
DATALOAD file drawer
NOTE: In the monthly summary row of the record creation and cataloged columns use an
‘autosum’ formula for records loaded during the month to calculate Approval ‘record
creation’ and ‘cataloged’ statistics for the month. In the annual summary worksheet use an
‘autosum’ formula for the monthly statistics of each fiscal year.
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Created 9/2007
DATALOAD STATISTICS FORM FOR OUTSOURCED APPROVAL BOOKS
Yankee Approval Books NOTE: Files are stored on a shared network drive.
ALEPH sort & stat form _________ Copy files to local hard drive to process and load.
Move files back to network drive when loading is
Character Conversion Errors ______ completed.
NOTE: During the processing of records to identify
duplicates, confirm the fund code year in 981 $b is
correct. If it does not reflect the code for the
current fy, stop all processing and report this to
the Database Maintenance SLTA so the code can
be corrected.
f-1 APPyymmdd _____
Open file: APPyymmdd Open file: APPyymmdd
Process & Send in Report Process & Send in Report
Profile: APP-DEDUPE-M Profile: APP-DEDUPE-NM
…_skip_yymmdd_hhmm.err …_skip_yymmdd_hhmm.err
f-2 f-3
yymmddal _______ APPyymmdd-dupe_______
Upload & Open: yymmddal NOTE: To accommodate the special
Service: p-file_96 handling of duplicate materials, create a list
by printing the ‘…-dupe’ file in the
Settings: MarcBreaker module of the MarcEdit
L1 Default: tab_yankee_fiuapr
Fix: YBPAP software.
Input file: APPyymmdd-dupe
Output file: APPyymmdd-dupe.mrk
Click ‘Execute’
NOTE: Confirm PromptCat records have finished Click ‘Edit’
indexing prior to re-loading with GenLoad (where x Print the displayed records
is equal to the number of records loaded) Highlight the invoice number for each
TKR: promptcat… = x title—980 $f—and add the following
information to the top of the invoice:
APPyymmdd-dupe: x titles need
order records
Forward to Acquisitions before boxes are
unpacked.
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Created 9/2007
UP Cataloging Dataload Statistics Form for Outsourced Approval Books
Approval Books Genload sort & stat form
Yankee file name ___________ S1 Utilities / File Sorter
Input file : yymmddal
Output file: APPyymmdd-atlas NOTE: Stats for
Field sort criteria: 000/06/e ______ DLC records
from this form
will be counted
f-4 APPyymmdd-atlas.match f-5 APPyymmdd-atlas.nomatch ______ as ‘Cataloged’
APPyymmdd-atlas ______ where as stats
L2 Profile: APP-ATLAS for non-DLCs
HOL: 852 with blank first indicator S2 Utilities / File Sorter
Utilities / File Sorter will be counted
Items: IPS=IP Input file : yymmddal
Input file : APPyymmdd-atlas.nomatch as ‘Record
Note: 852 $xatlas %d ______ Output file: APPyymmdd-dlcs
Output file: APPyymmdd-dlcs Creation’.
Field sort criteria: 040, DLC ______
Field sort criteria: 040, DLC ______
f-6 APPyymmdd-dlcs.match f-7 APPyymmdd-dlcs.nomatch
Move to: ‘dlcs’ ______ APPyymmdd-non-dlcs ______
Move to: ‘non-dlcs’
S3 Utilities / File Sorter S6 Utilities / File Sorter
Input file : APPyymmdd-dlcs.match Input file : APPyymmdd-non-dlcs
Output file: APPyymdd-8 Output file: APPyymdd-pcc
Fixed Field sort criteria: 17/000/8 Field sort criteria: 042, pcc
f-8
APPyymmdd-8.match f-13 APPyymmdd-pcc.match f-14
APPyymmdd-8 ________ APPyymmdd-pcc ______ APPyymmdd-pcc.nomatch
Profile: APP-DLC Profile: APP-PCC ______
L3 HOL: 852 with first indicator ‘0’ HOL: 852 with blank first
indicator
Items: IPS=IP
S4 Utilities / File Sorter Note: 852 $xpcc %d ____
Input file : APPyymmdd-8.nomatch
Output file: APPyymdd-dlc-300 S7 Utilities / File Sorter
Fixed Field sort criteria: 300, v.; 300, + Input file : APPyymmdd-pcc.nomatch
Output file : APPyymmdd-2l
f-9 APPyymmdd-300.match Field sort criteria : 090; 050#4
APPyymmdd-300 _______
Profile: APP-DLC f-15 APPyymmdd-2l.match
L4 APPyymmdd-2l ______
HOL: 852 with first indicator ‘0’
L7 Profile: APP-2L
f-10 HOL: 852 with blank first
APPyymmdd-300.nomatch _____ indicator
Items: IPS=IP
Note: 852 $x2nd lvl %d ______
Utilities / File Sorter
S5 Input file : APPyymmdd-300.nomatch
NOTE: It is APPyymmdd-2l.nomatch
Output file: APPyymmdd-4xx f-16
critical to review APPyymmdd-3l ______
the log files to Field sort criteria: 4####
L8 Profile: APP-3L
resolve any HOL: 852 with blank first
issues related to APPyymmdd-4xx.match indicator
the load process: f-11 APPyymmdd-4xx ______ Items: IPS=IP
Note: 852 $x3rd lvl %d ______
error during
L5 Profile: APP-DLC
search, failed HOL: 852 with first indicator ‘0’
records, no NOTE: After files are loaded, confirm all records
match found, APPyymmdd-4xx.nomatch loaded with file-96 (TKR: promptcat… = 0) were
records sent f-12 APPyymmdd-dlc ______ overlaid by records loaded with GenLoad (TKR:
incomplete, etc. APPROVAL…)
L6 Profile: APP-DLC
HOL: 852 with first indicator ‘0’
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Created 9/2007
