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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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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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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’


C:\Docstoc\Working\pdf\63fb42ba-59d6-4a21-a4a3-13de3203f5df.doc
Created 9/2007

				
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