Cataloging @Yale

Post-Reclamation Workflow: Background

--DRAFT--

To: Technical ServicesStaff
From: Steven Arakawa
Date: (issue date/ 06/07/2011 3:13 PM revision date)

RECLAMATION WORKFLOW

As a result of the reclamation processing by OCLC in early 2011, a new Institution Record (IR) has been created in OCLC corresponding to virtually every cataloged record in Orbis. Any old, pre-reclamation YUS IRs have been purged from the WorldCat database and replaced by new IRs with new ID numbers.

EXCLUDED from the reclamation & post-reclamation workflow:

uncataloged records with UNCAT,* In Process, or On-order in the MFHD 852 $h
records with location "withdrawn"
all suppressed records, cataloged or uncataloged, including circulation records
cataloged records with location yulint, even if the record has been created in Orbis
government document records cataloged by MARCIVE
"problem" records OCLC was unable to process; these will be addressed as a separate project by Catalog Management, updated, and re-exported
Note that the reclamation affects cataloged records only; any record clearly identified as in-process, on-order, or suppressed has been automatically excluded

*Exception to the Exceptions: archival records (Record type p) with UNCAT in 852 were included intentionally in the reclamation process. Although OCLC will use the records to create both a master record and an IR, the uniqueness of the archive means that the master record also functions as a record of local holdings.

Note that some collections did not enter UNCAT, In Process, or On-order in the MFHD 852 $h in their uncataloged Orbis records. These records were treated as cataloged in the reclamation workflow and IRs would have been created for them. This will continue to happen post-reclamation unless the cataloging unit for the collection uses one of the standard terms for on-order or in process acquisitions. Records for these collections created during the gap period and ongoing do not need In Process, etc. in 852 $h.

The YUS IRs in OCLC have an ID number in the upper left corner of the record, a 035 with a YUS prefix followed by the Orbis ID number, and a 079 field with the OCLC Master Record ID number. The header will have "Online Institution Record (YUS). The 040 field will always have $c YUS.

Examples:

Screenshot of OCLC Master record

Screenshot of YUL Institution Record (IR)

In some cases, there will be additional Master Record numbers in 079 subfield z, representing deleted Master Records that were merged with the Master Record with ID number in 079 $a.

Screenshot Comparison of OCLC 079 with $z Subfield and of Orbis 079 Field.

Following reclamation, OCLC has sent files of all Orbis ID numbers with corresponding IRs in WorldCat. Programming created by the Library Information Technology Office (LITO) identifies and copies the Orbis record. Based on the Orbis ID match, the program inserts the new IR ID number in the record in field 035 with an (OCoLC) ocn or ocm prefix.

Screenshot of Orbis record following LITO processing

If the record already has a 035 beginning with the (OCoLC) prefix, the LITO program will delete it and replaced it with the new 035 (OCoLC) field derived from the new IR.

The OCLC Master Record ID number is inserted into the record as field 079 corresponding to the 079 field in the IR. Only the 079 delimiter $a is inserted; the $z numbers are stripped out. The updated record then replaces the entire Orbis record.

GAP FILE

Once all of the new IR numbers created by the initial reclamation processing have been matched with and inserted into the corresponding Orbis records, LITO will send a file of records (the "gap file") to OCLC. "Gap file" records are Orbis records cataloged or updated during the reclamation processing period. New records will undergo the same processing by OCLC used for the reclamation files. Updated Orbis records will replace the OCLC YUS IR based on the Orbis 035 (OCoLC) number match with the IR record ID number. The file of new IR IDs will be sent to LITO for insertion into the corresponding Orbis records. <Gap file processing may be incorporated with the After Gap workflow described next. >

AFTER GAP PROCESSING

Following the gap file processing, catalogers working in Orbis will continue to use ExportQ to export their newly cataloged records to MARS. A file of these records will go out to MARS weekly. Upon returning from MARS processing, the MARS file of updated records will be used to replace the corresponding records in Orbis and as an export file sent to OCLC.

OCLC will match the new Orbis records with the appropriate Master Records, create new IRs, and send a file of new IR ID numbers to YUL on a weekly schedule. LITO programs will insert the IR ID numbers in field 035 (OCoLC) of the corresponding copy of the Orbis record. As part of the programming, any 035 (OCoLC) fields already in the record will be deleted. Usually this will be the 035 (OCoLC) Master Record ID number. The programs will then replace the Orbis record with the updated version. Since the Orbis record will be replaced by the updated copy of the most current Orbis version, any changes made to the Orbis record in Orbis during the OCLC/LITO processing period will be retained. The update in Orbis will postdate the MARS replacement, so the updated Orbis record will be added to the re-export to OCLC queue & eventually replace the YUS IR with the updated Orbis version.

RECLAMATION MAINTENANCE

The reclamation processing at OCLC will also identify OCLC records with YUS that did not match on any of the records sent by Yale. The YUS symbol will eventually be deleted from these records by OCLC.

As noted in the exclusion list above, some records were rejected by OCLC's reclamation process. It is expected that most of the rejections relate to MARC coding or scripts that cannot be converted to the MARC-8 form used by WorldCat. Fixes that can safely be handled by computer processing will be done by OCLC. OCLC will send Catalog Management a report listing problem IDs along with the particular issue caused by the record. Fixing these will be a term projected handled by Catalog Management.

UPDATED RECORDS

In addition to the new records returning from MARS, the export file will also include any bibliographic records previously returned from MARS if the records have been updated in Orbis since the previous week's export. The YUS IR record in WorldCat will be replaced by the updated Orbis record based on the matching of the Orbis 035 OCoLC ID number and the OCLC IR's ID number. EXCEPTION: manuscript and archival records will replace the master record.

Records flagged for export from Orbis due to updating will be limited to previously cataloged records that have already been processed by MARS.

If the record has been updated multiple times in the designated week, the most recent version will go to the queue.
Updates made in the course of cataloging an item for the first time will not be included in the export file; the trigger will be the MARS processing date, so catalogers should not export records to MARS prior to the completion of cataloging.
Updates to the MFHD(s) and item record(s) will not cause the bibliographic record to be flagged as an update.
Any update to a bibliographic record following MARS processing will flag the bibliographic record for export to OCLC automatically.
An update to a bibliographic record without MARS but with OCLCREC in record history will flag the bibliographic record for export to OCLC.
If Catalog Management performs batch updates in Orbis to cataloged bibliographic records (e.g. for subject heading changes) the records will be flagged for the export file. Although the batch updates could include uncataloged in-process records, the lack of a MARS date in the record history will exclude the in-process record from the export file.
If another library's IR number is retained in 035, the record exported from Orbis could appear to be an update rather than new cataloging, and indeed the 035 would be the match point with the highest weight. However, the record for the other institution will not be replaced by the YUS Orbis record. If the Orbis record has a 035 OCoLC number for another library's IR, the OCLC matching program will check for YUS in 040 $a. If another library's symbol is in $a, it will not be considered a match and the program will use other match points. If no YUS IR is found, the OCLC program will generate an IR for YUS.
The LITO program inserting the 079 field will include only the 079 $a subfield; the $z subfields will not be included. Also not included will be the 035 YUS<Orbis ID number> in the YUS IR in OCLC. If the Orbis record is updated, the OCLC YUS IR will eventually be replaced with the updated Orbis record, and the 079 subfields in $z will be wiped out (as well as the 035 YUS<Orbis ID>). The $z merged master record ID numbers will still be retained on the master record in field 019.

NON-ROMAN SCRIPT CATALOGING ON CONNEXION

Catalogers who create records in Connexion (primarily non-roman cataloging) will create an IR manually as part of their cataloging workflow. The cataloger will export the record to Orbis. The cataloged record imported into Orbis will already have the IR 035 and the Master Record 079 fields. These fields are generated by Voyager and OCLC programming respectively, but may get duplicate processing if the records created in OCLC are included with the records created in Orbis in the LITO program to insert new IR ID numbers. The non-roman records created in OCLC & imported into Orbis will be flagged for export only to MARS.

Maintenance updates to individual non-roman records will continue to take place in Connexion rather than Orbis. Following the update in Connexion, the cataloger will then overlay the Orbis record with the updated OCLC IR. However, batch updates to Orbis records in Orbis will flag non-roman Orbis records for re-export to OCLC automatically.

The key element in the workflow is that the non-roman records created in OCLC will have valid 035 (OCoLC) ID numbers corresponding to the OCLC IR as soon as they are imported into Orbis. For records created in Orbis, there will be a 1-3 week delay before the IR ID appears in the Orbis record. The insertion of the IR ID will always postdate the replacement of the Orbis record with the updated MARS record.

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Post-Reclamation Workflow: Background