At the Table: Developing a Cataloging Workflow for a Successful Demand-Driven Acquisitions Project Roman S. Panchyshyn Catalog Librarian/Assistant Professor Kent State University ALA CMIG 06/23/2012

Goals Examine the role played by technical services cataloging staff in the implementation of a Demand Driven Acquisitions (DDA) pilot project Share information on the workflow that was developed for the DDA pilot Provide a critical evaluation of the project from a cataloging perspective

Pilot Background Kent State University Library (KSUL) began considering plans for a patron-driven or demand-driven pilot in FY 2011 Demand for access to e-books by faculty and students was increasing OhioLINK consortial purchases were not as timely or adequate as necessary

KSUL Background KSUL is an ARL library, has over 2 million items in library collection Local ILS is Innovative Interfaces (KentLINK) Member of the statewide OhioLINK consortium

Budget and Selection KSUL set aside $50, in the FY 2012 budget for a DDA pilot Collection management librarian investigated DDA offerings from several vendors YBP/ebrary Integrated Demand Driven Acquisitions was chosen as pilot vendor

Vendor Notes KSUL already had an established relationship with YBP and ebrary (now part of ProQuest) Cataloging and invoicing information from YBP for physical items delivered via OCLC Cataloging Partners (PromptCat) During planning stage of DDA project, YBP insisted that cataloging staff be involved

Cataloging Support Issues YBP partnership with ebrary, e-books accessed through ebrary portal MARC records generated by ebrary based on our YBP DDA profile and passed to YBP MARC records delivered to KSU through YBP FTP site

Cataloging Workflow Outline YBP would provide library with 2 types of MARC records –Discovery records for all materials available through the pilot –Point of invoice records for purchased materials Most records derived from the print format MARC records of good quality, but not OCLC records

Basic Workflow Process Library will load discovery records into local catalog on a regular basis A “purchase” triggered by contractual definition of “use” will generate point of invoice records (POI) with fund accounting (invoicing) information POI records will overlay discovery records in KentLINK, then replaced by OCLC records

Discovery MARC Records YBP had 2 options –Standard discovery records –Customized discovery records Customized records carried annual subscription fee KSUL chose standard records—staff had the skill to customize them locally

MARC Record Quality All records were of acceptable quality Adhere to PCC’s MARC Record Guide for Monograph Aggregate Vendors All had LC Classification and LCSH All had site-specific URLs for KSUL linking to full text

LDR01346nam a 4500¶ 001ebr ¶ 003NhCcYBP¶ ¶ 006m||||||||d||||||||¶ 007cr||n|||||||||¶ s2012 kyua ob eng d¶ 020 ‡a X (electronic bk.)¶ 020 ‡a (electronic bk.)¶ 020 ‡z (hardcover : alk. paper)¶ 020 ‡z (hardcover : alk. paper)¶ 040 ‡aNhCcYBP‡cNhCcYBP¶ 043 ‡an-us-ky‡an-us---¶ 050 4‡aSF357.K4‡bN ¶ 08204‡a ‡223¶ 1001 ‡aNicholson, James C.¶ 24514‡aThe Kentucky Derby‡h[electronic resource] :‡bhow the run for the roses became America's premier sporting event /‡cJames C. Nicholson ; foreword by Chris McCarron.¶ 260 ‡aLexington :‡bUniversity Press of Kentucky,‡cc2012.¶ 300 ‡a1 online resource.¶ 500 ‡aDescription based on print version record.¶ 504 ‡aIncludes bibliographical references and index.¶ 533 ‡aElectronic reproduction.‡bPalo Alto, Calif.‡nAvailable via World Wide Web.¶ 61120‡aKentucky Derby‡xHistory.¶ 650 0‡aHorse racing‡zKentucky‡xHistory.¶ 7102 ‡aebrary, Inc.¶ 776 ‡cOriginal‡z ‡z ‡w(DLC) ¶ 85640‡uhttp://site.ebrary.com/lib/kentstate/docDetail.action?docID= ¶ Sample YBP Discovery Record

Discovery Record Customization KSUL used its e-resource checklist tool to –verify record quality –identify customization needs –document customization specifics Systems modified existing Batch MARC Load Tool for preprocessing modifications DDA files always need to be segregated from all other YBP/ebrary product files (for pilot)

Customization Changes Added prefix “1” to ebrary record number in the 001 Switched 856 to 956, added public note in subfield “z” Added 506 access restrictions note Added 910 as “hook” Used 999 to set location (kentc), cat date (blank), Mat Type “3”, and display “z” local

LDR01569nam a 4500¶ 0011ebr ¶ 003NhCcYBP¶ ¶ 006m||||||||d||||||||¶ 007cr||n|||||||||¶ s2012 kyua ob eng d¶ 020 ‡a X (electronic bk.)¶ 020 ‡a (electronic bk.)¶ 020 ‡z (hardcover : alk. paper)¶ 020 ‡z (hardcover : alk. paper)¶ 040 ‡aNhCcYBP‡cNhCcYBP¶ 043 ‡an-us-ky‡an-us---¶ 050 4‡aSF357.K4‡bN ¶ 08204‡a ‡223¶ 1001 ‡aNicholson, James C.¶ 24514‡aThe Kentucky Derby‡h[electronic resource] :‡bhow the run for the roses became America's premier sporting event /‡cJames C. Nicholson ; foreword by Chris McCarron.¶ 260 ‡aLexington :‡bUniversity Press of Kentucky,‡cc2012.¶ 300 ‡a1 online resource.¶ 500 ‡aDescription based on print version record.¶ 504 ‡aIncludes bibliographical references and index.¶ 533 ‡aElectronic reproduction.‡bPalo Alto, Calif.‡nAvailable via World Wide Web.¶ 61120‡aKentucky Derby‡xHistory.¶ 650 0‡aHorse racing‡zKentucky‡xHistory.¶ 7102 ‡aebrary, Inc.¶ 776 ‡cOriginal‡z ‡z ‡w(DLC) ¶ 95640‡uhttp://site.ebrary.com/lib/kentstate/docDetail.action?docID= ‡zConnect to resource. Access available t o all Kent State University campuses.¶ 506 ‡aFor use by Kent State University students, faculty and staff only¶ 910 ‡aYBP DDA¶ 999 ‡akentc‡c - - ‡e3‡fz¶ Customized fields added (in red)

Point of Invoice Records Delivered for materials purchased through the DDA pilot Contain order and invoice information for generating order records in KentLINK, supporting electronic invoicing Cost $2 apiece, customization included

Record Specifications Cataloging staff specified in detail in YBP contract how YBP was to output all local and variable data Worked with acquisitions staff to codify invoice data

Local Variable Data Tag1 st indicator2 nd indicatorSubfieldData 961cFund code (from approval plan)* 980aInvoice date (yymmdd) bList price (implied decimal) cTax (implied decimal) eNet price (implied decimal) fInvoice number gQuantity

Local Constant Data Tag1 st indicator2 nd indicatorSubfieldData 910aYBP DDA 960at (ACQ TYPE) ge (FORM) ka (RLOC) la (BLOC) m1 (number one) (STATUS) vybpdd (VENDOR) 961m (SUBACCT #) 981aybpdd (VENDOR) bddaeb (FUND) conlin (LOCATION) or (ORD TYPE) 999akentc (LOCATION-BIB) c - - (CAT DATE) e3 (MAT TYPE) fZ (DISPLAY)

YBP DDA ORDER RECORD EXAMPLE

Workflow—Discovery Records Initial file based on YBP subject profile loaded 01/03/2012, records Supplemental files ( records) loaded weekly after initial load Catalog Librarian downloads file from YBP FTP site, processes it using Batch Marc Load tool (applies constant data), then loads into KentLINK using data exchange (“b” table)

Workflow-Point of Invoice Records When purchases triggered, library receives file every 3-4 days with invoice information File picked up from YBP FTP site, imported by acquisitions staff through Millennium Acquisitions Import Invoices File overlays discovery records using 001 ebrary number Review file created for acquisitions staff to manually pay invoices

Workflow-OCLC Records After POI records loaded, copy cataloging staff import POI records into OCLC Connexion save file Staff searches for best match on OCLC using current copy cataloging procedures for e-books

OCLC Records When good OCLC copy is located, copy catalogers: –Tile records vertically in OCLC –Delete all 856s in OCLC record –Transfer 956 from POI record to OCLC record –Apply constant data (506, 710, 910 “hook”) –Validate records and control headings –KentLINK record overlaid with OCLC record –Statistics kept

Statistics and Backup Statistics were kept for every aspect of the YBP DDA pilot for cataloging, separate from the ones available via YBP and ebrary A copy of all discovery record files and POI files was retained on KSU server for backup and examination

Holdings Load Service (ISBN) Eliminating duplicates from other sources –Cataloging/technical services needed to provide YBP with a list of ISBNs going back several years –Spreadsheet file contains ISBN (10 or 13 no. in column 1) and YBP 4 digit base account no. with suffix 99 in column 2 e.g || –Ongoing, first 3 loads per year free, if more than 3 a $500 annual subscription fee applies

Project Outcomes--Overview DDA pilot successful –Purchased 484 e-books from 1/1/2012 through 5/27/2012 –Spent $47,160 for the same period –All items purchased with SUPO option (but 37% of items purchased had MUPO option) –Average cost $96.00 per book (expensive)

Issues—Cataloging Perspective Planning and preparation absolutely necessary to set up cataloging workflow and technical specifications, but once established the process went smoothly All procedures/decisions were written, documented and archived Quality of records and quality of customer service from YBP/ebrary very good

Other Issues We would have preferred that OCLC records be delivered at the Point of Invoice stage Some discovery records needed to be removed during pilot as vendor lost permission to distribute a specific publisher Erroneous mixing of record distributions (direct orders, nursing collection, DDA) Next step. What does the library do with the MARC records once DDA pilot is complete?

Recap Cataloging presence “at the table” was crucial to success of the DDA pilot –Created and edited technical specifications and tools –Tested, developed and archived local workflow procedures and decisions Still much room for improvement –Manual invoice payment –Manual OCLC record searching

Conclusion KSUL staff now has skill sets and a working system in place to deal with future PDA/DDA programs in technical services Future of PDA/DDA programs is contingent upon funding and availability of reasonable options offered by publishers

Questions?

Contact Information Roman Panchyshyn, MLIS Catalog Librarian, Assistant Professor Kent State University