OCLC Batchload for Bibliographic Records User Guide. OCLC Copyright

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2 OCLC Copyright 2014 OCLC Online Computer Library Center, Inc Kilgour Place Dublin, OH OCLC users are hereby granted permission to reproduce this manual for their internal use. Reproduction of substantial portions of this manual must contain the OCLC copyright notice. Unless otherwise noted, all product and service names are registered trademarks or trademarks of OCLC. Page 2 of 319

3 Contents Contents 3 Getting started 13 About this documentation 14 Batchload for Bibliographic Records 15 Workflow for Batchload projects for bibliographic records 16 Create an Account 17 Log on to the OSC 19 Determine the number of projects 20 Filling out the order form 21 Guidelines for using the Batchload order form 23 Back and Refresh buttons 24 Group projects 25 Requirements for group projects 26 Order for a group 27 Options for group projects 28 Results of group projects 29 Translation table for group projects 30 Inline help 31 Local Bibliographic Data 32 Restricted use records 33 Scan/Delete-Only projects 34 Request a Scan/Delete-Only project 35 Symbol Flip projects 36 Request a Symbol Flip project 37 Session timeout 38 Vendor-supplied records 39 Check the OCLC vendor list 40 Instructions for MARC Batchload project 41 Go to the online order form 42 Page 3 of 319

4 Enter your contact and institution information 48 Select OCLC products 49 Select the data format 50 Specify format of the MARC data 51 Specify format of the Non-MARC data 52 List of numeric search keys 53 Non-MARC patterned bibliographic data project 54 Enter information about the local system control number 55 Local system control number 56 Enter information about your OCLC Control Number 57 OCLC Control Number 58 Specify qualifier information 59 Qualifiers 60 Examples of qualifiers 62 Select a one-time or ongoing batchload project 63 Checklist for selecting a batchload project type 64 Select the type of one-time batchload project 66 Reclamation project 66 Retrospective project 67 Cancel Holdings Only project 68 Select the type of ongoing batchload project 69 Ongoing Batchload project 69 Specify how to handle WorldCat holdings 70 Handling WorldCat holdings 71 Specify how to display Local bibliographic data information 73 Local Bibliographic Data 77 Contact OCLC to remap local bibliographic data 78 Specify whether to add records that do not match WorldCat records 79 Specify project output options 80 Project outputs 82 Page 4 of 319

5 Checklist of questions for selecting batchload output 84 OCLC-MARC record output 85 Full OCLC-MARC records returned 88 Report and your records option 89 Notes on product codes, tracking, and billing 90 Output records are produced from batch archive records 91 Enter record information 92 Request PSWeb-only authorization 95 PSWeb-only authorization 96 Complete the order form 97 Fixing an order error 99 Instructions for a Non-MARC Batchload project 100 Go to the online order form 101 Enter your contact and institution information 107 Select OCLC products 108 Select the data format 109 Specify format of the Non-MARC data 110 Non-MARC patterned bibliographic data project 111 List of numeric search keys 112 Select a one-time or ongoing batchload project 113 Checklist for selecting a batchload project type 114 Select the type of one-time batchload project 116 Reclamation project 116 Retrospective project 117 Cancel Holdings Only project 118 Select the type of ongoing batchload project 119 Ongoing Batchload project 119 Specify how to handle WorldCat holdings 120 Handling WorldCat holdings 121 Specify whether to add records that do not match WorldCat records 123 Page 5 of 319

6 Specify project output options 124 Project outputs 126 Checklist of questions for selecting batchload output 128 OCLC-MARC record output 129 Full OCLC-MARC records returned 132 Report and your records option 133 Notes on product codes, tracking, and billing 134 Output records are produced from batch archive records 135 Enter record information 136 Request PSWeb-only authorization 139 PSWeb-only authorization 140 Complete the order form 141 Fixing an order error 143 Sending records 144 MARC-formatted records 146 Using FTP for sending records 147 FTP requirements 150 FTP file size and number recommendations 151 OCLC file pickup for FTP 152 Using FTP for an Innovative Interface system to send records 153 Using PSWeb for sending records 157 PSWeb requirements 159 PSWeb file recommendations 160 DATA file LABEL guidelines 161 DATA file naming conventions 163 What happens to your files? 164 Other non-u.s.-based MARC formatted data 165 Character encoding in MARC-formatted records 166 Non-MARC data 167 Create files of patterned bibliographic data 168 Page 6 of 319

7 Guidelines for creating lists of numeric search keys 170 Sending non-marc data 171 non-marc data files 172 Mail non-marc data files on CD or DVD 173 Confirmation s for batchload project orders 174 Preprocessing 175 Critical errors and preprocessing routines field 179 Record status 181 Other common errors field and OCLC control numbers 185 OCLC control numbers and batchload records 186 Processing 187 Matching records 188 Identifying the matching WorldCat record 189 OCLC number matching 190 Unique key matching 191 Extended matching 193 Qualifiers 196 Specify qualifier information 198 Examples of qualifiers 199 Adding unmatched records 200 Matching institution records 201 Rules for replacing records 202 One-to-one WorldCat record replacement 203 Merging 204 Merging process 206 Mergeable field types 207 Mergeable fields and rules 208 Standard merge rules 211 Page 7 of 319

8 Bibliographic Level rule (BLvl) 211 CONSER rule 211 Language of Cataloging rule 211 Naming heading fields ( , ) rules 211 NLM rule 212 Non-Latin rules 212 Series rules (fields 490, ) 212 Standard merge rules 213 Uniqueness test 213 Merge Type rules 214 Merge Type Merge Type Merge Type Merge Type Merge Type Merge Type Merge Type Merge Type Merge Type Field-specific merge notes 216 Note Note Note Note Note Note 027/ Note Note Note 050/ Note Page 8 of 319

9 Note Note Note 082/ Note Note Note 300/ Note Note Note Note Note Note Note Note Note Note Note Note Validation 222 Types of batchload validation 224 Types of validation error severity levels 225 Correctable errors 226 Severity Level 1 errors 227 Severity Level 2 errors 228 Severity Level 3 errors 229 Severity Level 4 errors 230 Batchload record validation error messages 231 Severity Level 1 error messages 233 INVALID DESCRIPTIVE CATALOGING FORM CODE 'c' (ASCII X'xx') 233 INVALID TAG 'ttt' (FIELD BEGINNING IN POSITION nnn) 233 Page 9 of 319

10 INVALID FIRST INDICATOR 'c' (ASCII X'xx') IN POSITION nnn (ttt FIELD) 233 INVALID SECOND INDICATOR 'c' (ASCII X'xx') IN POSITION nnn (ttt FIELD) 233 INVALID SUBFIELD CODE 'c' (ASCII X'xx') IN POSITION nnn (ttt FIELD) 234 FIELD ttt MAY NOT BE REPEATED 234 FIELD ttt MAY NOT OCCUR WITH FIELD ttt 234 INCORRECT VALUE 'c' (ASCII X'xx') IN POSITION nnn (007 FIELD POSITION nn) 234 ttt FIELD INCORRECT LENGTH 234 INVALID DATA IN POSITIONS nn-nn OF ttt FIELD (element) 234 INVALID DATA IN POSITION nn OF ttt FIELD (element) 234 REDUNDANT ESCAPE SEQUENCE IN POSITION nnn (ttt FIELD) 234 INVALID DATA IN POSITIONS nnn-nnn (007 FIELD POSITIONS 9-10) 234 INVALID DATA IN POSITIONS nnn-nnn (007 FIELD POSITIONS 6-8) 235 Severity Level 2 error messages 236 INVALID ENCODING LEVEL 'c' (ASCII X'xx') 236 SUBFIELD DELIMITER IS NOT FIRST IN POSITION nnn (ttt FIELD) 236 ILLEGAL CHARACTER X'xx' (ASCII X'xx') IN POSITION nnn (ttt FIELD) 237 FIELD TERMINATOR MISSING IN POSITION nnn (ttt FIELD) 237 ILLEGAL ESCAPE SEQUENCE IN POSITION nnn (ttt FIELD) 237 SUBFIELD $6 PRESENT WITHOUT FIELD INVALID EACC CHARACTER eeeeee IN POSITION nnn (ttt FIELD) 237 INCORRECT DATA IN 042 FIELD 237 NON-STANDARD CODED CHARACTER IN POSITION nnn (ttt FIELD) 237 SUBFIELD $% MAY NOT BE REPEATED IN FIELD ttt 237 BIB RECORD EXCEEDS MAXIMUM LENGTH - RECORD TRUNCATED 238 NO ROOM IN RECORD FOR 040 FIELD 238 Severity Level 3 error messages 239 INVALID RECORD TYPE/BIB LEVEL 239 INVALID RECORD STATUS CODE 239 FIELD ttt REQUIRED BUT NOT PRESENT 239 SUBFIELD $6 NOT FIRST IN FIELD - POSITION nnn (ttt FIELD) 239 Page 10 of 319

11 SUBFIELD $6 STRUCTURE INVALID - POSITION nnn (ttt FIELD) FIELD MISSING OR EMPTY 240 NO VALID HOLDINGS SYMBOL FOUND 240 Severity Level 4 error messages 241 NON-NUMERIC X'xx' (ASCII X'xx') IN POSITION nnn 241 INVALID BASE ADDRESS 241 FIELD TERMINATOR MISSING IN POSITION nnn 241 Placeholder values in error messages 241 Relaxed validation error conditions 243 Connexion Client or Browser validation 245 Sparse records 246 Exception data 248 Unresolved records 249 Deselected, unresolved, and duplicate records 250 Other files of exception data 252 Generating reports 253 Batchload reports and record files 254 Batchload Processing Summary Report 258 Batchload Processing Summary Group Project Report 260 Batchload Processing Summary with Institution Record Information Report 262 Batchload Processing Summary Exception log 265 Bibliographic Institution Record (IR) Cross Reference report 267 Cross Reference (XREF) Report 268 Custom Cross Reference (CXREF) Report 270 Error Validation Report 272 Error Validation Summary Report 276 File Processing Summary report 277 Scan/Delete report 290 Reporting batchload statistics 292 Availability of reports and records 297 Page 11 of 319

12 Get reports and records using EDX 298 Get reports and records using PSWeb 300 Updating WorldCat holdings 302 Updating holdings with Batchload 303 Updating WorldCat holdings with knowledge base 304 Branch Level Scoping 305 Implementing branch level scoping 306 Limiting searches by branch location 307 LHRs and branch level scoping 308 LHRUS batchload projects 309 Bibliographic batchload projects enhanced for creating LHRs 310 Online Help 311 Using the Online Help 312 Open the online help 315 Search for an online help topic 316 View an online help topic in Contents tab 317 Print an individual help topic 318 Contacting Support 319 Page 12 of 319

13 1 Getting started Here are the contents of the Batchload for Bibliographic Records User Guide PDF. Chapter One: Getting Started Introduction to the guide. Chapter Two: Filling out the order form (page 21) guides you step-by-step through the process of ordering a batchload project for bibliographic records. Chapter Three:Sending records (page 144) provides guidance on how to send your records to OCLC for processing. Chapter Four:Preprocessing (page 175) outlines how batchload preprocessing prepares records and identifies potential problems with your library's data so that your records can be successfully processed. Chapter Five:Processing (page 187) provides information on record matching, merging, validation, and exception data. Chapter Six:Generating reports (page 253) describes how to create reports that are related to batchload processing. Chapter Seven:Updating WorldCat holdings (page 302) explains how to keep your WorldCat holdings up to date. Chapter Eight:Online Help (page 311) provides information on using the online help documentation that is available for Batchload for Bibliographic Records. Chapter Ten: Contacting Support (page 319) lists contact information for OCLC Support.

14 About this documentation The purpose of this documentation is to provide the information you need to use Batchload to your library s best advantage. These main sections cover the sample typical batchload workflow: Getting started provides an overview of the documentation and the Batchload workflow. Filling out the order form (page 21) provides supporting documentation for filling out the Batchload order form. Sending records describes how to send your records for processing. Preprocessing provides some topics related to preparing batchload records for processing. Processing explains how records are processed. Reports provides information on the various reports that are available and how they are generated. Updating WorldCat holdings provides information on keeping your WorldCat holdings synchronized. Online help documentation explains now to view, search, and print online help topics. PDF documentation explains what PDF documentation is available and how to use it. Batchloading for local holdings Batchloading for local holdings records is not covered in this documentation. This Guide covers only Batchload for bibliographic records. For information about batchloading local holdings records, see the Local Holdings Record Updating Service Guide. Batchload versus batch processing in Connexion Client "Batchload is the name of the service that OCLC performs for libraries. Batch processing in Connexion Client is a function that libraries can use themselves to process multiple records at a time using the Batch menu commands. See more about Connexion client batch processing in Connexion Client documentation. Page 14 of 319

15 Batchload for Bibliographic Records Batchload at OCLC is an automated offline method used to process large amounts of records for libraries in various data formats to synchronize library holdings with WorldCat by: Setting or canceling holdings on WorldCat records Adding original cataloging records to WorldCat Providing OCLC numbers for your local system records Providing copies of OCLC-MARC records that match the records you send for loading into your local system Why use Batchload? Batchload integrates your library s holdings in WorldCat to accurately reflect your collection and make it visible to your patrons, other libraries, and users of the Web through OCLC services such as: WorldShare Management Services (WMS) WorldCat Collection Analysis WorldCat Local WorldCat.org Group Catalog Navigator Resource Sharing Cataloging Who is eligible for Batchload? Batchload services is available to OCLC members who have one of these items: An OCLC cataloging subscription A Group services contract WorldCat Holdings and Batchload Batchload sets (adds) or cancels (deletes) your library s OCLC institution symbol in matching WorldCat records to indicate items that your library holds or no longer holds, respectively. When your library s holdings are up-to-date in WorldCat, users see an accurate reflection of your collection in Web-scale Management Services, WorldCat Local, and other discovery and resource sharing services. Go to the online order form (page 101) Guidelines for using the Batchload order form (page 23) Page 15 of 319

16 Workflow for Batchload projects for bibliographic records The following graphic shows the workflow OCLC uses for batchload projects for bibliographic records: Create an Account (page 17) Go to the online order form (page 101) Complete the order form (page 141) Confirmation s for batchload project orders (page 174) Sending records (page 144) Processing (page 187) Generating reports (page 253) Updating WorldCat holdings (page 302) Page 16 of 319

17 Create an Account When ordering for a group with multiple institutions, you must log on using an OCLC group project symbol. If you do not have an OCLC group project symbol, contact OCLC Customer Support at support@oclc.org. Note Note: It may take several business days to receive your new OSC account. To create an account: 1 Go to the Online Service Center (OSC). 2 Click Create an account. The Create an Account page opens. 3 For the Account type, select: Personal only Select if you are ordering items only for yourself. Institution (includes personal account capabilities) Select if you are ordering OCLC online services or if you are only ordering items for your institution. OCLC online services, such as FirstSearch, are only sold to libraries and similar cultural heritage institutions, such as museums. 4 (Institution accounts) If your institution is a current OCLC member, enter your OCLC symbol, if available. This symbol is used to associate your account with the institution. You can check your OCLC symbol on the Directory of OCLC Libraries. 5 (Institution accounts) Enter your institution information in these form fields: Institution name Address 1 City State/Province Zip or Postal code (required only for US and Canadian institutions) Country 6 Click Continue. Page 17 of 319

18 Go to the online order form (page 101) Page 18 of 319

19 Log on to the OSC To log on to the OSC: 1 Go to the Online Service Center (OSC). 2 Click Log on. The Log on or create your account page opens. 3 Enter your User ID and Password. 4 Click Log On. For more information Create an Account (page 17) Go to the online order form (page 101) Guidelines for using the Batchload order form (page 23) Page 19 of 319

20 Determine the number of projects You need to submit a separate order for each project type to ensure correct setup and get a unique project ID for tracking. Here are some reasons for ordering separate projects: You have both MARC and non-marc data. Each data type needs a separate project You have serials and multipart records. If it is possible to extract these records from the other records, you should submit them separately. If you have e-resource records, submit those records separately. Archive records For example: Your library may order a reclamation project for your overall collection, send all of your records for processing, and get the OCLC numbers back in a Cross Reference report for indexing in your local system. You may also want OCLC-MARC records for a small collection that has only brief records. To get the MARC records, you need to complete a separate order and send only those records. Your library s local system may have different types of records such as vendor, locally created, special collection/archive, or digital resource records which require different types of batch processing or output. To process different record types, you may need to order separate batch projects. A library may send a file of records to have holdings set, original records added, and full OCLC-MARC records returned to replace brief records. At the same time the library has another file of records which needs only a Cross Reference (XREF) Report (page 268) to index OCLC numbers, not full records, since those records are already full MARC format. Each of these is a separate project and requires two separate orders and submission of two separate sets of records. Each project will have its own project ID for tracking. Go to the online order form (page 101) Page 20 of 319

21 2 Filling out the order form The following table provides the steps for filling out the form for MARC and Non-MARC batchload projects: Steps for MARC Steps for Non-MARC 1 Go to the online order form (page 101) 1 Go to the online order form 2 Enter your contact and institution information (page 107) 2 Enter your contact and institution information (page 107) 3 Select OCLC products (page 108) 3 Select OCLC products (page 108) 4 Select the data format (page 109) 4 Select the data format (page 109) 5 Specify format of the MARC data (page 51) 6 Enter information about the local system control number (page 55) 5 Specify format of the Non-MARC data (page 110) 6 Select a one-time or ongoing batchload project (page 113) 7 Enter information about your OCLC Control Number (page 57) 7 Select the type of one-time batchload project (page 116) Select the type of ongoing batchload project (page 119) 8 Specify qualifier information (page 198) 9 Select a one-time or ongoing batchload project (page 113) 8 Specify how to handle WorldCat holdings (page 120) 9 Specify whether to add records that do not match WorldCat records (page 123) 10 Select the type of one-time batchload project (page 116) Select the type of ongoing batchload project (page 119) 10 Specify project output options (page 124) 11 Specify how to handle WorldCat holdings (page 120) 11 Enter record information (page 136)

22 Steps for MARC 12 Specify how to display Local bibliographic data information (page 73) (only applicable if you specified that you want WorldCat holdings set) 13 Specify whether to add records that do not match WorldCat records (page 123) Steps for Non-MARC 12 (Optional) Request PSWeb-only authorization (page 139) 13 Complete the order form (page 141) 14 Specify project output options (page 124) 15 Enter record information (page 136) 16 (Optional) Request PSWeb-only authorization (page 139) 17 Complete the order form (page 141) MARC-formatted records (page 146) Non-MARC data (page 167) Page 22 of 319

23 Guidelines for using the Batchload order form The following guidelines do not cover every feature of this order form. See a list of all order form questions and information references in the Order Checklist for Bibliographic Batchload. The requirements and guidelines are supplementary. See these topics with guidelines on using the order form: For all projects: o Back and Refresh buttons (page 24) o Inline help (page 31) o Session timeout (page 38) o Local Bibliographic Data (page 77) o Restricted use records (page 33) For non-standard projects: o Group projects (page 25) o Scan/Delete-Only projects (page 34) o Symbol Flip projects (page 36) Go to the online order form (page 101) Page 23 of 319

24 Back and Refresh buttons Warning! Using the Back and Refresh browser buttons may cause the order process to fail. This message appears at the top of the form. Go to the online order form (page 101) Page 24 of 319

25 Group projects This section contains information on ordering group projects, including: Requirements for group projects (page 26) Order for a group (page 27) Options for group projects (page 28) Results of group projects (page 29) Translation table for group projects (page 30) With group projects, you send the consolidated set of records that are shared by a group of libraries for resource sharing or that are produced from a shared local system or a shared processing center. Group projects can be one-time or ongoing, and they can be different project types, including reclamation, retrospective, and others. Page 25 of 319

26 Requirements for group projects Group symbol [R] If you order for a group, you must log on the Online Service Center to place your order using an OCLC batchload group project symbol rather than an OCLC institution symbol for a single library in the group. Ordering under a group symbol ensures that the group project can be distinguished from any projects that a single institution in the group may order. The group symbol is used for tracking project files. If your group does not have an OCLC batchload group project symbol, contact OCLC Customer Support at support@oclc.org for help. OCLC institution symbols for libraries in the group [R] Each library in the group must be profiled under an OCLC institution symbol (the symbols are required for setting and canceling holdings accurately). Project coordinator OCLC needs a primary contact (usually the person who places the order) for communications about the project. Library identifiers in records submitted [R] The group s bibliographic records sent for processing must contain library identifiers representing libraries in the group in a consistent location (field/subfield). Library identifiers in a record indicate which libraries in the group hold the item. Identifiers can be unique local codes (meaningful only internally to the libraries), holding library codes, or the OCLC institution symbols of libraries in the group. Translation table Processing for a group is based on a translation table that "translates" the local library identifiers in the records into corresponding OCLC institution symbols in order to set or cancel holdings accurately for each member of the group. Adding the group s unmatched records to WorldCat If your group project includes adding the group s unmatched records to WorldCat as original cataloging, you can choose which symbol to use in the 040 $c of the added record to indicate the contributing library. Select one of these symbols: The OCLC group project symbol The first OCLC institution symbol found in each record Translation table for group projects (page 30) Library Identifiers for Group Batchload Orders Page 26 of 319

27 Order for a group To order a reclamation, retrospective, or ongoing project for a group (multiple institutions) to set or cancel holdings using consolidated files of the group s records: To order for a group: 1 Log on and navigate to the Bibliographic Batchload Order form in the Online Service Center. You must use a batchload group project symbol to log on. 2 For Is this project for a single institution or a group (multiple institutions)?, select Group. 3 In the Field and Subfield boxes, enter the field and subfield in the group records where internal identifiers are specified for the shared local system. 4 5 In the OCLC Batchload group project symbol box, check to be sure that the batchload group project symbol that is automatically supplied from your session logon is correct. In the OCLC institution symbol to be used for billing this project box, enter the OCLC symbol for billing. You can enter the group symbol or a symbol for a library in the group. 6 (Optional) Click Check symbol to check that the symbol is valid. If invalid, a message is displayed to the right of the box. 7 In the OCLC institution symbols of libraries in the group box, enter a list of symbols separated by commas, spaces, or semicolons. (Limit: 500 symbols) 8 Use the following buttons as described in the order form to help ensure that your list is accurate and complete: Sort symbols (sorts alphabetically) Check symbols (checks that symbols are valid) (see step 6) Display names (opens a list of institution names for the symbols you enter) If you click Check symbols, any invalid symbols are listed to the right of the box as red underlined links. Click an invalid symbol link to automatically select the symbol in the box for editing. Complete the order form and submit the order. Page 27 of 319

28 Options for group projects Retain local system control number You can opt to retain a local system control number in the 035 or 951 field. No other local data can be retained. Your institution record output Groups can opt to have a file of your records returned with all library identifiers and local information. See Specify project output options (page 124). OCLC-MARC record output Caution! If you order full OCLC-MARC record output from your group project, a copy of the matching WorldCat record is created for each library for which a holding is set. For example, one record containing three library identifiers sets three holdings on the WorldCat record, and three copies of the WorldCat record will appear in the MARC record output file. For one-time no-charge retrospective or reclamation projects, billing will include a charge for each of the three copies of the one WorldCat record. There is no charge for OCLC-MARC records if you have a Cataloging subscription or Group services contract. Billing implications for MARC record output. If you have questions about possible billing implications for ordering OCLC-MARC record output, contact OCLC Customer Support at support@oclc.org to clarify before you order. Single institution batchload projects Any single library in the group can also place a separate batchload project independently of the group project. Page 28 of 319

29 Results of group projects Batchload reports for a group project Reports contain a list of holdings set or canceled for each OCLC institution symbol of libraries in the group. Archive records Archive records are created for transactions on WorldCat records including setting holdings, canceling holdings, and adding records to WorldCat for each library in the group (archive records contain the library s history of local changes to WorldCat master records). Page 29 of 319

30 Translation table for group projects In your batchload order, you provide both of these items: The location (field/subfield) of library identifiers in the records you send A list of the OCLC institution symbols for all libraries in the group. After you order and receive your batchload project ID, construct a translation table to correlate the library identifiers with the OCLC institution symbols. Please do not use wildcards (such as asterisks). See detailed instructions in Library Identifiers for Group Batchload Orders. Translation table example 1 Library identifier OCLC institution symbol Institution name AACU ATUCC Australian Catholic Univ Canberra AATO TX4 Australian Taxation Office ABS ATABS Australian Bureau of Statistics ACIT CANIT Canberra Inst of Tech ADAC XG$ Department of admin services Translation table example 2 Library identifier OCLC institution symbol Institution name spishan AP5 Hanson Professional Services spisiph D91 Illinois Dept of Public Health deceph3 DPSPA Phoenix Academy blmpblm GD9 Blue Mound Memorial Library District lovplov GD7 Lovington Public Library District Page 30 of 319

31 Inline help In the order form, some form fields have a More Information link listed on the right side. These form fields contain inline help that provides: Additional information about the form field or topic Additional instructions about using the form field Links to fields in the OCLC Bibliographic Formats and Standards online document Links to other documentation on the OCLC Support and Training web site The following table shows various procedures for displaying and hiding inline help: Task Action Screen capture Expand one inline help topic Click the More Information link Collapse one inline help topic Click the Hide button Expand all inline help topics Click the Show inline help link at the top right of the order form Collapse all inline help topics Click the Hide inline help link at the top right of the order form. Go to the online order form (page 101) Page 31 of 319

32 Local Bibliographic Data Caution! When your library s WorldCat holdings are deleted from OCLC master bibliographic records, any attached local records are also deleted, including local holdings records (LHRs) and local bibliographic data (LBD) records. When you order a bibliographic Batchload project to support full-subscription WorldCat Local or to support migration to WorldShare Management Services (WMS), you can request that OCLC extract Local Bibliographic Data (LBD) from your records for display to your users on WorldCat Local, WMS, or discovery interface. The LBD information must be unrelated and separate from the local fields transferred to your OCLC batch archive record. Viewing LBD information If you select the option to store your data when you order, batchload creates LBD records and attaches them to the associated WorldCat bibliographic records. This information is attached to the WorldCat bibliographic record, and you can view the information in your discovery interface and WorldShare Record Manager (WMS users only). You can also edit it in Record Manager (WMS users) or maintain the information using batchload. You can only display Local Bibliographic Data (LBD) if your batchload project: Supports WorldCat Local and/or WorldShare Management Services (WMS) Is not a Canceling holdings only batchload project type Does not have a Non-MARC data format with a data type of List of numeric search keys Records all contain a unique and persistent local system control number Identifies the location of the local system control number Contact OCLC to remap local bibliographic data (page 78) Enter information about your OCLC Control Number (page 57) Specify how to display Local bibliographic data information (page 73) Page 32 of 319

33 Restricted use records If you have records from vendors who have not given you or OCLC permission to redistribute, the records you receive from them are considered to be restricted-use records; that is, they cannot be added to WorldCat. With restricted use records, in the order form when you: Specify how to handle WorldCat holdings (page 120), select Set for all. Specify whether to add records that do not match WorldCat records (page 123), select No Go to the online order form (page 101) Vendor-supplied records (page 39). Page 33 of 319

34 Scan/Delete-Only projects You do not need to use the order form or send any records to OCLC for a scan/delete-only project. The scan/delete project is tied to the institution symbol; all records in the database with this symbol will have the holdings removed. There is no charge or related product code for a scan/delete-only project. Caution! Scan/deletes are permanent processes that cannot be reversed and do not create archive records. Page 34 of 319

35 Request a Scan/Delete-Only project To request a Scan/Delete-Only project: 1 Create an message to request your project. List your: OCLC institution symbol Institution name Type of project ( scan/delete only or symbol flip ) Reason for the request (e.g., institution closed, merging with another institution, etc.) Instructions 2 If your library has local holdings records (LHRs) attached to WorldCat records, add a description of how you want to process matched records that have your LHRs attached. [Add this text:] For matched records that have my library s LHRs attached [Conclude with one of the following:] o o o o Delete all occurrences of my library s holdings (remove holding from bibliographic record and remove any attached LHRs). Delete all LHRs (but do not delete holdings). Delete all LHRs and delete the holding set on the associated bibliographic record. Delete all bibliographic holdings except bibliographic holdings with LHRs attached (keep LHRs attached) For more information on LHRs, see the Local Holdings Record Updating Service User Guide. 3 If your library has bibliographic institution records (IRs) attached to WorldCat records, add a description of how you want to process matched records that have your IRs attached. [Add this text:] For matched records that have my library s IRs attached [Conclude with one of the following:] o o o o Delete all occurrences of my library s holdings (remove holding from bibliographic record and remove any attached IRs). Delete all IRs (but do not delete holdings). Delete all IRs and delete the holding set on the associated bibliographic record. Delete all bibliographic holdings except bibliographic holdings with IRs attached (keep IR attached) 4 Send the to OCLC Batch Services at batchload@oclc.org. Page 35 of 319

36 Symbol Flip projects Caution! Symbol flips projects are permanent processes that cannot be reversed and do not create archive records. If your library's holdings are represented in WorldCat by more than one OCLC institution symbol, but want the holdings combined under fewer symbols, then you need to order a Symbol Flip project. With this type of project, the system performs one of these scans: Scans WorldCat for an OCLC institution symbol in bibliographic records and replaces all occurrences with another institution symbol Scans for multiple institution symbols and replaces them with a single institution symbol (for example, to merge collections from multiple libraries or to form a consortium under one symbol). For this project, you do not need to use the Bibliographic Batchload order form or send records to OCLC. Instead,order a symbol flip project by sending a written request in an to OCLC Batch Services at batchload@oclc.org. OCLC will then perform a scan to find all matched records and then "flip" all occurrences of one institution symbol to another symbol. There is no charge or related product code for a symbol flip or scan/delete-only. Page 36 of 319

37 Request a Symbol Flip project To request a Symbol Flip project: 1 Create an message to request your project. List your: OCLC institution symbol Institution name Type of project Symbol Flip project Reason for the request (e.g., institution closed, merging with another institution, etc.) Instructions 2 List the OCLC institution symbols to be flipped and the OCLC symbol that should replace the flipped symbols. You can replace a single OCLC symbol or multiple symbols, but you can flip the symbols to only one symbol per request. 3 Send the to OCLC Batch Services at batchload@oclc.org. Page 37 of 319

38 Session timeout A session timer displays at the top of the order form showing a running account of time remaining (in min:sec) to complete your order. The timer automatically ends your session after 60 minutes. It displays a warning when 10 minutes remain. If your session times out, you cannot save data you entered and you must start the order over. OCLC highly recommends using the order checklist to review the questions and prepare your information beforehand. Go to the online order form (page 101) Page 38 of 319

39 Vendor-supplied records Caution! You can include records that you receive from vendors in a batchload project to set your library s holdings. However, to add them to WorldCat if unmatched, your library or OCLC must have permission from the vendor to redistribute the records. Check the permissions in your contract with the vender who provides the records that you want to batchload. If neither you nor OCLC has permission to redistribute records, you can request permission directly from the vendor. Some vendors will grant permission. If you do not have permission to redistribute records, see Restricted use records (page 33). Go to the online order form (page 101) Restricted use records (page 33) Page 39 of 319

40 Check the OCLC vendor list Caution! You can include records that you receive from vendors in a batchload project to set your library s holdings. However, to add them to WorldCat if unmatched, your library or OCLC must have permission from the vendor to redistribute the records. You can check a list of vendors who have contracted with OCLC to allow their records to be added to WorldCat: 1 Open the Vendor record licensing Web page on the OCLC web site. 2 Click Vendor record sets accessible through WorldCat Local. 3 Click Download the Databases and Collections list. 4 In the File Download window, click Open. 5 6 In the Excel spreadsheet, click the second tab, which is labeled [Current date] Content List in the lower left to see the alphabetized list of OCLC vendor permissions. If neither you nor OCLC has permission to redistribute records, you can request permission directly from the vendor. Some vendors will grant permission. Go to the online order form (page 101) Page 40 of 319

41 Instructions for MARC Batchload project The following table provides the steps for filling out the form for a MARC batchload project: Steps for MARC 1 Go to the online order form (page 101) 2 Enter your contact and institution information (page 107) 3 Select OCLC products (page 108) 4 Select the data format (page 109) 5 Specify format of the MARC data (page 51) 6 Enter information about the local system control number (page 55) 7 Enter information about your OCLC Control Number (page 57) 8 Specify qualifier information (page 198) 9 Select a one-time or ongoing batchload project (page 113) 10 Select the type of one-time batchload project (page 116) Select the type of ongoing batchload project (page 119) 11 Specify how to handle WorldCat holdings (page 120) 12 Specify how to display Local bibliographic data information (page 73) (only applicable if you specified that you want WorldCat holdings set) 13 Specify whether to add records that do not match WorldCat records (page 123) 14 Specify project output options (page 124) 15 Enter record information (page 136) 16 (Optional) Request PSWeb-only authorization (page 139) 17 Complete the order form (page 141) MARC-formatted records (page 146) Non-MARC data (page 167) Page 41 of 319

42 Go to the online order form You are limited to 60 min. to complete the order (see Session timeout (page 38)). Prepare your information ahead of time by filling out the Order Checklist for Bibliographic Batchload to be sure you have the information you need. The checklist simulates the order form questions. To go to the online order form: 1 Go to the Online Service Center (OSC). 2 Click Log on. The Log on or create your account page opens. 3 Enter your User ID and Password. 4 Click Log On. The Search for an institution page opens. Page 42 of 319

43 To go to the online order form: 5 Enter institution information in one or more of these form fields: OCLC symbol Account ID Institution name Street Address City State Zip/Postal Code Country 6 Click Submit. Institutions that have not been profiled yet or are Inactive appear with gray backgrounds. No account management or ordering can be done for an institution until it has been profiled. Forest Press or Dewey accounts can view their institution information but cannot order OCLC professional services. Page 43 of 319

44 To go to the online order form: 7 In the Search results, click the name of an institution. The Welcome to the OCLC Online Service Center page opens. 8 On the OSC Welcome page, click Order OCLC products and services. The Order OCLC products and services page opens. Page 44 of 319

45 To go to the online order form: 9 Click OCLC services The OCLC services page opens. 10 Click Batchload for Bibliographic Records. The Order Batchload for Bibliographic Records page opens. Page 45 of 319

46 To go to the online order form: 11 Click I am ready to order a batchload project. The Contact page opens. 12 Select your contact name, then click Continue. The Bibliographic Batchload Order Form opens. Page 46 of 319

47 To go to the online order form: Next step Enter your contact and institution information (page 107). Group projects (page 25) Page 47 of 319

48 Enter your contact and institution information To enter your contact and institution information: Update your contact information, if necessary. Specify whether your project is for a single institution or a group. (Group projects) Enter the OCLC institution symbol that is used for billing. (Group projects) Enter the OCLC group project symbol. (Group projects) For the shared local system, enter the field and subfield location for the internal identifiers that are specified in the group records. 6 (Group projects) Enter every OCLC symbol that is used for each library in your group (up to 500 symbols). On the form, separate each symbol by a space, comma, or semicolon. If you need to look up an OCLC institution symbol, go to the Directory of OCLC Libraries web page on the OCLC web site. Next step Select OCLC products (page 108) Page 48 of 319

49 Select OCLC products To select OCLC products: 1 On the Bibliographic Order form, specify all OCLC products that will be supported by your project. 2 If you select WorldCat Local as the OCLC product, or one of the products supported by your batchload project, you can select the Send information on Branch Level Scoping check box. By selecting this check box, you will receive follow-up information about Branch Level Scoping (page 305) to support WorldCat Local. Next step Select the data format (page 109) See also Enter your contact and institution information (page 107) Page 49 of 319

50 Select the data format To select the data format: From the Data Format drop-down menu select the data format for the batchload project you are submitting. If you have both data types, order a separate batchload project for each data type. Next step One of the following: Specify format of the MARC data (page 51) Specify format of the Non-MARC data (page 110) Select OCLC products (page 108) Page 50 of 319

51 Specify format of the MARC data This procedure is only for MARC projects. To specify format of the MARC data: 1 From the Specify Format drop-down menu, select the MARC format that you are submitting for this batchload project. 2 From the Character encoding drop-down menu, select the character encoding that you are using for this batchload project. Next step Enter information about the local system control number (page 55) Select the data format (page 109) Page 51 of 319

52 Specify format of the Non-MARC data This procedure is only for Non-MARC projects. To specify format of the Non-MARC data: 1 From the Non-MARC Format drop-down menu, select the Non-MARC format that you are submitting for this batchload project. 2 From the Character encoding drop-down menu, select the character encoding that you are using for this batchload project. The List of numeric search keys option is not available for group batchload orders. Next step Select a one-time or ongoing batchload project (page 113) List of numeric search keys (page 112) Non-MARC patterned bibliographic data project (page 111) Select the data format (page 109) Page 52 of 319

53 List of numeric search keys OCLC can use lists of numbers from the numeric data in your records to match against WorldCat records for setting or canceling holdings. You can use one of the following types of numeric data per file: LCCNs, ISBNs, or OCLC control numbers, with OCLC numbers the preferred choice. You can send one file per number type; you cannot, for example, mix OCLC numbers and LCCNs in a single file. You can, however, send multiple files, each based on a single number type for example, a file of OCLC numbers for one set of records and a file of ISBNs for another set of records. Caution! The match rate for lists of LCCNs and ISBNs tends to be very low. If possible, please provide OCLC numbers for your numeric search key project. When you order a project based on numeric search keys, you request that holdings be either set or canceled in WorldCat records that have matching numeric data. If you are setting holdings, you can order matching full OCLC-MARC records for loading into your local system if you want to upgrade your records. If you have some records that need to have holdings set and some that need to be canceled, you need to order two separate numeric search key projects and send separate lists for each. Page 53 of 319

54 Non-MARC patterned bibliographic data project OCLC can reformat non-marc data that is in a consistent pattern in a spreadsheet or a word-processing document. The data can be converted to MARC 21 if it has one or more of the following characteristics: Labeled columns of data in a spreadsheet Consistently labeled fields followed by data in a word processing file (for example, AUTHOR: Smith, John TITLE: My Life Story) Data fields and records delimited by one or more unique identifiable keyboard keys in a word processing file (for example, data fields separated by commas; records separated by <Tab>). Positional data field descriptions and their content related by record position (for example, fixed-length formatted records). The data is converted to MARC records and matched against WorldCat for setting or canceling your holdings.you can get matching full OCLC-MARC records for records that have holdings set to load into your local system if you want to upgrade your records. Page 54 of 319

55 Enter information about the local system control number This procedure is applicable only to MARC projects. To enter information about local system control number: 1 Review the information about your local system control number. 2 In the Location drop-down menu, select the location of your local system control number. 3 If you selected Other, enter the Field location and the Subfield location. 4 In the Example of your system's local bibliographic number format form field, enter an example of your system's local bibliographic number. Next step Enter information about your OCLC Control Number (page 57) Specify how to handle WorldCat holdings (page 120) Page 55 of 319

56 Local system control number Before your records can be processed by Batchload, your records must be identified by a unique and persistent local system control number (referred to by different terms such as Unique Bib IDs, Bibliographic Record ID, or "Local system control number," depending on which system you use). OCLC uses this number for: Enabling WorldCat Local users the ability to search and display the local bibliographic data. Migrating the local bibliographic data from an existing local system to WMS. Creating the Cross Reference (XREF) report For these local system control numbers, you cannot reuse the numbers or use the same number for multiple local system bibliographic records. The numbers must be consistently located in the same field in your records, as specified in your batchload order. WMS and local system control numbers If you are selecting batchload project that supports a migration to WMS, the presence of local system control numbers is critical only during the migration process to ensure that as much LBD as possible is retained. After migration has been completed and WMS is live, the local system control numbers are obsolete because WMS is now your local system. From this point on, OCLC numbers will be used to display your data. Storage of local system control numbers Starting February 16, 2011, OCLC will store all local system control numbers for all batchload processing projects. These numbers may be used in the future to support other possible integration projects and will facilitate integrating your system with WorldCat. Specify how to handle WorldCat holdings (page 120) Page 56 of 319

57 Enter information about your OCLC Control Number To enter information about your OCLC Control Number: 1 Review the information about the OCLC Control Number. 2 Select one or more locations for your OCLC control number in your MARC records: None (records do not contain OCLC numbers) 001 OCLC number with ocn/ocm prefix 001 OCLC number only with no prefix 035 $a OCoLC Other 3 If you selected Other, enter the Field location and the Subfield location. Next step Specify qualifier information (page 198). Page 57 of 319

58 OCLC Control Number The OCLC Control Number is a unique, sequentially assigned number associated with a record in WorldCat. The number is included in a WorldCat record when the record is created. The OCLC control number enables successful implementation and use of many OCLC products and services. For more information, see information on the OCLC web site about the OCLC Control Number. If you want seamless integration between your library s catalog and WorldCat, you must maintain both accurate holdings in WorldCat and consistently indexed OCLC control numbers in your local system. For example, if you want WorldCat Local to display the real-time item location and availability for your local catalog, then the OCLC number must be indexed in all of your records. Enter information about your OCLC Control Number (page 57) Page 58 of 319

59 Specify qualifier information Batchload processing typically qualifies the OCLC control number search by at least one of the following: derived title, language of cataloging, material type and/or date to ensure accurate matching. If you do not want to use OCLC number matching at all, send Batch Services an at: To specify qualifier information: Select one or more items for OCLC number qualifiers: Derived title (245, 246, 247) (Default option). Good balance for number matching Date (008/07-10) Material type (Leader/06) Based on OCLC-derived record elements. Language of cataloging (040 $b) Use all qualifiers Use if your library knows that the OCLC numbers in your library records are unreliable. Do not use any qualifiers (unqualified matching) Select this option for either of these situations: o Your library is highly confident that OCLC numbers in your record are correct. o The project data is a simple list of numeric search keys. Next step Select a one-time or ongoing batchload project (page 113). Matching records (page 188) Processing (page 187) Page 59 of 319

60 Qualifiers Even though a single WorldCat record is retrieved by the OCLC number in your record, that record may be an incorrect match. Qualifiers are optional, specialized comparison elements that can be used to evaluate candidate records retrieved by a search. The options are designed to discriminate between records and eliminate unsuitable candidates. Qualifiers can be used to cross-check other data in the record before declaring a match based solely on the OCLC number. When qualifiers are used in OCLC number matching: Your holdings are set or canceled when the qualifiers match and confirm the OCLC number match. The OCLC number match is rejected if any one of the selected qualifiers does not match and, instead, batchload matching software attempts to match the record using other unique keys, if available, and/or extended matching algorithms. If any of the selected qualifiers do not match, the candidate record is considered unmatched. When you order your batchload project, you can select the option to use qualifiers or, when a Database Specialist is reviewing your project, the specialist may identify useful and effective qualifier options that should be used. Whether or not qualifiers are used depends on the: Kind of data Completeness of the data Accuracy of the data in the incoming records Purpose for processing the file. Matching phases of processing Qualifiers may be selected or deselected independently and separately for any matching phase of processing, including: OCLC number matching (page 190) Unique key matching (page 191) Extended matching (page 193) The qualifiers that are available are: Language of cataloging. Matches are determined by matching codes in 040 $b. If no code is present, the record defaults to eng (English). Date of publication. Attempts many comparisons using dates from the fixed field (008/07-10 and 008/11-14) and from fields 260 $c, 264 $c, 533 $d, and 362 $a. Derived title key. The matching software derives title keys from fields 245, 246, and 247 and compares them to each other. If any of them match, the derived title key is considered a match. If they mismatch, more extensive title comparisons are performed. Page 60 of 319

61 Material Type. Terms are generated as for the material type (mt=) index. Only terms used to describe the physical manifestation of an item (for example, VHS videotape, microfiche, Braille) are used for comparing the records. General terms (such as juvenile, government publication) are not used. If any of the designated terms match, material type is a match. Matching records (page 188) Processing (page 187) Page 61 of 319

62 Examples of qualifiers The following are examples of how matches may be corrected or impeded by applying qualifiers: Situation You exported a WorldCat record for a 1st edition of a work published in After downloading the record to your local system, you changed the edition statement in the record to 2nd edition and the year to 2005 to match your item, but you did not remove the OCLC control number from the downloaded record. You want to set your holding on the WorldCat record for a 2nd edition published in You created a record for the electronic version of a work from the WorldCat record for the print version but did not change the OCLC number in the downloaded print record. You want to match to the WorldCat record for the electronic item. The title in a WorldCat record changed between the time you exported the record and the time it was sent for batchload (for example, a typographical error was corrected). You exported a CIP (Cataloging in Progress) record from WorldCat but never obtained the upgraded record after the item was published. How the qualifier affects the match Date qualifier could prevent an incorrect match on the OCLC number. Material type qualifier could prevent an incorrect match Derived title qualifier could cause an accurate match to fail Date qualifier or Derived title qualifier could cause an accurate match to fail. Matching records (page 188) Processing (page 187) Page 62 of 319

63 Select a one-time or ongoing batchload project To select a one-time or ongoing batchload project: 1 Select a one-time or ongoing batchload project. One-time project Select to run the batchload update once to: o o Set or cancel holdings. (Optionally) add original records for your library's entire database or a subset of your database. Ongoing project Select to continue using batchload over time to keep your collection in sync with WorldCat. If you have both data types, order a separate batchload project for each data type. 2 Go to the appropriate procedure to select the type of one-time or ongoing batchload project: If you selected a one-time batchload project, go to Select the type of one-time batchload project (page 116). If you selected an ongoing batchload project, go to Select the type of ongoing batchload project (page 119). Next step Specify how to handle WorldCat holdings (page 120). Checklist for selecting a batchload project type (page 114) Select the data format (page 109) Page 63 of 319

64 Checklist for selecting a batchload project type Use the checklist of questions in this section to help you select project types you need. Question Does your library have holdings set in WorldCat but they have not been consistently maintained? Do you need to bring them up-to-date but cannot easily identify the records that need updating? Are you a new OCLC member? Do you have gaps in your WorldCat holdings? For example, you have acquired or cataloged a new collection and have not set holdings in WorldCat for items in the collection. Solution If you answer Yes, consider ordering a one-time reclamation project, which includes a scan/delete. If you answered Yes to any of these questions, consider ordering a one-time retrospective project. Do you have some local system records that do not include OCLC numbers? Are your library s holdings represented in WorldCat by more than one OCLC institution symbol, but you want the holdings to be combined under fewer symbols? Do you need to cancel holdings in WorldCat for discarded items? Do you want to keep your holdings up-to-date once they are in sync in WorldCat (beyond or instead of using OCLC cataloging services to maintain holdings)? Have you been cataloging locally, rather than exporting records from WorldCat (that is, you have non-oclc records)? If you answered Yes, consider requesting a symbol flip project via . If you answered Yes, consider ordering a cancelholdings-only project. If you answered Yes to any of these questions, consider ordering one or more ongoing batchload projects, depending on library needs (for example, multiple projects to set holdings on various vendor records). Have you been copy-cataloging using records exported from WorldCat but without setting your holdings (that is, you have OCLC-derived records)? Is your data in a MARC format other than MARC 21? Do you have non-marc patterned bibliographic data? If you answered Yes, order a project based on having OCLC convert another MARC format to MARC 21 If you answered Yes, order a project based on having OCLC convert non-marc patterned data to Page 64 of 319

65 Question Solution MARC-21. Can you provide a list of OCLC numbers for records for which you want to either set or cancel holdings? Are you a resource-sharing library group or library group that shares a local catalog or a processing center and you need to update holdings in WorldCat for the group? If you answered Yes, order a numeric search key project based on a simple list of search keys that OCLC can use for matching WorldCat records. If you answered Yes, order a group project using the group s consolidated record files. Page 65 of 319

66 Select the type of one-time batchload project Consider ordering this project... Reclamation project, which includes a scan/delete if... Your library has holdings set in WorldCat but they have not been consistently maintained. You need to bring them up-todate but cannot easily identify the records that need updating. Your library has holdings set in WorldCat but they have not been consistently maintained. You need to bring them up-todate but cannot easily identify the records that need updating. Retrospective project Your library is a new OCLC member. Your library has gaps in your WorldCat holdings. For example, you have acquired or cataloged a new collection and have not set holdings in WorldCat for items in the collection. Your library has some local system records that do not include OCLC numbers. Cancel-holdings only project Your library needs to cancel holdings in WorldCat for discarded items. Batchload project based on having OCLC convert another MARC format to MARC-21 Project based on having OCLC convert non-marc patterned data to MARC-21 Numeric search key project based on a simple list of search keys that OCLC can use for matching WorldCat records Group project using the group s consolidated record files Your library has data in a MARC format other than MARC- 21. Your library has non-marc patterned bibliographic data. Your library can provide a list of OCLC numbers for records for which you want to either set or cancel holdings. You are a resource-sharing library group or a library group that shares a local catalog or a processing center and you need to update holdings in WorldCat for the group. Next step Specify how to handle WorldCat holdings (page 120) Cancel Holdings Only project (page 118) Select a one-time or ongoing batchload project (page 113) Reclamation project This is a one-time project. Includes a scan/delete process. Page 66 of 319

67 Matches your records in WorldCat to set (add) holdings; time-stamps them; and then cancels (deletes) holdings on records that were set earlier than the time of the batchload transaction. This type of project can bring your holdings up-to-date if you have not consistently maintained them and cannot easily isolate only the records that need to be updated. The following is how a reclamation project works: You send all of your library s records. As they are matched in WorldCat and holdings are set for items you hold, the current date is stamped on each record. After batchload is complete, OCLC runs a Scan/Delete to remove your holdings from records with a date stamp earlier than the date of the batchload transaction (typically the date when you extracted your records for submittal to OCLC). Note: Before performing the scan/delete, Batch Services always contacts you to confirm the date on which canceling holdings will be based. You must approve the date before OCLC will run the scan/delete. Holdings set after the date of the scan/delete are retained in WorldCat. Therefore, you can continue online cataloging while your records are processed. OCLC recommends, however, that you stop deleting holdings until the reclamation project is complete. By default, scan/deletes are processed to skip any holding set on a record that has a local holdings record (LHR) attached. The LHR itself will remain, and the holding will remain set on the record, regardless of date stamp. However, you can request to remove the LHR and related holding (use the free-text box in the order form question Do you have more information for your project? ). You can also request a Scan/Delete-Only projects (page 34). Caution If you order a reclamation project type, OCLC recommends that you do not make changes to existing ILS (local system) records that have been submitted for processing until after these output records are returned and re-loaded into the ILS. Cancel Holdings Only project (page 118) Retrospective project (page 117) Retrospective project This is a one-time project. Matches your records in WorldCat to set holdings if you are new to OCLC cataloging or have not previously set holdings in WorldCat. Also used to set, cancel, or set and cancel holdings as appropriate to fill a gap in your collection or to catch up after periods of inactivity. You send all of your records or a subset of records to set or cancel holdings in WorldCat and obtain OCLC control numbers for records in your local system if you choose. Page 67 of 319

68 A retrospective project does not include scan/deletes. Caution If you order a retrospective project type, OCLC recommends that you do not make changes to existing ILS (local system) records that have been submitted for processing until after these output records are returned and re-loaded into the ILS. Cancel Holdings Only project (page 118) Ongoing Batchload project (page 119) Reclamation project (page 116) Cancel Holdings Only project This is a one-time project. Matches your records in WorldCat to cancel holdings, for example, for discarded items. Send only records for items your library no longer holds. Your holdings are removed for all of the records you send that match WorldCat records. Reclamation project (page 116) Retrospective project (page 117) Page 68 of 319

69 Select the type of ongoing batchload project To select the type of ongoing batchload project: Select one of these ongoing batchload projects: Ongoing Batchload project Select if your library wants to keep holdings up-to-date after your holdings are in synch with WorldCat o Can be used to set or cancel holdings Non-MARC "Patterned" Bibliographic Data Project Select if your library meets both of these criteria: o Does not have MARC records. o Able to export bibliographic data into a spreadsheet or tab-delimited text file. Non-MARC Numeric Search Key project Select if your library meets both of these criteria: o o Does not have MARC records Not able to export data for OCLC to convert Next step Specify how to handle WorldCat holdings (page 120) Ongoing Batchload project (page 119) Select a one-time or ongoing batchload project (page 113) Ongoing Batchload project Once your holdings are up-to-date in WorldCat, you can order an ongoing (open-ended) project to continue processing records to update holdings as your library acquires and catalogs items or weeds the collection and deacquisitions items. You continue to send your records. OCLC continues to process them as set up in your project whenever they come in. OCLC returns your batchload output for each file of records as the records finish processing. You may need one or more ongoing projects. The way your local system identifies items removed from your collection that is, whether batch processing can use or force the value d in record status (Rec Stat; Leader/05) in your bibliographic records to delete holdings determines whether you would need one or more ongoing batchload projects. Select a one-time or ongoing batchload project (page 113) Select the type of ongoing batchload project (page 119) Page 69 of 319

70 Specify how to handle WorldCat holdings To specify how to handle WorldCat holdings: 1 Review the information about handling WorldCat holdings. 2 In the How should holdings be handled? drop-down menu, select one of these options (options available based on project type): Cancel for all Set for all Set or cancel based on value of Rec Stat Next step For MARC batchload projects, go to Specify how to display Local bibliographic data information (page 73) For Non-MARC batchload projects, go to Specify whether to add records that do not match WorldCat records (page 123) Handling WorldCat holdings (page 121) Page 70 of 319

71 Handling WorldCat holdings Caution! When your library s WorldCat holdings are deleted from OCLC master bibliographic records, any attached local records are also deleted, including local holdings records (LHRs) and local bibliographic data (LBD) records. To determine whether to cancel or set a WorldCat holding for your record, the Batchload processing uses the record status. In the fixed field display of the bibliographic record, you can view the Rec stat too see the status. It is also referred to as Leader byte 05 or 008/05. If the record status contains the value d, your institution s holding symbol is canceled (deleted) on matching WorldCat records. If the record status is a value other than d, your holding symbol is set (added) on matching and newly added records. The table below lists the project types, the options for handling WorldCat holdings in batchload, and a description of what happens in batchload preprocessing: Project type Options Description Cancels holdings only project Reclamation project Retrospective project Ongoing batchload project Reclamation project Retrospective project Ongoing batchload project Reclamation project Retrospective project Ongoing batchload project Cancel for all Set for all Set or cancel based on value of Rec Stat If you select this option, batchload preprocessing: Changes the record status (Rec Stat, Leader/05) to d for all submitted records. Cancels (deletes) the WorldCat holdings for every matching WorldCat record. Any attached local records are also deleted, including Local Holdings Records (LHRs) and Local Bibliographic Data (LBD) records. If you select this option, batchload preprocessing: Changes the record status (Rec Stat, Leader/05) from d to c for all submitted records. Sets a WorldCat holding for every matching WorldCat record Use for Restricted use records (page 33). If you select this option, batchload preprocessing: Cancels (deletes) WorldCat holdings for any matching records with a record status (Rec Stat, Leader/05) of d. Any attached local Page 71 of 319

72 Project type Options Description records are also deleted, including Local Holdings Records (LHRs) and Local Bibliographic Data (LBD) information. Sets a WorldCat holding for every matching WorldCat record with a record status (Rec Stat) other than d. For this third type of holding action only, preprocessing checks record by record. When record status value cannot be used If your library s local system does not have Leader Byte 05 for record status implemented, you cannot use the value d to indicate cancel WorldCat holdings. Instead, you can order two separate projects and send two separate sets of records, one project to cancel WorldCat holdings on all records sent and another project to set WorldCat holdings on all records sent. Select a one-time or ongoing batchload project (page 113) Specify how to handle WorldCat holdings (page 120) Page 72 of 319

73 Specify how to display Local bibliographic data information Page 73 of 319

74 To specify how to display Local bibliographic data information: 1 Review the Requirements for displaying Local bibliographic data information. 2 For the Display local bibliographic data form field, select: Yes to display the LBD information to your users No to not display the LBD information to your users Page 74 of 319

75 To specify how to display Local bibliographic data information: 3 If you selected Yes for Step 2, select the applicable data fields: Uniform title (240) Non-specialized notes (500, 59X) "With" notes (501) Subject added entries o Personal name (600) o Corporate name (610) o Meeting name (611) o Uniform title (630) o Topical term (650) o Geographic name (651) Index term Genre form (655) Added class number (695) Local subject added entries: o Geographic name (691) o Personal name (696) o Corporate name (697) o Meeting name (698) o Uniform title (699) Added entries: o Personal name (700, 790, 796) o Corporate name (710, 791, 797) o Meeting name (711, 792, 798) o Uniform title (730, 793, 799) 4 If you selected Yes for Step 2, specify whether your system currently stores the data you want to display in the LBD fields you selected. 5 If you selected No for Step 4, go to Contact OCLC to remap local bibliographic data (page 78). Next step Specify whether to add records that do not match WorldCat records (page 123) Contact OCLC to remap local bibliographic data (page 78) Page 75 of 319

76 Enter information about your OCLC Control Number (page 57) Local Bibliographic Data (page 77) Page 76 of 319

77 Local Bibliographic Data Caution! When your library s WorldCat holdings are deleted from OCLC master bibliographic records, any attached local records are also deleted, including local holdings records (LHRs) and local bibliographic data (LBD) records. When you order a bibliographic Batchload project to support full-subscription WorldCat Local or to support migration to WorldShare Management Services (WMS), you can request that OCLC extract Local Bibliographic Data (LBD) from your records for display to your users on WorldCat Local, WMS, or discovery interface. The LBD information must be unrelated and separate from the local fields transferred to your OCLC batch archive record. Viewing LBD information If you select the option to store your data when you order, batchload creates LBD records and attaches them to the associated WorldCat bibliographic records. This information is attached to the WorldCat bibliographic record, and you can view the information in your discovery interface and WorldShare Record Manager (WMS users only). You can also edit it in Record Manager (WMS users) or maintain the information using batchload. You can only display Local Bibliographic Data (LBD) if your batchload project: Supports WorldCat Local and/or WorldShare Management Services (WMS) Is not a Canceling holdings only batchload project type Does not have a Non-MARC data format with a data type of List of numeric search keys Records all contain a unique and persistent local system control number Identifies the location of the local system control number Contact OCLC to remap local bibliographic data (page 78) Enter information about your OCLC Control Number (page 57) Specify how to display Local bibliographic data information (page 73) Page 77 of 319

78 Contact OCLC to remap local bibliographic data This procedure is for libraries who store local bibliographic data in a non-approved field. Do not complete this procedure until after you have: Received the OCLC confirmation message with your batchload project ID (example: P012345) Sent your records to OCLC for processing, so that the data can be re-mapped for display The instructions for creating and sending a mapping table in Storing Local Bibliographic Data via Batchload for WorldCat Local or WMS. To contact OCLC to remap local bibliographic data: 1 Create a table that lists the location of the local bibliographic data in your records and identifies the corresponding LBD fields you selected in your order. Your confirmation message will contain the LBD fields (by name and tag) you selected. Example table: LBD fields in my records LBD fields selected in batchload order 945 Uniform title (240) 946 Subject added entry Personal name (600) 947 Index term Genre form (655) 948 Local subject added entry Corporate name (697) 2 Send an message to Batch Services at batchload@oclc.org: In the Subject line, include your OCLC institution number and your project ID In the body of the message, include the table you created Enter information about your OCLC Control Number (page 57) Local Bibliographic Data (page 77) Specify how to display Local bibliographic data information (page 73) Page 78 of 319

79 Specify whether to add records that do not match WorldCat records This procedure is applicable only to MARC projects. To specify whether to add records that do not match WorldCat records: For the Add non-matching records form field, select one of these options: Yes Select this option to add unmatched records to WorldCat as original cataloging. Records must meet OCLC's standards of quality and completeness. No Select this option if you do not have permission to redistribute vendor-supplied records (Restricted use records (page 33)) and this is a separate batchload project to set holdings for these records. Next step Specify project output options (page 124) Specify how to display Local bibliographic data information (page 73) Page 79 of 319

80 Specify project output options To specify project output options: 1 Review the information about project outputs. 2 From the Select output type drop-down menu, select one of these output types: Report only Report and your records Report and OCLC-MARC records 3 In the Notify text box, enter the addresses of one or more individuals or groups who should be notified when the project output is ready. Separate each address by commas. You can enter up to 250 characters. Next step Enter record information (page 136) Checklist of questions for selecting batchload output (page 128) Page 80 of 319

81 Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify whether to add records that do not match WorldCat records (page 123) Page 81 of 319

82 Project outputs Select the type of output that meets your library s needs for: Indexing the OCLC control number to integrate your local system with WorldCat Upgrading your local system records as needed OCLC produces the output that you select for each file in your project as it completes processing. The following table lists the available project outputs, a description of each, along with notes for MARC and Non-MARC projects: Name Description Notes Report only Report and your records Report and OCLC- MARC records Ordering reports is available at no charge Ordering your records returned with OCLC control numbers is available at no charge. Caution! In certain circumstances, receiving OCLC-MARC records may incur billing charges. Please contact OCLC Customer Support at support@oclc.org if you have questions about implications for billing. For Non-MARC projects with a type of data of List of numeric search keys, the library receives a Batchload Processing Summary. For all other projects, the library receives a Cross Reference (XREF) Report (page 268) that shows the OCLC number and your local system control number. XREF reports are available on the OCLC Product Services Web site. Only available for MARC projects With this output, the library receives a Cross Reference (XREF) Report that shows the OCLC number and your local system control number. XREF reports are available on the OCLC Product Services Web site. You will also receive your records (retaining your local data with OCLC numbers added in the location and format you select). For Non-MARC projects with a data type of List of numeric search keys, the library receives a Batchload File Processing report and OCLC- MARC records. For all other Non-MARC projects and all MARC projects, the library receives a Cross Reference (XREF) Report and OCLC-MARC records. If you select this option, a database specialist will contact you after you receive your order confirmation to determine whether you want to have local data transferred to the OCLC-MARC records and, if so, which data to transfer. The order form links to follow-up information about transferring local data in OCLC-MARC Record Output Details for Batch Processing. Page 82 of 319

83 Checklist of questions for selecting batchload output (page 128) Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 83 of 319

84 Checklist of questions for selecting batchload output Use the checklist of questions in this section to help you select the type of output you need from your project: Question Answer Solution Is the OCLC control number stored in the same location field/subfield in your records for indexing in your local system? Are OCLC control numbers missing from a significant number of your local records? Do you have a significant number of minimal-level MARC records? Do you have non-marc data in your local system and want to upgrade to full OCLC-MARC? Yes/No Yes/No Yes/No Yes/No If you answered Yes, consider using a Cross Reference (XREF) Report (page 268). If you answered Yes, consider ordering your own records returned with OCLC control numbers merged in. If you answered Yes to either of these questions, consider ordering full OCLC-MARC records returned for matched records. Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 84 of 319

85 OCLC-MARC record output When you request OCLC-MARC record output from your batchload project, a copy of the matching WorldCat record is written to a file for every holding set. When your file completes processing, the matched OCLC- MARC records copied from WorldCat are posted for you to pick up on the OCLC Product Services Web (PSWeb) at and in your EDX account (under EDX.EBSB.[xxx].RECORDS, where xxx is your OCLC institution symbol). To ensure that the OCLC-MARC records you receive meet your needs, an OCLC Batch Services database specialist will be assigned to work with you before your records are processed. OCLC-MARC records production When your records are processed, a Batch Archive Record Selection (BARS) is created for every transaction (holdings set or canceled). OCLC-MARC record output is produced using the batch archive record. The way the batch archive works determines the options available for record output. The archive record retains local data from the records you sent to OCLC. For group batchload projects, only field 035 is retained. For single-institution batchload projects, a full range of options for retaining local data is supported. Group batchload projects and OCLC MARC record output Group batchload projects set holdings in WorldCat for more than one OCLC institution symbol, based on library identifiers in the records you send. Every record must have at least one library identifier but may have many more than one. If there are five library identifiers in one of the records you sent, five corresponding OCLC symbols are set in WorldCat, and five archive records are created. The result is that five copies of the matching OCLC-MARC record are written to your output file. Because this process can produce multiple copies of the same record for which holdings are set for different OCLC symbols, local data transfer to the archive is limited to field 035. Since OCLC-MARC record output is created from the archive, your library s system control number is retained in the 035. Alternative two-project approach As an alternative solution, if these attributes of record output for group batchload (multiple copy output and no local data retention beyond field 035) do not fit your library s needs, a suggested alternative is to order these two projects. A single-institution-type batchload project to obtain OCLC-MARC records for your shared local system without setting holdings. A separate group batchload project to set holdings only for your group members. Your OCLC database specialist can work with you to process your files using this two-project approach. Page 85 of 319

86 Single-institution batchload projects Unlike group batchload projects, single-institution projects support a full range of options for local data transfer to the batch archive records, but there are some limitations of the batch archive process to consider. Your OCLC database specialist will work with you to ensure that your project is set up to transfer the fields you need to retain from your input (old) records to the OCLC-MARC records returned to you. In single-institution batchload, fields are transferred by default, if present, from your input records to your library s OCLC Batch Archive Records (BARS), and then into your OCLC-MARC record. The following is a list of local fields that transfer by default, when present in your input records: All 9XX fields, except for (see OCLC-only tags) Please consult with your database specialist for the following situations: You do not want to retain some of the default list of local fields that transfer by default in your OCLC-MARC records. Your project can be set up to remove unwanted fields in preprocessing before archiving occurs. You do want to retain data located in a field not in the default list above in your OCLC-MARC records. Your project can be set up to force those fields into the archive so that they appear in the OCLC-MARC records returned to you. OCLC-only tags The local fields listed below are reserved exclusively for OCLC use: If your library uses any of these OCLC-only tags for local data and you need the local data to be transferred to your OCLC-MARC record output, please discuss with your database specialist. OCLC can retag those local fields to other local fields in batch preprocessing. Preprocessing can manipulate data in local fields so that it is preserved during processing. Then, if you require the data to be in the original tags in your OCLC-MARC records, OCLC can do custom postprocessing to map those fields back to the original ones. For example, if you have critical information in field 938, an OCLC-only field, and you want that information to appear in your copy of the OCLC-MARC record, your database specialist can retag field 938 as field 945 if you do not use that local field. If field 945 is acceptable for your needs, the data originally in field 938 will be in field 945 of your OCLC-MARC records. If 945 is not acceptable, the OCLC-MARC records will undergo additional postprocessing to retag field 945 back to 938 before the OCLC-MARC records are posted for pickup. Custom postprocessing can manipulate local data fields retained as well as OCLC number format and location after matching is complete and the OCLC-MARC records are produced. Page 86 of 319

87 OCLC control numbers and OCLC-MARC record output Finally, consider where and in what format your local system indexes the OCLC control number. OCLC- MARC records you receive must contain the OCLC number in the correct format and location to support your system indexing for interoperability with WorldCat Local, for example, and with other OCLC services. By default, the format and location of OCLC control numbers for batchload OCLC-MARC record output are the same as in records you might export from Connexion that is, in field 001 with an ocm/ocn prefix, as well as in field 035 $a (OCoLC). If your local system requires the OCLC number to be in a different format and/or location from the defaults for indexing, consult with your database specialist who can apply custom postprocessing to ensure that the OCLC numbers are in the proper location and format for indexing in your OCLC-MARC records. Preprocessing can manipulate data in local fields so that it is preserved during processing. Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 87 of 319

88 Full OCLC-MARC records returned Note This option is unavailable for batchload projects that are based on a list of numeric search keys. Batchload can provide copies of OCLC-MARC records that matched your records in WorldCat. If you select the Full OCLC-MARC records returned option, you also have the option of merging certain local data for example, your local system control number, notes, or call numbers into the copies of the OCLC-MARC records. For more information, see the OCLC-MARC Record Output Details for Bibliographic Batchload quick reference. Caution! In certain circumstances, receiving OCLC-MARC records may incur billing charges. Please contact OCLC Customer Support at support@oclc.org if you have questions about implications for billing. By default, OCLC-MARC records contain the OCLC number in these fields: 001 prefixed by ocm or ocn 035 $a prefixed by (OCoLC) Custom postprocessing can change the default formatting if needed. For example, if your library prefers to have the local system control number in the 001 field, Batch Services can postprocess records to replace data in field 001 with the local system number. OCLC-MARC record output is not generated unless you request it in your batchload order. Checklist of questions for selecting batchload output (page 128) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 88 of 319

89 Report and your records option Note This option is unavailable for batchload projects using non-marc data (either non-marc bibliographic data or a list of numeric search keys). Caution If you order a reclamation or retrospective project type, OCLC recommends that you do not make changes to existing ILS (local system) records that have been submitted for processing until after these output records are returned and re-loaded into the ILS. When you select Report and your records for the project output, Batchload returns your records with OCLC control numbers merged in for those that matched WorldCat records. By default, the OCLC control numbers are merged into your records in field 035 $a with the (OCoLC) prefix. You can select a different (or additional) location and format for the merged OCLC number when you order your project. For example, you may want the OCLC number merged in field 001 with the ocm or ocn prefix. Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 89 of 319

90 Notes on product codes, tracking, and billing OCLC offers a one-time no-charge reclamation or retrospective project. Most other batchload activity is covered by your library s Cataloging subscription or Group services contract. Contact OCLC Customer Support at support@oclc.org for details or for information about getting a cataloging subscription if you do not have one. Most batchload projects are assigned product codes that are used internally for tracking and, only if appropriate, for billing. Notes on batchload output and projects OCLC-MARC record output. OCLC-MARC records may be available at no additional charge for some types of projects with a Cataloging subscription or Group services contract. Please check with OCLC Customer Support staff for additional clarification for your particular batchload needs. If you order OCLC-MARC records as output from a one-time no-charge reclamation or retrospective project, OCLC charges for each MARC record delivered. If your one-time no-charge project is for a group, there is a charge for each MARC record produced for each library in the group for which holdings are set. Scan/delete-only and symbol flip projects. There are no product codes, tracking, or billing for scan/delete-only projects or for symbol flip projects. Full OCLC-MARC records returned (page 132) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 90 of 319

91 Output records are produced from batch archive records Batch output records (your records returned with OCLC numbers or full OCLC-MARC records) are created from OCLC archive records. For every record you send for batchloading that matches a WorldCat record and has holdings set or canceled called a batch transaction or an offline transaction a Batch Archive Record selection (BARS) is created in the OCLC Batchload archive. BARS are also created for other OCLC products including Cataloging Partners, WorldCat Collection Sets, Language Sets, GovDoc, MARC Subscription, and eserials Holdings Service. Local data retention in BARS Some local data from your records is retained in your batch archive records. When you order OCLC-MARC records as output of your project, you can work with your database specialist to determine whether you want to have local data transferred to the OCLC-MARC records you receive, which data are allowable, and which data to transfer. See details in OCLC-MARC Record Output Details for Batch Processing. Bibliographic Record Snapshot service When a library is logged into Connexion and performs a transaction on a record in WorldCat, (such as setting or deleting holdings called an online transaction), a Cataloging Archive Record Selection (or CARS) is created in the OCLC archive. BARS and CARS are used to create records for the Bibliographic Record Snapshot service, which is a separate service, not a part of Batchload. No BARS for scan/delete-only or symbol flip projects Scan/delete-only and symbol flip projects do not create archive records. Therefore, you cannot receive an output file of records for use in your local system, and there are no records that can be included in the OCLC Bibliographic Snapshot service. See more details about BARS and CARS and information on their impact on batchload reporting in Reporting batchload statistics. Checklist of questions for selecting batchload output (page 128) Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 91 of 319

92 Enter record information Page 92 of 319

93 To enter record information: 1 In the Estimated record count form field, enter the estimated record count. For one time projects, enter the total number of records you will send. For ongoing projects, enter the number of records in the initial load of your project. Do not use a comma when entering your number. 2 (MARC projects) In the Submittal method drop-down menu, select one of these methods to submit your library's records: FTP to my institution's EDX account FTP by third party Upload to OCLC Product Services Web If you have Non-MARC data, it must be sent via or on CD or DVD via mail service. MARC data cannot be sent via an message. 3 If you selected FTP to my institution s EDX account, enter the Submittal contact address. Page 93 of 319

94 To enter record information: 4 If you selected FTP by third party, enter the information in these form fields: Third party contact name Third party contact 5 If your local system is by Innovative, select the Is local system by Innovative? check box. Next step Request PSWeb-only authorization (page 139) Specify project output options (page 124) Page 94 of 319

95 Request PSWeb-only authorization To request PSWeb-only authorization: 1 2 Review the information about PSWeb-only authorization. Select the Request PSWeb-only authorization? check box. 3 Enter a password in the Preferred password form field. For guidelines, see PSWeb-only authorization preferred password guidelines. Next step Complete the order form (page 141) Enter record information (page 136) PSWeb-only authorization (page 140) Page 95 of 319

96 PSWeb-only authorization You will need to log on to the Product Services Web (PSWeb), whether or not you use it to send your data. Reports and records generated from your batchload project will be posted to the PSWeb for pick-up. You should request a PSWeb-only authorization if you do NOT already have one of the following available: OCLC Cataloging authorization FirstSearch authorization (with an administrative or statistics password) Resource Sharing authorization Requests for a PSWeb-only authorization are usually fulfilled within two business days. PSWeb-only authorization preferred password guidelines Your preferred password must start with a letter or digit and can contain the following characters: Upper case letters A-Z Digits 0-9 The characters $ Enter record information (page 136) Request PSWeb-only authorization (page 139) Page 96 of 319

97 Complete the order form To complete the order form: 1 (Optional) In the Your information form field, add any additional notes or instructions about your project. 2 Click Continue to submit the order form. 3 4 If you have any errors or missing information, follow the instructions to fix these issues. If there are no errors or missing information, view the summary of your order information and edit any information on this screen. 5 Click Continue to submit the order form. The Review your order screen appears. 6 7 Review the Institution information, Contact information, and Terms and conditions. To submit your order, select I accept for the Terms and conditions. You must accept the terms and conditions to submit your order. 8 Click Submit Order. The Receipt page opens with information about your order. Page 97 of 319

98 Fixing an order error (page 143) Request PSWeb-only authorization (page 139) Page 98 of 319

99 Fixing an order error After you have completed your order form, the system checks for errors. If there are any errors, the errors are listed at the top of the form and the items are highlighted in red in the form. 1 Click the item in the list of errors or browse to the highlighted field. 2 Enter the correct information in the form field. 3 Repeat steps 1 and 2 for each error. 4 After you have corrected all errors, click Continue to check the order form for errors.. Complete the order form (page 141) Request PSWeb-only authorization (page 139) Page 99 of 319

100 Instructions for a Non-MARC Batchload project The following table provides the steps for filling out the form for a Non-MARC batchload project: Steps for Non-MARC 1 Go to the online order form 2 Enter your contact and institution information (page 107) 3 Select OCLC products (page 108) 4 Select the data format (page 109) 5 Specify format of the Non-MARC data (page 110) 6 Select a one-time or ongoing batchload project (page 113) 7 Select the type of one-time batchload project (page 116) Select the type of ongoing batchload project (page 119) 8 Specify how to handle WorldCat holdings (page 120) 9 Specify whether to add records that do not match WorldCat records (page 123) 10 Specify project output options (page 124) 11 Enter record information (page 136) 12 (Optional) Request PSWeb-only authorization (page 139) 13 Complete the order form (page 141) MARC-formatted records (page 146) Non-MARC data (page 167) Page 100 of 319

101 Go to the online order form You are limited to 60 min. to complete the order (see Session timeout (page 38)). Prepare your information ahead of time by filling out the Order Checklist for Bibliographic Batchload to be sure you have the information you need. The checklist simulates the order form questions. To go to the online order form: 1 Go to the Online Service Center (OSC). 2 Click Log on. The Log on or create your account page opens. 3 Enter your User ID and Password. 4 Click Log On. The Search for an institution page opens. Page 101 of 319

102 To go to the online order form: 5 Enter institution information in one or more of these form fields: OCLC symbol Account ID Institution name Street Address City State Zip/Postal Code Country 6 Click Submit. Institutions that have not been profiled yet or are Inactive appear with gray backgrounds. No account management or ordering can be done for an institution until it has been profiled. Forest Press or Dewey accounts can view their institution information but cannot order OCLC professional services. Page 102 of 319

103 To go to the online order form: 7 In the Search results, click the name of an institution. The Welcome to the OCLC Online Service Center page opens. 8 On the OSC Welcome page, click Order OCLC products and services. The Order OCLC products and services page opens. Page 103 of 319

104 To go to the online order form: 9 Click OCLC services The OCLC services page opens. 10 Click Batchload for Bibliographic Records. The Order Batchload for Bibliographic Records page opens. Page 104 of 319

105 To go to the online order form: 11 Click I am ready to order a batchload project. The Contact page opens. 12 Select your contact name, then click Continue. The Bibliographic Batchload Order Form opens. Page 105 of 319

106 To go to the online order form: Next step Enter your contact and institution information (page 107). Group projects (page 25) Page 106 of 319

107 Enter your contact and institution information To enter your contact and institution information: Update your contact information, if necessary. Specify whether your project is for a single institution or a group. (Group projects) Enter the OCLC institution symbol that is used for billing. (Group projects) Enter the OCLC group project symbol. (Group projects) For the shared local system, enter the field and subfield location for the internal identifiers that are specified in the group records. 6 (Group projects) Enter every OCLC symbol that is used for each library in your group (up to 500 symbols). On the form, separate each symbol by a space, comma, or semicolon. If you need to look up an OCLC institution symbol, go to the Directory of OCLC Libraries web page on the OCLC web site. Next step Select OCLC products (page 108) Page 107 of 319

108 Select OCLC products To select OCLC products: 1 On the Bibliographic Order form, specify all OCLC products that will be supported by your project. 2 If you select WorldCat Local as the OCLC product, or one of the products supported by your batchload project, you can select the Send information on Branch Level Scoping check box. By selecting this check box, you will receive follow-up information about Branch Level Scoping (page 305) to support WorldCat Local. Next step Select the data format (page 109) See also Enter your contact and institution information (page 107) Page 108 of 319

109 Select the data format To select the data format: From the Data Format drop-down menu select the data format for the batchload project you are submitting. If you have both data types, order a separate batchload project for each data type. Next step One of the following: Specify format of the MARC data (page 51) Specify format of the Non-MARC data (page 110) Select OCLC products (page 108) Page 109 of 319

110 Specify format of the Non-MARC data This procedure is only for Non-MARC projects. To specify format of the Non-MARC data: 1 From the Non-MARC Format drop-down menu, select the Non-MARC format that you are submitting for this batchload project. 2 From the Character encoding drop-down menu, select the character encoding that you are using for this batchload project. The List of numeric search keys option is not available for group batchload orders. Next step Select a one-time or ongoing batchload project (page 113) List of numeric search keys (page 112) Non-MARC patterned bibliographic data project (page 111) Select the data format (page 109) Page 110 of 319

111 Non-MARC patterned bibliographic data project OCLC can reformat non-marc data that is in a consistent pattern in a spreadsheet or a word-processing document. The data can be converted to MARC 21 if it has one or more of the following characteristics: Labeled columns of data in a spreadsheet Consistently labeled fields followed by data in a word processing file (for example, AUTHOR: Smith, John TITLE: My Life Story) Data fields and records delimited by one or more unique identifiable keyboard keys in a word processing file (for example, data fields separated by commas; records separated by <Tab>). Positional data field descriptions and their content related by record position (for example, fixed-length formatted records). The data is converted to MARC records and matched against WorldCat for setting or canceling your holdings.you can get matching full OCLC-MARC records for records that have holdings set to load into your local system if you want to upgrade your records. Page 111 of 319

112 List of numeric search keys OCLC can use lists of numbers from the numeric data in your records to match against WorldCat records for setting or canceling holdings. You can use one of the following types of numeric data per file: LCCNs, ISBNs, or OCLC control numbers, with OCLC numbers the preferred choice. You can send one file per number type; you cannot, for example, mix OCLC numbers and LCCNs in a single file. You can, however, send multiple files, each based on a single number type for example, a file of OCLC numbers for one set of records and a file of ISBNs for another set of records. Caution! The match rate for lists of LCCNs and ISBNs tends to be very low. If possible, please provide OCLC numbers for your numeric search key project. When you order a project based on numeric search keys, you request that holdings be either set or canceled in WorldCat records that have matching numeric data. If you are setting holdings, you can order matching full OCLC-MARC records for loading into your local system if you want to upgrade your records. If you have some records that need to have holdings set and some that need to be canceled, you need to order two separate numeric search key projects and send separate lists for each. Page 112 of 319

113 Select a one-time or ongoing batchload project To select a one-time or ongoing batchload project: 1 Select a one-time or ongoing batchload project. One-time project Select to run the batchload update once to: o o Set or cancel holdings. (Optionally) add original records for your library's entire database or a subset of your database. Ongoing project Select to continue using batchload over time to keep your collection in sync with WorldCat. If you have both data types, order a separate batchload project for each data type. 2 Go to the appropriate procedure to select the type of one-time or ongoing batchload project: If you selected a one-time batchload project, go to Select the type of one-time batchload project (page 116). If you selected an ongoing batchload project, go to Select the type of ongoing batchload project (page 119). Next step Specify how to handle WorldCat holdings (page 120). Checklist for selecting a batchload project type (page 114) Select the data format (page 109) Page 113 of 319

114 Checklist for selecting a batchload project type Use the checklist of questions in this section to help you select project types you need. Question Does your library have holdings set in WorldCat but they have not been consistently maintained? Do you need to bring them up-to-date but cannot easily identify the records that need updating? Are you a new OCLC member? Do you have gaps in your WorldCat holdings? For example, you have acquired or cataloged a new collection and have not set holdings in WorldCat for items in the collection. Solution If you answer Yes, consider ordering a one-time reclamation project, which includes a scan/delete. If you answered Yes to any of these questions, consider ordering a one-time retrospective project. Do you have some local system records that do not include OCLC numbers? Are your library s holdings represented in WorldCat by more than one OCLC institution symbol, but you want the holdings to be combined under fewer symbols? Do you need to cancel holdings in WorldCat for discarded items? Do you want to keep your holdings up-to-date once they are in sync in WorldCat (beyond or instead of using OCLC cataloging services to maintain holdings)? Have you been cataloging locally, rather than exporting records from WorldCat (that is, you have non-oclc records)? If you answered Yes, consider requesting a symbol flip project via . If you answered Yes, consider ordering a cancelholdings-only project. If you answered Yes to any of these questions, consider ordering one or more ongoing batchload projects, depending on library needs (for example, multiple projects to set holdings on various vendor records). Have you been copy-cataloging using records exported from WorldCat but without setting your holdings (that is, you have OCLC-derived records)? Is your data in a MARC format other than MARC 21? Do you have non-marc patterned bibliographic data? If you answered Yes, order a project based on having OCLC convert another MARC format to MARC 21 If you answered Yes, order a project based on having OCLC convert non-marc patterned data to Page 114 of 319

115 Question Solution MARC-21. Can you provide a list of OCLC numbers for records for which you want to either set or cancel holdings? Are you a resource-sharing library group or library group that shares a local catalog or a processing center and you need to update holdings in WorldCat for the group? If you answered Yes, order a numeric search key project based on a simple list of search keys that OCLC can use for matching WorldCat records. If you answered Yes, order a group project using the group s consolidated record files. Page 115 of 319

116 Select the type of one-time batchload project Consider ordering this project... Reclamation project, which includes a scan/delete if... Your library has holdings set in WorldCat but they have not been consistently maintained. You need to bring them up-todate but cannot easily identify the records that need updating. Your library has holdings set in WorldCat but they have not been consistently maintained. You need to bring them up-todate but cannot easily identify the records that need updating. Retrospective project Your library is a new OCLC member. Your library has gaps in your WorldCat holdings. For example, you have acquired or cataloged a new collection and have not set holdings in WorldCat for items in the collection. Your library has some local system records that do not include OCLC numbers. Cancel-holdings only project Your library needs to cancel holdings in WorldCat for discarded items. Batchload project based on having OCLC convert another MARC format to MARC-21 Project based on having OCLC convert non-marc patterned data to MARC-21 Numeric search key project based on a simple list of search keys that OCLC can use for matching WorldCat records Group project using the group s consolidated record files Your library has data in a MARC format other than MARC- 21. Your library has non-marc patterned bibliographic data. Your library can provide a list of OCLC numbers for records for which you want to either set or cancel holdings. You are a resource-sharing library group or a library group that shares a local catalog or a processing center and you need to update holdings in WorldCat for the group. Next step Specify how to handle WorldCat holdings (page 120) Cancel Holdings Only project (page 118) Select a one-time or ongoing batchload project (page 113) Reclamation project This is a one-time project. Includes a scan/delete process. Page 116 of 319

117 Matches your records in WorldCat to set (add) holdings; time-stamps them; and then cancels (deletes) holdings on records that were set earlier than the time of the batchload transaction. This type of project can bring your holdings up-to-date if you have not consistently maintained them and cannot easily isolate only the records that need to be updated. The following is how a reclamation project works: You send all of your library s records. As they are matched in WorldCat and holdings are set for items you hold, the current date is stamped on each record. After batchload is complete, OCLC runs a Scan/Delete to remove your holdings from records with a date stamp earlier than the date of the batchload transaction (typically the date when you extracted your records for submittal to OCLC). Note: Before performing the scan/delete, Batch Services always contacts you to confirm the date on which canceling holdings will be based. You must approve the date before OCLC will run the scan/delete. Holdings set after the date of the scan/delete are retained in WorldCat. Therefore, you can continue online cataloging while your records are processed. OCLC recommends, however, that you stop deleting holdings until the reclamation project is complete. By default, scan/deletes are processed to skip any holding set on a record that has a local holdings record (LHR) attached. The LHR itself will remain, and the holding will remain set on the record, regardless of date stamp. However, you can request to remove the LHR and related holding (use the free-text box in the order form question Do you have more information for your project? ). You can also request a Scan/Delete-Only projects (page 34). Caution If you order a reclamation project type, OCLC recommends that you do not make changes to existing ILS (local system) records that have been submitted for processing until after these output records are returned and re-loaded into the ILS. Cancel Holdings Only project (page 118) Retrospective project (page 117) Retrospective project This is a one-time project. Matches your records in WorldCat to set holdings if you are new to OCLC cataloging or have not previously set holdings in WorldCat. Also used to set, cancel, or set and cancel holdings as appropriate to fill a gap in your collection or to catch up after periods of inactivity. You send all of your records or a subset of records to set or cancel holdings in WorldCat and obtain OCLC control numbers for records in your local system if you choose. Page 117 of 319

118 A retrospective project does not include scan/deletes. Caution If you order a retrospective project type, OCLC recommends that you do not make changes to existing ILS (local system) records that have been submitted for processing until after these output records are returned and re-loaded into the ILS. Cancel Holdings Only project (page 118) Ongoing Batchload project (page 119) Reclamation project (page 116) Cancel Holdings Only project This is a one-time project. Matches your records in WorldCat to cancel holdings, for example, for discarded items. Send only records for items your library no longer holds. Your holdings are removed for all of the records you send that match WorldCat records. Reclamation project (page 116) Retrospective project (page 117) Page 118 of 319

119 Select the type of ongoing batchload project To select the type of ongoing batchload project: Select one of these ongoing batchload projects: Ongoing Batchload project Select if your library wants to keep holdings up-to-date after your holdings are in synch with WorldCat o Can be used to set or cancel holdings Non-MARC "Patterned" Bibliographic Data Project Select if your library meets both of these criteria: o Does not have MARC records. o Able to export bibliographic data into a spreadsheet or tab-delimited text file. Non-MARC Numeric Search Key project Select if your library meets both of these criteria: o o Does not have MARC records Not able to export data for OCLC to convert Next step Specify how to handle WorldCat holdings (page 120) Ongoing Batchload project (page 119) Select a one-time or ongoing batchload project (page 113) Ongoing Batchload project Once your holdings are up-to-date in WorldCat, you can order an ongoing (open-ended) project to continue processing records to update holdings as your library acquires and catalogs items or weeds the collection and deacquisitions items. You continue to send your records. OCLC continues to process them as set up in your project whenever they come in. OCLC returns your batchload output for each file of records as the records finish processing. You may need one or more ongoing projects. The way your local system identifies items removed from your collection that is, whether batch processing can use or force the value d in record status (Rec Stat; Leader/05) in your bibliographic records to delete holdings determines whether you would need one or more ongoing batchload projects. Select a one-time or ongoing batchload project (page 113) Select the type of ongoing batchload project (page 119) Page 119 of 319

120 Specify how to handle WorldCat holdings To specify how to handle WorldCat holdings: 1 Review the information about handling WorldCat holdings. 2 In the How should holdings be handled? drop-down menu, select one of these options (options available based on project type): Cancel for all Set for all Set or cancel based on value of Rec Stat Next step For MARC batchload projects, go to Specify how to display Local bibliographic data information (page 73) For Non-MARC batchload projects, go to Specify whether to add records that do not match WorldCat records (page 123) Handling WorldCat holdings (page 121) Page 120 of 319

121 Handling WorldCat holdings Caution! When your library s WorldCat holdings are deleted from OCLC master bibliographic records, any attached local records are also deleted, including local holdings records (LHRs) and local bibliographic data (LBD) records. To determine whether to cancel or set a WorldCat holding for your record, the Batchload processing uses the record status. In the fixed field display of the bibliographic record, you can view the Rec stat too see the status. It is also referred to as Leader byte 05 or 008/05. If the record status contains the value d, your institution s holding symbol is canceled (deleted) on matching WorldCat records. If the record status is a value other than d, your holding symbol is set (added) on matching and newly added records. The table below lists the project types, the options for handling WorldCat holdings in batchload, and a description of what happens in batchload preprocessing: Project type Options Description Cancels holdings only project Reclamation project Retrospective project Ongoing batchload project Reclamation project Retrospective project Ongoing batchload project Reclamation project Retrospective project Ongoing batchload project Cancel for all Set for all Set or cancel based on value of Rec Stat If you select this option, batchload preprocessing: Changes the record status (Rec Stat, Leader/05) to d for all submitted records. Cancels (deletes) the WorldCat holdings for every matching WorldCat record. Any attached local records are also deleted, including Local Holdings Records (LHRs) and Local Bibliographic Data (LBD) records. If you select this option, batchload preprocessing: Changes the record status (Rec Stat, Leader/05) from d to c for all submitted records. Sets a WorldCat holding for every matching WorldCat record Use for Restricted use records (page 33). If you select this option, batchload preprocessing: Cancels (deletes) WorldCat holdings for any matching records with a record status (Rec Stat, Leader/05) of d. Any attached local Page 121 of 319

122 Project type Options Description records are also deleted, including Local Holdings Records (LHRs) and Local Bibliographic Data (LBD) information. Sets a WorldCat holding for every matching WorldCat record with a record status (Rec Stat) other than d. For this third type of holding action only, preprocessing checks record by record. When record status value cannot be used If your library s local system does not have Leader Byte 05 for record status implemented, you cannot use the value d to indicate cancel WorldCat holdings. Instead, you can order two separate projects and send two separate sets of records, one project to cancel WorldCat holdings on all records sent and another project to set WorldCat holdings on all records sent. Select a one-time or ongoing batchload project (page 113) Specify how to handle WorldCat holdings (page 120) Page 122 of 319

123 Specify whether to add records that do not match WorldCat records This procedure is applicable only to MARC projects. To specify whether to add records that do not match WorldCat records: For the Add non-matching records form field, select one of these options: Yes Select this option to add unmatched records to WorldCat as original cataloging. Records must meet OCLC's standards of quality and completeness. No Select this option if you do not have permission to redistribute vendor-supplied records (Restricted use records (page 33)) and this is a separate batchload project to set holdings for these records. Next step Specify project output options (page 124) Specify how to display Local bibliographic data information (page 73) Page 123 of 319

124 Specify project output options To specify project output options: 1 Review the information about project outputs. 2 From the Select output type drop-down menu, select one of these output types: Report only Report and your records Report and OCLC-MARC records 3 In the Notify text box, enter the addresses of one or more individuals or groups who should be notified when the project output is ready. Separate each address by commas. You can enter up to 250 characters. Next step Enter record information (page 136) Checklist of questions for selecting batchload output (page 128) Page 124 of 319

125 Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify whether to add records that do not match WorldCat records (page 123) Page 125 of 319

126 Project outputs Select the type of output that meets your library s needs for: Indexing the OCLC control number to integrate your local system with WorldCat Upgrading your local system records as needed OCLC produces the output that you select for each file in your project as it completes processing. The following table lists the available project outputs, a description of each, along with notes for MARC and Non-MARC projects: Name Description Notes Report only Report and your records Report and OCLC- MARC records Ordering reports is available at no charge Ordering your records returned with OCLC control numbers is available at no charge. Caution! In certain circumstances, receiving OCLC-MARC records may incur billing charges. Please contact OCLC Customer Support at support@oclc.org if you have questions about implications for billing. For Non-MARC projects with a type of data of List of numeric search keys, the library receives a Batchload Processing Summary. For all other projects, the library receives a Cross Reference (XREF) Report (page 268) that shows the OCLC number and your local system control number. XREF reports are available on the OCLC Product Services Web site. Only available for MARC projects With this output, the library receives a Cross Reference (XREF) Report that shows the OCLC number and your local system control number. XREF reports are available on the OCLC Product Services Web site. You will also receive your records (retaining your local data with OCLC numbers added in the location and format you select). For Non-MARC projects with a data type of List of numeric search keys, the library receives a Batchload File Processing report and OCLC- MARC records. For all other Non-MARC projects and all MARC projects, the library receives a Cross Reference (XREF) Report and OCLC-MARC records. If you select this option, a database specialist will contact you after you receive your order confirmation to determine whether you want to have local data transferred to the OCLC-MARC records and, if so, which data to transfer. The order form links to follow-up information about transferring local data in OCLC-MARC Record Output Details for Batch Processing. Page 126 of 319

127 Checklist of questions for selecting batchload output (page 128) Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 127 of 319

128 Checklist of questions for selecting batchload output Use the checklist of questions in this section to help you select the type of output you need from your project: Question Answer Solution Is the OCLC control number stored in the same location field/subfield in your records for indexing in your local system? Are OCLC control numbers missing from a significant number of your local records? Do you have a significant number of minimal-level MARC records? Do you have non-marc data in your local system and want to upgrade to full OCLC-MARC? Yes/No Yes/No Yes/No Yes/No If you answered Yes, consider using a Cross Reference (XREF) Report (page 268). If you answered Yes, consider ordering your own records returned with OCLC control numbers merged in. If you answered Yes to either of these questions, consider ordering full OCLC-MARC records returned for matched records. Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 128 of 319

129 OCLC-MARC record output When you request OCLC-MARC record output from your batchload project, a copy of the matching WorldCat record is written to a file for every holding set. When your file completes processing, the matched OCLC- MARC records copied from WorldCat are posted for you to pick up on the OCLC Product Services Web (PSWeb) at and in your EDX account (under EDX.EBSB.[xxx].RECORDS, where xxx is your OCLC institution symbol). To ensure that the OCLC-MARC records you receive meet your needs, an OCLC Batch Services database specialist will be assigned to work with you before your records are processed. OCLC-MARC records production When your records are processed, a Batch Archive Record Selection (BARS) is created for every transaction (holdings set or canceled). OCLC-MARC record output is produced using the batch archive record. The way the batch archive works determines the options available for record output. The archive record retains local data from the records you sent to OCLC. For group batchload projects, only field 035 is retained. For single-institution batchload projects, a full range of options for retaining local data is supported. Group batchload projects and OCLC MARC record output Group batchload projects set holdings in WorldCat for more than one OCLC institution symbol, based on library identifiers in the records you send. Every record must have at least one library identifier but may have many more than one. If there are five library identifiers in one of the records you sent, five corresponding OCLC symbols are set in WorldCat, and five archive records are created. The result is that five copies of the matching OCLC-MARC record are written to your output file. Because this process can produce multiple copies of the same record for which holdings are set for different OCLC symbols, local data transfer to the archive is limited to field 035. Since OCLC-MARC record output is created from the archive, your library s system control number is retained in the 035. Alternative two-project approach As an alternative solution, if these attributes of record output for group batchload (multiple copy output and no local data retention beyond field 035) do not fit your library s needs, a suggested alternative is to order these two projects. A single-institution-type batchload project to obtain OCLC-MARC records for your shared local system without setting holdings. A separate group batchload project to set holdings only for your group members. Your OCLC database specialist can work with you to process your files using this two-project approach. Page 129 of 319

130 Single-institution batchload projects Unlike group batchload projects, single-institution projects support a full range of options for local data transfer to the batch archive records, but there are some limitations of the batch archive process to consider. Your OCLC database specialist will work with you to ensure that your project is set up to transfer the fields you need to retain from your input (old) records to the OCLC-MARC records returned to you. In single-institution batchload, fields are transferred by default, if present, from your input records to your library s OCLC Batch Archive Records (BARS), and then into your OCLC-MARC record. The following is a list of local fields that transfer by default, when present in your input records: All 9XX fields, except for (see OCLC-only tags) Please consult with your database specialist for the following situations: You do not want to retain some of the default list of local fields that transfer by default in your OCLC-MARC records. Your project can be set up to remove unwanted fields in preprocessing before archiving occurs. You do want to retain data located in a field not in the default list above in your OCLC-MARC records. Your project can be set up to force those fields into the archive so that they appear in the OCLC-MARC records returned to you. OCLC-only tags The local fields listed below are reserved exclusively for OCLC use: If your library uses any of these OCLC-only tags for local data and you need the local data to be transferred to your OCLC-MARC record output, please discuss with your database specialist. OCLC can retag those local fields to other local fields in batch preprocessing. Preprocessing can manipulate data in local fields so that it is preserved during processing. Then, if you require the data to be in the original tags in your OCLC-MARC records, OCLC can do custom postprocessing to map those fields back to the original ones. For example, if you have critical information in field 938, an OCLC-only field, and you want that information to appear in your copy of the OCLC-MARC record, your database specialist can retag field 938 as field 945 if you do not use that local field. If field 945 is acceptable for your needs, the data originally in field 938 will be in field 945 of your OCLC-MARC records. If 945 is not acceptable, the OCLC-MARC records will undergo additional postprocessing to retag field 945 back to 938 before the OCLC-MARC records are posted for pickup. Custom postprocessing can manipulate local data fields retained as well as OCLC number format and location after matching is complete and the OCLC-MARC records are produced. Page 130 of 319

131 OCLC control numbers and OCLC-MARC record output Finally, consider where and in what format your local system indexes the OCLC control number. OCLC- MARC records you receive must contain the OCLC number in the correct format and location to support your system indexing for interoperability with WorldCat Local, for example, and with other OCLC services. By default, the format and location of OCLC control numbers for batchload OCLC-MARC record output are the same as in records you might export from Connexion that is, in field 001 with an ocm/ocn prefix, as well as in field 035 $a (OCoLC). If your local system requires the OCLC number to be in a different format and/or location from the defaults for indexing, consult with your database specialist who can apply custom postprocessing to ensure that the OCLC numbers are in the proper location and format for indexing in your OCLC-MARC records. Preprocessing can manipulate data in local fields so that it is preserved during processing. Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 131 of 319

132 Full OCLC-MARC records returned Note This option is unavailable for batchload projects that are based on a list of numeric search keys. Batchload can provide copies of OCLC-MARC records that matched your records in WorldCat. If you select the Full OCLC-MARC records returned option, you also have the option of merging certain local data for example, your local system control number, notes, or call numbers into the copies of the OCLC-MARC records. For more information, see the OCLC-MARC Record Output Details for Bibliographic Batchload quick reference. Caution! In certain circumstances, receiving OCLC-MARC records may incur billing charges. Please contact OCLC Customer Support at support@oclc.org if you have questions about implications for billing. By default, OCLC-MARC records contain the OCLC number in these fields: 001 prefixed by ocm or ocn 035 $a prefixed by (OCoLC) Custom postprocessing can change the default formatting if needed. For example, if your library prefers to have the local system control number in the 001 field, Batch Services can postprocess records to replace data in field 001 with the local system number. OCLC-MARC record output is not generated unless you request it in your batchload order. Checklist of questions for selecting batchload output (page 128) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 132 of 319

133 Report and your records option Note This option is unavailable for batchload projects using non-marc data (either non-marc bibliographic data or a list of numeric search keys). Caution If you order a reclamation or retrospective project type, OCLC recommends that you do not make changes to existing ILS (local system) records that have been submitted for processing until after these output records are returned and re-loaded into the ILS. When you select Report and your records for the project output, Batchload returns your records with OCLC control numbers merged in for those that matched WorldCat records. By default, the OCLC control numbers are merged into your records in field 035 $a with the (OCoLC) prefix. You can select a different (or additional) location and format for the merged OCLC number when you order your project. For example, you may want the OCLC number merged in field 001 with the ocm or ocn prefix. Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 133 of 319

134 Notes on product codes, tracking, and billing OCLC offers a one-time no-charge reclamation or retrospective project. Most other batchload activity is covered by your library s Cataloging subscription or Group services contract. Contact OCLC Customer Support at support@oclc.org for details or for information about getting a cataloging subscription if you do not have one. Most batchload projects are assigned product codes that are used internally for tracking and, only if appropriate, for billing. Notes on batchload output and projects OCLC-MARC record output. OCLC-MARC records may be available at no additional charge for some types of projects with a Cataloging subscription or Group services contract. Please check with OCLC Customer Support staff for additional clarification for your particular batchload needs. If you order OCLC-MARC records as output from a one-time no-charge reclamation or retrospective project, OCLC charges for each MARC record delivered. If your one-time no-charge project is for a group, there is a charge for each MARC record produced for each library in the group for which holdings are set. Scan/delete-only and symbol flip projects. There are no product codes, tracking, or billing for scan/delete-only projects or for symbol flip projects. Full OCLC-MARC records returned (page 132) OCLC-MARC record output (page 129) Output records are produced from batch archive records (page 135) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 134 of 319

135 Output records are produced from batch archive records Batch output records (your records returned with OCLC numbers or full OCLC-MARC records) are created from OCLC archive records. For every record you send for batchloading that matches a WorldCat record and has holdings set or canceled called a batch transaction or an offline transaction a Batch Archive Record selection (BARS) is created in the OCLC Batchload archive. BARS are also created for other OCLC products including Cataloging Partners, WorldCat Collection Sets, Language Sets, GovDoc, MARC Subscription, and eserials Holdings Service. Local data retention in BARS Some local data from your records is retained in your batch archive records. When you order OCLC-MARC records as output of your project, you can work with your database specialist to determine whether you want to have local data transferred to the OCLC-MARC records you receive, which data are allowable, and which data to transfer. See details in OCLC-MARC Record Output Details for Batch Processing. Bibliographic Record Snapshot service When a library is logged into Connexion and performs a transaction on a record in WorldCat, (such as setting or deleting holdings called an online transaction), a Cataloging Archive Record Selection (or CARS) is created in the OCLC archive. BARS and CARS are used to create records for the Bibliographic Record Snapshot service, which is a separate service, not a part of Batchload. No BARS for scan/delete-only or symbol flip projects Scan/delete-only and symbol flip projects do not create archive records. Therefore, you cannot receive an output file of records for use in your local system, and there are no records that can be included in the OCLC Bibliographic Snapshot service. See more details about BARS and CARS and information on their impact on batchload reporting in Reporting batchload statistics. Checklist of questions for selecting batchload output (page 128) Full OCLC-MARC records returned (page 132) Notes on product codes, tracking, and billing (page 134) OCLC-MARC record output (page 129) Project outputs (page 126) Report and your records option (page 133) Specify project output options (page 124) Specify whether to add records that do not match WorldCat records (page 123) Page 135 of 319

136 Enter record information Page 136 of 319

137 To enter record information: 1 In the Estimated record count form field, enter the estimated record count. For one time projects, enter the total number of records you will send. For ongoing projects, enter the number of records in the initial load of your project. Do not use a comma when entering your number. 2 (MARC projects) In the Submittal method drop-down menu, select one of these methods to submit your library's records: FTP to my institution's EDX account FTP by third party Upload to OCLC Product Services Web If you have Non-MARC data, it must be sent via or on CD or DVD via mail service. MARC data cannot be sent via an message. 3 If you selected FTP to my institution s EDX account, enter the Submittal contact address. Page 137 of 319

138 To enter record information: 4 If you selected FTP by third party, enter the information in these form fields: Third party contact name Third party contact 5 If your local system is by Innovative, select the Is local system by Innovative? check box. Next step Request PSWeb-only authorization (page 139) Specify project output options (page 124) Page 138 of 319

139 Request PSWeb-only authorization To request PSWeb-only authorization: 1 2 Review the information about PSWeb-only authorization. Select the Request PSWeb-only authorization? check box. 3 Enter a password in the Preferred password form field. For guidelines, see PSWeb-only authorization preferred password guidelines. Next step Complete the order form (page 141) Enter record information (page 136) PSWeb-only authorization (page 140) Page 139 of 319

140 PSWeb-only authorization You will need to log on to the Product Services Web (PSWeb), whether or not you use it to send your data. Reports and records generated from your batchload project will be posted to the PSWeb for pick-up. You should request a PSWeb-only authorization if you do NOT already have one of the following available: OCLC Cataloging authorization FirstSearch authorization (with an administrative or statistics password) Resource Sharing authorization Requests for a PSWeb-only authorization are usually fulfilled within two business days. PSWeb-only authorization preferred password guidelines Your preferred password must start with a letter or digit and can contain the following characters: Upper case letters A-Z Digits 0-9 The characters $ Enter record information (page 136) Request PSWeb-only authorization (page 139) Page 140 of 319

141 Complete the order form To complete the order form: 1 (Optional) In the Your information form field, add any additional notes or instructions about your project. 2 Click Continue to submit the order form. 3 4 If you have any errors or missing information, follow the instructions to fix these issues. If there are no errors or missing information, view the summary of your order information and edit any information on this screen. 5 Click Continue to submit the order form. The Review your order screen appears. 6 7 Review the Institution information, Contact information, and Terms and conditions. To submit your order, select I accept for the Terms and conditions. You must accept the terms and conditions to submit your order. 8 Click Submit Order. The Receipt page opens with information about your order. Page 141 of 319

142 Fixing an order error (page 143) Request PSWeb-only authorization (page 139) Page 142 of 319

143 Fixing an order error After you have completed your order form, the system checks for errors. If there are any errors, the errors are listed at the top of the form and the items are highlighted in red in the form. 1 Click the item in the list of errors or browse to the highlighted field. 2 Enter the correct information in the form field. 3 Repeat steps 1 and 2 for each error. 4 After you have corrected all errors, click Continue to check the order form for errors.. Complete the order form (page 141) Request PSWeb-only authorization (page 139) Page 143 of 319

144 3 Sending records How you send your library s records for batchloading depends on the type of data you send for processing and, therefore, also on the type of project you order. The following table show shows which methods are available for sending records/data by project and data type: Data type Explanation of DATA Type Permitted Delivery Methods Explanati on of Delivery Methods MARC data ASCII (machine PSWeb File upload using the OCLC readable) Not to Product Services Web be confused with interface (recommended) a text file of MARC data FTP File transfer protocol using an FTP client/software such as WS_FTP and FileZilla Non-MARC data Patterned to: batchload@oclc.org bibliographic data attachment such as a list of numeric search keys CD/DVD OCLC 6565 Kilgour Place Dublin, Ohio MC Batch Services Additional record data formats Although Batchload at OCLC requires attachment to: batchload@oclc.org MARC 21-

145 Data type Explanation of DATA Type Permitted Delivery Methods Explanati on of Delivery Methods formatted bibliographic records that have either MARC-8 or UTF-8 Unicode character encoding, OCLC may be able to CD/DVD OCLC 6565 Kilgour Place Dublin, Ohio MC Batch Services convert or use other types of data Request for Scan/delete-only Requires no data to be sent A simple message to batchload@oclc.org. Request for Symbol flip Requires no data to be sent A simple message to batchload@oclc.org. MARC-formatted records (page 146) Non-MARC data (page 167) Page 145 of 319

146 MARC-formatted records Formatted records are formal, predefined, structured sets of codes and content designators that allow computers to read files and exchange records and data across platforms. Machine Readable Cataloging (MARC) formats are examples. Types of MARC data you can send include: MARC 21. The version of Machine Readable Cataloging that superseded USMARC in 1999 with the harmonization of U.S. and Canadian MARC formats. It is the current official MARC standard in the United States, Canada, Australia, and other countries. It is the format OCLC supports in WorldCat. Other non-u.s.-based MARC formats. OCLC can reformat the following types of MARC records to MARC 21: o UNIMARC: A version of Machine Readable Cataloging that is supported by IFLA (International Federation of Library Associations) and used by China, Japan, Europe, and other countries. o o o INTERMARC: A MARC format based on Library of Congress MARC (LCMARC) developed by the Bibliotheque Nationale in the 1970 s. INTERMARC is superseded by UNIMARC; however, many catalogs, especially in Europe, have INTERMARC records. IBERMARC: A MARC format based on USMARC developed in Spain. Although IBERMARC may be unified with UNIMARC, catalogs may contain IBERMARC records. Other non-marc21: INDOMARC and CATMARC are examples of other non-marc21 formats. Most are being unified with UNIMARC, but catalogs may contain such records. Page 146 of 319

147 Using FTP for sending records You can send your records to OCLC when you meet both of these conditions: You have submitted an order for a batchload project for MARC bibliographic records or for MARC (MFHD) local holdings records (LHRs) You have received a confirmation from Batch Services with your assigned project ID (a P number; example: P Caution! Read all detailed instructions before proceeding. Inaccurate data, file naming, or LABEL file content can delay record processing and project completion. If you are sending your records using an OCLC EDX account created for an OCLC institution symbol other than the OCLC symbol you used to order your batchload project, send an message to Batch Services first. To upload your records to the PSWeb: 1. Create DATA file for FTP Use this procedure to create as many DATA files as needed for your records (within the recommended daily limits). a b Review the requirements for creating DATA files for FTP. Copy your MARC records to one or more files. c Name the DATA file using the DATA file naming conventions. 2. Create LABEL for each FTP DATA file a Open a new document in a text editor such as NotePad (do not use Microsoft Word). b Type each of the five field labels on separate lines, with each label followed by two blank spaces and then the specified data. c Click File > Save to name and save the file using the file naming conventions. d In the Encoding list, select ANSI if not already selected. Other encoding types may cause file errors. 3. Transfer DATA and LABEL files with FTP Page 147 of 319

148 a Using an FTP client such as WSFTP_Pro or Blue Zone, enter: ftp edx.oclc.org b Enter your EDX account user name in the format: t[xxx]1 (Replace [xxx] with your OCLC institution symbol and enter a 1, the number one, not the letter ell ) Example: tocl1 c Enter your password. The first time you use your account, you must change the initial default password, which is the same as your user name Example: tocl1 i. In the password box, type a single string with your initial default password followed by your new password twice, separating each password with a slash: [initial default password]/[new password]/[new password] Example: tocl1/blue1234/blue1234 The new password must be eight characters (use A-Z, #, $, and must include at least one number (0-9). Example: blue1234 b ii. Click OK. The next time you log on, you may get a password error if you happened to save the initial change password command string. Enter your new password only once (example: blue1234) and save your connection session. d Change the default directory to: edx.ebsb.[xxx].ftp (replace [xxx] with your OCLC institution symbol) e Always include the single quotation marks. Verify that the transfer type is set to binary mode (bin). Page 148 of 319

149 f Send the DATA file first. Type put [file name]. Example: put DATA.D FILE1 (first of multiple files) Or put DATA.D LAST (last or only file for a one time project) g Send the corresponding LABEL file next. Type put [file name]. h Example: put LABEL.D FILE1 Or put LABEL.D LAST Repeat steps 6 and 7 to transfer more files as needed, following the recommended limits. i Click Quit. 4. Review the information about what happens to your files. For more information MARC-formatted records (page 146) Page 149 of 319

150 FTP requirements When submitting files using PSWeb, you need: FTP client Use a client such as WS_FTP_Professional or Blue Zone. Do not use Internet Explorer or Firefox. OCLC EDX account If you do not already have one, an EDX account is automatically created for you when you order. Plain text editor Use an editor such as NotePad to create LABEL file(s). Do not use Microsoft Word. Create DATA and LABEL files: o DATA files contain your records.always send the DATA file first, followed by its associated LABEL file. o LABEL files contain required information about the DATA files in a required format. Create a LABEL file for each DATA file. Please strictly follow guidelines and instructions to prevent problems with sending your data. For more information MARC-formatted records (page 146) Page 150 of 319

151 FTP file size and number recommendations When uploading files using FTP, OCLC recommends: Sending files of 100 megabytes (MB) or less Limiting uploads to 19 sets of DATA and LABEL files per day. This file size accommodates: o o Up to 90,000 MARC bibliographic records Up to 300,000 MARC holdings records (MFHD) for LHRUS projects only (see the Local Holdings Record Updating Service User Guide for more information If you are submitting a large number of files for your project, send only one or two sets of DATA/LABEL files the first day; any problems in your LABEL file data or in file naming conventions can be corrected before you send other files. MARC-formatted records (page 146) Page 151 of 319

152 OCLC file pickup for FTP Files successfully sent to OCLC for FTP are picked up by an internal process at approximately 2:00 a.m. U.S. Eastern Time each day. Shortly after OCLC pickup, you will get an notification that OCLC received your file. If you do not receive the , contact OCLC Batch Services at to investigate. For more information MARC-formatted records (page 146) Page 152 of 319

153 Using FTP for an Innovative Interface system to send records This section explain how to upload your records using FTP when you have an Innovative Interface local system. These instructions are a composite provided by Innovative users who have transferred their bibliographic records to their OCLC EDX account for batchload. OCLC is not affiliated with providers of any local systems, including Innovative Interfaces, and therefore cannot provide definitive information for Innovative local systems. These instructions may not apply to various versions of Innovative systems that work differently.read these instructions before proceeding, especially those for file naming and for creating LABEL files. Inaccurate data, file naming, or LABEL file content can delay record processing and project completion. If you have an Innovative Interface local system, you can send your records using FTP after you: Order a batchload project for bibliographic records and you receive a confirmation from Batch Services. Obtain an OCLC EDX account. When you order a project, the system checked and created an EDX account for you if you did not already have an account. Receive a confirmation message from Batch Services with your assigned project ID (starts with a "P" number). For example, P Caution! Read all detailed instructions before proceeding. Inaccurate data, file naming, or LABEL file content can delay record processing and project completion. If you are sending your records using an OCLC EDX account created for an OCLC institution symbol other than the OCLC symbol you used to order your batchload project, send an message to Batch Services first. To upload your records using FTP for Innovative Interfaces local system: 1. Create the files in Innovative Before starting this procedure, review the information in FTP file size and number recommendations (page 151). a In your Innovative system, select the following process: Output MARC records to another system using FTS. b Click the Create O icon. c Select the function: CREATE file of BIB records with OCLC label file. d Name the output file using the following format: Type DATA.D followed by the current date in the format yymmdd. Example: DATA.D If you submit multiple files, use the same name but add the extension.file followed by a Page 153 of 319

154 e g h unique number for each file. Example:DATA.D FILE1, DATA.D FILE2, DATA.D FILE3, and so on If you ordered a one time batch project For the last file you send for your project, replace the.file extension with the extension.last. The.LAST extension signals Batch Services that you have sent all of your records and that, for bibliographic projects, OCLC can complete your project and generate summary reporting. Example: DATA.D LAST If your project consists of only one file, add only the extension.last to the file name. Change Range to Review. f Locate the review file. In Originated system ID, enter your OCLC institution symbol. Enter the project ID assigned to your batch project ( P number). i Close the File Conversion Report box. 2. Send the DATA files to OCLC a In your Innovative system, select the DATA file. b Click the Put FTS S icon. c Enter the Host address edx.oclc.org. d Click Connect. e Enter your user name in this format: t[xxx]1. (Replace [xxx] with your OCLC institution symbol and enter a 1, the number one, not the letter ell. ) Example: tocl1 f Enter your password: The first time you use your account, you must change the existing password, which is the same as your user name. At the password prompt, enter your initial password and your new password twice, separating each password with a slash: [initial password]/[new password]/ [newpassword]. The new password must be eight characters (A-Z, #, $, and must include at least one number. Example:blue1234 Page 154 of 319

155 g Click OK. The screen that opens shows that you are connected to the OCLC server. h In the Remote filename box, enter 'edx.ebsb.[xxx].ftp'. (Replace [xxx] with your OCLC institution symbol in lowercase). Always include the single quotation marks around the filename. i Click Remote filename. j Select the Rename file upon transfer check box. k For Transfer type, select Binary. l Select the DATA file, and then click Put. m Change the Remote filename to the name you gave the file when you created it, making sure that you remove the.out extension from the displayed file name. Examples: DATA.D FILE1 DATA.D FILE2 (project with multiple files) n DATA.D LAST (last or only file in a one time project) Click OK. 3. Send the LABEL files to OCLC Send each LABEL file immediately after sending its related DATA file. Files successfully sent to OCLC are picked up by an internal process at approximately 2:00 a.m. U.S. Eastern Time each day. Shortly after OCLC pickup, you will receive an notification that OCLC received your file. If you do not receive the , contact OCLC Batch Services at batchload@oclc.org to investigate. a In your Innovative system, click to select the LABEL file corresponding to the DATA file you just sent. b Click the Put FTS E icon. c Click Put. d Change the Remote filename, making sure that you remove the.txt extension from the displayed file name. Examples: e o o Click OK. LABEL.D FILE1 LABEL.D LAST Page 155 of 319

156 4. Review the information about what happens to your files For more information MARC-formatted records (page 146) Page 156 of 319

157 Using PSWeb for sending records You can send your records to OCLC when you meet both of these conditions: Order a batchload project for MARC bibliographic records or for MARC (MFHD) local holdings records (LHRs) Receive a confirmation from Batch Services with your assigned project ID (a P number; example: P ) Caution! Read all detailed instructions before proceeding. Inaccurate data, file naming, or LABEL file content can delay record processing and project completion. If you are sending your records using an OCLC EDX account created for an OCLC institution symbol other than the OCLC symbol you used to order your batchload project, send an message to Batch Services first. To use PSWeb for sending records: 1. Create DATA file for PSWeb Use this procedure to create as many DATA files as needed for your records (within the recommended daily limits). a b Review the requirements for creating DATA files for PSWeb. Copy your MARC records to one or more files following the recommended limits for file size and number. c Name the DATA file using the DATA file naming conventions. 2. Create LABEL for each PSWeb DATA file a Open a new document in a text editor such as NotePad (do not use Microsoft Word). b Type each of the five field labels on separate lines, with each label followed by two blank spaces and then the specified data. c Click File > Save to name and save the file using the file naming conventions. d In the Encoding list, select ANSI if not already selected. Other encoding types may cause file errors. 3. Upload DATA and LABEL files with PSWeb Page 157 of 319

158 To upload DATA and LABEL files with PSWeb: a b c In your Web browser, go to Under Getting Started, click File uploads on the left-hand side. On the File Uploads page under Records and their Associated Reports, select OCLC Batch Services (Batchload orders with project number Pnnnnnn). d Enter your OCLC logon authorization and password and click Enter. e A PSWeb-only authorization and password was ed to you from orders@oclc.org, if you requested one when filling out the batchload order form. However, the same authorizations and passwords used for cataloging and/or resource sharing can also be used for logging in to PSWeb. On the File Uploads page, make sure that your institution symbol is listed. f Click the Browse button to locate the data and label files on your computer. There is space for three data and three label files per session, following the recommended limits. g After your data and label files are displayed, click Upload Files. Your files should appear in the Current Files list below the Upload Files button. If you do not see them listed, then the upload was not successful. Contact batchload@oclc.org. If you do see them listed, then your files are now in your EDX directory and will be picked up during the next scheduled sweep that usually occurs at 2:00 am EST. 4. Review the information about what happens to your files. MARC-formatted records (page 146) Page 158 of 319

159 PSWeb requirements When submitting files using PSWeb, you need: Web browser OCLC authorization and password for logging on. Use your existing cataloging, FirstSearch (with an administrative or statistics password), or resource sharing authorization and password. If you do not have an authorization and password, you can request a PSWeb-only authorization and supply your preferred password when you place your order. Plain text editor Use an editor such as NotePad to create LABEL file(s). Do not use Microsoft Word. Create DATA and LABEL files: o DATA files contain your records.always send the DATA file first, followed by its associated LABEL file. o LABEL files contain required information about the DATA files in a required format. Create a LABEL file for each DATA file. Please strictly follow guidelines and instructions to prevent problems with sending your data. MARC-formatted records (page 146) Page 159 of 319

160 PSWeb file recommendations When uploading to PSWeb (or other Web-based file transfer applications), OCLC recommends: Sending smaller files of 50 MB or less, which is approximately 40,000 to 45,000 records. Sending smaller files prevents possible timeout issues that are associated with uploading larger files. (These problems are rarely an issue for files of holdings records.) Limit the directories/folders that your files are stored in so that the system can easily find your data and label files. For example, this folder structure is preferred: o C:\OCLC\data\DATA.D FILE1 o C:\OCLC\data\LABEL.D FILE1.TXT rather than this structure: o o C:\OCLC\data\myfiles\january\DATA.D FILE1 C:\OCLC\data\myfiles\january\LABEL.D FILE1.TXT Limiting uploads to 10 sets of files per day. If you want to upload larger bibliographic record files (100 MB), transfer one DATA and one LABEL file at a time and wait for the transfer to complete successfully before uploading more files. If you are submitting a large number of files for your project, send only one or two sets of DATA/LABEL files the first day; any problems in your LABEL file data or in file naming conventions can be corrected before you send other files. If these guidelines for PSWeb upload do not work for you, please use FTP instead. MARC-formatted records (page 146) Page 160 of 319

161 DATA file LABEL guidelines Caution! Follow these guidelines strictly to prevent problems with submitting your data. Type all content in capital letters. Do not add any other data or notes or extra spacing. Entering the two spaces between each label and the data is critical. Preferably, use a fixed length font such as Courier New, so that you can clearly see and fix any spacing errors. DAT RBF DSN ORS FDI Type this label... Enter two blank spaces and then this data... Date the DATA file was compiled, in format yyyymmdd, followed by , no spaces Number of records in the DATA file, no comma DATA file name OCLC institution symbol Batch Services assigned project ID; that is, the "P" number that you receive in your Batch Services order confirmation . Example: P Caution: Do not use the WEB-xxxxxx number sent by the Online Services Center (OSC). That number confirms only that your order was transmitted from the OSC to Batch Services and is not used for Batchload. Example Here is an example of LABEL file content: DAT RBF DSN DATA.D ORS OCL FDI P Replace each with a blank space. Note that the font in this example is Courier New. MARC-formatted records (page 146) Page 161 of 319

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163 DATA file naming conventions Name the DATA file using these conventions: Use alphanumeric characters only (no hyphens, dashes, pound signs, or other non- alphanumeric characters). Use up to eight characters between periods (.). Use the following required naming convention to match the corresponding LABEL file name: o o Type DATA.D followed by the current date in the format yymmdd. Example: DATA.D If you submit multiple DATA files, use the same name but add the extension.file followed by a unique number for each file. Example: DATA.D FILE1 DATA.D FILE2, DATA.D FILE3, and so on If you ordered a one time batch project and need to send multiple files: o For the last file you send for your project, replace the.file extension with the extension.last. The.LAST extension signals Batch Services that you have sent all of your records and then OCLC can complete your project and generate summary reporting. Example: DATA.D LAST o If your project consists of only one file, add only the extension.last to the file name. Examples Here are some examples of complete file names: DATA.D FILE1 DATA.D FILE2 (project with multiple files) DATA.D LAST (last or only file in a one time project) MARC-formatted records (page 146) Page 163 of 319

164 What happens to your files? If you are a U.S. library ordering for your institution only, and you can provide MARC 21 records, and you do not need to receive OCLC-MARC record output, when OCLC receives your files: Your records start processing automatically with no prior review by OCLC staff. Within minutes after OCLC pickup, you receive an to let you know that processing has begun on your project, with information about how records will be processed, based on your order selections. OR If your project does not have the characteristics listed above and instead, has one of the characteristics listed in the table below: You receive an notification that your files were received. The files go into an evaluation queue for customized setup. An OCLC Batch Services database specialist reviews your project setup and records and may contact you for more information. Examples If your project is... Non-U.S. order Order for a group (multiple libraries) A database specialist... Reviews for varying cataloging practices Requests data from you to correlate local library identifiers in records with OCLC institution symbols of libraries in your group See more on providing library identifiers. Order for OCLC-MARC record output Contacts you about whether to retain local data from your records in the MARC records you receive. See more details. Order based on non- MARC patterned data Order based on a list of numeric search keys Evaluates the data for converting to MARC records and matching against WorldCat. Provides special processing the numeric keys are matched against WorldCat. MARC-formatted records (page 146) Page 164 of 319

165 Other non-u.s.-based MARC formatted data You send records in other non-u.s.-based MARC formats, such as UNIMARC, INTERMARC, and IBERMARK for Batch Services to convert to MARC 21 for processing. Page 165 of 319

166 Character encoding in MARC-formatted records Character encoding schemes are numeric computer codes (binary or hexadecimal) that represent multiscript characters across languages to facilitate consistent electronic data transmission and display. All MARC records that you send to OCLC for batchloading must consistently use: Only MARC-8 encoding in all records Or Only UTF-8 Unicode encoding in all records Leader position 9 (008/09, Character coding scheme) in records must correctly indicate whether the character encoding is MARC-8 or UTF-8 Unicode: Blank = MARC-8 Value a = UTF-8 Unicode) A mix of MARC-8 and UTF-8 Unicode or inclusion of other encoding schemes causes processing errors for your entire file and/or for individual records. MARC-8 UTF-8 Unicode MARC-formatted records (page 146) Page 166 of 319

167 Non-MARC data You can send other data types for batchload, including: Non-MARC patterned bibliographic data project (page 111) List of numeric search keys (page 112) Create files of patterned bibliographic data (page 168) non-marc data files (page 172) Guidelines for creating lists of numeric search keys (page 170) Mail non-marc data files on CD or DVD (page 173) Sending non-marc data (page 171) Page 167 of 319

168 Create files of patterned bibliographic data You can export data from your local system using a desktop application such as FILEMAKER; Microsoft Access, Excel, or Word; ClarisWorks; or Lotus into the type of file you selected when you ordered (that is, a spreadsheet, a delimited or labeled text file, or another file type that you specified). Examples The following two examples, one exported from an Excel spreadsheet and the other from FILEMAKER, show only a small part of the data exported. You can create a file like this one by using comma-delimited settings in the export tools of the spreadsheet software. FILEMAKER Page 168 of 319

169 You can create a file like the one illustrated above using FileMaker s export utilities. Non-MARC data (page 167) Page 169 of 319

170 Guidelines for creating lists of numeric search keys You can create lists of numeric search keys using the type of file you specified when you ordered (that is, a spreadsheet, a delimited or labeled text file, or another file type that you specified). Here are some guidelines: Enter only one type of numeric search key in a single file. If you want to send more than one type of number, create a separate file for each. You can send a list of LCCNs, ISBNs, or OCLC control numbers using the formats shown in the table: Numeric data Formatting Example LCCN Library of Congress Include hyphens ISBN International Standard Book Number Omit hyphens OCLC control number Include one of these prefixes: # (pound sign) * (asterisk) ocm/ocn #1299 * ocm /ocn Caution! The match rate for lists of LCCNs and ISBNs tends to be very low. If possible, please provide OCLC numbers for your numeric search key project. Enter numeric search keys in a single column, one search key per line. Combine smaller files for the same index into one. Limit: 80,000 search keys per file. Be sure to remove any duplicate entries, blank lines, invalid numbers, and/or spurious data from the files. Non-MARC data (page 167) Page 170 of 319

171 Sending non-marc data You can send your non-marc records to OCLC when you meet both of these conditions: Order a batchload project for non-marc data project for either patterned bibliographic data or numeric search keys Receive a confirmation from Batch Services with your assigned project ID (a P number; example: P ) Non-MARC data (page 167) Page 171 of 319

172 non-marc data files To non-marc data files: 1 Create an message. 2 In the Subject line of the include your: OCLC institution symbol Batchload project ID ( P number) Example: Subject: OCL, Batchload Project ID P Attach your non-marc patterned bibliographic data files or your numeric search key files to the e- mail. 4 Do not include data or search keys in the body of the . Do not send multiple messages; attach all files to one message. Send the with attachments to OCLC Batch Services at batchload@oclc.org. Non-MARC data (page 167) Page 172 of 319

173 Mail non-marc data files on CD or DVD To mail non-marc data files on CD or DVD: 1 Copy your non-marc bibliographic data files or your numeric search key files to a CD or DVD. 2 Label both the CD or DVD and its case with: Name of your library OCLC institution symbol Batchload project ID ( P number) Example: Project ID P Record count or number of search keys Contact person s name, phone number, and address 3 Mail the CD or DVD to OCLC Batch Services: OCLC 6565 Kilgour Place Dublin, OH USA Attention: Batch Services MC 139 Non-MARC data (page 167) Page 173 of 319

174 Confirmation s for batchload project orders After successfully submitting your batchload order, you will receive two messages: Type OCLC Batch Services message Online Service Center message Information contained in message Your unique batchload project ID (a P number). Example: P Your order data to check a link to file that contains submittal instructions. A link to file submittal instructions for the method you chose in your order. A Web-xxxxxx number. Information that confirms that your order was transmitted to Batch Services Notes Use this project ID when you submit your files and communicate with OCLC about your project. OCLC will also use this number for any communications or reports for the project. You can reply to this order confirmation if you have corrections to your order. The goes directly to database specialists in Batch Services. Do not use this "WEB" number for any communications about your batchload project. Use the project ID. Order issues and corrections If you have questions about your order or have changes to the order, reply directly to the message from Batch Services before you submit your data. Any issues must be discussed with a Batch Services database specialist before you submit your data. MARC-formatted records (page 146) Non-MARC data (page 167) Page 174 of 319

175 4 Preprocessing Batchload preprocessing helps to prepare records and resolve potential problems with your library s data that may prevent successful processing. If a batchload specialist needs to review your project, the specialist analyzes a sample of the data, run tests on your records, and then writes and runs preprocessing routines on the records. The routines transform data in ways that are needed for matching records, setting and canceling holdings, resolving records, merging data, and updating WorldCat records. Data in the records may be moved, normalized (that is, made consistent), or reformatted. Caution! Preprocessing is a "best efforts" attempt to prepare your data for processing. Batch Services cannot guarantee that these preprocessing routines (1) will lead to successful processing or (2) will not adversely affect the quality of coding in your records. This preprocessing section gives examples of errors and how records may be preprocessed in the attempt to fix them. You can use information in this section to evaluate your library s records for potential problems before you order a batchload project. The best case, of course, is for OCLC to receive records that are free of these problems, whenever possible. See Exception data (page 248) for more about records remaining that have been processed, usually multiple times using various routines, but are returned to you because they could not be matched or added in WorldCat.

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177 Critical errors and preprocessing routines The following table lists critical errors, which are caused by bad, missing, invalid, or unmatched elements in records, resulting in records that are returned to you as exception data. The table also lists preprocessing routines that are used to attempt to correct or mitigate the errors. Critical Error Description of error Preprocessing routine action Bad record leader and record directory The leader or directory may have incorrect data in it, may be too long or short, or may contain illegal characters. Re-blocks and reformats the records. 001 field missing Batchload software uses the unique local system control number in field 001 for deduplication and postprocessing reports. Supplies the 001 field and the local system control number from another field. Multiple 001 fields Batchload software uses the unique local system control number in field 001 to de-duplicate your files. Removes all but one field missing The 008 field is the fixed field of the MARC record. 008 incorrect length Often, if the format of the record is incorrect, the fixed field is too long or too short. Codes the 008 based on the content of variable fields in the record. The quality of the coding varies. Codes the 008 based on the content of variable fields in the record. The quality of the coding varies. Date1 missing from 008 field or invalid Date 1 is required and must be valid. Invalid data in Date1 includes, for example, dashes, question marks, spacing underscores, alpha characters, blanks for unknown dates. Uses dates in the record (for example, 260 $c) or supplies a dummy date. The outcome varies. 245 field missing No title May provide a dummy title, but most often does not attempt to correct missing titles. Invalid Rec Stat Invalid Type (Rec Type) Batch processing uses Record Status to identify records for adding or canceling holdings. Type and Bib Level combined determine the format of the record, which must be valid. Forces Rec Stat to a value of d for cancel holdings projects. May try to correct the coding based on the content in variable fields. The quality of the coding varies. Page 177 of 319

178 Critical Error Description of error Preprocessing routine action Invalid Bib Level Same as for Invalid Type. Same as for Invalid Type. Invalid escape sequences Contains 066 field but no 880 fields Contains 880 fields but no 066 field These errors are usually caused by character encoding problems. For example, individual fields may contain Microsoft encoding instead of UTF-8 Unicode or MARC-8. Field 066 identifies non-latin scripts. 880 fields contain the non-latin script data. Special processing is required for non-latin scripts. Same as for the 066 error directly above. Can only rarely correct these errors. Can remove the 066 field but cannot supply missing text in 880 fields. Same as for the 006 error directly above. Preprocessing (page 175) Page 178 of 319

179 001 field When you order a batchload project, you enter a field in your records that contains the library s local system control number. If needed, as part of your project setup, OCLC can move the number to field 001, so that the number can be used to: Accurately de-duplicate your files Produce Cross Reference (XREF) reports that list each OCLC control number along with the correct corresponding local system control number. You can use this information to help you index the OCLC numbers in your local system. Indexing the OCLC control number links your library s records to WorldCat. Caution! If your records lack a 001 field, you must use the title, author, and so on, to find the OCLC control number that matches your record. The MARC 21 standard, field 001 (Control number) contains the control number assigned by the organization that creates, uses, or distributes the record. However, sometimes libraries do not use field 001 for their own control number. Here are some examples: A library retains whatever data is in the 001 from source records (for example, LCCNs, OCLC control numbers, or vendor numbers) Field 001 may be missing from a library s records because: o The library has deleted the field o o The field is not used in the local system The field is excluded from records exported from the local system. During preprocessing, OCLC can: Create an 001 field if it is missing Supply the unique local system control number (sometimes called the bibliographic record ID) from the field you identified in your order form (for example, from a 9xx local field). Example Batch Services receives a file in which 19,877 records were missing field 001. Batch preprocessing supplies the 001 field and inserts the local system control number from field 904. The database specialist assigned to the project tests the file and finds other records in the file that contain the same number in the 001 for different titles. The numbers are not unique. The following table shows four records that have the same number in field 001, but the titles show that they are not duplicate records: 001 field Title (245 field) bwi bwi TaeBo live!=badvanced Workout_h[videorecording] TaeBo live!=bbasic Workout_h[videorecording] Page 179 of 319

180 001 field Title (245 field) bwi bwi TaeBo live!=binstructional_h[videorecording] TaeBo live!=b8-minute Workout_h[videorecording] To correct the misleading duplicate numbers, the database specialist runs a preprocessing routine that replaces the data in the 001 of each record with the unique local system control number from another field. When batch processing starts, the software treats these records correctly as non-duplicates and processes them. Preprocessing (page 175) Page 180 of 319

181 Record status The value d in record status (Rec Stat) in a record (Leader Byte 05 (008/05)) indicates that institution-level holdings should be canceled on that record. If your local system can output a file with record status d for those records on which you want to cancel holdings, you can send a single MARC file, and batch processing can use the record status value to set holdings for matching records with any value except d and cancel holdings on matching records with value d. If your local system cannot output records with a Record Status d, you can order separate projects for two separate sets of records. Here are two options: One project for canceling holdings on all records sent and a second project for setting holdings on all records sent. Two separate numeric search key projects, one listing search keys for canceling holdings and a separate list of search keys for setting holdings. Preprocessing (page 175) Page 181 of 319

182 Other common errors The following table describes other errors, how they can be prevented, and whether they can be addressed by preprocessing routines. Type of common error Description of error Prevention Preprocessing routine available? Tag order Fields 001, 003, 005, and 035 are These fields should Yes located at the end of records. be in tag order. UTF-8 Unicode character encoding Records are in UTF-8 Unicode character encoding but do not contain the proper designation in UTF-8 Unicode character encoding must be designated No Leader byte 09 (008/09). by a in Leader 09. If Leader 09 is blank, encoding indicates MARC-8. Country codes (008/15-17) Three-character country codes are used in Leader bytes 15 to Leader bytes 15 to 17 should use three- Yes 17 (008/15-17) instead of the character codes. two-character code. Codes should all be in Country codes include lowercase. uppercase alphabetical characters. Language codes (008/35-37) Language codes in Leader bytes 35 to 37 (008/35-37) have uppercase All alphabetical characters should be Yes alphabetical characters. lowercase. When left blank, records remain unresolved Duplicate records (does not apply to group projects) Preprocessing found duplicate records in files, identified by the local system control number in the 001 Database specialists must manually examine the No field. No other checks are made to duplicates. verify that the records are true If found to be true duplicates. duplicate records, only the last version of the record will be processed. 040 $b OCLC encourages its members to include the language of cataloging Include a language code in 040 $b if any Most often, no (Preprocessing Page 182 of 319

183 Type of common error Description of error Prevention Preprocessing routine available? (040 $b) in records. If not included, the language of cataloging is English by default. Therefore, the lack of a code in a record with cataloging data in a non-english language misrepresents the cataloging. 040 $e Cataloging description MARC code was noted in the 040 $e. 035 The form of OCLC numbers has changed over many years. Records sent from local systems may contain various forms of OCLC control numbers, which may cause errors in matching, deduplicating, and linking between OCLC systems and local systems. Records may contain no OCLC control numbers. cataloging data is in a language other than English. The rules for descriptive cataloging used to create the records were other than AACR2, AACR1, ALA 1908, ALA 1941, or ALA Use only for rare or archival materials. When you ordered your project, you entered the location and format of the OCLC control numbers in your records. If the format is inconsistent, you can work with the database specialist to normalize the OCLC numbers (that is, make them consistent). cannot supply a language code in 040 $b unless it applies to all records.) Yes 6xx Subject headings are coded as local with 2nd indicator of 4 or with 2nd indicator of 7, and the source code is noted in $2. 6xx 2nd indicator 4 Source not specified the formulation of the subject added entry conforms to a controlled list, but the source cannot be Page 183 of 319

184 Type of common error Description of error Prevention Preprocessing routine available? specified by one of the thesaurus or subject heading systems covered by the other 2nd indicator values or by a code for a specific subject heading list in $2. 6xx 2nd indicator 7 plus $2 Source is specified in $2 Subject headings or terms are based on other subject authorities (i.e., on authorities other than those listed here). Identify the source in $2. Preprocessing (page 175) Page 184 of 319

185 035 field and OCLC control numbers Batchload uses OCLC control numbers in your records in the following ways: Match WorldCat records. Link local records from local systems to WorldCat records. De-duplicate the records you submit for processing during batchload preprocessing Because the format of OCLC control numbers has changed over many years and many local systems remove it or put it in a field other than the 035, OCLC batch services uses preprocessing routines to map existing OCLC control numbers to field 035 $a, prefixed with (OCoLC). The following table describes the changes in OCLC control numbers formatting and location over time. Records can contain any of these formats and locations for the OCLC number. Description Format Examples In records created 12 November 2006 and before, field 001 contains the OCLC control number In records created after 12 November 2006, field 035 contains the OCLC control number OCLC numbers 1 through : Has an ocm prefix Composed of 8 digits, right justified, with leading zeros OCLC numbers 100,000,000 and higher: ocm ocn Sometime after November 2006, the OCLC control number in field 035 a is prefixed by (OCoLC). Has an ocn prefix. Composed of 9 digits. OCLC number is a variable-length numeric string with no leading zeros. (OCoLC) Note Field 019 contains the OCLC control number of a deleted or merged record replaced by the current one. Preprocessing (page 175) Page 185 of 319

186 OCLC control numbers and batchload records If your records have the OCLC control number in field 035 $a with the (OCoLC) prefix, it will be used for matching. If your records contain no OCLC numbers at all, Batch Services uses extended matching and/or other unique search keys to match the records with WorldCat records. If your records contain different location/format of OCLC control numbers, Batch Services moves them to 035 $a for matching. Note If you ordered your own records returned with OCLC control numbers merged into the records (in the question, What output do you want to receive when your project is completed?), the question also lets you choose the field/subfield where you want to locate the merged number and its format. After you select Cross Reference Report and your records, a new section labeled OCLC control number and location drops down, and you can select one of these locations for the OCLC number: 001, 035 $a, or Other (you specify a field) You can also specify one of these formats: (OCoLC)1234, (OCoLC)ocm , ocm , , or 1234 Control Numbers Preprocessing (page 175) Page 186 of 319

187 5 Processing The descriptions of processing in this section are default settings for batchload projects. Some projects, specifically those projects that database specialists review manually before processing, may have other settings. An OCLC database specialist determines if these other settings are required based on an evaluation of the project and discussions with the library. Matching records (page 188).

188 Matching records Caution! This section is an overview; it does not include all of the processing details, anomalies, and exceptions that may occur during record matching. Any machine-matching algorithm, regardless of how sophisticated it is, may not always match records in the same way library staff do. Insignificant differences in records may cause machine algorithms to incorrectly match or not match records. When you send bibliographic records to OCLC for processing they are called incoming records. Incoming records are matched against WorldCat to: Add or delete holdings symbols Enrich WorldCat Add, replace, or delete institution records There are two basic steps for matching bibliographic records: Looking for candidate record matches with WorldCat records. Once a single match is found, the system does not search for any other records. If data is present in one record but not the other, there is usually no effect on the matching; records are counted neither as matched nor unmatched. There are some exceptions, however, in which the absence or presence of data causes records not to match. Determining whether or not the records match, that is, represent the same manifestation of an item, by comparing data in the records. If multiple matches are found, various additional criteria are used to determine which record is the best match. OCLC uses several kinds of searches to identify a matching candidate. The options for matching vary from one project to another depending on the fullness and accuracy of the bibliographic records and the purpose for which the records are being processed. OCLC database specialists may analyze the contents of the file to determine the most efficient search strategy. Several iterations of searching and matching may be attempted to find matching records. Here are the three phases of matching: OCLC number matching (page 190) Unique key matching (page 191) Extended matching (page 193) Matching records (page 188) Processing (page 187) Page 188 of 319

189 Identifying the matching WorldCat record During record matching, the system attempts to find a single match to a WorldCat record. Generally, once a match is found, no additional searches are performed. If multiple matches remain after all matching is completed, additional software selects the best record from the set of matching records. If no match is found, it may be considered for addition to WorldCat as a new record. Here is the process for determining the best match when there is more than one possible matching records: 1. The software tries to identify the most likely matching candidates. There is no limit to the number of potential matches.. 2. Records with more data to compare are preferred over those with less data. Records are evaluated by the information in these items: The source of record The encoding level The presence or absence of authentication codes in field 042 The number of variable fields The number of holdings 3. Records are ranked at nine levels. Full Library of Congress records are at the highest level and minimal-level vendor records are at the lowest level. 4. The WorldCat record with the highest rank is selected as the matching record. Matching records (page 188) Processing (page 187) Page 189 of 319

190 OCLC number matching If the record contains a validly constructed OCLC number, it is used to find a match if the Database Specialist has selected it in the project definition. Matching records (page 188) Processing (page 187) Page 190 of 319

191 Unique key matching In this type of matching, numbers that identify a manifestation or a record can be used to find matching candidate records. If more than one key is in the record and the Database Specialist has specified it be used, then it is OR d with other keys to retrieve the most comprehensive set of candidate records. OCLC number. Properly formatted OCLC control numbers are mapped to field 035 $a and prefixed with (OCoLC) for use by batchload software. When you order a batchload project that uses MARC records, you are asked to select which, if any, of the following qualifiers to apply to OCLC number matching: Derived title (fields 245, 246, 247) (default) Date (008/07-10) Material type (can be derived from several places in the record) Language of cataloging (field 040 $b) Qualifiers and unique key matching When a single record matches based on one of these unique keys and the qualifiers match, matching is complete. If no matches are found or if there are multiple matches and the project is profiled to go on, the record is sent to extended matching, which looks at the author, publisher, place of publication, and so on. Other unique keys. The following is a list of unique keys used for matching. The OCLC number qualifiers are applied. 010 $a (LCCN) 015 $a $z $2 (National Bibliography number) 016 $a (National Bibliographic Agency Control number) 020 $a (ISBN) 022 $a (ISSN) 024 $a (Other standard number) 027 $a; $z and 088 $a; $z (Report number) 028 $a and 262 $c (Publisher number) 029 $a (Other system control number) 030 (CODEN) 856 $u (Uniform resource identifier) Comparison elements for unique key matching The following is a list of unique keys used for matching. If any of them match a WorldCat record, the incoming record is considered a match. Page 191 of 319

192 Unique key MARC field/subfield OCLC 035 $a LCCN 010 $a ISBN 020 $a 020 $z (if no 020 $a) ISSN 022 $a CODEN 030 $a URI 856 $u (if indicator 1 = 4) Publisher number (scores and sound recordings only) 028 $a 262 $c Other system number 024 $a Report number 027 $a 027 $z 088 $a 088 $z National bibliographic agency control number 016 $a National bibliographic agency control number 015 $a 015 $z Note: Note In a few instances, the Other system control number (field 029, $a) is also used as a unique key. Candidate records The candidate records may undergo extended matching. If there are too many candidates, no attempt is made to match the record. Matching records (page 188) Processing (page 187) Selecting OCLC number qualifiers Page 192 of 319

193 Extended matching The system uses extended matching based on additional data in the body of the record (author, title, publisher, and so on) when OCLC number matching and unique key matching do not result in a match. For this type of matching, the database specialist can request extended matching to compare other bibliographic data beyond unique keys. In extended matching, up to five searches are executed using various combinations of terms. Queries combine terms from the following MARC tags in various ways. In extended matching, several parts of the bibliographic records are compared in an attempt to find the best matches and to eliminate records for similar manifestations of an item. These comparison elements resemble those that library staff use to distinguish records from each other. For example, if a cataloger sees that two records have different publishers, the cataloger determines they are not a match because they do not represent the same manifestation of the item. In the same way, the matching software also rejects candidate records that have different publishers. Comparing candidate records Once candidates are identified, the records are compared in WorldCat. While there are some specialized rules for various kinds of materials (such as maps and sound recordings), most of the comparison elements are treated the same for all types of material. In addition, database specialists can also apply qualifiers. Normalizations and comparisons Each comparison element is normalized and compared in a variety of ways, tailored to the specific comparison element. Normalization (that is, treating two similar elements as the same) usually includes changing the text to all uppercase or lowercase, eliminating most punctuation, and eliminating some common words. such as a, an, and the). Each comparison element has its own rules for normalization and comparison. Because the comparison rules for some elements can be complex, several different comparisons are attempted. The following general descriptions of comparison points include only the most general high-level rules: Comparison element MARC fields/subfields Notes Author 100 $a 110 $a and $ 111 $a 130 $a and $p 700 $a 710 $a and $b Authors are compared under only a few specific conditions, such as when two records have a generic title such as Journal, in order to distinguish one record from another. The author is also compared when the record has very little other data for matching. 711 $a 720 $a 730 $a and $p Page 193 of 319

194 Comparison element MARC fields/subfields Notes Cartographic scale 255 $a 507 $a Compared only for maps. Only the numeric data is compared. Date 008/07-10 Edition 250 $a Extent of item 300 $a Not compared for serials. Single-part items and multipart items do not match each other. The largest number of, for example, pages or volumes, is compared. LCCN 010 $a for serials 010 $z If both the incoming record and WorldCat record are Library of Congress (LC) records, the numbers must match exactly, including both the prefix and the numeric portion. Material type Subset of terms from the format/document type index (search label mt=) used for WorldCat searching Music parts 300 $a and $e Compared only for scores. Compares only the number of parts. If one record has parts and the other does not, the records are considered to be unmatched. Music publisher number 028 $a Compared only for scores and sound recordings. Place of publication 260 $a 264 $ a 008/15-17 Publisher 533 $c 260 $b 261 $a or $b or $e 262 $b 264 $b Size 300 $c 305 $c If the software does not find a match on the textual data, the country of publication code in the fixed field (008/15-17) is compared. Two records published in the same country are considered a match. Single character typographical differences are considered a match. All of the publishers are compared against each other Some words and phrases, such as "Press" or Company may be ignored for matching. Not compared for serials. Only the numeric portion is compared. Title 245 $a, $b, $n, $p, $f, $k All of the titles are compared against each other. Page 194 of 319

195 Comparison element MARC fields/subfields Notes Type of score designation 222 $a 246 $a 300 $a 250 $a 254 $a 130 $s 240 $s 6XX $x and $v Single character typographical differences are considered a match. Some words and phrases, such as "a novel," may be ignored for matching. When both records have generic titles such as Journal, the author data is also compared. Determines the kind of score (for example, vocal score, miniature score). If one record has a specialized kind of designation, the other record must also have the same designation. If only score is found in both records, they are considered a match. Matching records (page 188) Processing (page 187) Page 195 of 319

196 Qualifiers Even though a single WorldCat record is retrieved by the OCLC number in your record, that record may be an incorrect match. Qualifiers are optional, specialized comparison elements that can be used to evaluate candidate records retrieved by a search. The options are designed to discriminate between records and eliminate unsuitable candidates. Qualifiers can be used to cross-check other data in the record before declaring a match based solely on the OCLC number. When qualifiers are used in OCLC number matching: Your holdings are set or canceled when the qualifiers match and confirm the OCLC number match. The OCLC number match is rejected if any one of the selected qualifiers does not match and, instead, batchload matching software attempts to match the record using other unique keys, if available, and/or extended matching algorithms. If any of the selected qualifiers do not match, the candidate record is considered unmatched. When you order your batchload project, you can select the option to use qualifiers or, when a Database Specialist is reviewing your project, the specialist may identify useful and effective qualifier options that should be used. Whether or not qualifiers are used depends on the: Kind of data Completeness of the data Accuracy of the data in the incoming records Purpose for processing the file. Matching phases of processing Qualifiers may be selected or deselected independently and separately for any matching phase of processing, including: OCLC number matching (page 190) Unique key matching (page 191) Extended matching (page 193) The qualifiers that are available are: Language of cataloging. Matches are determined by matching codes in 040 $b. If no code is present, the record defaults to eng (English). Date of publication. Attempts many comparisons using dates from the fixed field (008/07-10 and 008/11-14) and from fields 260 $c, 264 $c, 533 $d, and 362 $a. Derived title key. The matching software derives title keys from fields 245, 246, and 247 and compares them to each other. If any of them match, the derived title key is considered a match. If they mismatch, more extensive title comparisons are performed. Page 196 of 319

197 Material Type. Terms are generated as for the material type (mt=) index. Only terms used to describe the physical manifestation of an item (for example, VHS videotape, microfiche, Braille) are used for comparing the records. General terms (such as juvenile, government publication) are not used. If any of the designated terms match, material type is a match. Matching records (page 188) Processing (page 187) Page 197 of 319

198 Specify qualifier information Batchload processing typically qualifies the OCLC control number search by at least one of the following: derived title, language of cataloging, material type and/or date to ensure accurate matching. If you do not want to use OCLC number matching at all, send Batch Services an at: To specify qualifier information: Select one or more items for OCLC number qualifiers: Derived title (245, 246, 247) (Default option). Good balance for number matching Date (008/07-10) Material type (Leader/06) Based on OCLC-derived record elements. Language of cataloging (040 $b) Use all qualifiers Use if your library knows that the OCLC numbers in your library records are unreliable. Do not use any qualifiers (unqualified matching) Select this option for either of these situations: o Your library is highly confident that OCLC numbers in your record are correct. o The project data is a simple list of numeric search keys. Next step Select a one-time or ongoing batchload project (page 113). Matching records (page 188) Processing (page 187) Page 198 of 319

199 Examples of qualifiers The following are examples of how matches may be corrected or impeded by applying qualifiers: Situation You exported a WorldCat record for a 1st edition of a work published in After downloading the record to your local system, you changed the edition statement in the record to 2nd edition and the year to 2005 to match your item, but you did not remove the OCLC control number from the downloaded record. You want to set your holding on the WorldCat record for a 2nd edition published in You created a record for the electronic version of a work from the WorldCat record for the print version but did not change the OCLC number in the downloaded print record. You want to match to the WorldCat record for the electronic item. The title in a WorldCat record changed between the time you exported the record and the time it was sent for batchload (for example, a typographical error was corrected). You exported a CIP (Cataloging in Progress) record from WorldCat but never obtained the upgraded record after the item was published. How the qualifier affects the match Date qualifier could prevent an incorrect match on the OCLC number. Material type qualifier could prevent an incorrect match Derived title qualifier could cause an accurate match to fail Date qualifier or Derived title qualifier could cause an accurate match to fail. Matching records (page 188) Processing (page 187) Page 199 of 319

200 Adding unmatched records When you order a batchload project and your records are MARC, you can select the option to add your unmatched records to WorldCat as original cataloging. If you request that your unmatched records be added, they must meet various standards and criteria. The records must: Meet the national standards for cataloging, including those for descriptive cataloging and forms of headings. Meet the OCLC K-level standards for completeness, as described in Bibliographic Formats and Standards. Have titles that can be used for matching. If field 245 is missing or lacks both $a and $k, the record cannot be added to WorldCat and it will be placed in the unresolved file. Have batchload validation errors that are at an acceptable severity level (determined by the system) or that can be fixed for processing using preprocessing routines. Be from vendors who have either given your library or OCLC permission to redistribute the records. If the vendor has not given redistribution permission, these records are considered to be restricted-use records and cannot be added to WorldCat. Deselected, unresolved, and duplicate records (page 250). Matching records (page 188) Processing (page 187) Sparse records (page 246) Page 200 of 319

201 Matching institution records Institution records are matched in two phases: 1. Phase one find the WorldCat master record using record matching. 2. Phase two match the institution record to existing institution records. Control numbers in the incoming institution record are compared to control numbers in institution records already in WorldCat using the following keys: o o o OCLC control number assigned to the institution record in WorldCat Local system number in the incoming record Research Library Group (RLG) control number for institution records (if present) Matching records (page 188) Processing (page 187) Page 201 of 319

202 Rules for replacing records During record processing, the system will only replace records if they pass these record checks: Sparse records: For this rule, the system checks to make sure that the records are not sparse. Cataloging source rule: For this rule, the system checks to make sure that the OCLC organizational symbol in the library record matches the symbol in the WorldCat record. This symbol is stored in field 040 (Cataloging Source) in subfield $c (Transcribing Agency) and it identifies the organization that created the record in WorldCat. Modification rules: For this rule, the system checks to make sure that the symbols are all authorized modifying agencies listed in the field 040 (Cataloging Source) subfield $d (Modifying Agency). This rule protects the record from being modified by unauthorized OCLC members. The symbol in 040 $d matches the symbol in 040 $c. For this rule, the system checks that the symbol in 040 $d matches the symbol in 040 $c, because the assumption is that the modifying agency should also be the library that first created the record. The symbol in 040 $d is an OCLC quality control processing symbol (OCL, OCLCA, OCLCG, OCLNG and OCLCQ). For this rule, the system checks that the symbol in 040 $d is an OCLC-quality control processing symbol. This rule assumes that the record creator s information takes precedence over quality assurance corrections. The symbols in 040 $d are those of vendors for whom 938 fields are being added. This rule assumes that the record creator s information takes precedence over vendor-added information. Authorized OCLC modifying agencies ACTRA BTCTA DKAGE I5B RECBX ALBRS BWK DON LEILA SBACH AUXAM BWX DVDSN LNDMK TRCLS BAKER C3L ERASA NEIDC TZT BBCAA CASSC ERASP OHX WEINB BDX CDX EVIEW PL# YDXCP BOLIN CNPIT GGVRL PLAYA BLICP DG1 H7K QUICK Processing (page 187) Page 202 of 319

203 One-to-one WorldCat record replacement Under special circumstances, OCLC can replace a WorldCat record that your library contributed with a new record from your library, if the record has not been enhanced by other libraries. This type of processing may be used for bibliographic records that represent unique items held only by a single institution, such as archives and special collections. If you want to request one-to-one replace in the batchload order form, in the Do you have more information to add about your project? text box, specify your request.after you place the order and you receive your project ID ( P number, for example P ), a database specialist will contact you about the one-to-one record replacement request. Regardless of the value in 040 $c, when you send a record, the added record 040 $c field is set to the OCLC institution symbol of the contributing library. (Originally, the value might have been the MARC institution code of the contributing library, or the OCLC symbol/marc code of the institution that originally transcribed the record into machine-readable form.) Processing (page 187) Page 203 of 319

204 Merging Merging is one of a suite of software applications used to coordinate holdings and maintain records in the WorldCat database. This section explains merging of incoming files of records from local library systems for batchload. Batch processing automatically merges some data in records if the data enhances the records (e.g., fields 029, 040, 938, etc). This information may be merged into matching WorldCat records that lack it, such as: LC call numbers and subject headings Dewey call numbers Content notes Summaries Non-English subject headings Other data may be merged at the discretion of the database specialist assigned to your project. For matched records, an algorithm can be used to determine whether the library s record or the existing WorldCat record is retained as the master record. An algorithm and processing specifications determine which fields of the records are merged to create the final master record. Merging in the batchload process Merging is used in conjunction with other applications and systems, all of which affect record output, master records, and archive records. This diagram shows merging as part of the batchload process: Page 204 of 319

205 Processing (page 187) Page 205 of 319

206 Merging process Merging takes place after matching has identified one or more WorldCat records that match the incoming record. 1. Resolution software determines which of the records (the incoming record or one of the matching WorldCat records) is the most complete and designates it the Retain record. In batchload, the library s record is usually designated the Replace record and the best WorldCat record is designated the Retain record. Other matching WorldCat records are ignored. 2. The selected mergeable fields in the Replace record are copied into the Retain record. 3. Merge software performs a field-by-field merge, with the fields chosen according to the merging rules. 4. After merging, the Retain record is put back into WorldCat as the Master record. Merging (page 204) Processing (page 187) Page 206 of 319