Page History

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Other Members: Columbia: Evelyn Ocken, Gary Bertchume

Wiki Markup*Methodology --* The Phase I Report is a summary of batch processing workflows and processes in place to support the Technical Services units at Cornell and Columbia University Libraries. The report was built on the foundation of two supporting and accompanying documents compiled to facilitate comparison. The +Batch Inventory+  \[link\] spreadsheet serves as a single view repository of the multiple batch jobs in place at both institutions. The +Batch Processing Outline+ \[link\] serves as the structural basis for this summary and follows the five Phase 1 points of the Working Group Inventory spreadsheet serves as a single view repository of the multiple batch jobs in place at both institutions. The Batch Processing Outline serves as the structural basis for this summary and follows the five Phase 1 points of the Working Group Charge.

The compiled batch routines extend in places to service needs with Technical Services aspects yet have more of an Access emphasis or function. Likewise, examples of report generation from library systems are also mentioned as data retrieval and data extraction/manipulation are closely related. However, the focus of this report will center on processes associated with traditional Technical Services functions, namely Acquisitions and Cataloging.

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At the broadest organizational level, Columbia University Libraries branches into three distinct service groups and one administrative group, headed by Associate University Librarians or Vice Presidents reporting to the University Librarian. The Library at Cornell is divided into six organization units, headed by Associate University Librarians under the University Librarian. These structures are detailed in the Batch Processing outline Outline.

Notable at Columbia is that the batch processing personnel in the LITO are in the Digital Programs and Technology Services section. Monographs Processing Services and Monographs Acquisitions are the central technical services operations of the libraries and the beneficiary client of many batch processes.  MPS and MAS are in the Bibliographic Services and Collection Development section.  Batch processing and technical services therefore operate in different divisions. The East Asian technical services unit reports to the Director of the C.V. Starr Library, reporting to the AUL for Collections and Services, yet another division. Additional batch processing and reporting needs may arise from the technical services units of Barnard College and the Health Sciences Libraries that share the same catalog and fall outside the libraries' organizational structure. The time resources of Columbia's batch processing staff in LITO are highly utilized for multiple reporting and project development efforts across all four divisions of the Libraries.

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Compile and inventory of all policies, practices, and workflows involving automated record loading, export and maintenance activity at both institutions. – including which unit or department is responsible for which activities.

Wiki MarkupAn extensive listing of all batch jobs at Columbia and Cornell exists in the Batch Inventory spreadsheet \[link\] including links to detailed process descriptions.  One of the fundamental differences in the use of MARC records for approval receipts is that Columbia creates Purchase orders and line items as part of the load whereas Cornell loads only Bib and Holdings records. Reports of each load arrive as emails to acquisitions staff. Duplicates that are detected via ISBN matching are manually resolved by an MPS supervisor and records are merged.  Frequently this requires the deletion and recreation of line items in order to delete the duplicate record. Columbia uses Voyager operators named with the Vendor Code to display in the history as the creators of the Bibliographic and Holdings records. Approval items load with the default "sho" locations. Shelf ready approvals load with locations and items, a report of item barcodes is sent to acquisitions staff who scan them as soon as possible to ensure the OPAC reads "In transit to library" rather than "Not checked Batch Inventory spreadsheet including links to detailed process descriptions.  One of the fundamental differences in the use of MARC records for approval receipts is that Columbia creates Purchase orders and line items as part of the load whereas Cornell loads only Bib and Holdings records. Reports of each load arrive as emails to acquisitions staff. Duplicates that are detected via ISBN matching are manually resolved by an MPS supervisor and records are merged.  Frequently this requires the deletion and recreation of line items in order to delete the duplicate record. Columbia uses Voyager operators named with the Vendor Code to display in the history as the creators of the Bibliographic and Holdings records. Approval items load with the default "sho" locations. Shelf ready approvals load with locations and items, a report of item barcodes is sent to acquisitions staff who scan them as soon as possible to ensure the OPAC reads "In transit to library" rather than "Not checked out".

The approval records for Columbia's major vendors (YBP, Casalini, Aux Amateurs and Harrassowitz) are loaded via a scripted cron job, and the records can appear in the catalog before the materials arrive in acquisitions. LTS staff at Cornell is able wait until materials are received to load the records.

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Identify dependencies and limitations inherent in working with other functional areas at Columbia and Cornell, both within and beyond technical services and library systems.

There are multiple interdependencies inter-dependencies at both institutions listed in bullet points in the Outline. At Columbia, units from all four administrative units depend on the LITO staff either for batch processing, financial and voyager reporting or system development. As a result, there are competing priorities for the time and expertise of LITO personnel. LITO in turn depends on staff in CERM and technical services (including East Asian) to identify any errors in batch processing that are not detected by the load routines. Selectors depend on technical services and LITO to implement desired MARC record services, and technical services and LITO depend on vendors to maintain reliable service performance. HSL depends on timely loading of eresource records to avoid ordering duplicate content. Monographs Recon Projects, the ReCAP coordinator, Collection Development and Access Services likewise rely on LITO support. Limitations mostly consist of EOFY demands and vendor's ability to meet requirements for MARC services.

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Detailed statistical information is available both in the Batch Processing Outline and the Batch Inventory.

Recommendations regarding a work plan and critical issues to explore in Phase 2 of the group's assignment

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