USMAI Specifications for the Ongoing OCLC Loader

1. General Introduction to Processing

   This is a unified specification for the ongoing load of bibliographic records from all USMAI campuses. This process assumes that USMAI staff search the USMAI database first for a matching bibliographic record and that he/she finds:
   

   1. no record
   2. only a provisional record
   3. a deficient bibliographic record requiring overlay with a current OCLC master record.

   It is also assumed
   

   • the daily ongoing loader processes OCLC export transactions in real time
   • any institution producing or updating on OCLC then exports the record to achieve load to the Aleph server
   • this process also applies to bibliographic records imported for acquisition purposes
   • ITD will not look for FTP files from OCLC of institutional records to load daily produces, updates, replaces, or cancels of holdings
   • records import first to a staging database (MAI02) from which they process into the live bibliographic files, and that manual reprocessing from the staging database remains available for at least one year from original import date.
Top of Page
2. Bibliographic Record Processing
   
   1. Record matching Rules
      1. OCLC numbers in tag 001 of incoming records are moved to tag 035 with blank indicators.
      2. Then incoming tag 035 is matched to tag 035 with blank indicators on existing record
      3. If there is no match to the OCLC number, the record is new and loaded as a unique record.
      4. If there is a match to the OCLC number, proceed to next step for Overlay Rules.

      NOTE:

      • For an existing brief (provisional) bibliographic record from acquisitions or circulation to match to an incoming OCLC bibliographic record, USMAI staff must manually add a properly formatted OCLC number to the provisional record in tag 035 with blank indicators prior to import of the OCLC record.
      • Tag 019 tag processing is desired at some point in the future.
      
      
   2. Overlay Rules
      1. OCLC Transaction Types

         The following OCLC transaction-type codes (offset 22 of Leader) are allowed to overlay:
         

         • X01, X50, X02, X92 (produce or update transactions)
         • X090 (offline retrieval without setting OCLC location symbol, e.g., BibNotification)
         • blank, e, x ( transaction-type codes for exports).
           
      2. OCLC Record Number Processing

         OCLC Number is used to identify candidates for possible overlay. Matching will occur on 035 with blank indicators with subfield a data in the form of an 8-digit number prefixed by ocm. The loader will reject the load of incoming records having 035 ocm numbers matching more than one existing record.
         

      3. Encoding Level Processing

         When an incoming OCLC number matches the number for an existing record, use overlay rules based first on Encoding level, or ElvL, (character position 17 of Leader). The following rules run from highest to lowest. In comparison of existing and new records, the higher level "wins".

         					ELvl blank	(full-level cataloging / national-level agency)
         					ELvl "4" with 042 pcc	(authenticated cataloging at core-level)
         					ELvl "I" or "L"	(full-level)
         					ELvl "8"	(CIP)
         					ELvl "K" "M" or "7"	(minimal-level cataloging)
         					ELvl "5"
         					ELvl not on this list

         
         
      4. Descriptive Cataloging Level Processing

         Do not overlay when incoming records have the same rank as existing records unless Descriptive cataloging form, or, Desc (character position 18 of Leader) of existing record is lower than incoming record according to the following hierarchy from highest to lowest:

         • Desc a
         • Desc i
         • Desc blank or other code not on this list
      
      
   3. Tag Protection

      The following bibliographic tags should be retained from the existing record when the incoming bib record overlays the existing record.

      • XPT
      • 035 9 (former system number)
      • 950 (repeatable with timestamps)
      • MeSH Headings (only tags 650, 651 with 2 in 2nd indicator or 655 with $2 mesh)
      • 956
      
      
   4. Local Data Tags (Super Holdings)

      Local tags from the USMAI local tags list from both existing and incoming records should be retained and moved to institution specific Super Holdings. Tags with $5 or $9 subfields & USMAI institutional codes on the incoming record are transferred to the appropriate institution's Super Holding.
      
      Local tags list amendments:
      

      945, 950, 997 & 998 should be in bib rather than Super Holding, as they are local tags that only have relevance when they correspond to the bib record of choice. 997s & 998s may be discarded on overlay of existing bib record, 950s with timestamps should be repeatable and retained on overlay of existing bib record
      
      USMAI local tags list
      Tag
      501 with $5
      506 $5
      524
      540 $5
      541 $5
      561 $5
      590
      599
      653
      655 $5
      690
      691
      692
      693
      694
      695
      699
      700 $5
      710 $5
      711 $5
      730 $5
      740 $5
      790
      791
      792
      793
      830 $9
      910
      948
      960
      

   5. MeSH Subject Headings Handling:
      1. For incoming records with OCLC holdings symbols other than HS/HSL, delete tag 600, 610, 611, 630, 650, 651 with 2 in 2nd indicator or 654 or 655 with $2 mesh.
      2. For incoming records with OCLC holdings symbol from HS/HSL, retain tags 650 & 651 with 2 in 2nd indicator or 655 with $2 mesh; delete tag 600, 610, 611, 630 and 654 with $2 mesh .
      
      
   6. Reordering of Tags
      1. Tag 001 moves to tag 035
      2. Tag 880s store the vernacular versions of romanized data in bibliographic records exported from OCLC. The loader converts these 880s into duplicate instances of the parallel tag containing Romanized data. Each instance of the duplicate tags in Aleph is preceded by subfield 6 containing tag number and instance number of field it parallels.
      
      
   7. DELETE Record Processing

      The on-going loader will ignore OCLC transaction-type codes (offset 22 of leader) to evaluate record deletion decisions. Codes X03 and X93 will not result in any action against the Aleph database
      
      Deletion of records must be initiated manually in Aleph.

   8. REPLACED Record Processing

      This loader will ignore OCLC transaction-type codes for replaced records (X11). It is assumed that USMAI staff will lower encoding levels in existing Aleph records and import the new master record version from OCLC to accomplish record overlays.

   Top of Page
3. Indexing
   1. General Indexes

      Index bibliographic records according to specifications found at http://alephprod.umd.edu/cgi-bin/indexes?lib=mai01.

   2. Format Terms

      Format terms are to be added to the index according to the specifications found in
      Format Term Specifications - Attachment 1

   3. Language Terms

      Language terms are to be added to the index according to the specifications found in
      Language Term Building Rules - Attachment 2

   4. Normalization

      USMAI desires to follow NACO Normalization rules which are available at http://www.loc.gov/catdir/pcc/naco/normrule.html

   Top of Page
4. HOLdings, Summary holdings, and Item Record and Invoice Orders Creation

   The ongoing loader supports Holding/Item generation in two ways:

   • Per properly formatted MARC21 holdings tags included in incoming record (852/876)
   • Per tag 049 of incoming record for institutions with default options

   The following USMAI institutions follow the second method:
   Default HOLdings: BL, BS, CE, CS, ES, FS, ML, MS, SM, UB
   Default ITM: CE

   Loader generates HOLdings and Items in accord with the above even if the bibliographic record fails to load due to encoding level/ descriptive level processing.

   Invoice/Orders Creation is not supported by the ongoing loader.
   

5. Reports

   Provide breakdown of records loaded by following categories with record counts, title information, and system numbers.

   • Total records processed {count only}
   • New
   • Rejected {with reason noted}
   • Overlay {Records which overlaid existing records, by title with system numbers}
   • Overlaid {Records overlaid by incoming records - this is a "before picture" of the MARC record}
   • Hol created
   • Hol not created {with reason noted}
   • Item created
   • Item not created {with reason noted}
   • New w/o HOL
   • New w/o Item
   • Records with bib lvl='s'

   Ongoing loader reports available at http://alephprod.umd.edu/reports/loadbib/list.jsp?lib=mai01&loader=ongoing.

Revision History
2005/12/07: Yalan Qi - added encoding Level 5 per CPC, Rx 1445
2005/02/21: Young Kim and Marlene Vikor
2002/09/04 - initial document

Return to Resources on Catalog and Database Maintenance homepage

Maintained by: Information Technology Division College Park, MD 20742-7011