AEFG (Go-Live) Vendor bib records/overlay rules and Import Profiles - AEFG w/ RMFG (MVP 003)

Legend: not started IN PROGRESS STALLED decided

Recommendation

AEFG recommends the following use of the import profiles for acquisitions workflows based on order category, and using GOBI workflows as an example. Cases for other vendors and content providers are described below. REQUEST TO CAMPUSES: as you begin to test these more thoroughly during the remainder of the test instance and before go-live, please send any feedback to via the AEFG contact listed above or to SILS-FG-ACQ-ERM-L [at] LISTSERV.UCOP.EDU. If during testing it becomes clear that a modification needs to be made to a profile template or NZ-level norm/merge rules based on emerging practices or Alma updates that affect this functional area, etc., this should be routed through RMFG according to the Use Cases for Access to the Alma NZ Decision Page. 

During the remainder of test, it is also recommended to keep track of titles loaded into Alma, both in the Network and Institution Zone, to assess/record behavior and share titles with other campuses. Campuses should develop a routine practice of checking for orders not received and orders that were received but lack inventory (e.g., if the item got moved to another bib but the order was not moved). This is especially helpful as familiarity with the Network Zone is developed.

• New Order Import Profile for Full Bib: (i.e., Print Approvals): AEFG has approved for wider testing and use the NZ Template : “AEFG Gobi Test Load New Order Approval” on Network tab in Manage Import Profiles. See instructions for use below. This has shown consistent outcomes with GOBI approval records with delivery of full bibliographic information. During testing cases surfaced in which campuses had additional IZ-level rules for record management in addition to the NZ-level norm rules. Example: vendor data is delivering in fields that are not accommodated by the NZ-level norm rule, or campus has need for additional data manipulation. Note: After PPC Review, AEFG followed up with RMFG to revise the NZ norm rule to remove fields between 900-949 before loading to the NZ. Local testing will need to confirm that this change retains functionality of building POL or inventory records correctly from any local data in this fields. Send feedback through your AEFG representative as needed. FOR OTHER VENDORS: if the cataloging is not consistent within a file and needing consistent cataloging review, AEFG recommends using an IZ-only import profile and not matching to the NZ on initial load - NZ-linking should be done after metadata tasks are complete.

• New Order Import Profile for Full Bib - Ebooks: AEFG has approved for wider testing and use the NZ Template, “AEFG Ebook Full Bib and Order Info.” See instructions for use below. Description of the import profile indicates that standalone e-portfolios will be created. If a campus has the vendor subaccount infrastructure that delivers ebook records according to provider, setting in import profile may be changed from standalone to match to CZ collection on load. This import profile may raise similar questions to the New Order Import for Full Bib (Approvals), regarding any IZ need to adjust data in bibliographic records after NZ-level norm rules applied. Note that this import profile is for loading of bibliographic records, acknowledging that subsequent work on the portfolios to assign to electronic collections is involved in the overall ebook management process.

Brief Order and Update Inventory Routines: Testing workflow for loading brief records (again assuming GOBI EOD or EOCRs as the test case) and overlaying using the Update Inventory Import Profile resulted in AEFG consulting extensively with RMFG and with the recommendation for Go-Live to load both GOBI Brief Order Record and full Update Inventory record into the IZ, followed by a job to link to the Network Zone. This is due to some of the inconsistencies in using NZ-level templates for this workflow in the creation of PO lines and inventory management, in addition to concerns about record quality control in the NZ, especially as we get used to NZ record management as a system. AEFG and RMFG investigated other consortia policies and documentation, and noted some use of the Network Zone for brief GOBI records. This will be further investigated and tested after go-live.

AEFG is recommending using import profiles in the IZ for both the Brief Order (EOD/EOCR) and subsequent overlay of a full bibliographic record.This approach also includes running an indication rule to match the full bibliographic records to the Network Zone. See related procedures below.

Other Vendors

AEFG testing focused on the workflows from GOBI. Bibliographic records from other vendors should be assessed according to the RMFG Recommendation for Bibliographic Records in the NZ , the quality of the records, and the extent to which they require post-receipt metadata work. In many cases, IZ import profiles will be used, with NZ routines run following metadata work. When in doubt about how a set of records may affect the NZ, err on the side of using an IZ-only import profile and link to the NZ after the load.

Reasoning

The NZ templates ensure consistent and reliable additions to the NZ of records with OCLC numbers for the relevant workflows. Discovery aspects were explored by looking at records of other campuses in Primo, including on-order titles. Unique OCLC number matching promotes linking campuses' holdings to the same record. Brief Order/EOD load testing aimed to solidify the acquisitions workflow by replacing the brief record with the subsequent full record. Failure to overlay in the scenario of using an IZ-side New Order Import Profile for brief order records and the NZ Update Inventory Import Profile template led to testing both IZ-IZ and NZ-NZ paths. Consideration was given to the implications for loading brief order records without OCLC numbers into the NZ, including peer consortia comparisons, and workflow implications of running an NZ-matching routine after IZ load. In the review of the documentation of at least one peer consortium, using the NZ for brief order records entailed additional coordination of vendor data - this may be incorporated into AEFG work in the near term. As a whole, AEFG members had sufficient concerns about the outcomes of the GOBI brief order/Update Inventory test results in the NZ to prefer loading first into the IZ until the record quality was deemed to meet the NZ requirements. Current recommendations ensure a reasonable amount of flexibility for local campus data parameters, in other words, they support local acquisitions workflows and the NZ requirements without requiring extensive coordination of vendor data at this time.

While peer consortia practices to load GOBI brief order records into the NZ directly were reviewed during this test phase, it was also noted that these consortia may have incorporated harmonized settings on the vendor side, or may have developed these policies and practices after their own initial go-live as a consortium. AEFG will be monitoring this workflow for subsequent testing after go-live.

It was acknowledged that some vendors deliver records with varying quality at the point of ingest, requiring local campus metadata review before linking to the NZ. Campuses should assess the requirements for NZ records and use IZ-only New Order Import Profiles when appropriate.

Post-Go-Live Update - finalized by AEFG in consultation with RMFG October/November 2021

AEFG is providing two updates following campuses' experiences after go-live, one covering norm rules and working with acquisitions data for the NZ and IZ (immediately below) and one related to ebooks management for files provided by GOBI (and similar vendors).

Norm Rules

The AEFG Norm Rule that is part of the NZ template includes requirements for the Network Zone only, and does not accommodate any local fields that need to be protected or kept in the Institution Zone. Its default is to load the local acquisitions data, and then remove those fields for the bibliographic records in the NZ. For additional local needs for acquisitions-managed workflows (New Order import profiles), the options are:

Option 1:

1. Use an IZ-side import profile, with a norm rule that adds local extensions to any fields in the 950-999 range to keep in the IZ as well as accommodates the NZ requirements (i.e., the “remove” lines that are in the AEFG NZ Norm Rule may be deleted for a particular 950-999 field if a field has local extensions added). Note that 900-949 fields have to be removed in all cases per RMFG’s Local Bibliographic Data (5XX-9XX) decision page.  .

2. Run a linking job to link to the NZ. Note that if loading a matching bib with better data than what is already in the NZ, this method will not result in that better data being added to the NZ. 

Option 2:

1. Create a campus-based NZ norm rule - you should coordinate with your Resource Management representative for this. Modify the AEFG Norm Rule to include the local extension rules, ensuring remaining NZ requirements are in place. Use the naming conventions indicated in Naming Conventions for Shared Rules, Import Profiles, and Sets in the NZ. 

2. Submit an email to sils-sysops@cdlib.org (Gem Stone-Logan and Alison Ray) to have the norm rule turned into a process, which allows it to be a dropdown in the section of the import profile for selecting rules. This step is only possible at the SILS Operations Center level for NZ management. It is also recommended to keep these to a minimum since all of the NZ norm rules across the system will be visible in the dropdown list.

3. Set up the import profile to load to the Network Zone. On the Normalization and Validation tab, change the Network Zone Records Handling/ Import local extensions setting to “Yes.” Since the norm rule is applying local extensions to those fields, the fields will load, but not to the NZ. Currently the NZ template has this set to “no” since the NZ-level norm rule does not account for local fields. 

Both options should have the same outcome from a record management perspective: 1) provide for local fields needed in the IZ view of the bibliographic record and 2) ensure that only NZ-approved fields are loaded into the NZ. See Bibliographic Record Management in the SILS Network Zone. 

Loading Ebooks into the Network Zone

In production, campuses experienced GOBI ebook records matching to CZ records. The current NZ template setting on the Match Profile tab has Community Zone linked records handling set to “Skip Record.” During the testing, the ebook files loaded did not cause an issue with this setting. During production, occasional GOBI bib records were finding a match in the CZ, and then skipping the record and not loading order data, etc. AEFG is recommending changing this setting to “Unlink record from Community Zone and create a local record”. This will result in any bibs with possible CZ records to not link and load with the other records. Please adjust this in your local import profiles. AEFG will work with RMFG and SILS Sys-Ops to adjust the setting in the NZ template.

[End of post-go-live update.]

Procedures

This section will include links to internal training sessions, other documentation, etc. once available.

Anticipated deliverables: documentation that describes how to configure import profiles for desired outcomes for IZ and NZ record management for multiple workflows entering through vendor-provided data.

The procedures below indicate steps to take for testing during the test phase. This will be updated for go-live to address naming conventions and other terms specifically related to the production environment, etc. The overall steps should be the same.

New Order Import Profile for Full Bib (i.e., for Print Approvals)

• Through Acquisitions Menu in Alma, go to Import>Manage Import Profiles

• On Network tab, select AEFG Gobi Test Load New Order Approval

• Using the “Three Dots” button, select “Copy” to copy the template. This will open the profile in the Edit mode in the Institution tab.

• Rename as appropriate, and according to (Go-live and beyond) Naming conventions for shared rules, import profiles, and sets in the NZ . Note the “Use Network Zone” indicator as “Yes.” Complete Profile Details tab as appropriate.

• Normalization & Validation tab: The template has pre-populated the Normalization setting to use the RMFG-approved norm rule. The Network Zone Records Handling setting has been set to: Import Local Extensions = No. IMPORTANT: do not change these settings.

• Match Profile tab: Match is set to Unique OCLC Identifier Match Method. Additional match actions, including the Merge Method, have been set by RMFG. Upon no match record will be added to the NZ. IMPORTANT: do not change these settings.

• Set Management Tags tab: this tab can be left blank.

• Inventory Information Tab: The template has been created for physical inventory (see below for the ebooks template). This tab includes local inventory-related data. Note the Map library/location checkbox which relies on data in the Mapping tab.

• PO Line Information tab: This tab includes local PO Line-related data. Note the Map funds checkbox which relies on data in the Mapping tab.

• Mapping tab: This tab includes local data for mapping funds and locations that may be defined in the record data and need to be parsed for loading into Alma.

• Once data is complete, click “Save.” REMEMBER, before running, make sure the Status on the Profile Details tab is indicated as Active.

• TO MANUALLY LOAD RECORDS USING THE PROFILE: Go to the line of the profile. Click the three dots to select “Run.” Use the “Select File” indicator to browse for and attach the appropriate file and enter a Label and Notes for the load. Click “Add.” Click “Submit.” To monitor load progress, go to the Admin area on the left, and select “Monitor Jobs.”

New Order Import Profile for Full Bib - Ebooks

• Through Acquisitions Menu in Alma, go to Import>Manage Import Profiles

• On Network tab, select AEFG Ebook Full Bib and Order Info (All Providers)

• Using the “Three Dots” button, select “Copy” to copy the template. This will open the profile in the Edit mode in the Institution tab.

• Rename as appropriate, and according to (Go-live and beyond) Naming conventions for shared rules, import profiles, and sets in the NZ . Note the “Use Network Zone” indicator as “Yes.” Complete Profile Details tab as appropriate.

• Follow the instructions as above with the following exceptions:

• Match Profile tab: Note AEFG update October/November 2021: setting this to “Skip Record” will result in any matches to CZ records being skipped, and not loading order data. Choosing “Unlink record from Community Zone and create a local record” as the setting will load a standalone portfolio and not cause errors with loading order data.

• Inventory Information tab: the template sets this to Electronic inventory, creating Standalone portfolios. URL and other data should be indicated as appropriate. Current Alma campuses leave the “Activate Resource” box unchecked so that activation can occur as a step in the Electronic Resource Activation Tasklist.

• PO Line Information tab: This should indicate an electronic PO Line type.

IZ-IZ Brief Order/ EOD and Update Inventory Import Profiles - IZ loading with NZ matching

IZ BRIEF ORDER (EOD/EOCR) PROFILE - Note: based on UCD current production profile. Other Alma campuses may have variations - feel free to send feedback.

• Go To Manage Import Profile. From Institution Zone tab, click "Add New Profile."
  Select "New Order" Profile Type

• Profile Details tab: Unclick "Use Network Zone." Complete rest of tab as appropriate.

• Normalization & Validation tab: does not need to be entered, unless there is local handling.

• Match Profile tab: Can use ISSN-ISBN/024/035 Match Method. Handling Method: Automatic. Upon Match: Import New Record. Merge method: overlay all fields but local. Do not override/merge record with an older version: Disabled. Upon no match: Import. (Settings not mentioned can be left blank.)

• Set Management Tags tab: Can be left blank.

• Inventory Information tab: Physical (can also be used for Electronic ebooks brief records if applicable - recommended to keep file types separate at subaccount level to create matching inventory types). Local parameters as appropriate, including checking map locations.

• PO Line Information: Print Book - One Time (or electronic book PO Line Type if using for ebooks). Local parameters as appropriate, including checking map funds.

• Mapping tab: Including fund and location mapping.

IZ UPDATE INVENTORY PROFILE - Note: based on UCD current production profile. Other Alma campuses may have variations - please send feedback.

• Go To Manage Import Profile. From Institution Zone tab, click "Add New Profile."
  Select "Update Inventory" Profile Type

• Profile Details tab: Unclick "Use Network Zone." Complete rest of tab as appropriate.

• Normalization & Validation tab: May use local normalization rules as needed. NZ-level requirements can be handled in the indication rule run as a job after the load.

• Match Profile tab: Match by PO Line. Handling Method: Automatic. Upon Match: Overlay. Merge method: overlay all fields but local. Community Zone linked records handling: Skip record. Do not override/merge record with an older version: Disabled. Merge Records and Combine Inventory for Multi-Match: Merge and Combine: Disabled. Secondary record: Delete. Merge method: Overlay all fields but local. (Settings not mentioned can be left blank.)

• Set Management Tags tab: Can be left blank.

• Inventory Information tab: Physical (can also be used for Electronic ebooks brief records if applicable - recommended to keep file types separate at subaccount level to create matching inventory types). Local parameters as appropriate.

• PO Line Information: Print Book - One Time (or electronic book PO Line Type if using for ebooks). Multiple vendors: No; include match points for PO line matching and additional local parameters as appropriate.

• Mapping tab: Including fund and location mapping.

IZ-NZ Linking Job, and Indication Rule to Assess NZ Record Quality

For the IZ-IZ loading, a job will need to be run to match the local institution records to the Network Zone. To link IZ records to the NZ, a set must be created and then the Link a set of records to the Network Zone job must be run. The set can be created from the Import Profile load job. The NZ-linking job is found under Admin>Manage Jobs and Sets>Run a job. In addition, an indication rule has been created to assist in flagging records that are suboptimal for the NZ. Please see the document: Instructions for filtering an Update Inventory set post-NZ job. Records identified from this rule will likely need additional attention for metadata management. Consult as needed for assistance with testing this routine (i.e., via local AEFG or RMFG representatives).

Background

This decision page supports set-up of import profiles for bibliographic data that will affect the NZ generated from the acquisitions processes (i.e., from material providers). From the Acquisitions perspective, GOBI is the main provider to cover given the volume across campuses and is used as the test case, but the general principles should be applicable to other vendors. Record management should be thoroughly described for NZ and IZ data elements (bib, order, item for shelf-ready), as well as specifications for Import Profile tabs.

Out of scope of this decision page: any repository-management level import profiles related to metadata projects, large-scale electronic resources inventory management. This decision page also does not address handling of one-off orders, for which the NZ should be consulted first for an existing full record to attach the order to, then CZ, OCLC, etc. as appropriate, and following local IZ and NZ record-handling requirements.

• Orbis Cascade: Policy: Minimum Acquisitions Data

• SUNY Libraries Consortium: Import Profiles

• CARLI: Import Profiles for Embedded Order Data

Dependencies

Outcome of consortial GOBI arrangements using NZ.

Questions to consider

• Explore how IZs may have their own local loads (both bibs and orders), and then push up to NZ w/ merge methods to not load if already there.

• At what point would records have OCLC numbers - so that would be match point for de-duplication.

• What are the considerations for new order workflows (either from EOD or Real Time Ordering) - where a brief description (bib) record would be generated and may or may not match a full description record in the NZ?

• What is the recommended workflow for full description records at the IZ level - both approval plans (first-in “New Order” import profiles) and firm order “Update Inventory” import profile types?

• What are the considerations for ebooks and the NZ? What is the best way to accommodate management of e-inventory to take advantage of associating with a CZ collection and whatever additional bibliographic description may be wanted?

• What is extent that current Alma sites import profiles could be compared, considered for new NZ relationship? What is minimum change required for desired NZ functionality, while preserving local variation (i.e., not expecting standardization effort of local inventory/order field mapping, etc.)?

• BASED ON TESTING: If seeing inconsistent matching with brief EOCR and Update Inventory using NZ (or combination of IZ and NZ) - does it work to use IZ for both brief and Update Inventory and then run a job for NZ match?

• BASED ON TESTING: What is the best way to accommodate record management for both NZ and local campus data in IZ? Example is when using an NZ template with NZ-preferred Norm/Merge rules but needing additional local adjustments that may have been in local norm rules.

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