he National Library of Medicine and OCLC currently provide batch updating of holdings data for libraries that have summary serial holdings data in DOCLINE and local data records (LDRs) in OCLC's WorldCat^® database. This batch update functionality serves as an alternative to the time-consuming task of manually maintaining holdings in both DOCLINE and WorldCat. Currently, a library can maintain holdings online in both systems, maintain holdings online in DOCLINE and have holdings automatically provided to OCLC on a quarterly basis, or maintain holdings in OCLC and have OCLC create a SULOP (Serials Union List Offline Product) file that NLM will use to update holdings in DOCLINE. An understanding of the batch update functionality is necessary in order to choose the right process for each library.

Providing Serial Holdings from DOCLINE to OCLC
Short Name: SERHOLD^® to OCLC
Number of libraries: 351
Method: Title by title update. For the first extract of data for a library, NLM provides OCLC with all DOCLINE serial holdings that the library currently reports. OCLC replaces the pre-existing set of local data records (LDRs) attached to a specific bibliographic record with the holdings records sent for batch updating. If no LDR exists, a new one is added to WorldCat. NLM does not provide any delete records for a library to OCLC the first time their data is sent to OCLC. Subsequent files will contain the holdings for each title deleted from DOCLINE during the quarter, and those holdings will in turn be deleted from WorldCat. See Data Extraction Details for further information.

Cost: Free

Schedule: Data extracted for OCLC on the first full weekend of January, April, July, and October. OCLC updates the data in WorldCat within one month after receipt of data.

Authorization Steps: Add your library's OCLC institution symbol to OCLC Symbol 1 field. Update DOCLINE Institution record's Batch Update Authorization field to "Send Holdings to OCLC". Both fields are located on the Membership page in the Serial Holdings section. Note: OCLC offers a tool called the OCLC Participating Institutions Search that can help you find a library's OCLC symbol.

Preparation: Holdings that have been deleted from DOCLINE prior to the date that the first file is sent to OCLC will not be provided as deletes to OCLC. If your library would like to manually delete these records from WorldCat and you would like a list of holdings that were deleted since the implementation of web-based DOCLINE Serial Holdings in June 2000, contact your Regional SERHOLD Coordinator. A listing of Regional SERHOLD Coordinators is located at the bottom of the SERHOLD Fact Sheet.

If you have old local data records in WorldCat that are no longer useful because they have not been adequately maintained, you can request that OCLC perform an irreversible scan/delete of all your existing OCLC Union List holdings (LDRs). A scan/delete will give you a clean slate, so to speak, prior to the first batch update of DOCLINE serial holdings that you authorize NLM to submit to OCLC. If you wish to go this route, you must request the scan/delete at least one month prior to the SERHOLD extract in which you plan to begin participating. To request a scan/delete of your WorldCat LDRs, contact your OCLC Regional Service Provider.

Holdings not updated in OCLC:

• Holdings for titles that are not reported in DOCLINE
• Encoding Level 2 holdings (e.g., holdings that do not have volume and do not have year data and that are not retained for a limited period)
• Holdings for which an error report is provided

Data Extraction Details: Holdings information is extracted from DOCLINE for libraries that have authorized NLM to Send Holdings to OCLC. If the Institution's Batch Update Authorization Date is equal to or greater than the date of the last extraction, all holdings for that library are provided to OCLC. If the Institution's Batch Update Date is less than the date of the last extraction, adds, updates, and deletes for that library are provided to OCLC.

Error reports: If a record appears in an error report, the record was not added to or deleted from WorldCat. When the batch update file is produced, NLM notifies libraries via DOCLINE Serial Holdings Reports of any known errors. Each library is responsible for reviewing these reports and taking the appropriate action by adding holdings to OCLC, adding bibliographic records to OCLC when necessary, and/or notifying NLM of OCLC numbers when the OCLC number is not in the NLM authoritative bibliographic record that is displayed in NLM's online catalog, LocatorPlus, or the NLM Catalog database on Entrez. Instructions about each type of problem are located at the beginning of the error reports. Error reports will only be supplied when there are known errors. If OCLC notifies NLM of any problem records after the data are loaded, NLM will either fix the problem so that the record will be updated in OCLC with the next batch update or will notify the appropriate Regional DOCLINE Coordinator who will then contact the individual library. Error reports include:

• No OCLC Number: No OCLC number in LocatorPlus or the NLM Catalog database on Entrez
• Differing Cataloging Practices: NLM and OCLC's cataloging practices differ
• More than One OCLC Number: More than one OCLC control number in LocatorPlus or the NLM Catalog database on Entrez
• Deleted Records with No OCLC Number: No OCLC control number in LocatorPlus or the NLM Catalog database on Entrez
• Deleted Records with More than One OCLC Number: More than one OCLC control number in LocatorPlus or the NLM Catalog database on Entrez

Libraries that should not use this function: Libraries that share an OCLC institution symbol but do not have all of their libraries' holdings in DOCLINE.

Example: Organization X has a main library, a science library, and a medical library. Their OCLC holding library codes are XXXA, XXXB, and XXXC with XXX being the main OCLC institution symbol and each branch having a sublocation code. The medical library has its holdings in DOCLINE and in OCLC. The main and science libraries have their holdings only in OCLC. If the medical library, the main library, and the science library report holdings on Title Y in OCLC, holdings reported by DOCLINE to OCLC will cause the holdings for Title Y for the medical library, the main library, and the science library to be deleted and then only holdings for the medical library will be re-added.

Providing Serial Holdings from OCLC to DOCLINE
Short Name: OCLC to SERHOLD
Number of libraries: 50
Method: Global update. All DOCLINE holdings are deleted and holdings from the OCLC Serial Union List Offline Product (SULOP) are reviewed for errors. Correct records are added to DOCLINE; erroneous records are entered into an error report. NOTE: If all holdings are determined to have errors, none of the holdings for the library will be deleted.

Cost: The cost for producing the SULOP is determined by your library or library group's agreement with OCLC or an OCLC Regional Service Provider. NLM provides their part of the batch update processing for free.

Schedule: The schedule for producing the SULOP is determined by your library or library group's agreement with OCLC or an OCLC Regional Service Provider. NLM will process the file as soon as we retrieve it from OCLC.

Authorization Steps: Add your library's OCLC Code to OCLC Symbol 1 field. Update your library's DOCLINE Institution record's Batch Update Authorization field to "Update Holdings from OCLC". Both fields are located on the Membership page in the Serial Holdings section. Note: OCLC offers a tool called the OCLC Participating Institutions Search that can help you find a library's OCLC symbol.

Preparation:

• Review holdings in WorldCat and update any invalid holdings.
• Obtain SULOP from OCLC. Further information on ordering this product can be obtained from your OCLC Regional Service Provider.
• When the SULOP is ready, contact your Regional SERHOLD coordinator if the SULOP is only for your library. If the SULOP is for a library group and two or more libraries report DOCLINE holdings and have authorized OCLC to SERHOLD batch update, a representative for the library group should contact your Regional SERHOLD coordinator. A listing of Regional SERHOLD Coordinators is located at the bottom of the SERHOLD Fact Sheet. Provide the coordinator with the following information:
  • The OCLC Symbol for the institution that originally requested the Union List product from OCLC;
  • The OCLC Order Number that was provided by OCLC when the ordering library was notified that the files were ready; and,
  • The year, month, and day that the order was processed.

Holdings not added to DOCLINE:

• Holdings for titles that are not reported in DOCLINE
• Incorrectly formatted holdings

Note: All holdings that are not added will be detailed in the OCLC to SERHOLD batch update error reports.

Data Extraction Details: Upon notification from the library or the library group representative that an OCLC file is ready for pickup, a Regional SERHOLD Coordinator notifies NLM via DOCLINE to pick up the file from OCLC. On the evening of this notification, NLM retrieves and processes the file. Holdings data are analyzed and if at least one holdings record will be added to DOCLINE, all holdings for that library are deleted. In addition, all properly formatted holdings are extracted from OCLC data and added to DOCLINE for libraries that have authorized NLM to "Update Holdings from OCLC". All errors and statistics that include the number of holdings prior to the batch update, the number of holdings after the batch update, and the number of errors are reported in an OCLC to SERHOLD Batch Update report. This report is provided to the individual libraries and to the Regional Coordinator that originally notified NLM to pick up the report from OCLC.

Error reports: If a record appears in an error report, the record was not added to DOCLINE. When the batch update file is produced, NLM notifies libraries via DOCLINE Serial Holdings Reports of any known errors. Each library is responsible for reviewing these reports and taking the appropriate action by adding holdings to DOCLINE, updating records in OCLC when necessary (it is best to update the record in OCLC so that it will be added properly to DOCLINE the next time a OCLC to SERHOLD batch update is initiated), and/or notifying NLM of new records to be added to the NLM online catalog LocatorPlus if the records are in scope. (See the FAQ If I cannot find a journal title in LocatorPlus, how can I add my institution's holdings for that title? for information.) Instructions about each type of problem are located at the beginning of each section of the error reports. Error reports only display when there are records that fall into that category. Error reports include:

• No Matching OCLC Code in Institutions: OCLC code is not listed in DOCLINE
• Not a DOCLINE Participant: Only DOCLINE participants will have their holdings updated.
• Library has not authorized NLM to update DOCLINE using holdings from OCLC: Holdings will only be updated for libraries that have authorized NLM to "Update Holdings from OCLC."
• No Bibliographic Serial Match in LocatorPlus: Cannot find a matching title based upon OCLC's bibliographic data.
• Invalid Acquisition Status: Acquisition Status is not, 2, 4, or 5.
• Invalid General Retention Policy: General Retention Policy is not 6 or 8.
• Invalid Encoding Level: Encoding Level is not 3.
• Invalid Holdings Statement for Limited Retention Holdings: General Retention Policy is 6 (Limited Retention); but, the holdings statement is not limited. (ex. Latest 5 years is limited; 1990-1995 is permanent)
• Invalid Acquisition Status for Limited Retention Holdings: Acquisition Status should equal 4 (Currently Receiving) when the General Retention Policy is 6 (Limited).
• Invalid Holdings Statement for Permanent Retention Holdings: General Retention Policy is 8 (Permanent Retention); but, the holdings statement is for limited retention. (ex. Latest 5 years is limited; 1990-1995 is permanent)
• Multiple Holdings Reported for Same LIBID, Title, and Physical Format: DOCLINE requires that only one holdings record is created for the same library, title, and physical format.
• Minor Title Change: NLM made a cataloging decision for a Significant Minor Title change; but, we will not transfer holdings for the new or old title to/from OCLC.
• Differing Cataloging Practices: NLM and OCLC's cataloging practices differ.

Libraries that should not use this function: Libraries whose WorldCat holdings are incorrectly formatted.

Examples of incorrectly formatted holdings data include:

• Both Volume AND Year data are missing
  • Solution: Add volume and/or year data
• Acquisition Status is not 2 (Ceased), 4 (Currently Receiving), or 5 (No Longer Acquiring)
  • Solution: Update Acquisition Status
• Acquisition Status is 4 (Currently Receiving); but, holdings are Closed: v.1-5
  • Solution: Revise Acquisition Status
• Acquisition Status is 5 (No Longer Acquiring); but, holdings are Open: v.1-
  • Solution: Revise Acquisition Status
• Holdings are unbalanced: v.1 2000 - v.2 2001, v.4
  • Solution: Remove year data from v.1 and v.2 OR add year data for v.4
• General Retention Policy is not 6 (limited retention) or 8 (permanent retention)
  • Solution: Update General Retention Policy
• General Retention Policy does not agree with holdings - Retention is 6 (Limited) but holdings are permanent ( v.1- ) OR Retention is 8 (Permanent) but holdings are limited (latest 5 years)
  • Solution: Update General Retention Policy
• Multiple holdings for the same title and physical format
  • Solution: Merge holdings into single record

Using SERHOLD to OCLC or OCLC to SERHOLD batch update can provide libraries with the benefit of only updating holdings in one holdings database if the holdings are up-to-date and the batch update method that is most beneficial to the library is chosen. Further questions about batch updating should be referred to your Regional SERHOLD Coordinator or to NLM at custserv@nlm.nih.gov

By Deena Acton
Serial Records Section

Acton D. Updating Serial Holdings in DOCLINE^® and OCLC.^® NLM Tech Bull. 2004 Sep-Oct;(340):e8.