Establishing a Base File of Bibliographic Records for AUP

There are three options for establishing a base file for AUP:

1. Library exports a new base file of bibliographic records previously authorized by LTI.

Here the library exports its entire database and FTPs it to LTI. This file of records then becomes the base file for future AUP runs. After each AUP run, only records containing one or more changed headings are returned via FTP.

Charges for creating the base file are:

no charge - within 12 months of LTI batch processing on main file

1¢ / rec - over 12 months but less than 36 months since LTI batch processing of main file ($500 minimum)

2¢ / rec - over 36 months but less than 60 months since LTI batch processing of of main file ($500 minimum)

3¢ / rec - over 60 months since LTI batch processing of main file ($500 minimum)

At the time the new base file is established, the number of records present in the new database is compared with the number of records previously processed by LTI. Records exceeding the number previously authorized by LTI are billed as "extra records" at the same rate as the Authority Express (AEX) per record fee.

2. LTI reconstructs base file

LTI restores and merges all past records it has received from the library, including batch processing, gap file(s), and AEX files. This combined file of records becomes the "base file" for future AUP runs. While not recommended, this option may be necessary for the rare case in which a library is unable to export a fresh copy of its database. This option cannot be used if the library's catalog records are to be loaded into an ILS different than the one from which they were initially authorized by LTI. Charges are the same as listed above in "Library exports a new base file".

3. LTI reruns authority control on library's entire database

The library exports its entire database and sends it to LTI. LTI runs authority control on the replacement database and returns all bibliographic records, along with all referenced authority records, to the library. The new file of bibliographic records becomes the "base file" for future AUP runs, and the new authority files entirely replace the old ones. This is the preferred option for libraries whose database was processed several years ago. The limited review cost is discounted 20% for the same number of records previously processed with standard limited review charges on records over that number.

If authority controlled bibliographic records were loaded into a local system for the first time after LTI batch processing, LTI's version of the records will lack the new local system control numbers. To enable the overlay of corrected bibliographic records following AUP, the library will need to FTP to LTI a fresh copy of its entire bibliographic database. If the new base file is established prior to the initial AUP run, but less than one year from batch processing, the set-up fee is waived for new AUP customers. At the time the new base file is established, the number of records present in the new database is compared with the number of records previously processed by LTI. Records exceeding the number previously authorized by LTI are billed at LTI's Authority Express (AEX) per record rate.

In the case where a unique local system control number was added by the local system to the library's bibliographic records after the batch authority control was completed, a library must use either option 1 or 3.

Establishing New Base Files

Libraries using Authority Update Processing may, from time to time, wish to establish a new base file of bibliographic and/or authority records. Most frequently, AUP users wish to replace the bibliographic file used by LTI to report on changes. A library may replace either file at any time for a charge of $500. Replacement of both base bibliographic and base authority files would, therefore, be billed at $1,000. If the number of bibliographic records in a base file exceeds the number previously processed by LTI, the additional records are charged at LTI's Authority Express (AEX) per record rate. Rather than set up a new base authority file, a library may prefer to delete its existing authority files and replace them with a comprehensive set of new authority records after an AUP run. Replacement of the entire authority file through AUP is charged the same fee as a new file set-up--i.e., $500.