cataloguing with sirsi workflows - inforum.library.utoronto.ca · compare your headings against...

University of Toronto, Faculty of Information Winter 2016 Instructional Workshop Series

Cataloguing with Sirsi Workflows

Instructor: Elisa Sze Librarian, Collections & Public Services Coordinator Session 1: Feb. 1, 2016 / Session 2: Feb. 3, 2016

(Both sessions cover the same content)

Table of Contents

Workshop Objectives ............................................................................................................................. 1

What Is Cataloging? ............................................................................................................................... 2

What Is an Integrated Library System (ILS)? .......................................................................................... 2

Cataloguing with Workflows .................................................................................................................. 2

Elements of a Catalogue Record in Sirsi Workflows .............................................................................. 3

Typical Cataloguing Process ................................................................................................................... 5

Standards Used ...................................................................................................................................... 6

The Cataloguing Process ........................................................................................................................ 7

MARC 21 Format for Bibliographic Data ................................................................................................ 7

EXERCISE .............................................................................................................................................. 14

STEP 1. Code by hand. ....................................................................................................................... 14

STEP 2. Enter the metadata in Sirsi Workflows. ................................................................................ 14

STEP 3. Validate headings. ................................................................................................................. 15

STEP 4. Assign a call number to the volume record. ......................................................................... 17

STEP 5. Update the item record. ....................................................................................................... 17

References ........................................................................................................................................... 18

Workshop Objectives

Using SirsiDynix Workflows, participants will: search and modify bibliographic records; see examples of copy/derived/original cataloguing; understand the relationship between bibliographic, volume and item records; understand the relationship between records in the staff client versus records in the online publicly accessible catalogue. This workshop will appeal to students interested in metadata use in libraries.

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What Is Cataloging?

Cataloguing is both a task‐oriented and an intellectual process that serves two overarching purposes. The first is to provide an inventory of all the items collected by an organization. The second is to provide users with a means of discovering and accessing those items. The latter can be framed in terms of fulfilling four main tasks, commonly referred to as FRBR (Functional Requirements of Bibliographic Records) user tasks. The four FRBR user tasks are: Find, Identify, Select, and Obtain (Tillett, 2003, p. 5). The primary principle informing the standards and practices of cataloguing is the convenience of the user (IFLA, 2009, p. 2). For a concise historical account of how cataloguing theory and standards have developed over time, see Chapter 2 of Chan’s Cataloging and Classification: An Introduction (2007, pp. 47‐63).

Cataloguing involves descriptive cataloguing (=description of the item and its content), subject analysis, authority control (=consistency of names, titles, and subject headings), and classification (=organization of items according to a particular grouping method). For a visual representation of how parts of a catalogue record fit together, see https://prezi.com/p7zq7ibcz_14/the‐catalogue‐record. Taylor and Joudrey’s entry on “Cataloging”, published in the Encyclopedia of Library and Information Sciences, 3rd edition, offers a more thorough overview of the functions of the catalogue and the process of cataloguing (2009).

Cataloguing, or at a minimum, a basic understanding of the purposes of cataloguing, is fundamental to collection management activities and informs reference work in libraries, archives, museums, and analogous institutions. In archives, the term commonly used is archival description. In museums, cataloging forms part of collections management and museum registration activities.

What Is an Integrated Library System (ILS)?

An ILS is a database for tracking collection budget spending, orders, vendors, inventory, and the movement of items in a collection among library users. The ILS communicates relevant information to the online publicly accessible catalogue (OPAC) so that users can find out what is available where, and manage their library account. SirsiDynix Symphony is an example of a proprietary ILS. Workflows is the staff application that provides access to the databases.

Cataloguing with Workflows

The Workflows desktop. A menu of modules runs across the screen. Tasks for the selected module are organized in a column of boxes down the left side of the screen. Active windows open onto the right side of the screen. Most cataloguing tasks in Workflows are based around a bibliographic record.

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Common Tasks Titles Call Numbers and Items Authorities

Call Number and Item Maintenance: Edit call number, home location, item type

SmartPort: Download other libraries’ records

Item Search and Display: See what the public sees using the “red book” wizard

Add Title: Add a bibliographic record from scratch

Modify Title: Edit an existing record

Duplicate Title: Copy an existing record as a template for describing a similar work

Add Item: Add copies of a work to an existing bibliographic record

Edit Item: Modify home location, item type, item IDs (barcodes), and copy‐specific information

Display Authority: Look up the controlled form of a name heading, title, or subject heading

Elements of a Catalogue Record in Sirsi Workflows

In Sirsi Workflows, cataloguers create surrogate records at the item level. That is, cataloguers use a specific copy (or item) of a publication in order to describe a manifestation of an expression of a work. (e.g., Shakespeare’s intellectual conception of Hamlet = Work. The English text of Hamlet, the play by Shakespeare = Expression. Arden edition of Shakespeare’s Hamlet = Manifestation. Robarts Library’s hard copy of the Arden edition of Shakespeare’s Hamlet = Item.)

In Sirsi Workflows, the catalogue record is broken across multiple folders:

Control folder. Contains a title control number (an identifier used for matching records) as well as a unique catalogue key. Use this folder to change the template that corresponds to the appropriate record format (e.g., MARC, SERIALS, EQUIP, VM, etc.)

Boxes in the left side menu can be expanded to view all available tasks

Desktop

Look for the “Cataloging” module

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Bibliographic folder. A description of a work found in a library collection; the record found in the library catalogue acts as a surrogate of the work on the library shelf.

Call Number/Item folder. Attached to a bibliographic record. Contains a call number reflecting each unique call number (or volume) held by a library, and a call number denoting each copy (or item) of each volume.

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You will also see the following elements within the catalogue record:

Item record (found in the Call Number/Item folder). The item record is attached to the bottom of a volume record. Each item record contains information unique to a particular copy of a work, such as the item ID (or bar code), as well as information about the format type and the collection within which the item is shelved.

Access points. Information in a bibliographic record that is indexed for browse searches, and retrieval of specific types of information. Can include: authors, corporate bodies, geographic locations, subject headings describing the general topic covered by a work.

Call number. Parts of a Call Number: Classification number + Cutter, OR, Accession number, OR other code

Typical Cataloguing Process

Decide which type of cataloguing you will need to perform: copy, derived, or original cataloguing?

Copy = few enhancements required to upgrade the record

Derived = the bibliographic record of a similar work forms the basis of a new record

Original = a new bibliographic record is created from scratch

Copy Cataloguing

Sometimes, copy cataloguing may require you to import a bibliographic record from another library. To import a record from another library, we use a Z39.50 client called SmartPort. To read more about the Z39.50 protocol, see the NISO resources guide, www.niso.org/standards/resources/Z39.50_Resources

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Enhance the bibliographic description according to the level of detail expected by your institution.

Assign and/or modify the access points so that your access points can be indexed for browsing and quick retrieval purposes:

Add the main entry (could be a name, corporate body OR title)

Added entries (other names, corporate bodies, or titles that also need to be discoverable in browse searches)

Subject headings

Validate all headings that you have assigned as access points. Compare your headings against those in the authority file. Do this to ensure that you have chosen the correct heading and form of heading for each access point.

Assign a call number.

Process. Prepare the item for circulation (e.g., ownership marks, protective covers).

Standards Used

Bibliographic and authority records are usually created according to standards. Examples:

Description and name/title headings: AACR2 (Anglo‐American Cataloguing Rules, 2nd edition revised), RDA (Resource Description & Access), RAD (Rules for Archival Description), and others

Subject cataloguing: LCSH (Library of Congress Subject Headings), MeSH (Medical Subject Headings), AAT (Art & Architecture Thesaurus), BISAC (Book Industry Subject and Category), and others

Call number: classification such as LCC (Library of Congress Classification), DDC (Dewey Decimal Classification), Colon Classification, UDC (Universal Decimal Classification) + Cutter; accession numbers; C3 (Customer‐Centred Classification) system; and others

Encoding: MARC (Machine Readable Cataloguing), ONIX (ONline Information eXchange), Dublin Core, and others

Staff must have some knowledge of cataloguing standards in order to use the Workflows client effectively. Likewise, the full extent of a standard can only be realized if updates and expansions are continually integrated into the platforms of the staff client and the public catalogue/discovery layer interface.

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The Cataloguing Process

MARC 21 Format for Bibliographic Data

The table below lists a selection of commonly used MARC bibliographic tags, indicators and subfield codes. Adapted from MARC21 Format for Bibliographic Data (http://www.loc.gov/marc/bibliographic).

Library of Congress has also published helpful introductory guides on using MARC for bibliographic data (2009) and authority data (2005).

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Tag Indica‐tors

Field name Subfield codes

1st 2nd

020 ISBN

Input without spaces or hyphens

|aCorrect ISBN

|zIncorrect ISBN

040 Cataloguing Source

For University of Toronto iSchool, use: CaOTULS

|aOriginal cataloging agency |bLanguage of cataloging |cTranscribing agency (i.e., first to derive the record) |dModifying agency (i.e., subsequent copy cataloguer)

050

0

1

Library of Congress Call Number

Item is in Library of Congress (LC)

Item is not in LC

082

0

1

0

4

Dewey Decimal Classification Number

Full Edition

Abridged

Assigned by Library of Congress (LC)

Assigned by agency other than LC

|aClassification number

|2Edition number of Dewey used

100*

0

1

Main Entry – Personal Name

Forename

Surname

|aPersonal name

|dDates associated with a name

*If you have a 100 field in a record, you cannot also have a 110 field.

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Tag Indica‐tors


1st 2nd

110*

0

1

2

Main Entry – Corporate Name

Inverted name (e.g., Doe, Jane)

Jurisdiction name (e.g., Canada. Department of Justice)

Name in direct order (e.g., National Gallery of Canada)

|aCorporate name

*If you have a 110 field in a record, you cannot also have a 100 field.

245

0

1

0‐9

Title Statement

No added entry (use if you do not have a 100 or 110 field in your record)

Added entry (use if you have a 100 or 110 field in your record)

Number of non‐filing characters

Format:

Title :|bremainder of title /|cStatement of responsibility.

|aTitle

|bRemainder of title

|cStatement of responsibility

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Tag Indica‐tors


1st 2nd

246

0

1

2

3

#

0

1

2

3

4

5

6

7

8

Varying Form of Title

Note, no added entry

Note, added entry

No note, no added entry

No note, added entry

No specific type of title

Portion of title

Parallel title

Distinctive title

Other title

Cover title

Added title page title

Caption title

Running title

Spine title

|aTitle proper/short title

|bRemainder of title

250 Edition

Use ed. for “edition”.

Format:

4th ed.

|aEdition statement

260 Place of publication

Format:

Toronto :|bCoach House Press,|c2013.

|aPlace of publication

|bName of publisher

|cDate of publication

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Tag Indica‐tors


1st 2nd

300 Physical description

Use p. for “pages”.

Use ill. for “illustrated”.

Format:

300 p. :|bill.,|c23 cm

|aExtent, such as number of pages

|bOther physical detail, such as whether work is illustrated

|cDimensions

490

0

1

Series statement as it appears

Series not traced

Series traced

If series is traced, an 830 field is also created.

|aSeries statement

|vVolume designation

|xISSN

500 General note Note entered here applies to this manifestation of the work, and is not unique only to the copy on hand.

504 Bibliography |aIncludes bibliographical references

505

0

1

2

#

0

Content note

Contents

Incomplete content

Partial content

Basic

Enhanced

|aFormatted contents note

|rStatement of responsibility

|tTitle

590 Local note Note entered here applies only to the copy on hand.

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Tag Indica‐tors


1st 2nd

600

0

1

0

Subject Added Entry – Personal Name

Forename

Surname

Library of Congress Subject Headings

Replace all dashes with |x or |v

|aPersonal name

|xGeneral subdivision

|vFormat subdivision

610

0

1

2

0

Subject Added Entry – Corporate Name

Inverted name

Jurisdiction name

Name in direct order


|aCorporate name



650

0

Subject Added Entry




651 #

0

Undefined




690 Local Subject Access Field Subject heading entered here applies only to the local library. Use only if it is institutional policy to apply terms to this field.

700

0

1

#

2

Added Entry – Personal Name

Forename

Surname

Not an analytical entry

Analytical entry

|tTitle

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Tag Indica‐tors


1st 2nd

710

#

2

Added Entry – Corporate Name


Analytical entry

|tTitle

730

#

2

Added Entry – Uniform Title


Analytical entry

|tTitle

740

0‐9

#

2

Added Entry – Uncontrolled Related/Analytical Title



Analytical entry

|tTitle

830

0‐9

Series Added Entry – Uniform Title


|aUniform title

856

4

0

1

2

Electronic Location and Access

HTTP

Resource

Version of resource

Related resource

|uUniform Resource Identifier

See the MARC21 website for how to encode authority, holdings, classification, countries, and languages data.

When inputting subfield codes in Workflows:

The code |a should be omitted as |a is understood to be the default subfield code.

Subfield codes will be replaced with a space upon public display; therefore, do not add another space after each subfield code.

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EXERCISE

STEP 1. Code by hand.

a.) With the item in front of you, describe what it is that you want a catalogue user to know about the item. Transcribe as much information as possible; where no information is provided, supply your own textual description using clear and concise language.

b.) Using your description, identify the parts of the MARC record that can be used to capture the information that you have generated about the item.

Hint: Use the MARC tables in this handout to help you decide which fields and subfields to code.

STEP 2. Enter the metadata in Sirsi Workflows.

Search for the bibliographic record in Sirsi Workflows to see if a record of some kind already exists in the ILS. If the bibliographic record does not exist, create one.

To catalogue using Workflows:

a.) Select Cataloguing from the Modules menu. Expand the Titles box from the left side menu. Click on Modify Title. Using the search form, locate the record for the work you want to catalogue. Open the record. Evaluate the record. Modify as necessary. Use the correct MARC tags, indicators, and subfield codes to mark up your metadata.

b.) If no records are available, a staff cataloguer usually imports a record to modify, or creates an original record. For this workshop, if you cannot find an existing record to modify, then create an original record using “Add Title”:

o In “Add Title”:

“Control” folder: Select the appropriate record format type.

“Bibliographic” folder: Populate the description and fixed fields as appropriate, using the correct MARC tags, indicators, and subfield codes to mark up your metadata. Click “Save” to save changes.

c.) Click on the “Call Number” folder.

o Look for an item record (item ID barcode) attached beneath the call number record. If the item record is missing, use the “Add item” tool to attach one.

o In the “Item ID” field, enter the library barcode of your item.

d.) Continue modifying the bibliographic record and the volume and item records.

e.) Go back to the bibliographic record and click on the “shield” icon in order to validate headings against the authority file. (See the next subsection, “Wizard icons listed at the top…”)

Login Instructions

IP address:

ilstest.library.utoronto.ca

Workstation name:

PCGUI‐EDIT

Login: FISCAT

PIN: 1351

This account has been set up only for the duration of this workshop, and will expire after the workshop.

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f.) Check the shelf list for call number duplication. (See the next subsection, “Wizard icons listed at the top…”)

Wizard icons listed at the top of the “Modify Title” task window:

1 2 3 4 5 6

Icon 1. List the catalog by call number.

Icon 2. Validate headings. (Headings in bibliographic record will be checked against authority file.)

Icon 3. Insert blank field above current field.

Icon 4. Insert blank field below current field.

Icon 5. Insert blank field at bottom of form.

Icon 6. Delete current field.

STEP 3. Validate headings.

As you were saving your work during the editing stage, you may have noticed the code |?UNAUTHORIZED appearing beside certain 1XX, 6XX, 7XX and 830 fields.

The |?UNAUTHORIZED code is auto‐generated; it appears when a heading entered does not match the headings found in the authority file. Regardless of whether an |?UNAUTHORIZED code appears or not, you should always validate headings. If a heading is not found, you will need to establish it by creating an authority record for it.

To validate headings:

a.) Save your work first.

b.) Next, select any heading that you want to verify, and click on the “Validate headings” wizard (the shield icon) located near the top left corner of Modify Title.

c.) A new window will open:

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d.) Review the hit list for available matches. Determine whether the record applies to your heading. Headings marked with a green check mark on the shield are authorized (or valid) headings and may be used in your bibliographic record. Headings marked with a red arrow on the shield are unauthorized (or invalid) headings and must not be used in your bibliographic record. Is the heading that you have used an authorized heading?

If the answer is “yes”:

Great! Your work has just gotten easier:

Highlight the entry in the hit list. Click on the “Get from list” button, located at the top right side of the window.

Evaluate the next unauthorized heading by clicking on the “Next” button. Continue the validation process until all headings have been checked.

If the answer is “no”:

You have the opportunity to accept, browse, or import an authority record at this stage.

Usually, to import an authority record from another institution, we use a Z39.50 client called SmartPort. (To read more about the Z39.50 protocol, see the NISO resources guide, www.niso.org/standards/resources/Z39.50_Resources.) If no authority records are available to import via SmartPort, a new heading is then proposed for addition to the authority file.

For this workshop, we will not be importing any authority records. Either select a matching record, or click on the “Skip” button.

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To view the bibliographic record as though you were a public user, go to Item Search and Display. Find the record. Click “Display”. Look for a red book icon located near the top left of the window. The red book display will show only the information that is available to the public to see.

STEP 4. Assign a call number to the volume record.

While still working in the Modify Title wizard, look for the “Call Number/Item” tab. The call number should consist of 2 parts: Dewey classification number + Cutter.

For this workshop, we will not be classifying the item. Instead, please enter INFORUM WORKSHOP as your call number.

Now click on the “List the Catalog by Call Number” icon (first icon on the top left corner of the Modify Title window).

This wizard allows you to check that the call number you have chosen is unique. You can also use this wizard to see where your item will be shelved alongside other items in the UTL catalogue. This wizard will list all libraries’ call numbers.

Tip: To browse call numbers for only FISINFORUM items, use the “Item Search and Display” wizard, located in the “Common Tasks” toolbox:

Search for: [enter your call number]

Index: Call number

Library: FISINFORUM

Type: Browse

STEP 5. Update the item record.

Check that you have selected the correct classification scheme (DEWEY), item type, home location, and item library.

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References

Chan, L.M. (2007). Cataloging and classification: An introduction. 3rd edition. Lanham, MD: Scarecrow Press.

International Federation of Library Associations and Institutions [IFLA]. (2009). Statement of international cataloguing principles. Retrieved from http://www.ifla.org/files/assets/cataloguing/icp/icp_2009‐en.pdf

Library of Congress. (2005). Understanding MARC authority records: Machine‐readable cataloging. Retrieved from http://www.loc.gov/marc/uma

Library of Congress. (2009). Understanding MARC bibliographic: Machine‐readable cataloging. Retrieved from http://www.log.gov/marc/umb

National Information Standards Organization. (2013). Z39.50 resources page. Retrieved from http://www.niso.org/standards/resources/Z39.50_Resources

Taylor, A.G. and Joudrey, D.N. (2009). “Cataloging”. In Bates, M. (Ed.). Encyclopedia of Library and Information Sciences, 3rd edition. New York: Taylor and Francis. Retrieved from http://dx.doi.org/10.1081/E‐ELIS3‐120044500.

Tillett, B. (2003). What is FRBR? A conceptual model for the bibliographic universe. Retrieved from http://www.loc.gov/cds/downloads/FRBR.PDF

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