Cataloging Standards

Authors: Elisabeth Aurelle, Michael Conkin, and Tonette Mendoza

Note: This is part 2 of a 4-part document. Move among documents using links at the end of the document being viewed.

III. Cataloging Functions

A . Searching for Bibliographic Copy
The first step in most cataloging is searching OCLC and/or RLIN for a usable bibliographic record describing the item in hand. In some cases, cataloging with copy is performed at the time of searching; standards for these two functions cannot always be c ompletely separated.

1. Performance context
   Staff performing this function need:
   
   • Access to a networked PC with the current versions of OCLC Passport for Windows and/or RLIN Terminal for Windows access software installed
   • Written documentation and standards:
     • Guide to Searching the Online Union Catalog (OCLC)
     • OCLC Searching Reference card
     • RLIN Searching Manual (optional)
     • Romanization and article tables
     • Local unit guidelines for defining usable copy (i.e., AACR2-vs.-non-AACR2; locally acceptable level of cataloging, etc.), and procedures for problem resolution
   • Training and review
     • Adequate training to perform successful searches using a variety of search techniques
     • Adequate training to recognize quality of bibliographic data
     • Knowledge of local guidelines establishing minimum and maximum number of searches, and indicating when to refer work to higher level staff for review
   • Workflow organization, etc.
     • Basic understanding of unit workflow
     • Understanding of unit organization and purpose
     • Awareness of when and where to get help when needed
2. Performance standards
   The basic Library wide standard for this function might be expressed in this way:

   Perform the fewest searches needed to achieve definitive search results, and no more. In practice, a minimum of 3 searches (if no hits are found in the 1st and/or 2nd search) per item suffices. In any case, 5 searches are probably enough. Experienced catalogers use judgment in searching for copy.

   As of this writing, no methods for evaluating the performance of this function are in place. Performance indicators for searching for copy as a distinct function might include:

   1. Rate of copy found to be unusable, with an acceptable 10-15% error rate (a higher rate considered below standard.) This can be measured by a pre-cataloging review comparing copy retrieved with item in hand. Such a review might be conducted reg ularly, or during a sampling period, e.g., once a month, once a quarter, etc.
   2. Rate of usable copy missed, with an acceptable 10-15% error rate (a higher rate considered below standard.) This also can be measured during a pre-cataloging quality review check (regular or during sampling period), re-searching those items for which no usable copy was found. Such a review for this indicator should take into account the time between the original and follow-up searches.
   3. Rate of material being returned from original catalogers with usable copy, with an acceptable 10-15% return rate (a higher rate considered below standard.) NOTE: The time elapsed between the initial andsubsequent searches is to be taken into account. This might be measured by recording the total number of items with copy received and the number of items with usable copy returned.
   4. Rate of production: as a standard separate from quality considerations, the average quantity rate for this function cannot easily be assessed on a Librarywide basis due to the variety of materials cataloged (books, serials, maps, scores, computer fil es, media, etc.). Refer to locally established standards for further guidance.

B. Cataloging with Copy

This function usually begins after successful searching has identified a record (or records) with usable copy describing the item in hand. Catalogers using copy add, delete and/or modify data to reflect local cataloging and holdings practices to produce m achine-readable records for addition to the GLADIS database. Aspects of the performance criteria for this function are related to those described in searching for copy.

1. Performance context
   Staff performing this function need:
2. Access to a networked PC with the current versions of OCLC Passport for Windows and TTE (and/or RLIN Terminal for Windows) software installed
3. Written documentation and standards:
   • UC Berkeley Cataloging Directives Manual and its referenced sources
   • Anglo-American Cataloging Rules 2nd ed. 1988 Revision (and 1993 Amendments) and Library of Congress Rule Interpretations
   • Library of Congress Classification Schedules
   • Guide to Searching the Online Union Catalog (OCLC)
   • OCLC Searching Reference card
   • RLIN Searching Manual (optional)
   • PRISM Cataloging Users Guide
   • OCLC Bibliographic Formats and Standards
   • OCLC Cataloging Reference card
   • USMARC Bibliographic Format
   • RLIN Supplement to USMARC Bibliographic Format (optional)
   • USMARC Country codes
   • USMARC Geographic Area codes
   • USMARC Language Codes
   • USMARC Relator, Source, Descriptive Convention Codes
   • GLADIS Maintenance System: A Reference Manual
   • BSD On-Line Cataloging Manual (Copy Cataloging Division)
   • Automated Systems Reference Manual (Copy Cataloging Division)
   • CONSER Editing Guide (Serials)
   • CONSER Cataloging Manual (Serials)
   • Standards for Formatting Summary Holdings for Serials with its Serials Cataloging Supplement
   • ALA Romanization tables
   • Atlases, geographic dictionaries and gazetteers
   • Dictionaries, encyclopedias and other reference tools (including specialized subject tools as needed)
   • Other format-specific documentation for coding as well as local unit guidelines for cataloging, catalog maintenance, for defining usable copy and procedures for problem resolution
4. Training and review
   • Understanding of selection processes in evaluating most suitable bibliographic record(s)
   • Basic knowledge of MARC format
   • Basic keying and editing skills in GLADIS, OCLC and/or RLIN (Note: in some units catalogers do not directly input)
   • Adequate training in classification, call number formatting and basic cataloging functions required to perform according to locally-established guidelines
   • Training in the basic GLADIS and OCLC (and/or RLIN) holdings area formats and conventions to enable correct V/C, note and summary holdings field creation and update
5. Workflow and organization
   • Basic understanding of unit workflow
   • Understanding of unit organization and purpose
   • Awareness of when and where to consult and/or get help when needed
   • Harmonious working environment conducive to free flow of information and advice
6. Reliable and timely database loads managed by the Library Systems Office according to published schedules
7. Performance standards
   The basic Librarywide standards for this function might be expressed in this way:
   • Records should load successfully
     Discounting load delays/failures and other factors beyond the control of catalogers, edited utility records failing to appear in GLADIS are the result of errors made at the time of input. The acceptable error rate for this indicator is 5%, the rate being measurable in two ways:
     • using error log and review queue reports produced by the Systems Office
     • via regular reviews as outlined below
   • The bibliographic record added to GLADIS via download should have as few errors affecting access and comprehension as possible. Error rates should not exceed:
     • 2% in each of the following areas:
       -- title, main entry, call number, control numbers (ISBN, ISSN, etc.)
     • 5-10% in the holdings, V/C field and holdings-structure note areas
       -- subject, physical description, non-subject added entry, holdings, V/C field, holdings-structure note areas

     The single most effective performance indicator to measure correctness/error rates in these categories is a regular post-cataloging quality review check comparing the GLADIS record with the item cataloged. As of this writing, no methods for review in these categories are in place.

     RECOMMENDATION: The panel recommends that material cataloged via the utilities not be released for shelving until after the record appears in GLADIS

     Additional indicators might include:

     1. Returned materials and/or requests for corrections to GLADIS records from staff Librarywide (including those forwarded from end-users)

        In practice these are not truly measurable indicators, since no overall base figures and no figures for reports/requests not sent will be available for comparison; if tallied and categorized, perhaps year-to-year comparisons may yield quantifiable data . These reports may legitimately be used as anecdotal pointers when evaluating a unit's performance, however.

        RECOMMENDATION: The panel recommends that an improved method (possibly web-based) be developed for end-users, especially primary clientele, to report catalog problems, and an improved response method for getting back to them directly (with, e. g., a FAQ section)

        
        

     2. Assessments of database management staff work levels: See above, and also III.F, below.
     3. Rate of production: measured by comparing output figures with the time spent in doing work; usually derived from statistical reports
        
        

     Additional standards for particular categories of cataloging using copy and more specific standards for evaluation of quantity and timeliness of this function may be developed locally.

     C. Original Cataloging
     Original cataloging results in the creation of a bibliographic record directly online in GLADIS or via a cataloging utility, and is performed when usable copy for the specific item in hand is not available at the time of cataloging. In general, original c atalogers:

     • adhere to recognized national standards for full-level AACR2 cataloging;
     • provide complete bibliographic description, with full MARC content designation, verified bibliographic access points, appropriate subject access and call number;
     • keep current with all rule and rule-interpretation changes.

     Within this broad context, original catalogers are allowed maximum flexibility and latitude in applying rules and rule interpretations to specific cases, and are expected to subject their work to exacting self-review.

     This function covers the range from "pattern" cataloging (which uses elements of already-cataloged related-item records such as different editions, earlier titles, supplements, etc., in the creation of a new record) to permanent brief cataloging (which restricts cataloging to minimal bibliographic elements) to full original cataloging.

     NOTE: In addition, the central unit participates in LC's BIBCO (formerly NCCP) program, contributing full-level bibliographic records for UC-owned monographs to the LC database.

     Original cataloging typically requires:

     • full independence in judgment-making and problem-resolution
     • the highest degree of precision and accuracy
     • the application of advanced bibliographic skills
     • complete theoretical and practical understanding and interpretation of cataloging principles
     • extensive subject and/or language expertise.

     NOTE: Authorities work is generally considered to be a component of original cataloging; these standards treat that function separately (see III.D., below)

     1. Performance context
        Staff performing this function need:
        • Access to a networked PC with the current versions of OCLC Passport for Windows (and/or RLIN Terminal for Windows) and TTE software installed
        • Written documentation and standards (includes current revisions and periodic updates):
          • UC Berkeley Cataloging Directives Manual and its referenced sources
          • Anglo-American Cataloging Rules 2nd ed. 1988 Revision (and 1993 Amendments) and Library of Congress Rule Interpretations
          • Library of Congress Cataloging Service Bulletins
          • USMARC Format for Bibliographic Data
          • USMARC Format for Classification Data
          • USMARC Country Codes
          • USMARC Geographic Area Codes
          • USMARC Language Codes
          • USMARC Relator, Source, Descriptive Convention Codes
          • Library of Congress Subject Cataloging Manual (all sections)
          • Library of Congress Classification Schedules
          • GLADIS Online Monographic Brief Cataloging Manual
          • GLADIS Maintenance System: Reference Manual
          • PRISM Cataloging User Guide
          • OCLC Bibliographic Formats and Standards
          • Cataloging in RLIN
          • RLIN Supplement to USMARC Bibliographic Format (optional)
          • CONSER Editing Guide (Serials)
          • CONSER Cataloging Manual (Serials)
          • Standards for Formatting Summary Holdings for Serials with its Serials Cataloging Supplement
          • Guides to searching in GLADIS/OCLC/RLIN
          • Geographic dictionaries, atlases and gazetteers
          • Language references (dictionaries, manuals, etc.)
          • Dictionaries, encyclopedias and other reference tools (including specialized subject tools as needed)
          • ALA Romanization tables
          • Other format-specific documentation for cataloging as well as local unit guidelines for cataloging and catalog management
        • Preparation
          Catalogers having appointments within the Librarian series are prepared to perform original cataloging through education, professional background and acclimatization to the local cataloging environment. Catalogers classified in the Library Assistant serie s are prepared to perform original cataloging by training and experience gained through service. However acquired, the fundamental requirements for original cataloging are equivalent and include:
          • Advanced bibliographic knowledge, including complete familiarity with the key resources noted above
          • Advanced knowledge of MARC format(s)
          • Advanced searching skills in GLADIS, OCLC/RLIN
          • Standard keying and editing skills to enable record-creation in GLADIS, OCLC and/or RLIN (requires full edit authorizations)
          • Thorough understanding of authorities work (see also Section III. D, below)
          • Advanced knowledge in subject and classification assignment
          • Subject knowledge as applicable to specialization
          • Language skills sufficient to catalog materials in a variety of languages
          • Familiarity with standard GLADIS and OCLC (and/or RLIN) holdings area formats and conventions to enable correct V/C, note and summary holdings field creation and update
        • Workflow and organization
          • Thorough knowledge of unit workflow
          • Understanding of unit organization and purpose
          • Complete understanding of cataloging policies, priorities and practices, etc., as related to unit and Library mission
          • A collegial work environment for consultation and referral
        • Reliable and timely database loads managed by the Library Systems Office according to published schedules
     2. Performance standards
        The basic Librarywide standards for this function might be expressed in this way:
     3. Records cataloged via the utilities should load successfully
        Discounting load delays/failures and other factors beyond the control of catalogers, utility records failing to appear in GLADIS or failing to link correctly are the result of errors made at the time of input. The acceptable error rate for this indicator is 5%, the rate being measurable in two ways:
        • using error log and review queue reports produced by the systems Office
        • via regular reviews as outlined below
     4. The bibliographic record added to GLADIS should have as few errors affecting access and comprehension as possible. Error rates should not exceed:
        • 2% in each of the following areas:
          -- title, main entry, call number and control number (ISBN, ISSN)
        • 5% in each of these areas:
          -- subject heading, non-subject added entry, physical description
        • 5% in the holdings, note and V/C field areas (when added by cataloger)

     The most effective performance indicator for evaluating original cataloging would be a regular post-cataloging quality review check comparing the GLADIS record with the item cataloged, concentrating both on the mechanical aspects of cataloging as well as the intellectual aspects, and taking fully into account subjective considerations and judgments made at the time of cataloging.

     In practice, such reviews may best be undertaken as part of the rigorous self-review characteristically exercised by catalogers performing at this level.

     RECOMMENDATION: The panel recommends that material cataloged via the utilities not be released for shelving until after the record appears in GLADIS.

     Additional indicators might include:

     1. Returned materials and/or requests for corrections to GLADIS records from staff Librarywide (including those forwarded from end-users)

        In practice these are not truly measurable indicators. These reports may legitimately be used as anecdotal pointers when evaluating a unit's performance, however.

        RECOMMENDATION: The panel recommends that an improved method (possibly web-based) be developed for end-users, especially primary clientele, to report catalog problems, and an improved response method for getting back to them directly (with, e. g., a FAQ section)

        
        

     2. Assessments of database management staff work levels: See above, and see also III.F., below.
     3. Rate of production: measured by comparing output figures with the time spent in doing work; usually derived from statistical reports

        RECOMMENDATION: The panel recommends that all normal-priority material likely to be held in an original cataloging backlog be represented in GLADIS by an in-process record; if that is not practical, at the very least those items likely to be he ld in such a backlog for 30 days or more should have an in-process record in GLADIS (this does not include material set aside by policy or category).

        
        NOTE: Additional standards for particular categories of original cataloging and more specific standards for evaluation of quantity and timeliness of this function may be developed locally.

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