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Susan A. Massey Head of Discovery Enhancement
Thomas G. Carpenter Library University of North Florida
Monday January 23, 2012
ALA Midwinter OCLC Creating Cataloging Efficiencies That Make A Difference
A Batch is Born Batch cataloging = performing an action on multiple
records at once OCLC Connexion has batch features ILSs have global functions for batch actions Vendors may provide cataloging records in data files that
can be handled as batch loads Most electronic resources are delivered as batch data
To Batch or Not to Batch
Do more with shrinking staff Decrease dock to shelf time More efficient cataloging processes Metadata changing with technology Assure consistent record quality Automate quality control
Background of Case Study Large academic research institution Vendor print monographs workflow implemented WorldCat Cataloging Partners (WCP) and YBP Pilot data gathered October-December 2008 Workflow fully implemented 2009 Ongoing process improvement since 2010
WCP Workflow Overview
Order • Orders from GOBI system go to YBP • Brief order records loaded in ILS
Records • YBP sends “manifest” to OCLC • WCP returns file of OCLC records
Receipt • YBP sends materials ordered • WCP records overlay brief records in ILS
Missing Step: the Cataloging!
Quality control checks Intellectual intervention Application of national standards Local rules and processes Authority work on record headings
Evidence based
decisions
Design batch QC
Pilot Project
Data
Preparation: A Pilot Project
Pilot Project Parameters
Does the record sent match the item? Is the record complete? Are edits needed in the records? What about analysis and classification? What about added volumes and copies? What about missing data, such as series? How would we handle authority work? Does our WCP profile need adjustment?
WCP Pilot Profile Profile records (sample = 458) Full level: Enc Lvl = Blank, I or 4/core Record source: DLC, pcc (042), OCLC members using
DLC copy
Non-profile records (sample = 151) CIP (Enc Lvl 8) NLM, UKM, OCLC members/non-DLC copy
Data Gathering Method
Cataloged each record manually one-by-one Recorded every issue/error uncovered Measured % of total sample Repeated method for non-profile sample Grouped data by commonalities for decision-making
Data Groups
Profile Decision
Data
Record Match to
Item
Local Process Issues
Record Content
Error/edits
Profile Decision Data
RECORD SOURCE E
NC
LV
L FU
LL
% E
NC
LV
L FU
LL
EN
C L
VL
FULL
ED
ITS
% E
NC
LV
L FU
LL E
DIT
S
EN
C L
VL
NO
T F
ULL
% E
NC
LV
L N
OT
FU
LL
EN
C L
VL
NO
T F
ULL
ED
ITS
% E
NC
LV
L N
OT
FU
LL E
DIT
S
PILOT PROFILE 458 100% 106 23% 0 0% 0 0%
CIP ALL SOURCES 8 1.4% 8 100% 8 1.4% 8 100%
NLM 4 0.7% 2 50% 1 0.2% 1 100%
OTHER SOURCE 61 10.4% 26 43% 7 1.2% 5 71%
UKM 40 6.8% 11 28% 6 1.0% 3 50%
TOTALS 113 19.3% 47 42% 22 3.7% 17 77%
Profile Decision Data
RECORD SOURCE EN
C L
VL
FULL
% E
NC
LV
L FU
LL
EN
C L
VL
FULL
ED
ITS
% E
NC
LV
L FU
LL E
DIT
S
EN
C L
VL
NO
T F
ULL
% E
NC
LV
L N
OT
FU
LL
EN
C L
VL
NO
T F
ULL
ED
ITS
% E
NC
LV
L N
OT
FU
LL E
DIT
S
PILOT PROFILE 458 100% 106 23% 0 0% 0 0%
CIP ALL SOURCES 8 1.4% 8 100% 8 1.4% 8 100%
NLM 4 0.7% 2 50% 1 0.2% 1 100%
OTHER SOURCE 61 10.4% 26 43% 7 1.2% 5 71%
UKM 40 6.8% 11 28% 6 1.0% 3 50%
TOTALS 113 19.3% 47 42% 22 3.7% 17 77%
Record Match “Errors”
By local practice or policy copy catalogers would choose a different record
Different format/profile source preferred Record did not match item
Different Record Choices (Could be ignored in quality control)
WRONG RECORD CATEGORY PR
OFI
LE R
EC
OR
DS
% P
RO
FILE
RE
CO
RD
S
NO
N-P
RO
FILE
RE
CO
RD
S
% N
ON
-PR
OFI
LE
RE
CO
RD
S
TO
TA
L W
RO
NG
R
EC
OR
DS
% T
OT
AL
WR
ON
G
RE
CO
RD
S
Better record available but not matched 0 0.0% 1 0.7% 1 0.2%
DLC available but not matched 0 0.0% 16 10.6% 16 2.5%
Multi-volume set preferred, monograph record sent 7 1.5% 0 0.0% 7 1.1%
Non-profile record delivered 1 0.2% 0 0.0% 1 0.2%
Publication date not matched 3 0.6% 3 2.0% 6 1.0%
Serial record correct, monograph record sent 0 0.0% 1 0.7% 1 0.2%
Serial record sent, monograph record preferred 1 0.2% 0 0.0% 1 0.2%
Title does not match item 1 0.2% 0 0.0% 1 0.2%
TOTALS 13 2.7% 21 13.9% 34 5.4%
Profile Match Issues
WRONG RECORD CATEGORY PR
OFI
LE R
EC
OR
DS
% P
RO
FILE
RE
CO
RD
S
NO
N-P
RO
FILE
R
EC
OR
DS
% N
ON
-PR
OFI
LE
RE
CO
RD
S
TO
TA
L W
RO
NG
R
EC
OR
DS
% T
OT
AL
WR
ON
G
RE
CO
RD
S
Better record available but not matched 0 0.0% 1 0.7% 1 0.2%
DLC available but not matched 0 0.0% 16 10.6% 16 2.5%
Multi-volume set preferred, monograph record sent 7 1.5% 0 0.0% 7 1.1%
Non-profile record delivered 1 0.2% 0 0.0% 1 0.2%
Publication date not matched 3 0.6% 3 2.0% 6 1.0%
Serial record preferred, monograph record sent 0 0.0% 1 0.7% 1 0.2%
Serial record sent, monograph record preferred 1 0.2% 0 0.0% 1 0.2%
Title does not match item 1 0.2% 0 0.0% 1 0.2%
TOTALS 13 2.7% 21 13.9% 34 5.4%
Record Mismatched to Item
WRONG RECORD CATEGORY PR
OFI
LE R
EC
OR
DS
% P
RO
FILE
RE
CO
RD
S
NO
N-P
RO
FILE
RE
CO
RD
S
% N
ON
-PR
OFI
LE R
EC
OR
DS
TO
TA
L W
RO
NG
RE
CO
RD
S
% T
OT
AL
WR
ON
G R
EC
OR
DS
Better record available but not matched 0 0.0% 1 0.7% 1 0.2%
DLC available but not matched 0 0.0% 16 10.6% 16 2.5%
Multi-volume set preferred, monograph record sent 7 1.5% 0 0.0% 7 1.1%
Non-profile record delivered 1 0.2% 0 0.0% 1 0.2%
Publication date not matched 3 0.6% 3 2.0% 6 1.0%
Serial record correct, monograph record sent 0 0.0% 1 0.7% 1 0.2%
Serial record sent, monograph record preferred 1 0.2% 0 0.0% 1 0.2%
Title does not match item 1 0.2% 0 0.0% 1 0.2%
TOTALS 13 2.7% 21 13.9% 34 5.4%
Local Process Issues
TYPE OF ISSUE/EDIT N
UM
BE
R R
EC
OR
DS
% R
EC
OR
DS
NU
MB
ER
ED
ITE
D
% E
DIT
ED
Added Vol / Added Copy 12 2.6% 12 100% Call Number Doubles 1 0.2% 1 100% Call Number Missing 0 0.0% 0 0% Conference Proceedings 8 1.7% 1 13% Curriculum Materials 1 0.2% 1 100% Editions 17 3.7% 0 0% Folio 13 2.8% 13 100% Juvenile Literature 5 1.1% 5 100% Literature 43 9.4% 2 5% Locations, other 1 0.2% 1 100% Multivolume 9 2.0% 9 100% Ref Exam 9 2.0% 9 100% Serials 0 0.0% 0 0% Series Unnumbered 164 35.8% 4 2% Series Numbered 24 5.2% 2 8% Special Formats 2 0.4% 2 100%
Issues to address in batch processing methods: Analysis practice Class together/separate Label locations Alternate departments Special procedures Local cataloging practices
and rules
QC Decision Levels
Critical Errors
•Obstruct user from being able to Find, Select, Obtain a work or expression
Significant Errors
• Identify a manifestation
•Would not create a new record if missing
Non-essential Errors
• Typographical or coding errors
•Do not affect FISO
Sample of Content Errors/Edits
CATEGORY RECO
RDS
REVI
EWED
RECO
RDS
EDIT
ED
% S
AMPL
E ED
ITED
CRIT
ICAL
ERR
OR
Conference proceedings serial vs. monograph 5 2 0.004
1xx author heading incorrect 458 2 0.004
245 title edited 458 1 0.002
Added 246 alternate title 458 6 0.013Extent missing or incorrect (pagination, ill.) 458 28 0.061Table of contents edited 458 49 0.1076xx subject missing or incorrect 458 3 0.007
Series title missing (490) 458 1 0.002
Yellow indicates errors not addressed in QC
Functional Requirements for Batch Quality Control Limit edits to critical & significant errors Use easily obtainable software (MarcEdit) Identify specific records for copy-cataloger intervention Enable editing of batch files in Connexion prior to loading
into catalog Continue to pass authority work to a vendor
Batch QC Workflow Overview Match
Records
• Import WCP file to Connexion Client • Match titles to physical items on book cart • Match WCP records to order titles (ILS Invoice Report)
Content & Process
• Convert Connexion file to MarcEdit • Run MarcEdit QC reports • Identify target edits needed
Edit, Label & Load
• Edit WCP records in Connexion • Print physical item labels • Load records in the catalog
Sample Invoice Report SYS.No. TITLE ACQ.No te s Location
735627ALSWER/LE RESPUESTA : INCLUDING SOR FILOTEA'S LETTER AND NEW SELECTED POEMS
JPL Stx
724539FOCUS IN GRADES 6-8 : TEACHING WITH CURRICULUM FOCAL POINTS.
JPL Stx
752141
IRISH MUSICAL STUDIES; 10 : MUSIC, IRELAND AND THE SEVENTEENTH CENTURY JPL Stx
714495 MODERN SCANDALS, 1904-2008 a/c Ref Stx
714517New ethnicities and language use / Roxy Harris. re-order JPL Stx
714356WOOD STRUCTURE AND ENVIRONMENT.
NotifySam Hamburg x4398 JPL Stx
MarcEdit 300 field report 001 245$a 300$a 300$c 300$e
248664987 Arthur Szyk : 341 p. : 30 cm.212376052 Music and movement : xxii, 227 p 26 cm.231834355 Focus : xix, 284 p. 25 cm. + 1 CD (digital ; 4 3/4 in.).185033336 The business of sports / 3 v. : 25 cm.232257345 New media / viii, 149 p. 24 cm.
• Identify oversize volumes for labeling • Find accompanying material for special processing • Indicate multipart records
MarcEdit Series Report 001 245$a 490$a 490$v 830$a 830$v
47901441 Understanding molecular simulation :
Computational science series ;
1 Computational science (San Diego, Calif.)
289009150 Handel studies : Festschrift series ; no. 22 Festschrift series ; no. 22.289009117 Bringing outsiders in : Cornell paperbacks
60564306 Fuelling war : Adelphi paper, 373 Adelphi papers ; no. 373.320427288 "Ellington uptown" : Jazz perspectives Jazz perspectives (Ann
Arbor, Mich.)
• Identify numbered series for analysis practice • Correct headings and numbering of headings • Supply missing series tracings
MarcEdit Call Number Report 001 245$a 090 050
232921798 The epistemology of belief / 00$aBL51$b.V325 2008277275426 Smoking cessation : \\$aRC567$b.S665 2008122260295 Expanding and merging horizons : 00$aDS423$b.E97
276819738 Shop class as soulcraft :00$aHD4824$b.C72 2009;"\4$aTT145"
230183685 Flexible solar cells / 00$aTK2960$b.P34 2008
41185951 Vencer no es convencer :
00$aPQ6073.F36$bV46 1998;"\4$aPN56.F35$bV46 1998"
213133436 Concrete pressure pipe. 00$aTD491$b.A49 no. M9299942188 Hilbert transforms / 00$aQA432$b.K56 2009
• 090 vs 050 for shelflisting • Alternate call numbers • Double call numbers (labeling issue) • Classification practice
Training Issues QC process = 22 pages of documentation Train staff to use software (Excel, MarcEdit) Divide parts of process among staff abilities Track up to 25 carts of 150 items each Work with Acquisitions staff receiving items Supervise student label processors
Benefits of Batch Processing • Reduced dock to shelf time
from weeks to days Improved
User Access
• Cut cataloging time by 75% • Doubled production
More Efficient Processes
• Freed staff time • Eliminated backlogs
Visible Results
Ongoing Maintenance Continue spot-checking QC Keep up with standards Track ongoing edits for process refinement Later automated improvements
LESSONS LEARNED
Trust each other’s cataloging Everyone makes mistakes Machines do some things better We can do more with less Catalogers do a really good job!
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