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!