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Cataloguing Workflows
Executive Summary
1.
Background
2. Workflows
3.
Order/Acquisition
4. Item in hand
- Cataloguing using the Libraries Australia Cataloguing Client
- Cataloguing on the local system
- Cataloguing Using a mixture of the local system and the Client
5. Costs
6. Timeliness
Appendix 1: The Libraries Australia Verification Levels
Appendix 2: The Libraries Australia Minimum Level Record Standard
Appendix 3: Glossary
Appendix 4:
Examples of new book workflow
Executive Summary
This document is a high level look at cataloguing workflows in the Libraries Australia environment. It identifies the common scenarios and key decision points for library managers in the transition from ABN to Libraries Australia.
Key decision areas include:
- how order records are obtained or created;
- the impact of the Libraries Australia minimum level record;
- obtaining copy records through Libraries Australia gateways services versus local arrangements;
- the best time to add holdings to Libraries Australia;
- batch loading impacts on local system requirements, and
- batch loading impacts on the timeliness of the Libraries Australia database.
Advantages of using the Libraries Australia Cataloguing Client in conjunction with Libraries Australia Search include:
- continue to contribute to the Libraries Australia database in a timely manner;
- financial incentives for timely contribution of original cataloguing of Australian material and holdings to the Australian National Bibliographic Database (ANBD)
- have a one-stop shop for bibliographic data, with uniform cataloguing workflows for most material;
- access to other databases such as RLIN;
- have all the advantages of real-time processing in a national system;
- have access to software updates without local systems work required;
- use a system that is up-to date and compliant with international standards;
- use documentation that will be maintained centrally; and
- take advantage of the established training network
The Libraries Australia Cataloguing Client allows contributing libraries to continue the benefits of the Australian National Bibliographic Database, such as the minimisation of cataloguing duplication, and support for authority files. Immediately after the record is input, it is available to share through the network. Batch loading from a local system means that some of the advantages of national cooperation we have enjoyed to date may be lost.
1. Background
This document seeks to identify and discuss issues that contributing libraries face in transferring cataloguing activity from the ABN environment to the Libraries Australia environment. It flags key decision points for library managers who wish to review local work practices and combine use of local systems with Libraries Australia effectively.
Libraries Australia cataloguing functionality is available to two groups of libraries throughout Australia:
- those using the Libraries Australia Cataloguing Client (KCC), and
- those using Libraries Australia Search (part of the functionality only)
2. Workflows
The first section examines key steps in the workflow process and highlights the differences between the ABN environment and the Libraries Australia environment. As part of the discussions, decisions that libraries need to make are identified.
Key steps in the workflow process have been identified as the:
- order / acquisition stage;
- the item in hand stage; and
- authority work.
Further sections look at workflow related issues such as hardware and software, training and other costs; and at timeliness in the workflow process.
Appendix 4 to this document outlines examples of possible workflows within two different type of libraries using the Libraries Australia System.
3. Order/Acquisition
|
Scenario: Generally a library begins the cataloguing
process when the need to obtain the material is recognized. |
3.1 Decision: Download record at order stage into the local system, or create local order record?
If the library decides to download at order, then the staff responsible for selection of the record must be trained in the use of Libraries Australia and be able to make judgments as to the quality and suitability of the record, according to local standards.
3.2 Decision: When no record exists, create minimum level record on Libraries Australia or local order record?
Libraries may choose to have their on-order titles represented on the Australian National Bibliographic Database (ANBD) and downloaded into the local system. These libraries need to consider whether the level of current acquisition staff is appropriate to the creation of minimum level records on Libraries Australia. They also require access to the Libraries Australia Cataloguing Client (KCC).
3.3 Decision: To use Libraries Australia access to other databases to obtain order copy records?
If the library decides to download from other databases using Libraries Australia Search, then staff must be instructed in the triggers for searching other databases, such as the RLIN database. A choice of databases is available through the Libraries Australia Search, and if a suitable record is found, then the record is automatically downloaded into the Australian National Bibliographic Database (ANBD). Staff must then add holdings or the rmr command must be issued to pass the record into the local system.
3.4 Decision: To use direct access to other databases to obtain order copy records?
If the library local system has their own method of obtaining copy
records, they may choose to manage their own access to target databases and
arrange to load records directly into their local system.
A method for
reporting the record and the library holdings to Libraries Australia needs to be
established, if the library wishes to report orders to the ANBD.
3.5 Decision: To add holdings to the record on Libraries Australia at order stage?
Libraries may choose to add general holdings to Libraries Australia when
downloading a record into the local system, and update them with a simple
Held statement when the item is supplied. Libraries should delete
order holdings if the order is not filled.
Other libraries may wish to
update the Libraries Australia record at a later date with a call number (assigned after
the item has been received and catalogued). This allows them to use the
Australian National Bibliographic Database as a back up if their local system is
unavailable.
Libraries using the holdings for ILL may wish to have the most
complete call number possible, to save on having to search ILL requests in the
local system before retrieval.
4. Item in hand
|
Scenario: Generally items arriving at a library are matched with a record on the local system. Depending on the individual library policy, items are streamed into a number of different categories, in order to complete the updating of both the local system and Libraries Australia. |
|---|
Libraries need to establish if the record already in the local system is suitable to represent the item in hand, according to local and Libraries Australia standards. If a record is available and is suitable then holdings are added to both the local system and added to Libraries Australia.
However, if no suitable record can be found, then libraries may choose to either
- catalogue on the Libraries Australia Cataloguing Client (KCC);
- catalogue on their local system only and batch load to Libraries Australia;
- or use a mixture of the two systems.
Examples of these strategies are given below.
Cataloguing using the Libraries Australia Cataloguing Client
Depending on local policies, Libraries Australia and other bibliographic utilities may be searched, and a suitable copy record obtained, with holdings added. Libraries may use Libraries Australia Search for searching and retrieving records from other bibliographic utilities to load directly to Libraries Australia.
If no suitable record can be found, then the item is catalogued according to network standards using the Libraries Australia Cataloguing Client. Holdings can then be added, which can be used as the trigger to download the record into the local system.
Issues
Staff judging the value of a record against the item in hand have a national database to select from, with complete information about the quality of the record such as verification levels.
Holdings are simple to add, and the real-time addition of holdings allows the process of cataloging, adding holdings and downloading cataloguing to be collapsed into one activity. Costs arising from storing and re-checking books on the database are eliminated.
There is no need to modify the local system to download records or maintain a method of flagging local system records for batch loading. There is also less systems involvement at the local level in keeping the Libraries Australia database and local holdings synchronized.
Supervisors and staff need to adjust to the new workflows, and understand the implication of reviewing work from the database, not separately in a review file. Junior or untrained staff can use appropriate verification levels on the Libraries Australia Cataloguing Client to indicate that their work is under review and reviewing staff will issue a simple search to select the work for their institution which is verified as Under review.
Authority work
Authority work can be done immediately on the system, and when the correct procedure is followed, there are no delays in completing authority work on the same day.
Authority work can be done on the fly while creating the headings needed for the record, or they can be done once the bibliographic record has been saved and completed. When importing records from other databases, headings in conflict with Australian name and subject heading standards can be amended immediately.
Existing headings without authority data are clearly marked so that staff can upgrade the heading either during or after the creation of the bibliographic record.
Cataloguing on the local system
Depending on local policies, Libraries Australia and other bibliographic utilities may be searched, and a suitable copy record obtained for the local catalogue. Records obtained from other bibliographic utilities and the holdings are then reported to Libraries Australia.
Finally, if no suitable record can be found, then the original cataloguing for the item is done on the local system, with holdings added. The new record and the holdings are then reported to Libraries Australia by batch load. Batch loading from the local system will delay the availability of shared cataloguing on the ANBD.
It is envisaged that the tasks in this scenario are achieved using Libraries Australia Search, and/or the functionality of the local library system.
4.1 Decision: Appropriate level of staff to judge if record is suitable?
Staff need more complex instructions when considering the suitability of the record. The quality of a record needs to be judged, depending on local cataloguing values and Libraries Australia minimum record standards. Possible points of information in addition to the bibliographic data are the encoding level of the record, and the source of the cataloguing. A verification level indicating the completeness of the cataloguing is available on the Libraries Australia Cataloguing Client, but this is not exportable to the local system.
4.2 Decision: To update holdings on Libraries Australia at cataloguing stage?
Libraries may wish to update the Libraries Australia record with a call number (assigned after the item has been received and catalogued). This can be done by batch loading. However this will cause delays and may lead to less reliability in the use of Libraries Australia as a backup for the local system or for ILL.
4.3 Decision: Is the local system capable of managing the reporting of records and holdings to Libraries Australia, and supporting the reporting process?
If the library is doing cataloguing, adding holdings and changes to
records on the local system, the library needs to be able to adequately flag
and export records to Libraries Australia, in the required format.
It will require the
ability to export holding updates or changes, and in all cases retain
information about what has been reported.
Further, the local system
parameters for exporting records or holdings may need the ability to exclude
certain types of records, for example local order records, which they may not
wish to be reported to Libraries Australia.
Once suitable files of records are created
from the local system, there is a requirement to export the files to the ANBD
staff at the National Library of Australia using ftp or the Internet, and to
deal with any errors reported from the files.
4.4 Decision: To use Libraries Australia access to other databases to obtain bibliographic copy records?
If the library decides to download from other databases using Libraries Australia Search, then staff must be instructed in the triggers for searching other databases, such as the RLIN database. A choice of databases is available through the Libraries Australia Search, and if a suitable record is found, then the record is automatically downloaded into the Libraries Australia database. Staff must then add holdings or the rmr command must be issued to pass the record into the local system.
4.5 Decision: To use direct access to other databases to obtain bibliographic copy records?
If the library local system has their own method of obtaining copy
records, they may choose to manage their own access to target databases and
arrange to load records directly into their local system.
A method for
reporting the record and the library holdings to Libraries Australia needs to be
established, if the library wishes to report to the Libraries Australia database.
4.6 Decision: To carry out authority work on the local system, or on Libraries Australia?
Libraries using batch loading to Libraries Australia do not get a report of new headings generated by their batch load. This means that they are not easily able to identify what authority work needs to be carried out as a result of their batch load. In addition, authority work can only be done using the Libraries Australia Cataloguing Client and cannot be batch loaded from the local system to Libraries Australia. If authority work is only done on the local system the benefits of local authority work cannot be easily shared at a national level.
Heading in records selected from other bibliographic utilities may conflict with Australian national standards. Checking headings against the local catalogue may not reveal the possible conflict that may occur when the bibliographic record is loaded to the ANBD. Libraries may choose to have the Libraries Australia Cataloguing Client open at the same time so that headings can be checked immediately.
Cataloguing using a mixture of the local system and the Libraries Australia Cataloguing Client
Libraries would need to consider some or all of the issues and decisions already mentioned in the previous two strategies, depending on how they chose to blend cataloguing procedures on the local system and the Libraries Australia Cataloguing Client.
There are many factors to consider when choosing whether to use the local system or the client, but some of these might include:
Workflows for copy and original cataloguing. For example, libraries that have separate streams for copy and original cataloguing might choose to perform original cataloguing via the client, and copy cataloguing locally using Libraries Australia Search to search for copy records.
Type of material. Libraries might choose to contribute their recent Australian material cataloguing via the Libraries Australia Cataloguing Client, and overseas material could be done locally and contributed through regular batch loads to Libraries Australia.
Current material. Libraries might contribute all their current copy and original cataloguing using the client and batch load retrospective data. This approach would maintain the coverage and effectiveness of the ANBD as a resource for ILL and shared cataloguing.
Lending or non-lending. Libraries may choose to catalogue items that are not for loan in their local system and report these to Libraries Australia in batch files as timeliness and the need for ILL data would not be so important.
5. Costs
Cost issues involved in the selection of a suitable workflow for your library include:
5.1 Software and Hardware
Libraries need to ensure that the suitable number of web browsers and clients are available to allow for their desired workflow. Streaming workflows so that as much as possible is achieved using Libraries Australia Search, and the functionality of the local system reduces the requirement for Libraries Australia Cataloguing Client clients for all staff. The National Library of Australia is looking into the pricing structure for the Libraries Australia Cataloguing Client, so that the option of leasing the client software for an annual fee may be negotiated. Detailed information on the changes needed to Libraries IT environment can be found in Hardware and software requirements: preparing the IT customer environment for Libraries Australia
5.2 Training/Staff Levels
In order to have staff performing effectively at all stages in the workflow, additional training may be required in areas such as input of order records; selection of records for downloading; dealing with upline and/or downline loading of records; and adding of minimum level records. Appropriate staff levels for each stage in the workflow may need adjustment.
Currently it is envisaged that staff who use Libraries Australia Search will require approximately 1 days training, in order to understand the features of the system.
Staff who use the Libraries Australia Cataloguing Client will need slightly more training, approximately 2 days, to learn to use the client software.
5.3 Incentives for cataloguing
Under the Incentives Scheme, libraries that contribute data on line will be allocated a number of Libraries Australia Cataloguing Clients in proportion to their level of contribution. It is anticipated that the allocation of Clients will meet the needs of contributors, but additional Cataloguing Clients may be purchased. The Incentives Scheme will also provide a percentage rebate based on the level of a library's bibliographic data contribution and the level at which it meets the following criteria:
- contributing all of its holdings to the ANBD;
- contributing original cataloguing for all Australian materials not found on the ANBD;
- the timeliness of contribution of holdings and original cataloguing; and
- the quality of the holdings and original cataloguing data contributed.
Libraries choosing to batch load will be charged a registration fee of $1,000 to cover file assessments and any required conversion program changes.
6. Timeliness
When considering which scenario best suits their library, contributors to the Libraries Australia database need to take into account the issues of timeliness. The real-time nature of Libraries Australia allows the collapse of certain activities currently separate in the workflow.
This affects the workflow in a number of ways: for example, libraries that largely catalogue overseas imprints may find that the gateways services greatly reduce their need to wait for suitable copy cataloguing.
The differences in updating the Libraries Australia database through batch loads from the local system, which has no guaranteed turn around; and updating through online contribution also needs to be considered. Online contribution increases the coverage and effectiveness of the ANBD for all contributing libraries, and facilitates a more reliable authority file.
Appendix 1: The Libraries Australia Verification Levels
The verification level is used in Libraries Australia to note the workflow status of a particular cataloguing record. The encoding level assigned within the MARC record is used in conjunction with the verification level to decide the quality and extent of a record.
The verification levels that have been accepted for bibliographic records in Libraries Australia are:
- Under construction
- Under review
- Completed (not necessarily to a high level. Encoding level will indicate level of record)
- Completed (Quality Assured standard (not necessarily high level. Encoding level within the MARC record will indicate level of record)
- Completed high level record (equivalent to LCDN 3)
Libraries will have 5 working days to complete or upgrade records with verification levels of 1 and 2.
The verification level is a flag, not a MARC tag, and is used only in online cataloguing.
ANBD staff will assign a blanket verification level to each batch load of records.
The verification level is not exported in a MARC record from Libraries Australia.
Libraries with a previously assigned ABN Review Centre status or those who have undergone assessment under the Quality Assurance program will be able to assign verification level 4.
Verification levels for authority records are still to be established.
Encoding levels
The following encoding levels will be implemented in Libraries Australia:
|
# |
Full level |
Same as ABN |
|
1 |
Full level, material not examined |
Same as ABN |
|
3 |
Abbreviated level |
New applied to ABN Interims |
|
4 |
Core level |
Same as ABN |
|
5 |
Partial level |
Same as ABN for serials |
|
7 |
Minimal level |
Same as ABN |
|
8 |
Prepublication level |
Same as ABN |
|
U |
Unknown level |
Same as ABN |
Appendix 2: The Libraries Australia Minimum Level Record Standard
The minimum level record standard was approved as:
- AACR2 level 1 description,
- A minimum of one name or uniform title heading if applicable
- The following Leader codes:
- Type of record
- Bibliographic level
- Encoding level
- The following 008 character positions:
- Date of publication code
- Country of publication code
Appendix 3: Glossary
Libraries Australia Cataloguing Client (KCC): A software client that is required on local PCs in order to catalogue on Libraries Australia directly. This is a windows based product, available for purchase, or lease, or distributed as part of an incentive package.
Libraries Australia Search: A web based interface to the Libraries Australia database which requires no additional software on the searchers PC, beyond a recent Netscape web browser. Can be used to search Libraries Australia and other databases, to add holdings and to order some products.
Australian National Bibliographic Database (ANBD): The National Bibliographic Database (ANBD) will operate through the Libraries Australia service. It will function as Australias largest single bibliographic resource, supporting the creation of shared bibliographic, authority and location data.
RLIN: The Research Libraries Information Network, is an information management and retrieval system supported by the Research Libraries Group (RLG) and other RLIN users for cataloging, interlibrary loan, and archives and manuscripts control. It includes an online union catalog of nearly 88 million items, and name and subject authority files.
Downline loading (DLL): Libraries will be able to load bibliographic and holdings data from Libraries Australia to their local system without any changes to their current DLL arrangements. Output will only be in USMARC. AUSMARC output will not be available. Libraries using the ABN new-style immutable (ABN LON tag) for matching will not be affected. Local system numbers will continue to be entered in holdings statements and output in tag 035, and old-style immutables will continue to be output.
Batch loading: The batch service will allow Libraries Australia customers to send files of bibliographic and/or holdings records via FTP to update the Libraries Australia database. Three types of update will be supported:
- bibliographic addition and update, with or without holdings ;
- holding addition and update ;
- holding delete
A document outlining the details on batch loading of cataloguing and holdings will be available soon.
RMR: Request MARC record command.
Appendix 4: Examples of new book workflow
Small / Special library
| Step 1: | Using Libraries Australia Search check Libraries Australia for record to copy at order stage. |
| Step 2: | If a suitable record is available
|
| Step 3: | Check local catalogue for suitable record when the book arrives |
| Step 4: | If suitable record exists,
|
| Step 5: | If no suitable local record exists, use the Libraries Australia
Cataloguing Client to find a suitable ANBD record
|
| Step 6: | If no suitable ANBD record is found use the Libraries Australia
Cataloguing Client to
|
Large / University Library
| Step 1: | Using Libraries Australia Search check Libraries Australia for order record to copy. |
| Step 2: | If a suitable record is available
|
| Step 3: | If a suitable record is not available
|
| Step 4: | Check local catalogue for suitable record when the book arrives |
| Step 5: | If suitable record exists in local system and no
changes are required,
|
| Step 6: | If suitable record exists in local system and changes
are required
|
| Step 7: | If suitable record is not found on the local system
|
| Step 8: | If suitable record not found on Libraries Australia, using
Libraries Australia search or other database
|
| Step 9: | If suitable record not found on Libraries Australia or other
utilities
|

