About the instructor Elisa Sze is a Metadata Librarian at the University of Toronto Libraries. Prior to joining the central library, she served as the Faculty of Information’s Collections & Public Services Librarian, and as a sessional instructor for the course INF2145 Creation & Organization of Bibliographic Records. She can be reached at elisa.sze@utoronto.ca.

Cataloguing with Sirsi Workflows University of Toronto, Faculty of Information

iSkills Workshop, Winter 2020 Instructor: Elisa Sze

Workshop objectives

Using SirsiDynix Symphony Workflows, participants will:

Search and modify bibliographic records

Look at the relationship between bibliographic, volume, and item records

See examples of original cataloguing and authority control

Some previous exposure to cataloguing standards such as AACR2, RDA, and MARC21, is recommended

for those who want to engage fully in the hands-on exercises. This workshop will appeal to students

interested in metadata use in libraries.

Learning outcomes

By the end of the workshop, participants will be able to:

Define what integrated library systems are

Identify the types of metadata that are contained within the Cataloguing module of Sirsi

Use the Modify Title function to update bibliographic records

This workshop complements the workshop Basic cataloguing for non-cataloguers.

What is cataloguing?

Cataloguing is the process of preparing records for the catalogue, in accordance with principles, standards,

and best practices. A catalogue:

Is an inventory of a collection

Represents a collection as a whole, as well as each resource contained in the collection

Enables specific user tasks. For example —

1. Bibliographic descriptions enable these tasks: Find, Identify, Search, and Obtain

2. Subject headings enable these tasks: Find, Identify, Search, and Explore

The primary principle of cataloguing is the convenience of the user (IFLA, 2016, p. 5). For a concise

history of the development of cataloguing theory and standards, see Chapter 2 of Chan’s Cataloging and

Classification: An Introduction (2007, p. 47-63).

Having foundational knowledge of cataloguing practices enhances collection management and reference

activities in libraries, archives, museums, and analogous institutions. Cataloguing in other organizations

might be known by different names (e.g., archival description, metadata creation, museum registration).

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Cataloguing involves 3 steps:

1. Descriptive cataloguing

2. Subject cataloguing

3. Authority work.

We work with two “files” of records:

1. Bibliographic records

2. Authority records

To make this data machine readable, we

encode bibliographic and authority records in

MARC format (www.loc.gov/marc/).

To visualize how parts of a record fit together

to enable users to discover and access

resources, see https://prezi.com/

p7zq7ibcz_14/the-catalogue-record.

Taylor and Joudrey (2009) also offer an excellent overview of cataloguing.

What is an Integrated Library System (ILS)?

An ILS is a database for tracking orders,

vendors, funds, inventory, and the

movement of items in a collection among

library users.

It communicates relevant information to the

online public access catalogue (OPAC).

Library users (i.e., staff and end users) run

OPAC searches to find out “what” is

available “where”.

At University of Toronto Libraries (UTL):

SirsiDynix Symphony is our ILS

Workflows is our client application

accessing the ILS.

Our OPAC is accessed in two ways:

1. Classic catalogue,

https://toroprod.library.utoronto.ca/uhtbin/cgisirsi/x/x/0/49 - Instantaneous updates as

records in Symphony are updated

2. Endeca (discovery layer), https://onesearch.library.utoronto.ca - Slower to update, requires a

separate database to be updated, but the discovery layer enables faceted search using filters

Figure 1. Cataloguing workflow

Figure 2. Relationship between bibliographic and authority records

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Starting up the Workflows application

On your desktop, look for the icon for Workflows 3.5.1.1J:

Upon start-up, you should see a “Configuration” window:

If the Configuration window does not show up, raise your hand and the instructor will take a look.

When prompted, login with these temporary credentials:

User ID: PIN:

For the IP Address: Clear the field, then type in:

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Cataloguing in the Workflows client application

A menu of Workflows modules runs across the top of the Workflows desktop. Select the Cataloging module.

Tasks associated with the Cataloging module will appear on the left-side menu. General system Preferences

(e.g., changing the appearance of your Workflows desktop) and Tools appear at the top of your screen, above

the modules bar.

Tasks are grouped by function. When you left-click on a task, the active window will open on the right side

of the screen. If you want to change the settings for a task, right-click on it, then select “properties.”

Most cataloguing tasks are based around a bibliographic record. In Workflows, bibliographic records are

referred to as “Titles”.

Table 1 lists frequently used tasks in the “Cataloging” module. Tasks highlighted in yellow are the ones that

you may want to learn first.

Add/edit bibliographic records

(Titles) by expanding this box.

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Table 1. Frequently-used tasks in the “Cataloging” module

Common Tasks Titles Call Numbers &

Items

Authorities

Call Number and

Item Maintenance:

Edit call number, home

location, item type.

SmartPort: Download

other libraries’ records

using this Z39.50

compliant application.

Item Search and

Display: Look up

records without altering

any information. Once a

record is pulled up, see

what the public sees by

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 physical

copies of a work to an

existing call number

record.

Edit Item: Modify the

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.

Modify Authority: Edit

a name heading, title or

subject heading record.

Elements of a “Title” record in Workflows

Cataloguers create surrogate records of resources held in the library collection. The copy at hand is used to

extrapolate a general description of all copies of that publication or production.

In Workflows, each Title record = a surrogate record. Each title record is broken across multiple folders:

Control, Bibliographic, MARC Holdings, Call Number/Item, Bound-with.

Control Title control number & Catalog key: unique identifiers used for matching records

Record format: choose a template that corresponds with the type of resource:

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MARC = most bibliographic entities

SERIALS = anything that is continuous

VM = visual materials

EQUIP = non-MARC format for non-bibliographic entities

Bibliographic Contains a description of the resource, as well as controlled headings that provide consistent access to

creator names, titles, place names, and subject headings.

Fixed fields

Variable

length fields

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Call Number/Item Records the Call number of the resource, and item-specific information (e.g., barcodes, library location).

Division of labour

Copy cataloguing

Few enhancements are required to upgrade the record

Sometimes, copy cataloguing requires you to import a bibliographic record from another library,

using a Z39.50 client called SmartPort. Read more about the Z39.50 protocol: www.niso.org/

publications/z3950-primer-protocol

Start with a nearly full, or complete record, check it for accuracy. You’ll most likely work in the

Modify Title window.

Copy-specific

information

Call number for all attached copies

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Verify subject headings

Validate all headings

Add a call number and item information to your copy

Shelflist, to ensure uniqueness of call number, following LC filing rules

Derived cataloguing

The bibliographic record of a similar work forms the basis of a new record OR you have a partial

record that needs significant upgrading

Verify or add subject headings

Validate all headings

Add a call number and item information to your copy

Shelflist, to ensure uniqueness of call number, following LC filing rules

Original cataloguing

A new bibliographic record is created from scratch, OR you only have an order record to work from

Add subject headings

Validate headings

Add a call number and item information to your copy

Shelflist, to ensure uniqueness of call number, following LC filing rules

Typical cataloguing process

First, answer the question “What are you cataloguing?”

Next, look for a good record in Sirsi (see Appendix I for a flowchart)

If a good record exists, check it for accuracy and completeness

If an ok record exists, enhance it

If a brief record exists, or no record is found at all, create a record from scratch, or import one from

an external source

When assessing records, you are looking for:

Accurate transcription of the title

Fixed fields are filled in

Variable length fields are complete

Complete description, with correct encoding

Headings for names of creators – entered and validated

Subject headings – entered and validated

Call numbers – including shelf-listing

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Standards used

Bibliographic and authority records are created according to standards. Library-specific examples:

Content description: AACR2 (Anglo-American Cataloguing Rules, 2nd edition), RDA (Resource

Description & Access), both accessed via www.rdatoolkit.org

Subject cataloguing: LCSH (Library of Congress Subject Headings), MeSH (Medical Subject Headings),

AAT (Art & Architecture Thesaurus)

Classification: Library of Congress Classification, Dewey Decimal Classification, Universal Decimal

Classification, C3 (Customer-Centred Classification), Brian Deer Classification

Encoding/data structuring: MARC (MAchine Readable Cataloguing), BIBFRAME, RDF/XML

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 staff client, OPAC, and discovery layer.

Encoding records in MARC 21 Format

Bibliographic Data - http://www.loc.gov/marc/bibliographic

Authority data - https://www.loc.gov/marc/authority

Code list for countries - https://www.loc.gov/marc/countries

Code list for geographic areas - https://www.loc.gov/marc/geoareas/gacs_code.html

Language codes - https://www.loc.gov/marc/languages

Frequently used MARC 21 Bibliographic Data Format tags:

010 – LC control number

020 – ISBN

100 – Personal name entry (author) or 110 – Corporate body name entry (author)

245 – Title information

250 – Edition

260 or 264 – Publication information

300 – Physical description

490 – Series statement

500 – General note

504 – Bibliographic references note

505 – Contents note

650 – Topical subject heading

700 – Personal name added entry (secondary author, editor, or illustrator) Aside from the 3-digit MARC tag, you may also be required to fill in one or both indicators corresponding to the tag, and mark up fields with subfield codes. In essence, a MARC field could look like this:

▒ ▒ ▒ ▒ ▒ $▒ ▒▒▒▒▒▒▒▒▒ $▒ ▒▒▒▒▒▒▒▒

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Exercise 1: Compare the public view vs. the MARC view

Below are two views of the same bibliographic record. The bibliographic record describes the novel

Scarborough, by Catherine Hernandez, published in 2017. Identify the similarities and differences between the

two views.

Consult MARC21 Format for Bibliographic Data (http://www.loc.gov/marc/bibliographic) for the

meaning of each three-digit MARC tag.

Public catalogue view:

Author: Hernandez, Catherine, 1977-, author.

Title: Scarborough / Catherine Hernandez.

Cover title: Scarborough : a novel

Publication information: Vancouver B.C : Arsenal Pulp Press, [2017].

Copyright date: ©2017

Physical description: 258 pages ; 21 cm.

ISBN: 9781551526775

Subject: Scarborough (Ont.)—Fiction.

Call number: PS8615 .E7523 S33 2017

MARC view:

001 19781162

005 20180213113103.0

008 170712s2017 bcc 000 1 eng d

020 __ |a9781551526775

040 __ |aYDX|beng|cYDX|erda|dDLC|dCaOTU

043 __ |an-cn-on

050 _4 |aPS8615.E7523|bS33 2017

100 1_ |aHernandez, Catherine,|d1977-,|eauthor.

245 10 |aScarborough /|cCatherine Hernandez.

246 14 |aScarborough :|ba novel

264 _1 |aVancouver, B.C. :|bArsenal Pulp Press,|c[2017].

264 _4 |c©2017

300 __ |a258 pages ;|c21 cm.

336 __ |atext|2rdacontent

337 __ |aunmediated|2rdamedia

338 __ |avolume|2rdacarrier

651 _0 |aScarborough (Ont.)|vFiction

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In the previous MARC view:

Underline all the MARC tags that you see. How many MARC tags are there?

Circle all the subfield codes that you see. How many subfield codes are there?

Now, take a moment to find the UTL’s bibliographic record for this book, in Endeca, the Classic Catalogue,

and Workflows. What differences can you spot between the three displays?

Inputting subfield codes in Workflows

The pipe symbol (|) is used as a delimiter for subfield codes. Different applications use different

delimiters for subfield codes, including the dollar sign ($) and the double dagger (‡).

The code |a should be omitted as |a is the default subfield code in Workflows

Subfield codes are automatically replaced with a space upon public display; therefore, do not add

another space after each subfield code.

Exercise 2: Catalogue an item

Work in pairs, or alone—either way, feel free to consult each other:

Choose an item

Log into Workflows

Work through the cataloguing steps outlined below

Step 1. Examine the item—decide what you are cataloguing a) Is it a single unit OR a multipart monograph OR a serial OR an integrating resource?

b) Are you dealing with textual content?

c) Are you dealing with the print medium?

d) What kind of “container” is used to hold the content? Is it a volume?

e) What relationship does this resource bear with other entities (i.e., agents, places, subjects, or other

works)?

f) What data elements will you need to describe? How much of the information can be transcribed

from the resource? What information will you need to supply?

REMEMBER: each unique manifestation requires its own bibliographic record (“Title” record) in Workflows.

This means that—

An e-version of a book = 1 bibliographic record

A print version of the same book = a separate bibliographic record

An audio recording of the same book = a separate bibliographic record

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Step 2. Enter the metadata in Workflows Search for the bibliographic record in Workflows. If the bibliographic record exists, use Modify Title to

review it. If the bibliographic record does not exist, use SmartPort (see Appendix II) to search for a

relevant record to import.

Detailed instructions for Modify Title:

1. Select the Cataloging module.

2. Expand the Titles box from the left side menu. Click on Modify Title. Using the search form, find

the bibliographic record for the work that you want to catalogue.

o If you find a match, highlight it, then open it. Evaluate the record. Modify as necessary. Use

correct MARC tags, indicators, and subfield codes to mark up your metadata.

3. If no matches are found, close Modify Title. Either search SmartPort for a record (see Appendix

II), or create an original record using Add Title. If you use Add Title:

o “Control” folder: Select the appropriate record format type (MARC, VM, etc.).

o “Bibliographic” folder: Populate the description and fixed fields, using the correct MARC

tags, indicators, and subfield codes to mark up your metadata. Save your changes.

Diacritics can be entered in a few ways:

ASCII keystrokes (Alt + number pad keys)

Symbol table (Tools menu Symbol Table)

4. Continue modifying the bibliographic description, the call number, and item records. If you have

exited either the Add Title or Modify Title window already, you can return to your record by

opening Modify Title again.

Wizards within “Add Title” and “Modify Title” task windows

At the top left corner of the “Add Title” and “Modify Title” task windows are additional functions that

form part of the cataloguing workflow, such as authority control and checking for duplicated call numbers.

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. (Look for your text cursor before hitting ‘delete’, as deletions cannot be

undone.)

1 2 3 4 5 6

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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. Example:

The |?UNAUTHORIZED code is auto-generated; it appears when a heading does not match authorized

headings in the authority file. Always validate your bibliographic headings. If a heading is unauthorized, you

will need to flag it for authority work (usually performed by an original cataloguer).

For this workshop, you are not required to validate headings. However, these are the steps that you would take if you were to validate headings:

a.) Save your work first.

b.) Next, any heading. Click on the “Validate headings” wizard (shield icon) located near the top left

corner of the Modify Title window.

c.) A new window will open:

Options

Preview the closest matching authority record

Hit list

Search term

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d.) Review the hit list for available matches. Determine if the authority record applies to your heading.

Headings marked with a green check mark on the shield are authorized (valid) headings and may be

used in your bibliographic record. Headings marked with a red arrow on the shield are unauthorized

(invalid) headings and must not be used in bibliographic records. Is the heading that you have used

an authorized heading?

If the answer is “yes”:

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. “Skip” the ones of which you are unsure.

If the answer is “no”:

Note the unauthorized heading(s), and decide whether to import an authority record through SmartPort

(see Appendix II) or to create one from scratch.

Step 4. Assign a call number to the volume record. Look for the Call Number/Item tab in Modify Title.

For this workshop, we will not be classifying the

item.

If your bibliographic record has an LC call number suggested in the 050 field, copy and paste that

number into your call number field.

If your bibliographic record lacks an 050, type AUTO into the call number field, then click “save”.

Ensure that you have assigned the call number to the correct library (e.g., ROBARTS). 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 against the shelf list.

Step 5. Update the item record Is there an item ID (barcode) attached to the call number field?

If yes: make sure the item ID matches the barcode on your book

If no: open the Add item window to attach an item ID.

Select the library location (e.g., STACKS)

Step 6. Check your work To view the bibliographic record as though you were a

public user, go to the task 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.

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References

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

Press.

IFLA Cataloguing Section and IFLA Meetings of Experts on an International Cataloguing Code [IFLA].

(2016). Statement of International Cataloguing Principles (ICP). English language version. Retrieved

from: https://www.ifla.org/files/assets/cataloguing/icp/icp_2016-en.pdf

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.

Links to standards

Descriptive cataloguing:

AACR2 (Anglo-American Cataloguing Rules, 2nd edition) and RDA (Resource Description & Access) are

both accessed via www.rdatoolkit.org

Dublin Core, www.dublincore.org/specifications/dublin-core/dces/

Subject cataloguing:

Library of Congress Subject Headings, www.loc.gov/aba/publications/FreeLCSH/freelcsh.html

Medical Subject Headings, www.nlm.nih.gov/mesh/

Art & Architecture Thesaurus, www.getty.edu/research/tools/vocabularies/aat/

Classification:

Library of Congress Classification, www.loc.gov/aba/publications/FreeLCC/freelcc.html

Dewey Decimal Classification, dewey.org/webdewey

Universal Decimal Classification, www.udcsummary.info/php/index.php

C3 (Customer-Centred Classification), www.slideshare.net/dmacklin/c3-categories

Brian Deer Classification, xwi7xwa.library.ubc.ca/collections/indigenous-knowledge-organization

Encoding:

Machine Readable Cataloguing, www.loc.gov/marc/

BIBFRAME, www.loc.gov/bibframe/

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Appendix I: How to choose between copy, derived, or original cataloguing

Item to

catalogue

Is there a

bibliographic

record in the

system?

Yes NoIs the record of

good quality?

Look elsewhere for

a good record to

copy

Yes NoIs a good record

available to

import?

Yes No

Import the

record

Can you use the

record of a similar

work as the basis of a

derived record?

Yes No

Derive the record

(derived cataloguing),

and attach your item

to it

Create a record from

scratch (original

cataloguing), and

attach your item to it

Modify the record as

needed (copy

cataloguing), and attach

your item to it

Assign and/or

modify access

points

Validate all

headings used as

access points

Update, import, or

add authority

records as needed

Assign call

number, check

shelf-listing, and

process

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Appendix II: How to search and download a record from SmartPort

In the Cataloging module, look for the “Common Tasks” box. Click on the icon for SmartPort.

Select the gateway that you want to search (LCMARC or LCAUTH). Click the “Connect” button.

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Select the index that you want to search (e.g., ISBN), type in your search query, then click “Search”.

Highlight the search result that you want to examine more closely, and click on “Display.”

Review the record. If it’s the record you want, click “Capture.” If it’s not the correct record, click “Close.”

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Let’s say you’ve clicked “Capture.” SmartPort will prompt you about how you want the record imported:

Make sure “Match and load” and “Match on title control number” are selected

Title control number source: liso/liso

Call sources: LC,050,,N/LC,090,,N

Library: ROBARTS

Click “OK.” Read any messages that pop-up carefully. If a matching record is found, jot down the matching Title Control Number on a scrap piece of paper before you say “OK”. The Title Control Number will help you retrieve your record later. Review the record before you click “Save.”