Cataloguing with Sirsi Workflows 1

Table of Contents University of Toronto, Faculty of Information Fall 7 iskills Workshop Cataloguing with Sirsi Workflows Instructor: R. Antonio Muñoz Gómez Metadata Librarian (University of Toronto Libraries) Workshop Objectives... What Is Cataloging?... What Is an Integrated Library System (ILS)?... Cataloguing with Workflows... Elements of a Catalogue Record in Sirsi Workflows... 3 Typical Cataloguing Process... 6 The Cataloguing Process... 7 Standards Used... 8 MARC Format for Bibliographic Data... 8 EXERCISE... 3 STEP. Code by hand.... 3 STEP. Enter the metadata in Sirsi Workflows.... 3 STEP 3. Validate headings.... 4 STEP 4. Assign a call number to the volume record.... 6 STEP 5. Update the item record.... 6 References... 6 Workshop Objectives Using SirsiDynix Workflows, participants will: search and modify bibliographic records; see examples of copy/original cataloguing; and understand the relationship between bibliographic, volume and item records. This workshop will appeal to students interested in metadata use in libraries. NOTE: The handout and contents for this workshop were prepared by Elisa Sze, Librarian (Collections & Public Services Coordinator at the Inforum, University of Toronto). Minor modifications were made for the 7 Fall-term version. Cataloguing with Sirsi iskills Workshop Page of 7

What Is Cataloging? Cataloguing is a task-oriented and intellectual process serving two purposes. First, it provides an inventory of items collected by an organization. Second, it provides a means for discovery and access. The latter can be framed in terms of fulfilling four activities, commonly referred to as FRBR (Functional Requirements of Bibliographic Records) user tasks. The four FRBR user tasks are: Find, Identify, Select, and Obtain (Tillett, 3, p. 5). The primary principle informing the standards and practices of cataloguing is the convenience of the user (IFLA, 9, p. ). For a concise historical account of how cataloguing theory and standards have developed over time, see Chapter of Chan s Cataloging and Classification: An Introduction (7, pp. 47-63). Cataloguing involves description, subject analysis, authority control (=consistency of names, titles, and subject headings), and classification (=organization of items). For a visual representation of how the parts of a catalogue record fit together, see https://prezi.com/p7zq7ibcz_4/the-catalogue-record. Taylor and Joudrey (9) offer a more thorough overview of the functions of the catalogue and the process of cataloguing. Understanding cataloguing can enhance collection management and reference work in libraries, archives, museums, and analogous institutions, where the activity is known by other names (e.g., archival description, museum registration). What Is an Integrated Library System (ILS)? An ILS is a database for tracking orders, vendors, inventory, and the movement of items in a collection among library users. The ILS communicates relevant information to the online publicly accessible catalogue (OPAC) so that users can find out what is available where, and manage their library account. SirsiDynix Symphony is an example of a proprietary ILS. Workflows is the staff application that provides access to the databases. What Is a Library Services Platform (LSP)? An LSP is very similar to an ILS, but its main difference is that the LSP allows for better integration and management of electronic resources, while most ILS systems were designed to deal with workflows of print collections. Cataloguing with Workflows The Workflows desktop. A menu of modules runs across the screen. Tasks for the selected module are organized in a column of boxes down the left side of the screen. Active windows open onto the right side of the screen. Most cataloguing tasks in Workflows are based around a bibliographic record. Cataloguing with Sirsi iskills Workshop Page of 7

File Edit Wizards Modules Preference Tools Window Help Acquisitions Booking Cataloging Circulation Configuration ILL... Boxes in the left side menu can be expanded to view all available tasks Common Tasks Titles Call Numbers and Items Authorities Desktop Look for the Cataloging module Special Common Tasks Titles Call Numbers and Items Authorities Call Number and Item Maintenance: Edit call number, home location, item type SmartPort: Download other libraries records Item Search and Display: See what the public sees 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 copies of a work to an existing bibliographic record Edit Item: Modify home location, item type, item IDs (barcodes), and copyspecific information Display Authority: Look up the controlled form of a name heading, title, or subject heading Elements of a Catalogue Record in Sirsi Workflows Cataloguers create surrogate records at the item level, using a specific copy (i.e. item) of a publication in order to describe a manifestation of an expression of a work. (e.g., Shakespeare s play, Hamlet = Work. The English text of Shakespeare s Hamlet = Expression. Arden edition of Shakespeare s Hamlet = Manifestation. Robarts Library s hard copy of the Arden edition of Shakespeare s Hamlet = Item.) Cataloguing with Sirsi iskills Workshop Page 3 of 7

In Sirsi Workflows, the catalogue record is broken across multiple folders: Control folder. Contains a title control number (an identifier used for matching records) as well as a unique catalogue key. Use this folder to change the template that corresponds to the appropriate record format (e.g., MARC, SERIALS, EQUIP, VM, etc.) Bibliographic folder. A description of a work found in a library collection; the record found in the library catalogue acts as a surrogate of the work on the library shelf. Cataloguing with Sirsi iskills Workshop Page 4 of 7

Call Number/Item folder. Attached to a bibliographic record. Contains a call number reflecting each unique call number (or volume) held by a library, and a call number denoting each copy (or item) of each volume. You will also see the following elements within the catalogue record: Item record (found in the Call Number/Item folder). Attached to the bottom of a volume record. Each item record contains information unique to a particular copy of a work, such as the item ID (or bar code), as well as information about the format type and the collection within which the item is shelved. Access points. Information in a bibliographic record that is indexed for browse searches, and retrieval of specific types of information. Can include: authors, corporate bodies, geographic locations, subject headings describing the general topic covered by a work. Call number. Parts of a Call Number: Classification number + Cutter, OR, Accession number, OR other code Cataloguing with Sirsi iskills Workshop Page 5 of 7

Typical Cataloguing Process Decide which type of cataloguing you will need to perform: copy, derived, or original cataloguing? Copy = few enhancements required to upgrade the record Derived = the bibliographic record of a similar work forms the basis of a new record Original = a new bibliographic record is created from scratch Enhance the bibliographic description according to the level of detail expected by your institution. Assign and/or modify the access points so that your access points can be indexed for browsing and quick retrieval purposes: Add the main entry (could be a name, corporate body OR title) Added entries (other names, corporate bodies, or titles that also need to be discoverable in browse searches) Subject headings Validate all headings that you have assigned as access points. Compare your headings against those in the authority file. Do this to ensure that you have chosen the correct heading and form of heading for each access point. Assign a call number. Copy Cataloguing Process. Prepare the item for circulation (e.g., ownership marks, protective covers). Sometimes, copy cataloguing may require you to import a bibliographic record from another library. To import a record from another library, we use a Z39.5 client called SmartPort. To read more about the Z39.5 protocol, see the NISO resources guide, www.niso.org/standards/resou rces/z39.5_resources Cataloguing with Sirsi iskills Workshop Page 6 of 7

The Cataloguing Process Item to catalogue Is the record of good quality? Yes Is there a bibliographic record in the system? No Look elsewhere for a good record to copy Yes No Is a good record available to import? Yes No Modify the record as needed (copy cataloguing), and attach your item to it 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 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 Cataloguing with Sirsi iskills Workshop Page 7 of 7

Standards Used Bibliographic and authority records are usually created according to standards. Examples: Content standards for description: AACR (Anglo-American Cataloguing Rules, nd edition revised), RDA (Resource Description & Access), RAD (Rules for Archival Description), and others Subject cataloguing: LCSH (Library of Congress Subject Headings), MeSH (Medical Subject Headings), AAT (Art & Architecture Thesaurus), BISAC (Book Industry Subject and Category), and others Call number: classification such as LCC (Library of Congress Classification), DDC (Dewey Decimal Classification), Colon Classification, UDC (Universal Decimal Classification) + Cutter; accession numbers; C3 (Customer-Centred Classification) system; and others Encoding standards: MARC (Machine Readable Cataloguing), ONIX (ONline Information exchange), Dublin Core, and others 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 platforms of the staff client and the public catalogue/discovery layer interface. MARC Format for Bibliographic Data The following table lists a selection of commonly used MARC bibliographic tags, indicators and subfield codes. Adapted from MARC Format for Bibliographic Data (http://www.loc.gov/marc/bibliographic). Library of Congress has also published helpful introductory guides on using MARC for bibliographic data (9) and authority data (5). Fields with grey shading are RDA core elements for manifestations and items (RDA.6.5) Tag 8/ 35-37 Indicators Field name Subfield codes st nd N/A N/A Fixed-length data elements: language N/A ISBN Input without spaces or hyphens Related fields: 4 (Language Code); 546 (Language Note). acorrect ISBN zincorrect ISBN 35 System Control Number asystem Control Number Cf.,, 6 (OCoLC) numbers Cataloguing with Sirsi iskills Workshop Page 8 of 7

Tag Indicators Field name st nd 4 Cataloguing Source 5 8 * 4 4 For University of Toronto ischool, use: CaOTULS Library of Congress Call Number Item is in Library of Congress (LC) Item is not in LC Assigned by an agency other than LC Dewey Decimal Classification Number Full Edition Abridged Assigned by Library of Congress (LC) Assigned by agency other than LC Main Entry Personal Name Forename Surname Subfield codes aoriginal cataloging agency blanguage of cataloging ctranscribing agency (i.e., first to derive the record) dmodifying agency (i.e., subsequent copy cataloguer) edescription conventions aclassification number bitem number aclassification number Edition number of Dewey used apersonal name ddates associated with a name erelator term * 45 Main Entry Corporate Name Inverted name (e.g., Doe, Jane) Jurisdiction name (e.g., Canada. Department of Justice) Name in direct order (e.g., National Gallery of Canada) Title Statement No added entry (use if you do not have a or field in your record) Added entry (use if you have a or field in your record) *If you have a field in a record, you cannot also have a field. acorporate name *If you have a field in a record, you cannot also have a field. atitle bremainder of title (NOT core element) cstatement of responsibility -9 Number of non-filing characters Format: 45 Pride and prejudice and zombies : ba graphic novel / cjane Austen and Seth Grahame-Smith ; adapted by Tony Lee ; illustrated by Cliff Richards. NOTE: While a and 45 c refer to the same person, information in a is an authorized field containing the preferred form of name according to standards for creating the access point. By contrast, 45 c is transcribed from the resource as is. Cataloguing with Sirsi iskills Workshop Page 9 of 7

Tag 46 Indicators st nd 3 # 3 4 5 6 7 8 Field name Varying Form of Title Note, no added entry Note, added entry No note, no added entry No note, added entry No specific type of title Portion of title Parallel title Distinctive title Other title Cover title Added title page title Caption title Running title Spine title Subfield codes atitle proper/short title bremainder of title 5 Edition aedition statement 64 # 3 3 4 Place of publication Not applicable/no info provided/earliest Intervening Current/latest Production Publication Distribution Manufacture Copyright notice date aplace of production, publication, distribution, manufacture bname of producer, publisher, distributor, manufacturer cdate of production, publication, distribution, manufacture, or copyright notice Format: 64 3 New York: bdel Rey/Ballantine Books, c. 3 Physical description aextent, such as number of pages (CORE ELEMENT) bother physical detail, such as whether work is illustrated cdimensions 336 RDA Content type Examples of content type: text two-dimensional moving image notated music cartographic image other acontent type term bcontent type code Source of the term or code used in subfields a and/or b Typically rdacontent Cataloguing with Sirsi iskills Workshop Page of 7

Tag Indicators Field name st nd 337 RDA Media type Examples of media type: audio microform projected unmediated video other 338 RDA Carrier type 49 Examples of carrier type: audio disc computer disc online resource microfilm reel volume other unspecified Series statement as it appears Series not traced Series traced Subfield codes amedia type term bmedia type code Source of the term or code used in subfields a and/or b Typically rdamedia acarrier type term bcarrier type code Source of the term or code used in subfields a and/or b Typically rdacarrier aseries statement vvolume designation xissn If series is traced, an 83 field is also created. 5 General note Note entered here applies to this manifestation of the work, and is not unique only to the copy on hand. 54 Bibliography aincludes bibliographical references 55 Content note aformatted contents note Contents rstatement of responsibility Incomplete content ttitle Partial content # Basic Enhanced 59 Local note Note entered here applies only to the copy on hand. Cataloguing with Sirsi iskills Workshop Page of 7

Tag 6 Indicators st nd Field name Subject Added Entry Personal Name Forename Surname Library of Congress Subject Headings Subfield codes apersonal name xgeneral subdivision vformat subdivision 6 65 65 7 7 73 74 83 856 # -9 4 # # # # -9 Replace all dashes with x or v Subject Added Entry Corporate Name Inverted name Jurisdiction name Name in direct order Library of Congress Subject Headings Subject Added Entry Topical Term Library of Congress Subject Headings Subject Added Entry Geographic Name Undefined Library of Congress Subject Headings Added Entry Personal Name Forename Surname Not an analytical entry Analytical entry Added Entry Corporate Name Not an analytical entry Analytical entry Added Entry Uniform Title Not an analytical entry Analytical entry Added Entry Uncontrolled Related/Analytical Title Number of non-filing characters Not an analytical entry Analytical entry Series Added Entry Uniform Title Number of non-filing characters Electronic Location and Access HTTP Resource Version of resource Related resource acorporate name xgeneral subdivision vformat subdivision xgeneral subdivision vformat subdivision xgeneral subdivision vformat subdivision ttitle ttitle ttitle ttitle auniform title uuniform Resource Identifier See the MARC website for how to encode authority, holdings, classification, countries, and languages data. Cataloguing with Sirsi iskills Workshop Page of 7

When inputting subfield codes in Workflows: The code a should be omitted as a is understood to be the default subfield code. Subfield codes will be replaced with a space upon public display; therefore, do not add another space after each subfield code. Sirsi Workflows Login Instructions IP address: ilstest.library.utoronto.ca Workstation name: PCGUI-EDIT Login: FISCAT PIN: 35 Account will expire after this workshop series. EXERCISE STEP. Code by hand. a.) With the item in front of you, describe what it is that you want a catalogue user to know about the item. b.) Transcribe as much information as possible; where no information is provided, supply your own textual description using clear and concise language. c.) Using your description, identify the parts of the MARC record that can be used to capture the information that you have generated about the item. d.) Encode the parts of your description using MARC. Hint: Use the MARC tables in this handout to help you decide which fields and subfields to code. STEP. Enter the metadata in Sirsi Workflows. Search for the bibliographic record in Sirsi Workflows to see if a record of some kind already exists in the ILS. If the bibliographic record does not exist, create one. To catalogue using Workflows: a.) Select Cataloguing from the Modules menu. Expand the Titles box from the left side menu. Click on Modify Title. Using the search form, locate the record for the work you want to catalogue. Open the record. Evaluate the record. Modify as necessary. Use the correct MARC tags, indicators, and subfield codes to mark up your metadata. b.) If no records are available, a staff cataloguer usually imports a record to modify, or creates an original record. For this workshop, if you cannot find an existing record to modify, then create an original record using Add Title : o In Add Title : Control folder: Select the appropriate record format type. Bibliographic folder: Check the Shadow title option (for the purposes of this workshop only). Populate the description and fixed fields as appropriate, using the correct MARC tags, indicators, and subfield codes to mark up your metadata. Click Save to save changes. Cataloguing with Sirsi iskills Workshop Page 3 of 7

c.) Click on the Call Number folder. o Look for an item record (item ID barcode) attached beneath the call number record. If the item record is missing, use the Add item tool to attach one. o In the Item ID field, enter the library barcode of your item. d.) Continue modifying the bibliographic record and the volume and item records. e.) Go back to the bibliographic record and click on the shield icon in order to validate headings against the authority file. (See the next subsection, Wizard icons listed at the top ) f.) Check the shelf list for call number duplication. (See the next subsection, Wizard icons listed at the top ) Wizard icons listed at the top of the Modify Title task window: 3 4 5 6 Icon. List the catalog by call number. Icon. 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. STEP 3. Validate headings. As you were saving your work during the editing stage, you may have noticed the code?unauthorized appearing beside certain XX, 6XX, 7XX and 83 fields. The?UNAUTHORIZED code is auto-generated; it appears when a heading entered does not match the headings found in the authority file. Regardless of whether an?unauthorized code appears or not, you should always validate headings. If a heading is not found, you will need to establish it by creating an authority record for it. To validate headings: a.) Save your work first. b.) Next, select any heading that you want to verify, and click on the Validate headings wizard (the shield icon) located near the top left corner of Modify Title. Cataloguing with Sirsi iskills Workshop Page 4 of 7

A new window will open: c.) Review the hit list for available matches. Determine whether the record applies to your heading. Headings marked with a green check mark on the shield are authorized (or valid) headings and may be used in your bibliographic record. Headings marked with a red arrow on the shield are unauthorized (or invalid) headings and must not be used in your bibliographic record. 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. If the answer is no : You have the opportunity to accept, browse, or import an authority record at this stage. Usually, to import an authority record from another institution, we use a Z39.5 client called SmartPort. (To read more about the Z39.5 protocol, see the NISO resources guide, www.niso.org/standards/resources/z39.5_resources.) If no authority records are available to import via SmartPort, a new heading is then proposed for addition to the authority file. For this workshop, we will not be importing any authority records. Either select a matching record, or click on the Skip button. Cataloguing with Sirsi iskills Workshop Page 5 of 7

To view the bibliographic record as though you were a public user, go to 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. STEP 4. Assign a call number to the volume record. While still working in the Modify Title wizard, look for the Call Number/Item tab. The call number should consist of parts: Dewey classification number + Cutter. For this workshop, we will not be classifying the item. Instead, please type AUTO into the call number field, then click save. Now 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 your chosen call number is unique. You can also use this wizard to see where your item will be shelved alongside other items in the UTL catalogue. This wizard will list all libraries call numbers. Tip: To browse call numbers for only FISINFORUM items, use the Item Search and Display wizard, located in the Common Tasks toolbox: Search for: [enter your call number] Index: Call number Library: FISINFORUM Type: Browse STEP 5. Update the item record. Check that you have selected the correct classification scheme (DEWEY), item type, home location, and item library. References Chan, L.M. (7). Cataloging and classification: An introduction. 3 rd edition. Lanham, MD: Scarecrow Press. Grant, Carl. (). The Future of Library Services. Information Standards Quarterly, 4(4), 4-5. Retrieved from http://www.niso.org/apps/group_public/download.php/99 /FE_Grant_Future_Library_Systems_%isqv4no4.pdf International Federation of Library Associations and Institutions [IFLA]. (9). Statement of international cataloguing principles. Retrieved from http://www.ifla.org/files/assets/cataloguing/icp/icp_9-en.pdf Library of Congress. (5). Understanding MARC authority records: Machine-readable cataloging. Retrieved from http://www.loc.gov/marc/uma Library of Congress. (9). Understanding MARC bibliographic: Machine-readable cataloging. Retrieved from http://www.log.gov/marc/umb Cataloguing with Sirsi iskills Workshop Page 6 of 7

National Information Standards Organization. (3). Z39.5 resources page. Retrieved from http://www.niso.org/standards/resources/z39.5_resources Taylor, A.G. and Joudrey, D.N. (9). Cataloging. In Bates, M. (Ed.). Encyclopedia of Library and Information Sciences, 3 rd edition. New York: Taylor and Francis. Retrieved from http://dx.doi.org/.8/e-elis3-445. Tillett, B. (3). What is FRBR? A conceptual model for the bibliographic universe. Retrieved from http://www.loc.gov/cds/downloads/frbr.pdf Cataloguing with Sirsi iskills Workshop Page 7 of 7