Basic Cataloguing for Non-cataloguers Winter 2019 iSkills Workshop

Instructor: Elisa Sze, Librarian (Collections & Public Services)

Workshop objectives

This workshop will introduce participants to the principles and practices that form the foundation of cataloguing. This workshop will answer such questions as:

• What is cataloguing?• What is the purpose of the catalogue?• How does one ensure that the descriptive record of a

library item actually enables users to find what theyare looking for?

Through hands-on exercises, participants will learn to apply cataloguing principles to a variety of examples. Participants will also learn how to locate the standards that guide specific aspects of cataloguing. This workshop complements the workshop Cataloguing with Sirsi.

What is cataloguing?

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:

o Bibliographic descriptions Find, Identify,Search, and Obtain

o Subject headings Find, Identify, Search,and Explore

Cataloguing is the process of preparing records for the catalogue, in accordance with principles, standards, and best practices. It often involves materials processing (preparing individual resources for circulation).

Contents

Workshop objectives ......................... 1

What is cataloguing? ......................... 1

History ............................................. 2

Statement of International Cataloguing Principles .......................................... 2

What steps are involved in cataloguing? ...................................... 2

Classification ..................................... 3

Subject headings ............................... 4

Description ....................................... 5

Representing the resource ............. 5

Providing access points .................. 6

Authority control .............................. 6

Encoding (or structuring) the metadata ........................................... 7

Understanding MARC tags and subfield codes ................................ 8

Exercise 1: Identify the step in the cataloguer’s workflow ..................... 10

Exercise 2: Identify the data element within a bibliographic description ... 11

Exercise 3: Authority control .......... 12

Exercise 4: Thought process for cataloguing...................................... 12

Exercise 5: Group task .................... 14

References ...................................... 15

SOLUTIO

NS

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Understanding catalogue records enhances collection management and reference work in libraries, archives, museums, and analogous institutions, where the activity might be known by other names (e.g., archival description, museum registration).

History

Attempts to standardize cataloguing practices have existed for as long as inventories have been conducted. Examples include: the French Cataloguing Code (1791); Panizzi’s Rules for the Compilation of the Catalogue (1841); the launch of the Library of Congress Cataloging Distribution Service (1902); Cutter’s Rules for a Dictionary Catalog, 4th edition (1906); Lubetzky’s Functions of Descriptive Cataloging (1946); the Paris Principles (1961); and the MARC Pilot Project (1966-1968).

Cataloguing should not be considered the exclusive domain of the Western world. For instance, cataloguing activities took place in China as early as 26 B.C.E (Liu & Shen, 2002); and S.R. Ranganathan (1892-1972), a mathematician-librarian from India, founded the Colon Classification system. For a concise historical account of how cataloguing theory and standards have developed over time, see Chapter 2 of Chan’s Cataloging and Classification: An Introduction (2007, pp. 47-63).

Statement of International Cataloguing Principles

The International Federation of Library Associations and Institutions (IFLA) sets out general principles to “direct the construction and development of cataloguing codes, the decisions that cataloguers make and policies on access to and exchange of data” (IFLA, 2016, p. 5). These principles are:

1. Convenience of the user2. Common usage3. Representation4. Accuracy5. Sufficiency and necessity6. Significance7. Economy

8. Consistency and standardization9. Integration10. Interoperability11. Openness12. Accessibility13. Rationality

The convenience of the user is the most important of the general principles. IFLA states: “Decisions taken in the making of descriptions and controlled forms of names for access should be made with the user in mind” (p. 5, emphasis added). The IFLA statement builds upon the Paris Principles (1961), which sought to standardize international cataloguing practices and traditions.

What steps are involved in cataloguing?

1. Description: represent the resource (transcribe + describe); provide access points in the form ofname headings, uniform titles, and place names

2. Subject analysis: assign subject headings; classify it (= give it a call number)

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3. Authority work: validate headings in the bibliographic record used for names, uniform titles,places, and subjects; update authority files (authority control)

Classification

What is classification?

• “The process of dividing objects or concepts into logically hierarchical classes, subclasses, and sub-subclasses based on the characteristics they have in common and those that distinguish them”(ODLIS, “Classification”)

• In Library & Information Science (LIS), classification is a notational approach to describe whata resource is about

Examples of classification schemes:

• Library of Congress Classification - www.loc.gov/aba/publications/FreeLCC/freelcc.htmlo Designed specifically for the Library of Congress (LC) collectiono Through LC’s Cataloging Distribution Service, it has become the de facto classification

scheme for many academic and research libraries in North America• Dewey Decimal Classification (DDC) – www.dewey.org/webdewey

o Created by Melvil Dewey, first published in 1876. Copyright now held by OCLC butLC’s Dewey Section updates the content. Translated into multiple languages

• Universal Decimal Classification (UDC) - http://www.udcsummary.info/php/index.phpo Multilingual. Begun in 1895 by Paul Otlet and Henry La Fontaine as a French translation

of DDC. Now maintained by the UDC Consortium• Colon Classification - http://www.isko.org/cyclo/colon_classification

o Created by S.R. Ranganathan, on the premise that all knowledge can be abstracted into 5facets: personality, matter, energy, space, and time

Figure 1. Situating cataloguing within the technical services workflow

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• C3: Customer Centred Classification (Markham Public Library) -http://accessola2.com/superconference2009/thu/316/mpl.pdf

o Meant to reduce staff time while offering a “customer-friendly” blend of bookstorebrowsing and short call numbers

• Brian Deer Classification Schemeo Subject-based approach, covering topics relevant to First Nations, Inuit, and Métis (e.g.,

self-government, rights and titles, Elders’ stories, traditional pursuits)o Meant to be customized locally; not meant to be universal (Swanson, 2015, p. 571)o UBC Xwi7xwa Library adaptation: http://xwi7xwa.library.ubc.ca/files/2011/09/deer.pdf

Subject headings

Subject headings also describe the intellectual or artistic content of a resource, with the aim of providing access. However, they do this through controlled vocabulary (verbal approach).

Relationships between concepts and terms may be denoted by labels such as BT (broader term), NT (narrower term), RT (related term), USE, UF (used for), SA (see also), and scope notes. Terms may describe “aboutness” and/or “ofness”.

Standards and models around controlled vocabularies for subjects:

• ISO 25964-1 Thesauri and interoperability with other vocabularies - Part 1: Thesauri for informationretrieval - https://subscriptions-techstreet-com.myaccess.library.utoronto.ca/products/609035(Note: The Inforum’s SAS collection is referenced in this standard.)

• Functional Requirements for Subject Authority Data (FRSAD) - https://www.ifla.org/files/assets/classification-and-indexing/functional-requirements-for-subject-authority-data/frsad-final-report.pdf

Examples of controlled vocabulary:

• Library of Congress Subject Headings (LCSH) -https://www.loc.gov/aba/publications/FreeLCSH/freelcsh.html

• Sears List of Subject Headings – Preview https://www.hwwilsoninprint.com/pdf/sears_pgs.pdf• Medical Subject Headings (MeSH), curated by the U.S. National Library of Medicine -

https://www.nlm.nih.gov/mesh/• Art & Architecture Thesaurus (AAT), maintained by the Getty Research Institute -

http://www.getty.edu/research/tools/vocabularies/aat/• BISAC – developed by the book and publishing industry for trade use –

https://bisg.org/page/bisacedition

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Description

Descriptive records act as surrogates of actual resources in the collection. As surrogates, they must:

• Represent the resource – through a combination of transcription and description • Provide access points – headings for names, better known titles, and place names by which

users may search for a resource

Models around description:

• Functional Requirements for Bibliographic Records (FRBR) - https://www.ifla.org/files/assets/cataloguing/frbr/frbr_2008.pdf

Examples of descriptive standards:

• AACR2: Anglo-American Cataloguing Rules, 2nd edition - https://www.rdatoolkit.org/AACR2 • RDA: Resource Description & Access - https://www.rdatoolkit.org/ • Builds upon the FRBR conceptual model, with emphasis on the entity-relationship-attributes

model • RAD: Rules for Archival Description - http://www.cdncouncilarchives.ca/archdesrules.html • Describing Archives: A Content Standard, 2nd edition (DACS) -

https://www2.archivists.org/standards/DACS • CCO: Cataloging Cultural Objects - http://cco.vrafoundation.org/ • Dublin Core Metadata Initiative (DCMI) - http://dublincore.org/documents/abstract-model/

Representing the resource Decide what you are cataloguing:

• Is it a single unit / multipart monograph / serial / integrating resource? • Are you dealing with textual content, or some other kind of content? • Are you dealing with audio, video, or projected media? Or is it an unmediated resource? • What kind of “container” is used to hold the content? For instance, are you dealing with a book

volume, an online file, a DVD, an audiocassette tape, or something else? • What relationship does the resource bear with other entities (be they other agents, places, subjects,

or other works in the collection)?

Once you have determined what you are cataloguing, you must identify the data elements (=attributes or properties) that help to describe the resource.

“Goals to meet” for bibliographic records:

• Representation – describe enough of the physical/tangible features of the resource so that users can readily identify it and distinguish it from other resources

• Accuracy – transcribe exactly what appears on the resource itself • Consistency – adhere to standards

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• Ease of the user – remember the first principle of cataloguing• Collocation – allow resources sharing a particular feature to be brought together• Enable access – allow users to get to the resource, or to discover the resource for the first time

do this through the addition of access points

Providing access points Access points are headings, or fields, in a bibliographic record that indicate:

• Agents who played a significant role in the intellectual or artistic content of the resource. Agentsmay be individual people, a collective of people, or a corporate body (= an organization, abusiness, an association, or a government body or agency)

• Places• Uniform title – the title by which an intellectual or artistic work is most commonly known, or a

title added in order to disambiguate one intellectual or artistic work from another. Example:o Uniform title for the 1948 film: Oliver Twist (Motion picture : 1948) vs.

Uniform title for the 2005 film: Oliver Twist (Motion picture : 2005)o Title as it appears on the title page: The life and adventures of Martin Chuzzlewit vs.

Uniform title: Martin Chuzzlewit• Subjects – see earlier section on “Subject headings”

Each access point needs to be validated against the accepted form of heading, contained in individual records in the authority file. From time to time, records in the authority file may need to be updated in order to reflect changes to the authorized form of agent names, places, uniform titles, and subjects. These practices are built upon the concept of authority control.

Authority control

Authority control refers to the establishment of consistent headings, which are to be used in the organization of bibliographic records. Goals to meet:

• Consistency of headings chosen for use as access points in bibliographic records• Accurate identification, so that agents with multiple names/identities are recognized• Disambiguation between the same or similar sounding names, titles, places, and concepts

Standards for authorizing names, titles, and places are usually covered by the descriptive standard. For topical and form subject headings, follow your chosen controlled vocabulary.

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Common sources of authority records for names and titles include the Library of Congress Authorities (https://authorities.loc.gov/) and the Virtual International Authority File (VIAF) (https://viaf.org/).

Encoding (or structuring) the metadata

In an automated environment where catalogue records are shared through servers, the metadata must be structured in a “machine readable” format, allowing computer applications to parse the metadata, regardless of the language used by the cataloguer.

Examples of encoding schema:

o MARC21o BIBFRAMEo RDF/XML (Resource Description Framework, in XML)o EAD (Encoded Archival Description)

Figure 2. The catalogue as a whole, depicting the relationship between headings used as access points in bibliographic records, and headings authorized for use in the authority files

Figure 3. Relationship between content standards and encoding schema

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Additionally, libraries follow the Z39.50 standard (https://www.loc.gov/z3950/agency/Z39-50-2003.pdf), an application protocol for information search and retrieval, and records sharing.

Understanding MARC tags and subfield codes Look up the MARC 21 Format for Bibliographic Data (https://www.loc.gov/marc/bibliographic/). Determine which data elements are defined by the following MARC tags and subfield codes:

Description Tag & subfield Data element (= “attribute” or “property”) 245 $a

245 $b

245 $c

250 $a

264 – 2nd indicator is “1”

264 – 2nd indicator is “4”

264 $a

264 $b

264 $c

300 $a

300 $b

300 $c

336 $a

337 $a

338 $a

490 $a

Title (NR)

Remainder of title (NR)

Statement of responsibility, etc. (NR)

Edition statement (NR)

Publication

Copyright notice date

Place of production, publicatin, distribution, manufacture (R)

Name of producer, publisher, distributor, manufacturer (R)

Date of production, publication, distribution, manufacture, or copyright notice (R)

Extent (R)

Other physical details (NR)

Dimensions (R)

Content type term (R)

Media type term (R)

Carrier type term (R)

Series statement (R)

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Description Tag & subfield Data element (= “attribute” or “property”) 490 $v

500 $a

020 $a

Access points for subjects Tag & subfield Data element (= “attribute” or “property”) 600

610

650 $a

650 $x

650 $v

Access points for names & titles Tag & subfield Data element (= “attribute” or “property”) 100 $a

100 $d

100 $e

110 $a

110 $b

110 $e

130 $a

700 $a

700 $d

700 $e

Series statement (R)

General note (NR)

International Standard Book Number (NR)

Subject added entry - Personal name (R)

Subject added entry - Corporate name (R)

Subject added entry - Topical term or geographic name entry element (R)

General subdivision (R)

Form subdivision (R)

Main entry - Personal name (NR)

Dates associated with a name (NR)

Relator term (R)

Main entry - Corporate name (NR)

Subordinate unit (R)

Relator term (R)

Main entry - Uniform title (NR)

Added entry - Personal name (NR)

Dates associated with a name (NR)

Relator term (R)

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Access points for names & titles Tag & subfield Data element (= “attribute” or “property”) 710 $a

710 $b

830 $a

Exercise 1: Identify the step in the cataloguer’s workflow

Read each scenario, then indicate which cataloguing step it falls under:

1. Recording the running time of the library’s DVD copy of Hidden Figures (motion picture):

Descriptive cataloguing Subject cataloguing Classification Authority control Encoding

2. Choosing between Jean Rhys or Ella Gwendolyn Rees Williams as the appropriatename heading to use as an access point in bibliographic records describing Rhys’/Williams’ works:

Descriptive cataloguing Subject cataloguing Classification Authority control Encoding

3. In MARC 21 Format for Bibliographic Data, the title of a resource always appears in the 245 field:

Descriptive cataloguing Subject cataloguing Classification Authority control Encoding

Added entry - Corporate name (R)

Subordinate unit (R)

Series added entry - Uniform title (NR)

X

X

X

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Exercise 2: Identify the data element within a bibliographic description

Based on the partial bibliographic description below, identify the data element of each field.

Hernandez, Catherine, 1977- , author.

Scarborough / Catherine Hernandez. Vancouver, BC : Arsenal Pulp Press, 2017. 258 pages ; 21 cm. ISBN 9781551526775

Scarborough (Ont.)—Fiction. Call number: PS8615 .E7523 S33 2017

Data element (=“attribute” or “property”) Data recorded (= “value”) Hernandez, Catherine, 1977-

author

Example: Title Scarborough

Catherine Hernandez

Vancouver, BC

Arsenal Pulp Press

2017

258 pages

21 cm

text

unmediated

volume

Scarborough (Ont.)—Fiction

ISBN 9781551526775

PS8615 .E7523 S33 2017

Main entry - Personal name & date associated

Relator term

Statement of responsibility

Place of publication

Name of publisher

Date of publication

Physical description - Extent

Physical description - Dimensions

Content type

Media type

Carrier type

Subject added entry - geographic name & form subdivision

International Standard Book Number

Library of Congress Call Number

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Exercise 3: Authority control

Given the authority record for Carrianne Leung, author of The Wondrous Woo and That Time I Loved You, identify the data element described by each field. Refer to the MARC21 Format for Authority Data, https://www.loc.gov/marc/authority/, to help you decipher the MARC tags.

Tag Indicators Data recorded Data element 100 1 _ |aLeung, Carrianne

400 1 _ |aLeung, Carrianne K. Y.

670 _ _ |aLAC Amicus, May 29, 2013: |bhdg. (Leung, Carrianne K. Y.) 670 (born 1967-10-18)

Exercise 4: Thought process for cataloguing

What is the resource at hand?

• Is it issued as: a single unit / multipart monograph / serial / integrating resource ?• Is the content: text / tactile text / performed music / three-dimensional form / other ?• What is the media type? audio / computer / projected / video / unmediated / other• What container “carries” it? audio disc / object / videodisc / volume / other

Describe the key data elements that will help a user identify the resource. Record any unique details. If you know which MARC tag/subfield code to use, apply them:

Data element Data recorded MARC

Heading - personal name, entered under surname See From tracing - personal name entered under surname

Source data found

Title Dialogue with Erich Fromm 245 $a

Statement ofresponsibility by Richard I. Evans 245 $c

Editionstatement First edition 250 $a

Place ofpublication New York 264 $a

Name of publisher Harper & Row 264 $b

Publication date [1966] 245 $c

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Data element Data recorded MARC

Copyright date 1966 Another 264 $c

Extent xix, 136 pages 300 $a

Dimension 20 cm 300 $c

Content type text 336 $a

Media type unmediated 337 $a

Carrier type volume 338 $a

Main entry - personal name Evans, Richard I. 100, 1st indicator

'1', $a

Added entry - personal name Fromm, Erich 700, 1st indicator

'1', $a

Series statement Dialogues with notable contributors to personality theory, volume 2 490 $a

Series added entry -uniform title Dialogues with notable contributors to personality theory ; 2 830 $a

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Exercise 5: Group task

As a group, determine what it is that you have to catalogue. Use the prompts from the last exercise.

Describe the key data elements that will help a user identify the resource. Record unique details.

Data element Data recorded

Answers vary

depending on the

item selected by each

group:

Ai Weiwei: according to what? -- Exhibition publication, main & added entries

Canadian Council of Archives Souvenirs -- What is it? Main entry

The catacombs / Antonio Baruffi -- English translation, added entries, looks ephemeral but has ISBN

The cook not mad, or rational cookery -- Long title, 'reprint' is actually a new work, main & added entries

David / Michelangelo -- What is it? Main & added entries, translation.

Feminine wardrobe / Jinko Matsumoto -- Extent, translation, uniform title

Knitting for beginners -- extent, series statement

Love in a fallen city / Eileen Chang -- Translation, uniform title, anthology, item-specific notes, main & added entries, authority control

Macmillan Alice pack of cards -- What is it? Main & added entries. Relationships with other works. Not a book yet has an ISBN.

Magnetic poetry kit: Shakespeare -- What is it? Extent

Orgueil et préjugés / Jane Austen -- Translation, uniform title, added entries, language of cataloguing

Sergei Rachmaninov piano concertos no. 1 & 3 -- Classical music audio recording, authority control, added entries for each work

The starry night / Vincent Van Gogh -- What is it? Extent, main & added entries

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References

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

Furrie, B. and Library of Congress. (2009). Understanding MARC Bibliographic: Machine-readable Cataloging. Washington D.C.: Library of Congress Network Development and MARC Standards Office. Retrieved from: http://www.loc.gov/marc/umb/

IFLA Cataloguing Section and IFLA Meetings of Experts on an International Cataloguing Code. (2016). Statement of International Cataloguing Principles (ICP). English language version. Retrieved from: https://www.ifla.org/files/assets/cataloguing/icp/icp_2016-en.pdf

Kaplan, A.G. (2009). Crash Course in Cataloging for Non-catalogers: A Casual Conversation on Organizing Information. Westport, CT: Libraries Unlimited. Inforum Stacks, Z693 .K28 2009.

Library of Congress. (2004). Understanding MARC Authority Records: Machine-Readable Cataloging. Washington D.C.: Library of Congress Network Development and MARC Standards Office. Retrieved from: http://www.loc.gov/marc/uma/

Liu, S. and Shen, Z. (2002). “The development of cataloging in China.” Cataloging & Classification Quarterly, 35(1-2): 137-154. Retrieved from: https://doi.org/10.1300/J104v35n01_09

Online Dictionary for LIS [ODLIS]. [n.d.] Retrieved from: https://www.abc-clio.com/ODLIS

Swanson, Raegan. (2015). Adapting the Brian Deer Classification System for Aanishaaukamikw Cree Cultural Institute. Cataloging & Classification Quarterly, 53(5-6): 568-579.