Cataloging in East Asia Library of Yale University

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1 Wei Cen ILS 508: Information Analysis and Organization Term Paper Instructor: Dr. Sche Cataloging in East Asia Library of Yale University Introduction of East Asia Library The East Asia Library (EAL) of Yale University is one of the major collections of East Asian materials in the United States. Its development has undergone the following important stages. In 1868, the first documented East Asian books were added to Yale s own collection; Earlier in 1873, the first collection of outstanding Japanese books were developed; In 1878, the first collection of notable gifts of Chinese books was presented to Yale; In 1907, EAL was first organized under a specialized curator; In May 1961, the Council on East Asian Studies was established at Yale, which greatly increased the Library's book budgets from external channels (EAL, 2009; EAL Newsletter, 2009). As of 2008, the EAL has holdings of monographs, serials, microfilms, manuscripts, and government documents as follows: Monographs Serials Other materials 477,424 volumes (Chinese) title 75, ,562 volumes (Japanese) (combined) 12,679 volumes (Korean) Subject strengths of EAL collection include Chinese archaeology, Buddhism in China and Japan, History of Japanese institutional development, particularly the late feudal period, modern history of China and Japan, Chinese and Japanese History of art, Languages and linguistics, literature, especially modern Chinese literature since 1919 and Chinese and Japanese Economics. The primary goal of the library in recent 1

2 years is to support research and teaching in East Asia studies at Yale (EAL, 2009). There are four departments in EAL: administration, collection development, public services and cataloging. Currently, EAL has 15 staff, two of them handle administrative affairs, five of them are librarians, one visiting librarian and seven assistants. In cataloging department, there are one principle catalog librarian, two catalog librarians and four catalog assistants. Compared with other departments, cataloging department seems to be the largest department with largest number of staff. Orbis is the principle online access catalog (OPAC) for Yale University Library (YUL) and Voyager Cataloging module is implemented in Orbis. As one part of Yale University Library system, EAL applies Orbis as the access of searching its collections (See Figure 1). OPAC Figure 1 Orbis in EAL Voyager is an integrated system with modules sharing data in real time. Changes made in Cataloging, Acquisitions, or Circulation are reflected automatically in the public access catalog. Staff may be logged on to all three modules simultaneously as well as the Web-based OPAC. The Cataloging module allows staff 2

3 to create and maintain Bibliographic, Authority, Holdings, and Item records. In practice Authority Records are not created in Orbis. Voyager uses the MARC21 format for Bibliographic, Authority, and Holdings records. Item records are specific to the Voyager system. Voyager uses familiar Windows functionality, including icons, menus, and dialog boxes. You can minimize or maximize windows; when multiple windows are open you can tile them to place them side by side, or cascade them to overlap them. Text can be cut or copied and pasted from one window to another. Right clicking the mouse brings up context specific menu choices, and alternate or shortcut key sequences are available for most functions, supplemented by macros created locally (YUL, 2007). Searching by romanization is still the most effective and reliable way to find East Asian language materials thoroughly in Orbis. Everyone searching for East Asian materials still needs to be familiar with the romanization rules for Chinese, Japanese, and Korean languages. Searching by Chinese, Japanese, and Korean characters is recommended when users are unfamiliar with romanization or sometimes a more efficient way for finding known titles than searching with romanization. However, There are some technical requirements for displaying and searching CJK characters in Orbis: To view CJK characters in Orbis, you need to install Unicode fonts on your computer. To search CJK characters in Orbis, you need to activate Microsoft IME (for 3

4 Windows computers) or configure the Mac input menu. (EAL, 2009) Operations and Functions of the Cataloging Subsystem According to EAL Cataloging Workflow, cataloging department mainly cooperated with Acquisition Department and the Preparations Department. Staff or student assistants retrieve books from the frontlog area according to designed sequence and search for matching records in OCLC. Materials without matching records are returned to the frontlog according to the frontlog number sequence. Materials with matching records are placed in designed area for copycatalogers, while professional catalogers deal with original cataloging, complex copycataloging, and all serials and non-book formats. Catalogers catalog directly on OCLC Connexion and import records into Voyager (Orbis) manually. Acquisition records are overlaid. Post-cataloging work includes: mark call no. on the verso of title page; charge materials to the Preparations Department and place materials on the designated book truck(s) to be sent to the Preparation Department. EAL Cataloging Department has good communication with bibliographers in the following aspects: Designation of reference materials; Classification and analysis decisions for multipart monographs and series; Cataloging priorities for certain materials such as titles requested by users, reference materials and current serials; Materials for Library Shelving Facility (LSF); 4

5 Cataloging problems. From talking with a reference librarian in EAL, reference librarians may examine the correctness of catalog records and offer recommendations. EAL is a small-size library in Yale University Library. Therefore, they have very close cooperation among different departments and librarians are more multi-functional, which is quite impressive. Orbis Cataloging using Voyager In Voyager, there are four types of records in the bibliography database: The Bibliographic record provides cataloging description and access; The Holdings record, also called a MFHD (MARC Format for Holdings Data) includes location, call number, volume holdings, and copy-specific notes for staff and for the public. Each copy of a work has its own Holdings record, and multiple MFHDs can be attached to a single Bibliographic record; The Item record describes the physical piece, including Location, Barcode number, and Item Type. The Authority record provides information about name, uniform title, series, and subject headings. Item records are attached to Holding records; Holding records are attached to Bibliographic records. Authority records are not physically connected to Bibliographic records, but are associated with the headings in Bibliographic records(yul, 2007). 5

6 Orbis cataloging using Voyager includes the following process: Log in to the Cataloging module; Search the database using basic search types; Select and interpret Bibliographic, Holdings and Item records; Edit or create Bibliographic, Holdings, and Item records; Import Bibliographic records; Perform basic authority validation and save records to Orbis. OCLC Connexion 2.0 for Cataloging OCLC WorldCat is an enormous database of over 50 million Master Records form more than 10,000 libraries. EAL, like other Yale University Libraries, use OCLC Connexion 2.0 to create and edit quality bibliographic and authority records. The functionality of 2.0 has been enhanced to allow cataloging staff to view Master Records, and the corresponding Institution Records (IR). In some cases the IR will be indistinguishable bibliographically from the master record; in other cases it may be considerably different. All IRs have a 079 field where the WorldCat master record ID number is stored. The id number for the IR is unique to the record. An IR can be exported to Voyager from WorldCat in the same way that a master record is exported to Voyager from WorldCat (YUL, 2007). For EAL original catalogers, when cataloging on Connexion and no master record exists, create both a master record and a Yale IR; when cataloging on Connexion and a master record exists, create a Yale IR; export the YUL IR; when importing the record into Orbis, always retain the Voyager-generated 035 derived 6

7 from the YUL IR s id number; retain the 079 field. Moreover, do not add field 852 in the OCLC bib record. Input local call no. in the MFHD (852) of the Orbis record. Delete 994 from exported records (Orbis does not take it) via Tools > Options > Export > Field Export Options and enter 994 in the Bibliographic Records window. When export records using ExportQ, only select MARS. Do not select OCLC or RLIN (YUL, 2009). Shared Bibliographic Resources and Services Orbis contains nearly 7 million bibliographic records and over 2 million authority records. These authority records help staff maintain consistent headings in the catalog. They also generate cross references that facilitate searching. The Library creates its new authority records in OCLC as a member of the cooperative cataloging program called NACO. These records become part of the master authority file of the Library of Congress and are shared with libraries throughout the world. In 2002, YUL issued SACO local documents and started conducting local LCSH training for catalogers in SACO allows catalogers to propose new subject headings for LCSH (and changes to existing subject authority records.) The Library also relies on the MARS service to help maintain authority control in Orbis. This service corrects headings in new bibliographic records, supplies new and changed authority records, and provides reports that facilitate retrospective database cleanup activities (YUL, 2007). Standards and Manuals for Cataloging Practice in EAL Cataloging related rules and standards: AACR2, LC Rule Interpretation, MARC 21 7

8 Library systems manual used for management and maintenance work of bibliographic records: OCLC Other cataloging practices which are unique in the library: For Chinese ancient books, they use 中 国 四 库 全 书 分 类 法. Management, Operation and Maintenance of OPAC The Chinese/Japanese/Korean scripts are displayed in Orbis, along with the romanization. Orbis also has a limited function for searching CJK characters. The choice, installation, and maintenance of Orbis is charged by Yale University Library s information technology department. For the selection of bibliographic database sources, cataloging librarians play the main role. Generally, catalog assistants copy and download bibliographic records to the library OPAC and catalog librarians create new bibliographic records (original cataloging). Moreover, catalog librarians do the regular management and maintenance of the bibliographic records and database. Special Findings in EAL Fields in bibliographic records for Chinese, Japanese and Korean collections As most collections in EAL are Chinese, Japanese and Korean, their bibliographic records have 066 field which indicates the presence and type of non-latin script data on the record. For machine-processing purposes, the non-latin script fields are stored internally in 880 fields of the MARC 21 formats. The 880 tag is not visible and does not display on workforms or records. 880 tags need not to be created. The system does this and automatically places the non-latin script data in the 880 field (see figure 2). 8

9 Figure field For Local Subject Heading, in EAL, 690#4 indicates Chinese rare books and 690#4 also indicates Japanese rare books (YUL, 2009). Moreover, we can also find link paired fields in the bibliographic records, which means creating 2 fields that have the same tag number (see figure 3). The top field of the pair is for non-latin script data followed by the corresponding field for romanized data (OCLC, 2007) Figure 3 Link paired fields Series Authority Record (SAR) According to EAL series cataloging, first available volume for a new series-route to a professional cataloger for priority cataloging to decide whether the series will be classed together or classed separately. For those classed together, if a 9

10 SAR is found, import it into Orbis and add a 090 to indicate local classification practice. If no SAR is found, create one in OCLC and after the record has been contributed to the national file, import it into Orbis and add 090 to indicate local classification practice. From Yale Policies for NACO Series Authority Records, in Southeast Asia collection, personal name headings that would require cross-references need not be established if they are first-time authors in the Yale catalog. This policy reflects the limited staffing in this unit, the limited number of Southeast Asian names being established by Program for Cooperative Cataloging (PCC) catalogers worldwide, and the reality that nearly every Southeast Asian name requires cross references (YUL, 2008). Efficiency in Cataloging Department In EAL cataloging department, they have various ways to improve the working efficiency. First, they use Macro Express software. It is a series of written instructions or recorded keystrokes and mouse actions. With a single keystroke, play back these activities at a much faster speed than can be performed manually. This can eliminate wasted time and the risk of error that typically occur when performing repetitive tasks (MacroExpress, 2009). Secondly, text strings are used, which allow catalogers to insert frequently used data in records. They are a shorter version of constant data and we can use non-latin scripts to create or edit text strings (OCLC, 2007). Department Culture There are big contrasts between two cataloging departments I visited in Yale 10

11 University Library. EAL cataloging department is quite solemn and silent. There are few people walking in and out. However, in Sterling Memorial Library s cataloging department, the working atmosphere is more relaxed. Therefore, different culture can also be reflected in different libraries. Conclusion When many people advocated that there would be no future for cataloging or how boring the cataloging job is, what I found from the EAL is quite different: everyone is busy and satisfactory with their job. This is very impressive and encouraging for a MLS student. Moreover, efficient and wise use of technology in cataloging is very important to improve the working efficiency and meet production demands, which poses challenges for catalogers. Finally, collaboration and resource share will always be the trend of cataloging. References: East Asia Library (2009). About the EAL. Retrieved Nov.4, 2009 from 图 书 :EAL Newsletter (2006). Exhibit Celebrates the History of Yale s East Asia Library. Retrieved Nov.4, 2009 from MacroExpress (2009). Retrieved Nov.19,2009 from OCLC (2007). OCLC Connexion Client: Non-Latin Script Cataloging. Retrieved Nov.15, 2009 from YUL Cataloging Documentation (2007). Orbis Cataloging Using Voyager. Retrieved Nov.19, 2009 from 11

12 YUL Cataloging Documentation (2007). Connexion 2.0 Settings for Cataloging Staff Retrieved Nov.19,2009 from YUL (2007). Authority Control at Yale. Retrieved Nov.19,2009 from YUL OCLC/Connexion YUL Documentation (2009). OCLC Non-Latin Script Cataloging Key Points. Retrieved Nov.19,2009 from YUL (2009). Local Subject Headings. Retrieved Nov.19,2009 from YUL (2008). Yale policies for NACO series authority records. Retrieved Nov.23,2009 from 12

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