CAT-ASSESS

Instructions for carrying out the Catalogue Audit

Draw up a profile of your catalogue, detailing the history of system changes, cataloguing policies and any external and/or in-house standards used. Decide whether any errors will be deemed 'not applicable' because of cataloguing policies and/or system restrictions. Record these decisions for the use of those carrying out the checks.

Profile
Profile Example

Sampling
Decide on the size and method of sample to be used. You can assess the whole of your catalogue or a section of your catalogue, as long as an appropriate sample can be taken. If a system generated random sample is not possible, decide on the method for generating a quasi-random sample or a systematic sample. Record this decision and details of the method of taking the sample.

Sampling

Printouts and recording sheets
Produce documentation, printouts and recording sheets. The exact requirements depend on the type of sample and whether the system can generate printouts of individual records. In Method A, you will be working from printouts of catalogue records that are taken to the shelves. In Method B, you will be taking items from the shelves and then producing printouts of the records for checking or checking the catalogue records directly.

• A. Printout of randomly selected sample of catalogue records plus a set of blank worksheets - one for each sample item.
• B. If working with a systematic sample taken directly from the shelves, produce a set of blank worksheets - one for each sample item.

Organise the workflow for the audit and put in place any additional procedures that will be required. For either of the methods, it is more efficient to locate a batch of items on the shelves and assemble these for checking elsewhere. This also enables staff without cataloguing skills to locate the items and staff with cataloguing skills to make the checks.

Workflow
Worksheet

Method A

• Use printout to find item on shelves. Check item details against printout. Record error results on worksheet. Annotate printout with error type and any additional comments.
• Recall or flag items on loan so that check can be carried out when they are returned to the library.
• Items not found after 2 shelf checks and circulation system check should be marked as 'missing item' on printout and worksheet. Start library's own usual procedures on missing items.

Method B

1. Take item to catalogue, check item against catalogue record. Record error results on worksheet and annotate with any additional comments.
2. Generate printout of catalogue record for each item. Check item details against printout. Record error results on worksheet. Annotate printout with error type and any additional comments.

Checking items against the printout or catalogue

• Check each item in the sample against its catalogue record either using a printout or accessing the catalogue directly.
• For each item, check the fields listed on the worksheet. Note on the worksheet whether the data contained in the record is:
  (a) acceptable
  (b) incorrect or missing
  (c) not applicable (e.g. when subject headings not used, this field is always marked 'not applicable')
• Author and subject headings are checked against authority files for correct forms of names and subject headings where authority control is in place. Records are checked for accurate recording of data if there is no authority control.
• In all other fields data is checked for correct transcription not correct spelling.
• Checking whether a classification mark is appropriate for an item is not part of this audit. An error should only be recorded when the class mark and/or shelf mark noted on the item does not match the class/shelf mark in the catalogue record.
• Special arrangements may be needed for items in non-Roman scripts with transliterated records, depending on the availability of staff with appropriate knowledge/skills.
• Where information is found in the wrong field, this constitutes 2 errors (an omission plus an incorrect addition). This can be recorded as either 1 error or 2 errors but this must be done consistently.

The worksheet divides fields into Group 1 (controlled headings), Group 2 (uncontrolled headings) and Group 3 (all other fields). This is intended to allow closer analysis of the source of errors.

Web page content by Bibliographic Management Group of UKOLN.
Last updated on: 14-Feb-2002