Catalog and Metadata Services
Strategic Plan
September 1, 2008
I. Catalog and Metadata Services Vision and Mission
The Catalog and Metadata Services supports the Library in the 21st century by providing the
intellectual infrastructure that facilitates access for our community of users to our diverse
collections and an expanding array of services. We assess the information landscape,
develop bibliographic and information models, and implement production services to
support the students and faculty in their learning, research, and teaching endeavors, by
developing and maintaining intellectual access to the Library’s and the University’s print and
digital collections.
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II. Environmental Factors, Priorities, and the Role of Catalog and
Metadata Services
A. User expectations of the library are evolving, and the Library must respond to their
needs and the opportunities afforded by new technologies.
 The percentage of the Library’s collections of digital resources increases annually
through the acquisition of commercial products and digital content created locally.
 The Library continues to acquire large numbers of print titles at a rate that is greater
than most of our counterparts.
 YUL’s collections are rich in treasures and unusually deep in the breadth of holdings,
but large numbers of titles and special collections lack adequate bibliographic
description and control.
 The University’s emphasis on a ‘global Yale’ is affecting our collection development
efforts, the nature of the collection, and our cataloging priorities.
B. The technical and organizational environment is evolving, and CMS must respond to a
new set of challenges and opportunities.
 The success of the West Campus and Mudd Projects will require a significant
investment of staff time and expertise
 The available pool of good cataloging copy for new acquisitions is shrinking, mostly
because we are acquiring more print titles than our peers. As a result, larger
numbers of titles require more skilled cataloging staff.
 Vendors are offering services that are cost effective and offer us the opportunity to
re-prioritize our cataloging and metadata work.
 OCLC is now the only large bibliographic database service, and it is looking to expand
the portfolio of related services that are offered to libraries. Their corner in the
market place offers new opportunities to partner and presents new challenges.
 Adherence to national and international standards continues to be important, but
now there are many more, and most are less stable than MARC and the AngloAmerican Cataloging Rules. RDA, a replacement to the 25 year-old AACR2, is on the
horizon.
 The number of new human resource, professional development, and training
initiatives is having an impact on the CMS staff capacity.
C. In the new environment, CMS has an opportunity to play a proactive role in the
evolution of the Library’s Catalog and other databases that support Library services,
teaching, learning, and research, through the imaginative and flexible leveraging and
expansion of the staff’s cataloging and metadata expertise.
 CMS must play an integral role in the ‘life-cycle’ of digital resources produced at Yale
by contributing to the development and building of systems and structures that
support the ‘life-cycle’, creating metadata that organizes, manages, and supports the
preservation of digital assets over time, and ensuring ongoing effective access for
discovery and retrieval;
 CMS must develop innovative approaches to providing enhanced and federated
access to the Library’s collections of digital and physical resources, including
unlocking its hidden collections;
 CMS must play an active role in developing strategies and performing the
bibliographic work necessary to expose the Library’s hidden collections.
 CMS must contribute to the development of new open-source technologies to support
enhanced access to our collections and resources.
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CMS 2008 Staff Allocation
CMS
2008
Print Cataloging
92%
E-Resources
4%
Consulting and
Other
4%
Supervision/
Management
10%
CMS 2012 Staff Allocation
CMS
2012
Cataloging/
Managing
Print
Resources
50%
Cataloging/
Metadata/
Managing
Digital
Resources
25%
Consulting/
Metadata
Creation
Outside
Library
10%
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Unlocking
Collections
10%
Supervision/
Management
5%
III. Goals for 2011/2012
Goal 1. In 2012 CMS services support a full portfolio of standards for both print and
digital resources.
Goal 1A. In 2012 non-MARC metadata production is fully integrated into the CMS
cataloging program.
Objectives: Integrate non-marc metadata creation and management into the
responsibilities for each CMS team.
Tasks:
1) Align priorities and staff assignments to balance print with digital
Who: Team Leaders working with Assistant Department Head(s)
When: 2008Resources: TBD
Measure: Priorities and capacity are aligned.
2) Develop and implement library-wide metadata policies, procedures, and best
practices for cataloging digital materials
Who: Policy development led by MST (Summer 2008)
Procedures/Best Practices development led by MST (Fall 2008)
Implementation led by MST (2008-2009)
Measure: Digital materials are processed efficiently as part of standard
workflow
3) Support metadata start-up of Digital Repository Services by developing and
implementing metadata policies (2008)
4) Develop project management skills among all team leaders and project managers
Who: Department Head with Team Leaders and likely project leaders
When: 2008-2009
Resources: Training and hand-on practice
Measure: All managers have skills they need to plan and implement a project,
deliver completed project on time and within budget.
5) As much as possible develop processes that are effective and appropriate for all
types of materials. Incorporating new activities into workflow will require increased
capacity that must be achieved through more efficient processes.
Who: Team leaders and Training and Documentation Librarian
When: 2008-2010
Resources: Time to develop and implement new processes, training (Training
and Documentation librarian).
Other: Consultation with stakeholders and consideration of downstream
effects.
Measure: New projects can be absorbed within the department, with a
minimum of disruption to ongoing cataloging and metadata activities.
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Goal 1B. By 2012 all staff will be competent in core cataloging and metadata
standards, processes, and best practices
Objectives:
 All staff will have knowledge of cataloging tools and sources of bibliographic
records and how to use them including bibliographic utilities and Voyager
(and its successor).
 All staff will be competent in core metadata schemas and tools. In addition to
knowledge of RDA, LC Classification, LCSH, Dublin Core, OpenURL, etc.,
designated staff will have expertise in OAI MHP, NISO Z39.19, W3C standards
such as XHTML, OWL and RDF, and social folksonomies such as del.icio.us
and technorati.
 Designated staff will master bibliographic relationships underlying database
design; librarians will inform bibliographic database design with authority
control and FRBR concepts.
 Ongoing staff training plan will be developed that includes emerging metadata
topics.
 Knowledge will be enhanced through participation in a wide-range of library
and information science organizations. Regular discussions based on
professional literature will be held to review best practices and stimulate
innovation within the department.
Tasks:
1) Implement training programs that develops knowledge of emerging trends in
cataloging, catalog management, and metadata and expand skill levels
2) Provide opportunities for hands-on training
3) Position descriptions will be updated to reflect new responsibilities
Who: CMS Department Head, Team Leaders, and outside trainers
When: 2008Resources: Funding to bring trainers and training programs to Yale
Measures:
1) Well-trained and agile staff able to move between regular assignments and special
projects.
2) Flexible and timely response to planning, implementing and completing projects
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Goal 2. By 2012 have an active, fully-developed, sustainable CMS Consulting
Services Program that provides consulting and production services for metadata and
information organization needs in the Library and the University community.
Objectives:
 Provide expertise in theory and methods for subject analysis, including
thesaurus creation, indexing, and classification.
 Utilize our knowledge of information-seeking behaviors in order to support
products and services our users need, and evaluate information-retrieval
systems in relation to user needs and information-seeking behaviors.
 Develop principles and methods for planning and designing user-driven
information retrieval systems that employ theories of information organization
and intellectual access including relevant national and international standards.
Tasks:
1) Assess library and faculty needs for a metadata consulting program
 Develop plan for establishing staffing needs, and use of project teams.
 Establish capacity goals
Who: CMS with DPIP
When: 2008-09
Resources: Assessment Librarian time
Measure: Successful completion of projects within allotted time and budget
2) Promote and publicize metadata consultation program
Who: CMS with DPIP
When: 2009
Measure: Consulting program is recognized and accepted throughout the
University
3) Develop information on services we support and time and cost estimates.
Who: CMS
When: 2008-09, and annual reevaluation
Resources: Project planning skills
Measure: Web and print publicity available
4) Establish standards for cataloging times for different metadata processes; costs
for different services; and best practices.
Who: CMS in consultation with DPIP, Usability and Assessment Librarian, and
other library units.
When: 2008- continuous process of review and refinement
Resources: CMS staff
Measure: Data models are developed for estimating costs and time based on
project requirements
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Goal 3. By 2010 print cataloging processes will fully support the new vision for
Catalog and Metadata Services. User needs and unlocking collections goals will be
reassessed to ensure CMS provides high quality cataloging with an efficient and
effective movement of materials and a high level of accountability, and cataloging
experts are devoting an increased percentage of time to non-marc metadata
creation, addressing hidden collections priorities, and participating in special
projects.
Objectives:
 Implement comprehensive strategies and programs for improving workflows
and throughput for print cataloging.
 Create and integrate with CMS cataloging activities a program to address
hidden collections.
 Implement next generation LMS.
Tasks:
1) Fully implement Vision Task Force reports and recommendations, and begin to
collect data for assessment purposes.
 Shelflisting
 Core Records
 E-level classification
 E-resources
 Subject access
Who: CMS, CCC, ILTS
When: 2008-2009
Resources: Training and some small amount of release time
2) Examine workflow for materials coming to CMS, internal workflows, and for
materials whose cataloging is completed
Who: Team Leaders and Department Head
When: 2008 with subsequent annual review and assessment
Resources: Project planning skills.
3) Establish standards of accountability with our constituents regarding throughput:
 Length of time to catalog (based on priority)
 New materials with copy
 New rush materials
 Maximum backlog times
 Establish time for maintenance transactions
 Establish authority control priorities
 Establish new access/minimal level standard
Who: Team leaders in consultation with stakeholders
When: 2008 with subsequent reviews
Resources: Project planning skills
4) Determine how to optimize use of catalog records from vendors.
Who: TF of CMS and CCC members
When: 2008/2010
Resources: Time
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5) Plan and develop initial training for new E-level cataloging position; use as an
opportunity to develop training
Who: Training and Documentation librarian in consultation with team leaders.
When: 2008/09
Resources: training time and course development time
6) Increase use of vendor shelf-ready services where they are cost-effective
alternative
Who: CMS and Acquisitions
When: 2008/09Resources: 2008/09 and subsequent budget requests
7) Improve the organization of the Frontlog and Team backlogs to optimize
workflows and access to materials.
Who: CMS
When: 2008/09
Resources: Time and volunteers
Measures:
1) More timely cataloging
2) Reduction of backlogs
3) Trends are monitored closely and workflows adjusted
4) New capacity for digital and special projects
5) Agreed upon measures for:
 Time spent in cataloging process
 Time spent in backlogs
 Time awaiting maintenance
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Goal 4. By 2012 centralized catalog management programs will be in place for the
management and maintenance of YUL catalogs and databases in collaboration with
other stakeholders of the Library and the University.
Objectives:
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To support improved access to Yale resources, designated staff will have
expertise in database design and database management concepts and tools,
actively participate in usability studies of the OPAC and other database-driven
tools, and use such tools as mySQL, PHP, XML, METS to transform metadata
for new uses and applications.
Manage the content of the next generation OPAC and related non-MARC
databases to improve resource discovery and retrieval.
Establish, manage and coordinate authority control systems for non-MARC
databases.
Support a symbiotic maintenance community.
Tasks:
1) Work with ILTS and other stakeholders to assess support needs and strategies.
Who: Dept. Head and Assistant Dept. Head, in consultation with Team
Leaders
2) Assess staff training needs.
Who: Same as 1.
3) Develop initial and ongoing training plans based on priorities.
Who: Assistant Department Head with stakeholders, and in consultation with
Department Head and ILTS.
4) Train selected CMS staff in the use of new tools and their functionality.
Who: ILTS and Catalog Management librarians.
5) Test interoperability of the MARC and non-MARC databases, and develop and
implement a strategy, along with policies and procedures, for ongoing maintenance.
Who: Testing: selected CMS staff in consultation with ILTS and DPIP;
Maintenance: Catalog Management, Metadata Team, and the Electronic Collection
Librarian in consultation with ILTS and DPIP
6) Develop an authority control strategy for non-MARC databases: controlled term
list, organization, etc.
Who: Assistant Department Head, Asst. Catalog Mgt. Librarian, NACO
Coordinator, Metadata Team, with stakeholders, and in consultation with
Department Head and ILTS.
7) Perform maintenance on descriptive metadata linked to content objects.
Who: Catalog Management staff
8) Establish best practices and standard procedures for database and metadata
maintenance.
Who: Catalog Maintenance librarians, Librarian for Training and
Documentation, and in conjunction with Department Head, CPDC, and CCC.
Measures:
1. Accepted standards and key structures in place
2. Staff able to provide ongoing maintenance of MARC and non-MARC
databases
3. Efficient quality assurance programs in place in all Yale Library
catalogs/databases
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Goal 5. By 2012 our ‘Hidden Collection Program’ will have exposed 15 ‘locked
collections.’
Objective:
To expose and make available previously unknown or poorly described materials and
collections to the Library’s community world-wide
Tasks:
1) Develop capacity to assume new cataloging projects (2008-2009)
2) Establish CSM as clearing house for ‘unlocking collections’ projects (2008-2010)
3) Establish a budget
4) Establish Unlocking or Hidden Collections steering committee (winter 2009)
5) Establish UC priorities (Winter 2009)
6) Develop strategies for addressing highest priority projects (Spring 2009)
7) Investigate cataloging services that might be used for some ‘hidden collections.’
(Winter 2009)
Who: Dept. Head in consultation with stakeholds.
When: 2008Resources: Time
Measures:
1) Unlocking collections program in place
2) Unlocking Collections long-range and short range plans documented
3) Budget line dedicated to unlocking collections
4) Ongoing capacity to address uncataloged collections
5) Regular process to assessing funding and grant opportunities
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IV. Workflow Changes:
A number of important workflow changes have been identified to improve the
effectiveness of Catalog and Metadata Services.
General workflow principles:
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Reduce sorting
Minimize handling
Minimize number of times bibliographic utility is accessed
Minimize complexity
Minimize number of exception routines
Maximize physical accessibility of materials to public by minimizing time materials
spend ‘in-process’, in boxes, and in hands
Actions:
1) Basic Handling:
 Establish capacity for accepting new materials for cataloging.
 Develop workflows that direct materials to most appropriate level of staff on
receipt.
 Develop workflows that ensure the timely movement of materials, and
discourage processes that allow.
 Improve flow of material from Acquisitions and all sending units.
2) Frontlog and Backlog:
 Revisit plan for a public Frontlog that includes full range of library materials
 Standardize workflows and process for all materials stored in Frontlog and
Backlog.
 Develop plans for clearing large and complicated backlogs of uncataloged
materials and reduce rate of growth
 Establish plans for cataloging of titles in Frontlog longer than 3 years.
3) Reduce number of exceptional procedures:
 Priority processing--revisit categories and processes
 Establish consistent priorities for all materials sent to CMS
 Review and attempt to standardize processing exceptions for school and
departmental libraries.
4) LSF and low priority materials
 Revisit LSF Policies and revise to accommodate new needs and current
conditions
 Develop and promote new cataloging standard for low priority materials
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V. Catalog and Metadata Services Organizational Principles
Catalog and Metadata Services will employ an organizational structure that supports
our strategic vision and goals. It will improve coordination and communication
between all levels of staff in our department and establish lines of communication
with our stakeholders and all units with whom we work and interact. The new
organization distributes responsibilities and accountability more broadly and should
lead to more efficient decisions and greater responsiveness.
We will reduce the percentage of cataloging time devoted to traditional newly
acquired materials to 50% by the year 2012 and increase the staff time available to
work on exposing hidden collections, digital initiatives and special projects and all
that this entails, e.g. training, project management, etc.
We will provide all levels of staff with more development and growth opportunities,
and make the organization more responsive to our users’ needs and requests. We
will deal more efficaciously with our stewardship of the collections, both traditional
and electronic.
We will adopt the following organizing principles:
1) Cataloging/Metadata Teams will be central organizing feature, with
permanent team leader.
2) Team Leaders report to Department Head.
3) Project Teams will be assigned to develop and implement a particular project
for a specified period of time. It may be a full or part-time assignment.
Project team leader leaders will plan projects, estimate resources including
staff needs, and negotiate with Team Leaders for appropriate staff
4) Assistant to the Department Head will provide management for the daily
operations, manage vendor contracts, serve as ‘Field Librarian’ and provide
project management support by assisting and analyzing departmental needs
and implementing projects including negotiating reassignment of staff
5) Based on Acquisitions and Cataloging workflows.
6) Increase amount of original cataloging.
7) Account for all classifications, A-Z.
8) Tools & resources in background: Next Gen OPAC, OCLC batch matching, LC
batch matching, shelf-ready program, vendor records, full level records,
collection level records, DACS/EAD, Yale Core, Yale, Minimal Level Cataloging
standard, CONSER standard record, special projects.
9) New priorities system and limits on searching and retention in uncataloged
backlog.
Guidelines for restructuring decisions
 No one loses a job; no increase in staff.
 Restructuring is based on Strategic vision and overarching goals.
 Emphasis on creating an organization that is more efficient, nimble, and
responsive.
 Increase original cataloging to address the needs of the growing print collection,
new digital initiatives, and our oldest uncataloged materials.
 Match skilled people to tasks that allow them to use their skills in the best way
possible regardless of the format of the materials.
 Consider how CMS, and the tasks within our department relate to other
departments.
 Improve on current organizational structure
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Catalog and Metadata Services
Head, CMS
and
Chief Catalog
Librarian
Catalog
Documentation
And
Training
School,
Department
and Non-Roman
SML Copy
cataloging and
Belletristics,
language and
literature, etc.
Assistant to
Department
Head
SML Original
Catalog Management
and Metadata
Services
Rare Book Team
Team 1: School and Departments, Non-Roman Scripts, Map Department.
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Materials not coming in through SML Acquisitions
Will perform own necessary copy cataloging.
Team 2: SML copy cataloging in all subject areas & classes, and original cataloging of
Language and Literature, Belletristic, Bibliography, “A” class materials, Education,
Music, Philosophy.
 Includes all materials coming through SML Acquisitions. Sole control over
SML roman-script Backlog.
 Cataloging assistants do all straightforward copy cataloging in all classes;
upper level assistants or catalog librarians do copy cataloging in all classes
requiring upgrading (e.g. needs call number); belletristic original
performed by upper level C&Ts; LAC materials
Team 3: History, Social Science (SML only), Education, Religion, Law. Subject area
classification is more topic driven.
 Original cataloging only
Team 4: Catalog Management and Metadata Services will be merged into one Team.
Catalog management functions will be extended to include non-MARC databases.
Database functions that relate to both print and non-print will be concentrated in one
team. Both teams have similar needs for additional technical capacity
Team 5. Rare Book Team will continue to work on materials for the Beinecke Rare
Book Library.
Assistant to Department Head – Manages day-to-day work of the department.
Training and Documentation Librarian
Special Projects Teams as needed
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Positive features of model.
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Supports new library and university initiatives including digital programs
Supports teaching and instruction programs
Balances and supports all the strategic directions of the Library
Distribution of cataloging assignments is more organic to the workflow;
acquisitions workflow is more straightforward and handling is minimized.
Greater flexibility and agility. Large teams can expect to suffer less disruption of
ongoing work when staff is temporarily assigned to projects.
More development opportunities for C&Ts
Each team has its own distinctive perspective or organizational identity:
Team 1 Schools and Departments and Specialized
Team 2 Language/Literature/Philosophy/Music & Copy Cataloging
Team 3 Original History/Social Science
Greater focus for original cataloging on subject areas with the most extensive
backlogs; reduce professional interaction with copy cataloging
Recognizes and builds upon the strengths of the Catalog Management Team and
the Metadata Team.
Opportunity to merge backlogs under Team 2.
May facilitate identification and elimination of overly recycled items requiring
original cataloging
Fewer teams; fewer reporting lines, and greater flexibility.
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VI. Catalog and Metadata Services Values
Catalog and Metadata Services departmental, team and personal goals are clearly
articulated and aligned with the Library’s goals, in order to meet opportunities of the
future:
1. We communicate with each other in a respectful and timely manner.
2. We work as a team, building trust and sharing in responsibilities with an
orientation toward accomplishment.
3. We are service oriented and place high value on the needs of our community.
4. We have clearly defined managerial responsibilities, expectations, authority,
and accountability.
5. We recognize and encourage new and innovative approaches to our work and
the way we respond to our users.
6. We constantly seek ways to leverage our cataloging expertise and apply it to
our department’s mission, vision, and values
7. We encourage and support learning, creativity, and risk taking and provide
opportunities for hand-on learning.
8. We have respect for tradition, history, and the past and prior accomplishments.
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