Cataloging Outsourcing -- Practice and Thinking

Amy Tsiang

Presented at the CEAL Committee on Technical Processing Program

San Francisco, April 5, 2006

 

 

            Cataloging outsourcing has been a heated topic in library services.  From time to time, we heard many different opinions from library professionals.  The pros regard cataloging outsourcing as a trend in future library services, and the cons see it as a threat to the library profession.  At this moment, I don’t think I have sufficient data or background to support either side.  I would like to share our experience in outsourcing of cataloging backlogs, discuss the advantages and problems of our practice, and then raise some issues for discussion.

 

My presentation includes three parts:

1.      Initiation: Why did we need cataloging outsourcing?

2.      Practice: How did we handle the cataloging outsourcing?

3.      Thinking: what will be the future of cataloging outsourcing?

 

I.                  Initiation: Why did we need cataloging outsourcing?

The UCLA East Asian Library has been pursuing an outsourcing project for cataloging backlogs since October 2005, with a pilot project in September 2004.  The cataloging outsourcing project at the UCLA East Asian Library was not part of our strategic plan.  To the opposite, it was initially a temporary measure in dealing with cataloging backlogs.

 

In 2002-2003, the UCLA East Asian Library had two vacant positions of professional librarians.  At the time of budget shortage in California, we were unable to fill the positions.  As a result, a cataloging backlog was gradually built up.  As of December 2003, the Library had a cataloging backlog of 11,504 titles, including 4,998 Chinese titles, 3,980 Japanese titles and 2,752 Korean titles.

 

In late 2004, we learned that we were able to fill only one of the two vacant librarian positions.  Obviously, even though we could catch up on cataloging of current acquisitions, the cataloging backlog could be there forever.  Based on the urgency of cataloging need and the budgetary constraint, we started to consider outsourcing as an alternative for eliminating the backlog.  With the support of the library administration, we launched a pilot project for cataloging outsourcing.

 

We started with outsourcing original cataloging of Chinese monographs.  Due to the vacancy of Chinese professional cataloger for two years, Chinese section has accumulated the largest backlog among the three East Asian languages.  In early September 2004, Richard Siao, the head of the acquisition and processing unit of the UCLA East Asian library, assisted me in selecting materials for outsourcing.  The selected Chinese materials were from a backlog waiting for original cataloging.  Then, a student assistant was assigned to conduct bibliographic checking on OCLC-CJK, making sure that no copy cataloging available in the database.  Meanwhile, Toshie Marra, the then interim head of the library’s cataloging unit, was assigned to coordinate the project, by preparing cataloging specifications and providing guidance for complex cataloging situations.  After careful bibliographic checking, totally 234 volumes were shipped to a cataloging agency, via UPS, on September 9, 2004.

 

By January 2005, all the shipped materials were returned to the East Asian Library, after being cataloged.  The 234 volumes were cataloged into 219 titles.  Of them, 186 were processed by original cataloging, 19 by simple copy-cataloging, and 14 by complex copy-cataloging.  This means that, during the period from September 2004 to January 2005, 33 titles, about 15 percent of all the titles outsourced, became available for copy-cataloging at OCLC-CJK.

 

A student assistant did bibliographic check on all the returned materials first.  Then, Hong Cheng, our new Chinese Studies Librarian, and Toshie Marra reviewed all the cataloging records.  By the end of January, the pilot project was concluded.

 

To assess the cost-effectiveness, we kept track of the library staff time spent on the project.  The pilot project totally cost the library 36 professional hours, 7 staff hours and 29 student assistant hours, including preparing outsourcing cataloging specifications and providing guidance for complex cataloging situations.  However, it was not reasonable to regard all these hours as extra cost of the project.  Bibliographic checking by student assistants and selecting materials for cataloging are normal procedures even for in-house cataloging.  Preparing outsourcing cataloging specifications and providing guidance for complex cataloging situations by a professional librarian should be a one-time procedure for all outsourcing projects, including future projects. 

 

After the pilot project, we recommended expanding the outsourcing project to the entire cataloging backlog, including Japanese and Korean materials.  Based on the size of cataloging backlogs and current available manpower of the Library, outsourcing was crucial in reducing cataloging backlog.  We hope that, as the outsourcing program continues as initially planed, the East Asian Library will be able to finally eliminate the cataloging backlog in foreseeable future.

 

II.               Practice: How did we handle the cataloging outsourcing?

After approval of the library administration, the UCLA East Asian Library started a two-year cataloging outsourcing project in October 2005.  According to the agreement with the cataloging agency, the library plans to ship 400 titles to the agency each month, including 200 Chinese titles, 100 Japanese titles and 100 Korean titles, for either original or copy cataloging.  The agency will complete the cataloging within two months after receiving the materials, and then ship back to the Library.  To date, three shipments, about 1,200 titles, have been completed.  We expect the whole outsourcing project to be concluded as planned.  By October 2007, the old cataloging backlog could be finally eliminated.

 

As for the two-year outsourcing project, we set up the following library procedures:

 

  1. Librarians or copy catalogers select materials for outsourcing (200 Chinese titles, 100 Japanese titles and 100 Korean titles each month)

Preferred Criteria for selection:

    • Single volume items
    • Simple treatment (i.e., no Non-circulating, no Reference)
    • Books only (no serials, no CD-ROMs, etc.)

 

  1. Copy Catalogers delete item/holdings/bibliographic records on local online catalog, and exclude those titles from shipment that records cannot be deleted from the local online catalog.  This preparation is to simplify the merge of cataloged records with existing acquisitions/processing records.

 

  1. Cataloging Student Assistants make copy of colophon pages or any other pages that include the most complete bibliographical information including title, series title, imprint, and ISBN, for the Library’s records.

 

  1. The processing unit packs books and barcodes, count the number of titles and volumes included in a shipment, and ship the packages to the outsourcing agency via U.S. postal service or UPS with insurance.

 

  1. When cataloged shipments are back from the outsourcing agency, cataloging student assistants check if all the books in the package are returned by comparing with copies of colophon pages.

 

  1. Librarians or copy catalogers take final look, and then cataloging student assistants send books for marking.

 

After six months of practice, we consider that the outsourcing of cataloging backlogs has both obvious advantages and disadvantages.  We have to balance the benefit with the drawback.  Especially, we need to evaluate and balance the following issues from time to time.

 

First, let’s consider cost and manpower.  Outsourcing did not lower the cost of cataloging.  If we calculate only the cataloging fee charged, outsourcing cataloging cost is comparable to in-house cataloging, perhaps slightly higher.  If adding shipping, insurance and other cost, outsourcing is obviously more expensive than in-house, especially for copy cataloging.  However, the key question is: do we have the manpower for doing all the cataloging in-house?  Using UCLA as an example, if we had to handle the cataloging backlog in-house, we would need at least two catalogers.  The reality gave us no choice but to go outsourcing. 

 

Second, we need to balance quality and quantity.  Outsourcing focuses more on quantity, not on quality.  It meets the need for putting more books on shelves.  Of course, it can also meet basic requirements on quality, such as the minimum of one subject heading per title.  The more quality we require, the higher price we have to pay; it is just simple business.  In most cases, what you get is what available on the union catalog.   And thus at UCLA, we prefer to have all reference titles and important titles cataloged in-house.

 

Third, we have to solve the conflict with local network.  In our cataloging outsourcing project, a notable problem is how to coordinate with the local network.  On the UCLA library system, acquisition units create an initial record for each acquired library item.  During cataloging, cataloger needs to update the initial record for it to merge with the cataloged record downloaded from OCLC.  Unless we give the outsourcing vendors the access to the local network, there will be a problem in merging records.  When outsourcing the cataloging backlogs, we simply delete the initial records from the local network.  However, for items awaiting invoice payment or other processing activities, the initial records cannot be deleted.  If we use our staff to update such records, much time and effort would be required.   Then we might as well do our copy cataloging  in house as we are not realizing much staff time saving from  outsourcing.  So far we have no better solutions, and if this conflict is not solved, I don’t think we should further expand the outsourcing project.

 

III.           Thinking: What will be the future of cataloging outsourcing?

            What we did in outsourcing is solely to eliminate cataloging backlogs.  So far we have no plan to outsource cataloging routinely.  Outsourcing as a routine is a much more controversial issue, which could affect the future of our library profession.

 

In fact, many libraries, especially public libraries and smaller libraries, are outsourcing cataloging to private companies or agencies.  These companies employ part-time workers, or subcontract to individuals or even companies abroad.  There are many arguments over the issue of the outsourcing.  Here I summarize some of the opinions from both sides for your further discussion.

 

The pro side of the issue regards outsourcing as a trend for future.  They emphasize that, no matter or not, outsourcing would play a major role in library, just like what is happening in computer, entertainment and finance industries. The key points of the pros are:

 

1.      Outsourcing saves library budget and speeds up the cataloging process.

Almost all the academic, public and school libraries are facing serious budget cuts, so outsourcing gives libraries opportunities reducing library staff. 

 

2.      Outsourcing helps library get much needed specialized service.

To many smaller libraries, cataloging materials in foreign languages or in certain specialized field is always a challenge.  Outsourcing can help such libraries get the service they need.

 

3.      Outsourcing centralizes the library functions to specialists in the fields.

Centralization and specialization is the direction for cataloging.  Outsourcing  enables specialists to maximize their roles in the fields.   In recent years, major libraries centralized their cataloging service into metadata centers.  For smaller libraries, outsourcing makes available similarly centralized services from specialists.

 

4.      Outsourcing goes along with the trend of privatization and globalization.

Like it or not, outsourcing represents the trend of privatization and even globalization.  Some people regard privatization as a way of cutting cost and raising efficiency.  To cataloging foreign language materials, outsourcing might mean taking advantages of lower labor cost abroad.

 

The con side of the issue looks outsourcing as a threat to the library profession.  The cons focus more on the long-term effects on library services.  At the time we launched outsourcing project for cataloging backlogs, the union organization expressed their concerns over library jobs.  Quite a few librarians who heard of the project also openly expressed their oppositions.  We can expect more concerns and oppositions if cataloging outsourcing become routine in library services.  The main concerns over outsourcing are with the following aspects.

 

1.      Outsourcing diminishes library profession.

Librarianship is a profession that requires many years of formal education and even more years of continuing education.  Private outsourcing companies and/or agents might hire people lacking formal education and training for lower cost.  Using outsourcing to replace in-house cataloging and using teaching faculty for collection development, together with Googlization, could eventually eliminate librarianship in many institutions  of  education and higher education while some accrediting groups tend to drop library services from the accrediting requirements.

 

2.      Outsourcing lowers library’s service quality by using less skilled part-time or foreign workers.

Private outsourcing companies and agents mainly use part-time workers and subcontractors.  Due to lack of professional education and training and lack of quality control, they might create substandard records.  We would see more duplicate and substandard records appearing at OCLC and other databases, which is adding burden to records management.  However it should be noted that some private companies also use skilled catalogers from major libraries and take advantage of their training and expertise.

 

3.      Outsourcing reduces the job market for permanent fulltime library workers.

The cost saved from outsourcing is actually from cutting staff benefits, not from productivity or efficiency.  Outsourcing companies and agencies use mostly part-time workers or subcontractors with no fringe benefits or retirement pensions.   So, the library budget saving from outsourcing is achieved at the expense of library workers, or I might say, through the unscrupulous exploitation of library workers.

 

4.      Outsourcing moves American jobs abroad.

While library jobs in the United States are shrinking, outsourcing could mean jobs go abroad especially for foreign language materials, just as happening in computer, finance, and entertainment industries.  The difference is that most libraries are operating on taxpayers’ money, which means U.S. tax dollars are going abroad.

 

In general, the pros of outsourcing look at the issue more from the point of management, and the cons of outsourcing look at the issue more from the point of socio-economy.  Finally, I would like to share with you a totally different opinion for discussion. Some people view cataloging outsourcing simply as an inevitable yet a transitional mode of library practice.   Cataloging as a way of information / knowledge management, is quickly loosing ground to massive speedy metadata processing / retrieving.  Google is already digitizing full-texts of library books in great multitude today and they will not be taken by surprise someday to see the bulk of cataloging as we know it, which we have cherished and practiced for so long, evolves into a totally new library operation.  Such an operation would be in the charge of managers rather than catalogers and most likely, it would be outsourced for efficiency and economy.