For:SML Support Staff
By: Steven Arakawa
Date: 11/18/2002; revised: 5/30/2008
Note to supervisor: intended as the vanilla introductory training checklist for copy catalogers at SML. Covers processing of both non-CIP full level LC copy (but not CIP) and standard level member copy. CAUTION: The workflow described may not apply to non-roman cataloging in some details
Conditions: Cataloging copy source for the record is LCDB or OCLC; location SML stacks; record is not CIP (E/L blank or 4).
_____ A1. Is there any evidence that the book is damaged? If the book is damaged and there is no OK to add note from the selector; route to your supervisor. If there is an OK from the selector, consult with your supervisor about an appropriate local note.
_____ A2. What location are you cataloging for? Is book for SML stacks? (and if so, for Judaica, L+B?) Some locations may require special processing, e.g. all books for the Near East collection are cataloged by the Near East team, Arts Library has a different oversize. If you are not authorized to catalog for the location, route the book to your supervisor. Once you are familiar with basic SML processing, you may be assigned and learn how to process cataloging copy for school and departmental libraries and SML special collections.
_____ A3. Roman alphabet or not?
_____ A4. Is the Leader within guidelines? Bibliographic level: m <monograph> Encoding level blank or 4. Encoding Level I (OCLC full level) is also acceptable. Note that there are separate guidelines for CIP (encoding level 8). Once you are familiar with basic SML processing, you should learn the more advanced descriptive rules needed to process and update CIP.
_____ A5. If the exportQ window is red, do not perform any updates to the bibliographic record; just update the MFHD for your location.
_____ B1. Is the cataloging copy for the SAME EDITION? Verify the following:
___ 020 Verify that the same ISBN number on the book is recorded in the 020 field. A 020 for the paperback edition may also be on the record
___ 245 Every word in the 245 must be on the title page unless the word is in [brackets]. The converse is not true; not every word on the title page will appear in the 245 field. Edition information should appear in the 250 field; series information should appear in the 440 or 490 fields; other non-title related information may appear in the notes [5xx]. Not all punctuation in the 245 field will necessarily appear on the title page. Note that the 240 field [uniform title] is not part of the verification procedure.
___ 250 Check for information about the edition on the title page and on the verso of the title page.
___ 260 Make sure your record has the same place of publication and publisher. The date of publication must be the same.
___ 300 Check pagination, illustrations, and size.
___ 4xx Verify that the series statement on the printout appears somewhere on the book. In some cases, the form of access used for the series may differ from the form of the series as it appears in the 4xx field; the access form will appear in the 8xx field and is not part of the descriptive verification. (But access form is important for authority checking.) If the record has a 490 0 series statement, retrieve the authority record and follow the tracing decision on the record.
_____ B2. Reproduction vs Original. If you are processing a photocopy for a location, do not consider the photocopy to be the equivalent of the original. If the bib record is for the original, consult with a catalog librarian. Conversely, if you have a copy of the original, and the cataloging is for a reproduction (microfilm, photocopy, electronic resource), do not consider your book as matching the bibliographic record.
Detailed policies and procedures for member copy at: Member copy checklist
____ Have superfluous fields been deleted from the record? There are 2 documents you need to consult:
NOTE: Most fields that need to be deleted are stripped automatically from the OCLC record when it is exported. There are fewer fields to be deleted from LCDB records, but the overlay/import process does not strip fields.
_____ D1. Is the bib record LC or member? If the bib record is LC, you are concerned only with the series authority.
_____ D2. Is there an authority record for the series in Orbis? If there is a series authority record in Orbis, retrieve it to determine if the series is classed together. Check also to see if other titles in the series have been cataloged to determine whether the series is classed together. (Searching Web Voyage is usually the easiest way to determine series classification practice.) Notify your supervisor or the designated catalog librarian if the series is classed together for your location but the treatment has not been recorded on the series authority record.
_____ D3. If there is no series authority record in Orbis, use the 050 call number if the bib record is LC and search no further. If the bib record is not LC, search LCDB. If a series authority record is found in LCDB, follow the classification decision but do not copy the series authority from LCDB to Orbis. If no series authority record is found, route to the designated catalog librarian to establish the series.
_____ D4. Are there non-series headings requiring authority records? If the bib record is not LC and a personal name with a prefix or a compound surname does not have a corresponding authority record, route to the designated catalog librarian to establish the heading.
Detailed policies and procedures at: Authority control workflow for C&T staff
_____ E1. Usable call number in 050 or 090 field? If 090 call number is usable, change it to 050 _4. In the MFHD window, use the Voyager CTRL-N key sequence to copy the 050 number into the 852 field. This will generally be the number to use, along with the location as entered in the in-process $b subfield, but you will need to keep in mind the following considerations.
_____ E2. Is the book analyzed by LC or SML? If so, make sure the call number used is the Yale number rather than the number used in 050/090, and that the call number has a volume number at the end.
_____ E3. Editions and translations. Since our procedures no longer require keeping editions and translations together, searching for the earlier edition call number is not required.
_____ E4. Does your call number use (LC)? For SML stacks, these numbers do not use (LC): D, PA-PZ, Q. Note that P call numbers take (LC) but PA-PZ do not take (LC).
_____ E6. Is your book oversize? 28-39 height; 20-29 width; add ‡m Oversize after the call number.
_____ E7. Is your book FOLIO? 40 or more height; 30 or more width. Be sure to insert ‡k Folio before the ‡h field in 852 but do not add $m Oversize at the end of the call number.
_____ E8. Is your book about an artist? (Books with 050 in N class and a 600 as first subject should be reviewed.) Use local classification instead of LC classification if authorized; otherwise route to your supervisor.
_____ E9. If you are cataloging a literary work or a book about a literary work, there are special workflow instructions related to the call number. Refer especially to Shelflisting of Literary Works by a Single Cutter Author
If you haven't been trained in the literature call number workflow policies & procedures introduced Feb. 2005, route to your supervisor.
_____ E10. Should your book go to Judaica? All SML books classed BM are always assigned smljud. Books in other classes must be flagged in order to be cataloged for Judaica. Books for Judaic Studies Referenceshould come with a flag or some indication on the searching slip. Location code in Orbis may need to be changed to smljud or smljudr. CAUTION: changing the location code requires an update of the location in the item record. See ITEM RECORD section.
_____ E11. Should your book go to Mudd Numismatics? All SML books classed in CJ are automatically assigned the muddnum location. CAUTION: changing the location code requires an update of the location in the item record. See ITEM RECORD section.
_____ E12. Should your book go to MuddZeta? All SML with inserts that could be stolen or easily damaged: loose plates, maps in pockets. Location code must be changed from sml to muddzeta. CAUTION: changing the location code requires an update of the location in the item record. See ITEM RECORD section.
_____ E13. Does your book have accompanying media (e.g. a CD-ROM, an audio CD, an audiocassette, etc.)? Both the book and the accompanying media item are cataloged for the designated location. The item record for the media item needs to be checked for Item type and Item Statistical Category. Refer to:
CAUTION: a different workflow is used for departmental libraries.
_____ E14. Should your book go to L&B? Book will be flagged; location code in Orbis may need to be changed. L&B Travel has been relocated to the Bass Library <for now, continue to use smlnbt>. CAUTION: changing the location code requires an update of the location in the item record. See ITEM RECORD section.
_____ E15. Should your book go to the Microform Collection? All books with accompanying microfiche are cataloged for the Microform Collection. If necessary, change the Orbis location code to smlmic. CAUTION: changing the location code requires an update of the location in the item record. See ITEM RECORD section.
_____ E16. CAUTION: books flagged for LSF should have sml or an sml sublocation (e.g. smljud) as their Orbis 852 $b location.
_____ E17. Non-SML location without department flag. If a book is not flagged but a non-sml location has been entered in the 852 field of the in-process MFHD, this generally means the book came in on a blanket order for the department but the selector decided to change the location to sml. The location should be updated to sml. Occasionally a flag will fall out, so if in doubt, consult with your supervisor. CAUTION: changing the location code requires an update of the location in the item record. See ITEM RECORD section.
_____ E18. Does the call number use "trailing X"? If record has a 050 00 field (record is usually from LCDB), use trailing X, unless the series is classed-together at your location.
_____ E19. Does the record use 050 _4 or 090 rather than 050 00? If the book is about an artist, a work of literature, or a book about a literary author, follow the special procedures at E8/E9. Otherwise, use the call number as is (with oversize, folio, and/or (LC) if applicable; without trailing X) after determining that the series is not classed together. If you suspect that the number is incorrect, check with your supervisor.
_____ E20. If there is no call number, route to the cataloger in your team who assigns call numbers.
_____ E21. In some cases, the call number is written in the book (see instructions below). If so, have you checked the call number on the verso t.p. against the call number in record holdings?
_____ F1. For monographs, if the barcode has not been affixed to the book, peel the item from the barcode card and attach it to the inside back cover. Note the exceptions F2 & F3.
_____ F2. If the cover is in fragile condition, write the call number on the verso t.p. of the book in pencil (LIGHTLY). For preservation containers, see F7.
_____ F3. If the call number is for a monographic series analytic (vol. number is part of the call number), and the vol. number in ENUM differs from the call number in 852, write the call number on the verso t.p. even if the barcode has been affixed to the inside back cover. Do not use continental 7's when marking.
_____ F4. If the call number is written in the book, you must write the sublocation stamp above the call number. SML without sublocation is not written above the call number. Sublocation stamps typically included in the SML processing stream:
_____ F5. After the book is cataloged, recycle all paper travelling with the book but RETAIN the following EXCEPTIONS with the book:
Paper with fund coding: either pink fund list or (items from the backlog) printout of NOTIS order record. Fund codes are used to determine bookplates.
______ F6. Note in particular that rubber bands, paper clips, yellow/colored post-its, and carbon paper temporary slips provided by vendors, if left in or fastened to the book, will eventually damage it. Be zealous about removing such things.
______ F7. Books in poor condition may be traveling in a preservation container (a flat piece of cardboard in a plastic bag). Keep the book in the container. If your book is in poor condition and you think it needs a container to keep it from falling apart, you can get one from Acquisitions.
____ G1. Does the record need to be exported? Always export if yours is the only MFHD location. If there are multiple MFHDs, but yours is the first with a call number, export it. If there are multiple MFHDs but another location has already added a call number, assume that the record has already been exported and do not export again.
____ G2. Export targets. Always enable the RLIN and MARS options. Enable the OCLC option unless there is a 928 field with an OCLC batch processing date. The presence of an RLIN or OCLC prefix in a 035 field is not considered evidence that the bib record has been exported.
Detailed policies and procedures at
_____ H1. If you changed the location, did you update the location code on the item record?
_____ H2. Is the item type correct? Format and location changes may affect the validity of the item type. Note that if you are doing basic SML cataloging, you would not ordinarily be processing media items unless they are accompanying material. Refer to:
_____ H3. If the item record is for accompanying media, is the Item Statistical Category correct? (Refer to the link above)
_____ H4. Have you charged the item record to Preparations? Double check the title in the Circulation module when charging to verify that the item record is linked to the correct book.
_____ I1. Keep track of items cataloged.
On the departmental web form Yale University Library Cataloging Statistics, record the number of titles cataloged, subarranged by format and source copy.
Generally, for basic copy cataloging you will only use the Monographs window for Cataloging Types:
You may need to use the separate windows for accompanying material. To open a window to count an accompanying media item, click on the appropriate tab:
If the book has accompanying material in a pocket (e.g. a booklet, a map, microfiche), do not count the accompanying material as a separate piece.
If the accompanying material is travelling separately (with its own barcode, e.g. a stand-alone teacher's guide, or a media item in a separate container), count it as a separate piece under the appropriate format.
Books counted in the Added copies box are not counted in the Total Titles box.
Example 1. You have cataloged a single volume book with LC copy. On theMonographs page, enter in these boxes:
Example 2. You have cataloged a multivolume monograph (e.g. a 2 v. set) with LC copy. On the Monographs page, enter in these boxes:
Example 3. You used member copy and cataloged a single volume book with an accompanying CD-ROM (which should be in a separate case). The items are counted on 2 separate web pages .
On the Monographs page, enter in these boxes:
On the CD-ROMS page, enter in the following box:
PS: an accompanying audio CD should be counted on the Other Format form underSco/Rec. (Pieces, etc. but not Other Copy Cat)
Example 4. You used member copy and cataloged a single volume book with 6 accompanying microfiche in a pocket on the inside back cover. On the Monographs page, enter in the following boxes:
Do not count the accompanying microfiche. (Accompanying material in a pocket is not counted on statistics)
Example 5. Your book has already been cataloged for art and you have a copy for sml. On the Monograph page, enter in the following boxes:
Give the total number of LC and Other Copy titles in the Total Titles at the end of the month. Titles counted as Added Copies are not counted under Total Titles.
Give the total number of LC, Other Copy, and Added Copies pieces in the Pieces, etc. box at the end of the month.
It is no longer necessary to record pieces by location in the form Yale University Library. Catalog Department. Volumes Cataloged.
_____ I2. Book Truck. Did the item come with an LSF flag? If so, leave it on the LSF truck. Otherwise, leave it on the regular Preparations trucks.
SML Orbis2 Location Processing Table (all location codes normally used in SML cataloging; when to add (LC) by location; most common item types used by the location; team assignment for the location)
SML Catalog Dept. Special Processing Instructions (for SML and special instructions for departmental libraries)
Shelflisting overview (very detailed)
Belletristic Call Numbers (SML) 2005 Version (very detailed)