General Processing and Related Documents

To: SML Technical Services Staff
From: Steven Arakawa
Date: (Sept. 25 2003 creation date/ For revision date see Effective Date below)

SML Technical Services staff: for your convenience, these are brief notes on special processing to be followed for items cataloged at Sterling Library. If these notes need to be updated or corrected, of if you think other special processing procedures should be listed, ask your Team Leader or unit supervisor to notify a CPDC member.

FLAGS.  (Expect more to be listed as acquisitions processing evolves)

Location flags. ALWAYS leave location flags (including the LSF flag) in books to facilitate processing in Preparations, and be sure the flag is visible.

LSF: Items flagged for LSF now go on a separate truck for Preparations. Use the salmon LSFR flag for restricted items.

PREPARATIONS: Please use call number as in book. (GREEN FLAG). Cataloger should insert when the Preparations label-generator software cannot handle the call number in MFHD 852. If this flag is used, cataloger must write the call number on the verso t.p. Typical examples: a.) Volume in hand is part of a multipart monograph in a classed-together series b.) Volume is being added to a set already transferred to LSF; MFHD loc is lsf, but home location is SML (as indicated on the verso t.p.)

DEPARTMENTAL PAPERBACKS.   Paperbacks for departmentals bypass Preparations and are returned via campus mail (Shipping Room) after cataloging. Exception:  Art paperbacks are sent to Preparations. NOTE: the practice of using Avery labels on departmental paperbacks ceased in Sept. 2001.

DEPARTMENTAL HARDCOVERS. Hardcover books for departmentals are marked like stacks books and are placed on the Binding Truck.

  • EXCEPTIONS: CSSSI hardcovers bypass Preparations and are returned via campus mail (Shipping Room) after cataloging.
  • See also exceptions for Art sublocations
  • Departmental bookjackets are left on the books.
      Effective Date: 
      March 3, 2014

      Accompanying Material


        • NEW PROCEDURE: Nov. 2004. If a book is designated for SML, an SML sublocation, or Bass, and the book has accompanying media (e.g. floppy disk, CD-ROM, audio cassette, audio disc), catalog the book for the designated location. The media item should be recorded as accompanying material on the bibliographic record. A separate MFHD is not made for the accompanying item; a separate item record is made for the accompanying item and associated with the MFHD for the primary item. The accompanying media item should travel in a separate case with a separate barcode. Send book and accompanying material to Preparations. For details,


        • If a book is designated for a departmental library and has accompanying material, catalog it for the designated location but DO NOT SEND TO PREPARATIONS. After cataloging, discharge the item(s) if an item record has been created and return the item to the collection via campus mail (Shipping Room). Most departmental libraries do not include the accompanying material when the book is sent directly to the team; the library's staff should indicate that the accompanying material was not sent and the catalog record must indicate that the library owns the accompanying material. Books selected from blanket orders received at SML may include accompanying material.
        • SML books with accompanying microfiche are cataloged for the Microform collection. See note below under Microform.


          • If the accompanying printed material will be barcoded and labelled separately, assign the same call number but add a descriptor term to it, and mark the item with the call number. Use the descriptor assigned in 300 ‡e, e.g. atlas, user guide, etc. Shorten if necessary (e.g. Guide instead of User Guide) In some cases the descriptor will be in a note rather than 300 ‡e. Enter the same descriptor term in CHRON. Note: descriptor term should appear on the label after the date but before "(LC)" if "(LC)" is used. To ensure that the descriptor term precedes (LC) on the label, use the green flag to alert Preparations staff.
          • Note that when the primary item cataloged is in a media category, there are special instructions for Item type and Item Statistical Category. Refer to guidelines for item records below. When marking, use the descriptor term Suppl to match the Item Statistical Category term and enter the same descriptor term in CHRON.
          Effective Date: 
          March 3, 2014

          Primary Media Items

          NEW PROCEDURE NOV 2004. Use the following procedure for videos, sound recordings, and other media items when the media item is the primary bibliographic unit ("stand alone" rather than accompanying material) and the assigned location is SML stacks or Bass. Media items will travel through processing and be shelved in a special security case.

          • Enter the format term as the last element of the call number before "(LC)" [if the call number does not take "(LC)," the format term will be the last element]
          • Use the appropriate format term from the Categories column in Statistical Categories table; observe the usage for each category & do not make up new terms
          • Catalog primary non-print materials for the assigned location
          • Follow special instructions for item records below.
          • After cataloging, charge items to the Preparations truck
          • Do not follow this procedure for microform. See note below under Microform.


          852 0 0 ‡b cclaudio ‡h PR1583 ‡i F58 2006 CD <for a sound recording>
          852 0 1 ‡b sml ‡h TL558 U6 ‡i N68 CD (LC) <serial issued as a CD-ROM>
          852 0 0 ‡b sml ‡h T385 ‡i .S53 2008 DVD (LC) <for a DVD-ROM>
          852 0 0 ‡b sml ‡h NA2542.35 ‡i T123 2007 DVD (LC) <for a DVD video>
          852 0 0 ‡b sml ‡h PS3525 I43 ‡i D4 1965 TAPE<for an audiocassette>
          852 0 0 ‡b sml ‡h PN1992.77 ‡i V54 2003 VHS <for a videocassette>
          852 0 1 ‡b sml ‡h HN581 ‡i .B37 DISKETTE (LC) <serial issued as 3 1/2 in. computer disk>

            Folio Call Numbers and Marking

            Folio is entered in subfield k between subfield b and subfield h. SML folio range is 39 cm. and over for height or 29 cm. and over for width. Art has a different folio range. From Jan. 1 2008, a full call number (with "(LC)" if applicable) is used for any MFHD 852, 1st indicator 0. The $m Oversize field is not added at the end of the call number.


            852 0 0 ‡b fes ‡k Folio ‡h GV191.42.C8 ‡i 032 (LC)


            852 0 0 ‡b art ‡k Folio ‡h NJ18 F21666 ‡i A12 2003 (LC)

            For more information on folio and oversize, click here.

            Note that books under 10 cm. are offered to Beinecke. If Beinecke does not need the book, catalog it for Zeta (smlzeta). See ZETA below.


              1. Books sent to Preparations. If the barcode has been attached to the book, do not write the call number on the verso t.p. If the barcode is still attached to the barcode card, write the call number on the verso t.p. of the book. EXCEPTION: Write call number on the verso t.p. of volumes for multipart monographs that are also part of a classed together series even if the barcode has been attached to the volume. If the multipart volume is not part of a classed together series, it is NOT necessary to mark the volume if the barcode has been attached.
              2. Books sent directly to school and departmental libraries (bypassing Preparations). Write the call number on the verso t.p.
              3. For serials and multipart monographs, if the call number is written on the verso t.p., include the caption used with the volume number if a caption is used in the MFHD.
              4. For rules and examples, refer to Rules for Marking Serials
              5. See also the Flags section above for use of the Green Flag.

              Item Records

              ENUM. If a caption is used in the MFHD 866, use the same caption in ENUM.

              For more detail, see ENUM/CHRON Fields in Voyager Item Records for Serials and Multipart Policies and Procedures: Item Records.

              Check item type if the item processed is for any serial, a reference collection, all departmental locations, and any nonprint item.

              1. jour=non-circulating journal.  Journals less than 10 years old (based on issue date): add decade/year digits, e.g. jour02. Note that many (but not all) locations outside SML do not circulate even after 10 years & are assigned jour at the time of cataloging. Some newly received retrospective sets for SML may be assigned jourcirc if over ten years old.

              2. For SML, assign item type circ to an annual unless it is held by a reference collection.

              3a. Media items (videocassettes & DVDs, audio CDs, audiocassettes, CD-ROMs) for SML stacks, SML sublocations, and CCL. If the media item is primary ("stand-alone"), use item type media. If the media item is cataloged as accompanying material, assign item type circ or jour[xx] as appropriate for circulating collections, nocirc for special collections. 

              3b. For both primary and accompanying media, select also the appropriate media type from the Item Statistical Categories List. See instructions for updating the item record at:


              For table of authorized item types and statistical categories, refer to:


              In the table, note that when a media type is primary, accompanying print material is assigned the same item type (as the primary item) but is assigned Item Statistical Category Suppl

              3c. For accompanying media items, enter the appropriate format designation in CHRON to differentiate the call number from the primary item. CHRON: CD DVD DISKETTE VHS

              4. Item type reference. If item is a journal volume, use reference rather than jour[xx] as the item type, e.g. a serial in artref gets item type reference. However, latest issue in reference serials would get jour[xx] for the volume in reference.

              5. Departmental item types/statistical categories for media. Departmental accompanying media generally are not assigned separate item records; often the accompanying media item is not sent with the book. Policy for situations where the media item is primary:*    

              • Do not use item type media when media is primary. Instead, 
              • Assign the specific item type from the scroll down list for the Item Type field. CAUTION: the terms do not correspond to the Item Statistical Categories table used for SML. 

              For departmental media items, Statistical Category is not updated. 

              For accompanying media items, assign the specific item type from the scroll down list; Statistical Category is not updated.

              *EXCEPTION: CSSSI and Mathematics: follow the SML procedures.

              6. If accompanying material is not assigned a barcode (e.g. microfiche in pocket), record in Pieces section of the Item record, e.g. single volume book with 6 microfiche in pocket counts as 7 pieces; a single portfolio containing 25 sheets counts as 26 pieces.

              7. If a location is changed in 852, the Perm. loc. must also be changed to the corresponding location.

              8. If the item record needs to be updated for other reasons (e.g. 5.-6. above), change the Copy number to 0.


                Special Location Processing: A-L

                NOTE: see GENERAL PROCESSING above for instructions about where to send departmental hardcover and paperback books after cataloging.

                ANTHROPOLOGY. Collection is housed physically at CSSSI. If a book designated for Anthropology falls into the LC Q class, the location should be changed to csssi; remember to change the Perm loc on the item record as well. Items for the collection bypass Preparations and are returned after cataloging via campus mail (Shipping Room).

                ARTS LIBRARY. 

                • Art Library and its collections (Reference, Birren, Mudd,Art) use a different oversize range (29-39 cm. height/25-36 cm. width use Oversize; Folio is written above the call number (‡k on Orbis) for 40 cm. and over height/37 cm. and over width). <Rev. 1/25/11. Formerly Oversize 29-39 cm height/25-30 cm width; Folio 40 cm & over; width 31 cm. and over>
                • Leave jackets on all art books.
                • Link to NJ18 guidelines
                • Beginning Jan. 1, 2000, art paperbacks are sent directly to Preparations. See Paul Conway's memo.

                ART BIRREN.

                • Art flag  should indicate Birren, but check Orbis location as well. DO NOT MARK BIRREN BOOKS.  After cataloging, send to Art in the container provided by Art. Use plastic ties provided to make sure the container does not open accidentally.
                • For copy cataloging, if the cataloging copy lacks a subject with the term "Color," refer to the art original cataloger.  NB: an Art book with cataloging copy with subject Color is not automatic Birren; either the Art flag or the Orbis loc must indicate Birren.
                • Detailed guidelines for Birren Processing.

                ART LOCKED CASE (1, 2, etc.). Do not mark. After cataloging, follow the Art Birren procedure & send back to Art.

                ARTS OF THE BOOK (AOB)--DRAFT--

                • Currently located at the Haas Art Library, but continues to use the location code smlaob. Item record: nocirc
                • NJ18. For books by an individual artist, use NJ18 unless the artist has already been assigned N7433.4.A-Z; in that case use LCC (form table for 2nd Cutters in ClassWeb)
                • Autograph. If book is autographed by the artist, add a 692 14 <name of artist>.
                • 590: record copy numbers (copy x of y copies) as well as presence of autograph. 590 made for the Fritz Kredel Collection ("From the library of Fritz Kredel")
                • Colophon a good source for notes.
                • For fine press, paper & font are not noted. Papermakers are not noted unless they actively collaborate in the creation of the book.
                • Artists' books. LC currently uses 650 Artists' books as a form heading as well as a topical subject. 650 Artists' books can be subdivided geographically, but the scope note seems to indicate that geographic subdivision is only used when 650 is treated as topical. MARC 655 cannot be subdivided geographically.
                • ‡v Specimens. Not used with artists' books since they are specimens by LC definition.
                • Books are picked up and delivered to the mailroom after cataloging; they are not sent to Preparations.

                ASTRONOMY. Copy cataloging, labeling, and plating are done by CSSSI staff. Original cataloging is done by the CSSI liaison at CMS. MFHDs for Astronomy copies sent for cataloging will have a ‡k shelving code for books that are on astronomy topics (LC QB class). Books that are not about astronomy will not have a MFHD ‡k. Items for the Astronomy collection bypass Preparations and are returned after cataloging via campus mail (Shipping Room).

                CHEMISTRY COLLECTION. Items for the collection bypass Preparations and are returned after cataloging via campus mail (Shipping Room).

                CD-ROM REFERENCE CENTER [no longer valid]

                • The CD-ROM Reference Center (smlcd) was closed in [2008?]. As of 7/2009, items were still in the process of being transferred to SML stacks.
                • Always add a 655 type of material tracing to the bibliographic record. <OBSOLETE 3/05 >

                655   7 ‡a CD-ROMs ‡2 lcsh

Use the type of material tracing on any bibliographic record where the CD-ROM is primary, not just records for the CD-ROM reference center. <OBSOLETE 3/05 >

                • Full LC classification is used.
                • The practice of entering CD-ROM in 852 $k has ceased. (Sept. 2001)
                • Item type for CD-ROM Reference Center: reference (statistical category: CD)
                • Items cataloged for the CD-ROM Reference Center are charged to Prep after cataloging and left on the Preparations truck.

                CSSSI [formerly: Kline Science Library]  All books for the Anthropology Collection in Q class should be cataloged for CSSSI. Anthropology Collection is housed physically within the CSSSI collection. "(LC)" is entered at the end of all CSSSI call numbers. Former (obsolete) practice: Q, R, S, T did not get (LC); all other LC classes got (LC). Items for the collection bypass Preparations and are returned after cataloging via campus mail (Shipping Room).

                DRAMA LIBRARY

                The Drama Library moved to the renovated Arts Library in July 2008 & now shares the same shelves. Although the Drama Orbis locations continue, Drama now uses the same oversize as Arts: (29-39 cm. height/25-36 cm. width use Oversize; Folio is written above the call number (‡k on Orbis) for 40 cm. and over height/37 cm. and over width)

                Items cataloged should now be sent to SML Preparations (rather than back to the Drama Library)

                Watch out for book club editions & playbooks with variations in physical description from the LC or member copy; they need to be treated as variant editions. <Now under review>

                EGYPTOLOGY READING ROOM. This is a small, non-circulating collection (SML 329B). Scope is largely restricted to serials and reference books in the subject area. Unless a book has been flagged for this collection by the curator, do not assign the location even if the subject matter appears to be within scope; assume the curator has reviewed the item.

                ENGINEERING COLLECTION. Engineering books are now received at SML. Catalog all books for SML, using the sml location.

                FORESTRY AND ENVIRONMENTAL STUDIES COLLECTION. FES items are received, cataloged, and processed at CSSSI; original cataloging is done by the CMS liaison to CSSSI. 

                GEOLOGY LIBRARY. Geology items are received, cataloged, and processed at CSSSI; original cataloging is done by the CMS liaison to CSSSI.

                JUDAICA. All unflagged books received for SML cataloging and falling into LC class BM are automatically cataloged for Judaica. (Orbis location in 852 and on the item record should be changed if necessary.) Items in Hebrew, Aramaic, Yiddish should be re-routed to the Hebraica Team.

                KLINE SCIENCE see CSSSI 

                Linonia & Brothers [L&B] (smllnb). Prior to Feb. 2005, 050 00 belletristic call numbers in the L&B collection only could be assigned a trailing W to avoid shelflisting. Beginning in Feb. 2005, the trailing X procedure began to be used for belletristic 050 00 call numbers in all collections, including L&B.  On November 30, 2016 the trailing X procedure was discontinued for all 050 00 call numbers.

                LSF (Off-campus Library Storage Facility).

                • If an item is flagged for LSF, DO NOT CHANGE THE LOCATION CODE in MFHD 852 ‡b. LSF has special software to update the location; changing the location in Orbis will disrupt the LSF software.
                • Books with the LSF flag should be left on the LSF Preparations truck, not the regular Preparations truck.
                • Be sure to leave the LSF flag in the book!
                • If a volume must be added to a multipart set already transferred to LSF, write the call number of the home location (the original location) on the t.p. verso, and flag the volume with an LSF flag and a green ("use call number in book") flag, and leave on the LSF Preparations truck

                        Special Location Processing: M-Z


                        • Call number is pre-assigned & written on the verso of the t.p.
                        • Always use first indicator 8 for Math Library call numbers
                        • If the Math Library call number is not pre-marked on the verso of the t.p., cataloger should assume a call number is not used for the book in hand. In that case,  enter on Orbis as :


                        852 8 0 ‡b math ‡h shelved by title


                        852 8 1 ‡b math ‡h shelved by title

                        Hardcover books without call number should still go on the Binding Truck for plating and labelling.

                        Reminder: script "ell", common in Mathematics Library call numbers, is entered on Orbis as capital L

                        MICROFORM (smlmic). This catalog records SML's microform holdings and SML monographs with accompanying microforms (usually microfiche). Microform call numbers are for the most part sequential numbers preceded by a format "stamp" and letter, e.g.  Film B1923 (for a monograph microfilm).

                        • Books with accompanying microfiche are cataloged for the Microform collection (not the Microtext Desk collection) with regular LC classification.
                        • For detailed cataloging procedures for microforms, click here.
                        • Status tracking to Catalog Dept. (NEW PROCEDURE BEGINNING MAR. 1 2005) Microfilm: one item record is assigned per reel. (Serials and some multiparts will require ENUM/CHRON data on individual records.) EXCEPTION: Yale dissertations on microfilm are delivered directly from Mss&A to the Catalog Dept.; the microfilm reel boxes will be barcoded at the time of cataloging. Microfiche: one item record is assigned per MFHD, even if the MFHD represents multiple sheets. The barcode for microfiche sets is used solely for status tracking; do not affix it to the envelope of the microfiche. 


                        • Printed guides for microform collections are recorded as a separate MFHD on the microform's bibliographic record. The printed guide will have a separate item record. Refer to:


                        • Status tracking after cataloging. Microfilm is charged to Preparations and left on one of the Preparations pick-up trucks. EXCEPTION: Yale dissertations on microfilm are left on the Microtext pick-up shelf in the Catalog Dept. Microfiche is discharged and sent directly to the Microtext collection unmarked, although a printout with the call number is usually enclosed. Have the item record deleted after the item has been discharged. Leave the microfiche on the Microtext pick-up shelf in the Catalog Dept.

                        MICROTEXTS DESK (smlmicr).  This catalog records the collection of reference books (indexes, guides, etc.) used by  the MICROFORM collection. Do not confuse with the MICROFORM collection (smlmic). The MICROTEXTS DESK collection was known formerly as Microtexts Reference. Folio size books for the Microtext Desk location do not get the Folio (in $k); instead, $m Oversize is used.

                        MUDD. Currently received serials and ongoing multiparts formerly held at the Mudd Library: most of the titles were reclassed to LCC prior to the transfer of the Mudd collections to LSF. For titles that were not reclassed, the original number is now retained and the volume is added to the volume holdings of the LSF MFHD. Contact Catalog Management.

                        NEWSPAPER CALL NUMBER: Until Oct. 2012, newspapers were assigned Yale classification An, and the title cutter construction was based, exceptionally, on the Cutter table (which has a more detailed expansion than the LC table). Shelflisting against a separate An shelflist was required. From Oct. 2012, reflecting the steep decline in newspaper microform purchases, microform newspaper call numbers are constructed following the standard accession number procedures used for microform serials & are shelflisted against the Film S or NS shelflists.

                        NUMISMATICS. Formerly Mudd Numismatics. Collection now in LSF. Except for the titles specifically acquired for a different collection, materials classed in CJ in the curatorial collections automatically go to the Numismatics Collection. Procedures can be found at:


                        ORNITHOLOGY. Copy cataloging is done at CSSSI. Original cataloging is done by the CSSSI liaison. Labeling and plating are done at CSSSI.

                        REFERENCE.  The BIBLIOGRAPHY and SUBJECT BIBLIOGRAPHY collections were merged with the REFERENCE collection located in the SML Reading Room in the summer of 1997.

                        SCIENCE COLLECTIONS. Note that some classed together series do not have (LC) under the call number. Formerly, in such cases, call numbers for analytics did not get (LC) below the call number. In current procedures, classed together volumes with (LC) below the call number are shelved alongside volumes without (LC). If the series was originally established without (LC) and new volumes are received for cataloging, add (LC) to the new volumes. Update the 090 on the authority record to indicate that (LC) is entered under the call number. The cover record 852 is not updated.

                        If a classed together series includes both regular and oversize volumes, use a single MFHD to record holdings for both oversize and regular size volumes; use oversize in the 852 call number (revise the 852 if necessary) and in the 090. (Science library practice does not distinguish between regular and oversize in shelving location). NOTE: use of a single MFHD for regular and oversize monographic series is NOT SML practice.

                        YALE COLLECTION

                        1. The collection has its own classification scheme. YAL uses the same oversize dimensions as SML; use $m Oversize following the Yale Collection call number in MFHD 852.
                        2. Monographs. Biographies of Yale graduates are organized by class year. If Manuscripts & Archives does not provide a graduation year, contact them.
                        3. Serials. Currently using local subject for student serial publications: 655_7 ‡a College student newspapers and periodicals ‡z Connecticut ‡z New Haven. ‡2 local. [Tag as local because LCSH does not permit geographic subdivision for genre/form headings]
                        4. EXCEPTION: books for the Yale Collection's reference collection should be classed in LCC. Use "(LC)" under all numbers and ‡k MSSA Reference preceding ‡h in 852.
                        5. NACO & Yale headings. Many departments & institutes have not been established, and many name changes for established corporate names have not been accounted for in the NAF. Be sure to use the name of the department or institute that corresponds to the item in hand.
                        6. All items come directly to the cataloger from MssA & are picked up by MssA staff after cataloging is completed; do not mark any item.
                        7. Detailed guidelines for Yale Collection cataloging.

                        ZETA. Locked collection formerly in SML. SML books with loose plates, other material that could be easily removed, gifts accepted under certain security conditions, and some non-print items were assigned to Zeta (generally but not always by selectors). The collection was moved to Mudd from SML ca. 1995. Current policy for non-print materials is described above. Currently, print items that would have gone to Mudd Zeta are now flagged LSFR. They should be cataloged for the Orbis location already assigned in MFHD 852 ‡b in Acquisitions, following the processing procedures for LSF. Items from the backlog flagged for Zeta: add an LSFR flag and use smlzeta as the location.


                          Workflow (Cataloging Assignments)

                          ATLASES & MAPS. Current assignments:original & copy cataloging to: Tony Oddo (Original Team). Exceptions: all Geology to Tachtorn Meier (Copy Cataloging Team); all Slavic, Hebrew, & Arabic to Specialty Team; all CJK to EAC.

                          VERNACULARS. Books in "vernaculars" (usually but not always non-Roman scripts)  are to be re-routed to the following cataloging units:

                          • Original Cataloging Team:
                            • Tony Oddo: Greek, Turkish in roman alphabet (copy & original)
                            • Ellen Jaramillo. Iberian languages and dialects (e.g. Basque, Gallegan)
                            • Chuck Riley. Sub-Saharan African languages, including Afrikaans (copy & original)
                          • East Asia Cataloging: Chinese, Japanese, Korean
                          • Specialty Cataloging/Hebraica:
                            • Hebrew, Aramaic, Yiddish (Jerry Ann Dickel)
                            • Arabic, Persian, Turkish (prior to use of roman alphabet) (Abdelahad Hannawi)
                            • [Patricia Thurston]: all publications and languages used in these countries: Albania, Bulgaria, Czech Republic, Finland, Hungary, Mongolia, Poland, Romania,  Slovak Republic, former U.S.S.R. and its Republics (incl. Armenia, Azerbaijan, Belarus, Estonia, Georgia, Kazakhstan, Kyrgyzstan, Latvia, Lithuania, Moldova, Russian Federation, Tajikistan,  Turkmenistan,  Ukraine, Uzbekistan), and  the former Yugoslavia (Bosnia-Herzegovina, Croatia, Macedonia, Slovenia, Yugoslavia)
                            • South Asia and Southeast Asia publications: all books published in the vernacular languages used in these countries: Brunei, Burma (Myanmar), Cambodia, India, Indonesia, Laos, Malaysia, New Guinea, Pakistan, Philippines, Sarawak, Singapore, Thailand, North and South Vietnam. Vernacular: Copy cataloging done as fastcat by SEA acquisitions; no copy items sent to the SEAUNCAT backlog. Original cataloging tbd; backlog is currently static & managed by the SEA collection. Western European languages: copy cataloging to Catalog Management; otherwise to Original Cataloging Team. Slavic languages, etc. [see list above] to Specialty Cataloging (both copy cataloging & original).

                          RELATED DOCUMENTS

                            Effective Date: 
                            March 3, 2014

                            Birren Collection (Haas Arts Library) Catalog Processing

                            Birren Collection Special Processing notes (Nov. 2013)

                            1. Scope. This collection is dedicated to color. It is not restricted to art, but includes any topic where color is involved, including paint, optics, philosophy, dyes and dyeing, design, marketing, psychology, etc. In some cases, the relationship to color may simply be specimens of color printing.  Include at least one subject that relates to color if at all possible, even if you wouldn’t have normally included it if you weren’t cataloging for the collection. The range of LCSH color terms is unfortunately rather limited. Sometimes Getty and other thesauri can be helpful additions.
                            2. Treatment of physical items. Items may be fragile and valuable. Handle with care and don’t leave them exposed to damage. Make sure your hands are clean when handling and keep items well away from liquids or other things that spill.  If a barcode label is on a strip or envelope, do not transfer it to the front cover or anywhere else on the book. Also recommend washing of hands after cataloging, since many of the samples are lead-based paint.
                            3. In process records. Art acquisitions often tinkers with downloaded copy.  When working with cataloging copy, never assume that the subjects are LCSH, or that the headings are the established forms or represent the entity associated with the resource. Art acquisitions staff will often add vendor notes that may be inappropriate for the catalog record, but which may include information worth saving but phrased more objectively or edited in other ways.  Local notes in 590 and subject tracings in 690, however, should always be retained but may be edited for clarity.  In process records for items that do not have copy can easily be mistaken for real cataloging copy since the staff will add 300 without careful application of the rules, or subjects that may or may not be LCSH, or make an added entry that duplicates the main entry, or assign a subject heading for an artist for an artists book.  Successor should feel free to renegotiate the acquisitions “value added.”
                            4. Shipping. Birren items bypass SML Preparations. When enough have accumulated, send them back via the SML Shipping Room in one of the gray totes.  Use enough filler to make sure the fragile items don’t move around.  Use plastic ties provided by Art to lock the top flaps closed. (A knife or other cutting tool is very helpful to unlock the ties when a new tote is received from Art) Reverse the address label created by Art to seal off the top; the reverse side has the return address.  Deliver the tote to Shipping when they are open (currently they don’t open until 1:30). Be sure Shipping knows who to contact when a new tote is received from Art.
                            5. RDA or DCRM? When cataloging rare materials,  I have been sticking to straight RDA/LC PCC PS for cataloging description and access; dcrm rules have not been used, but cataloging copy from OCLC using dcrm is not modified.  Member copy cataloging under AACR2 or pre-AACR2 is accepted as is if it is adequate. If recataloging is necessary for inadequate copy, recatalog to RDA. Under current OCLC guidelines, catalogers have the option to update any non-RDA record to RDA.
                            6. Publication date. Resources to be cataloged include large numbers of ephemera, such as catalogs or circulars of products related to color. A problem with many of these is lack of publication date. Sometimes the history of the company offers a clue for date range.  Dates are sometimes hidden or implied in the company’s control number for the catalog. A date range can sometimes be determined from information about the company recorded in the NARs.  Google books also is helpful, and if the company still exists, it may have its history on its website (also helpful for the order and dating of name changes & other significant dates). Don’t rule out Wikipedia, which sometimes has articles on quite obscure small businesses.
                            7. Vendor descriptions. Hold on to the vendor descriptions, which will save a lot of time in coming up with descriptive details. If the vendor notes are used, be sure to take out the advertising elements.  If the vendor provides pages numbers of unnumbered pages, take advantage. However, I have only used vendor supplied dates as a last resort. I haven’t discarded the vendor descriptions even after cataloging has been completed.
                            8. Carrier. Be familiar with the RDA rules for sheets, since a lot of the advertising ephemera will be in that form. Don’t forget to use “sheet” in $a of 338 rather than "volume." RDA specifies that if "folded" sheet is in extent (300 $a), it means that the item is to be read in its folded form, so you need to include the page count as a subunit qualifier, e.g. 300 $a 1 folded sheet (30 unnumbered pages) ; $c 16 cm_. Dimensions should be height only. If, on the other hand, the folded sheet is intended to be read unfolded, extent should be x sheet(s) without "folded" and without a parenthetical subunit count. Instead, dimensions should be height x width folded to height x width: 300 $a 1 sheet ; $c 32 x 20 cm folded to 16 x 10 cm_.   For unfolded sheets, you should keep a tape measure handy. AACR2 usually has a comma preceding "folded" in $c; the RDA example does not.
                            9. Corporate name NARs & RDA. Cataloging Birren materials will involve fairly extensive use and assignment of corporate body AAPs, since many of the items are catalogs of companies. Many of these bodies will need to be established as RDA or updated to RDA. Fortunately, most of the AACR2 NARs are RDA compliant, so it is just a matter of changing the coding to z and inserting $e rda in 040.  The same corporate body will often be needed for multiple items, so take the time to update the NAR to RDA or establish the new name if possible.  Notify Eva Bolkovac in Catalog Management if Orbis has a lot of headings that need to be changed to RDA form.  Some personal names for older material are functionally undifferentiated in the OCLC database (same name used for different people on bib records, but no NAR). Use the greater flexibility of RDA qualifiers to establish the AAP for your person. If the name has been established as undifferentiated, a NAR must be created with additions to the name for differentiation, and the citation for the person must be removed from the undifferentiated name authority record.
                            10. Classification is always LCC except for artists’ books, which use the local NJ18 numbers.  (Do not use NJ18 in 050 _4). Keep in mind that the Art oversize differs from the SML oversize.  A number of frequently used LCC numbers related to color, especially in ND, are obsolete, so be careful about basing your 050 _4 on older items in Orbis.  We follow LC Shelflisting Guidelines. For corporate main entry, the main entry cutter is supposed to stay the same for all records entered under the corporate body; do not tweak the Cutter to accommodate different works entered under the same body. There has been some inconsistency in the application of this rule; if more than one Cutter was used, choose the predominant one.  Also, the Cutter used for the company is also used for subordinate units of the body when the subordinate unit is the main entry.  Use a truncated call number search to determine the Cutter used for the corporate body locally.  For multiple works published in the same year, add a work letter to the date to break the conflict; lower case in 050 _4, upper case in 852. Example: Sherwin Williams Company catalogs under TP937.S55.  If a new corporate Cutter needs to be created, the number should be in the correct shelflist order. (This is exceptional for local policy only because the collection commonly will own multiple works entered under the same corporate body)
                            11. Outsourcing to non-Latin script cataloging. There are a lot of East Asian (primarily Japanese) color-related publications.  These should be cataloged by EAC; ask their cataloger to return it to you so you can include it in the batch of cataloged items you return to Art.
                            12. A number of situations have not yet been worked out for RDA.
                              • The collection will often add offprints of articles and we don’t yet have a how-to checklist for doing these following RDA, although there is one for AACR2 on the OCLC site. An RDA example created locally: Zur Charakteristik der schönen und hässlichen Farben.
                              • A fair number of three-dimensional artifacts have been acquired for the collection. This will require careful navigation through the new rules.  Recent examples: Historia de los colores by Capretti [an embroidery picture], Michel Eugène Chevreul, membre l'academie des sciences [a medal].
                              • Paint chip samples.
                                1. 336: if the resource is basically a color card or sheet with paint samples, are the paint samples "still image" or "other?" Often when the resource is considered to be a sheet, text has been used in 336, sometimes without a second 336 for the samples-- the paint chips are considered to be secondary, illustrations; probably not a best practice.
                                2. Extent: when to use "card" and when to use "sheet." Roughly: sheet=paper; card=cardboard (the practice up till now; sometimes "chart" used instead of "card," especially if physical evidence indicates it's to be hung on a wall)
                                3. Visual or Book. Sheet is an extent term with the book format; card, chart with the visual format. Does RDA provide more leeway? Use sheet but in visual format?
                                4. Subdivision --Charts, diagrams, etc. In earlier days the form subdivision was used a lot more. Only seems appropriate when 300/338 use chart. With RDA, I have tended toward greater use of sheet in 300 and 338, so the --Charts subdivision has tapered off. Use it more often with sheets? But should these color cards really be considered as charts? Neither RDA nor AACR2 provide much guidance; the emphasis seems to be on school media.
                            Last modified: 
                            Sunday, October 4, 2015 - 9:26pm