CONTENTS: A. Pre-Cataloging Examination -- B. Descriptive Verification -- C. Fields to Delete -- D. Authority Verification -- E. Call Number and Location -- F. Materials Processing -- G. Export Queue -- H. Item Record -- I. Book Truck -- J. Statistics -- Detailed Policies and Procedures
A. PRE-CATALOGING EXAMINATION
Conditions: Cataloging copy
source for the record is LCDB or OCLC; location SML stacks; record
is not CIP (E/L blank or 4).
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?
- If the title page is non-roman,
the book is generally processed by the appropriate SML area team:
East Asia (Chinese/Japanese/Korean), Hebraica, Near East (Arabic/Persian),
- Roman alphabet Eastern
European/former Soviet bloc languages must be processed by that team,
e.g. Finnish, Hungarian, Romanian
- Keep in mind that East
Asian, Hebrew, and Near East languages will have the title page at
what would be the END of a roman alphabet book.
- If there is both a roman
and a non-roman title page, area team policy may differ as to whether
the book will be processed by them.
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.
B. DESCRIPTIVE VERIFICATION
Is the cataloging copy for the SAME EDITION? Verify the following:
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
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.
Check for information about the edition on the title page and on the
verso of the title page.
- For non-Anglo-American
publications, the edition statement is sometimes on the colophon,
which is usually on the last page.
- Check for edition information
even if there is no 250 field on your record.
- If the edition information
on the book differs from the edition information on the printout,
the cataloging copy is not the same edition.
- A later printing is generally
considered the same edition, but only if there is no evidence of revision,
e.g. "Second printing with corrections."
Make sure your record has the same place of publication and publisher.
The date of publication must be the same.
- A later printing is acceptable
if there is no evidence of revision.
- A revised printing--e.g.
"Second printing, with corrections"--is cataloged as a separate edition;
variant edition cataloging is only performed by authorized staff.
- If the decision is to
process the book as a later printing, leave the original publication
date "as is" in 260 if there is a later printing date on
pagination, illustrations, and size.
- a : the last page
of each paging sequence should be recorded in subfield a.
- b: illustrations
will be recorded in the second (b) subfield.Verify
that there are illustrations if there is a b subfield, but do
not re-count the illustrations if numbered.
- c: glance at the
third (c) subfield to see whether the book is oversize. SML
28-39 cm. height.
- Width is not recorded
in the bibliographic record for the most part; keep in mind that SML
width oversize is 20-29 cm. SML folio oversize is 40 cm. or
more height; 30 cm. or more width).
- Only re-measure if you
suspect the size is incorrect. Accept variations of about a centimeter
or more either way; remember that size is always rounded up to the
- If there is a subfield e for accompanying material, verify to make sure that the accompanying material is present. Accompanying material is sometime recorded in notes (5xx) rather than 300
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.
____ 5xx If
there are notes about accompanying material (e.g. Errata slips for
insertion, plates in pockets) verify to make sure the accompanying
material is present.
- There are special procedures
for books with accompanying loose plates, microfiche, and audio-visual
materials like CD-ROMs, CD sound recordings, and audiocassettes; see
instructions below under E. CALL NUMBER AND LOCATION.
- If the accompanying material
is not recorded on the bib record, consult with a catalog librarian.
_____ 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:
C. FIELDS TO DELETE
____ Have superfluous fields
been deleted from the record? There are 2 documents you need to consult:
035 Field: Delete, Retain, or Add
Variable Field Deletion Policy
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.
D. AUTHORITY VERIFICATION
_____ D1. Is the bib record LC
or member? If the bib record is LC, you are concerned only with the
_____ 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
control workflow for C&T staff
E. CALL NUMBER AND LOCATION
_____ 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 Reference should 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 below.
_____ 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 below.
_____ 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 below.
_____ 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 below.
_____ 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 below.
______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 below.
_____ 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?
F. MATERIALS PROCESSING
_____ 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:
<NOT "CCL;" NO LINE BREAK BETWEEN CROSS AND CAMPUS>
Mountaineering <line break>
<note that the Orbis
location code is cclmtn>
L & B
<Mudd Numismatics and Mudd Zeta are listed since they are included
in the same processing stream as the SML sublocations>
_____ F5. After the book is cataloged,
recycle all paper travelling with the book but RETAIN the following
EXCEPTIONS with the book:
- "Requestor" printout (printout with Requestor in red)
- Barcode cards. Prior to the change in Acquisitions procedures, barcodes were not attached to the books until the item reached Preparations. Items from the backlog may have cards with a barcode attached. Preparations is responsible for peeling the barcode from the card and attaching it to the book cover.
- Red flags
- Yellow HVT flag. Lower priority than red; all other "priority" flags are not retained.
- Location flags (e.g. Judaica,
Cross Campus, Mountaineering)
- LSF flags
- 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
______ F7. Books in poor condition
may be travelling 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.
G. EXPORT QUEUE
____ 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
on exporting bibliographic records from Orbis
the ExportQ Program
H. ITEM RECORD
_____ 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.
I. 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.
______ Keep track of items
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:
LC Copy Cat
Other Copy Cat
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 the Monographs page, enter in these boxes:
- LC Copy Cat Titles: 1
- Pieces, etc.: 1
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:
- LC Copy Cat Titles:: 1
- Pieces, etc.: 2
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:
- Other Copy Cat Titles: 1
- Pieces, etc.: 1
On the CD-ROMS page, enter in the following box:
- Pieces, etc.: 1
- <Do not count in Other Copy Cat Titles >
PS: an accompanying audio CD should be counted on the Other Format form under Sco/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:
- Titles: Other Copy Cat: 1
- Pieces, etc.: 1
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:
- Added Copies: 1
- Pieces, etc.: 1
- <Do not count in LC Copy Cat Titles or Other Copy Cat Titles >
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 form Yale University Library. Catalog Department. Volumes Cataloged.
LINKS TO DETAILED POLICIES AND PROCEDURES
LC Classification Overview
Modification of LC Call Numbers
Member Copy Checklist (draft)
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)
Cataloging Procedures for Audiovisual, CD-ROM and Related Media (detailed)
Shelflisting overview (very detailed)
Belletristic Call Numbers (SML) 2005 Version (very detailed)