Cataloging Procedures Manual

Chapter I: Pre-Cataloging

Routing Materials (Pre-Searching)
1. Key to cataloging codes (on green and blue routing slips)
  
  U -- Uncataloged
  
  A/N -- Added copy/volume: combines old A and N codes
  
  P/I -- Order record: combines old I and P codes
  
  L -- LC copy with call number (obsolete)
  
  M -- Member copy with call number (no change)
  
  C -- No 050/090 call number (no change)
  
  8 -- LC CIP copy with call number
  
  D -- Full DLC copy with call number
  
  Note: These codes are assigned at the order point and placed in the OPR. If more than one applies, assign the first code on the list. Transfer codes to the routing slip without re-evaluation at the point of receipt.
2. Routing instructions for green, blue and purple routing slips.
  Green slips are used for items received on firm order. Blue slips are used for items received as gifts or on exchange (in Acquisitions). Purple slips are received as approvals.
  1. U -- Uncataloged (items never to be cataloged)
    Do not route to Cataloging. If received, place directly on the truck for Marking.
  2. A/N -- Added copy/volume: combining old A and N codes
    Route all volumes and copies with holdings not verified to the Adds shelf.
  3. P/I -- Order record: combining old I and P codes
    Search all books ordered on an order record or Innovac recod in OCLC on receipt in Cataloging, and then route to the appropriate area.
  4. L -- LC copy with call number (obsolete)
    This code will remain on the routing slip, but is no longer assigned for new orders. Outstanding orders continue to carry this code. Route books with an L code to the LC cataloging shelves. Catalogers will decide about the level of cataloging needed, and complete the cataloging.
  5. 8 -- LC CIP copy with call number
    New receipts are cataloged by Acquisitions staff (except for multi-volumes, multimedia, and problems). They will receive a higher level of editing than full LC books receive. Zoo books that are re-searched will be routed to the LC cataloging shelves.
  6. D -- Full DLC copy with call number
    In the initial implementation of FastCat, books with the code D (full LC copy) are cataloged by Acquisitions staff (except for multi-volumes, multimedia, and problems).
  7. M -- Member copy with call number
    Sort by language. Determine the language from the cover or title page. In cases of multiple languages, make a quick decision as to most prominent language.
  8. C -- No Call number
    Search on OCLC. If a record with a call number is found, follow instructions for overlaying. If a record is not found, update the copy holdings record in VIRGO and route piece to the classify shelves.
  9. Serials
    An item is a serial if (1) it intends to continue indefinitely AND (2) it bears some sequential number or chronological designation that makes each piece unique. For a complete definition, See Appendix 14.
    1. Send items that the routing slips clearly identify as serials directly to the serials LA cataloger.
    2. Identify other serials during the searching process. See instructions below.
    Note: As books move through the department, additional notes/codes are added to the top of the routing slip. These notes/codes take priority over any circled codes on the routing slip (i.e., a book may arrive with the code P/I circled, then become a classify, and finally end up as member copy). For additional routing instructions see section V. below.
3. Routing instructions for pink routing slips.
  Pink slips are for items received on standing order (in Serials Acquisitions). The VIRGO number will be written at the top of the routing slip for nos. 1-4.
  1. Serial - New
    Route these directly to Serials LA Cataloger.
  2. Serial - Add
    These will be added at point of receipt in Acquisitions.
  3. Monographic set - New
    Acquisitions staff will search on OCLC. If a matching record is found, follow instructions for overlaying (note VIRGO record to overlay at top of routing slip). If an OCLC record is not found, update the 911 field on the order record on VIRGO and add piece to the backlog.
  4. Monographic set - Add
    Serials staff in Acquisitions adds after receipt.
  5. Series:
    
    Anal (class tog)
    
    Class sep.
    
    Serials staff in Acquisitions searches titles on OCLC as part of the process for receiving and processing monographic series (See Chapter XIV). Analyzed volumes for analyzed scores on standing order are sent to the Music Library for cataloging.
    
    First in library
    1. The first volume received on a standing order will be checked in by Acquisitions staff following normal procedures. On the routing slip, the phrase NEW [FIRST IN LIBRARY] is circled, and the appropriate box checked.
    2. The volumes will be returned to Cataloging with other new receipts from Acquisitions. When the Pre-Cataloging team sorts the new items, watch for NEW [FIRST IN LIBRARY]. Give these books priority attention.
      1. If the Serial box is checked, route to Serials LA Cataloger.
      2. If the Monographic set box is checked, search the item and make printouts. Route to the Series Authority LA for a cataloging decision (i.e., whether monographic series (anal. or class sep.) or continuation).
    3. The Series Authority LA will notify the Serials Acquisition Supervisor of the decision so that the order record can be updated.
    4. The item will then be routed for cataloging.
4. Routing instructions for yellow routing slips
  Use yellow slips for items coming to Alderman from Branch libraries (Fine Arts, Educ., SciEngr, Darden, etc.).
  1. "New" circled
    1. Search on OCLC. If a matching record is found, use Control F1 to send the record to VIRGO.
    2. Write the OCLC number and sorting instructions on the top of the routing slip.
    3. If a matching record is not found, book is sent to Originial New shelf for LA to process.
  2. Added copies or volumes
    Put on added copy shelves.
Selecting OCLC Matching Records
Search OCLC following the guidelines in (See Appendix 25) and Guide to Searching the Online Union Catalog.
1. Matching record guidelines for books
  The following guidelines are based on OCLC Bibliographic Formats and Standards; Chapter 4: When to Input a New Record. For more detailed information, consult that document. For other formats, see instructions below, or consult the chapter in this manual on the specific format.
  After retrieving a record, check the following fields to determine if the record matches exactly.
  245 |a Title proper
  
  Wording of the title should match the piece, but may vary in capitalization, diacritics, initial articles, punctuation, and delimiters (choice of title proper and subtitle may vary).
  
  CIP: title may not match exactly.
  250 Edition (may also appear in a 500 note)
  
  If some edition statements are lacking from the record and present on the book (and vice versa) , the record may still match. These are: book club edition; first edition; paperback edition.
  
  The record is not a match if the wording differs (eg. draft, preliminary, abridged).
  
  The record is not a match if the numbering is different (eg. 2nd ed. vs. 3rd ed.). However, in some foreign language publications (particularly the romance languages), the edition statement is a reflection of printing information rather than edition information. In that case, the record may match if all other fields match.
  
  Example:
  
  Book reads: II edizione
  
  Record reads: 250 1a ed.
  
  260 |a Place of publication
  
  The place on the record should match the place on the piece, but some variations are acceptable: variation in the name form (eg. Koln vs Cologne); abbreviations of the place name; different places within the same country. If the book has multiple place names (in different countries), the first named place on the book should match the first place in the record (additional place names may or may not be present in the record).
  
  260 |b Publisher's name
  
  Variations in the form of the publisher's name (including abbreviations) are acceptable (eg. John Wiley & Sons vs Wiley). If there are multiple publishers, at least one of the publishers must match.
  
  260 |c Date of publication
  
  Matching on the date can be a confusing process. The date in the 260 |c should represent the date of publication of the edition specified in the 250. It is important to distinguish between certain types of dates that may appear on the piece and/or record. (See also Appendix 7)
  
  The date of publication, if present, must match the piece. This date is generally found on the title page of the book.
  
  Dates of printing, manufacture or distribution may vary (i.e., if everything else matches, and the book indicates a printing date different from the record, it may be considered a match). Generally printing dates are found on the verso of the title page (eg. 12th printing, 1990).
  
  Copyright dates (eg. c1990) may also vary, and may or may not match the date of publication. In French publications, "Depot legal" indicates copyright date; in Spanish publications, "Deposito legal" shows copyright date.
  
  If the record is for an incomplete multi-part item, the opening and closing dates may vary.
  
  CIP: Dates may vary.
  
  300 Physical description
  
  Major differences in the physical description indicate a non-match, but minor differences in pagination (i.e., less than 5 pp.) and size (i.e., less than 2 cm.) are acceptable.
  
  CIP: may be incomplete or lacking.
2. Other fields may help to determine whether the record matches, but should not be considered as conclusive evidence:
  Fixed fields:
  
  Monographs should have Type: a and Bib lvl: m. Other codes indicate a different format of material.
  
  Enc lvl: All values other than O are acceptable.
  
  Lang: Ctry: Dates: Should match the information in the record. So, variations in these fields may indicate a different edition, but other evidence must be found before rejecting the record.
  
  Numeric fields:
  
  Variation in the 010 or 020 may be evidence of a non-match, but do not reject the record only due to differences in these fields.
  
  Variable fields:
  
  1xxAbsence of, presence of, or difference in choice or form of main entry does not indicate a non-match
  
  Absence or presence of a subtitle does not indicate a non-match. Subtitle or other title information may be present in the 245, 500 or omitted.
  
  245 |cAbsence or presence of an author statement does not indicate a non-match. Author or other statement of responsibility may be present in the 245, 500 or omitted.
3. Multiple monographic records
  1. If multiple matching records are found, use the following priority order and download one record:
    1. DLC |c DLC -- Library of Congress (excluding preliminary LC records)
    2. DLC |c xxx -- LC input by any OCLC member library
    3. xxx |c xxx -- OCLC member copy
    4. UKM |c UKM -- British Library copy (UKMARC)
  2. If multiple records are found, download the most complete record (i.e. the one with call number and subjects). If the choice is between a preliminary LC record (eg. PRIORITY 5) and a full member record, select the member record for downloading. If multiple member records seem to be identical, download the record with the lowest OCLC number. Print all records that match the item, and send print-outs to the cataloger with the book. The cataloger will examine all print-outs, and, in some cases, may ask that the searcher overlay the selected record with a different record.
  3. If the searcher cannot determine the best possible match, following these guidelines, do not download a record . Make print-outs of all records and route to unit head for a decision.
4. Other formats
  1. Serials:
    1. Send items that the routing slip clearly identifies as serials directly to Serials LA cataloger without searching.
    2. If the searcher finds a matching serial record, whether or not matching monographic records are found, do not download the record. Make print-outs of the serial record and any monographic records and route to Serials LA cataloger for a decision.
    3. If cataloging the piece as a serial, Serials LA cataloger will download the record. If cataloging the piece as a monograph, return it to the search team for downloading.
  2. Spoken sound recordings
    1. Often there will be multiple records for the same piece. Download the record that most completely matches the cassette in hand, following the same matching record guidelines used for books.
    2. If no matching records are found, print a record for a textual version of the work as a help.
    3. Search team adds 911 note of whom item is given on VIRGO.
  3. Microforms
    1. Follow matching record guidelines for books. Be sure that the type of reproduction (eg. fiche, film, etc.) matches before downloading the record.
    2. The reproduction agency in the 533 (or 500) note should match if information is available on piece. Date of reproduction may vary.
    3. If a matching record is not found, print the record for a variant form of reproduction or the record for the original work as a help, and put in the save file for review by the cataloger.
    4. Search team adds 911 note of whom item is given on VIRGO.
  4. Photoreproductions (including photocopies)
    1. Follow matching record guidelines for books.
    2. The reproduction agency in the 533 (or 500) note must match. Date of reproduction may vary.
    3. If a matching record is not found, send photocopy to backlog for researching later.
  5. Video recordings
    Handled by Clemons Library staff. (See Chapter VIII).
  6. Music scores and sound recordings
    Handled by Music Library staff. See Chapter XIII.
5. Helps
  A record that is not an exact match for the piece in-hand may provide valuable information for the cataloger. These "helps" may vary in the imprint and physical description, but should provide the cataloger with additional call number and subject information. Do not download a help. Print the record, mark "help" on the printout and route with the book.
  1. UKMARC:
    1. If a UKM record is the only matching record, download the record (Always choose member copy over UKM).
    2. After downloading the UKM records, search for an LC edition help. The help will have the same author and title, but may have different publication information. If the help has call number or subject headings not available on the downloaded record, make a print-out and include with the book.
  2. Classifies:
    1. If the only matching record lacks call number and/or subjects, download the record.
    2. Edition helps: After downloading the classify record, search for an edition help. The help will have the same author and title, but may have a different edition statement, different publication information or different physical description. If the help has call number or subject headings not available on the downloaded record, make a print-out and include with the book.
    3. Translation helps: If an edition help is not available, and the book is obviously a translation (eg. has a translation note), search for a record of the book in the original language. If found, make a print-out and include with the book.
    4. Literature helps: If an edition or translation help is not available, and the book is a literary work (fiction, poetry, etc.), search for a literature help.
      1. Search the author's name in the authority file. If the authority record has a 053 field, print it as a help; OR
      2. Search for another work of literature by the same author (primarily with the call numbers: PG, PQ, PR, PS, and PT).
    5. Literary criticism helps: If the classify has a subject heading indicating that it is a work of literary criticism (eg. 600 Smith, John |x Criticism and interpretation), search for a literature help for the name in the subject heading.
  3. No copy found:
    1. If exact matching copy is not found, print any available edition helps as aids to the original cataloger.
    2. If the work is a reproduction (photocopy, microform, reprint edition, etc.), print the record for the original work as a help.
6. Sorting codes
  After selecting a matching record, note on the routing slip any information needed to sort and route the book, using the codes below. Use multiple codes as needed.
  D -- Book has full Library of Congress copy (040 DLC |c DLC;Enc lvl blank)
  8 -- Book has LC CIP copy (Enc lvl 8)
  [lang code] -- Book has member copy [record the language code from fixed field on the routing slip]
  CLASS -- Book has copy without call number and/or subject headings
Researching
Due to the lack of complete information at the order point, and the time lag between order and receipt, the record downloaded at the order point may not match the book received. Since researching of books is not always done upon receipt by the Pre-Cataloging section, the cataloger has the responsibility to match the book to the record and determine when a piece needs researching.
If a book does not match the VIRGO record:
1. Make a printout of the VIRGO bibliographic record. Note the type of problem on the printout (eg. "date incorrect"; "need 2nd ed."; etc.). Initial the printout so that catalogers can refer questions to the appropriate person.
2. Return the book and the printout to the "Problem" shelf in the Pre-cataloging area.
3. The Pre-Cataloging section will research the book on OCLC. [Note: catalogers may do their own researching and overlaying, but must follow the instructions below.]
4. If a matching record is found, follow the instructions for overlaying.
5. If a matching record is not found, edit the VIRGO record to look like an order record:
  
  -correct fixed fields
  
  -correct information in the variable fields as necessary.
  
  -delete all remaining tags that are not part of an order record.
  
  Update the 911 field and add piece to the backlog.
Downloading and Overlaying OCLC Records
1. Before downloading a record, check the upper left corner of the OCLC record. If the record says "No Holdings in VA@," follow instructions below. If the VA@ symbol is in the upper left corner, do not download. Print the record and route as an added copy.
2. Downloading new records
  1. If the book does not have a VIRGO record, follow OCLC search instructions and identify a record that matches the book exactly.
  2. Type xpo [F11] or use the function key [CTRL][F1] to download a record.
  3. Write the OCLC number on the top of the routing slip to indicate that a record was downloaded.
  4. After downloading, wait until the record is loaded (overnight?). Retrieve the record on VIRGO, using display1 item and the OCLC number in the control # field preceded by a lowercase o (e.g. o12345678).
  5. If the record has loaded as the default library (UVA-LIB):
    1. Add the correct library (i.e. create item--add call, see Command documentation) be sure to add barcode, type, and home location.
    2. Delete UVA-LIB call (remove item, (See Appendix 1).
  6. If the record has loaded in the correct library:
    
    Edit item: replace default barcode with barcode from book, edit type, and edit home location (current location will automatically update to match home location).
3. Overlaying records
  Note: Use records with order records attached whenever possible to catalog the item received on that order record. The order information will show in display1 item following the library and copy information. It may be necessary to overlay these records.
  1. Search OCLC to identify the matching record. Record the OCLC number at the top of the routing slip and put record in the save file by typing s [F11]. Record the save number at the top of the routing slip.
  2. Search the OCLC number on VIRGO, using Display1 item and the OCLC number in the control# field preceded by a lowercase o (e.g. o12345678). If there are any hits, check to see if the item is already cataloged before overlaying.
  3. If there are no hits, call up the VIRGO record
    1. Tab to the control# field
    2. Type the OCLC number in the control# field preceded by a lowercase o. The OCLC number must have 8 digits. Add leading zeros if necessary.
      
      Example:
      Control#: o12345678
    3. Update the record by clicking GO or pressing [Enter].
  4. Call up the OCLC record using the save number indicated on the routing slip by typing /[save number] [F11]. Quickly verify that the record matches.
    1. Type xpo [F11] or use the function key [ctrl][F1] to download a record.
    2. Use function key [ctrl][F5] or type del[F11] to delete the save record.
4. Solving overlay problems
  Report overlay problems to the Pre-Cataloging Supervisor for problem resolution. Leave the book and a note or printout with initials describing the problem on the problem shelves.
  If the control# is input in the wrong format the target record may not overlay. When this happens, a new duplicate record is created in VIRGO. Do not remove an order record with an order linkage. Follow these instructions:
  1. Search by OCLC number to find all duplicate records. Determine which one has the order linkage. Also check if any of the records have full level cataloging.
  2. If none of the records are fully cataloged:
    1. Delete all records that do not have order linkages, using remove item (See Appendix 1)
    2. Check the record with the order linkage. Make sure that the control # field formatting is correct (see above) and the OCLC number is correct. Update record.
    3. Research using Display1 item to be sure that there are no duplicates.
    4. Follow standard procedures for overlaying.
  3. If one of the records without the order linkage is fully cataloged:
    1. Keep the fully cataloged record. Add any copies or volumes to that record. Relink the order record.
    2. Delete any uncataloged records that do not have order linkages, using remove item (See Appendix 1).
    3. Shadow the title with the order linkage, if it cannot be removed.(See Appendix 1).
      Note: Follow these instructions if, for any reason, the record with the order linkage is not used for cataloging.
  4. Other overlay errors--IN PROCESS
Firm Orders (Acquisitions) Duplicating Material Received on a Series Standing Order (Serials)
1. Book received on standing order; book not yet received on firm order.
  1. Print standing order record with receipt statement and firm order record. Give printouts to the Serials Acquisitions Supervisor immediately.
  2. The supervisor will request that Acquisitions cancel the firm order.
2. Firm order received in Acquisitions, standing order volume not yet received.
  1. Print out both order records. Give to the Serials Acquisitions Supervisor.
  2. The Serials Acquisitions Supervisor will request the vendor's permission to accept the firm order volume in place of the series volume.
3. Standing order volume received after firm order received and cataloged.
  1. Give standing order volume to the Serials Acquisitions Supervisor with order record printouts.
  2. The supervisor will attempt to return volume to vendor.
4. When library must keep duplicate copies of a title, the Monographic Adds Supervisor will ask bibliographers whether to add or discard the duplicate copy.
5. Overlaying the firm order VIRGO record
  1. If copy is found for the standing order receipt, overlay on the Acquisitions record and create (add) a second item line for the standing order receipt.
  2. If copy is not found, add zoo note to the 911 field, create (add) an item and add zoo note to that 911 field.
  3. Retain the firm order copy line so that the library has a record of both the firm order and the standing order receipt.
    
    Example: IN PROCESS
Sorting and Routing Materials
1. Sorting codes
  Books are sorted according to the codes written on the top of the routing slip.
  
  D/8 -- Route to full DLC and CIP copy shelves
  
  [lang code] -- Sort by language. Route to appropriate shelves.
  
  CLASS -- Route to classify truck in terminal room
2. Series
  When cataloging, if the series is NOT established, send back to the Series Authority LA.
3. Classifies
  1. Call up VIRGO record using number on the routing slip.
  2. Add the code CLASS and the range number of the next available space to the 911 field, and delete any other codes.
  3. Route to the Classify shelves, regardless of the source of the copy (DLC, UKM, etc.).
4. Route LC CIP and Full LC copy to the LC shelves in Copy Cataloging.
5. Sort member copy by language and route to the appropriate shelves in Copy Cataloging.
6. Create order records for materials without copy (See Appendix 1) and shelve in date-received order in the current backlog (Zoo) except for Branch library material.
7. Add notes to the 911 field of media (sound recordings, microforms, computer files) indicating how many pieces, location of piece and date. Route to the appropriate cataloger.
  
  Table of Contents
  
  Chapter 2
  
  rev. 08/12/96

Cataloging Procedures Manual

Chapter I: Pre-Cataloging

Contents: