Special Collections
Updated 11/22
Cataloging policy (books and other print materials)
Background: When SCRC catalogers were brought under the umbrella of the Acquisitions and Cataloging Department (2005), stated goals were both to bring the underlying framework into line with general cataloging conventions, and, more importantly, to document the details of SCRC practice. Prior to that it was purely oral tradition. The “Checklist for SCRC Cataloging” was developed to guide the catalogers’ work and provide a reference for Library technician catalogers.
1. SCRC cataloging policies and procedures rest on a range of national standards (RDA, AACR-2, CONSER, DCRM, etc.) and are developed in the context of SUL’s overall cataloging policy as set by the Acquisitions and Cataloguing Department. Within this framework, procedures are created to meet SCRC needs for detailed description and enhanced access to support service needs of the collections. In addition, items are generally identified at the printing level rather than the edition level. Printing-specific records are not added to OCLC (except for very specific circumstances).
2. Cataloging priorities are set by SCRC staff at the start of a calendar year. Curators, catalogers, the head of public services, and the lead archivist meet to discuss, review and evaluate collections as to the range of materials included to aid in creating the cataloging framework which identifies access and levels of description. The framework is documented in the online procedures and may be revised once the project in underway. This framework identifies gift and provenance notes, linking notes to manuscript and other collections, item needs in terms physical description (binding, state, imperfections).
3. New donations and materials flagged for cataloging identified during the processing of manuscript collections are not necessarily sent directly to cataloging. These items are regularly added to the SCRC cataloging backlog with a “Checklist for SCRC Cataloging” form completed and inserted into each piece. Only new purchases and agreed upon cataloging priorities should be routed to cataloging. Occasional rush and priority items may be inserted into the queue when necessary as well as “small” one-time gifts (usually 10 or fewer items).
4. Gifts and restricted fund purchases: Donor and fund names are transcribed in 590 (local notes). Research gift copies are also identified through a 590-note: Includes research material from the ... Papers at the Special Collections Research Center at Syracuse University Libraries. No other gift note is needed. Details and forms of notes may be found in procedures below.
5. Full-level cataloging standards are used, unless curators request that Descriptive Cataloguing of Rare Materials (DCRM) standards be used, or, materials demand those standards in the judgment of cataloguing staff. Early upstate New York print materials and items published before 1700 generally receive DCRM treatment, with signature statements mandatory for items printed before 1600.
6. Subject access may be enhanced to highlight subjects of local interest and link an item to SCRC collections. Genre headings are added when deemed necessary by project guidelines or requested on “Checklist.” They are not removed from records containing them. Music subject analysis will be coordinated with the music specialists to bring score subject access into line with standards developed for Belfer sound recordings.
7. Unique item identifiers such as ownership and other inscriptions, stamps, bookplates, binding and bookseller tags, etc. are generally noted.
8. OCLC records are used, when possible, with minimal changes. The range of pre-AACR2 records, as well as AACR2, RDA, RDA hybrid, DCRB (Descriptive Cataloguing of Rare Books), and DCRM records may be used as is, with one exception. The physical description (MARC field 300) should be evaluated for clarity and completeness to insure that pagination and illustrative matter is adequately shown. Unless incorrect, information is not removed from records.
9. SCRC classifies all print materials using Library of Congress (LC) call numbers. Classification follows current standard call number practices to the extent possible; split collections will occur when call numbers change for subjects or literary authors. In 2014, SCRC managers and catalogers agreed to abandon a number of locally-developed LC schemes used in the past to group items together and to rely on catalog searches to collocate materials rather than physical location. Exception: exact copies will be added to the existing local call numbers. Local schemes such as that used for Browder, or, for the New York printing collection, will not be created in the future.
10. New titles are added to the general LC collection, unless donor or other considerations merit a separate, named collection. The collection is divided among octavo (up to 28 cm), folio (29-49 cm), and flat folio (50 cm and up). Maps, broadsides, posters, and other single-sheet items are housed in the map cases; in addition, items consisting of only a few leaves, or especially fragile, may be housed in the cases for better protection.
11. New materials are not added to the Dewey collection; related or duplicate items currently in Dewey are reclassified to LC at the time the new item is catalogued. The New York State collection is also frozen, except for adding exact duplicates. However, both collections will remain separate for the foreseeable future.
12. Exact duplicates DO NOT share a single bibliographic record.
13. Serials will be cataloged as such and enhanced as necessary to meet access needs. Additional access points and enhancements may be made when new issues are added. Catalogers will create, or enhance records to full CONSER level on OCLC. EXCEPTIONS: serial issues acquired because of a single article will follow standards for component parts for article(s) of interest. Component parts must comprise at least a page, preferably more; smaller articles, notices, and other references of interest will be highlighted in the serial record, and if appropriate, access points provided. Theme issues will generally be catalogued as monographs to provide access to issue content.
14. Access to names will be enhanced by creating access points for contributors to and editors of serials and other materials when appropriate. Publisher, printer, and illustrator entries are added when merited, especially for older items. Generally all names in the statement of responsibility will receive access points: authors of introductions and afterwards, illustrators, translators, etc.
15. Contents of serials, anthologies, and multi-volume sets will be highlighted when necessary in a 505 field to bring out and provide access to content of local interest and appropriate access points added.
Details concerning SCRC materials used (provided by the curator) and generally indicating pages with images and nature of materials used.
Eg., Images on pages 20-22, 53, 102; quotations
Procedures
New receipts: Cataloging and processing
New receipts include purchased titles, gift titles (including those given that cited or used SCRC collections), print items removed from manuscript collections, and current periodicals and serials received and sent to SCRC by Acquisitions and Cataloging serials staff.
All new receipts (except those from serials) must be accompanied by a completed curator slip which indicates:
Fund used for new purchases
Donor and/or collection for gifts and items from manuscripts; these items are sent for curatorial review prior to coming to the catalogers.
Collections cited or used in research for publication.
Level of cataloging desired (DCRM or not)
Additional name, subject, or genre access points
Special features to be noted
Relationships to SCRC collections
Catalogers
Determine if item might be a candidate for manuscripts: is it primarily handwritten, a clipping or other ephemeral material?
Verify correct form of fund and donor notes (see below under local notes for this)
Examine item for additional provenance and physical characteristics, such as damage, binding, presence of dust jacket, or other details
Insure that finished record reflects everything from curator slip.
Insure that correct author number is used for works of literature.
Inform conservation of special needs.
Current periodicals
Search title (as journal title search) and retrieve SCRC record.
Count as paid piece added
Processing instructions are on the holdings record
Most titles are temporarily housed in Princeton files, or other containers and gathered at regular intervals by catalogers and sent to conservation for boxing, along with book flag and barcode.
Item records generally not assigned to individual issues.
Add issue to holdings, write call number on cover (or on page following), insert a slip with instructions for conservation, generally along the lines of "plate only, no item record, do not place in envelope"
Place issue on truck with other items for conservation.
When adding the last issue of a volume, collapse the issues into a volume statement.
If it is time to have issues boxed, pull the issues, and prepare them for conservation; create item record for volumes contained in the box.
Book serials
Volumes are either adds to the holdings record, or, cataloged as monographs with a series statement. Instructions may be found on transmittal slip from serials receiving.
Added volumes:
Count as added paid piece.
Add volume to holdings.
Create item record.
Prepare a flag
Place books on truck for conservation.
Volumes cataloged as monographs
Search OCLC for usable record.
Insure series statement is correct, using control headings to verify.
Create item record, flag, and place on truck for conservation.
Count as new paid title catalogued.
General collections policies apply unless otherwise stated in this document.
Procedures and general cataloguing guidelines
The Basics
Select the most complete OCLC bibliographic record for the item in hand. When possible choose DLC or PCC member records. Use DCRB or DCRMB record if found and curator has requested that level of cataloguing.
Always use the “validate heading” feature in Connexion to check name and subject headings authority records. Search online authority file to determine if authorized form exists and correct headings as needed. If no authority records exists, use the form in the record.
If there are both monograph and serial records for a title, check the series in the authority file. Also check SUMMIT for past treatment of the series. Finally, check with one of the catalogue librarians for guidance if necessary.
For new purchased titles: Search SUMMIT to see if there is an order record. If found, verify that owning library is SP (if it is SU, ask one of the librarians to change it in order that the record can be overlaid.
Multiple copies: Formerly every copy had its own bibliographic record; currently exact copies will be represented by one bibliographic record with separate holdings records for each copy.
Use 590-notes to describe unique copy physical, provenance, or other aspects. Eg. Copy 1 gift of George Arents. Copy 2 imperfect: last 10 pages of text wanting.
Different printings or states will have their own SUMMIT bibliographic records, usually derived from the same master record on OCLC.
Items with duplicates in named collections may be left on their own bibliography record, especially if that record has access points not generally used.
Call number guidelines
General:
All current receipts are classified in Library of Congress; collection is divided according to size:
0-28 cm. in regular stacks
29-49 cm. in Folio (have single lower case f following call number
Skip one space in bibliographic and holdings record
Use separate line, centered, on book flag.
50 cm. and up in Flat Folio (have double lower case f following call number)
Skip one space in bibliogrpahic and holdings record.
Use separate line, centered, on book flag.
Dewey: small Dewey sequence remains, with stated goal of ultimately reclassifying all to LC
Do not add new titles here
If adding a second copy, reclassify existing Dewey to LC as part of the process.
Titles have the same call number when:
They are different editions or printings of the same work.
They are title variants in a sequence of serial title changes. (See the serials procedures for additional details)
The classification schedules—mainly literature, but other areas as well—call for sub-organization by dates.
Unique titles require unique call numbers; where first title word is the same (or in other cases the author), Cutter numbers must be altered slighted to achieve this.
Work-letters distinguish printings (and sometimes editions) but, not titles.
Anthologies: When cataloguing those issued in a series and each number is treated as an individual monograph, assign a unique Cutter numbers are needed for each numbered piece.
Literary author numbers : 3 sources are used; goal is to be in sync with LC and not create a local conflict with an author number in use by LC.
In name authority record for author of fiction (field 053).
In 2nd $a of 050 when LC uses a PZ number as their preferred call number. Call number fields must be 050 and have a 2nd indicator of 0 (indicating LC)
Searching for author numbers in LC catalog: SU goal is to fit our call number into their sequence and not use a number already in use for another author. Occasionally LC is using a number for an author in their catalogue which doesn’t appear in other sources (the AF record, or the 050).
Children's literature:
Use PZ classification sparingly, mainly for anthologies, etc.
Use literary author numbers when these have been established for an author (see 053 in name authority records).
Use literary author numbers for authors with established author numbers in SCRC collections.
Create local literary author number for works of fiction by authors lacking them; add number to name authority record.
Use subject-based call numbers for non-fiction works by authors not falling into categories above.
Translations:
Cutter for the title in the original language.
.x Original work
.x117 Arabic translation
.x12 Polyglot
.x122 Catalan translation
.x125 Chinese translation
.x126 Czech translation
.x127 Danish translation
.x128 Dutch translation
.x13 English translation
.x134 Estonian translation
.x14 French translation
.x15 German translation
.x152 Greek translation
.x153 Gujarati translation
.x154 Hebrew translation
.x156 Hungarian translation
.x16 Italian translation
.x163 Japanese translation
.x164 Korean translation
.x1645 Lithuanian translation
.x165 Norwegian translation
.x167 Persian translation
.x168 Polish translation
.x169 Portuguese translation
.x1695 Romanian translation
.x17 Russian translation
.x18 Spanish translation
.x188 Turkish translation
Classification practice
Prior to June 2014, a number of call number anomolies were policy; these had the goal of using classification to create sub-collections based on collecting strengths, donors, and other local considerations. Often, 2 copies of the same item would be classified differently, one to support the local, and one in the expected call number. When discussions revealed that these practices were no longer serving either service or retrieval needs, the Managers' Group decided to end them. In most cases, standard LC or member library assigned call numbers will be used. However, second copies will be added to the local call number, but all new versions will be classified according to standard LC practice.
A brief survey of former local practice follows:
US cartoonists: NC1429
Albert Schweitzer: everything by under CT1098.S41 … / everything about under CT1098.S411
M. Bourke-White: TR650.B77 …
PanAm 103: everything under LD5237.7 1988 [Cutter for main entry] [date]
Peace (pamphlets, sermons, lectures, moral and ethical aspects): use JX1963 (discontinued by LC)
Joyce Carol Oates:
B. Spock: RJ61.S64
Fine Press items—use Z239 + Cutter for press + year + workmark for title.(discontinued by LC)
Literary authors—use author number for all works, regardless of subject matter.
Illustrators: lass in NC975 using designated sub-system for person.
Monographs
General policies
Most materials receive full level standard cataloguing; the use of DCRM (Descriptive cataloguing of rare materials) depends both on curator preference and the judgment of the cataloguers. When using DCRM, AACR2 conventions are followed throughout the record.
The transition to RDA (Resource Description and Access) began in fall 2013 for both monographs and serials, with all new workforms being created in RDA (unless one is creating a DCRM workform).
Editing OCLC records for local use
Accept full-level AACR2 records without further editing.
Accept full-level RDA or hybrid RDA records without further editing.
All records reflecting pre-AACR2 or mixed descriptive conventions will be standardized, generally to a hybrid record:
Use Desc a in the fixed field.
Follow AACR2 for the 245 and 260 fields.
Follow RDA conventions for field 300
Add the appropriate 3xx fields.
Add relators if easily determined.
Monographs are generally catalogued to the printing level; variant printings are generally retained.
Curators decide whether or not to add true second copies.
Serial volumes are catalogued as serials, unless they have a distinctive or theme title which allows for monographic treatment if the issues theme reflects the primary reason for the item's being added to SCRC
If only an article within a serial is of interest, that item is catalogued as an "In analytic"
FOR Non-DCRB SCRC cataloging
Select the best record from among competing records (DLC preferred)
Usually the one with the most holdings is the best choice (however, make sure record matches what's in hand to the edition level)
For NYS and other items designated by curator as needing extra attention, a dcrb or dcrm record may be preferable. These may be found as separate master records, or information from institution records may be copied and pasted into master records for local use.
Review the record, correct any obvious errors in spelling or format, bringing record up to AACR-2 standards. Assume record is more correct than not, unless evidence to contrary. Full-level (blank or I) DLC records (or those with pcc in 042 field) and Desc a (indicating AACR2) should require no changes to existing data.
Always add date to the call number (090 or 050). Use workletters (b- ) to distinguish versions of the same printing published in the same year. When present, use printing dates in call numbers.
Add title variations if necessary for access.
Use 246 with appropriate tagging for alternative variants on piece.
Use 246 3, 2nd indicator blank for access to alternative entries for titles containing numbers or symbols.
Use 740, 2nd indicator 2, for analytic entries (access to sections within a work)
Always add edition statement (MARC field 250) if present on piece, but not included in record. For English-language works,any statement that indicates an edition is added as such. Include names associated with that edition:
2nd ed., rev. and enl. / ‡b by W.H. Chalmer
Publication statement (MARC field 260)
Make sure US place is named in subfield a if foreign city is listed first on publication (we do not need to list foreign cities when the follow US place; do not remove if found in OCLC record)
Record copyright dates if present in book and not in OCLC record; adjust fixed field date type and dates as necessary.
Physical description (do not change if essentially correct)
Always add leaves or pages of plates to subfield a (removing plates from subfield b)
Generic ill. suffices for the vast majority; indicate col. when appropriate; facsims., maps and ports. are among the more common specifics brought out.
For older items, verify size.
Add access points (500, 590, 6XX, 7XX) as indicated by the curator form.
500 notes may be needed for illustrators and other names not mentioned in subfield c of 245 and designated as important by curators.
590 notes needed for gifts, linking notes to collections, or other special aspects of copy (See below for details on 5xx notes)
Add genre subjects headings (655) only if requested by curators or instructions for a specific collection's processing; leave in 655 already in OCLC records if they are relevant.
Non-fiction works must have at least one LC subject heading; add additional subject headings (600,610,611,630,650) requested by curator
Add name entries (700,710,711) and appropriate relator terms when applicatble.
Add additional title entries (730 for uniform titles--serials mainly--and 740)
856 fields may appear in records; delete any deemed "unimportant" or that no longer work (also delete the 007 if present.
Current titles--such as Oates materials--contain links to publisher, author, tables of contents, or sample texts from the item being catalogued. Because LC currently hosts much of this datam it is left in the bibliographic record with the appropriate sub-field z as the first element. Information must be copied and added to an 856 in the MARC holdings record.
856 41 ‡z Electronic version: Sample text only:‡u http://www.loc.gov/catdir/samples/hm051/2003056793.html
856 42 ‡z Related electronic resource: Publisher description ‡u http://www.loc.gov/catdir/description/hm041/2003056793.html
Table of contents information may be copied into a 505 in addition to providing the link. This allows for keyword searching on terms found here. Delete the 856 from the record.
Links to electronic versions of the work being catalogued:
General policy is not be make a link from the paper record to the electronic version.
However, extenuating circumstances such as the fragility of the paper or a request from a curator allow such links to be made. Follow the example above for an electronic version.
Variant printings: policies and procedures
Edit OCLC records to reflect printings, if other than the first:
Some background: SCRC attempts to distinguish all bibliographic variants of a title. OCLC, in theory, distinguishes only true editions. OCLC records for a particular edition must be edited for different states or later printings of that edition.
Procedures: If using the OCLC record for the first printing of an edition, edit dates as follows:
Fixed field dates: Do not change (remains DtSt s with date of first printing)
260: leave date in $c as is and add the printing date in $g: … $c 1994 $g (Sept. 1997 printing)
Call number: use printing date in the call number. Use a workletter to distinguish different printings from the same year, e.g. 1976b ; 1976c ; etc. (do not use work letter a unless you are cataloguing a facsimile)
Use a 500 note for a numbered printing that lacks a date.
Also use a 500 note, with source of information, for printing statements expressed as numbers of copies, e.g., 12,000-15,000th: 12,000-15,000th (title page verso)
Policy issues:
SCRC retains all variant printings.
True duplicates (exact match to printing/state level) are discovered, decision has been made to withdraw them for both Science fiction and Grove projects. For New York State printing collection, keep everything. For other collections, consult with curators.
Each printing has its own SUMMIT record, even if derived from the same OCLC master record. True duplicates may have their own SUMMIT records (this depends on the extent of the uniqueness of each copy as well as location or collection considerations) or they may be added on different holdings records attached to the same bibliographic record.
Some useful definitions from AACR2:
Edition: All copies produced from essentially the same type image (whether by direct contact or by photographic or other methods) and issued by the same entity.
Impression: All copies of an edition of a book, pamphlet, etc., printed at one time (what we commonly call a “printing”)
Issue: Copies of an edition forming a distinct group that are distinguished from other copies of that edition by minor but well-defined variations (e.g., a new impression of a book for which minor revisions have been incorporated into the original type image).
Reprint: 1. A new printing of an item made from the original type image, commonly by photographic methods. The reprint may reproduce the original exactly or it may contain minor but well-defined variations 2. A new edition with substantially unchanged text.
See MARC field help on OCLC for DtST and for field 260 for additional examples.
Prepublication versions of a work: Author's proof copy; Corrected proof copy; etc.
These are preliminary versions of a published work and as such as of interest because they illustrate the progress of a work from creation to publication. They may be issued without preliminaries, indices, formal title page and other publication information. They may include publisher publicity, promotion plans, etc.
Procedures:
Use the OCLC record for the published version; do not create a master record on OCLC.
Create a separate record on SUMMIT.
Compare the item to the bibliographic record; generally leave the record as is, but remove notes not relevant to the proof.
Create one or more 590-notes to describe the proof copy, highlighting
the nature of the proof copy being catalogued: generally quote what the item calls itself on the cover, but omit text along the lines of do not quote, etc.
"Advance paperbound proofs"(omit phrases such as not for distribution, etc.)
"This is an uncorrected proof" (Could shorten to "Uncorrected proof"
Binding and other physical details
Bound in printed wrappers.
Bound in illustrated wrappers.
Variations in size when compared to original
Example: Proof copy. Issued in red wrappers backed in black cloth; printed in black. 148 pages. 31 x 16 cm. Manuscript annotations.
Other features
Annotations, autographs, etc. (especially important if they are by the author--we have many such versions for JC Oates)
Generally omit other publisher information such as contacts, publisher representatives, publicity plans, etc.
Mention any letters to reviewers or readers that are laid or tipped in.
Call number: Do not consider these second copies, but use a work letter after the date to distinguish item from the published version.
Duplicates: how many records?
Generally use one bibliographic record for exact duplicates even when there are unique aspects to the copies in terms of funds, provenance, and other copy-specific details. Use c.1, c.2, etc. in holding record call numbers. If copy-specific details are especially complicated, or, multiple bibliographic records already exist, generally prefer separate records.
5XX Notes
General order of notes:
System details (538)
Nature or form (500)
Language and script (546)
Source of title proper (500)
General (participant or performer) (511 0)
Cast (511 1)
Credits (not cast) (508)
Other statements of responsibility (500)
Edition and history (500)
Publication, distribution, etc. (500)
Physical description (500)
Accompanying material (500)
Series (500)
Dissertations (502)
Target audeince (521)
Other formats available (530)
Summary, etc. (520
Contents (505)
Local practice for both general and special collections calls for adding a table of content note if it would add SIGNIFICANTLY to the quality of the record.
When chapters/sections contain words that would be helpful when searching that don’t exist elsewhere in the record.
When chapters have separate authors that might need to be searchable.
Always required for musical sound recordings.
Numbers (other than ISSN/ISBN, for which 020/022 creates a note as last note in record.
Citation notes (510)
Curators may cite or provide resources that may be used to provide information or direct descriptive elements such as:
Descriptive bibliographies can be cited for references. If a descriptive bibliography is being cited, use Standard Citation Forms for Rare Book Cataloging, available in Cataloger's Desktop.
For 19th-century and earlier materials, check both institutional records and additional master records for additional 510-fields and include them in our local record.
Examples:
Mickenberg (for radical children's literature):
510 4 Tales for little rebels : a collection of radical children's literature / edited by Julia L. Mickenberg ... . 2008. $c p. nnn. (page number will appear on curator's checklist)
Local or copy-specific notes (590)
Curators will indicate notes required for each title.
Older SCRC records may contain holdings information for serials and multi-volume sets; when found, remove the note and add the holdings to the MARC holdings record.
Additional examples of local notes:
Donor information or fund information
Purchased from Peter Graham fund for Radicalism in Literature and Art, 2009/10.
Gift of Norman Keim, 2011
(Dates may be left out if unknown)
When item has hand-written names, create a 590 note: The following are intended as samples; many forms have been used over the years. Select the pattern that best fits the situation you have.
Provenance: [name] (name in ms. on t.p.)
Signed by Authur Miller on title page. (Used for copies signed by author)
Signed: Joyce Carol Oates, author’s copy
Provenance: [name] (autograph)
Presence and extent of annotations.
Autograph:
Inscriptions:
Authors' presentation inscription: [followed by transcription of inscription; use elipses for overly long ones, or use pattern: Author's presentation inscription from Joyce Carol Oates to Syracuse University Library]
Presentation inscription: (for presentations of an item by individuals other than authors) [followed by transcription of inscription; use elipses for overly long ones, or use pattern: Presentation inscription from Mom to Mary Elizabeth Alden]
Inscription: [for all other types of inscriptions]
When item is one of a numbered edition, create two notes:
500 Published in an edition of nnn numbers.
590 Library has no. 10.
500 Published in an edition of nnn lettered copies.
590 Library has letter U.
When item is numbered and signed the notes should not be combined:
500 Published in an edition of nnn numbers, signed by the illustrator.
590 Library has no. 23.
Note when a book has illustrated wrappers or is in its original dust jacket.
500 Dust jacket. 500 As issued in illustrated wrappers (wrappers contain printed information and/or illustrations) 500 As issued in printed wrappers (wrappers contain printed information only)
Uncut and untrimmed items
When pages are uncut (meaning some pages are not viewable because they are within a fold), use 590 note:
Library's copy uncut.
When pages vary in size and book lacks a smooth edge, the copy is untrimmed; use 590 note:
Library's copy untrimmed.
When both situations are present, use one 590 note:
Library's copy uncut and untrimmed.
Note such other copy-specific features in 590-notes (include copy numbers when needed):
Imperfections
Library's copy imperfect: p. 122-155 lacking.
Library's copy imperfect: covers lacking; torn or missing pages (use when damaged or missing pages are spread throughout an item)
Non-SU bookplates or other prior ownership markings, such as ink or emossed stamps, paper labels, etc.
Helen and Lloyd Dorsey (bookplate)
Sir John Guilgood (armorial bookplate)
American Institute (embossed stamp)
Dorsey Books ... Boston (bookseller's label)
Annotations, underlinings, etc.