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Acquisitions Department > Monograph Receiving > Procedures Index
Monograph Receiving Unit Guidelines
Copy Cataloging
Introduction
The Monograph Receiving Unit is responsible for searching in the LC,
OCLC and RLIN databases and evaluating the appropriateness of bibliographic
records for books that are to be received. Monograph Receiving is
also responsible for updating or creating a record in Symphony to explicitly
record the receipt of all incoming material. Concurrently, staff
also evaluate bibliographic information to decide whether or not the
material can be copy cataloged. Records for which the Monograph
Receiving Unit can not perform copy cataloging must meet the minimum
standards set in Guidelines for Creating Basic Bibliographic Records
for Automated Copy Searching before being routed to the next Technical
Services Unit.
This document outlines the procedures for copy cataloging at Stanford
University Libraries (SUL). Information includes the basic
tools for cataloging, national standards to be followed, local variations
and detailed instruction of specific in-house routines including
information on inputting and editing on Workflows, SUL's integrated
library system.
Pre Cataloging Routines
- Determine that the item is to be cataloged.
- Determine that the item is not a serial.
- An item is a serial if 1) it is intended to continue indefinitely
AND 2) it bears some sort of sequential number or chronological
designation which makes each piece unique.
- If the item is a serial, please follow the instructions given
in Serials in Monograph Receiving
procedure.
- Search the online catalog for duplicate records.
- Retrieve Symphony record if one was created at point of ordering.
- Examine the record to make sure that it matches the piece
in hand
- Examine the record to make sure that it meets our copy cataloging
criteria below.
- Search the online utilities for a bibliographic record which
meets our copy cataloging criteria below.
- Import records for materials which do not have existing records
in Symphony. Or,
- If the existing Symphony record does not meet our criteria,
and there is an acceptable record in one of the online utilities,
you may replace the Symphony record with the acceptable record.
Cataloging
Standards to be used
The standards that are presented here are approved for use in SUL
when cataloging Library of Congress, CIP, or member contributed
copy from the online utilities. When there is no indication
of the contrary, the directions for a field apply to all types of
cataloging copy.
NOTE: CIP copy refers to records generated from the Cataloging-in-Publication
program of the Library of Congress. Library of Congress is
able to catalog items before the are actually published based on
the publisher's galley proof rather than the actual item.
Therefore, information concerning size, pagination, and even the
title or subtitle may be incomplete on these records. If the
receiver/copy cataloger is certain that the CIP catalog record is
intended to match the piece in hand, than liberal changes may be
made as indicated in these standards. If the receiver/copy
cataloger is not certain that the CIP record is intended for the
book in hand, then further investigation and/or searching for suitable
copy may be necessary.
Examine Fixed Fields
Examine Variable Fields
Any field not specifically mentioned, leave as is.
- 020 (International Standard Book Number)
Input (with no spaces or hyphens) if not present and if available
from the item.
- 035
Please see our local policy here
- 040 (Cataloging source)
- 050 (Library of Congress call number)
Leave as is.
050 14 (Member assigned call number)
Leave as is
- 090 (Local call number)
Member assigned of local Library of Congress type call number.
Leave as is.
Bibliographic Fields
- 100, 110, 111
(Main Entry)
All second indicator values are obsolete.
- 130(Uniform
Title main entry)
1st indicator is a filing indicator. Examine and correct.
All second indicator values are obsolete.
- 240
(Uniform Title)
- 245
(Title Statement)
1st indicator should be 0 if the title is the main entry, 1 if the
title is not the main entry. 2nd indicator is a filing indicator.
Examine and correct errors. Use judgment as to what constitutes
title and subtitle information. There may be some slight variations
in title and subtitle with CIP copy, which will need to be updated
to reflect the item in hand.
- 250
(Edition Statement)
Both indicators are blank. Examine for accuracy based on item
in hand. The presence or absence of an edition statement in
an online record may signify a different edition (see: variant edition procedure).
- 260
(Imprint)
Both indicators are blank.
Place: should match piece in hand
Publisher: be sure that the publisher on the record is the same
as the one in the piece. CIP copy: add if not present.
Dates: keep in mind what constitutes a new record and a different
edition. The date in the 260|c field should match the date
used in the fixed field. If the set is incomplete, use the
date of the volume published first (or earliest known date) followed
by a hyphen.
- 300
(Physical description)
Both indicators should be blank.
Examine for accuracy. For CIP copy, supply the last numbered
page.
- 4xx
(Series statement)
If the series statement in the piece does not match the sereies
statement on the record, DO NOT consider the item and record to
be a match.
- 500
(General notes)
Both indicators should be blank.
Examine and correct any errors. Add other notes that may be
appropriate (consult with your supervisor if you aren't sure).
- 505
(Contents notes)
Do not add contents notes for single volume records.
- 6xx(Subject
headings)
Second indicator 0 = valid Library of Congress subject heading (acceptable
copy for SUL).
With the exception of Literature, a record MUST have at least one
valid Library of Congress subject heading in order to be considered
an acceptable copy cataloging record in SUL.
- 7xx
(Added entries)
Follow guidlines for 1xx fields.
Editing of a matching record that can be copy cataloged
If a matching monograph bibliographic record is found, and the
record contains a usable call number and valid LC subject headings
(when required), copy catalog the item with or without making modifications
to the record.
Note: $dCSt in Field 040. Whenever modification is made
to a bibliographic record (with the exception of the deletion of
fields 899 & 940) , add $dCSt to 040 field. If 040 field is
not present, add 040 field and $dCSt. (Note: modification made to
a call number does not require $dCSt, because the change is in the
call number information area, and not in the descriptive information
area).
Fixed fields
- Verify and correct only five fixed fields: Ctry, Lang, Dat
Tp, Date1 & Date2. Accept all other fixed fields with no
changes.
Record other than CIP
- Correct obvious tagging errors. see also 066 field policy
- Correct obvious typographical errors. If the typographical
error appears in the descriptive portion (i.e. 245 through 4xx
fields), correct the typo to match the book.
Field
246 (Variant title)
- Add 246 field only in the following 3 instances a, b, &
c. In all cases, do not include initial articles in 246, and
do not supply a punctuation mark at the end of the 246 field.
- Add field 246 , indicators 3_, for title with the
spelled out "&" in the language of the text, if the record
fails to supply the spelled out form in either 740 or 246
field and if the "&" occurs in the first 5 words of the
title.
Example:
245:10:Construction & demolition debris recycling program
/ ...
246:3_:Construction and demolition debris recycling program
- Add field 246, indicators 30, for subtitle if the
record fails to supply the subtitle in either a 740 or 246
and if the title proper (245 $a) is generic or non-descriptive
(i.e., "Report," etc.)
Example:
245:00:Final report :$b environmental factors of recycled paper
manufacturing / ...
246:30:Environmental factors of recycled paper manufacturing
- Add field 246, indicators 31, for parallel title
if the record fails to supply the parallel title in either
a 740 or 246 field.
Example:
245:00:Japan report = $b Nihon.
246:31:Nihon
Field
4xx (series)
- If the bibliographic record is missing the series statement,
supply a 440 as it is on the piece, unless it is a generic series
statement, such as, bulletin or publication. In that case it
will be necessary to search the authority file in Symphony. If
not found in the authority file, search Symphony for a serial
record. If the series has still not been found, input it as
it is on the piece in a 440. If found, input a 490 and an 830
as in the example below:
Example:
490:1_ :Bulletin ;$vno. 8
(1 is in first indicator position, and there is no period at the
end)
830:_0:Bulletin (American Association
for Agricultural Legislation) ;$vno. 8.
(0 is in the second indicator position, and there is a period at
the end)
- If the bibliographic record has a series statement, but the
book does not, do NOT delete the series statement. The book
and the record do not match.
Field
590 (local note field)
- If note does not apply to item-in-hand, delete.
CIP record
In addition to making modifications for fields that are mentioned
above, also for:
- field 245, $a and $b edit title to match
item in hand if it differs AND you are sure that it is the same
item (i.e. lccn, isbn, other fields correspond) (e.g. you may
need to flip $a and $b portions of title to attain exact match)
- Field 260, $c Since it is common for CIP records to
have the imprint date off by one year, if you are sure that
it is the same item, change the year in 260 and the Date field.
The date in call number should also be changed accordingly in
the call number information area. (do not change call no. in
050).
- Field 263 (Projected Publication Date) - Retain.
- Field 300, $a supply last numbered page.
- If the book has complicated or irregular paging, input in
300 field: 1 v. (various pagings)
- Field 4xx supply missing series and/or missing volume
number. If the record has a series statement, but the book does
not, delete the series statement from the record.
Processing:
Once you have determined that the Symphony record (whether existing
or imported) meets all the criteria for copy cataloging please make
sure that the following final steps are taken:
- Create a volume/copy segment in Symphony
- Change the date cataloged field to TODAY
- Add a 910
routing note in the bibliographic record following unit guidelines.
- Route the item to the next processing location
Last modified:
July 7, 2006 |
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