NEH Baldwin Phase 2

NEH Baldwin Project Monograph Cataloging Procedure

Overall Workflow | Staffing and Responsibilities | Procedure | Search Aleph | Search OCLC | Sorting, Distributing and Delivering | Copy Cataloging | Holdings and Items | Authority Verification | Create Authority Records | Adds | Baldwin Brief Record | Duplicate Baldwin Brief Record | Original Cataloging I Bound/Published withs | LTQF Records (Electronic Version) | Statistics | Baldwin Subjects and GenreTerms | Engravers, Illustrators and Lithographers | Additional access - 730&740

This procedure is to be used for cataloging 19^th and early 20^th century Baldwin collection only.

Overall Workflow of Entire Project

Special Collections/Baldwin

    Baldwin Curator - selects materials (80-100 titles a week)

    Baldwin student worker - inserts flags with barcodes and location codes

To Cataloging

    Library Associate or Library Assistant - Retrieves cart from Baldwin and checks packing slip

    Library Assistant - searches databases, downloads records, sorts into copy or original cataloging

    Library Associate - performs copy cataloging, assists in original cataloging, backs up Library Assistant

    Original Cataloger - performs original cataloging, reviews Library Associate's work, maintains statistics

    Original Cataloger Supervisor - reviews Original Cataloger's work, submits statistics

    Library Associate or Library Assistant - collects cataloged materials, creates two packing lists:

        ***If books have no color: Books sent back to Special Collections with packing list where they are checked in and reshelved by the Spec. Coll. student

        ***If books have color: Books sent to Conservation with packing list

To Conservation

    Conservation - Inspects books for damage, orders protective boxes as needed, sends books to the Digital Library Center

To Digital Library Center

    Digital Library Center - Scans books and sends to Conservation

To Conservation

    Conservation - Inspects books for damage, returns books to Baldwin

To Special Collections/Baldwin

    Baldwin student worker - Checks in books, returns books to shelves

Staffing and Responsibilities

   Library Assistant: Searches Aleph / OCLC; prepares and sorts according to cataloging record type and distributes to Library Associate and Original Cataloger

   Library Associate : Receives new Baldwin materials. Performs copy cataloging; cooperative original cataloging, (review by Project Cataloger); creates authority records (review by Project Cataloger)

   Original Cataloger: Performs original cataloging; creates authority records; reviews Library Associate’s work; compiles project statistics; supervises Library Associate and Library Assistant

   All project staff: Verify all access; maintain monthly statistics

   Baldwin Catalog Librarian: Head of Special Collections and Humanities Cataloging Unit.

Consultation and training of project staff

   Baldwin Curator: Rita Smith, Co-director of project; selects materials to be cataloged and directs a student worker to supply the books with barcodes

Procedure

I. Search Aleph – Search item by title. Be careful to look for multiple titles each volume. See Bound/Published-Withs: Step XII

   If full record in Aleph with other locations, treat as ADDS: Step VIII

   If at this point, the Library Assistant identifies Baldwin copy to be added to an existing Baldwin record, or a Baldwin copy to be added to another existing Aleph record, or has two copies of a book which needs either original cataloging or copy cataloging, the Library Assistant will note this on the flag or insert a pink “message” flag: Copy 2, etc. See Step VIII for definitions of ADDS and other information.

If no full record in Aleph, proceed to Step II: Search OCLC

II. Search OCLC via Connexion – Follow OCLC Searching /Best Copy Selection procedure. Pay special attention to the following: date of publication on t.p., t.p. verso, colophon, etc., publisher, and size (variations within 2 cm. in size and 10 p. in length allowed)

If OCLC record found:

   Update/Export record
   Overlay Baldwin brief record
   Edit/Create HOL, if necessary
   Create Item record

If OCLC record not found:

   Edit/Create HOL, if necessary
   Create Item record

   Place on “Original Cataloging” shelf
   Catalogers proceed to Step XI: Original Cataloging

III. Sorting, Distributing and Delivering

Separate items into Originals, Copy Cataloging and Adds and put on appropriate shelf or deliver to catalogers

Distribute items according to staff responsibilities

Return all completed volumes to locked storage case

Deliver to Conservation once a week (books with color to Digital Library and those without back to Baldwin)
    Place orange tag in any non color books needing special care and return to Baldwin

IV. Copy Cataloging - Edit records and adds local access points.

Generally follow the Local Descriptive Editing of Existing OCLC Monograph Copy procedure.

Baldwin copy cataloging exceptions and additions are below. Pay particular attention to the following:

   LitF (008 - place 33) = "f" for novel, "p" for poetry, "m" for mixed, "d" for play, "0" for non-fiction

   Audn (008 - place 22) = "j" for juvenile audience

Add the following fields to all Baldwin records:

   TKR: : |a (FU) bldnneh project yyyymm

       ~TKR: : |a (FU) bldnneh project 200410

   690: 4: |a Bldn |y   {subdivided by year of publication}

       ~690: 4: |a Bldn |y 1870.   {ends in period}

Date is from 260 subfield c. If you have a date range in 260, and Baldwin copy has an inscribed date, use the inscribed date in 690 as long as it falls within range of the OCLC record. Add a 500 note: Baldwin Library copy inscribed 1870. |5 FU (Copy specific note. See below)

Also, edit the following fields:

                        245   Add statement of responsibility, if lacking

                        300   Add 300, if lacking; add or correct all subfields in the 300, if necessary

260   No date - follow the steps below.

Look for an inscription with date. Use the date with brackets around it, [ca. 1870], [1874?]

            Add a 500 note indicating where you found the date:

            500: : |a Date of publication from inscription.
            500: : |a Date of publication based on date of preface: Dec. 29, 1877.
            500: : |a Baldwin Library copy date of publication based on bookseller's ms. note.
            500: : |a Approximate dates according to Brown, P.A. London publishers and printers, p.

Search Aleph for works by the same author and make an educated guess. If author wrote in the 1870's, input [ca. 1870] or [187-?]

Search OCLC for a different edition. Also search works by the same author and make an educated guess.

Consider searching RLIN and looking for records, especially by the American Antiquarian Society, MAAR.

Confer with Baldwin Catalog Librarian.

Be sure to also properly fill in the fixed fields for date of publication. Add additional 246 fields for varying forms of title. See Input Standards: 246 Varying Form of Title for complete list of varying titles.

Titles separated by "or" in 245 field (alternate title)

     245:14: |a The airship boys adrift, or, Saved by an aeroplane / |c by H. L. Sayler ; illustrated by J. O. Smith.

     246:30: |a Saved by an aeroplane

Title is different on cover

     246:14: |a Cameron MacBain, backwoodsman

Title is different on added title page

     246:15: |a Cameron MacBain, backwoodsman

500: : |a Added title page, engraved.

Title at head of title page

     246:1 : |i At head of title: |a Jackson Scholz.

Add other imprint information to 260 field:

Printer information found on title page, verso of title page, back of book

    260: : |a Boston ; |a New York : |b Houghton Mifflin Company, |c c1896 |e (Cambridge : |f The Riverside Press)

Two or more places of publication. Include the first two named places in U.S. or the first named place outside of U.S. plus one place in U.S.

    260: : |a New York ; |a Boston
    260: : |a London ; |a New York

No place of publication - follow the steps below:

     1. Search the publisher's name in Aleph. If other records with the same publisher have a place, use the same place with brackets around it.

     2. Search RLIN for related items

     3. Confer with Baldwin Catalog Librarian

Illustrations and illustrators - List of frequently used names

Baldwin copy has illustrations but no statement of responsibility on record—add statement of responsibility for illustrator. If no statement of responsibility for illustrator anywhere in item, add a 500 note. In this case, do not create a statement of responsibility in the 245 / |c

245: : ... / |c Joanna Green   {on t.p.}

500: : |a Illustrated by James McClintock. {engraving signed, but not on t.p.}

500: : |a Illustration signed by: James McClintock.

NOTE: If Baldwin copy has hand-colored (painted) illustrations (More on 655 terms below):

500: : |a Illustrations are hand-colored.
500: : |a Baldwin Library copy illustrations are hand-colored: probably by young owner. |5 FU
655: 7: |a Hand-colored illustrations |y yyyy. |2 local

Statement of responsibility on t.p.

245: : .... / |c by Rose Adams ; with illustration by Kathy Chapham.

Statement of responsibility on verso of t.p, or elsewhere

245: : ... / |c Bill Jacoby ; [illustrated by Ann Lee].

Do not make up statement of responsibility based on signature on a leaf of plates. This is per AACR2 rules.

Variations in 300 field

            300: : |a p. [45]-67 : |b ill ; |c cm.   {if does not start on page one}
            300: : |a 1 v. : |b ill ; |c cm. {various pagings}
            300: : |a 2 v. in 1 : |b ill ; |c cm. {paging not continuous}
            300: : |a 196, 150 p. : |b ill ; |c cm. {paging not continuous}

Baldwin copy has a leaf of plates or paging MISSING from book. Use a 500 |5 [Institution code] field to document copy specific features, such as pages lacking, signatures, binding, etc.

500: : |a Baldwin Library copy lacking leaf of plates. |5 FU
500: : |a Baldwin Library copy lacks p. 4-5. |5 FU
500: : |a Baldwin Library copy lacks p. 25-26 and p. 39 torn, affecting text. |5 FU
500: : |a Baldwin Library copy contains printing error: ---. |5 FU

500: : |a Pages printed on one side of leaf only.

Additional 500s field for general notes:

For other information on item

500: : |a "A Morrow book for young Americans"--Cover.

500: : |a Imprint from cover.
500: : |a Imprint from front wrapper. {or: Imprint from p.[1] of wrapper.}

500: : |a Factual material in a fictional framework.

Use 505 Content Note field for a collection of stories, if manageable number. The rule is up to 10 or 12, not more. As a rule, do not add 740 or 700 author/title fields for titles in the content note. Consult 730/740 list for special title access points, unique to Baldwin. Use cataloger’s judgment to add other title and author/title access points.

Additional 650 subject field(s) where necessary. See Subject List .

Additional appropriate 655 genre term fields such as:

                    655: 7: |a Bookplates (Provenance) |y 187 . |2 rbprov

Additional 7xx added entry fields for printers, publishers, engravers, stereotypers, lithographers, illustrators etc., beyond those on the national level cataloging copy, and a 752 for place of publication. End 7xx added entry fields with |4 and relator term:

Engravers

700:1 : |a Siberell, Ann. |4 egr
        500: : |a Engraved by ---.
        500: : |a Engraved by --- after ---.

Illustrators

     700:1 : |a Dunton, Herbert. |4 ill
        500: : |a Illustrations by ---.

Printers

     710:2 : |a R. Charles & Son. |4 prt

Publishers

     710:2 : |a Award Publications Limited. |4 pbl
        500: : |a Publisher's advertisements follow text.
        500: : |a Publishers' advertisements: p. [4] of wrapper

Add 740s and 700 (author/title) fields for Bound or Published Withs: Step XII

Add appropriate 730/740 uniform titles for classic tales and fairy tales.

Do not add 740s for titles collections of stories, where contents listed in 505

752 field information comes from the 260 and is formatted: 752 |a Country |b State, province, territory |c County, region, islands area |d City

752 |a United States |b Ohio |d Dublin.

752 |a England |d London.

752   |a United States |b Pennsylvania |d Philadelphia.

V. Holdings and Items - make the following changes, according to staff responsibilities

Create Holding record and Item record according to                                      http://web.uflib.ufl.edu/staff/g-langford/AlephHldgsItems.doc


VI. Authority Verification – Verify all names and series following local procedures. Check for series treatment and trace (or not) the series (may be a 490/800).

VII. Create Authority Records

After verifying authorities and validating the record, the Original Cataloger and Library Associate will create series, personal names, and corporate names authority records, in consultation with the Catalog Librarian and the NACO librarian. Original Cataloger will review the Library Associate’s work. Authorities will be submitted to NACO after consultation with NACO Librarian.

VIII. Adds/Copies — Definition and Procedures

The Baldwin Curator will try to weed these out before they come to the Project Catalogers.

Titles to be added to other non-Baldwin records as copy 2. Give to Library Associate for adding bldn location and copy cataloging. Follow procedure for Deletion of Baldwin Brief Record: Steps IX and X

Titles to be added as additional Baldwin copies (c. 2, etc.) to Baldwin records.

Volumes to be added to incomplete sets on Baldwin and non-Baldwin records.

Two or more copies discovered during original search by Library Assistant. Give to Original Cataloger. She will select volumes to be scanned. Library Assistant will do re-linking, deleting Baldwin brief records and then sends select volumes to original cataloger for final cataloging.

If applicable, generally follow Monographic Copy Adds and Monographic Volume Adds procedures.

Add local access points as in Copy Cataloging: Step IV

To mark duplicate Baldwin brief records go to Duplicate Records: Step X

Accession numbers that are freed up as a result, will be reassigned to another title by Baldwin Curator.

IX. Baldwin Brief Record – Use Baldwin brief record for original cataloging and overlaying with shared copy. For Adds, delete Baldwin brief record and proceed to next step.


X. Duplicate Baldwin Brief Provisional Record – To mark duplicate Baldwin brief record for deletion, identify the duplicate record and proceed with the following steps:

Deleting Items
All cataloging staff have permissions that allow item deletion. To delete an item, highlight the item in the Item List window and click the Delete button. Be careful to choose the correct item from the list. Students do not have permission to delete items.

Deleting Holdings
Cataloging supervisors, Authorities staff, and Database Maintenance staff have permissions that allow holdings deletion. To delete a holding, retrieve the holding and type Ctrl+R (or Edit--Delete--Delete record from server). If there are items attached, you will be prompted to delete the items before deleting the holding. Cataloging staff should add the following to the holding: STA SUPPRESSED and an 852 $x non-public note explaining why the holding should be deleted (e.g., created in error). Notify a supervisor to delete the holding.

Deleting Bibs
Cataloging supervisors, Authorities staff, and Database Maintenance staff have permissions that allow Bib deletion. However, due to parameters for tapeloading our records to RLIN, the staff do not physically delete records. RLIN needs the BIB record to delete the record from its system.

Cataloging staff should add the following to the Bib: STA SUPPRESSED and a 599 note explaining why the bib should be deleted (e.g., duplicate). Notify a supervisor to change the status to DELETED and LDR/05 Record Status to "d".

Database Maintenance staff delete the coded records at the end of each month.

XI. Original Cataloging - Follow Original Cataloging Procedure for Monographs.

Additional guidelines for assigning date of publication when no date of publication in book:

Make decisions on your own as much as possible. The examples below are not meant to be exhaustive. For general guidelines, consult AACR2Rev., p. 40-41.

If it is a London publisher or printer and you have no inscribed date, first step is to consult P. Brown’s London Publishers and Printers, c. 1800-1870, which provides lists of publishers and printers, variant names, and the addresses out which they worked for specific time periods. Use the following guidelines:

If the dates you find are a range of dates and within ten years, use these dates:

260: : ... ; |c [between 1846 and 1855]

Fixed fields in OCLC = D/CODE q DT/1 1876 DT/2 1885

008 in Aleph = place 06 - q, 07-10 - 1876, 11-14 - 1885

500: : |a Approximate dates according to Brown, P.A. London publishers and printers, p.

Choose middle date for 690: 4: Bldn |y1880 and 655 |y 1880.

If the information in Brown is beyond the range of ten years, make the best guess using the other methods suggested below. Add question mark to the date in |c 260, not in 690 or 655. And do not use “ca.” in either the 690 or 655

If you have an inscribed date, but a question still remains, still consult Brown to locate the date a publisher was at that particular address. In this case, do the following:

If the inscription fits the date range in Brown, use the inscribed date with a question mark and add a 500 note. Do not use a question mark in the 690 or 655.

If the inscribed date is later than the Brown range, use the Brown range and follow instructions above.

Search Aleph for works by the same author and make an educated guess. If an author wrote works from 1856 to 1864, use [ca. 1860] or [185-?]; use OCLC in the same way.

If you have publishers’ advertisements in the book, search on some of the titles for an approximate date of publication in hand.

Pay particular attention to adding local access points as in Step IV. Copy Cataloging.

Add appropriate 6XX and 655 fields.

XII. Bound or Published-Withs

Definition: Either separately published titles that were bound and issued together afterwards by publisher in a separate edition, or privately bound together after publication by owner

When an Library Assistant comes across a “Bound or Published With” with several titles in it for which there are no brief records, search for copy. If found, print out, mark “Bound with”, and insert in book. Give to Original Cataloger and Library Associate.

General guidelines for Original Cataloger and Library Associate:

All “Bound Withs” issued by a publisher without collective title will be cataloged on separate bibliographic records per AACR2 rule 1.1G2

All “Bound Withs” issued by a publisher with a collective title will be cataloged on one bibliographic record. (ask Erich?)

Create a new bibliographic record for titles without brief records, and which are not being added as another copy to another record in Aleph or as an added Baldwin copy: step VIII

501 Use a 501 With: note on each record to indicate other “bound with” titles. The two works in the example below, bound together in one vol. by a commercial publisher, without collective title, have an equivalent 501 on each of their records.

Record #1—501: : |a With: Of the sister arts / H. Jacob. New York : [s.n.], 1856.

Record #2—501: : |a With: Sequel to Of the sister arts / H. Jacob. New York : Brown & Co., 1864.

Refer to AACR2Rev for information on works with collective title pages, works without collective title pages, separate title pages, &c.

If titles privately bound together by owner of a book, do not use the 501, but use a local copy specific note:

          500: : |a Baldwin Library copy bound with: --- |5 FU.

Do not give all bibliographic information as in the 501, just title and author, for up to three titles. If four or more, give first title and add “and 3 (4, etc.) other titles.”

500: : |a Baldwin Library copy bound with: Uncle Tom’s Cabin / H.B. Stowe. Slavery defeated / William Watts. Rosebud / A lady. |5 FU

500: : |a Baldwin Library copy bound with: Green acres / T.G. Barr, and four other titles. |5 FU

Add 700 and 740:02: author/title entries for “Bound /published with” titles.

XIII. LTQF records (electronic version) – The Digital Library Center staff will derive the paper records into LTQF. These will be the records for the electronic version of the Baldwin records. After each title has been filmed and scanned per project requirements, and mounted on the project’s website, FCLA will provide the project with the LTQF ID numbers, and catalogers or other staff will edit the paper and electronic record following the PALMM Collections Cataloging Procedures

XIV. Statistics

Each cataloger will keep production statistics. At the end of the month, they will be given to the Project Cataloger who will compile them and submit them to Rita Smith and Betsy Simpson. It is very important that the statistics be accurate since the success of the project will depend on it reaching its goals.

Since the volume count for this collection was never added to the overall Library statistics, please also keep count of the physical volumes you add in the appropriate “Volumes” column on the statistics sheet.

NEH Phase 2 Statistics.

NEH Phase 3 Statistics.

XV. Additional lists - Baldwin Subjects, Genre Terms, Illustrators, Engravers, Lithographers, Additional Access

These are the subjects used in Phase 1 - 3 (1850-1903) of the NEH project.

These are the engravers, illustrators, and lithographers used in Phase 1 - 3 (1850-1903) of the NEH project.

And the stories to be given access in 730 & 740 fields.

Indexed: Baldwin Library Collection: NEH Baldwin Project - Monograph Cataloging Procedure
                NEH Baldwin Project - Monograph Cataloging Procedure

Prepared by: Rita Smith, Tatiana Barr, and Jane Anne Carey