Catalog It!: A Guide to Cataloging School Library Materials 1440835802, 9781440835803

Table of contents :
Title
Copyright
Dedication
Contents
Preface to the Third Edition
Acknowledgments
Chapter 1: A Brief History of Cataloging
Introduction
Functions of the Library
The Ancient Past
Modern Times
Anglo-American Cataloguing Rules (AACR)
Resource Description and Access (RDA)
Creating the Catalog
MARC Records
Sharing Surrogate Records
Conclusion
Notes
Chapter 2: Copy Cataloging and Cataloger’s Resources
Introduction
Databases
The Granddaddy of Them All
Other Free Databases
Programs
Online Cataloging Help
Conclusion
Chapter 3: Introducing MARC Concepts
Introduction
MARC and ILS Platforms
MARC Structure
Leader (Field 000)
Directory
Variable Fields
An Overview of the MARC Fields
Conclusion
Notes
Introduction to Chapters 4 through 7
AACR, RDA, and MARC
AACR and Areas of Description
RDA and WEMI
MARC Help
Notes
Chapter 4: Intellectual Access—Subject Headings
Introduction
Subject Headings vs. Keyword Access
Sears List of Subject Headings, Library of Congress Subject Headings, and BISAC Subject Headings List
A Little Historical Background
The Comparison
The Electronic LCSH
Basic Structure of Sears and LCSH
Headings and Subdivisions
BISAC Subject Headings List Structure
The MARC Format: 6XX Fields
600 Field: Personal Name Heading
650 Field: Topical Heading
651 Field: Geographic Heading
610 Field: Corporate Name Heading
611 Field: Meeting Name Heading
655 Field: Genre Heading
658 Field: Curriculum Objectives
690 Field: Local Headings
How Do I Know How Many Subject Headings to Add?
Conclusion
Notes
Chapter 5: Intellectual Access—Classification
Introduction
Organization of Information
The Bookstore (BISAC) and Metis Models
Dewey Decimal Classification
Application
Building a Number
How Long Should a Number Be?
On Famous People, Folklore, Fiction, and Other Classification Conundrums
Biographies
Folklore
Fiction
Story Collections
Graphic Novels
Equipment
Application of DDC15 in the MARC Format
Creating Call Numbers
Conclusion
Notes
Chapter 6: Access Points
Introduction
Tying Together the Past and the Present
Title and Statement of Responsibility (Fields 245 & 246)
245 Field: Title and Statement of Responsibility
246 Field: Varying Form of Title
Main Access Point Fields (1XX) and Added Access Point Fields (7XX)
100 and 700 Fields: Personal Name Entries
110 and 710 Fields: Corporate Name Entries
Conclusion
Chapter 7: RDA—Physical Description Fields & Coded Data
Introduction
Number and Coded Fields: Fields 01X–04X
Variable Data Fields
Edition: Field 250
Publication, Distribution, etc.: Fields 260 & 264
Physical Description: Field 300
Other Physical Characteristics: Fields 336, 337, 338
Series Statement – Fields 490/8XX
Notes – Fields 5XX
Additional Cataloging Considerations
Equipment
Periodicals
Creating New Records
Conclusion
Notes
Chapter 8: The Future of Cataloging
Introduction
The Death of MARC
Effects of Metadata on Cataloging
Bibliographic Framework
Conclusion
Notes
Chapter 9: Processing Information Packages
Introduction
Labels
Packaging
Placement on the Shelf
Conclusion
Appendix I: Hint Sheet
Appendix II: MARC Template
Appendix III: Answers to the Exercises
Chapter 4: Intellectual Access – Subject Headings
Personal Name Heading Exercises
Topical Subject Heading Exercises
Geographic Subject Heading Exercises
Corporate Name Subject Heading Exercises
Chapter 5: Intellectual Access – Classification Exercises
First Summary Tables
Numbers into MARC Format
Create Full Numbers
Chapter 6: Name/Title Access Points Exercises
245 Field Exercises
246 Field Exercises
100 and 700 Fields Exercises
110 and 710 Fields Exercises
Summary of Title and Statement of Responsibility Fields
Chapter 7: Physical Descriptions Exercises
041 Field Exercises
043 Field Exercises
260/264 Fields Exercises
300 Field Exercises
336, 337, 338 Fields Exercises
490/8XX Fields Exercises
5XX Fields Exercises
Glossary
Index

Citation preview

Catalog It!

Catalog It! A Guide to Cataloging School Library Materials Third Edition Allison G. Kaplan

        Copyright © 2016 by ABC-CLIO, LLC All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, except for the inclusion of brief quotations in a review, without prior permission in writing from the publisher. Library of Congress Cataloging-in-Publication Data Names: Kaplan, Allison G., author. Title: Catalog it! : a guide to cataloging school library materials / Allison G. Kaplan. Description: Third edition. | Santa Barbara, CA : Libraries Unlimited, [2016] | Includes bibliographical references and index. Identifiers: LCCN 2015031399| ISBN 9781440835803 (paperback) | ISBN 9781440835810 (ebook) Subjects: LCSH: Cataloging—Handbooks, manuals, etc. | School libraries. | BISAC: LANGUAGE ARTS & DISCIPLINES / Library & Information Science / Cataloging & Classification. | LANGUAGE ARTS & DISCIPLINES / Library & Information Science / School Media. Classification: LCC Z693 .K28 2016 | DDC 025.3—dc23 LC record available at http://lccn.loc.gov/2015031399 ISBN: 978-1-4408-3580-3 EISBN: 978-1-4408-3581-0 20 19 18 17 16 1 2 3 4 5 This book is also available on the World Wide Web as an eBook. Visit www.abc-clio.com for details.

Libraries Unlimited An Imprint of ABC-CLIO, LLC ABC-CLIO, LLC 130 Cremona Drive, P.O. Box 1911 Santa Barbara, California 93116-1911 This book is printed on acid-free paper Manufactured in the United States of America Excerpts from the Dewey Decimal Classification are taken from the Dewey Decimal Classification and Relative Index, Edition 23 which is Copyright 2011 OCLC Online Computer Library Center, Inc. Used with Permission. DDC, Dewey, Dewey Decimal Classification and WebDewey are registered trademarks of OCLC Online Computer Library Center, Inc.

Even more than for previous editions, I dedicate this edition to the school librarians who deal with thorny cataloging problems. And of course to David, Rebekah, and Hannah. And finally to Chester the cat: this book took much longer to write because you are no longer here to sit on my keyboard.

Contents   Preface to the Third Edition Acknowledgments Chapter 1: A Brief History of Cataloging Introduction Functions of the Library The Ancient Past Modern Times Anglo-American Cataloguing Rules (AACR) Resource Description and Access (RDA) Creating the Catalog MARC Records Sharing Surrogate Records Conclusion Notes Chapter 2: Copy Cataloging and Cataloger’s Resources Introduction Databases The Granddaddy of Them All Other Free Databases Programs Online Cataloging Help Conclusion Chapter 3: Introducing MARC Concepts Introduction MARC and ILS Platforms

MARC Structure Leader (Field 000) Directory Variable Fields An Overview of the MARC Fields Conclusion Notes

Introduction to Chapters 4 through 7 AACR, RDA, and MARC AACR and Areas of Description RDA and WEMI MARC Help Notes Chapter 4: Intellectual Access—Subject Headings Introduction Subject Headings vs. Keyword Access Sears List of Subject Headings, Library of Congress Subject Headings, and BISAC Subject Headings List A Little Historical Background The Comparison The Electronic LCSH Basic Structure of Sears and LCSH Headings and Subdivisions BISAC Subject Headings List Structure The MARC Format: 6XX Fields 600 Field: Personal Name Heading 650 Field: Topical Heading 651 Field: Geographic Heading 610 Field: Corporate Name Heading 611 Field: Meeting Name Heading 655 Field: Genre Heading 658 Field: Curriculum Objectives 690 Field: Local Headings

How Do I Know How Many Subject Headings to Add? Conclusion Notes

Chapter 5: Intellectual Access—Classification Introduction Organization of Information The Bookstore (BISAC) and Metis Models Dewey Decimal Classification Application Building a Number How Long Should a Number Be? On Famous People, Folklore, Fiction, and Other Classification Conundrums Biographies Folklore Fiction Story Collections Graphic Novels Equipment Application of DDC15 in the MARC Format Creating Call Numbers Conclusion Notes Chapter 6: Access Points Introduction Tying Together the Past and the Present Title and Statement of Responsibility (Fields 245 & 246) 245 Field: Title and Statement of Responsibility 246 Field: Varying Form of Title Main Access Point Fields (1XX) and Added Access Point Fields (7XX)

100 and 700 Fields: Personal Name Entries 110 and 710 Fields: Corporate Name Entries Conclusion

Chapter 7: RDA—Physical Description Fields & Coded Data Introduction Number and Coded Fields: Fields 01X–04X Variable Data Fields Edition: Field 250 Publication, Distribution, etc.: Fields 260 & 264 Physical Description: Field 300 Other Physical Characteristics: Fields 336, 337, 338 Series Statement – Fields 490/8XX Notes – Fields 5XX Additional Cataloging Considerations Equipment Periodicals Creating New Records Conclusion Notes Chapter 8: The Future of Cataloging Introduction The Death of MARC Effects of Metadata on Cataloging Bibliographic Framework Conclusion Notes Chapter 9: Processing Information Packages Introduction Labels Packaging

Placement on the Shelf Conclusion

Appendix I: Hint Sheet Appendix II: MARC Template Appendix III: Answers to the Exercises Chapter 4: Intellectual Access – Subject Headings Personal Name Heading Exercises Topical Subject Heading Exercises Geographic Subject Heading Exercises Corporate Name Subject Heading Exercises Chapter 5: Intellectual Access – Classification Exercises First Summary Tables Numbers into MARC Format Create Full Numbers Chapter 6: Name/Title Access Points Exercises 245 Field Exercises 246 Field Exercises 100 and 700 Fields Exercises 110 and 710 Fields Exercises Summary of Title and Statement of Responsibility Fields Chapter 7: Physical Descriptions Exercises 041 Field Exercises 043 Field Exercises 260/264 Fields Exercises 300 Field Exercises 336, 337, 338 Fields Exercises 490/8XX Fields Exercises 5XX Fields Exercises Glossary Index

Illustrations   Figure 3.1 Example of a Variable Field Figure 3.2 The Table of Contents for the MARC21 Bibliographic Fields Figure 4.1 Example of Part of a Surrogate Record for the Book Teammates Figure 4.2 Results of the Subject Search “Spiders” on the LC Authorities Database Figure 4.3 List of the LC Subject Headings Related to “Spiders” Figure 4.4 Authority Record for the LCSH Term “Spiders” Figure 4.5 Labelled Display for the LCSH Term “Spiders” Figure 4.6 Example of the Topic of Football Using the BISAC Subject Heading List Figure 5.1 The 26 Categories of Metis Figure 5.2 Application of Metis Classification Figure 5.3 DDC Table 1. Standard Subdivisions Figure 6.1 Flow Chart for the Structure of the 245 Field Figure 8.1 Library of Congress BIBFRAME

Preface to the Third Edition

I

believe that cataloging is even more important today than it may have ever been for school libraries. Collections in the broadest sense of the word are larger now than they have been in the past, because they encompass so many different material types. Further, in the cataloging world itself, professionals wrestle with control of this variety of material types. The result to date is the practice of thinking about not cataloging an “item” but rather, cataloging “ideas.” This is a complicated concept. In cataloging “ideas,” or to be more correct, expressions of works, linked data is the order of the day. As such, this edition of Catalog It! begins where the previous edition ended, with the future of cataloging. That is to say, the future is now, and school librarians and the vendors that provide the integrated library systems must face the future—and face it today. In teaching cataloging, I always ask my students what they know about “cataloging” and what do they hope to get out of the class. Invariably, there are students who are simply afraid of the idea of a cataloging class. There seems to be a sinister mystery about cataloging, with its fields and punctuation that makes folks either afraid of it or engrossed by it. Seldom is there a midpoint feeling of indifference. My hope is that from this book, you (the reader, the student, the lifelong learner) will develop a comfort level with the ideas presented herein. Will you be ready to be a professional cataloger? Probably not—but I do hope that you will be able to come to terms with cataloging principles. I hope that this text provides you with the information you need to make informed decisions about the catalog for your collection. I hope that you will be able to talk with your

catalog and book vendors about the system and cataloging they are providing. Finally, I hope that you will go beyond this book. I hope that you will start reading articles about cataloging so you can keep up with the rapid changes going on in this part of the library profession. With that in mind, in this edition we say goodbye to our beloved (or sometimes not so beloved) AACR2. I will discuss AACR and present examples of old cataloging as needed, but our focus will be the rules of Resource Description and Access (RDA). RDA is not as prescriptive as AACR was, and I think school librarians will come to appreciate the freedom that RDA provides to the cataloger. To those librarians who thrive on linked data, you too will find a happy connection to RDA, with perhaps some relief. I believe you will come to embrace the theory of connecting creators to versions of works that is the foundation of RDA. Here, then, is the structure of this text: We have to start with historical review (Chapter 1) so that, as the saying goes, we are not doomed to repeat it. Following a brief history, we will explore the resources available to help us with the cataloging process (Chapter 2) and then explore the structure of MARC (Chapter 3). From there we go into the nuts and bolts for providing access and creating descriptions. Chapters 4, 5, and 6 provide information on creating access points through subject headings, classification, and title and creator, respectively. Chapter 7 will present information on describing the physical aspects of the item. Throughout chapters 4 through 7, examples, including many non-book examples, will be presented to illustrate the application of RDA standards and MARC format rules. We conclude the text with a brief look at the future of cataloging formats in Chapter 8 and on processing items in Chapter 9. Cataloging templates, a glossary, and keys to the chapter exercises are provided in the appendices. One more technical point to cover before we move on to the text: over the years, the professional running the place with research and leisure-reading resources to support

the curriculum in the school has had a variety of titles including “librarian,” “media specialist,” “library media technology specialist,” and so on. The American Association of School Librarians (AASL) uses the phrase “school librarian” to refer to that professional. Additionally, AASL uses the phrase “school library” to refer to the facility that houses the library collection. Therefore, throughout this text, I too shall use those phrases for the professional and the facility. Happy cataloging!

Acknowledgments  

A

s the world of cataloging is exploding and now that I am no longer a cataloger myself, I have come to rely on the knowledge and expertise of my fellow cataloging instructors, including those who don’t teach “cataloging.” To my University of Wisconsin–Madison colleagues Debra Shapiro, Dorothea Salo, Victor Gorodinsky, and Kyung-Sun Kim, and to Allyson Carlyle at the University of Washington, I wish to express my gratitude for their time in allaying my concerns about this RDA business. New approaches to old practices are always confusing and fraught with contention and tension. Patience truly has been a virtue over these past years, preparing for implementation of RDA. I could not have even attempted a third edition if not for the workshops offered by members of the Library of Congress and the RDA committees through webinars and at various American Library Association annual and midwinter conferences. I also wish to thank my editor at Libraries Unlimited, Sharon Coatney, for her infinite patience with this revision. I don’t think either one of us truly appreciated the magnitude of this new edition; I literally changed text on every single page from the second edition. I would like to acknowledge my co-author from the first and second editions of this book, Ann Marlow Riedling. The first edition would never have come to fruition without her assistance, and while our paths have diverged, that hot summer day stuck on a bus in Israel is a fixed memory leading me to continue to work on this text. I would like to thank Anjali Bhasin, Librarian for the University of Wisconsin–Madison School of Library and Information Studies Library, and her student assistants, especially Kaitlin Svabek, for their assistance with the

figures in this text as well as their immediate and always cheerful responses to my “I need this information right now” calls for help. Finally, I wish to acknowledge students in the University of Wisconsin System School Library Education Consortium (UWSSLEC), who had no idea what it would be like to explore this social sport called cataloging with me. I appreciate their patience and generosity in responding to my requests for revision suggestions. I hope this edition provides you all with the cataloging answers you seek.

Chapter 1 A Brief History of Cataloging Introduction

F

rom the time knowledge became greater than one person could accurately store and recall mentally, humans have sought ways of organizing and storing information. Why do we have this need? For the most part, we do this so that we can easily and efficiently retrieve and access specific information. True, there are those of us who happily exist in cluttered and chaotic environments, but to make the best use of information it should be well organized and easily accessible. In the past, “access” in libraries has been defined through the use of an intermediary. Historically the intermediary was the librarian. With the explosion of the publishing industry, the librarian needed some help. That help came in the form of the catalog. So for hundreds of years, when we talked about access to information, we were mostly referring to accessing a reference to the information via the use of a catalog of some sort. It’s important to understand that access was not to the information itself, but rather, to a citation that would then lead us to the resource, and that the resource was usually a book. Today we might say “information package” as a phrase to refer to anything

that needs retrieving be that a book, magazine, or website. The foundation of the cataloging profession—finding a resource by knowing the author, title, or topic—is based on the organization of information of data about an item that is recorded in a reference source, or catalog, which in turn provides us a way, usually through a classification number, to the item itself. A simple definition of cataloging is: the organization of information about information packages (items such as DVDs, books, etc.) so that the items are easily retrievable. The resource, or catalog, created in the process of cataloging will contain some kind of description that makes the item being described accessible to a user, through a variety of access points. In other words, to catalog is to organize and make retrievable information. The resulting record of this organization can take many forms: a book, a catalog card, or a computerized database. This chapter will provide a brief exploration into the ideas and concepts of cataloging within a historical context.

Functions of the Library Consider the foundational services of a library: to collect, to organize, and to disseminate. In order to create a collection, one must select and obtain materials; this is known as collection development or acquisitions. In larger libraries this is often a department unto itself. For school librarians, the act of acquiring materials consists of searching through the various journals, catalogs, and reviews; and, most importantly, working with and obtaining recommendations from classroom teachers and students; thus ensuring that the library materials accurately reflect the academic and leisure reading and information needs of the learning community.

To disseminate information is to get the information to the user. Traditionally, one may think of this as circulation. However, dissemination covers all aspects of the flow of information from checking out a book to teaching a student, class, or classroom teacher how to get the most out of electronic resources. Instruction belongs in this category because the goal is to move information from the source to the user. To facilitate that process, we depend on how information is organized. Organizing information means describing and classifying it; in other words, cataloging it. Typically library collections are too large for a single librarian to know the content and location of every information package. Even if it were a small enough collection, the goal of making patrons independent users of the collection is thwarted if users must rely on the memory of a single person. Equally important as access of print material is access to electronic materials, which also benefit from some kind of organization. Thus the systematic and standardized organization of the library collection becomes the foundation of the library itself.

The Ancient Past Even before the establishment of the great library of Alexandria, before Benjamin Franklin founded the Library Company of Philadelphia, and before Melville Dewey divided knowledge into 10 classes, people were devising ways to organize and retrieve information; that is, they developed cataloging systems. Ancient peoples organized tablets using the incipit, first lines, of the tablets. More than 5,000 years ago, in the ancient Mesopotamian city of Ur, catalogers used key words from the first two lines of the text and imprinted these words on the ends of the clay tablets. The tablets were

stored in such a way that these ends could be browsed and the information (that is, the right tablet) retrieved.1 As time passed and technology advanced, more elaborate ways of controlling information access were created. In ancient China, materials were arranged according to literary quality. Scrolls of the lowest quality were hung on lacquer rods, and the highest-quality scrolls on fine red-glazed rods.2 By the fifteenth and sixteenth

centuries, private libraries in Europe grew to such extents that some nobles hired their own librarians. These librarians created catalogs of the private holdings and used the catalogs for collection purposes. They would also often travel great distances to purchase books for their masters.3 These early private libraries were a source of pride for their owners and a sign of vast wealth. The early librarians took immense satisfaction in knowing not only the titles in the entire collection, but also much of the content within those titles. As printed information became easier to produce and store and as libraries took on more and more important roles in society, it became critical to create efficient standardized systems for organizing and retrieving information.

Modern Times The rules and ideas that guide catalogers today came from ideas expressed in the later part of the nineteenth century and formalized in the early part of the twentieth century. In her book, Introduction to Cataloging and Classification,4 Lois

Mai Chan offers a description and explanation of the development of cataloging standards that is summarized in this section. In 1839, Sir Anthony Panizzi developed a cataloging code for the British Museum. “Panizzi’s 91 Rules” formed the

first of the modern-day cataloging codes. Charles C. Jewett of the Smithsonian Institution followed Panizzi’s lead, and in 1853, he developed 33 rules based on Panizzi’s 91 Rules. Jewett developed what is considered the first attempt to codify subject headings. He also proposed “stereotyped” cataloging entries in order to facilitate cooperative and centralized cataloging. (“Stereotyped” cataloging is defined in the section “Creating the Catalog.”) Charles Ammi Cutter, then head librarian at the Boston Athenæum library, published Rules for a Printed Dictionary Catalog in 1876. In this work, Cutter defined 369 rules for descriptive and subject cataloging and for card filing. This became the basis for the dictionary or alphabetical catalog, that is, entries arranged alphabetically regardless of subject relationship. (The other type of catalog is the classified catalog, which is arranged by classification number, as in shelf list catalogs.) Cutter proposed three objectives of the catalog and the means to achieve the objectives (which he called “objects”). These objectives are still evidenced in cataloging rules today.

Cutter’s statement of objects of the catalog and means for attaining them.5 Objects 1. To enable a person to find a book of which either:

2. To show what the library has: a) by a given author b) on a given subject c) in a given kind of literature 3. To assist in the choice of a book: a) as to its edition (bibliographically) b) as to its character (literary or topical) Means 1. Author entry with the necessary references (for 1a and 2a) 2. Title entry or title reference (for 1b)

3. Subject entry, cross-references, and classed subject table (for 1c and 2b) 4. Form entry and language entry (for 2c) 5. Giving edition and imprint, with notes when necessary (for 3a) 6. Notes (for 3b)

Standards in cataloging blossomed in the twentieth century despite complaints that changes in standards created havoc for librarians who would have to update older records in their catalogs to keep their records current and accurate. The first joint effort of creating standard cataloging rules between the United States and British librarians was published in 1908. Unfortunately, the two countries could not come to a complete agreement regarding the rules; thus two versions of the rules, British and American, were published. Known in the United States as Catalog Rules: Author and Title Entries, the publication was 88 pages in length, omitted subject headings, and largely ignored the needs of smaller libraries. Thirty years later, agreements to revise the rules were preempted by the onset of World War II. Nevertheless, the American Library Association (ALA) produced a 408-page elaboration of the 1908 rules in 1941. Referred to as the “ALA Draft,” these rules divided cataloging into two parts: 1) entry and headings and 2) description. The precise instructions for cataloging were criticized for being too legalistic (a complaint often echoed by beginning catalogers regarding the current rules). Paths diverged again, this time only in America, when, in 1949, the Library of Congress and ALA both published separate cataloging rules. These two works formed the basis of the Anglo-American Cataloguing Rules. If Panizzi and Cutter laid the foundation, it was Seymour Lubetzky who built the framework for the current standardized cataloging rules. In Cataloging Rules and Principles, Lubetzky criticized the 1949 rules as long and confusing and offered instead a cataloging proposal based on two objectives:

The first objective is to enable the user of the catalog to determine readily whether or not the library has the book he wants … the second objective is to reveal to the user of the catalog, under one form of the author’s name, what works the library has by a given author and what editions or translations of a given work.6

Anglo-American Cataloguing Rules (AACR) In 1961, 53 countries and 12 associations met in Paris for the International Conference on Cataloguing Principles. Basing their work on an unpublished manuscript of Lubetzky’s, the result of the conference became known as “Paris Principles.” Focusing on descriptions based on title page information and standardization of the concept of authorship, this report represented a breakthrough in international cataloging standards. In 1967, the first edition of AACR was published. It incorporated the Paris Principles (which dealt mostly with entry and authorship) and the 1949 Library of Congress standards for descriptive cataloging. However, this edition of AACR did not reach the international scope hoped for in Paris and, as with the 1908 rules, was published in two versions: North American and British. AACR Chapter 6 (monographs) was revised in 1974 to incorporate (among other things) the standards established in 1971 as the International Standard Bibliographic Description (for Single Volume and MultiVolume Monographic Publications) (ISBD). ISBD standards were created to enhance international cataloging standardization with three basic principles in mind: First, that records produced in one country or by the users of one language can be easily understood in other countries and by the users of other languages; second, that the records produced in each country can be integrated into files or lists of various kinds containing also records from other countries; and third, that records in written or printed forms

can be converted into machine-readable form with the minimum of editing.7

ISBD is supported and revised by the International Federation of Library Associations & Institutions (IFLA). A full description of ISBD can be found on the IFLA website at: http://www.ifla.org/VII/s13/pubs/isbdg2004.pdf. The ISBD rules are responsible for the dashes, slashes, colons, semicolons, and periods in today’s bibliographic record. While troublesome at first for the new cataloger, it is just one aspect of the bibliographic record that makes it possible for library users to feel comfortable in using different types of libraries in their communities and around the world. AACR has been revised periodically since its first publication in 1967. With the publication of the second edition of AACR (known as AACR2) in 1978, the body responsible for revisions was formally recognized as the Joint Steering Committee (JSC) for Revision of AACR. The constituent organizations represented on the JSC are the American Library Association, the Australian Committee on Cataloguing, the British Library, the Canadian Committee on Cataloguing, the Chartered Institute of Library and Information Professionals, and the Library of Congress. Many committees of professional library organizations meet to discuss concerns regarding AACR and provide suggestions to the JSC for consideration. Meetings at the ALA annual and midwinter conferences provide opportunities for noncommittee members to hear about proposed changes and, on occasion, to comment on change proposals. In spite of the ability to comment and make suggestions, with each revision, catalogers complain about the repercussions of changes in the bibliographic record; however, each change has not been without merit. The incorporation of the “optional” rule in 1978 allowed catalogers the choice of following strict standards or adapting the standards to meet individual institutional needs. This was an important change in cataloging standards, as it allowed smaller libraries the

freedom to catalog with less detail than was required of large research-oriented libraries. The 1978 edition also included the much-needed updated rules for cataloging nonbook materials. The 1988 revision was not considered a new edition (AACR3), because the basic premise and organization of the rules remains the same as the 1978 edition. That is, the basic code is the same but has merely been updated to reflect current theory and technology. The 1988 revision was the first to consider machine-readable cataloging developments that might affect the AACR rules, although examples were still given in the style of the manual catalog card. Two big changes in the 1988 revision were with respect to entries under pseudonyms and description of computer files. This was the edition of AACR that was responsible for the change of entering a work under “Seuss, Dr.” instead of under “Geisel, Theodor.” Chapter 9 (computer files) included revisions to better accommodate the cataloging of a new media, microcomputer software. With surprisingly little fanfare, Anglo-American Cataloguing Rules, 2nd edition, 1998 revision, found its way

into the cataloger’s world. While jokes abounded regarding how catalogers should refer to this book (AACR2Rr?), like its 1988 predecessor, it too marked not a change in code but a modification of the code. One aspect to note concerning its publication is that it appeared in three different formats. First, as a traditional book, second as a loose-leaf notebook, and third in an electronic format, fondly referred to as AACR2-e (the latter two created for ease of updating between revisions). In September 2002, another version of AACR2 was released as AACR2, 2002 revision. No longer available in the traditional book format, this loose-leaf edition boasted the inclusion of all amendments and revisions of the rules since 1999. Digital information has long been a topic of heated discussion in cataloging circles, and the changes in the 2002 revision reflect outcomes of these discussions. The 2002

revision was significant for changes in rules for cataloging cartographic materials, electronic resources, and “continuing resources.” Continuing resources were referred to as “serial publications” in previous AACR editions. With the new revision of AACR2 the definition has been expanded to include, among other publications, websites—especially those related to serial publications published either formerly or simultaneously in paper format. By the early twenty-first century, revisions to AACR2 seemed to happen with increasing frequency. In September 2003, a new update was released; marking the beginning of annual updates. It contained some corrections plus updates of some rules, particularly in the area of access (Chapters 21 and 24). This update included standardization in capitalizing the names of the planets. In the past, the planet Earth was only sometimes capitalized, but now the cataloger should always capitalize its name. (The dirt on the ground, however, is still “earth.”) In terms of access, rules have been changed to reflect a relaxing of the rules for added title entries. AACR2 was last revised in 2005. By that time, the thought of creating a new edition of AACR, something like AACR3, was becoming ridiculous. Non-book materials were no longer “special” in library collections, and providing access to digital materials was becoming increasingly important. Likewise, it was becoming more and more clear that the electronic format for creating library catalogs was incapable of meeting the needs of cataloging digital materials. As this book is being written, the paradigm shift is still in process. Nevertheless, it cannot be ignored, and so we must address the reasons for the shift: RDA, FRBR, and FRAD.

Resource Description and Access (RDA)

To design a new cataloging standard, the catalogers and cataloging committee members involved in the creation of RDA decided that the new code must take a different approach to cataloging. The standards must be divorced from the heretofore-ubiquitous 3×5 catalog card (which, even years after the closing of the last card catalog, still deeply impacted the structure of cataloging standards), and the focus must be on organizing information regardless of the format of the item in hand. Finally, RDA would provide instruction on what information should be recorded but not how that information should be recorded. This is an important divergence from previous cataloging rules because it relaxes the previous dependence on ISBD in creating the surrogate record. For newbies in the cataloging profession, this last concept can be very frustrating indeed. The foundation of RDA rests squarely on the constructs of the Functional Requirement for Bibliographic Records (FRBR) and the Functional Requirements for Authority Data (FRAD). FRBR is based on the concepts of “work,” “expression,” “manifestation,” and “item” (WEMI), rather than on “information package” and “surrogate record.” FRBR began as a project under the Study Group on Functional Requirements for Bibliographic Records of IFLA, 1992–1995. The result of this study group was the publication of the FRBR report8 and the subsequent

adoption and studies by the Library of Congress and OCLC.9 The basis of FRBR is that description based on relationships is clearer than description based on information packages themselves: [W]hen we say “book” to describe a physical object that has paper pages and a binding …, FRBR calls this an “item.” When we say “book” we also may mean a “publication” as when we go to a bookstore to purchase a book. We may know its ISBN but the particular copy does not matter as long as it’s in good condition and not missing pages. FRBR calls this a “manifestation.”

When we say “book” as in ‘who translated that book,’ we may have a particular text in mind and a specific language. FRBR calls this an “expression.” When we say “book” as in ‘who wrote that book,’ we could mean a higher level of abstraction, the conceptual content that underlies all of the linguistic versions, the story being told in the book, the ideas in a person’s head for the book. FRBR calls this a “work.”10 [Emphasis added.]

We see then that under FRBR there is much more emphasis on relationships between items rather than the isolation of individual items. While this seems to be foreign to part-time catalogers (such as school librarians), the terminology is critical to the revision of cataloging standards. WEMI (work, expression, manifestation, and item) as a concept is difficult to condense in a text of this size. It will be examined a bit more in the introduction to Chapters 4–7; however, readers are encouraged to visit the sites listed in the notes section for a more detailed exploration into the details of FRBR.11 For our purposes, we are focused on cataloging at the “manifestation” and “item” levels. This means that most of our work will be focused on describing what is in our hands rather than trying to connect or link to other items. Because FRBR relies on linking manifestations, the concept of authority control becomes even more important now than in the past: enter FRAD (Functional Requirements for Authority Data). Approved by the International Federation of Library Associations and Institutions (IFLA) in 2009, FRAD was designed to help draw connections between names. That is, names of creators (e.g., authors, illustrators, movie directors), corporations, titles, concepts, objects, and places. We have been concerned about authority in the past, but now we need to make sure we are drawing connections between, for example, William Shakespeare, Romeo and Juliet, and Leonardo DiCaprio. Throughout the text we will see how all of these concepts

come together in RDA cataloging. For now, let us move on with our history. The Library of Congress’s formal announcement that it would catalog using RDA as of March 2013 came after much national and international testing, reporting, and tweaking.12 Today, the RDA instructions are best accessed

via the RDA Toolkit, a subscription-based website. A printed version of RDA is also available in the United States from the American Library Association and in Canada from the Canadian Library Association. Thus far the print edition is revised annually, while the online RDA Toolkit is revised at least quarterly. The ability to revise and publish revisions so quickly in this age of digital publishing has had interesting effects on the world of cataloging standards. First, it appears that there is less concern about rules updates than there has been in previous years. Second, every library budget needs a budget line for either the RDA Toolkit subscription or the purchase of the revised print RDA on an annual basis. Despite all of the wonderful developments in cataloging, school and small libraries have been virtually ignored. Some attempts have been made to meet their needs through the creation of abridged standards; however, smaller libraries have muddled through by adapting rules when possible or simply creating their own rules. In the past, when each library was a library unto itself, it was possible to exist in this fashion. In today’s world of online catalogs and Web access to catalogs, it is not only impossible but also unwise to ignore cataloging standards.

Creating the Catalog Thus far we have looked at the development of rules for cataloging. When our friend Jewett suggested stereotyped cataloging, the reference was not just to the rules to be employed for cataloging (a book) but also to the format in

which that information would be displayed. When we write down aspects of an item, we are creating metadata about the item. Traditionally, that metadata created was referred to as a bibliographic record (from the Greek biblion, meaning “book”) because the item being described was, more likely than not, a book. As catalogers began cataloging items besides books, it seemed calling that record a “bibliographic record” limited the definition to records about books alone. The phrase “surrogate record” came to be used to refer to the records being creating during the act of cataloging and can be equally applied to the cataloging of a book or any other material type. The development of the surrogate record follows the development of the cataloging rules themselves. The surrogate record includes information about the physical and intellectual aspects of the item and its location in the collection. Recording the physical description of the item (e.g., number of pages, timing of video) is referred to as descriptive cataloging. Describing the intellectual content of the item (i.e., what the item is about) is done through subject cataloging and classification. We describe below three different types of surrogate records. The Book List: The book list is the oldest form of library catalogs. It was portable and could be copied and shared. Organization of the book list was difficult. If the organization was by date of accession, that is to say no real organization at all, then long lists became useless (who wants to search through page after page of text for a single item?). If organization was alphabetical (by author or title), then it became costly to update because it had to be rewritten every time new items were added. Even worse, in order to avoid rewriting the list, new items might be added to the end of the list, compromising the organization of the list. The popularity of lists declined with the development of the card catalog; however, as computers became more prevalent in libraries, computer-generated booklists became

popular once again. Computer-generated lists were easier and less expensive to update than their manual predecessors, making different forms of arrangement (author, title, and accession date) more feasible. Union lists are often published this way. The Card Catalog: The card catalog, that is the use of cards with information about an item in some kind of order, was developed in the United States in the mid-1800s (based perhaps on the French cards of the 1790s).13 By

1893, a survey of 58 American libraries showed that 43 were using the card catalog. In 1876, Melvil Dewey, author of the Dewey Decimal Classification (see Chapter 5), standardized the size of the catalog card to the 3×5 cards so ubiquitous in the recent past. The card catalog, using Dewey’s card and classification system, would be the dominant form of information organization well into the 1960s. The card catalog was not portable but was easily updated by pulling the cards of books that were no longer in the collection and putting in cards for new materials. The problem was creating all of the separate cards for the various entries: title, author, subject. Prior to the use of typewriters for creating the cards, each card was handwritten. (Library students through the early 1900s took classes in penmanship for just this purpose!) Considering that the manual typewriter of the early 1900s was clumsy and difficult to work with for extended lengths of time, one can see the reasons behind some cataloging quirks. The concepts of no more than three subject headings, of a single main entry card, and of not capitalizing words in the title, all stem from the problems of first writing out each card by hand and, later, using the manual typewriter. The Electronic Catalog: The integration of computer technology into the library completely revolutionized the cataloging process. Indeed, all library functions were affected by computerization. Computer databases are terrific, not only because they are easily updated, but also

because they are portable. By copying records on to a disk, printing the records on paper, or accessing them via library websites or mobile apps, the collection can be in the user’s hands, regardless of where the user is in relation to the catalog or even the library itself. Another advantage of the computer database is the increase in access to information in the surrogate record. No longer does a clumsy typewriter limit the desires of the beleaguered librarian. With computerization, multiple subject headings, added titles, and notes can be created liberally and with ease. Once entered, data are easily and painlessly created, accessed, and updated. Although there is a cost to keeping up with technology, there are fewer and fewer libraries that do not supply some kind of online access to their collection databases.

MARC Records The electronic catalog cannot exist without the data: enter MARC. The Library of Congress set the standard for creating and sharing “machine readable” cataloging data when it began the MARC Distribution Service in 1969. MARC (MAchine Readable Cataloging) was developed by and for the Library of Congress; it was not meant to supplant cataloging standards or become a standard unto itself. For better or for worse, the MARC format has become not only a national but also an international template for creating surrogate records in an electronic environment. MARC is a computer program for taking metadata and putting it into the online environment; there is no such thing as “MARC cataloging.” Starting as an in-house system in the late 1960s, MARC has evolved and is now called MARC 21; it has been translated into many languages and is used around the world. We will learn more about the structure of MARC in Chapter 3.

At present, the protocol for creating electronic records is MARC; however, there is a new program currently in the testing process. Touted as a better way to deal with nonbook materials and with the structure of RDA, BIBFRAME, or Bibliographic Framework, is slated to replace MARC in the not-too-distant future. We will learn more about BIBFRAME in Chapter 8.

Sharing Surrogate Records The Library of Congress took the lead in the United States for providing authoritative cataloging to share. In 1901 the Library of Congress began its printed card service. The printed card service encouraged shared cataloging and standardization of cataloging rules. Two hundred and twelve libraries were subscribers to this service just one year after it started. By the 1960s, Library of Congress cards became the symbol of cataloging, with subscribers from Japan to the Vatican. As library collections grew, librarians realized the usefulness of cooperating with each other through shared cataloging and the development of cataloging standards. There are numerous advantages to standardizing rules and sharing cataloging. The savings for librarians in time and money by sharing cataloging appears obvious. Users also benefit from standardized rules by knowing what to expect when walking into any library. A user familiar with the Dewey Decimal classification system can walk into any public library and know precisely where to look for a work on any discipline. Similarly, there is comfort in going to a catalog and knowing where the information for author, title, and call number will be displayed. Early programmers capitalized on this comfort level by creating the Online Public Access Catalog (OPAC) programs to display information exactly as it would look as if it were in a card

catalog. Although few OPACs today use the old card format for display, it was a comfort in the early years of the transition from cards to OPACs. It is of paramount importance, however, that catalogers follow the same rules in order to share their records. When the Library of Congress began distributing copies of its printed catalog cards in 1901, the charge was the cost of the card plus 10 percent. The idea of purchasing cataloging from the Library of Congress caught on quickly, and soon the Library of Congress became the main distributor of shared cataloging. Libraries could also purchase bibliographic records in the form of book lists to refer to when creating catalog records. Perhaps the bestknown of these lists in the United States is the National Union Catalog (NUC) published by the Library of Congress. An indispensable cataloging tool since the 1940s, no large academic library would have been without the omnipresent volumes of the NUC. Although still available through microfiche, this publication has been replaced by Web access to the Library of Congress database. Another form of shared cataloging is the Library of Congress Cataloging in Publication (CIP) program. The CIP program began in 1971 and is heavily relied upon by numerous librarians, especially by those in smaller libraries. The bibliographic information commonly found on the verso (back) of the title page is the CIP information. In the past, prior to publication, catalogers in the Library of Congress received galley proofs from publishers and created bibliographic records from these proofs. Those who have experience with the publishing process know that some things can alter from the time the galleys are printed to the time the actual book is printed. Some “errors” in CIP information are not due to problems in cataloging, but are due to changes that have been made between the time the cataloger saw the manuscript and the time it was actually published. Besides perceived errors, “missing” information, such as the number of pages and the dimensions of the

item, is also the result of cataloging from galleys rather than from the actual item. At the time of this writing, the CIP information (or block) is evolving, due in part to the changing workflow in the publishing industry and at the Library of Congress. By 2016, the CIP block will no longer look like the old card catalog entry, and the Library of Congress will not be the only institution creating the CIP data. To keep current with upcoming changes, go to the CIP website: http://www.loc.gov/publish/cip/.

Conclusion The result of electronic organization of materials is that we are no longer limited to searching by author, title, series, or subject; rather, our students can search for an item based on nearly every part of the record. The curricular implications of this searching capacity are immense: we must teach our students how to be effective users of the online catalog because there are so many avenues from which to choose to get to the desired information package. In Chapter 4 we will learn about keyword searching, but the OPAC is capable of much more retrieval than that. If a record has the information, and if the system indexes that part of the record, then your students can find information packages based on keywords, grade levels, reading levels, class assignments, reading programs, language, or media type. We repeat, the automated system must have the capacity to index this information, but if it has, students will have almost limitless access to information about the collection. For that reason alone, it is vital that the catalog records be clean and conform to the most current cataloging standards. Most of the time, the school librarian has very little control over what part of the record is indexed for

information retrieval purposes, because indexing is defined by the system itself. Most OPACs are configured to allow for power, advanced, or limited searching. In this way, a student could search for the dog books on Mrs. Smith’s reading list, or the dog books at the 4.5 reading grade level, or the dog books in Spanish. All of these searches are possible, but only if the information is in the record. The school librarian who is unaware of these capabilities in the system, who provides only minimal cataloging, or who does not keep up with current trends in cataloging, is shortchanging the student and classroom teacher population out of being able to take advantage of all the systems have to offer. Similarly, it is the responsibility of the school faculty to work with the school librarian to decide which items should be noted as meeting school or other curriculum standards. Curriculum mapping can play an important role in cataloging. If the school librarian knows what is going on in the classrooms, then he or she can make curricular-related notes in the records, and students (and classroom teachers) will be able to retrieve materials accordingly. The history described in this chapter is important for a variety of reasons. It is important for little reasons, such as knowing that it was hard to constantly type capital letters on old manual typewriters, which led to the practice of capitalizing only the first word of the title and proper nouns in the title statement area. It is also important for larger reasons, such as knowing that punctuation is important because it helps users to move comfortably from one library to another. It is important for still larger reasons, such as knowing that MARC was developed as an in-house tool and carries with it all of the idiosyncrasies of an in-house tool that the greater world population of catalogers has learned to accept. Most of all, it is hoped that the reader will come to understand how the standards developed and why one must follow these standards today.

Access to information does not happen by accident or by magic. Organization of information is paramount to access. When access to information through the Internet was just beginning, people likened it to a large library where all of the books were on the floor. Creators of electronic information now realize the importance of organizing that information. Large companies, such as Google and Yahoo, are working to create organization for the information retrieved on those sites. Libraries are also working with electronic information providers to put more and more information online in an organized fashion. We sometimes look at these projects and think they have no impact on our individual school libraries, but that belief is shortsighted. More and more often students are expecting to find information electronically. Therefore, we must understand at least the rudiments of information organization and apply that knowledge to our own collections. In the following chapters, we will explore information access as it applies to the contents of our collections.

Notes 1. Fred Lerner. The Story of Libraries from the Invention of Writing to the Computer Age. 2nd ed. New York: Continuum, 2009, 8. 2. Ibid., 43. 3. Ibid., 86–90. 4. Lois Mai Chan. Cataloging and Classification: An Introduction. 3rd ed. New York: McGraw-Hill, 2007. 5. Ibid., 13–15. 6. Seymour Lubetzky. Cataloging Rules and Principles. Washington, D.C.: Library of Congress, 1953. 36. 7. Chan, 50.

8. Functional Requirements for Bibliographic Records, Final Report. IFLA Study Group on the Functional Requirements for Bibliographic Records. As amended and corrected through February 2009. Accessed May 15, 2015. Available at http://www.ifla.org/files/assets/cataloguing/frbr/frbr_2008 .pdf. 9. Text of the study conducted by the Library of Congress on FRBR can be found at: http://www.loc.gov/marc/marcfunctional-analysis/functional-analysis.html. Those by OCLC can be found at: http://www.oclc.org/research/activities/frbr.html. (Both sites accessed May 15, 2015.) 10. Tillett, Barbara. What Is FRBR? A Conceptual Model for the Bibliographic Universe. Library of Congress, Cataloging Distribution Service. Accessed May 15, 2015. Available at: http://www.loc.gov/cds/downloads/FRBR.PDF. 11. Barbara Tillett has written a good, thorough introduction to FRBR, available at: http://www.loc.gov/catdir/cpso/frbreng.pdf (accessed May 15, 2015). A slightly less technical explanation is posted on the LIS-wiki at: http://liswiki.org/wiki/FRBR (accessed May 15, 2015). A very good book introduction to RDA is by Amy Hart: RDA Made Simple: A Practical Guide to the New Cataloging Rules (Libraries Unlimited, 2014). 12. Final U.S. RDA Implementation Update from the U.S. RDA Test Coordinating Committee (January 4, 2013). Accessed May 15, 2015. Available at: http://www.loc.gov/aba/rda/pdf/RDA_updates_04jan13.pd f. 13. Taylor, Arlene G. The Organization of Information. 2nd ed. Westport, Conn.: Libraries Unlimited, 2004, 55.

Chapter 2 Copy Cataloging and Cataloger’s Resources Introduction

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long with understanding the mechanics of cataloging, one should have the ability to take advantage of cataloging from other libraries. Normally, one orders books and other school library items from a vendor; that is a company that sells the books and provides with those books (or other items) a link to surrogate records that are then downloaded to the school library system. Once that is done, the librarian puts a bar code on the item and puts it on the shelf. No problem! Sometimes there is no vendor. Sometimes the item was purchased from another source, such as Amazon or Barnes and Noble, or the item was donated. In order to get information about this item into the library catalog, the school librarian needs to create a surrogate record. The record can be created from scratch in a process called original cataloging, or the librarian can use other sources to find a catalog record and then copy that record into the library system. Using cataloging that has previously been

created by another cataloger is called copy cataloging. The records themselves are referred to as copy or copy cataloging. Of course we can create our own surrogate records, but it makes much more sense to use the records others have already created. When we accept a record from another library, we accept it either as is or as it will be modified by us once we download it into our system. Most of the time the records we download will match our items in hand exactly; however, there will be times when the match is not exact. In accepting copy cataloging, we also accept that we may need to change some information on the record. By the time you are finished with this book, you should feel comfortable enough with the material that adapting copy to your own needs will not be a problem.

Databases There are many sites on the Internet that supply, to varying degrees, quality cataloging at no cost. Some libraries supply cataloging unwittingly, simply because they have put their databases on the Web. Others maintain databases for the express purposes of providing information for copy cataloging. No one site is perfect for all needs; thus there may be a need to look at more than one database, and there is always a need to examine the records for accuracy, completeness, and fit for your community. Merely because a record is on the Internet does not mean that the record is without fault, even from the best cataloging institutions. Databases are made available on the Internet through something called the Z39.50 protocol, a standard communications protocol developed by the National Information Standards Organization (NISO). This protocol allows one computer to ask questions of another computer without the user knowing a whole lot about the second

computer. Just as a person can go from one library to another and expect the Dewey classification to be the same at each library, the Z39.50 protocol allows similar search strategies to be applicable from one library database to another. It is not necessary for the school library media specialist to know how Z39.50 works, only to understand that because of this protocol, it is possible not only to search a library database using familiar commands, but also to retrieve and download the records belonging to that library. The following is a description of some popular databases to use for copy cataloging purposes. This is by no means an exhaustive list, and each librarian will soon find his or her own favorite places to go for copy cataloging purposes.

The Grandaddy of Them All Library of Congress (LC) http://loc.gov. One cannot say enough about the cataloging tools available for free provided by the Library of Congress. As we learned from the previous chapter, the Library of Congress has been assisting catalogers in creating authoritative bibliographic records since the beginning of the twentieth century. Until the advent of electronic information sharing, many of the tools from the Library of Congress were fee-based and much too costly for smaller public and school libraries. Before there was free electronic access to the LC database, school library media specialists would often rely on the Cataloging in Publication (CIP) data for copy cataloging information. As mentioned in the previous chapter, this program was created to provide bibliographic information on the item itself, usually on the verso of the title page, to assist with the cataloging needs of other libraries. To date, some librarians still rely on CIP information for cataloging purposes, as it is one of the simplest forms of copy

cataloging available. However, this can be a tedious and inefficient way of creating a surrogate record. If a librarian has access to the Internet, then he or she has access to the LC database. Searchable by nearly every part of the surrogate record, the user can have access to the MARC records of practically any Library of Congress item, all 18 million of them! But there is a caveat: remember, LC is the library of the United States Congress; it is a national library only by default. Therefore, there are items in a school library collection that have not made their way into the Library of Congress collection or, by extension, its database. Most school librarians complain that educational and children’s media (audiobooks, computer software, DVDs) are the types of materials least often found in the LC database. Additionally, the Library of Congress has cataloged children’s and young adult books with varying degrees of specificity through the years. This means that even if the record is in the LC catalog, it may not be the most complete record available from the Internet. Thus the cataloger should be aware that the LC catalog, although authoritative, might not always be the best place to go for copy cataloging. However, once a record is found, it is possible to download the record into most school library automated systems. The site for the Library of Congress includes directions for downloading records and connecting to other databases (see http://www.loc.gov/z3950/gateway.html#lc). Additionally, there are several commercial programs (see the Programs section) that will search the LC database and include a seamless way of downloading the records.

Other Free Databases While the Library of Congress is one of the larger of the databases to search, it is not the only database available for

free on the Web. When a number of libraries get together as a consortium and merge their separate databases into one, they are creating a union catalog. Union catalogs are useful places to search for copy cataloging due to the fact that one can view the collections of numerous libraries simultaneously. Some states have union catalogs that are accessible only to residents in the state: check to see if your state has a union catalog! Not all institutions provide the ability to download records; nevertheless, they still provide access to records than can be copied and pasted into a database. It’s not as elegant or as easy as clicking a button, but if one is having a hard time finding a surrogate record for an information package, copy and paste is better than having no record at all from which to copy. Here are several examples of union catalogs: • Access Pennsylvania: This database was established in 1985 and provides access to the surrogate records of more than 44 million items. It is a statewide consortium of nearly 3,000 school, public, academic, and special libraries, thus offering an excellent cross section of different types of information packages. The records can be searched by title, author, subject (including Sears), keyword, ISBN, and classification numbers. The search can be limited by library type or state location. Records are easily batched and downloaded using the export buttons. The caveat here is that not every record is created by a fully trained cataloger; therefore, one should be careful to review the records before downloading them, or at least understand that the records may need to be altered once downloaded. Access Pennsylvania: http://www.accesspa.state.pa.us • Clevnet: Established in 1982, the CLEVNET Consortium is a cooperative partnership between the Cleveland Public Library and 43 library systems in Northern Ohio, providing access to over 9 million items. The default search is by

keyword but provides an advanced search module including searching by Lexile, format, and genre. To view the MARC record, one must click the MARC button at the bottom of the screen. Clevnet: https://clevnet.bibliocommons.com • Link+: As a consortium of more than 60 public and academic libraries in Arizona, California, Nevada, and Oregon, this database offers author, title, keyword, ISBN, Dewey classification, and subject searching. Records may be saved to a file either individually or in batches. This is not a very attractive site, but it can get the job done by providing access to MARC records and, for us, that’s what counts. Link+: http://csul.iii.com • OCLC/WorldCat: This non-profit, membership-based consortium is one of the best places to search for surrogate records. The program began in 1967 as a method of sharing resources between academic libraries in Ohio. This database has blossomed into an international shared database of more than 2 billion records. With a database this large, there are drawbacks to the OCLC database; it is fee-based, and most of the MARC records are accessible to members only. Some states provide access to OCLC records through library consortia. Check to see if your school has access to the state portal. If one cannot purchase access to the OCLC database for cataloging purposes, the free version of the database (not the MARC records) is available through WorldCat (see below). OCLC: http://www.oclc.com/home The public partner to OCLC is WorldCat, the public catalog of the OCLC database. It reflects the OCLC database, but it does not provide access to the MARC records. WorldCat: http://www.worldcat.org

One last comment about accepting copy cataloging from any online resource: remember that cataloging rules have undergone extensive changes over the years. At the very least, be skeptical of records that were created before 1978 (for RDA records, look for cataloging beginning 2013). In accepting copy cataloging for non-book information packages, try to find a record created as recently as possible. If you must accept older records, be prepared to update them.

Programs For librarians with money to spend, there are several programs that are immensely helpful in facilitating the cataloging process. • BookWhere: This is a program from WebClarity Software, Inc., that links the cataloger to online catalogs for ease of searching and downloading of catalog records. BookWhere links to the Library of Congress and thousands of other library catalogs worldwide. A bit short on representing school libraries, there is an advantage in being able to search numerous library databases simultaneously. A click of the mouse creates a file for downloading to the home system. BookWhere requires Windows and Internet Explorer for the software program but there is an Internetbased subscription program that is not platform-defined. Fees vary from $267 to $677 depending on the license. BookWhere: http://www.webclarity.info/products/bookwhere.html • Mitinet Library Services: This company offers a suite of modules that run from simple database cleanup to retrospective conversion and copy cataloging. The configuration of the program depends on the needs of the library. School librarians often sing the praises of the MARC

Magician module that can run global changes, print spine labels, and clean up records. The software programs are PC-based, but the online program, BestMARC, provides access to the Mitinet database including a heavy emphasis on non-book materials (including ebooks) and works on both PC and MAC platforms. MARC Wizard: http://www.mitinet.com Additionally, most book companies (vendors), for a small fee, will provide cataloging for materials purchased from them. School librarians must know what to ask for in requesting cataloging from these companies. They must know how to define the subject headings and classification systems. They must also know how much cataloging the vendor will supply (full or minimal record) and the source of cataloging the vendor uses for the records (LC or in-house). Above all, school librarians must know if the cataloging supplied by the vendor meets the standards of MARC and RDA. Sometimes librarians, or their administrators, opt not to take on the added expense of purchasing cataloging from vendors. If the vendor is supplying inferior records, this might be a wise decision. However, if the vendor is supplying good surrogate records, then it is probably a good idea to spend the extra money (often less than $1 per item). It may seem like an added expense, but it is more likely than not more than the cost of you sitting at a computer and adding original records or scanning databases to download (and edit) copy cataloging.

Online Cataloging Help Even if you never have to create an original catalog record, the chances are that you will have to update or somehow enhance a record. Beyond this book, there are Internet sites that can assist in this process. Here one can find rules for

creating MARC records, subject headings, and even Cutter numbers. • LC Cataloging Directorate: This site is “the place to go” for cataloging assistance from the Library of Congress. Not to be missed is the link to the MARC homepage (http://loc.gov/marc) that includes the entire list of MARC fields for all media formats. Additionally, there is a link to the Library of Congress Subject Headings, Children’s Subject Headings, and Genre Lists (http://www.loc.gov/aba/cataloging/subject/). And finally, one can access the code lists for descriptive cataloging from the MARC home page (http://www.loc.gov/marc/). LC Cataloging Directorate: www.loc.gov/aba • Cataloger’s Reference Shelf: First posted in 1997, this site has quickly become a favorite for catalogers. It provides information on many aspects of cataloging, including MARC format, Library of Congress subject headings structure, LC Cutter templates, and media cataloging. Cataloger’s Reference Shelf: http://www.itsmarc.com/crs/crs.htm • Cataloging Calculator: Should you find the need to create a Cutter number, this site provides the number automatically. Simply type in the name, click on “LC Cutter,” and there you have your number. Cataloging Calculator: http://calculate.alptown.com • Follett MARC Resources: The Follett Software Company provides free to all a few resources for help with cataloging. Perhaps the best-known of these resources are “Tag of the Month” and “Ask Ms. MARC.” These resources are not Follett-specific, so it is a nice service to all. MARC Resources: http://www.follettsoftware.com/marcresources

• OCLC: Provides many hint sheets and directives for their catalogers. As with the Library of Congress, it should be noted that the directives pertain to OCLC catalog contributors and might vary slightly from the needs of the school library media center. OCLC help: http://www.oclc.org/bibformats/en.html

Conclusion The variety of free and fee-based databases and programs available to help catalog items is indicative of the importance of librarians’ need for cataloging assistance. Even purchased records must be evaluated for inclusion of library-specific information to the surrogate record. This chapter has presented information on Internet, free, and fee-based resources applicable to the copy cataloging process. Even though there are many resources available to help in the cataloging process, knowledge of the construction of the surrogate record is vital in purchasing records from vendors and accepting copy cataloging from other institutions. The following chapters will provide information on the cataloging process from classification to physical description.

Chapter 3 Introducing MARC Concepts Introduction

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hapter 3 is designed to provide you with background information regarding the instrument we will use to organize the surrogate record: MARC.1 Remember that

MARC is not a cataloging standard but a mechanism for translating data into something a computer will understand. The computer part of the equation is in the form of an integrated library system (ILS) that is used in the library to handle cataloging and circulation procedures.

MARC and ILS Platforms A short note before going into the description of the MARC record: this chapter is meant only to facilitate the introduction to this cataloging tool. The details of the RDA rules that will be applied when entering data into the MARC format record will be described in Chapters 6 and 7. As mentioned in Chapter 1, MARC (MAchine Readable Cataloging) began as an in-house system at the Library of

Congress to translate information about the information package to an electronic catalog for use by the patrons of the Library of Congress. Today, as MARC 21, this program is used worldwide despite complaints that it is an archaic way of organizing data, that it does not work well for non-book and non-English language materials, and that it does not work well for remote access data (metadata and websites). (For a good summary of the other types of formats available for information organization, see Taylor Organization of Information, cited in Chapter 1.) Nevertheless, in school library automation systems, it is the standard format being used and so we will describe its organization here. Note that, as we did with AACR, we shorten MARC21 to just plain MARC, with the understanding that we are referring to the latest edition, whatever number that may be. Most school libraries have some kind of automated program that provides modules for cataloging and circulation procedures. Some of these programs, or integrated library systems (ILS) can also connect to other school platforms to allow for seamless access to student data for the purposes of circulation. There are very few programs that are cataloging-only any more. When the information in this text refers to how the cataloging is “displayed,” the reference is to how the information is formatted by the ILS and what it looks like on the computer screen to the patron or to the cataloger. Librarians have little control over this display, and each system is slightly different. As you read through the text, refer to the system you have access to in order to best understand the display and field descriptions.

MARC Structure The MARC record is divided into three parts: the leader, the directory, and variable fields. Each line within each of those

parts is referred to as a “field,” and a numerical “tag” from 000 to 999 identifies each field. For our purposes, we will refer to the tags and fields as a single unit, using the word “field.” Within each field there is a marker to differentiate parts of the information in the field. That marker delineates the subfields of information. Many of the fields include more than one subfield. Most of our discussion will focus on the variable fields; however, we will also touch upon the other parts of the record. Remember, the content of the record is based on the rules of RDA, and the punctuation is based on ISBD. The typography is based on the American Standard Code for Information Interchange (ASCII) standards; however, there is some room for modification, again depending on the system. For example, if you looked up a title using the LC catalog, you might see “|” to mark a subfield, whereas you might see “$” if you looked up the subfield information on the MARC21 Bibliographic website. Both codes mean the same thing, but vary depending on the ILS definitions. It doesn’t matter to you or to the computer, as long as you know that there is a code needed to mark a subfield. In this text we will use “$” for that purpose. The Library of Congress surrogate record for the book Three Little Pigs, by Carl Sommer, is reproduced in the box to give us an idea of the parts of the MARC record. Note that some of the information is easy to understand, while other information is not. The information that is easy to understand is referred to as “eye-readable”; that is, one can look at it and, without any assistance, understand the information. The fields 1XX through 9XX are, for the most part, eye-readable. One can clearly see the title, the publication information, and so on. Most of these fields correspond to RDA rules. The other fields, 000 through 082, are not as easily understood without some cataloging knowledge. Many, but not all, of these fields are codes and do not have any correspondence to RDA rules.

MARC record for the book Three Little Pigs Leader

000 _ _

01779cam a22003978i 450

Control No.

001 _ _

17596716

Date & Time

005 _ _

20130123141528.0

Fixed Data

008 _ _

130118s2014 txu b 000 0 eng

LCCN

010 _ _

2013002254

ISBN

020 _ _

$a 9781575379937$qlibrary binding : alk. paper

ISBN

020 _ _

$a 9781575379685$qpbk. : alk. paper

Cat. Source

040 _ _

$aDLC$beng$cDLC$erda

Dewey No.

082 0 0

$a398.24/52963/32 $aE $223

Personal Name

100 1_

$aSommer, Carl,$d1930-,$eauthor.

Title

245 1 0

$aThree little pigs /$c by Carl Sommer ; illustrated by Greg Budwine.

Edition

250 _ _

$aFirst edition.

Publication

260 _ _

$aHouston :$bAdvance Publishing, Inc.,$cc2000.

Publication

264 _1

$aHouston :$bAdvance Publishing, Inc.,$c[2000] [see note]

Copyright

264

_4 $c©2000

Phys. Desc

300 _ _

$a47 pages:$bcolor illustrations;$c23 cm

Content type

336 _ _

$atext$btxt$2rdacontent

Media type

337 _ _

$aunmediated$bn$2rdamedia

Carrier type

338 _ _

$avolume$bnc$2rdacarrier

Series: Title

490 1_

$aAnother Sommer-time story

Note: General

500 _ _

$a“Fun times with diligence / respect for labor /Self-discipline” -Cover.

Note: Summary

520 _ _

$a“The three little pigs were warned to build strong houses. Hardy built a strong house, but Dozey and Pokey built shabby ones. After narrowly escaping from the wolf, Dozey and Pokey have a dramatic change of mind”-- $cProvided by publisher.

Note: Audience

521 _ _

$aFor ages 4-9.

Note: Audience

521 8_

$a350L$bLexile.

Subj: Topical

650 _1

$aFolklore.

Subj: Topical

650 _1

$aPigs$xFolklore.

Subj: Topical

650 _1

$aConduct of life.

Pers Name

700 1_

$aBudwine, Greg,$eillustrator.

Series Traced

800 1_

$aSommer, Carl,$d1930- $tAnother Sommer-time story.

Note: The 260 field is being replaced by the 264 field. According to a rule interpretation from the Library of Congress dated June 11, 2012, all newly cataloged items should use the 264 field instead of the 260 unless the institution is not yet recognizing the 264 field (http://www.loc.gov/aba/pcc/documents/264-Guidelines.doc). Until school library vendors complete the change from AACR rules to RDA rules, the 260 is likely to be the field to use. The 264 field is presented here for those libraries able to include the field. Both can exist in the same record at this time; however, school librarians should make every effort to order new items with the field 264 instead of the field 260.

Leader (Field 000)2 The Leader field is a fixed-length field of 24 character spaces. Fields that are referred to as “fixed-length” have a defined number of character spaces. This is in contrast to “variable-length” fields that have no set character space limits. The Leader tells the computer that this is the beginning of a new record, the type of information package being cataloged (book, map, etc.), and the type of cataloging (full, partial, AACR, or RDA). Most school librarians may not even know this field exists, because it is often not displayed in the MARC record. Perhaps it is an effort to simplify the cataloging process that vendors make the Leader a secretive part of the MARC record. One really has to know about it in order to access it. However, it is the information in this field that leads to this question, “I cataloged a DVD, but the record shows that this is a book. How do I change the icon to show it’s really a DVD?” To “change the icon,” one has to get into the Leader field. How that is achieved is system dependent; however, once the field is accessed the librarian should easily see the place in the field that needs to be changed in order for the “book” to become a “DVD.” If the system has the field written out in one long line, it will look something like this: 00723cam 22002418a 450 Or 000 00994pam 2200253 a 450 The first example shows what the Leader looks like if there is no field number in front of it. The second example shows the information in the 000 field. Most school library ILS programs do not display the Leader in this way but parse out each part of the field into its component parts labeled in English. The part of the Leader that most concerns us is the “Type of record” element (space 06 on the character line: line is numbered from 00, so we are looking at the seventh

character in these strings—highlighted in bold text). In our examples above, we see the letter “a,” meaning “language material”; that’s “books” to us. If we were cataloging a DVD, we would need to change that letter “a” to a letter “g.” Happily for us, most of the school library ILS programs tell us the letter to choose. See the box for the more common letter codes for school library materials.

Definitions of material types to put in the 06 position of the Leader field: a

–

Language material (printed material)

e

–

Cartographic material (maps, atlases, globes)

g

–

Projected medium (videos in any format—e.g., Blu-ray, DVD, slides, anything projected)

i

–

Nonmusical sound recording (book on tape)

j

–

Musical sound recording (in any format)

k

–

Two-dimensional nonprojectable graphic (posters, flash cards, etc.)

m

–

Computer file (computer software)

o

–

Kit (two or more types of items where one type is not predominant over the other types)

r

–

Three-dimensional artifact or naturally occurring object (games, puzzles, threedimensional art work, computers, LCD projectors)

There may be times when the letter codes are not as straightforward as one might hope. As we saw in our examples, the letter “a” is used for books. The true definition of that letter is “language material including printed, microform, and electronic language material.” This means if you were cataloging a website, you would use the letter “a.” Unfortunately, this means that the ILS display the “book” icon, making the user think this is a book and not an online resource. This predicament forces us to select the letter “m” for computer file, even though, technically speaking, a website does not fit in this category—but at least the students won’t be expecting the item to be a book.

Directory The directory is a stream of 12 computer-generated character positions used to tell the computer about the fields being found in that specific MARC record. This area is mentioned because it is a formal part of the MARC record, but it is unlikely that you will see it, let alone modify it; therefore, we will not discuss it in any further detail.

Variable Fields Now we are into the meat of the record. The variable fields all consist of a three-digit number (tag), a space, a twospace area for the field indicators, another space, and then the content of the field, marked off by subfields as necessary as seen in Figure 3.1. However, not all variable fields are structured in this way. The control fields (00X), for example, do not have indicators or subfields. Most, but not all, of the fields can be repeated; that is, there can be more than one of them in a surrogate record. As we go through each of the fields in the following chapters, we will point out those fields that can and cannot be repeated. Unless otherwise noted, the fields will end with a full stop ( . ), or what we would call a period. Some fields have what is known as “display constants.” These are words or phrases that appear in the record automatically according to how the indicators are defined instead of requiring the cataloger to type in the words or phrases. Display constants are most often found in the notes area (5XX fields). Again, we will discuss this in more detail in the following chapters. It should be pointed out, however, that some display constants are not MARC-defined but rather appear in the OPAC display according to the definitions of the system itself. For example, the word “Author” may show up in the OPAC instead of the field

number “100.” This happens automatically according to the system and has nothing to do with the person creating the record, MARC, or RDA rules. The example record we present in this chapter shows names for the fields for illustrative purposes only. Remember that each library system is different and that when you take a look at the ILS in your library, you may see different field names, but the MARC field number is the same.

Figure 3.1 Example of a Variable Field.

We see in our example there are field numbers and subfields. You do not need to memorize these fields, although, with time and practice, many may become second nature to you. If you are not going to memorize the fields, how do you know what they mean? Luckily the Library of Congress provides a free guide to the MARC fields. As you work through this text, your favorite place on the Web may well be: http://www.loc.gov/marc/bibliographic/. From that home page you will see the Table of Contents (see Figure 3.2) with hyperlinks to each of the fields. From there you will find out which field to use, what the indicators should be, the content of the subfields, and the punctuation. Now that we know where to get information about the MARC fields, let’s look again at our example field: 100 1_ $aSommer, Carl,$d1930-,$eauthor. The “100” is defined in MARC as the Personal Name Main Entry field. We will learn in Chapter 6 what that means exactly and how to construct the information, but for now

we understand that it is a field and it has a name. The “1_” are the two spaces for the indicators. Some indicators are blank or “undefined,” but for each defined indicator, as we see in our example with the “1,” there is a different meaning. Next we have “$aSommer, Carl” which is the author’s name in the format we would recognize if we were putting a bibliography together. Looking back at the box we see the 245 field, where Sommer’s name is presented in natural order. We will learn why that is in Chapter 6. Notice here that there is no space between the subfield marker ($), the subfield name (a), and the author’s last name (Sommer). There is no spacing here because this is all computer language. The subfield code ($a) tells the computer that personal name information is coming. There is no space between the subfield code ($a) and the content of the subfield, in this case “Sommer,” because to the computer there doesn’t need to be any space. Look now at the next two subfields: “$d1930-,$eauthor.” Sometimes you will find there are spaces between subfields—but not in our example here. The problem with having all of this data together with no spaces is that it is very difficult to read. The computer can read the information just fine, but it is difficult for humans. For teaching purposes, from this point on, we will use spaces between the subfields and the content of the subfields, in keeping with the way that the Library of Congress displays its MARC records.

Figure 3.2 The Table of Contents for the MARC21 Bibliographic Fields. Used with permission from the Library of Congress.

An Overview of the MARC Fields We will examine the content of each MARC field more thoroughly in the chapters to follow; however, the fields are introduced here so that you can become familiar with the MARC format before we start discussing the details of the content of the fields. Our focus here is on the variablelength fields. Consider again our example of the Three Little Pigs. (Remember, from this point forward, we will include spaces in the fields so that it is easier for us to read.) MARC record for the book Three Little Pigs

ISBN

020 _ _

$a 9781575379937 $q library binding : alk. paper

ISBN

020 _ _

$a 9781575379685 $q pbk. : alk. paper

Dewey No.

082 0 0

$a 398.24/52963/32 $a E $2 23

Personal Name

100 1_

$a Sommer, Carl, $d 1930-, $e author.

Title

245 1 0

$a Three little pigs /$c by Carl Sommer ; illustrated by Greg Budwine.

Edition

250 _ _

$a First edition.

Publication

260 _ _

$a Houston :$b Advance Publishing, Inc.,$c c2000.

Publication

264 _1

$a Houston :$b Advance Publishing, Inc., $c [2014]

Copyright

264 _4

$c ©2000

Phys .Desc

300 _ _

$a 47 pages :$b color illustrations ;$c 23 cm

Content type

336 _ _

$a text $b txt $2 rdacontent

Media type

337 _ _

$a unmediated $b n $2 rdamedia

Carrier type

338 _ _

$a volume $b nc $2 rdacarrier

Series: Title

490 1_

$a Another Sommer-time story

Note: General

500 _ _

$a “Fun times with diligence / respect for labor / self-discipline” -Cover.

Note: Summary

520 _ _

$a “The three little pigs were warned to build strong houses. Hardy built a strong house, but Dozey and Pokey built shabby ones. After narrowly escaping from the wolf, Dozey and Pokey have a dramatic change of mind”-- $c Provided by publisher.

Note: Audience

521 _ _

$a For ages 4-9.

Note: Audience

521 8_

$a 350L $b Lexile.

Subject

650 _1

$a Folklore.

Subject

650 _1

$a Pigs $x Folklore.

Subject

650

_1 $a Conduct of life.

Personal Name

700 1_

$a Budwine, Greg, $e illustrator.

Series Traced

800 1_

$a Sommer, Carl, $d 1930- $t Another Sommer-time story.

Title and statement of responsibility: We start with the 245 field—a choice that may seem counterintuitive, because this is not the first field in our example. Nevertheless, this field is probably the most important part of the record, because it helps the cataloger to set up other fields in the record. Because it is so fundamental to the content of other parts of the record, it is often helpful to start with this field and then work your way around the rest of the MARC record. In our sample MARC record, we can see the 245 field: 245 1 0 $a Three little pigs /$c by Carl Sommer ; illustrated by Greg Budwine. Notice the ISBD punctuation of the “/” before the name of the author and illustrator and the “;” between the name of the author and the name of the illustrator. In RDA, directions for application of punctuation are provided in Appendix D. As stated above, other fields in the record can be constructed from the content in the 245 field. In our

example, we want to create fields for the author and illustrator thus: Personal Name 100 1_ $a Sommer, Carl, $d 1930-, $e author. And Personal Name 700 1_ $a Budwine, Greg, $e illustrator. The information for the 100 and 700 fields comes from the 245 field, $c. This is why it helps to create the 245 field first. So information about the creators (in our example, the author and illustrator) responsible for the intellectual content of the item and the title of the item itself is found in the 1XX, 24X, and 7XX fields. The 1XX and 245 fields are not repeatable; the 7XX field is repeatable. Remember, this is just to get you used to the MARC record; we will go over the details of these fields in the following chapters. Edition: If your item has some kind of statement that includes the words “edition,” “revision,” “version,” or “revised,” you will include in your record an edition statement using the 250 field. If your item does not include this information, then leave this field blank. In our sample MARC record, we see this 250 field: Edition 250 _ _ $a First edition. You might notice something odd about this line. Look again and see the content: “First edition.” Many of us are used to seeing “1st ed.” The use of abbreviations comes from ISBD and AACR rules. RDA rules tend to discourage the use of abbreviations in an effort to simplify the cataloging process, as we will see in the following chapters. The 250 field is repeatable. Publication data: Record here information about the publisher, place of publication, and date of publication. In our sample MARC record we see the 260 and two 264 fields: Publication 260 _ _ $a Houston :$b Advance Publishing, Inc., $c c2014. Publication 264 _1 $a Houston :$b Advance Publishing, Inc., $c [2014] Copyright 264 _4 $c ©2000

We notice here the ISBD punctuation ( : ) before the $b and ( , ) before $c. In older cataloging (pre-2013), you are likely to see something like this: “$cc1988.” This is not a typographical error. The first letter “c” is the name of the subfield and tells the computer that the date information is coming up. The second letter “c” is entered because on the item the date is noted as a copyright date. The use of the “second c” is because in earlier years of cataloging, computer systems were not able to create the copyright symbol. Today, however, the symbol © is easy to create. There are RDA rules specific to how we should describe copyright dates, which we will examine in Chapter 7. Both the 260 and 264 fields are repeatable in the technical sense; however, if you are editing old cataloging, you should add the 264 field and delete the old 260 field, assuming the 264 field is valid in your ILS. Physical description: This is an unfortunate name for the 300 field because several of the MARC fields pertain to the physical description of the item. Sadly we are stuck with this phrase, but when we see the 300 field we should think “extent” of the item. For a book this means recording page numbers, illustrations, and dimensions. For some other material types, information to be recorded might include running time, inclusion of sound, whether the picture is in black and white or color, the number of pieces of a puzzle, the number of items in a kit, and so on. For multipart items, this area includes a description of the predominant part and then a brief description of the accompanying material. In our sample record, we see the following: Phys .Desc

300

$a 47 pages :$b color illustrations ;$c 23 cm

Again we see the ISBD punctuation and the practice of RDA to write out words in full rather than using the once-familiar abbreviations of “p.”, “col.”, and “ill.”. However, notice there is no full stop ( . ) at the end of the field. The measurement notation “cm” is a metric symbol and so not

considered an abbreviation (RDA rule B.5.1). This is a simple example. If the item also included a sound recording, for example in the form of a cd, we might see something like this: Phys .Desc

300

$a 47 pages :$b color illustrations ;$c 23 cm + $e 1 audio disc ((20 min.) : digital, stereo ; 4 3/4 in.)

Notice how the information in the subfield e parallels the structure of the entire 300 field. The 300 field is repeatable. This means you could create a separate physical description of the media part of the item in this way: Phys .Desc

300

Phys .Desc

300

$a 47 pages :$b color illustrations ;$c 23 cm $a 1 audio disc :$b digital, stereo ;$c 4 3/4 in.

Before adding multiple 300 fields, check that your system will accept that. Again, other examples and more detail will be given in Chapter 6. Content, Media, and Carrier Type: These are new fields developed to respond to the requirements in RDA for coded descriptions of the physical aspects of an item. As with the other fields, we will go into the detail of the RDA rules in another chapter. For now, it is enough to know they exist and recognize that they are not quite as “eyereadable” as some of the other fields. Our examples show the data for a print item (book). We will learn how to code for other types of materials in Chapter 7. Content type Media type Carrier type

336 _ _ 337 _ _ 338 _ _

$a text $b txt $2 rdacontent $a unmediated $b n $2 rdamedia $a volume $b nc $2 rdacarrier

Series statement: Record here statements given on the item about the series of which the item is a part. The RDA rules 2.12.1.4 and 2.12.2.3 generally advise on how to

record a series statement. The accompanying 800 field in our example below is a convention of the MARC format and not that of RDA at all. The Library of Congress has provided us with an authoritative way of referring to the “Another Sommer-time Story” series. Take a look at our sample record: Series: Title Series: Traced

490 1_ 800 1_

$a Another Sommer-time story $a Sommer, Carl, $d 1930- $t Another Sommer-time story.

The trick for this area is in discerning between true series statements and other statements that look like series statements. Usually the look-alikes are really statements about a division of a publishing house. We see lots of these kinds of statements, such as “A Piper Paperback,” “An Aladdin Paperback,” or “A Reading Rainbow Book.” These are not true series statements, and so the cataloger puts them in a general note (500 field) rather than in the series area. Notice in our series statement that there is no full stop at the end of the line. This is a throwback to the catalog card, when a series statement was enclosed in parentheses; therefore, the closed parenthesis at the end of the line acts as the final punctuation for this line. Today the series statement may or may not appear in parentheses; it depends on the system display. Additionally, it might be the case that an item is part of more than one series; thus, both the 490 and the 8XX fields are repeatable. Notes: This area is used to record a myriad of aspects of the item, and we refer to this as the 5XX area because MARC provides many different fields for notes, all beginning with the number “5.” Notes make up for the idiosyncrasies in describing an item. For example, if the cataloger supplies a title, or if there are missing pages in a book, etc., that type of information is recorded here. Other reasons for creating notes include the language of the text, if not English; likewise the table of contents, a summary statement, reading or audience level, material type (e.g., Blu-ray, DVD),

and special system requirements (e.g., Microsoft, Mac) are all recorded in this area. Also recorded here is information about any awards or honors given to the item and location of reviews about the item. Each type of note is given separately, as we see in our example: Note: General

500 _ _

Note: Summary

520 _ _

Note: Audience Note: Audience

521 _ _ 521 8_

$a “Fun times with diligence / respect for labor / self-discipline” -Cover. $a “The three little pigs were warned to build strong houses. Hardy built a strong house, but Dozey and Pokey built shabby ones. After narrowly escaping from the wolf, Dozey and Pokey have a dramatic change of mind”-- $c Provided by publisher. $a For ages 4-9. $a 350L $b Lexile.

Notice that some field numbers appear more than once, as in the case of the 521. Most of the 5XX fields can be repeated, which is nice because sometimes there is so much to say about an item and it’s important to keep the notes clear and organized. This is an important area and one that will be discussed in detail in Chapter 7. The 5XX fields are repeatable and usually end in a full stop. Standard Numbers: Record in this area standard numbers associated with the item, such as ISBN, ISSN, and government document numbers. In our example, we have recorded two ISBNs: ISBN ISBN

020 _ _ 020 _ _

$a 9781575379937 $q library binding : alk. paper $a 9781575379685 $q pbk. : alk. paper

Notice the use of the abbreviations here in the qualifying information after the numbers. We know that RDA usually does not support abbreviations; however, in recording the ISBN, we are instructed to add qualifiers as they appear on the item (RDA rule 2.15.1.7).

A frequently asked question for this area is what to do if there is more than one standard number given to an item. The question is usually referring to an item that has more than one ISBN associated with it, usually an ISBN each for the hardbound, paperback, and library binding printings of the book. Most schoolchildren don’t really care whether they have the hardbound or paperback version of a book, but some do. Cataloging theory states that a different number warrants a different record, but is that really necessary for us? The answer depends on your population. If you have both the paperback and hardbound copies of a book and you know that your users prefer the paperback because it’s lighter and easier to stuff into a backpack, then you might want a different record for the two different printings. However, this field is repeatable, so it might work just as well for you to have both ISBNs in the record and use the notes area to point out that you have both printings. You may even opt to add a prefix or suffix to the classification number to show that one copy is hardbound and the other is paperback. The point is that more than one ISBN can be in a record. Your decision on how to deal with different printings depends on you and your library community. The 020 field is repeatable. Other parts of the record: That takes care of most of the fields that have corresponding RDA rules; what about the rest of the record? Continuing on our downward journey through our sample record, we see the 6XX fields: Subject Subject Subject

650 _1 650 _1 650 _1

$a Folklore. $a Pigs $x Folklore. $a Conduct of life.

At this time the subject fields (6XX) are not defined in RDA; however, this may change in the future. For now, it is enough to recognize that subject headings are located in the 6XX fields of the MARC record. We say 6XX because, like the 5XX fields, there are different 6XX fields, defined according to the type of subject. The 650 field refers to

topics, like Folklore, Pigs, and Conduct of life. Other subject types include, but are not limited to, the 651 field for geographic subjects (e.g., the Grand Canyon or California), the 600 field for personal names as subjects (e.g., Marilyn Monroe or Jumbo the elephant), or the 610 field for corporate bodies as subjects (e.g., DuPont Company or Walt Disney Productions).

Conclusion At this point you should be comfortable with the “idea” of MARC even if you are not comfortable with each of the MARC fields. There are a lot of fields in the MARC record, and there are a lot of RDA rules used to construct the contents of the fields. In the following chapters we will explore the more common RDA rules and MARC fields.

Notes 1. Please note that the name of the program used to create computer surrogate records is really MARC 21, and if we are referring to the bibliographic record, we really should say “MARC 21 Bibliographic.” Most people, however, simply refer to it as “MARC.” While technically incorrect, we too will use the acronym MARC. 2. Unless otherwise noted, the MARC information presented here comes from the MARC 21 Bibliographic Format website: http://www.loc.gov/marc/bibliographic/. All references used with permission from the Library of Congress.

Introduction to Chapters 4 through 7 AACR, RDA, and MARC

F

or those of you for whom this text is a refresher, the following information will help you understand how the MARC format has changed in response to the move from AACR to RDA. For those of you who are new to the art of cataloging, this is still useful information because in the process of copy cataloging, you will see old (pre-2013) records, and the information presented to you here will help you to understand past practice.

AACR and Areas of Description The Eight Areas of Description and corresponding MARC fields: 1. Title and Statement of Responsibility: corresponds to fields 1XX, 245, 246, and 7XX Looked like this: Title : Subtitle / Author ; Illustrator. 2. Edition: corresponds to field 250 Looked like this: 2nd ed. 3. Material-Specific Details: corresponds to field 254, 255, and 256 Looked like this: Scale 1:13,500. 4. Publication, Distribution, etc.: corresponds to field 260 (264 under RDA) Looked like this: New York : Random House, c1998.

5. Physical Description: corresponds to field 300 (and later: 336, 337, and 338) Looked like this: 24 p. : col. ill. ; 32 cm. 6. Series: corresponds to fields 490 and 8XX Looked like this: (Magic tree house ; no. 6) 7. Notes: corresponds to fields 5XX Looked like this (one example): Title taken from cover. 8. Standard Numbers: corresponds to fields 01X—09X Looked like this: ISBN 978-0-14-311966-1 Notice the use of spaces and other forms of punctuation. Remember, intellectual access is provided through the 6XX and 082/092 fields, and MARC includes additional fields (not shown here) that are not part of ISBD, AACR, or RDA.

When ISBD was integrated into AACR in the middle of the last century, the parts of the catalog record were divided into elements or areas of description. There were eight areas (see box) that were defined by content and punctuation. The rules of AACR corresponded to the eight areas, as we can see in the organization of the book itself. For example, rules on how to construct the title and statement of responsibility for a book can be found under AACR rule 2.1. The same rules applied to a sound recording are found under AACR rule 6.1. We see that “.1” refers to the Area of Description, and the “2” and “6” are the chapter numbers in AACR. Notice in this example that there was a separate chapter for books and sound recordings. That is because AACR was organized around format of the item. Chapter 1 in AACR included general rules (also organized by Area of Description), and the following chapters (2–13) applied the general rules to the material type. That was Part I of AACR. Part II of AACR (Chapters 20–26) had to do with creating access points through authority control of information. “But wait,” you say, “what happed to chapters 14–19?” The introduction to AACR2 does not explain why there is a gap in numbering of the chapters. Perhaps it was to

leave room for future editions to tackle the problems of cataloging types of materials not yet created in 1978 without having to renumber all of the chapters. Perhaps it was to make it very clear that Part I was description and Part II was access, and numbering the chapters with a big gap between the two parts would emphasize the difference in the parts. To be honest, I don’t know; but, in reading about the different editions, I suspect that the creators of AACR2 were leaving space for chapters that would describe new types of materials. The point is that the rules were designed to help the cataloger create a record by first describing the item and then providing access. This approach is not mirrored in the order of the field lines (tags) of the MARC record, but we will see that it might help to think about the Areas of Description as we work our way through the RDA rules and apply the rules to the MARC record.

RDA and WEMI Where AACR has rules for description and access, RDA has rules for describing attributes and relationships. Recall the concept of WEMI, presented in Chapter 1—the acronym meaning work, expression, manifestation, and item. This is the basis for RDA. First, consider just the meaning of RDA: Resource Description and Access. The term is “resource,” not book, non-book, or DVD, and yet all of those material types and more can be “described” using the RDA rules. Further, the “access” part of the rules helps us to link all of those resources together through the relationships between the work and the creator(s). WEMI is a complex concept because a single resource can be a work, an expression, a manifestation, and an item all at the same time. When you have something in your hand (for the sake of argument, let’s say you have the DVD of Disney’s The Many Adventures of Winnie the Pooh), that

thing in your hand is an “item” because it is in your hand. But the DVD is related to the original book by A. A. Milne because the story, the words uttered by the characters in the movie, are very close to the words in the original book. We can say then that the DVD is an expression of the work and that, because it is a DVD, it is also a manifestation of the original work. Caution: “manifestation” is not materialtype specific; a 2015 edition of the book, for example, is also a manifestation of the work. Easy, right? Take a look at the box, and you can see how this all works out.

Work: A. A. Milne, watching his son Christopher Robin playing with his toys, thinks up a great idea to create some stories focusing on these toys. Expression: In 1926 the first edition of Winnie the Pooh is published in Great Britain. Manifestation: In 1977 the full-length movie The Many Adventures of Winnie the Pooh is released in the United States. Item: In 2015 a school librarian puts a bar code on a DVD of that same movie. Looking at this one can see almost a hierarchy from Work to Item but also an overlap because, while the DVD is an item in a concrete sense, it is also a manifestation of the original work as well as of the original full-length movie. We won’t worry too much about WEMI, except that is it good to know when we start talking about attributes and access.

Related to making connections through the concept of WEMI, RDA follows the principle of “take what you see and accept what you get” when transcribing information.1

Where AACR had clear rules about abbreviations, making corrections to errors on title pages, and capitalization, the true principles of RDA are less demanding. Basically RDA allows catalogers to transcribe data from the item exactly as the data appears on the item. The principle is that without having to worry about which words in a title should be

capitalized and the like, it will be easier to institute local practice and will be easier to link manifestations. In fact, Harden (2012) wrote of how graduate students helping with a cataloging project actually followed RDA rules without having been trained in the standards.2 The point being that

the “take what you see” principle should make RDA a little less scary because of the option of transcribing information as it appears on the item. As for the structure of RDA itself, where AACR was divided into 2 parts 27 chapters, RDA is divided into 10 sections and 37 chapters. Sections 1–4 provide rules for describing attributes of resources, and sections 5–10 provide rules for creating relationships within and beyond the resource. There are also appendices to help with abbreviations, capitalization, and other technical aspects of cataloging. A print version of RDA is available from American Library Association publications, but RDA is a code that was designed for the online environment and is best accessed through the website RDA Toolkit (available at subscription rates) if possible. As with AACR, the rules for RDA were developed and are revised through the Joint Steering Committee, an international committee of representatives from the library associations of the United States, Canada, Australia, the UK, and the Library of Congress.

MARC Help Chapters 4 through 7 are devoted to instructions for creating a surrogate record in the MARC format based on RDA rules. As a way of introduction, a hint sheet of the more common description elements is provided below with the MARC fields and references to the RDA rules. Following that hint sheet is a sample surrogate record from the Library of Congress for the Winnie the Pooh DVD we used as an

example above. Each field will be discussed in the chapters to follow. Like AACR, not every MARC field is included in the RDA rules. The hint sheet presented here shows only those fields for which there are related RDA rules. See Appendix I and II for help with all of the MARC fields discussed in this text. Additionally, not every MARC field or RDA rule can be described in a text this size. See the MARC 21 Bibliographic site for a description of all of the MARC fields at: http://www.loc.gov/marc/bibliographic/. As a reminder, Chapters 4 and 5 focus on the intellectual access to an item. Thus far, access to the “concepts” of an item are not fully developed in RDA, and so those two chapters will not include the presentation of RDA rules. In Chapters 5 through 7, our focus will be on physical description of the resource, and the fields of the MARC format correspond to all aspects of the item. The Resource Description and Access rules together with the ISBD rules determine the content of the information included in the fields for physical description. However, RDA is not as concerned about the punctuation rules of ISBD as was AACR, as we shall see. The MARC21 rules determine how that information is organized for presentation in an electronic catalog. The two following boxes should help in creating a picture summary of this overview of AACR, ISBD, RDA, and MARC. We are ready now to dissect the surrogate record into two parts: intellectual description (Chapters 4 and 5) and physical description (Chapters 6 and 7).

RDA/MARC Hint Sheet for the More Common Elements of Description RDA rules are in brackets after each field; explanations are in the body of the text.

Remember these are RDA-defined fields only. For a fuller MARC hint sheet, see Appendix I & II.

020

__

$a

(enter ISBN, no hyphens) [2.15] ($q is not defined by RDA)

 

 

^:$c

(optional to add price of item) [4.2]

1XX

1_

$a

(name of main creator of item) [19.2.1, 6.2.2.8]

(Usually 100 for the name of a person but could also be a 110 for the name of a corporation or 130 for a uniform title.) 245

XX

$a

(title, indicators show 1XX field and filing characters) [2.3.1.4, 2.3.1.5, 2.3.1.6, 2.3.2, 2.3.3]

 

 

^:$b

(other title information (subtitle) if needed) [2.3.4, 2.3.5]

 

 

^/$c

(statement of responsibility) [2.4.1, 2.4.2, 2.4.3]

246

3_

$i

(type of variant title, if needed) [2.17.2]

 

 

$a

(added title to trace for numbers, abbreviations, and so forth) [2.3.6]

250

__

$a

(edition statement entered as it appears on the item) [2.5.1.4, 2.5.2.3]

264

_1

$a

(place of publication, additional places use ;$a) [2.8.2.3]

 

 

^:$b

(name of publisher, additional names use :$b) [2.8.4.3]

 

 

,$c

(date of publication in brackets with a question mark if not stated) [2.8.6.3] (Up to about 2013, this information was entered in the 260 field; field 264 may be repeated)

264

_4

$c

(copyright date if no publication date is given on item) [2.11.1.3]

300

__

$a

(number of units, e.g. pages, discs, etc.) [3.4]

 

 

^:$b

(illustrative, sound characteristics) [7.15.1.3]

 

 

^;$c

(dimensions) [3.5.1.4]

 

 

^+$e

(accompanying materials if needed) [27.1]

336

__

$a

(content type) [6.9.1.3] (includes $b and $2 which are not RDA defined)

337

__

$a

(media type) [3.2.1.3] (includes $b and $2 which are not RDA defined)

338

__

$a

(carrier type) [3.3.1.3] (includes $b and $2 which are not RDA defined)

490

1_

$a

(series title) [2.12.2.3]

 

 

^;$v

(volume/sequential designation) [2.12.9.3]

5XX

XX

$a

(Notes to explain cataloging decisions and emphasize other aspects of the item. Common files are 500-general, 520-summary, 521audience level. May be repeated as needed) [Rules are scattered throughout RDA, see 5XX section, Chapter 7.]

[6XX fields are not currently part of RDA, but there are plans for inclusion in the future.] 7XX 1_ $a (additional names of contributors to the content of the item, added as needed) [19.2, 19.3]     ,$e (relator term) [I.2] 8XX XX   [series title as established by the Library of Congress goes with the 490 field]

Note that the following punctuation is used: ^ is to mark a space before the subfield punctuation; _ is to mark a blank indicator place; X is to mark placeholder in field number; subfield punctuation is given before each subfield as needed. But also note that where AACR was wedded to ISBD punctuation, RDA is less so. The punctuation is included here, but the amount of punctuation you would need really depends on the system you are using, because some systems insert punctuation automatically.

RDA/MARC Hint Sheet Filled-in for The Many Adventures of Winnie the Pooh

Remember these are RDA-defined fields only. For a fuller MARC hint sheet, see Appendixes I & II. 020

[the DVD does not have an ISBN and so this field is left blank]

130

0_

$a Many adventures of Winnie the Pooh

245

14

$a The many adventures of Winnie the Pooh / $c Produced by Wolfgang Reitherman ; written by Larry Celmmons [and 7 others] ; directed by John Lounsbery, Wolfgang Reitherman.

246

[No additional title entries are required for this title, so this field is left blank]

250

[There is no edition statement for this title, so this field is left blank]

264

_2

 

[The code “2” tells us that this is distributor, not publisher information.]

264

_4

$c ©2013

300

__

$a 1 videodisc (approximately 74 min.) :$b sound, color ; $c 4 3/4 in.

336

__

$a two-dimensional moving image $b tdi $2 rdacontent $3 DVD

337

__

$a video $b v $2 rdamedia $3 DVD

338

__

$a videodisc $b vd $2 rdacarrier $3 DVD

490/8XX

 

[This item is not part of a series so this field is left blank.]

5XX

[There are many 5XX fields for this item; here are just four of them:]

500

__

$a Originally released as a motion picture, 1977.

511

0_

$a Voices: Sebastian Cabot, narrator ; Sterling Holloway, Pooh; Paul Winchell, Tigger ; John Fiedler, Piglet ; Ralph Wright, Eeyore ; Hall Smith, Owl ; Junius Matthews, Rabbit.

521

__

$a MPAA rating: G.

546

__

$a In English, French, or Spanish with optional English, French, or Spanish subtitles.

7XX

[In this record, there are many people for whom access should be provided—pretty typical of movies. As an example, only two names are provided here; remember this is not a complete record:]

700

1_

$a Reitherman, Wolfgang, $d1909-1985, $e director, $e producer.

700

1_

$a Cabot, Sebastian, $e narrator.

$a Burbank, Calif. :$b Buena Vista Home Entertainment, Inc., $c 2013.

The two concepts not illustrated in these samples are subject headings and classification, because they are not part of describing the physical item, but, rather, are for the purposes of presenting the intellectual content of the item. Those concepts will be discussed in the next two chapters.

Notes

1. Carlton, Tim, and Jessalyn Zoom. Library of Congress Training for RDA: Resource Description & Access. Module 1—Introduction to RDA: Identifying Manifestations and Items. Washington, D.C.: Cooperative and Instructional Programs Division, Library of Congress, 2012. Accessed: May 15, 2015, at: http://www.loc.gov/catworkshop/RDA%20training%20ma terials/LC%20RDA%20Training/LC%20RDA%20course%2 0table.html. 2. Harden, Jean. “Inadvertent RDA: New Catalogers’ Errors in AACR2.” Journal of Library Metadata, 12:2–3 (2012): 264–278.

Chapter 4 Intellectual Access—Subject Headings In this chapter we cover the creation of subject headings using the following fields: 600 XX $a Personal name as a subject 650 XX $a Topical subject headings 651 _X $a Geographic subject headings We also included limited explanation of the 610 (Corporate bodies as subjects), 611 (Conference names), 655 (Genre), 658 (Curriculum objectives), and 690 (Local subjects) fields.

Introduction

I

ntellectual access refers to information retrieval based on the content of the item itself, rather than physical access via title or author. Subject access is provided to show the user the items a library has on a given topic, as opposed to classification that is used to organize the collection according to the discipline. Applying subject headings means one is describing what the item is all about. This chapter will present information on: 1) the concept of subject headings vs. keyword access; 2) the structure of Sears List of Subject Headings, Library of Congress Subject Headings, and BISAC Subject Headings List; and 3) applying the MARC format to subject headings.

Subject Headings vs. Keyword Access

We begin this chapter by recalling that one of Cutter’s objects and means was to find a book (or information package) according to its subject (see Chapter 1). In order to meet this need, lists of subject terms, or subject headings, were established that reflect the intellectual content of the item; or, what the item is about. Words in these lists are called “controlled vocabulary.” The vocabulary is referred to as “controlled” because only certain words can be used for describing the intellectual content of the item being cataloged. The lists are based on a structure so that a cataloger can create a new term if need be; however, some lists are more amenable to vocabulary additions than others. Inherent in the use of standard subject headings lists is the structure of a subject string. Catalogers can construct new subject headings by following the structure of the list. By following the structure, if a specific heading does not exist for a topic, a new heading may be developed by the cataloger, assuming this is permissible for the given list. The Library of Congress Subject Headings (LCSH) and Sears List of Subject Headings (Sears), the two most commonly used lists in school libraries, are examples of controlled vocabularies that are widely accepted. We will discuss the structure of these two vocabularies later in this chapter. One of the consequences of computerizing card catalogs was that library patrons were no longer bound by the confines of subject headings for retrieving information. Automated programs included the ability to look at each line of the surrogate record and pull out “key words” for retrieval purposes. For example, if the word “surfing” appeared anywhere in the record, in the title, subject heading, summary statement, anywhere at all, the user could search that word and pull up records with that word. This would apply to any meaning of the word “surfing,” be it surfing the Internet or the ocean waves. It is important to emphasize that content, or the meaning of the word, is not taken into consideration in keyword searching. Keyword searching involves the retrieval of information based on the incidence of the word in the surrogate record and is not necessarily reflective of the intellectual content of the item. Since the introduction of keyword searching, researchers have been examining the benefits of keyword searching over subject searching. Even from the earliest stages of electronic information retrieval, the question was not which one is better, but how to use both as effective methods of information retrieval. Related to keywords, the development of the electronic catalog lent itself to the expanded use of “folksonomies.” The folksonomy is developed not by librarians but by users. A good example of a system that capitalizes on the development of folksonomies is the LibraryThing website (https://www.librarything.com), in which contributors catalog their own collections, including adding words or phrases that they feel

best describe the content of the book they are cataloging. (For a fuller description of tagging on LibraryThing, see the site: https://www.librarything.com/concepts.) Some school library systems allow students to add “tags,” or descriptive words, to records usually through mediation with the school librarian. This use of popular tags, school librarians say, helps students take ownership of the books and encourages them to talk about what they are reading. Limited folksonomies, such as those of the same group of kids in a school, tend to evolve into a sort of controlled vocabulary, but they don’t have to. In that sense, folksonomies fall somewhere between unstructured keywords and controlled vocabularies such as Sears and LCSH. A question that is often asked when discussing keywords versus controlled vocabularies is, “If the user can retrieve information from any part of the surrogate record, why should librarians bother with controlled vocabulary?” A controlled vocabulary helps lead a user to the desired materials by ensuring that all similar material content have been assigned the same subject headings. An uncontrolled vocabulary (keyword) does not make this assurance. There is a hit-or-miss factor in keyword searching. A “good” keyword might lead the user to just the right subject heading, and a “poor” keyword might result in a list of items that are completely unrelated to the desired content. To illustrate, suppose we have a user who is interested in the kind of surfing that requires tidal motion and lots of sand. Now let’s say we type in the keyword “surfing” and get back these two titles: Surfing the Ocean Waves of the Internet and Surfing the Great Ocean Waves. The search has resulted in great retrieval. That means our user had essentially a successful search resulting in two items from which to choose. However, the precision in the search is lacking, because only one of the titles is on the topic about which the user is interested. It might not make that big a difference if we’re only talking about two titles, but let’s see what happens in a real-life example. If you go to the Library of Congress catalog (http://catalog.loc.gov) and enter “surfing” into the search bar (which defaults to a keyword search), you will get more than 1,200 titles in response to your search.1 A brief review of the results will illustrate immediately that this is not an efficient search. Sure, there are items about gliding across ocean waves on a board, but there are also items about channel surfing, Internet surfing, and surf fishing. And that’s just the first screen of results! Now go back to the top of the page, click on “Advanced Search” and enter “surfing” as a subject search. The resulting list is half as long (a bit over 600 instead of over 1,200), and the first 25 titles are all related to riding a board on the ocean waves. Keyword searching often results in greater retrieval (more hits) and less precision (fewer correct hits). This doesn’t

make keyword searching wrong; it’s just a different way of accessing information. Thinking about our example, we may come to the conclusion that keyword searching is a bad idea. It is not, but it has to be approached with the knowledge that we’re talking about the incidence of the word and not the intellectual content of that word. Keyword searching can be especially helpful when one is unsure of the subject heading to use. A good keyword search will often lead the user to just the right subject heading. We were lucky in the example search because “surfing” is actually a correct subject heading, but we may not always be so lucky.

Figure 4.1 Example of Part of a Surrogate Record for the Book Teammates.

Consider the example given in Figure 4.1, of a real (but abridged for the sake of illustration) surrogate record for Teammates, a book about the baseball player Jackie Robinson. Imagine a user is interested in finding items about baseball players. There is a subject heading for baseball players. (Remember the 6XX fields are for subjects, so we are looking at the fourth subject line in our example.) Therefore, entering a subject search “baseball players” would result in the retrieval of this and other items with that subject heading included in the record. Now imagine that the user conducted a keyword search instead of the subject-headings search. Along with this book and any other items about baseball players, included in the list would be items about basketball players, bridge players, even banjo players, not to mention baseball rules, baseball history, and baseball teams! There is a distinct efficiency in using a controlled vocabulary, but it doesn’t always work for us the way we would like it to. For example, if

our user didn’t know the right subject heading and instead used “baseball biographies” for the subject search, then the list would be short indeed. In fact, unless the cataloging was incorrect, the user would get no titles at all as a result of that subject search, and would come to the conclusion that the library has no biographies about baseball players. Here is where the keyword search “baseball biography” would come in handy. We have learned that a controlled vocabulary assumes that the user knows the words that are on the subject list. Thus the user must know that the subject is “baseball players” and not “baseball biographies.” Keywords do not make this heroic assumption. A keyword search of “baseball biography” would at least result in some retrieval of relevant materials, if not this exact title. Once related items are retrieved, the user can then click on the proper subject heading and have access to just the right items. Some automated systems are created with the assumption that K12 students may not know the right words to use in their subject searches. To help the students, instead of responding with zero hits to a “wrong” subject search, the system will display subjects that are alphabetically close to the student’s search term(s). (Relational database programs, similar to those of Google and Amazon programs—“If you searched this, you might like that”—are becoming more common with larger ILS programs.) In our case of “baseball players” versus “baseball biographies,” our user may luck out if the display is long enough to give the hint on the correct heading. The user might not be so lucky if the “right” subject term is not alphabetically close to the “wrong” search. In an interesting illustration of this point, Hatcher (2005) describes the results of a subject search using the word “kamikazes.” She typed in the word, but the item she knew was in the database about kamikaze pilots was not displayed in the list of retrieved titles. In fact no titles were retrieved for her search! It turned out that, according to LCSH, she had the wrong subject heading. The correct subject heading was “World War, 1939-1945 – Aerial operations, Japanese.”2 In this case it would be impossible for an alphabetical list to bring the two terms close together. Electronic retrieval programs index keywords from certain parts of the surrogate record. Which part of the record is used for retrieval purposed is dependent on the design of the system itself. Minimally, these words are taken from the author, title, subject, and some notes fields of the surrogate record. The more fields the program searches, the longer the search will take. In the early days of automated programs, vendors severely restricted the fields searched because the technology was slow and users did not like waiting for search results. Faster technology, however, has allowed for more extensive use of the surrogate record. The result is that most ILS programs access nearly the

entire record for keyword searching purposes. As the school librarian and purchaser of these programs, talk with your program vendor and find out which parts of the record are indexed for keyword and subject retrieval. Keyword access is a tremendous boon to library users and information retrieval. The benefit is especially noticeable in searching for aspects of the item that are not related to the subject of the item. The abundance of reading programs such as Accelerated Reader and Reading Counts have made searching by reading, Lexile, and target level a must in school library settings. Students often get assignments to read books only from a reading program list, so it is helpful for them to use keyword searching to retrieve titles based on the name of the list and reading levels. In the case of our baseball book, a keyword search might include “accelerated reader baseball” to find a book about baseball that is also on the Accelerated Reader list. This combined search is not possible using only a subject headings search. Lexile searching is a little bit trickier than searching for the name of a reading program. Theoretically a student should be able to type in the area of interest (in our case, we’ll stick with baseball) and the Lexile level to which he or she has been restricted, and come up with an item (assuming the library has a baseball item at exactly that Lexile level). However, for many school library systems, that kind of keyword search is too sophisticated. Usually a keyword search on just the Lexile number— for example, 660—should yield a list of items. However, the mix of the number and the topic is not always as successful. If all the student needs is a book at a certain level only, then a number and keyword search will work fine—assuming that the exact number is actually in the record. If, for example our student is reading at a 660 level and the item has been cataloged with the information of “550-750 Lexile,” then our student may be out of luck. However, if a topic is important, then students will need to learn more advanced searching techniques to combine reading levels with topical searches. How this is done is dependent on the system itself, but it is a technique that should be taught to students, especially if the school emphasizes reading level over topic. Teaching students about the differences between retrieving information via keywords or subject headings is crucial. It is also important for the librarian to understand this difference when deciding what type of information to include in the surrogate record. Remember, the essence of cataloging is organization for the purpose of retrieval; therefore, it is useful to make sure the record includes descriptive keywords to supplement the controlled vocabulary of the existing subject headings.

Sears List of Subject Headings, Library of Congress Subject Headings, and BISAC Subject Headings List The two standard subject headings lists used in school library media centers are the Sears List of Subject Headings (Sears) and the Library of Congress Subject Headings (LCSH). There is also a third list, the BISAC Subject Headings List (BISAC), which is inching its way into public and school library catalogs. All three of these lists are illustrative of controlled vocabularies. Further, each list makes use of a structure so that the vocabulary words can be configured together to form a longer subject heading known as a “subject string.” Before we discuss the use of these headings and the creation of subject strings, we will take a quick look at their historical development.

A Little Historical Background Recall from Chapter 1 that the Library of Congress began sharing its catalog records with other libraries as far back as 1901. Prior to that, in 1895, the American Library Association had published a subject vocabulary list known as the List of Subject Headings for Use in Dictionary Catalogs. Shortly after that, in 1898, the Library of Congress began work on its own list, which it published in 1914 as the Subject Headings Used in the Dictionary Catalogues of the Library of Congress. Once again, what had been developed as an in-house system soon became the national standard. The title as we know it today, Library of Congress Subject Headings, was first used in the eighth edition of the work, published in 1975.3 Remember that these were subject headings

for the library that served the United States Congress; therefore, by definition, the headings used were academic in nature. To be fair, the Library of Congress has certainly recognized that not every library user is a member of Congress or even an academician. In recent years, LC has moved from unnatural language (scientific nomenclature and inverted headings) to more natural language. Also, to meet the needs of cataloging children’s materials, LC created the Library of Congress Annotated Card Subject Headings list (LC/AC). Devised and first implemented in the mid-1960s, the LC/AC headings were designed as exceptions to the LC subject headings to replace technical terms with words more easily understood by a younger group of users. The LC/AC headings enhance rather than replace the LC headings. Thus, it takes both lists to assign subject headings to children’s materials. LC/AC

headings tend to be more general than LC headings. For example, while LCSH uses the heading “Teenage marriage,” LC/AC is limited to the broader term “Marriage.” In an upper elementary school, the LC/AC term “Marriage” may be sufficient for retrieval purposes. In a senior high school situation, however, it might be more useful to differentiate between those items that are about marriage in general from those specifically about teen marriage. Therefore, the elementary school librarian might use the LC/AC heading, while the senior high school librarian might prefer to use the LC heading. The Library of Congress also created a way to take a “regular” heading and make it a “children’s” heading by adding the phrase “Juvenile literature” at the end of a subject string for a nonfiction work and the phrase “Juvenile fiction” for works of fiction. The term “juvenile” could also be added to other children’s works, such as “Juvenile humor” or “Juvenile poetry.” That word “juvenile” seems almost archaic to us today and certainly would not win any points with our students. When we take a closer look at subject headings and the MARC format, we will see how we can circumvent that word. In 1923, with small public and, by extension, school libraries, as the focus of the work, Minnie Earl Sears created a work that was easy for librarians to use and users to understand. Sears eliminated scientific terminology found in LCSH in favor of more vernacular terms, with the express purpose of making retrieval easier for the non-academic library user. Sears knew that her list was anything but exhaustive and comprehensive. Instead of attempting to include all possible headings and ending up with a multivolume work like LCSH, Sears included explicit yet simple directions to librarians regarding how to create subject headings that would be necessary for the specific needs of the library but that had not been included in her text. There was no attempt to codify these added headings, but to simply allow librarians to create lists that were specific to the needs of their users. In the earlier editions of what we now call the Sears List of Subject Headings, there was a column of text and space in the margins of the book for librarians to write down their added subject headings. An unfortunate aspect of the newer editions is the omission of that space as inserting library specific terms is difficult in the now much smaller margins. A relative newcomer to the issue of controlled subject vocabularies is the BISAC Subject Headings List. Created in the 1990s, this list was never meant to seep into the public (or school) library arena. BISAC stands for Book Industry Standards and Communications. It and the subject headings list are governed by the BISAC Committee of the Book Industry Study Group, Inc. Notice that libraries are not part of this group. It is a list created by book publishers for the book industry.4 If you have not seen BISAC subject headings in action in a library, chances are pretty

good that you have seen them on a recent book you purchased at a bookstore (real or online). Check the back of a new book: in one of the corners you might see something like “History/Jewish,” or “Science,” or “Women’s Studies.” Those are BISAC headings. The list itself is based on roughly 50 subject categories and roughly 3,000 subcategories. On the surface it looks nice and clean; after all, it seems that one could practically memorize just 50 subject categories. The problem is that 50 categories simply are not enough for any size collection. Additionally, the list is available only in English, offers no notes to guide in the application of the terms, and is only for books. Still, these headings are showing up in cataloging provided to libraries by book vendors, so later in this chapter, we will discuss the structure.

The Comparison Although in the greater world of cataloging there are a variety of standardized subject headings lists, such as BISAC, there are basically two lists used in schools: Sears and LCSH (including LC/AC). Before the advent of automated cataloging, most school library media specialists depended on the Sears List of Subject Headings (Sears) for assigning subject access to the library materials. Librarians appreciated the easy, natural language of the Sears headings and were comfortable with adding their own headings when required. Besides that, the one volume of Sears was more compact and more affordable than the multiple volumes of LCSH. However, as library catalogs entered the automation age and reliance on purchasing cataloging or on copy cataloging increased, school librarians began to accept the subject headings provided on the records, regardless of the list being employed. It is probably safe to say that most school library catalogs are now conglomerates of Sears and LCSH. Today, many vendors offer school librarians the choice of including Sears, LCSH, or both subject headings terms to their records. At face value, there seems to be little problem with the use of LCSH in a school library. It is so easy to accept the cataloging provided by vendors, and most vendors do supply LCSH in their cataloging. However, the problem is not in accepting what is provided by the vendor but, rather, how to deal with assigning subject headings to items not cataloged by a vendor. If one must apply subject headings—and this might be done even with vendor-supplied cataloging—then it is a good idea to have a current copy of an authoritative subject headings list. Another important issue to address is that of creating headings if they are not provided in either Sears or LCSH. Sears anticipated that librarians would need to create their own headings and included

instructions on how to add headings to her list. The new headings would be constructed according to her guidelines but would not be “standardized,” in that they might be used only in the library adding the heading. LC, on the other hand, is much stricter about the addition of new headings or the adaptation of existing ones. Although it is true that new headings are constantly being added to LCSH, these headings are not added without careful (and often lengthy) consideration. Catalogers may fill out reports to LC recommending the addition of new headings. Acceptance of new terms is predicated on literary warrant—that is, the determination that there are enough publications on the subject to warrant the creation of a new heading. Suggestions for adding or changing headings are submitted to the Subject Authority Component of the Program for Cooperative Cataloging through a Subject Authority Proposal form available on the Internet: http://www.loc.gov/catdir/pcc/prop/proposal.html. Weekly subject headings lists are posted on the Library of Congress site for the Cataloging Directorate, Cataloging Policy and Support Office: http://www.loc.gov/aba/cataloging/subject/. Few school librarians will have the time to check this list on a weekly basis; however, there are some headings for which it would be wise to check for revisions and updates. Areas such as sports, current events, and biographies are particularly sensitive to popular trends and are some of the hardest areas to keep current. For example, while we have had a subject heading for renewable energy sources since 1985, the heading “clean energy” that refers to resources that are carbon-free and non-polluting, was only created in 2014. “Clean energy” is a much more specific heading than “Renewable energy sources.” However, without being aware of changes in LC headings, school librarians may continue to apply and accept the older headings. It might take some time for new headings to show up in vendor databases and copy cataloging resources. If the librarian is aware of the changes, she or he can enhance the records to reflect the newer heading. Just as the catalogers in the Library of Congress do not go back and update subject headings with each subject heading change, it would be unreasonable to assume that the school librarian would go back and update the school catalog. What the school librarian does need to be aware of is that subject headings do change. They change and are added on a weekly basis. The real job of the school librarian is not to keep up with the weekly update lists, but rather to know whether the vendor supplying the cataloging for new materials is keeping up with and providing authority records for subject heading changes. For those school librarians in districts with centralized cataloging, there must be assurance from the cataloging department that current subject headings

are being applied to the library materials with proper cross-references when required. The benefit of using Sears headings is that they allow each library to add and change headings as best suits the needs of that library. Of Sears and LCSH, Sears is certainly the easier and less expensive. Because Sears is designed for the small public and school library, it presents subject headings with Dewey classification numbers attached to the headings. This is a very useful aspect of the list that does not exist with LCSH. Being designed specifically for schools and smaller libraries, one may find that Sears is the resource to have. On the other hand, the benefit of using LCSH is that those headings are seen in copy cataloging more commonly than are Sears headings. It is simply easier to download an LC heading than it is to create a Sears heading. Additionally, LC has now made its subject headings authority list available for searching, online and for free, to the general public. This feature will probably outweigh the benefit of connecting Sears headings to Dewey classification numbers. Realistically speaking, there probably will be very few school librarians in the years to come who will rely completely on Sears. This also means that school librarians must be vigilant about the headings they are accepting from vendors and online databases.

The Electronic LCSH The Library of Congress has made its authority files available to the general public—meaning that one can now look up the LC files for authorized subject headings online and free of charge. Therefore, if one wasn’t sure whether the videotape about spiders should get the subject heading “spiders” or “arachnida,” a quick trip to the LC authorities database (http://authorities.loc.gov) would prove that either is acceptable, but that “spiders” is the preferred heading for children’s materials. If we were to go to the LC authority records Web page (http://authorities.loc.gov), we would click on the highlighted “Search Authorities” link and be taken to a search page wherein we could search for subject, name, title, or name/title authority headings. Both the name and the subject authority searches are of interest to us in terms of subject headings. Names would be applied to creating biographical headings and subjects for topical and geographic subject headings. When we enter a search and look at the results, we will find that our term is in a center column with the type of heading on the right side and a special button, “Authorized & References” on the left side. We want to see that special button, as it will lead us to making sure we have an authorized heading. In the right column, under “Type of Heading,” we

want to make sure we have “LC subject headings” or “LC Subject Headings for Children.” We may also see other types of headings listed, but we are only interested in LCSH or LC/AC headings. Let us look at an example for “spiders” in Figure 4.2. If we click on the red button, “Authorized & References,” we will see a link to the proper heading, or the authority record, along with references to narrower terms (names of specific types of spiders), as we see in Figure 4.3.

Figure 4.2 Results of the Subject Search “Spiders” on the LC Authorities Database. (May 15, 2015).

Figure 4.3 List of the LC Subject Headings Related to “Spiders.” (May 15, 2015).

And clicking on the “Authority Record” will lead us to a reference to the heading and then eventually to the heading itself (Figure 4.4):

Figure 4.4 Authority Record for the LCSH Term “Spiders.” (May 15, 2015).

In the authority record we see something that looks like a MARC record, but it is different. The definitions of these fields are different in the authority record than they are for the bibliographic or surrogate record. What we need to know from this record is that if our term is in the 1XX field of the authority record, then it is a term we can use. (See the box for a definition of authority control.) If, for example, our search had been “araneae” which is in the 450 field, then we would know that we have selected a term that is not used and we should use “spiders” instead. We can also see this example in a “Labelled Display” that helps us to understand the reference without needing to understand the MARC structure of the authority record, thus:

Figure 4.5 Labelled Display for the LCSH Term “Spiders.” (May 15, 2015).

Authority or authority control refers to the linking of various forms of a name or subject heading. The links are made in terms of “see” and “see also” references. In computer programs, these links are transparent to the user. It is usually up to the librarian, however, to establish these links. Thus the librarian must create what is known as authority records to cross-reference name changes (e.g., Geisel, Theodor S. see Seuss, Dr.) and subject changes and additions (e.g., Skateboarding see also Extreme sports). Access to the Library of Congress authority records helps us in making sure that the names of the people, places, and corporate bodies, and the topic headings we want to add to our records are correctly constructed and are valid headings. Creating an authority record is not the same as creating a surrogate record. The surrogate record represents an information package. The authority record represents links to synonymous

terms or names, such as Geisel and Seuss. Most ILS programs take care of the authority records for us.

What this database does not do for the cataloger is to show how subject headings are constructed or which subdivisions are viable with specific subject headings. While having access to these files, especially for free, is a great asset to the school librarian, it may not be sufficient for cataloging needs in creating enhanced or original records. Luckily, Library of Congress again comes to our rescue. Library of Congress cataloging tools are available on the Web through a subscription that may be prohibitively expensive for a single school library. A district may be able to afford the cost, and if the district has centralized cataloging then it could be worth the expense of purchasing the subscription. However, for the single library (small public or school library), the 37th edition of LCSH is available in pdf form from the LC Cataloging and Acquisitions site: http://www.loc.gov/aba/publications/FreeLCSH/freelcsh.html#About. For those who well remember the big red volumes of LCSH, these pdf files are a comfort. For those who are not familiar with the structure of the print version of LCSH, the files may be somewhat confusing. It is beyond the scope of this text to go into greater detail on how to create LCSH subject strings; however, as we discuss the creating of subject headings using the MARC format there will be some presentation of the subject string that should facilitate the use of these pdf files should you opt to further explore them. There is similar free online access to the pdf of the 19th (2007) edition of the Sears list through EBSCO, the publisher for the online versions of the Sears list. Be wary in using this edition, however, because much has changed since 2007 especially in technology and social issues. EBSCO also makes the “front matter” for the 21st edition of Sears freely available from its website (see page 72 for URL). That document provides instructions for the rules of the Sears list and how to create new headings. EBSCO also has an electronic version of Sears available at a subscription rate.

The school librarian should consider having access to a copy of a standardized subject headings list. Provided here is a chart of the advantages and disadvantages of Sears and LCSH. Sears List of Subject Headings Pro: List created expressly for school and small collections; relatively inexpensive to own a current edition; organized for in-house addition of headings; links headings to specific abridged Dewey classification numbers; includes prefatory information on the theory and creation of subject headings.

Library of Congress List of Subject Headings Pro: Extensive, widely used list; authority of headings may be checked online for free; includes special subject headings just for children’s materials (LC/AC headings).

Con: Not readily available for authority checking online; not Con: Unnatural academic language (LC/AC excluded) difficult for often found in resources offering copy cataloging. school-aged children to use. Format:

Format:

19th edition (2007) free online at Print edition ceased after 2014. http://support.epnet.com/uploads/kb/sears_19th_edition.pdf. 37th edition(2015) free online at 21st edition (2014) in print from H. W. Wilson; $165.00; new http://www.loc.gov/aba/publications/FreeLCSH/freelcsh.html#Individual edition every 4 years. Current list available through subscription; contact LC for rates. EBSCO subscription, updated annually; contact vendor for rates.

Basic Structure of Sears and LCSH We have already discussed using the online version of LCSH; we shall now focus on the use of the print version. While Sears and LCSH are not identical, they share enough common structure that they can be discussed together. Both Sears and LCSH are arranged in alphabetical order with boldfaced entries marking valid subject headings and references from non-valid headings (those that are not in bold print) to the valid headings. References to similar headings are made using the navigational abbreviations: USE, UF, BT, NT, RT, and SA. “Use” (USE) directs the user from a term that is not accepted to a different term that is. “Use for,” (UF) is the opposite of USE and shows the user the term that is not used. “Broader” and “narrower terms,” noted as BT and NT respectively, lead the user to just that, terms that are broader or narrower in scope to the one in question. A “related term,” or RT, is a term that is on the same level as the term in question. The “see also” (SA) reference helps the cataloger create new or more specific headings. Both LCSH and Sears use notes under some of the more nebulous headings to clarify proper usage. At the beginning of both LCSH and Sears is a list of words that can be used as subdivisions for nearly every subject heading. These are called “free-floating subdivision” in LCSH and “commonly used subdivisions” in Sears. Also, each list establishes “key” (Sears) or “pattern” (LCSH) headings as models for using subdivisions. Directions for use of these headings and subdivisions are given in the introductory parts of each text.

Both LCSH and Sears use the same abbreviations to guide the cataloger to the right subject word or phrase. The examples here are annotated from the Sears headings, 20th edition, pp. 51–52; the information in parentheses has been added. USE/UF: Use this term/not that term BT, NT, RT, SA: These words are related to each other

Example: Architecture UF Buildings (don’t use Buildings, USE Architecture) SA styles of Architecture (an example on Sears not supplying every type of term we might need but allowing us to create them as needed) BT Art (Art encompasses Architecture) NT Ancient architecture (this is a specific type of Architecture) RT Buildings (related because Architecture refers to the design of the structures and Buildings refers to the materials needed to create the structures)

Headings and Subdivisions Subject headings typically are single-word entries used to convey a concept or topic (e.g., baseball). On occasion, it may take more than one word to adequately convey the meaning of the topic (e.g., baseball players). Sometimes the subject headings can be further subdivided to bring out specific topics. Imagine what a catalog would look like if all works on United States history were entered only under United States! Further dividing of the subject heading can help lead the user to more specific works. These words are called subdivisions or subheadings. In the manual format, subject headings are divided into subheadings by the use of the double dash (--). In the MARC record, the dashes become transparent to the cataloger, even though there may be some form of the dashes in the display of the record in the public catalog. Using a different subfield for each aspect of the subject heading tells the computer to insert dashes on its own. Let us take as an example a book about football coaching. • In the print version of LCSH we would see: Football (May Subd Geog) -- Coaching • In Sears we would see: Football – Coaching 796.33207 • In the MARC record we would see: 650 _0 $a Football $x Coaching. (LCSH) OR 650 _1 $a Football $x Coaching. (LC/AC) OR 650 _7 $a Football $x Coaching. $2sears (Sears) • In the OPAC we would see: Subjects: Football – Coaching Both the LCSH and Sears listings of the subject heading include the double dash, but in LCSH the subdivision is on a different line and in Sears it is on the same line. Both headings are in bold print so we know

they are legal headings to use. In our example, we see that Sears has provided us with a hint as to where to classify this item by supplying the appropriate Abridged Dewey Decimal Classification number (a very nice added feature). As we list subject headings in the MARC record, we place the information following the dash into a new subfield. In the MARC record, the double dashes will be inserted automatically in the OPAC by the computer because the subdivision is entered in a different subfield (in this case $x). Notice how the subject heading is displayed on the public catalog with the double dashes to separate the main subject heading from the subdivision. We will go over the structure of the MARC field with more specificity later in this chapter. For now we will focus on the structure of the subject headings themselves.

Try this: Take a look at subject headings by going to an online catalog. Many catalogs will allow you the option of looking at the public (OPAC) record as well as the MARC record. Flip back and forth, and note how the MARC record information is translated by the computer into a format that is easy for the user to understand. Try this with a local database and the LC database (http://catalog.loc.gov).

LCSH headings and subdivisions: Let’s take a closer look at our football example. We see the following (the full subject heading as printed in the LCSH is abbreviated here for the sake of illustration): Football (May Subd Geog) [GV937-GV960] Here are entered general works on football games as well as works on American football. UF American football Foot-ball [Former heading] BT Ball games SA subdivision Football under individual educational institutions, e.g. Harvard University –Football NT Flag football Rugby football Soccer Touch football -- Accidents and injuries -- Attendance USE Football attendance -- Betting -- Clubs -- -- Collective labor agreements

USE Collective labor agreements – Football clubs -- Coaching Look at the term “Football” and note that it is in bold print. This means that it is a valid subject heading, and when creating a MARC record it can be used in one of the 6XX fields. “Football” is immediately followed by “(May Subd Geog).” This means that the cataloger can add a geographic subdivision after the term “Football”—e.g., “Football – Wisconsin.” On the next line we see “[GV937-GV960],” which are hints to the cataloger that these are the Library of Congress Classification numbers associated with this subject area. The classification system referred to here is the Library of Congress classification system and not the Dewey Decimal classification. It is not much help for us in the school library environment. This line is followed by a scope note about how the subject heading may be applied. Next we see a “use for” (UF) notation telling us that the terms “American football” and “Foot-ball” are not valid headings and we should us “Football” instead. Next we see the broader term reference (BT) to “Ball games.” Following that is a list of narrower terms (NT—e.g., Flag football), and then the subdivisions. Note that under the subdivisions there are some valid terms (in bold) and some invalid ones (not in bold). The invalid headings have references to the alternative headings. Sears headings and subdivisions: Now let’s see how Sears handles the subject of football: Football (May subdiv. geog.) 796.332 BT Ball games Sports NT Soccer Football – Coaching 796.33207 BT Coaching (Athletics) Immediately, one can see a similar structure but much less detail. We see that one may add a geographic subdivision for the subject heading (May subdiv. geog.), we have broader and narrower terms, and there is a subdivision for Coaching. What we do not see is the detailed scope note, the reference to invalid terms, and a long list of subdivisions. Remember that Sears is meant for smaller library collections, so there is less need for the detail included in LCSH. We also see a classification number here, but it is the Abridged Dewey Decimal Classification number, not LC, because Dewey is more commonly found in the smaller public and school library environments.

BISAC Subject Headings List Structure While it is true that BISAC headings are making their way into book vendor-supplied cataloging, as of this writing there does not seem to be an immediate push to move from Sears or LCSH to BISAC. We will see in Chapter 5 that the bookstore model (related to BISAC) for organizing collections is taking hold in public and school libraries, and in the process sometimes the BISAC subject headings are also adopted. Therefore, let us take a look at these headings as well. The subject list is available on the Web at: https://www.bisg.org/complete-bisac-subject-headings-2014edition. However, note that permission must be obtained before it can be downloaded. Figure 4.6 shows the structure of one subject heading using our football example.

Figure 4.6 Example of the Topic of Football Using the BISAC Subject Heading List.

The Library of Congress recognized BISAC subject headings as a valid subject list in 2008 and has been including these subject headings in the surrogate records since 2011. The jury is still out regarding the strengths of BISAC as a replacement for LCSH, although Sears and Dewey seem to be struggling against it: more about BISAC and Dewey in Chapter 5.

The MARC Format: 6XX Fields We will explore here in some detail the way to include LCSH and Sears subject headings in the MARC record. (Because of copyright restrictions, BISAC will not be part of this portion of the chapter.) Subject headings occupy the 6XX fields of the MARC record. The fields are usually referred to by the number preceding the Xs. So this area is referred to as “six-xx.” They may also be referred to by the number of the first field in the area, as in “600” field. There are 15 different kinds of 6XX fields that are used to define different kinds of subject access. In general, school librarians will be most concerned with personal name (600), topical

(650), geographic (651), corporate name (610), and genre (655) headings. We will also include a brief discussion on the meeting (611), curriculum (658), and local (690) subject fields.

There are 15 types of 6XX fields. These are the more common fields used with school library materials:

• Personal names (as in biographies) = 600. • Topical headings (general subjects) = 650. • Geographic headings (places as subjects) = 651. • Corporate headings (as in theme parks) = 610. • Genre headings (type of literature) = 655. All 6XX fields are repeatable, which means that more than one of any given 6XX field may be seen in a record.

Recall from Chapter 3 that each MARC field comprises a field (or tag) number, two indicator spots, and the various subfields (designated for our purposes with the dollar sign “$” and the letter of the subfield, as in “$a”). Also recall that the indicators are codes that either direct the computer program to do something or define for the computer information included in the field. In the 6XX fields, the first indicator is used to indicate a number of different meanings that will be made clear in the discussion of the individual fields below. The second indicator has the same definition for all 6XX fields that we will be discussing. It is used to show from whence the heading has come, that is, which controlled vocabulary list was used to create the subject heading. Library of Congress Subject Headings will have a second indicator value of “0.” For subjects established in the LC Annotate Card (children’s) headings, we see the value of “1.” For Sears headings, the second indicator code is “7,” with an added subfield “2” at the end of the subject string and the word “sears” in that subfield. The value of “7” tells us that this is a heading from a controlled list, and the subfield “2” is the place where we will explain which list was used (in our case the list is Sears). Again, these values for the second indicator hold true for all 6XX fields discussed below. An experienced cataloger will know immediately the origin of the subject heading by just looking at the second indicator. If we look up the book Accidents May Happen, we find these three subject strings: 650 _0 $a Discoveries in science $x History $v Juvenile literature. 650 _1 $a Discoveries in science.

650 _7 $a Science. $2sears Note first that all three headings are included in a single record, telling us that it is perfectly all right to mix the subject lists in a single record. This is an important aspect of the record to understand. If the Library of Congress catalogs a children’s item, it is likely to employ both LCSH and LC/AC headings in a single record. If another institution catalogs the same item but that institution also uses the Sears headings, then it is realistic to see the LC headings as well as Sears headings in the same record. Herein lies an important reason for understanding how subject headings are assigned and being able to make the decision to keep or delete subject headings as needed. We see in our example that the first subdivision is $a. This is the case for almost every field in the MARC record. The main topic or heading is entered in the $a. The other subject heading information, the subdivisions, is given in other subfields. The most commonly seen subfields in the 6XX fields are $x and $v. The $x is used for noting other topical information. In the case of our example, we see “History” as a subdivision for the main subject heading. This tells the user that the information package is about the history of science discoveries. The $v is used for the form of the information package. In our case, we see that the item is a nonfiction work for children. We know this because in $v we see the phrase “Juvenile literature.” Notice that neither the LC/AC nor the Sears headings make use of “$vJuvenile literature.” The reason for this is very simple: since LC/AC and Sears headings are mostly used for children’s materials, it is assumed that the item is for children and therefore any reference to juvenile work is redundant. Get used to seeing “juvenile literature” and “juvenile fiction,” as one sees these a great deal in LCSH subject headings. Again, note that “juvenile literature” is used for works of nonfiction, and “juvenile fiction” is used for works of fiction. Is it important to keep the $v information in the case of our example? Well, maybe or maybe not. Do not be nervous about deleting that information if you feel your students would be unhappy seeing “juvenile” pop up in the record. But before you spend time deleting information, consider your situation. If you are part of a consortium of libraries contributing records to a unified catalog, you might not have the freedom to delete what is essentially correct information. On the other hand, if little details continually bog us down, then it is not surprising when there is a groundswell to “simplify” cataloging practice. Do what you think is best for your community.

600 Field: Personal Name Heading

The 600 field is used for items about specific people. Here the names of those people are entered as subject headings. This is different from entering name information for an author. Record the name of the author or other contributor to the content of the work in the 100 or 700 fields but record the name of a person that the item is about in the 600 field. The book Bard of Avon, for example, is a biographical work about William Shakespeare, and so we need to provide access to Shakespeare as a personal name subject heading, thus: 600 10 $a Shakespeare, William, $d 1564-1616 $v Biography $v Juvenile literature. 600 11 $a Shakespeare, William, $d 1564-1616. 600 17 $a Shakespeare, William, $d 1564-1616. $2sears

As we saw with the 650 field example above, the construction of these subject strings is basically the same, because they are making note of the same type of information—that is, entry under a person’s name. For the 600 field the first indicator has a value of 0, 1, or 3. A “0” value tells us that the name in $a is a first, or forename, as is used for identifying royalty—e.g., Elizabeth or Diana. A value of “3” tells us that the name in $a is a family name, as is used for works about an entire family—e.g., Du Pont Family. By far the most common value in the first indicator for 600 field is the value “1,” which is used to note a last or surname, as in Smith, Jones, or, as in our example, Shakespeare. As stated above, the second indicator is used to note the source of the heading: 0, 1, or 7 for LCSH, LC/AC, or Sears headings. Notice in the example, one again sees the difference in specificity between the LCSH, LC/AC, and Sears headings. Take a moment to identify for yourself the different headings. Remember, it is quite possible that all three headings would be included in a single record; however, in your own school, you may decide to use just one of them. If you are being zealous about using only one subject headings list, then you will have only one 600 field in your record. If you were copying this record from a database (such as LC) or if you purchased the record from a vendor, you might have to look at the record and delete any unwanted 600 field. Note, however, that if the name is the same—that is, if there are three 600 fields for Shakespeare that are identical—then retrieval of the item will not be affected. This means that if the student enters a subject name search for Shakespeare, only one record will be retrieved. The system will not, or at least should not, bring up what would look like three separate records that, in reality, are the same information package. In other words, it is all right if there is more than one 600 field for the same person in a single record. In our example, the LC/AC and Sears headings are exactly the same (the $2 is not considered part of the subject heading for retrieval purposes). The LSCH information,

however, is slightly different. If the record is left unchanged, the search may result in what will look like two records even though there is only one item; the actual retrieval mechanism depends on the system. This is the consequence of having more than one controlled vocabulary in use in a single database. Information for personal names as subject headings usually comes from the item itself in the CIP information or from another copy cataloging source. In the past, before the days of easy access to other library databases, if name information was not on the item (in the form of CIP or other data), the librarian would make up the name entry as best as he or she could. Today, there are so many databases to look at and to use for this decision that it is no longer a matter of making something up. Here is where having access to the LC authority database really comes in handy. If we didn’t have any idea of how to create a subject heading for Mr. Shakespeare, we could go to the LC authorities page (http://authorities.loc.gov/), look up his name, and find the correct field information. There are 30 valid subfields used with the 600 field, typically not all at the same time. These are the more common subfields: • $a - personal name, • $b - numeration (as in II), • $c - titles (as in Sir), • $d - birth and death dates, • $q - fuller form of the name, • $t - title of a work, • $v - form subdivision, • $x - general subdivision. Of these seven subfields, one most often sees $a, $d, $v, and $x. Remember that the subfields are not necessarily used in alphabetical order. Going back to the Shakespeare example we see the following: 600 10 $a Shakespeare, William, $d 1564-1616 $v Biography $v Juvenile literature. 600 11 $a Shakespeare, William, $d 1564-1616. 600 17 $a Shakespeare, William, $d 1564-1616. $2sears

Note that the first indicator has a value of 1, so we know that Shakespeare is a surname. The second indicators show that the first example is from LCSH; the second, from LC/AC; and the third, from Sears. All of the examples start with the $a and include the $d for

Shakespeare’s birth and death dates. The first example from LCSH shows two subfields that are the same ($v). That is all right in this field. Information in the box describes a change in the application of the general subdivision ($x), used to show that the work is biographical in nature, and a form subdivision ($v) to show it is a nonfiction work for children. Cataloging prior to the year 2000 is likely to have Biography coded as a general topic subdivision ($x) rather than as a form subdivision ($v). You can correct these records as you run into them, if you have the time. The LC/AC heading has only Mr. Shakespeare’s name and dates. The reason there are no other subdivisions in the LC/AC heading is that children’s collections tend not to need the detail necessary in larger adult collections. The heading is coded for children’s headings, so the addition of the form subdivision for Juvenile literature in $v would be redundant. Sears actually has quite long instructions about when to use or not use the subdivision “biography,” including discouraging the use of “biography” with the name of a person because it is really redundant. The assumption here is that if the name of a person is provided as a subject heading, then it must be biographical in nature.

Problems with the $x and the $v; or, why are so many LC records “wrong”? We have to take a moment to discuss a little history about the form subdivision ($v). In looking at older cataloging, one may see many subject headings fields with a $x to note the form of an item (e.g., Biography, Fiction, Juvenile literature). This is not a mistake, but an example of the fact that school librarians are not the only ones who are too busy to go back and fix records. In the late 1990s, the Library of Congress defined the $v as a way to differentiate items that were about a type of publication and items that were that type of publication. The decision to create the “form” subdivision was not without controversy, and many months were spent discussing exactly when a “form” was a form and not a subject. School librarians are most likely to run into this issue in looking at items with a “biography,” “fiction,” “juvenile fiction,” or “juvenile literature” designation. Until very recently, those designations were entered under the $x, but today they are entered under the $v. As records are downloaded, the information should be updated and the subfields corrected. We should not think of records being “wrong” but simply in need of updating.

The 600 field is most commonly found in records of biographical works. This is not, however, the only time one might use a 600 field. There are times when a person is mentioned in an information package that is not, strictly speaking, biographical in nature. Historical works are typical of this situation. For example, a work on the history of public libraries in the United States that describes the contributions of Andrew Carnegie may very well have a 600 entry for Andrew Carnegie, because he was so integral to the development of public libraries and is

mentioned throughout the work, even though the work does not cover detailed biographical information about him.

Summary for the 600 Field: • Repeatable field used for subject access under a person’s name. • The first indicator has the following values: Value 0 means $a contains a forename, as in 600 00 $a John, $c the Baptist. Value 1 means $a contains a surname, as in 600 10 $a Smith, John. Value 2 means $a contains a family name, as in 600 20 $a Dunlop family. • The second indicator 0, 1, or 7 notes the use of LCSH, LC/AC, or Sears headings respectively (a field with a 7 indicator must include a “$2sears”). • The most commonly used subfields are $a - name, $d - dates, $v - form • Ends in full stop (for Sears headings, the full stop is before the $2). • LC/AC and Sears headings usually do not include additional subfields beyond the person’s name and dates.

Examples: 600 00 $a Madonna, $d 1958600 00 $a 50 Cent, $c (Musician) (Note the use of the $c needs to show this is the name of a person, a musician in fact, and that there is no full stop as the close parenthesis acts as the final punctuation.) 600 11 $a Kennedy, John F. $q (John Fitzgerald), $d 1917-1963. 600 10 $a Balanchine, George. Exercises: Try to create personal name subject headings and then use a copy cataloging source or the LC authorities file to find personal name subject headings for the following. (Watch out for information that is interesting to know but may not be necessary to enter into the field itself.) 4.1. Eleanor Roosevelt, former first lady and human rights advocate who lived from 1884 to 1962. 4.2. Bill Clinton, 42nd president of the United States, born 1946 as William Jefferson Clinton; to most of the world he is just plain Bill. 4.3. Casey Kasem, radio personality known for playing American Top 40; born 1932 and died 2014. 4.4. Queen Elizabeth II, born 1926. Royalty presents all kinds of problems when setting up a personal name entry. Take a look at the entry established by the Library of Congress. Also, take a look at the entry for her husband, Prince Philip, and her son Prince Charles. Note that royalty is not entered under the person’s last name, but under the first name (note the use of the 0 in the first indicator space). This sometimes creates some confusion, but it is the answer to the question, “Why is the biography of Princess Diana shelved between the biography of Johnny Depp and the biography of Celine Dion?”

650 Field: Topical Heading

Subject headings for specific topics, what we call topical subject headings, are entered in the 650 field. Catalogers use as many 650 fields as are needed to convey what the item is about. This is the field wherein the controlled vocabularies of LCSH and Sears really come into play, bringing together varied terms, such as cows and bovines but not cash cows, into a single term or phrase. Let us look at the topical headings for the book Accidents May Happen: 650 650 650 650 650 650 650

_0 _0 _0 _1 _1 _7 _7

$a $a $a $a $a $a $a

Discoveries in science $x History $v Juvenile literature. Technological innovations $x History $v Juvenile literature. Technological innovations. Discoveries in science. History, Modern $x Miscellanea. Science. $2sears Inventions. $2sears

Notice that seven subject headings have been entered for this one item, and that each entry is in its own 650 field. The fields that look like they are repeating information (e.g., the second and third fields) are just the LCSH and LC/AC headings. As with the 600 fields, each individual library would decide whether it wanted to use only LCSH or only LC/AC headings, or both. Take a good look at the indicators and subfields; they should look familiar. As with the 600 field, there are two indicators and a variety of subfields. The first indicator in the 650 field technically has four values: blank ( _ ), 0, 1, or 2. In practice however, most 650 fields will have a blank for the first indicator. The second indicators are the same in the 650 fields as found in the 600 field—that is, 0 for LCSH, 1 for LC/AC, and 7 with a $2 for a Sears heading. The subfields also have the same meaning in the 650 field as they do in the 600 field. There are 16 valid subfields in the 650 field, of which only 4 are used with regularity (not including the $2 that goes with the second indicator 7). In the examples above, one sees the familiar $a, $x, and $v. The other common subfield is $z for geographic subdivisions. Consider this example sound recording Civil War Songs: 650 650 650 650 650

_0 _0 _7 _7 _7

$a $a $a $a $a

Folk songs, English $z United States. Popular music $z United States. American songs. $2sears War songs. $2sears Folk songs $z United States. $2sears

The $z is used to show that the content of this item is focused on the subject in the United States. Catalogers add geographic subdivisions to topical subject headings when directed by the vocabulary list. In LCSH

and Sears, the directive “May subdiv geog” following a subject heading tells the cataloger that this heading may be followed by a geographic subdivision. If that directive, “May subdiv geog,” does not appear after a subject heading, then the cataloger does not add a geographic subdivision. Usually the $z will follow directly after the $a information and then is followed by additional subfields if necessary. Notice that the LCSH heading uses the phrase “Folk songs, English,” while the Sears heading does not make a language distinction, relying instead on the geographic subdivision to say it all. It doesn’t, of course, as folk songs from the United States could be in any language, but it serves the purpose of a smaller collection, as is commonly found in school libraries. Topical subject headings generally comprise one or two words or phrases in natural or inverted order. In the 1990s the Library of Congress began a program to update inverted headings, such as “Peas, Frozen,” and put them into natural order, thus: Frozen peas. Sears does not make use of inverted headings. Note in our example that subject headings always begin with a capital letter. Subject headings that include more than one word, such as “Popular music,” include a capitalized first word but the second word is not capitalized. Proper nouns, such as “English,” will be capitalized. The words in inverted headings, such as “History, Modern,” are both capitalized. Each subfield begins with a capital letter, as we see in these examples:

Summary for 650 Field: • Repeatable field used for subject access under a topic. • The first indicator is usually blank, indicated by an underscore mark: _ . • The second indicator 0, 1, or 7 notes the use of LCSH, LC/AC, or Sears headings respectively, and a 7 indicator must include a $2 sears. • The most commonly used subfields are $a - topic, $v - form, $x - general subdivision, and $z – geographic subdivision. • LC/AC and Sears headings usually do not include additional subfields beyond the first topic unless a location is involved. • Ends in full stop (for Sears headings, the full stop is before the $2).

Examples: 650 _0 $a Tennis $x History. 650 _0 $a Tennis $z United States $x History. 650 _7 $a Gays and lesbians in the military. $2sears Exercises: Using a copy cataloging source or the LC authorities database, try to find topical subject headings for the following. (You may need more than one heading to cover the topic.) 4.5. Care and feeding of pet tropical fish 4.6. Volcanoes and earthquakes around the world 4.7. Italian cooking 4.8. Careers in dentistry

• 650 _1 $a History, Modern $x Miscellanea. • 650 _0 $a Discoveries in science $x History $v Juvenile literature.

651 Field: Geographic Heading There are times when a work is about a geographic location, in which case the cataloger uses the 651 field. The 651 field can be repeated to cover as many areas as necessary. For example, a work about the United States and France would have two 651 fields, one for the United States and one for France. The first indicator in 651 is blank. The second indicator holds the same values as those in 600 and 650: 0, 1, and 7 with the accompanying $2. There are only eight valid subfields in the 651 field. Of those, $a – geographic name, $v – form subdivision, $x – general subdivision, and $y – chronological subdivision, are the most common. Let’s take the example of the book An American Plague: The True and Terrifying Story of the Yellow Fever Epidemic of 1793, by Jim Murphy. This book is about a specific topic (yellow fever), a specific place (Pennsylvania), and a specific time (1793). We can bring out this geographic heading using the 651 field, thus: 651 _0 $a Philadelphia (Pa.) $x History. 651 _1 $a Pennsylvania $x History $y 1775-1865. 651 _7 $a Philadelphia (Pa.) $x History. $2sears We have a very interesting example here because the LC/AC heading is more detailed than the LCSH heading, in that it includes a date, and yet it is more general because the heading is for the state rather than for the city. It is also interesting that the Sears heading is exactly the same as the LCSH heading. Notice the date given in the LC/AC heading. Dates are not to be invented by the cataloger. This means that we are not free to create a heading that looks like this: 651 _1 $a Pennsylvania $x History $y 1793.

Sears and LCSH are very clear about the use of time periods or chronological subdivisions. If a time period is not provided in the list, and the cataloger believes the learning community would be best served by adding a chronological subdivision, then this must be done by consulting the LC Period Subdivision Under Names of Places.5

Recall that Sears allows for the addition of subject headings as needed. If one were to look for Philadelphia in the Sears list, one would be disappointed and perhaps a little confused because it is not there. How then do we make a heading if it is not there? Sears uses “key” headings as models for adding other headings. In the prefatory part of the book, there are instructions to use “Chicago (Ill.)” as a model for creating other headings about cities. Following that model, we can easily make up a heading for Philadelphia. Similarly, if we wanted to include the broader heading of Pennsylvania, we would use the model entry “Ohio” and come up with: 651 _7 $a Pennsylvania $x History. $2sears

Summary for 651 Field: • Repeatable field used for subject access under a place. • The first indicator is blank. • The second indicator 0, 1, or 7 notes the use of LCSH, LC/AC, or Sears headings respectively, and a 7 indicator must include a $2 sears. • The most commonly used subfields are $a - place, $v - form, $x - general subdivision, and $y - chronological subdivision. • LC/AC and Sears headings usually do not include additional subfields beyond the first topic, unless a time period is involved or the subject is historical in nature. • Typically, time periods are predefined by the list and are not made up by the cataloger. • Ends in full stop (for Sears headings, the full stop is before the $2).

Examples: 651 _7 $a United States $x Politics and government $y1961-1974. $2sears 651 _0 $a Iran $x History $y 20th century. 651 _1 $a Yosemite National Park (Calif.) $v Fiction. Exercises: Create geographic subject headings for the following. Use copy cataloging resources to check your answers. (Try to find both LCSH and Sears subject headings.) 4.9. Item about the American revolutionary war 4.10. Item about the Russian revolution (1917) 4.11. Item about China in the 1920s 4.12. World War I and World War II present some interesting cataloging questions because neither Sears nor LCSH use those phrases as headings. How would you assign headings for a book about World War II in general? What about an item that focused on the impact of the war in Germany only?

If you are going to use Sears as a subject headings list, you must take a good look at the prefatory material. This part of Sears is available free

online through the publisher, EBSCO, at: http://support.ebsco.com/downloads/resources/SearsFM.pdf.

610 Field: Corporate Name Heading When we think of “corporate bodies,” we tend to think of organizations like the Smithsonian Institutes or Enron—and this would be correct. Corporate bodies are also the National Zoological Park in Washington, D.C., and the Titanic. Sometimes subject headings can fool the cataloger by looking like geographic headings, but in reality they are not. The Library of Congress refers to these entities as ambiguous headings. For example, the names of airports, concentration camps, and theater buildings are subjects under the corporate headings (610). Monuments and towers are topical subjects (650), and tunnels are geographic headings (651). A full list of ambiguous headings is available from the Library of Congress at: http://www.loc.gov/marc/community/ambiguousheadings.html The first indicator in the 610 field has a value of 1 or 2. Indicator 1 means that the entity is named under the place first and then the name for the corporate body, for example, Delaware, Department of Education. A value of 2 means that the entity is listed in the direct order, for example, Los Angeles International Airport. The second indicators have the same values as in the other 6XX fields: 0, 1, and 7. There are 23 defined subfields for the 610 field, but the ones most commonly used by school librarians are $a – name or jurisdiction (place) and $b – subordinate unit (the rest of the name). One will also see $v – form, $z – geographic, and $t – title of document. For the most part, the school librarian will not need to be concerned with entering names using the first indicator 1 (jurisdiction order). The use of this field for entries in jurisdiction order is usually the result of needing to catalog a local government item such as one would find for education standards from the state department of education. In cases like these, the 610 entry begins with the name of the state in $a and ends with the name of the state department in $b. Additionally, one uses the 610 field for the purpose of referring to state and national documents. In this case, the name of the state or nation is listed first in $a, followed by the name of the official document in $t. Consider these examples: • 610 20 $a Bluenose (Schooner).

• 610 20 $a Empire State Building (New York, N.Y.). • 610 10 $a United States. $t Constitution $v Juvenile literature. • 610 11 $a United States. $t Constitution.

• 610 10 $a Delaware. $b Dept. of Education. • 610 20 $a United Nations $z Africa.

Summary for the 610 Field: • Repeatable field used for subject access under a corporate name. • The first indicator is 1 (jurisdiction heading) or 2 (direct heading). • The second indicator 0, 1, or 7 notes the use of LCSH , LC/AC, or Sears headings respectively, and a 7 indicator must include a $2 sears. • The most commonly used subfields are $a – name or jurisdiction and $b – subordinate unit. • Other subfields used are $v – form, $z – geographic, and $t – title. • Ends in full stop (for Sears headings, the full stop is before the $2).

Examples: 610 21 $a Columbia (Spacecraft). 610 11 $a United States. $t Declaration of Independence. Exercises: Create corporate subject headings for the following. Use copy cataloging resources to check your answers. 4.13. Buckingham Palace 4.14. The White House 4.15. Titanic (hint: a steamship, not a sailing ship)

Notice the use of the 610 field for the U.S. Constitution in both the LCSH and LC/AC formats. Note too that “department” is abbreviated “dept.” Also note the last example that refers to the United Nations offices or activities in Africa. Notice the use of the $z in the last example to specify geographic subdivision, just as it is used in the 650 field. When in doubt, consult the LC authorities database.

611 Field: Meeting Name Heading Meetings are listed in the 611 field. For our purposes, we might consider types of meetings commonly written about for student populations, such as the Olympic Games, certain expeditions like those to the North Pole, and gatherings of historical importance such as Woodstock or a world’s fair. The 611 field is repeatable and is constructed exactly the same as the 610 field. Therefore, we have the first indicator with the values 1 for jurisdiction and 2 for name in direct order. The second is used, as with

the other 6XX fields, to show the source of the heading (0 for LCSH, 1 for LC/AC, and 7 for Sears). Parenthetical information is often included in the 611 field. Consider these three examples: • 611 20 $a Lewis and Clark Expedition $d (1804-1806) $v Juvenile literature. • 611 20 $a Byrd Antarctic Expedition $n (4th : $d 1946-1947) • 611 21 $a Olympic Games $n (27th : $d 2000 : $c Sydney, N.S.W.) $v Fiction. There is much here that should look familiar to you; the field number, the indicators, the first subfield, $a, and the $v to note a work of fiction. Because this can be a confusing field, we won’t go into too much detail, but we feel it is important for you to understand the construction of this field. The information recorded in this field deals with an event, like an expedition, and the time. For some events, like an Olympic competition, the place is also of importance. If it is important to note the time and place of an event, then you can be pretty sure you have meeting information, and in subject cataloging using the MARC format, that means the 611 field. These examples can be used as models for most of the common meetings needing description in a school library collection; however, don’t forget that the Library of Congress can help out in this matter. Try a subject or keyword search for the meeting you need to catalog, and chances are pretty good that you’ll find the help you need.

655 Field: Genre Heading One type of heading that is appearing with more and more frequency in the school library catalog is the genre heading (655). This heading is particularly useful for describing specific types of fiction such as science fiction, historical fiction, love stories, and graphic novels. The guide for deciding how to use this field is Guidelines on Subject Access to Individual Works of Fiction.6 This field can also be used to show the form of the item, for example, Dictionaries. The Library of Congress defines the use of genre terms as:

Terms indicating the genre, form, and/or physical characteristics of the materials being described. A genre term designates the style or technique of the intellectual content of textual materials or, for graphic materials, aspects such as vantage point, intended purpose, or method of representation. A form term designates historically and functionally specific kinds of materials distinguished by their physical character, the subject of their intellectual content, or the order of information within them. Physical characteristic terms designate historically and functionally specific kinds of materials as distinguished by an examination of their physical character, subject of their intellectual

content, or the order of information with them. (http://www.loc.gov/marc/bibliographic/bd655.html)

Summary for 655 Field: • Repeatable field used for defining genre of the item (not the subject of the item). • The first indicator, more likely than not, will be blank. (There is another option of 0 to mark a faceted heading, but it is doubtful a school librarian would use or even see this genre type.) • The second indicator 0, 1, or 7 notes the use of LCSH, LC/AC, or Sears headings respectively, and a 7 indicator must include a $2 sears. • The most commonly used subfields are $a – genre term, $v – form, $z – geographic, and $y – chronological. • Ends in full stop (for Sears headings, the full stop is before the $2).

Example: 655 _0 $a Graphic novels.

It is important to note the use of genre for the type of work the item is rather than what the item is about. A work about graphic novels would have “Graphic novels” as a topical subject heading (650). On the other hand, a work that is a graphic novel would have “Graphic novels” as a genre heading (655).

658 Field: Curriculum Objectives This field is not commonly found in school library catalogs, but it should be. Through this field, one can link directly to school, district, state, or other curriculum standards (but not informal classroom standards). It is this field that will make the school librarian really indispensable when the classroom teacher comes in and says, “I’m looking for materials to help me meet the fourth grade standard number one for geography.” Then the librarian can enter a subject search for that curriculum standard, and up will pop all the materials that will help the classroom teacher meet that standard. Most of the time it will be a matter of the school librarian entering that information. Thus we immediately see why this field is underused; it is time-consuming. Certainly there is no time in the school librarian’s schedule to go through the entire catalog and input this kind of information. However, this information can be added to new materials as they come in (especially if the materials have been requested by the classroom teachers) and as materials are identified as being useful in planning collaborative units with classroom teachers.

As we mentioned, the 658 field is used to identify curriculum standards. We shall see in Chapter 7 how to use notes fields to add classroom curriculum information as well. However, the 658 field is used for standardized curriculum such as district and state standards. Both indicators are blank, and the field is repeatable. In $a, we enter the standard itself. In $b, we add secondary objectives. In $c, we create an abbreviation for the standard. In $d, we state the correlation of the item to the standard. In $2, we enter the source of the standard. Except for $a and $2, all other subfields are optional. There is no punctuation between the subfields. The subfield immediately preceding $2 ends in a full stop or a parenthesis. There is no closing punctuation after the $2. Our first example is a hypothetical example for Delaware. • 658 _ _ $a Civics standard #1 $b 7compare and contrast various forms of government $c CS1PI1 $d highly correlated. $2local $a tells us that this item is related to the Delaware Social Studies Civics Standard number 1. $b tells us that the performance indicator met for this standard is the one in which students will be able to compare and contrast various forms of government in the seventh grade. $c is the abbreviation of all of that: CS1 = Civics Standard 1, PI1 = performance indicator 1. $d tells us that this item is highly correlated to the standard. Other terms seen here include “slightly correlated” and “moderately correlated.” $2 tells us that this is a local standard. The Library of Congress has a list of standards for which they have provided abbreviations that is available on their website: http://www.loc.gov/standards/sourcelist/curriculum-objective.html. Only eight states have been codified by LC: Indiana (accssd), Maryland (abledata and rehabdat), Missouri (moss), Ohio (ohco), Pennsylavania (paas), Texas (teks and txac), Virginia (slvps), and Wisconsin (hdsetl). Any other state that wishes to have its standards recognized would have to apply to LC for an abbreviation. Our second example shows a notation for a standard for problem-solving from the National Council of Teachers of Mathematics. • 658 _ _ $aProblem solving 3-5$cNCTMPS3-5.$2local $a tells us this is the problem solving standard for grades three through five.

$c gives us the abbreviation, but enough information for us to know the source (NCTM) because … $2 only tells us that this is a local standard even though it is a national standard.

Summary for 658 Field:

• Repeatable field used for defining the connection between the information package and district, state, or national curricula. • Both indicators are blank. • There is no full stop at the end of the field; however, the subfield immediately preceding $2 ends in a full stop. • The subfields are $a – curriculum standards, $b – secondary objectives of the standard, $c – abbreviation of the standard and objective, $d – strength of correlation between the information package and the standard, and $2 – source of the standard. • There is no punctuation or spacing between the subfields. • All subfields are optional except for $a and $2. Example: 658 _ _ $a Language Arts/ genre/ biographies $b contemporary literature $c LA912GCLbio $d highly correlated $2local

Some vendors have selection tools that allow one to select books and media based on state or national standards. Unfortunately, the 658 field is usually not included in the purchased cataloging of those materials. Now that you have knowledge of the usefulness of this field, you might talk to your vendor representatives about the advantages of including this field in purchased cataloging. Until then, it is a good idea to try to include this field whenever possible, especially if you have established a collaborative relationship with the classroom teachers and you know of resources that are used in connection to district or state standards.

690 Field: Local Headings There are a number of other fields in the 6XX field, but the ones described above are the most commonly seen in the school library catalog. Catalogers can always look up specific fields from the LC Cataloging Directorate at http://lcweb.loc.gov/marc.

One 6XX field that may appear occasionally in a surrogate record is the 690 field. The cataloging library (i.e., the individual school) uses this field to list subject headings that it has created without following any sort of schema. One should be very careful about creating subject headings (other than creating headings as directed in Sears). While it might be tempting, try not to do this. If you must, be sure there is a method established to keep track of these invented headings, and be certain that the library system will index, or search on, the 690 field. Not all library systems do this. It would be unwise to create a heading that the patrons can’t use for retrieval purposes.

How Do I Know How Many Subject Headings to Add? One may ask how many subject headings should be assigned to each work. We have alluded to this question elsewhere in the text, but it bears repeating. In the old days of cards that were handwritten or created on manual typewriters, the rule of thumb was no more than three headings per item. (Actually, BISAC maintains that rule.) This rule makes sense if one imagines the poor librarian banging away on an old typewriter, creating cards for the card catalog. No mechanical reproductions were available, and it was an arduous and tedious task to type or handwrite each and every card. Today, without the manual labor of dealing with leaky pens or sticky shift keys, the librarian is free to add as many headings as he or she desires. One should be careful, however, of adding too many (or too few) headings. If, for example, in a biographical work about a scientist, the scientist is described as an avid surfer and no other mention of surfing is given, then it would be pointless to add “surfing” as a subject heading. It is pointless to do so because anyone looking for works on surfing would be led to this item that really has nothing to do with surfing at all. The fact that the scientist is a surfer may be interesting, but it is not what the item is about. This seems like a fairly obvious example, but it serves to illustrate the point that too many subject headings can adversely affect precision in the retrieval process. While in theory one can create an unlimited number of subject headings, one should always ask the question, “Is this heading really what the work is about?” The more headings assigned, the greater the probability the user will be erroneously led to a work. On the other hand, too few headings can have an equally adverse effect. Users can be unaware of a potentially useful item because a heading was not assigned when it should have been. For example, a

work about Andrew Carnegie may not be specifically about libraries, but if there is significant information about his contribution to the growth of public libraries in the United States, then it would be a mistake not to assign a subject heading for libraries to the item. The question of how many subject headings to assign should center on the “aboutness” of the information package. If the item is about 10 different things, then add 10 different subject headings. If, on the other hand, the item is about one thing, then there is no need to pad the record with useless headings. To know which subject headings to assign may take a thorough investigation of the information package, or it may be a matter of reading the title. In nonfiction works, a review of a table of contents, index, or skimming pages is usually enough to get an idea of the subject matter. In children’s fiction, it is easy to browse through the item to get an idea of the subject matter. However, young adult fiction may require looking at book jacket descriptions or even reading at least bits and pieces of the work. While it may really be a perk of the job to “have” to read the book, we often don’t have time to read everything that needs cataloging. Relying on copy cataloging helps us to make subject headings decisions.

Conclusion Intellectual access of information refers to retrieval based on the topic of the item rather than its physical description. This kind of access can be achieved through a keyword or subject heading search. Keyword searching will result in information retrieved based on the appearance of a word in the record. Subject headings are created using controlled vocabularies and result in information retrieved based on the context of the work. There are two lists of controlled vocabulary commonly used in the schools: Sears and LCSH (including LC/AC). A third list may be making its way into the school catalogs, BISAC Subject Headings List. Regardless of whether the school librarian chooses to use Library of Congress or Sears headings, it is important to understand the nature of the differences of the headings and how to apply them. As copy cataloging and purchased cataloging take the place of original cataloging, and because LC headings and authority files are available online free of charge, Sears headings will probably fall into disuse. This is unfortunate, as it is so well suited to the school library collection. The most commonly used fields in the subject area are 600 (personal name), 650 (topical headings), and 651 (geographic heading). Some headings are ambiguous in nature and may also fall under the 610

corporate heading field. Be aware of a more frequent application of the 655 genre heading field.

Notes 1. The “surfing” search was verified on May 15, 2015. Because the Library of Congress is constantly adding to its collection, the numbers referenced in the text may be different from results of a search at a later date. 2. Hatcher, April M. “The practice: Standardized subject headings and school curricula,” Knowledge Quest, v. 33(4) March/April 2005: 38– 39. 3. Chan, Lois Mai. Cataloging and Classification: An Introduction. Lanham, MD: Scarecrow Press, 2007. 4. The BISAC web site is available at: https://www.bisg.org/bisacsubject-codes. (Accessed May 15, 2015.) There is also an interesting article from Publishing Trends that provides some background on BISAC: “Bewildering BISAC.” Publishing Trends, February 1, 2005. (Accessed May 15, 2015; available at: http://www.publishingtrends.com/2005/02/bewildering-bisac/). 5. Library of Congress. LC period subdivisions under names of places. Washington, D.C., 1994. 6. Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc. 2nd ed. Chicago, IL: American Library Association, 2000.

Chapter 5 Intellectual Access— Classification In this chapter we cover classification as intellectual access, including the following field: 082 XX $a Classification number $b Cutter and date $2DDC edition

Introduction

“D

ewey or don’t we?” That has been the hot topic of school library classification discussions since the turn of this century. Detractors say that the Dewey Decimal Classification (DDC) system is dated, difficult, and dysfunctional. They say that organizing the few books left in school library collections is best done using models such as BISAC and Metis that support browsing and serendipity. DDC supporters, on the other hand, maintain that the organization scheme of DDC fits perfectly with the curriculum design of K-12 education and that it supports efficient discovery of information. Both traditional and alternative systems will be presented here, and it will be up

to you, the school librarian, to make the decision based on what is best for your community.

Organization of Information Before we discuss the structure of classification systems, it is helpful to understand the concept of organization of information. Recall that Cutter suggested we help patrons find information according to title, author, literature, and topic. All of these avenues to information retrieval reflect some kind of organization. Organization by topic was the focus of Chapter 4. Organization by discipline is the focus of this chapter on classification. Things are organized all around us. For example, going to the grocery store, we see things organized by type of food, and we may get confused when the store rearranges things. Restaurants organize their menus according to what people eat for breakfast, lunch, or dinner. Museums organize their collections by time period. There is no single way to organize information. Let’s examine the list below and consider how you might organize it: Apples Strawberries Carrots Vegetables

Fruit Tubers Oranges Olive Oil

Tomatoes Potatoes Lettuce Vinegar

Cucumbers Radishes Peanuts

There are a couple of ways we might arrange this list. Perhaps we would use fruit, vegetables, and tubers as our main headings and arrange the items accordingly. Of course, that doesn’t account for the olive oil and the vinegar. We could organize everything alphabetically, but that doesn’t do much for bringing together like items. There are several other ways of bringing these terms together into groups: that’s the point!

There is no one correct way of organizing information. Even within organizational schemes, there is room for controversy and decision-making. Dewey wasn’t the only one to propose a classification scheme; however, for many of us, his system works extremely well. One consideration that must be paramount in making classification decisions is the use of the collection. It may be that the DDC number assigned to an item is correct, but it doesn’t fit the way your students approach your collection. You must be familiar enough with any classification system you use to know when a change in a number or area is necessary.

The Bookstore (BISAC) and Metis Models In recent years there have been concerted efforts to rethink and reorganize collections, especially children’s collections. The movement in school libraries seems to stem from two factors: (1) fewer books in libraries means that students are looking mostly for materials for reading for pleasure, which is often best facilitated through browsing; and (2) DDC does not organize fiction (picture books in particular) very well. In the reorganization process, librarians have begun to question the usefulness of the DDC scheme. In the next section we will explore a little history about DDC, and that should give us a better understanding of why it is the way it is. For this section, let’s focus on two alternatives to DDC: BISAC and Metis. From Chapter 4, we know that BISAC comes to us from the book industry. Proponents of adopting the BISAC model praise it for its familiarity to library users, because the BISAC model allows libraries to look just like bookstores. The same fifty categories used in subject headings are used in the classification, or shelving of the books. This means you can have all of your football coaching books together as a

separate group or mixed in with the general football books. Additionally, signage is very important in this method of shelving. All reports on the benefits of switching to the BISAC (or similar) model include a statement that reads something like this: “We put up new signs everywhere, lots of new signs and identification stickers on our books.” There is no question that signage is critical to any kind of collection organization. One method of shelving by genre that was developed for a school library by school librarians must be discussed and presented for its merit of being appropriate for broad ranges of age groups. The systems is called Metis, named for the Greek Titan of wisdom, and it uses the 26 letters of the alphabet to define 26 subject categories, including the use of X, Y, and Z for works of fiction.1

The creators of Metis (Kaplan, Dolloff, Giffard, and Still-Schiff) were careful in developing a system to take into account research on the searching behavior of children, and engaged the children in their school in the creation of the names for the classification categories. Nearing its fifth year since implementation, the Metis system has caught on and is used in other public and school libraries in the United States. One can even go to the Metis site and purchase category level stickers. One unique aspect of this system is that there is a level of integration of fiction and nonfiction works. This helps to capitalize on finding materials through serendipity, but librarians might need to work with younger users to help them recognize the difference in the classification between fiction and nonfiction works. Figure 5.2 shows some examples of how Metis is applied to specific titles. It is an alternative that seems to work best with smaller-sized collections, but is worth considering nonetheless.

Figure 5.1 The 26 Categories of Metis. Source: https://sites.google.com/site/metisinnovations/home/metis-maincategories Used with permission of the authors.

Figure 5.2 Application of Metis Classification.

Dewey Decimal Classification Alternative methods for classification notwithstanding, most school libraries continue to use DDC for organizing materials

on the shelves. How does DDC really work? Again, we begin with a little historic background. Melvil Dewey, then librarian at Amherst College, first published his system in 1876, after years of research into other forms of classification systems suggested by various library luminaries, including Charles C. Jewett, William T. Harris, Charles Ammi Cutter, Nathaniel B. Shurtleff, and Jacob Schwartz. Fifty years after its original publication, Dewey wrote this about the discovery of his system: “One Sunday during a long sermon by Pres. Sterans, the solution flasht [sic] over me so that I jumpt [sic] in my seat and came very near shouting ‘Eureka!’ Use decimals to number a classification of all human knowledge in print.”2 Thus was

born the system known today as the Dewey Decimal Classification (DDC) system. The schedules were originally published anonymously in only 44 pages. Over the years, DDC has grown into a system for classification that is used in libraries around the world. True to the intent of the system, there is comfort in knowing that 636.7 will lead us to the same section regardless of whether we are looking for dogs, perros, or Hunde. As the name implies, DDC (both the full and the abridged versions) is designed around the classification of all knowledge into 10 categories.

The 10 Main Classes of the Dewey Decimal Classification (First Summary) 000

Computer science, information & general works

500

Science

100

Philosophy & psychology

600

Technology

200

Religion

700

Arts & recreation

300

Social sciences

800

Literature

400

Language

900

History & geography

Second Summary—Hundreds Division (Example of the 300s Classification)3 300 Social sciences 300 Social sciences, sociology & anthropology 310 Statistics 320 Political science 330 Economics 340 Law 350 Public administration & military science 360 Social problems & social services 370 Education 380 Commerce, communications & transportation 390 Customs, etiquette & folklore

Third Summary—Thousands Sections (Detail of the 390s Classification) 390

Customs, etiquette & folklore

391

Costume & personal appearance

392

Customs of life cycle & domestic life

393

Death customs

394

General customs

395

Etiquette (Manners)

396

[unassigned]

397

[unassigned]

398

Folklore

399

Customs of war & diplomacy

 

 

All summaries from Abridged DDC 15, © 2012 OCLC Press. Used with permission.

The 10 main classes are referred to as the First Summary (see First Summary box). The 10 main classes are again subdivided by 10 in the Second Summary, or Hundreds Divisions, and again by 10 in the Third summary, or Thousand Sections. The Second Summary box shows an example of the 300 section being divided into hundreds, with one section showing the thousands divisions. Following the numbers from 300 to 390 to 392 (as shown in the Second and Third Summary boxes), we can see that the structure is hierarchical in nature, moving from the broadest classification to the narrowest. The Dewey Decimal Classification is published in two versions: abridged and full. The full DDC is a multivolume set with directions for creating classification numbers in minute detail. In its 23rd edition as of 2011, the full edition has been revised on a regular basis, approximately every six years. The abridged DDC is a single-volume work that is broader in nature and thus, like Sears to LCSH, fits better in the school library environment. The abridged version of DDC was first published in 1894. The 15th edition (referred to in this text as DDC15) was published in 2012, and it too has

been revised approximately every six years. In addition to the print editions, both versions of DDC are available from OCLC through a subscription service called WebDewey that provides access to number building with dynamic access to the full edition and a pdf version, excluding the summaries and index, of the abridged edition. The electronic version of the full edition is updated on a continuing basis, so even though the site states it is the 23rd edition, the version online may not look exactly the same as the print version of the 23rd edition. The abridged version on WebDewey is not updated on a continuing basis. If the school or district is using the 15th edition of the abridged version, then it does not matter whether the access is to the print or electronic resource. However, electronic access to the abridged version is only available by subscribing to WebDewey. As mentioned above, DDC is not the only classification system available for organizing information. In the United States, some public and nearly all academic libraries make use of the Library of Congress Classification (LCC) scheme. The LCC scheme is expansive (more than 40 volumes), expensive (more than $2,000), and not a very good fit for the K-12 school environment. It consists of multiple volumes of highly detailed divisions of information, much more than is needed for school collections. Fortunately for school libraries, the move from Dewey classification to LCC has not been as successful as was the move from Sears to LCSH. Most school libraries still maintain DDC as their classification system of choice. Unfortunately, schools often work with older editions of either the abridged or full DDC and, as with the older editions of Sears, changes in numbering can cause conflict in the catalog. The new editions have been updated to remove much of the Western bias of the original scheme and to accommodate changes based on technological innovations. Librarians should not rely on older editions. With the print copy of the abridged edition priced at approximately $85, in addition to the fact that new editions

are functional for approximately six to seven years, every effort should be made to have access to the latest edition. Many copy cataloging databases have Dewey numbers in their bibliographic records; however, these numbers are often derived from the full version of DDC. In using these records, care should be taken to observe which version and edition of DDC is being used. We will see later in this chapter how to tell if a number is a full or abridged Dewey number and which edition was used to create the number. Sears makes reference to abridged DDC numbers in the list of subject headings, but these, too, should be used as a guide rather than as a substitute for using the actual DDC. The current edition of Sears (21st) matches the numbers of the current abridged DDC (15th).

Application DDC15 is arranged in seven sections: Introduction, Glossary, Manual, Tables, Summaries, Schedules, and Relative Index. Each section guides the cataloger to the creation of the correct classification number. The publisher, OCLC, recommends the abridged edition for libraries with collections of fewer than 20,000 titles. While, as mentioned above, WebDewey does include the pdf of most of the content of the DDC15, at this point one may be better off with the print version. All Dewey numbers (except for biography) consist of at least three numerals. The first number specifies the general main class. The second number denotes the division, and the third number indicates the section. After the first three numbers, more numbers are added, if necessary, to narrow the classification or to specify such aspects of the item as form, historical coverage, language, or geography. These numbers are added by following directions for using the four tables: standard subdivisions

(Table 1), geographic areas and persons (Table 2), individual literatures (Table 3), and individual languages (Table 4). With the exception of Table 1, no table is used without directions from the main number schedules and even Table 1 may have special directions to follow. Numbers are built hierarchically from broader to narrower fields of study. Note that we mentioned “field of study” and not “subject.” Dewey is quite clear regarding that concept. We bring together like items that can exist anywhere in the library by subject headings. But we classify —that is, place the item on the shelf—according to the discipline or field of study. This is not a notion of “aboutness,” as is the case with subject headings, but of use of the item. For example, a book about horses (with a subject heading “Horses”) can be located in the discipline of zoology (study of the anatomy of the horse) or under the discipline of animal husbandry (breeding horses) depending on the purpose of the item according to the author. Finally, in terms of classification, one must remember that two copies of an item must not be located in two different places in the library. Let subject headings pull like items together in the catalog, and let classification pull together the areas of study. Let us look at these example items: Manga Guide to Relativity Sing a Song of Popcorn Bard of Avon

530.1102 808.81 822.3 or 92(0)

Our first example is straightforward; the book is about the theory of relativity. DDC15 leads us from 500 (Natural Sciences & Mathematics) to 530 (Physics) to 530.11 (Relativity theory). The “02” is added from Table 1 to note that this is a graphic novel that uses humor to convey a serious topic.

Our next example is equally easy, as a collection of poems under no particular subject, with very clear instructions from DDC15 as to how to construct the number. The number 808 is for collections of literatures, and .81 designates a collection of poetry, leading us to 808.81 for this item. Our last example shows two number choices, which is not at all uncommon in CIP data, but may not be seen in copy cataloging. As with many other aspects of cataloging, the cataloger is called upon to make decisions regarding the classification number to assign. The problem here is deciding how one will classify biographical works. This question will be addressed in more detail later in this chapter. For now, we see that this work is a biography of the English playwright William Shakespeare. The number 822.3 places the work with other works by and about Shakespeare. The alternate number, 92(0) places the work with other biographies. As the man said, “Aye, there’s the rub.” We shall explore “the rub” later on in this chapter.

Building a Number Besides the summary tables previously illustrated in the boxes above, DDC15 comprises schedules (further division of the summary numbers) and tables. Schedules provide even more information about the field of study. Let us again look at the 300 summaries in the Second and Third Summary boxes, taking a closer look at 392, “Customs of life cycle and domestic life.” From the information in the box below, we can see that there are many options to bring out more specific aspects of domestic life. References that begin, “Standard subdivisions are added . . .” refer to the use of Table 1, which will be described next. Interestingly, divorce is not part of this number. Although divorce is certainly a part of domestic life,

if we look closely at these headings we might come to the conclusion that divorce is not mentioned here because, at least in the United States, divorce is more of a legal action than a cultural or customs action. Should a librarian have an item about a culture for which there are customary activities related to divorce, it would be difficult to place it under the 392 classification even though we might want to do so.

From DDC15, page 547, we find in the schedule for the number 392 this information: 392 Customs of life cycle and domestic life For death customs, see 393 .1 Customs of birth, puberty, majority Including child rearing customs .3 Customs relating to dwelling places and domestic arts Including furnishings, heating, lighting, sanitation; cooking Class comprehensive works on food and meals in 394.1 .4 Courtship and engagement customs Standard subdivisions are added for courtship and engagement customs together, for courtship customs alone. Including bride purchase, bundling, infant betrothal, matchmaking .5 Wedding and marriage customs Standard subdivisions are added for either or both topics in heading Including wedding clothes See also 395.2 for etiquette of weddings .6 Customs of sexual relations Including chaperonage For courtship and engagement customs, see 392.4; for wedding and marriage customs, see 392.5

The tables are used to add more specificity to the number in terms of geographic, form, and cultural focus. With few exceptions, table numbers can only be added to the schedule numbers when directed in the schedules. As we mentioned, directions that begin with “Standard subdivisions . . .” refer to the application of the divisions in Table 1. For the summary contents of Table 1, see Figure 5.3.

In looking at DDC numbers, one might get confused. Why do some numbers have two zeros and other none at all? (For example: 797.200951 and 520.3.) Similarly, why do some of the numbers go beyond the single number provided in the table but others are just three digits? (For example: 610.69082 and 612.) These are good questions! DDC15 is full of directions requiring the cataloger to drop some zeroes and add others. There are also directions to give even more detail than is presented in the first line of directions. Reading the instructions in the schedules as well as in the tables is critical to adding these subdivisions correctly. It takes a lot of reading and flipping back and forth between pages to build a DDC number. That is perhaps one reason why people who are not trained in DDC find it so frustrating. There is a learning curve, no question about that.

Figure 5.3 DDC Table 1. Standard Subdivisions. Table 1 based on Abridged DDC 15, © 2012 OCLC Press. Used with permission.

Building a number is like creating an addition problem. Following the directions helps one progress from a general number to a specific number. Let us consider, for example, American Tales, by Mary Pope Osborne, Playaway edition.

Do you classify something that isn’t a book? There is sometimes a temptation to have a separate area for non-book materials and to not classify these items. Sometimes this is done to

have more control over media materials, and sometimes this is done because of uncertainty as to how to catalog media. Opting not to classify any kind of item works only as long as there are few of those types of items and there is someone around to remind students of these cool resources. Consider treating non-book materials the same way you treat books, including classifying them and putting them on the shelves with the books.

American Tales is a collection of folktales from the United States. If we look at the Third Summaries (see Third Summary box on page 85), we can see that folktales belong in the classification number 398. We could, in fact, stop there; it is a perfectly legal number. But let’s say we want to bring out the fact that these are folktales from the United States. To do that, we must go into the schedules. The instructions in the DDC15 schedule (pages 551–552) tell us that the number 398.2 is the more specific number for folk literature and that we have a choice of classifying folktales by country of origin (in this case the United States) or by the type of folktale: paranatural humans (.21), mythological persons (.22), quasi-historical tales (.23), plant or animal tales (.24), ghost stories (.25), physical phenomena (.26), tales about human existence (.27), or tales about other topics (.28) (as illustrated in the Divisions for 398 box on page 91). From this list we can see that fables (stories using animals with a moral at the end) would be classified in 398.24, and a general collection of ghost stories would be classified in 398.25. We can opt for 398.23 because our work includes tall tales about legendary folks like Paul Bunyan, but the problem is that we have a lot of items about tales from the United States, and we’d like to arrange our collection by place because that’s how our classroom teachers like to teach their folklore units. We see in the schedule instructions that we can use Table 1 to show the geographic nature (-09) of the story (page 552 in DDC15). This means that we can add -09 to 398.2 to get 398.209. But what happened to the United States? The note at

398.209 directs us to use Table 2 to find the number for the geographic location and add that to our “base” number; 398.209. The number for the United States is -73, so we add that to our number and get 398.20973 (see the Hierarchical Structure box). Notice there is nothing in this number to show this is the Playway edition. That problem will be discussed further on in this chapter. The process of adding a number as directed is fairly logical as long as the directions are crystal clear. Sometimes the directions are not so clear, and even veteran catalogers have to read the directions several times in order to understand them. Notice that there is only one decimal point in the number. The decimal point comes after the third digit, and all other numbers are added behind it.

The divisions for the classification number 398 398

Folklore

 

 

.2

Folk literature

 

.208

Groups of people

 

.208 9

Ethnic and national groups

 

.209

History, geographic treatment, biography

 

.21

Tales and lore of paranatural beings of human and semihuman form

 

.22

Tales and lore of persons without paranormal powers

 

.23

Tales and lore of places and times

 

.24

Tales and lore of plants and animals

 

.25

Ghost stories

 

.26

Tales and lore involving physical and natural phenomena

 

.27

Tales and lore of humanity and human existence

 

.28

Tales and lore of other topics

 

.6

Riddles

 

.8

Rhymes and rhyming games

 

.9

Proverbs

Note: the numbers .4, .5, and .7 are not assigned in this edition. Abridged DDC 15, © 2012 OCLC Press. Used with permission.

Hierarchical Structure of Dewey Decimal Classification Numbers

We can see the hierarchical structure of our folktale example by parsing out each element: 398.20973 300 390 398 398.2 398.209 398.20973

Social sciences Customs, etiquette, folklore Folklore Folk literature History, geographic treatment, biography (Table 1) United States (Table 2, as directed from Table 1)

Identifying Non-book Information Packages in Classification Numbers We have advocated for classifying all information packages, regardless of format, by following the DDC rules. We recognize, however, that sometimes the librarian wants to show in the classification number that the item is not a book. To do this, we recommend adding prefixes or suffixes to the number. For example, in cataloging the Playaway version of American Tales, we might add “aud” to the end of the number 398.20973 aud to show that this is an audio recording. Similarly, a DVD could be classed as 398.20973 dvd; a kit as 398.20973 kit; etc. Or we may want to use the designation as a prefix to the number: DVD 398.20973. In any case, there are ways of noting non-book materials that still allow the librarian to follow the classification rules.

So far we have been dealing with information packages that cover only one discipline. We know from experience that this is often not the case; Dewey provides us with instructions for most of the problems we will run into with the following four rules: 1. Rule of Application: If one discipline is acting on another, class the information package under the discipline being acted upon. Example: Effects of industrialization (338.9) on indigenous people of Australia (994), classify under 994. 2. Subject Receiving Fuller Treatment: If one subject is treated more fully than any of the other subjects, assign number to the fuller subject.

Example: Information mostly about dogs (636.7) but has a little bit of information on cats (636.8) and horses (636.1), classify under 636.7. 3. First-of-Two Rule : Two disciplines being treated with equal coverage use the number that comes first in the schedule. Example: Information package on word games (793.734) and magic tricks (793.8), classify under 793.734. 4. Rule of Three: Three disparate disciplines under one broader discipline, classify under the first higher number that encompasses them all. Example: Information package about ballet (792.8), vaudeville (792.7), and musical comedies (792.6) is classed under stage presentations (792).

How Long Should a Number Be? Let’s consider our folktale number again: 398.20945. A complaint that sometimes arises about DDC is that the numbers can get a little long. Can we shorten the numbers even once we have worked them out? Sure! For example, it would be all right to stop at 398.209. This will group all of the items in the collection that are folktales from specific geographic locations together in one spot. If that number is too long, it is all right to stop at 398.2; that is, we can work our way backward in a number to shorten it if need be. However, it may not serve our patrons to stop at 398 unless you have a very small folklore collection. Remember, too, that 398 encompasses not just tales but also riddles, rhymes, and proverbs. Therefore stopping at 398 may not support browsing or classroom use. Some libraries are small enough to have a rule that no number will be longer than three digits, such at those found

in the Third Summary for 390 in the Third Summary box on page 85. In that case, any customs-related item, whether focused on wedding, birth, or courtship, would be classed under 392. That might be just fine and fit the needs of the library and the school community very well. Some libraries have a rule to go no more than two places after the decimal point as illustrated in the box for number 392 on page 85. That might work just fine for the subject of customs but might be completely unsatisfactory in the history section. Some library policies might state that the classification number must go out as far as possible. That decision may err on the side of creating overly specific numbers, which then become meaningless for the patrons and a waste of time for the librarian to create. Having a set policy for the length of the number may not be the best way to serve your community. There will be times when three digits are just fine and other times when a longer number is critical for the organization and the use of the collection. If you know your DDC and how your collection is being used, you can make your own determination about the length of the number even if you are taking your cataloging from other sources.

Marks that show where to split a number Example: An item covering social services to abused children in Sicily. 362.76/09/45/8 is the number provided: 362

Social problems and services

.76

Abused and neglected young people

09

Geographic treatment from Table 1 with instructions to add the numbers –093-099 from Table 2

45

Italy, San Marino, Vatican City, Malta

458 Sicily and adjacent islands

Some resources that provide cataloging for us, include slashes ( / ) or apostrophes ( ’ ) to show where the breaks are in a DDC number. You can use those marks for shortening extra-long numbers if you do not have a copy of DDC for guidance. Again, where one opts to cut is almost entirely dependent on the size of the collection. In a school setting, if “social policy, welfare, and services” is an area of study that

goes across grade levels, and there is a large number of such items in the collection, then using a longer number may be preferred over a shorter number.

On Famous People, Folklore, Fiction, and Other Classification Conundrums There are several areas in classification that never cease to create problems for school librarians, some of which are described below, but for which there are no real answers.

Biographies DDC15 instructs catalogers to deal with biographical works in this way: 920 Biography, genealogy, insignia

Class here autobiographies, diaries, reminiscences, correspondence; biography as a discipline Class biography of persons associated with a specific discipline or subject with the discipline or subject, plus notation 092 from Table 1, e.g., biography of chemists 540.92 [Emphasis added.] (Option: Class individual biography in 92 or B, collected biography in 92 or 920 undivided) (DDC 15 p. 910)

Under these guidelines, there is the option to classify biographical works either within a given discipline area or with all other biographies. Librarians constantly argue over the benefits of where to place a biographical work. There are those who argue that putting biographical works in a separate area means that students will read biographies only when assigned to do so. Further, they hypothesize that putting biographical works within a discipline area will increase the chances that students will read about a

discipline along with the biographical works. The opposing argument is that keeping all biographical works together opens students to reading biographies of people other than the latest popular stars because scientists and stars are placed together on the biography shelf. Finally, DDC offers the choice of using the number 92 or 920. Using 920 places the biography section squarely in the middle of the history materials. This makes a certain amount of sense because biographical works are sort of historical in nature; however, placing biographies in the middle of the history section can be a bit jarring for the browser. DDC15 is explicit in the options available to the cataloger when dealing with biographical works; however, the choice is still the cataloger’s. Will Mr. Shakespeare reside next to works by and about the man (822.3) or between the scientist Carl Sagan and musician Paul Simon? The choice is yours!

Folklore We saw how a work of folklore is classified under the 300 classification area. Schoolchildren almost never miss the opportunity to ask the librarian why this is so, because they know very well that the number on the book means that it is nonfiction, and clearly folklore is far from being nonfiction. The answer is in the number itself. Recalling that this system was created in the late 1800s, we have to think like a person from that time. First, consider that folklore had only recently begun to be collected for reading pleasure (the first edition of the Grimm brothers’ stories appeared in 1812). Second, consider that the purpose of folk stories was not for entertaining children but, rather, for teaching lessons. The stories were part of the customs and oral traditions of the cultures; as such, Dewey placed them in with cultural customs: 398.

There is another problem with using 398 for folklore: “retelling” of the stories. It’s all right for a “true” retelling of the story, but should James Marshall’s version of Little Red Riding Hood sit side-by-side with the Grimm brothers’ version? Retellings with new settings and liberal interpretations are resulting in the splitting of these classic stories; some in 398 and others with the rest of the fiction collection. It is a dicey issue, and there is no “right” answer.

Fiction Fiction has experienced a fate similar to that of folklore. Again, there was not very much fiction, certainly not very much children’s fiction, in the late 1800s that was considered worthy of being collected in a library. As such, works of light fiction were largely ignored. This is why most fiction is located in a separate section of the library under various headings, most often as F, FIC, or E (“everybody” books). “Serious” literature, such as classic works of Charles Dickens and Leo Tolstoy, are located in the 800 classification area. But is a work by John Steinbeck less “serious” than one by Charles Dickens? When does John Steinbeck join the ranks of “classic” authors? This has become a growing dilemma for librarians. Some catalogers decide that individual works will be classified in the fiction area, while collections of stories will be classified in the 800 section. The problem with this solution, of course, is the separation of collected works from individual works. A careful reading of the directions in DDC is warranted; nevertheless this is again an area where the librarian makes the final call. While genre stickers for book spines, such as “western,” “mystery,” and “fantasy,” have been used in libraries for a long time, the movement to reclassify fiction collections by genre is becoming very popular. Often these collections become a hybrid of genre for fiction and DDC for

nonfiction. There is merit to this practice if it works for your community.

Story Collections Another genre type that is often off by itself (and frequently not circulating) is the anthology, or story collection. Wellmeaning publishers take short stories and pull them together into one great volume, sure to please any English language arts classroom teacher at nearly any grade level. In Chapter 6, we will see how important Table of Contents notes in a record are for the retrieval of the titles in these collections. For now, let us focus only on classification. Some librarians use the “SC” classification for these material types. Some librarians break up the old “SC” collections and give the books to the classroom teachers! As we’ve seen from previous discussions of nonconforming materials, there really is nothing wrong with this kind of classification. If it works—that is, if the students can find what they need by browsing this section—then there really is no reason to change things. Consider, however, how retrieval might be affected if these collections were classified differently. DDC15 very clearly gives us instructions for collections of literature, stating, “Class collections of texts from more than two literatures [e.g., poetry, fiction, and drama] in the same language with the literature of that language, e.g., collections of works from English, American, and Australian literatures in English (more than one literary form) 820.8…” (p. 882). This means that instead of putting these works into a separate section and hoping against hope that we remember each story within each volume, we can use the 800 classification area and our surrogate record to help us with information retrieval. We recognize, however, that using the 800 classification for collections of literatures may be confusing to our students, who have

been repeatedly told that Dewey numbers are for works of nonfiction. To cut down on the confusion, we use “SC” or, as stated above, simply dismantle the collection. Regardless of the decision made, pay close attention to the Notes and Added Access entries discussions in Chapters 6 and 7 to help you augment the surrogate records for collective works, so that you will no longer have to remember which collection includes Louise Erdrich’s story, “The Red Convertible.”

Graphic Novels In the past, the Library of Congress usually applied a 700 number to a graphic novel. To be exact, the number usually was 741.5, for cartoons, caricatures, comics, etc. Sometime between the publication of DDC 22nd edition in 2003 and the 23rd edition in 2011, there was a change in practice. However, when one considers that the landmark nonfiction graphic novel Maus, by Art Spiegelman, was published in 1986, that is a long time to be classifying graphic novels in with the comic books. DDC15 is now very clear about how to classify graphic novels: Use 741.5 for works of the imagination in comic book, graphic novel, fotonovela, cartoon, caricature, or comic strip forms that are primarily intended to delight. Use (classification numbers) 001–999 plus notation 02 or notation 022 from Table 1 for works in these forms that are primarily intended to inform or persuade …, e.g. Larry Gonick’s The Cartoon Guide to Physics 530.02 … (p. 93)

But is this advice too little, too late? By this time, many school librarians have taken all of the graphic novels out of the comic book (741.5) section and made a special collection out of them. The complaint was that with the graphic novels in the Art section, students never checked them out, and it was an easy process for the librarians to take the graphic novels and put them on a shelf with a big sign and be done with them. Even though the rules have changed and we have “permission” to catalog the nonfiction

graphic novels in with the rest of the collection, there are still lingering questions about whether or not this is a good idea, and there is still a pull to keep the like materials together on the shelf. As we advocate for the interfiling of media with books, there seems to be no reason to not also advocate for using the proper classification for graphic novels. Looking again at the directive from DDC15, we see mention of adding “02” or “022” to the number, as with the example early in this chapter of 530.1102 for the graphic novel Manga Guide to Relativity. The “02” in the number serves as a reminder to us that the item is a graphic novel. Do we need something more obvious? Perhaps a suffix “GN,” as suggested for the non-book materials? Or perhaps it is still just as easy to point to the shelf when a student comes in asking for a graphic novel. The choice, again, is yours.

Equipment School librarians often find themselves in charge of and accounting for circulating equipment. Cataloging this equipment can be very important for keeping track of expensive monitors, DVD players, tablets, and the like. Like our unruly collection of media, we know now that these items need some kind of classification number. It is probably not the case that we will want to assign a DDC number to the item; after all, it is difficult to think into which discipline we should place a DVD player. However, we do need some kind of control over the items. We suggest the following formula for classifying equipment. Please note that this formula is based on past experience and has nothing whatsoever to do with DDC. 1. Begin with a prefix, such as “EQUIP.”

2. Follow the prefix with an item type, such as “DVD,” or “iPad.” 3. Follow the item type with a timekeeper, either the year of purchase or the year of production (helpful in dividing the computers received in 2010 from those received in 2015). 4. Follow the date with a copy number. Using this formula, a classification number for an Apple iPad Mini might look like this: EQUIP IPDM 2014 c.10, while an Apple iPad Air number might look like this: EQUIP IPDA 2015 c. 50. We will find out more about the physical description of these items in Chapter 7.

Application of DDC15 in the MARC format Now that we have covered the structure of Dewey numbers, it is time to see what that number looks like in the MARC record. Information for Dewey Decimal classification is found in field 082. The first indicator in this field is used to note which version of DDC was used—0 for the full or 1 for the abridged. This is an important code because it helps you in deciding whether to accept the number or alter it. The second indicator is used to denote which library assigned the number; a blank ( _ ) indicates that no information was provided, 0 means the Library of Congress assigned the number, and 4 means some other library besides the Library of Congress assigned the number. The number itself is entered in $a with the use of slashes if necessary (although using the slashes is optional). The $2 at the end of the field is used to record which edition of the DDC was used in creating the number. We already know if it is the full or abridged Dewey from the code in the first indicator, but we need to know which full or abridged edition was used. This is very important, especially in cataloging older materials.

(Don’t forget our graphic novel issue!) If you have a record that used the abridged Dewey but it was the 12th edition, you know that you will need to check the number to see if it has changed at all. Here are some examples: • 082 1_ $a 398.20945 $213 From the first indicator we know the abridged Dewey was used, and the $2 tells us the 13th edition of abridged Dewey was used to create the number. From the blank second indicator we cannot tell who created this number, except that we know it was not the Library of Congress. • 082 00 $a 614.5/41/097481109033 $221 This horrendously long number was created by the Library of Congress using the 21st edition of the full Dewey scheme. There are two places where we can break down this number should we decide that it is too long for our purposes: 614.541 OR 614.5 A comparison of that number to the DDC15 reveals the matching abridged number is 614.5 In the MARC format it would look like this:082 14 $a 614.5 $215 Having said that, because this book is dealing with a historical time period, we might want to go the route of Table 1 and add a geographic location: 614.509748. (Can you see that part of the number in the LC assigned number?) If that number is too long, we can break it after 09, thus: 614.509. Some automated systems do not index the classification number from the 082 field. Sometimes it is in the 092, 852, or 900 fields. You will need to find out where you should enter the classification number from your program vendor.

Creating Call Numbers But there seems to be something missing with those numbers. The numbers are correct as classification numbers, but we are used to seeing something that looks more like this:   OR OR

614.509 K375 2010 614.509 KAP 2010 614.509 KAPLAN 2010

The information that was missing from our examples in the previous section is called the Cutter number; named for its creator Charles Ammi Cutter. In larger public libraries and most academic libraries, this alphanumeric combination allows for multiple items to have the same classification but be distinguishable from each other by the Cutter number. The classification number plus the Cutter number is referred to as a “call” number, so identified because in the old days of closed stacks when a page had to retrieve the books, the numbers were used to “call” for the book. Most school libraries do not bother with the creation of a true Cutter number, as is seen in the first example. Most of the time school librarians use the three letters of the author’s last name or the entire last name, as seen in the last two examples. For works that are biographies, often one will see three letters for the last name of the subject of the biography and three letters of the last name of the biographer. Looking at the example of the Bard of Avon, a full call number might look like this: 822.3 SHA STA 1998. In the MARC format, the Cutter information is included in the $b, thus: 082 14 $a 822.3 $b SHA STA 1998 $215.

082 Field: Dewey Decimal Classification Number • There is no closing punctuation for this field

• First indicator is 0 for full version and 1 for abridged version • Second indicator values are blank ( _ ), 0 & 4 for no named institution, LC, and other institution respectively. • Number is entered in $a • Cutter information is entered in $b • Number of edition is entered in $2

Examples: 082 1_ $a 861 $b ALO 1994 $214 [collection of Spanish poetry by Alonso, 1994] 082 1_ $a 791.4303 $b PIC 1979 $214 [encyclopedia of awardwinning movies by Pickard, 1979] Exercises Use the first summary table (see First Summary box) to assign a general classification number for the following: 5.1. Information package on Hinduism 5.2. Information package on the United States presidents 5.3. Information package on the civil rights movement in the United States Put the following numbers into the MARC format; assume you are using the 15th edition of abridged Dewey and that the Library of Congress has assigned the number: 5.4. 796.81 5.5. 613.6 5.6. 940.53 Use DDC15 or a copy cataloging resource to find numbers for the following; assume an agency other than the Library of Congress has assigned the number. (Put the numbers in the MARC format including a cutter (three letters of the last name) for the author and dates): 5.7. African folktales by Arkhurst, 2012 5.8. School nurses by Adams, 2005 5.9. Soccer by Rees, 2014

Conclusion There are many ways of organizing the physical items in the school library collection, and there certainly is a groundswell of interest in non-Dewey classification systems for school libraries. The November/December 2013 issue of Knowledge Quest was devoted entirely to that topic, and those who

have made a switch sing the praises of the change. A word of caution: as mentioned above, most reports about the successes of changing to any non-Dewey classification scheme have come with the comment that they put up lots of signs and that patrons remarked on the difference a new arrangement made. The use of signs has been a critical point in discussions of changing from Dewey to other classification schemes. Consider this: in the commercial world, stores will often change things around to give the customer a new view of the inventory; this is effective marketing. Additionally, nowhere is it stated that collections organized using DDC have to be devoid of signage. What has not been studied, however, is whether patrons would be just as happy if the library was rearranged and new signs were put up but the classification system was still DDC, or if there were simply more signs and other hints. (One school librarian I know uses plush toys on the shelves to show where things are.) Nevertheless, schemas such as Metis that are well-grounded in theory are intriguing alternatives to traditional classification. The DDC numbers are based on ten fields of disciplines or study. When beginning to assign a classification number, one should first ask, “In what field of study will this item be used, and for whom was this work created?” In classification, one decides on the single most important discipline under which the item should be placed. While an item may have many subject headings, it can reside in only one place on the library shelves. Never classify two copies of the same item in two different places: that’s what subject headings are for! Instructions are provided for using DDC15 and understanding how the information translates to the MARC format.

Notes

1. A good article explaining the process of how Metis was created can be found here: Kaplan, Tali, Balas, et al. “Are Dewey’s Days Numbered?” School Library Journal 58.10 (2012): 24. The librarians have the entire schedules for Metis up on the Metis website, available here: https://sites.google.com/site/metisinnovations/home/met is-schedules. (Accessed May 15, 2015.) 2. Weigand, Wayne A. Irrepressible Reformer: A Biography of Melvil Dewey. American Library Association: Chicago, 1996. 21– 16. Note: Dewey was dedicated to reforming spelling; thus the “errors” in the quote. 3. Abridged Dewey Decimal Classification and Relative Index. Dublin, OH: OCLC, 2012.

Chapter 6 Access Points In this chapter we will cover points of access for creators and titles, including the following fields: 1XX $a Main access point by creator or title 245 XX $a Title :$b other title information /$c Creator ; other creator. 246 3_ $a Other title access if needed 7XX $a Additional access points by creator(s)

Introduction

W

e have covered the intellectual content of the item, and now it is time to cover one more point of access before diving into physical description. When we record the names of authors, illustrators, actors, etc., and even when we record the title of an item, we are providing access to that item. In this chapter we will examine the various ways of providing title and creator access in the surrogate record. The information will be discussed in terms of RDA (the cataloging rules) and MARC (the computer format).

Tying Together the Past and the Present Recall that the first object of the catalog, according to Charles Ammi Cutter, was to enable the reader to find a book if either the author, title, or subject is known. Much has changed in library holdings since the 1800s, and so instead of thinking about authors, we think about creators. The creator can be an author, illustrator, choreographer, director, or anyone who is responsible for the content of the item, especially the intellectual or creative content of the item (as opposed to the publisher, who can be responsible for the way the content is organized in an item but is seldom responsible for the content itself). Besides the author (now creator), Cutter stated that the reader might come into the library looking for a specific title. Together, the title and author are referred to as the “title and statement of responsibility.” The title and statement of responsibility was “Area 1” information in AACR and ISBD, and in RDA this is still the first part of the surrogate record discussed. While traditionally the title and statement of responsibility are reflected mostly in the 245 and 246 fields in MARC, with the expansion on the importance of relationships between creators, works, and manifestations in RDA, the other fields that will be considered here are 1XX and 7XX. In RDA we are looking mostly at rules 2.0–2.4 for the title and statement of responsibility and at Chapters 6, 9, 10, 11, and 18–23 for creating relationships. One other concept to discuss before delving into the title and statement of responsibility is “source of information.” AACR was very clear about the places on the item from whence information about that item could come, in a concept called “chief source of information.” For books, that was the title page, and any information about the author and title that did not come from the title page would appear in brackets with an accompanying note about the

origins of the information. RDA is less tied to describing a book and therefore is less concerned about a “chief” source of information, using instead the term “preferred source of information” (rule 2.2.2.1). In general, the title page, labels on items or their containers, and other permanently connected sources are the preferred sources of information when getting ready to record the title and statement of responsibility.

Title and Statement of Responsibility (Fields 245 & 246) RDA follows the “take what you see, accept what you get” principle for transcribing data. We are directed to transcribe the title and statement of responsibility data from the preferred source of information for the item being cataloged (RDA rule 2.3.1.4 and 2.4.1.4) as it appears on the item. For books, we are talking about the title page; for movies (regardless of the format) we should look at the actual title screen, but usually we default to whatever is on the case; and we also tend to rely on cases for sound recordings and audiobook recordings. We no longer need to follow the rules of capitalization that were so strict under AACR. That is, if the title in the book is written in all capital letters, we could transcribe the title in all capital letters in our surrogate record; that is part of the “take what you see” principle. However, it needs to be pointed out that the Library of Congress still follows past practice of capitalizing only the first word of the title and all proper nouns, as do most vendors supplying cataloging. Likewise, gone is the previous practice of recording only three names related to the creation of an item in the statement of responsibility. It doesn’t happen very often in children’s collections, but in high schools it is quite likely there are items written by more than three authors,

especially in the areas of science and technology. Past practice had us name the first person listed, then use “et al.” to show there were more than three authors. RDA rule 2.4.1.5 allows us to name all who are responsible or just the first person. If we opt to name just the first person, instead of using “et al.” we note how many creators there were in brackets. We can see this practice in our Winnie the Pooh example on page 42, with the statement “Produced by Wolfgang Reitherman; written by Larry Celmmons [and 7 others]; directed by John Lounsbery, Wolfgang Reitherman.” RDA is not without rules, however, and the appendices A, B, and C provide us with instructions on capitalization, abbreviations, and initial articles. In summary: transcribe the title and statement of responsibility as presented on the item.

245 Field: Title and Statement of Responsibility This is the field for the title of the work and the statement of responsibility. This is a required field; you cannot have a surrogate record without a title, so if you are cataloging something without a title—for example, a plush toy that is used on your shelf to show where dinosaur books are located, you must make up a title. There can be only one 245 field; if you want to create a “second” title (explained below), that is done in the 246 field. The 245 field begins with the first part of the title and is followed by a statement on the type of item it is if the item is not a book (e.g., DVD), more title information (subtitle), and names of people or corporate bodies responsible for the content of the item (author, illustrator). It is not necessary to have all of these elements in each 245 field. Some items have a title but no subtitle; some items have an author but no illustrator. The point is that in describing an information package, this type

of information needs to be recorded, and the 245 field is the place to do this recording. Here is an outline of the steps for creating a title and statement of responsibility: Step one: The 245 field begins with the first part of the title, otherwise known as the title proper. This information is entered in the $a. There is only one $a in the 245 field. Step two: Prior to the implementation of RDA, if the item was not a book then the title proper would be followed by a definition of the item type (video, DVD, map, etc.). This is not RDA practice but can still be seen in copy records. If the decision is to include a statement about the item type, it appears after the title proper and before other title information and statement of responsibility. This information is entered in brackets in $h. There is only one $h in the 245 field. Remember this information is following MARC format and not a rule from RDA. Step three: Add other title information (subtitle) if there is other title information. This information is entered in $b. There is only one $b in the 245 field. Step four: Transcribe the statement of responsibility, separating the names with a comma if they have the same responsibilities (e.g., two authors) or by a semicolon if they have different responsibilities (e.g., author and illustrator). This information is entered in $c. There is only one $c in the 245 field. Here is how the field looks: 245 XX $a Title $h [medium] :$b other title /$c author, second author ; illustrator. Remember, not every item will need every subfield.

As with most of the MARC fields, the 245 field consists of two indicators and subfield information. Unless there is some other punctuation, this field ends in a full stop ( . ). This field is not repeatable. The first indicator is coded to note whether a 1XX field exists in the record. We will describe what qualifies as information for the 1XX field a little later in this section. The second indicator is used to note the number of spaces to skip for “filing” purposes. In the old days of card catalogs, librarians knew that one did not file a title beginning with the word “The” under the letter “T.” Computers are not as smart as humans. When retrieving records, the computer needs to be told which words to look for and which ones to skip. In English, the initial articles “the,” “a,” and “an” are skipped in retrieving records. For example the book The Talking Eggs would be retrieved under the word “talking” not “the.” The second indicator values, 0–9, correspond to the number of spaces the computer needs to skip in $a. The value equals one space for each letter plus one space for the space between the initial article and the next word in the title. In our example of The Talking Eggs, our second indicator would be 4; three spaces for t-h-e and one space for the space between “the” and “talking.” This principle also works for non-English initial articles. A common mistake of novice catalogers is to ignore the field indicators. In the 245 field this can be a serious mistake, because an incorrect value of the second indicator can lead to incorrect retrieval results. Library discussion lists often have the question, “Why can’t I find my record for The Talking Eggs [for example] under a title search, but I can in a keyword search?” The answer is that the second indicator in the 245 field is incorrect and must be changed to 4 in order to find it under a title search. It comes up in a keyword search because keyword searching is not limited to the placement of the words in the record. There are 12 valid subfields in the 245 field. Of those subfields, we will discuss four: $a, $h, $b, and $c, as they

are the most commonly used subfields in this field. The 245 field always begins with the $a. Into this subfield one enters what RDA refers to as the “title proper.” This is the first part of the title before the subtitle information, or the entire title if there is no subtitle information. The $a is followed by choices. If one is cataloging a non-book item, then one may opt to enter media-type information in $h. There is no $h for books. The rest of the subfields are applied regardless if one is cataloging a book or any other type of information package. After $a [and $h if applicable] if there is a subtitle, one enters that information in $b. If there is no subtitle, one enters creator information in $c. Finally, if there is no subtitle and there is no named person or corporation responsible for the intellectual content of the item, then one enters a full stop—that is, a period ( . ). The full stop ( . ) completes this field regardless of the preceding subfield. A flow chart for deciding on the structure of the 245 field is provided in Figure 6.1. All information entered in the 245 field (except $h) comes from the preferred sources of information. Any information appearing in the 245 field that is not from the preferred sources of information must be so noted by using brackets [ ].

Figure 6.1 Flow Chart for the Structure of the 245 Field.

The $h, as just noted, is an optional field, used only for cataloging non-book materials. This subfield was referred

to in AACR as the “general material designation” (GMD), and there was a list of official material type names provided in AACR2 1.1C1. The $h designation does not exist in RDA; however, some libraries continue the use of the subfield to note material type. The advantage of utilizing the $h is in providing the user information to know right away that the item retrieved by the computer in response to a search is not a book. Having the $h appear right after the title proper should be like a red flag to the user saying, “Hey, this item is not a book; it’s a DVD!” Since the AACR rules no longer exist, one could use the vernacular name for the material type (e.g., DVD instead of videorecording); however, RDA does have three places for noting the material type (rules 3.2.1.3, “media type”; 3.3.1.3, “carrier type”; and 6.9.1.3, “content type”), and the lists used in RDA could be substituted for the former AACR list. In the box, you see a list of terms available to use for this subfield. The list has been shortened based on the types of items normally found in a school library media collection. Again, this is an optional field; there are other places in the record where material type can be identified. However, if you decide to make use of this subfield and have an item not on the list provided, see RDA 3.2.1.3, 3.3.1.3, and 6.9.13 for more terms. RDA directs us to enter creator information as it is displayed on the preferred source of information (2.4.1.4) and in MARC, that information is entered in the $c. Again, we note that prior to the implementation of RDA, there were clear rules about what information should and should not be recorded in the statement of responsibility, including naming no more than three people with the same roles (no more than three authors) and omitting honorific titles unless necessary for identification. In accepting copy cataloging, we might see the “et al.” abbreviation described in the introduction to this section. We probably won’t go back and fix those statements, but we should be aware that names should no longer be omitted, even if that results in a long statement of responsibility. We will see in the section on the

1XX/7XX fields how the information we include in the 245 $c impacts other parts of the surrogate record. For now, all we need to know is that creators with the same function are listed and separated by commas, and that semicolons separate creators with different functions.

Partial List of Medium Types (245 $h) (Note: the information entered in $h is entered all in lowercase.) electronic resource (Optional: use specific material type—e.g., MP3.) game kit realia (Use this for things like LCD projectors.) sound recording videorecording (Note, this is one word; Optional: use specific material type—e.g., DVD.)

There are several punctuation rules for this field all based on ISBD, not RDA. The $h (if there is one) is separated from the $a with a space. The $b is separated from $a (or $h if there is one) by a space and a colon. The $c is separated from the rest of the subfields by a space and slash ( / ). Within $c, if there are a number of people listed and they have different jobs (e.g., an author and an illustrator), they are separated by a space, then a semicolon, and then another space. If there are two authors, they have the same job so are separated with a comma and a space. If the information on the title page does not include a connecting word, such as “and” or “with,” the cataloger may supply this word but must do so by enclosing the word in brackets; otherwise the names can be separated by a comma and a space. This field always ends in a full stop unless there is no $c and the title ends in some other kind of punctuation. If we use the circumflex ( ^ ) to show spaces,

an example of the punctuation in the 245 would look something like this: 245 XX $a Title^$h[medium]^:$b other title^/$c author,^second author^;^illustrator. Let’s take a look at a few examples to see how the 245 field works. We will assume we are following the Library of Congress rules on capitalization (first word and proper nouns), even though RDA allows us to transcribe information exactly as it is on the title page. • On the item as:

Frog and Toad Are Friends by Arnold Lobel

• Typed into the record as: 245 10 $a Frog and Toad are friends /$c by Arnold Lobel. Notice that the first indicator tells the computer that there will be a 1XX field. The second indicator is a 0, telling the computer to file this record under “f” for “frog.” This item only has a title proper, and there is no subtitle; it is a book, so there is no need for a $h. The statement of responsibility lies solely on the shoulders of Lobel. Notice that “frog” and “toad” are both capitalized, as these are the characters’ names. • On the item as:

BARD OF AVON The Story of William Shakespeare DIANE STANLEY AND PETER VENNEMA ILLUSTRATED BY DIANE STANLEY

• Typed into the record as: 245 10 $a Bard of Avon :$b the story of William Shakespeare /$c Diane Stanley and Peter Vennema ; illustrated by Diane Stanley.

Notice from the first indicator code that this record has a 1XX field. Notice that this title is filed directly under the letter “b,” and so the second indicator is a 0, telling the computer to skip zero spaces. Despite the fact that nearly all information on the title page is in capital letters, we capitalize only the first word of the title, proper names (Avon, William, and Shakespeare), and the names of the responsible people. We do have a subtitle that is recorded in the $b; notice the colon before the $b. And we have multiple people in the $c; notice that Stanley and Vennema are listed together, as they appear on the item as the authors. However, Stanley is repeated again as the illustrator; notice the space semicolon and space (^;^) separating the authors and the illustrator. That notation (brought to us by ISBD) is used in the $c of the 245 field to separate people with different jobs: Vennema is an author, so he and Stanley are kept together; but Stanley also illustrated the text, so she is listed again with the use of the semicolon. • On item (title screen) as: Waking Sleeping Beauty Typed into the record as: 245 00 $a Waking Sleeping Beauty $h [videorecording] /$c a Stone Circle Pictures, Red Shoes production ; Disney Enterprises, Inc. ; produced by Peter Schneider and Don Hahn ; written by Patrick Pacheco ; directed by Don Hahn. Notice that Sleeping Beauty is capitalized because that is the character’s name. The option of using $h is exercised here to define that this is a DVD, but in cataloging language we call it a videorecording. The different names of responsibility are separated by the space semicolon space, and they include both corporate bodies (e.g., Disney Enterprises) and people. Even though there are people named in the $c, there will be no 1XX field in this record, and so we code “0” in the first indicator place.

• On the item as:

Eyewitness THE VISUAL DICTIONARY of the UNIVERSE Typed into the record as:

245 04 $a The visual dictionary of the universe. Skipping over the indicators for just a moment, look at the field and notice that this 245 field has only one subfield: $a. There is no statement of responsibility, because none was given on the title page and none was given on the verso of the title page. Sometimes in works like these, one will find a statement on the verso of the title page that does assign responsibility, such as “Text by John Smith. Photographs by Jane Doe.” But such is not the case with this item, so we must leave out the $c. Because there is no $c, we will also find that there is a 0 in the first indicator spot. A 0 means that this record will not have a 1XX field. Notice too that the second indicator has a value of 4, telling the computer to skip the first four spaces (t-h-e and space) and to file and retrieve this record under “v” for “visual.” Notice too that we have left out the word “Eyewitness.” We did this because “Eyewitness” is really part of the series title, Eyewitness Visual Dictionaries (we know that from other information on the item that is not shown here in the example). • On the title screen as: NOODLEBUG On the Move On the DVD disc as: NOODLEBUG™ DVD Video On the Move On the CD disc as: NOODLEBUG™

Music CD On the Move On the container as: NOODLEBUG™ On the Move On the back of the container: School Specialty Children’s Publishing ©2003 Carus Publishing Company and Noodlebug Productions LLC. All rights reserved. © 2005 Noodlebug Productions LLC. Typed into the record as: 245 00 $a Noodlebug $h [DVD] :$b on the move /$c Carus Publishing and Noodlebug Publications. This mixed-media information package offers us all sorts of interesting problems. The title proper seems deceptively easy. Given our information, we might be tempted to transcribe the title as: “$a Noodlebug on the move”. However, our cataloger has put “on the move” into a $b. A look at the cataloging at other institutions shows that there seems to be many ways to enter this information, including keeping all parts of the title in $a or using a subfield we’ll not be exploring in this text, $p. It turns out (and we know this by looking at the parent’s guide included with the set) that there are several different Noodlebug titles. Separating “on the move” from “Noodlebug” in either the $b or the $p shows that “Noodelbug” is the title proper and the other part is just that, “other title information.” The $p in the 245 field tells us that this item sort of has two titles. The first title in $a probably covers more than one item. The second title in $p is the name that is special to this particular information package. In this case, we think the use of

the $p may be more than necessary: use of $p is certainly uncommon in school library materials. Therefore, we are happy to stick with the $b for “other title information.” (For more information about $p, you can go to the Library of Congress MARC page: http://www.loc.gov/marc/bibliographic/bd245.html.) Notice the $h shows the vernacular term “DVD” instead of “electronic resource.” We could have also opted for “videorecording,” since that also describes what we have; however, we feel that DVD is going to be more familiar to our students and therefore a more useful term. Now look at $c and note that we have included information that is not provided on the title screen. In mixed media, our preferred source of information is the item itself plus any other accompanying material that best describes the item. Therefore, we are free to include the statement of responsibility without including it in brackets. Bilingual materials require special attention in entering the information into the MARC record. RDA (rule 2.3.3.3) tells us to transcribe parallel titles, and ISBD provides the rule for preceding parallel titles using an equal sign ( = ) between the titles. The parallel title is the title proper in a different language. This differs from other title information that would be in the same language as the title proper. Here is where using older cataloging (pre-2013) might become problematic. AACR had clear rules about how to record parallel title information, but RDA directs us only to record the information, without providing the full context of the title proper next to the parallel title (rule 2.3.3). If you are looking at older cataloging, there are three different ways that you might see bilingual titles: 1. If there is no statement of responsibility, the parallel title follows other title information in the $b:

1a. 245 00 $a Leyenda azteca :$b Iztaccihuatl y Popocatepetl = Aztec legend : Iztaccihuatl and Popocatepetl. 1b. Since there is no $c, the parallel title immediately follows the other title information in $b. 2. If all information except the title is given in only one language and there is no other title information, then the parallel title information is given in the $b. But unlike titles all in one language, the $b is immediately preceded not by a colon but by the equal sign (=). 2a. 245 10 $a Little Red Riding Hood =$b Caperucita roja /$c by the Brothers Grimm ; illustrated by Pau Estrada. 2b. Notice the use of the equal sign instead of the colon before the $b. Notice also the form of the statement of responsibility: “the Brothers Grimm.” That’s the way the name appears on the title page, and so that is how we transcribe it as per the RDA rule discussed previously. It’s a strange way to see the name, and so we point it out here as a good illustration of that rule. 3. If all information on the chief source of information is given in more than one language, then the parallel title information follows the $c: 3a. 245 10 $a Magic dogs of the volcanoes /$c by Manlio Argueta ; pictures by Elly Simmons ; English translation by Stacey Ross = Los perros mágicos de los volcanes / escrito por Manlio Argueta ; ilustrado por Elly Simmons ; traducido al ingles por Stacey Ross. 3b. Notice how the structure of the information parallels that of the first part of the 245 field, including the use of the space semicolon space in recording the names in the statement of responsibility. 3c. In RDA, this field is modified slightly by pulling all parallel information together and separating languages in

the statement of responsibility with a slash and no spaces: 245 10 $a Magic dogs of the volcanoes =$b Los perros mágicos de los volcanes /$c by/escrito por Manlio Argueta ; pictures by/ilustrado por Elly Simmons ; English translation by/traducido al ingles por Stacey Ross.

245 Field: Title and Statement of Responsibility

• The 245 is not repeatable. • First indicator is coded 0 for no 1XX fields or 1 for 1XX fields. • Second indicator is coded 0–9 for spaces to skip for filing characters. • Most common subfields are $a title proper (must have); $h medium (non-books only, optional); $b other title information; and $c statement of responsibility. If there is a $h it is always directly after the $a information and has no preceding punctuation; $b is usually preceded by a colon ( : ) but may also be preceded by an equal sign ( = ); $c is always preceded by a slash ( / ). • Unless some other punctuation exists, this field always ends in a full stop ( . ). Examples: 245 14 $a The cat in the hat /$c by Dr. Seuss. 245 12 $a A chocolate moose for dinner /$c written and illustrated by Fred Gwynne. 245 00 $a We will never forget $h [DVD] /$c WGN productions ; produced by Bob Smith. Exercises: Put these titles in a 245 field, and try to apply one subject heading and a Dewey classification number.

6.1. Title page: Body decoration Jillian Powell [Powell is the author; the book is about the different ways people decorate their bodies, including tattooing, cosmetics, and hair styles.] 6.2. Title page: WALTER DEAN MYERS NOW IS YOUR TIME! The African-American Struggle for Freedom [Myers is the author; the book is a history of the African-American struggle for freedom and equality, beginning with the capture of Africans in 1619, continuing through the American Revolution, the Civil War, and into contemporary times.] 6.3. Title page: Mermaid Tales From Around The World Retold by Mary Pope Osborne Illustrated by Troy Howell [Collection of 12 mermaid tales from around the world.] 6.4. Title on disc: The Sea of Trolls by Nancy Farmer read by Gerard Doyle [12 CD recording of a fictional story involving Druids, Norse mythology, brothers and sisters, and Vikings.]

246 Field: Varying Form of Title Sometimes an item contains some subtitle information or proper title information that we need to retrieve as title information in its own right. The 246 field, called Varying Form of Title, is used for this purpose: in cataloging we call this “tracing for an alternate title,” or, “making an added entry” (RDA rule 2.3.6.3). In our example of Bard of Avon, we have the following subtitle: The Story of William Shakespeare. That subtitle is very descriptive of the book, and it would not be out of the realm of possibility that a

student might conduct a title search for “The Story of William Shakespeare.” Therefore, we want to create a way so that the $b information can be retrieved through a title search. We do this by adding a 246 field to the surrogate record. Prior to 1993, this information was recorded in the 740 field, and records for older items may still reflect that use of that field. In fact, vendors of automated systems for school libraries did not recognize the use of the 246 field for added book titles right away (it was previously used just for periodical publications), and so even records beyond 1993 might have a 740 instead of a 246 field. However, it is safe to say the school librarian can now use the 246 field for added title information. Thus our example of Bard of Avon would also include a 246 field: • 246 3_ $a Story of William Shakespeare Notice in this field that the initial article “the” has been dropped from the title. In the 246 field there is no indicator for non-filing characters; therefore the initial article is dropped. Notice too that the field does not end in a full stop. There is no closing punctuation in the 246 field unless specified on the item, as in a question or exclamation mark. We would also use the 246 field for our bilingual items, to trace for the titles in the other languages as we see in these next examples. • 245 10 $a Magic dogs of the volcanoes =$b Los perros mágicos de los volcanes /$c by/escrito por Manlio Argueta ; pictures by/ilustrado por Elly Simmons ; English translation by/traducido al ingles por Stacey Ross. 246 3_ $a Perros mágicos de los volcanes Notice here that the initial article “los” has been dropped from the title, just as we dropped the initial article “the” from the previous example. • 245 00 $a Leyenda azteca :$b Iztaccihuatl y Popocatepetl = Aztec legend : Iztaccihuatl and Popocatepetl. 246 3_ $a Aztec legend

Notice that we transcribed here only “Aztec legend.” Technically speaking we could have added a $b and the rest of the English title, but the $b is so rarely used in the 246 field that we have opted not to include that information. • 245 10 $a Little Red Riding Hood =$b Caperucita Roja /$c by the Brothers Grimm ; illustrated by Pau Estrada. 246 3_ $a Caperucita Roja Notice here and in the other examples, that we do not include any information from the $c, as that information is not transcribed in the 246 field. The 246 field is also used if the title proper contains numbers or symbols that need to be written in alternative ways. We make these added entries if the numbers or symbols occur in the first five words of the title. Here are some examples: • 245 10 $a 10 ways to feel better /$c by Dr. Feelgood. 246 3_ $aTen ways to feel better • 245 14 $a The 5 & 10 stores of yesteryear /$c by William Jennings. 246 3_ $a Five and ten stores of yesteryear 246 3_ $a Five & ten stores of yesteryear 246 3_ $a 5 and 10 stores of yesteryear Notice how we created three 246 fields for this one title to account for both the numbers (5, 10) and the ampersand (&). We do this to try to think of the various ways a patron might search for the title, using numbers or symbols or not. There may even be more combinations, such as “five and dime,” but the tracings we make are dependent on how we think our users might search for the item. The point is that in dealing with numbers, we need to try to account for as many variances in spelling as the librarian deems necessary for information retrieval.

Finally, we have the case of the title beginning with the name of a person or company. RDA directs us to exclude introductory phrases that are not intended to be part of the title but allows us to create variant titles if need be (rule 2.3.1.6). An example might be Elvis Presley’s Love Me Tender or Walt Disney’s Aladdin. In both cases, our title proper begins with the name of the person (Presley or Disney), but for one title the name is integral to the title and not for the other. How do you know? Generally we can disregard production names, like Disney. We enter the title proper and trace for the variant title as in these two examples. • 245 10 $a Elvis Presley’s Love me tender /$c lyrics by Elvis Presley and Vera Matson ; illustrated by Tom Browning. 246 3_ $a Love me tender Notice in our 245 field that the word “Love” is capitalized. We capitalize that word because it is the first word in the title of the work. • 245 00 $a Aladdin $h[DVD] /$c Walt Disney Productions. 246 3_ $aWalt Disney’s Aladdin $h[DVD] Again we see that “Aladdin” is capitalized. Not only is Aladdin the title, but it is also the proper name of the character; thus, his name is capitalized. Note too that we have the $h included in the field, just as we see in the 245 field. Both of the indicators in the 246 field have various meanings. We opt for defining only one meaning in each place: 3 for the first indicator and blank ( _ ) for the second indicator. The first indicator is used to tell the computer whether there is a note explaining this alternate title or not. Since we usually will not add an extra note, we opt for the indicator value of 3 to show there is no note, but there is an added title entry. The second indicator differs in the 246 from the 245 field. In the 245 field, the second indicator is used to note the number of spaces to skip for filing the title

name. In the 246, this place is used to define the type of title being traced. In most cases, we don’t need to identify the type of title; that is, we’re tracing for the other title information and not for a spine title, half title, cover title, or other kinds of bibliographic information that is important in some libraries but usually not very important to note for school library collections. Therefore we opt for the blank indicator, which is most often the default value in school library media automation systems. For more information about all of the indicators defined for the 246 field, see MARC21: http://www.loc.gov/marc/bibliographic/bd246.html.

246 Field: Varying Form of Title • The 246 field is repeatable. • First indicator for our purposes most commonly is coded 3 for no note/added entry; other values are 0 for note/no added entry, 1 for note/added entry, and 2 for no note/no added entry. • Second indicator for our purposes is most commonly coded as blank; there are nine other valid codes (0–8) for this field that define the type of title information being entered; spine, caption, and so on. • There are 11 valid subfields for this field; most school librarians will use the $a (and $h as needed) only. • There is no closing punctuation in the 246 field unless specified on the item, such as a question or exclamation mark.

Example: 245 10 $a Stateswoman to the world :$b a story about Eleanor Roosevelt /$c by Maryann N. Weidt ; illustrations by Lydia M. Anderson. 246 3_ $a Story about Eleanor Roosevelt

Exercises: Create 245 and 246 fields for the following (be sure to correct for capitalization). 6.5. The time we had together The story of Richard Rogers and Oscar Hammerstein By John Smith 6.6. The GREATEST Puppy ever My dog Fluffy

written by Samuel Jackson and illustrated by Laura Smith 6.7. 24 girls in 7 days ALEX BRADLEY 6.8. Extra credit: On title screen as: Moon

Un lazo

Rope

a la

 

Luna

A Peruvian

Una leyenda

Folktale

peruana

Lois Ehlert

translated into Spanish by Amy Prince

This is a folktale presented in both English and Spanish. Along with the 245 and 246, can you create a classification and subject heading for it?

Main Access Point Fields (1XX) and Added Access Point Fields (7XX) In times past, when catalog cards were typed by hand, the concept of main entry was related to the fact that it was laborious and time-consuming to type all the information about an item on every card that was produced. Thus a single card, the main entry card, was created in which all the information about an item was included. All other cards (added entry cards) included minimal amounts of information about the item, and the user was referred to the main entry card for complete bibliographic information. The author of the work was usually the main point of access. The title of the work became the main entry if there was no author, if there were more than three authors, or if the work was an edited volume. When libraries shifted to electronic access, this idea of a main entry card became less important, although the prominence of the 1XX field reminds us that the concept of main entry is not dead yet. The 1XX field tells us that this is the primary or main access point for the information package. In the school environment, we might think of this as the author

statement, as that is our most common use for it, although the 1XX fields include much more than just the name of an author. There are four possible fields in this area, but only one can be selected in any given record. That means, for example, that if there is a 100 field, there can be no 130 field. The field numbers are 100, 110, 111, and 130 for personal name, corporate name, meeting name, and uniform title, respectively. The information for a name field (100, 110, or 111) is usually taken from the 245 field, which is why we explored that field first. Because only one 1XX field can exist in a record, and because there is often more than one creator responsible for an item, there needs to be another place in the surrogate record for those others. The 7XX fields are the “added access points” for other creators (people, corporate bodies, etc.). In the computer world, the 1XX and 7XX fields serve very similar functions, and there are those who say there should be no 1XX field, only 7XX fields. We will let the experts argue this issue. For us, we think of the 1XX field as the first creator named in the 245 $c, and the 7XX fields as the place to put other creators associated with the intellectual content of the item. As we shall see, the structure of the 1XX and 7XX is similar. RDA instructs us to use the preferred name for providing access to names of people, corporations, and families (rule 9.2, 10.2, and 11.2). Even though we are getting the information from the item, in recording the names of the creators it may be necessary to check an authoritative database to make sure we are entering the creator’s name correctly. For us, the authority is Library of Congress. When creating content for the 1XX and 7XX fields, be sure to check the name in the Library of Congress Authorities database: http://authorities.loc.gov. When using this database, once you enter the name of the creator, make sure you have selected “Name Authority Headings” and then search the name. If you don’t find anything, first check your spelling and then enter the name as it appears in the item to the record.

100 and 700 Fields: Personal Name Entries The 100 and 700 fields are access points in the surrogate record for the names of people responsible for the intellectual content of the work in hand. These are the fields searched when our patrons conduct author (creator) searches. In MARC, we enter the name of a person in $a with the last name first and then add other subfields (usually $c, $d, and $q; see chart in box) as designated by the Library of Congress. One field that is not defined in the authority database is $e, the relator term, because a person can have more than one talent (author, illustrator, composer, etc.). Recalling that relationships are important in RDA standards, the use of the $e which was often present in the added entries (700 fields) is now being applied more frequently in the 100 field as well. RDA defines relator terms in rule I.2, but if you don’t have access to RDA, the Library of Congress also has a list available at: http://www.loc.gov/marc/relators/relaterm.html. The most common terms in school library catalogs are “author,” “editor,” “illustrator,” and “translator.” It was very common to see something like “jt. author” or “co-author” as a relator term in the past, but “author” has replaced those terms, treating all creators equally. Most of the time, the 100 and 700 fields are created from the information in the 245 $c. This information can also come from the 5XX fields, as we will see in the next chapter. For now, let us focus on getting this information from the 245 $c. We have already discussed entering information in the $c of the 245 field; now let’s explore what we can do with that information. Let us go back to our 245 field examples and see how the 100 and 700 fields work. • Title page: Frog And Toad Are Friends by Arnold Lobel

• Transcribed into the record as: 100 1_ $a Lobel, Arnold, $e author. • 245 10 $a Frog and Toad are friends /$c by Arnold Lobel. This is a good example to start with because it is very straightforward. There is only one person responsible for the intellectual content of the item; that’s Lobel, and his name is entered in the 100 field in the format we found on the LC authority database. • Title page: Bard of Avon The Story of William Shakespeare Diane Stanley and Peter Vennema Illustrated by Diane Stanley • Transcribed into the record as: 100 1_ $a Stanley, Diane, $e author. 245 10 $a Bard of Avon :$b the story of William Shakespeare /$c Diane Stanley and Peter Vennema ; illustrated by Diane Stanley. 700 1_ $a Vennema, Peter, $e author. This example is a little trickier than our first, but only because Stanley is mentioned twice in the 254 $c. If we remember that we’re talking access and that the computer searches both the 100 and 700 fields when conducting an author search, then we can see why we would enter Stanley only once. It would be redundant and would do nothing for retrieval to list her both in a 100 field and again in a 700 field. However, we could repeat the $e in her name to account for both of her responsibilities: 100 1_ $a Stanley, Diane, $e author, $e illustrator if our system allows for two $e’s. Notice both Stanley and Vennema have “$e author” after their names. Prior to 2013, Stanley might have had “author” after her name, but Vennema would have had “joint author” (or jt. author) after his. Recall that RDA is all about relationships so the relator subfield $e is important and Stanley and Vennema are

both considered authors in order to better link their names to other works where they might have acted alone and not have been “joint” to anyone else. • Title page: MAGIC DOGS OF THE VOLCANOES LOS PERROS MÁGICOS DE LOS VOLCANES Story by/Escrito por Manlio Argueta Pictures by/Ilustrado por Elly Simmons English translation by/Traducido al inglés por Stacey Ross • Transcribed into the record as: 100 1_ $a Argueta, Manlio, $e author. 245 10 $a Magic dogs of the volcanoes =$b Los perros mágicos de los volcanes /$c by/escrito por Manlio Argueta ; pictures by/ilustrado por Elly Simmons ; English translation by/traducido al inglés por Stacey Ross. 700 1_ $a Simmons, Elly, $e illustrator. 700 1_ $a Ross, Stacey, $e translator. There is nothing overly exciting about the 100 field; we’ve seen the same thing in our previous two examples. We also see the relator terms for all of the creators. Again, in pre-2013 records we are likely to see abbreviations for the relator terms wherein Simmons would have been an “ill.” and Ross a “tr.”

The 100 and 700 fields share similar structure but are also different: * There can only be one name in the 100 field.

* There can only be one name in the 700 field.

* The 100 field is not repeatable.

* The 700 field is repeatable.

* First indicator usually will be coded 1 for entry by surname, but may also see code 0 for forename entry or 3 for family name entry.

* First indicator is the same in the 700 field as it is for the 100 field, using 1, 0, or 3 for type of name entry.

* Second indicator usually will be coded as blank.   * The second indicator is slightly different in the 700 field; usually it is blank (like the 100 field), but there is also a “2” for an analytical entry (uncommon in school library collections). * There are 31 valid subfields; most common ones are $a Personal name (must have a $a), $d Birth and death dates, and $e Relator (not

* The $e for “relator” is very common in the 700 field, used most often to note that the name is for the illustrator, editor, or translator. Prior to

commonly assigned until after 2013); other less 2013, relator terms were abbreviated (e.g., ill., common but not infrequent subfields are: $q tr., and ed.). Fuller form of name, and $c Titles associated with * Field ends in a full stop, unless other the name. punctuation is present. * Field ends in a full stop, unless other   punctuation is present.   Example: 100 1_ $a Smith, John F. $q (John Franklin), $d1898-1989, $e author.

Example: 700 1_ $a Smith, Frank, $d1888-1979, $e illustrator.

Exercises: Take the information from the $c and put it into 100 or 700 fields as needed. 6.9. 245 10 $a Opposites /$c by Sandra Boynton. 6.10. 245 10 $a Books and libraries /$c by Jack Knowlton ; pictures by Harriett Barton. 6.11. 245 10 $a Elvis Presley’s Love me tender /$c lyrics by Elvis Presley and Vera Matson ; illustrated by Tom Browning.

• Title page: GEORGE AND MARTHA Written and Illustrated by James Marshall • Transcribed into the record as: 100 1_ $a Marshall, James,$d 1942-1992, $e author. 245 10 $a George and Martha /$c written and illustrated by James Marshall. In this example we have an author with birth and death dates. This record has been updated to include the author’s death dates. Some older records may have only “$d1942-”. Should you encounter this, you might want to update the record yourself. In our previous examples, we see that not every person has dates associated with his or her name. The Library of Congress establishes dates if it is necessary, and the established name is what you will see in the CIP data and in copy cataloging. If you are creating an original record or you are updating copy, don’t feel that you need to investigate the life of an author to find birth and death dates. Accept what you have in front of you

and move on; you have too many other things to do to spend your time looking up biographical data on an author! • On the disc as: The Sea of Trolls by Nancy Farmer read by Gerard Doyle • Transcribed into the record as: 100 1_ $a Farmer, Nancy, $d 1941- $e author. 245 14 $a The sea of trolls $h[sound recording] /$c by Nancy Farmer. 700 1_ $a Doyle, Gerard, $e narrator. Notice here that we have an open date for Farmer because she is still alive (we found this date from the LC database). Notice that Doyle’s name does not appear in the $c. Doyle is the narrator, and his name will appear in a 5XX field (defined in the next chapter). However, he still earns a tracing in the 700 field.

110 and 710 Fields: Corporate Name Entries Sometimes it happens that the contributor to the intellectual content of the item is not a person but a “thing” or corporate body. This happens most often with non-book items. Computer programs, maps, and motion pictures are almost always created through the efforts of an organization, and that organization deserves some credit for its contributions. To do this, we use the 110 or 710 fields. These fields have the same purpose as the 100 and 700 fields, except we are now tracing for a corporate body rather than for a person. Like the 100 field, the 110 field is not repeatable; however, like the 700 field, the 710 field is repeatable. The first indicator for either 110 or 710 is defined according to the way the corporate body is entered

into the field. If the name of the corporate body is recorded in inverted order (sort of like last name first), then the first indicator value is 0. This is the least common way to enter corporate bodies. A more common way to enter a corporate body is called “jurisdiction order.” Jurisdiction order is used most often for government bodies wherein the place name is given first and then the department name. Jurisdiction order is given the first indicator value of 1. Direct order is the term used to refer to a body that is recorded in the order in which it is seen on the item and is given the first indicator value of 2. The second indicator is most often blank, although, again, like the 700 field, the 710 field can have the indicator 2 to show it is an analytic entry, but that is very rare in the school library catalog. Of the 22 valid subfields for these fields, the most common one, besides the beginning $a, is the $b. This is used for corporate bodies entered in jurisdiction order. The $b is preceded by a full stop. Unless there is other punctuation, these fields both end in a full stop. Let’s take a look at some examples to see these fields in action. • Title from disc: Green Eggs and Ham by Dr. Seuss 245 00 $a Green eggs and ham $h[electronic resource] /$c by Dr. Seuss. 700 1_ $a Seuss, $c Dr. 710 2_ $a Living Books (Firm) Notice the 700 field and the fact that Seuss is only a last name and is followed by a comma and then the $c for his title, “Dr.” Past practice (pre-2013) has been that in the 245 field an honorific like “Dr.” or “Sir” is not included unless it is needed to identify the individual. Recall that RDA tells us to “take what we see and accept what we get” so in RDA records, the honorific will be included even if not needed to identify a person. In this case, we really need that “Dr.” because that’s our only identification for who this person is. For the 100 field we would include honorifics

if they have been established by the Library of Congress or, again if needed for identification purposes. When we look the name up in the Library of Congress authority database this confirm our decision to include that “Dr.” Now look at the 710 field. First of all we need to know from whence this information has come, as it most certainly is not in the 245 $c! If we were to look at this program on the computer, we would see “Living Books” all over the introductory part before the title screen. We know then that even though we are not including this information in the 245 $c, it has to be traced. (We’ll reference this corporate body later in the record, in the 264 field.) We see here an example of a tracing for a corporate body that is not mentioned in the 245 field. Now look at the field itself; we see the first indicator value “2,” meaning that this corporate body is entered in direct order. But how do we know to use “Firm” in this entry? It isn’t on the item itself, so how do we know to do this? We know because our copy cataloging shows it in this way. By now we know better than to simply accept copy cataloging especially when it comes to names and so we would probably look up Living Books on the LC authority database to use as a guide for creating this field. Notice that because the word “Firm” is enclosed in parentheses, the closing parenthesis acts as our final punctuation and there is no full stop at the end of this field. • Title from the title screen: Strega Nona 245 00 $a Strega Nona $h [videorecording] /$c [por Tomie De Paola] 700 1_ $a De Paola, Tomie 710 2_ $a Weston Woods Studios. 710 2_ $a Scholastic Inc.

Notice that the first indicator in the 245 field is 0 and that there is no 100 field. We all know that Tomie De Paola is responsible for the intellectual content of the book, but what about the film? In films, there is seldom a personal or corporate name for the main entry. (Even Stanley Kubrick doesn’t get a 100 main entry for his films.) The reason for this is that so many people are involved in creating a film, or often any other non-book item, that it is impossible to select the one person for the main entry access point. So most motion pictures (including Blu-rays and DVDs) will be entered under the title (245 field, first indicator 0) with other tracings for the people involved in the project, as we see here in our example with Mr. De Paola entered in the 700 field instead of the 100 field. It might be argued that schoolchildren will never look for an item given the name of the production company. Here we apply RDA rule 19.3.1.3, which directs us to record corporate bodies associated with a work if deemed important enough to provide access. This means we don’t “have” to provide the access if we don’t want to. But we do, and in MARC that is achieved through the 710 field. Both Scholastic and Weston Woods appear prominently immediately preceding the title screen; therefore, we make added entries for them in two separate 710 fields. • Title page: The Visual Dictionary of the Universe 245 04 $a The visual dictionary of the universe. 710 2_ $a Dorling Kindersley Limited.

We don’t normally trace for the names of publishers; however, Dorling Kindersley is so well known for its visual dictionaries and eyewitness books that it is quite likely a school student, or teacher, may run a name search for Dorling Kindersley and so, again, we want to be able to retrieve items by the company’s name. Moreover, in this case there is no name of any person responsible for the intellectual content of the item; therefore we can only assume that it was created by the corporate body, and so we give it credit in the 710 field. (We might even be tempted to create a 710 field for “DK,” as so many of us use that abbreviation with which to refer to this publisher.) However, because of the popularity of these publications, even if a personal name was given on the item, we would probably still be tempted to trace for the publishers. We do this through the same rule, 19.3.1.3, described in the previous example. • Title on title screen: National Geographic The Human Body 245 04 $a The human body $h [electronic resource] /$c National Geographic Educational Division. 710 2_ $a National Geographic Society (U.S.). $b Educational Division. Again we can rely on copy cataloging to tell us how we should enter the National Geographic Society, especially because it might not appear in its full form on the item (as is the case with our example) if we don’t have time to look it up in the LC authority database. We see that even though the $a ends with information in parentheses, there is still the full stop before the $b information. We do this because ISBD tells us that subordinate units (in our case Educational Division) are preceded by a full stop regardless of other punctuation.

110 and 710 Fields Share the Following Structure: • The 110 field is not repeatable but the 710 is. • First indicator describes the order of the entry: Value 0 means the entry is in inverted order (not very common for school library collections)—e.g., 710 0_ $a Franklin (Benjamin) Printing Press Incorporated. Value 1 means the entry is in jurisdiction order—e.g., 710 1_ $a Canada. $b Dept. of Agriculture. Value 2 means the entry is in direct order—e.g., 710 2_ $a Weston Woods Studios.

• Second indicator will usually be blank; in the 710 field one may see a value 2 for analytical entry, but this is not very common in school library collections. • There are 22 valid subfields for these fields. Of these, the most common subfields are $a Corporate name or jurisdiction name and $b Subordinate unit. Examples: 110 1_ $a Delaware. $b Department of Public Instruction. 110 2_ $a National Geographic Society (U.S.). $b Cartographic Division. (For a work that emanates from one specific department of the National Geographic Society.)

Exercises: Look on various library databases for the following; notice both the OPAC and MARC displays: 6.12. Weston Woods 6.13. Scholastic (notice the variety of Scholastic entities) 6.14. National Geographic 6.15. Living Books

School library media specialists do not commonly assign the rest of the 1XX/7XX fields, but they do appear in records so it is helpful to at least know what they are even if you never assign them yourself. • 111 & 711 Fields: Main and Added Entry for Meeting Name. Should you ever find yourself in the position of

cataloging a conference proceeding wherein the name of the conference is the main entry, this is the field in which you would enter that information. • 130 Field: Main Entry, Uniform Title. AND 240 Field: Uniform title. These are two tricky fields that may not be all that uncommon in a record, especially if cataloging a translation or a folktale. These two fields are used to record the authoritative title of the item. Enter information here only if you have it from a copy cataloging resource. If you need to record a uniform title and the surrogate record does not have a 100, 110, or 111 field, then use the 130 field; if there is a 100, 110, or 111 field already in the record, then use the 240 field. “Uniform title” is the term used to refer to a single title that pulls together all derivations of that title. For example, it might not be uncommon for records of different translations of The Fisherman and His Wife to include a 130 field that looks something like this: 130 0_ $a Von dem Fischer und seiner Frau. $l English. But one would only see that if the item in hand were truly a translation and not a loose adaptation. Unless you see this field in copy cataloging, it’s best to not try to create it.

Summary of Title and the Statement of Responsibility (1XX, 245, 246, 7XX) • Transcribe the title proper as provided on the preferred source of information. • Preferred source of information for a book is the title page itself. Preferred source of information for non-book materials is usually the item itself first and then other label- and container-supplied information. If any information is entered here that is not directly from the title page, it must be enclosed in brackets [ ]. (See RDA rule 2.2.2.) • Transcribe all names provided on the item in the statement of responsibility; if necessary to omit any names, provide in a bracket the number of names omitted. (See RDA rule 2.4.1.4.) • MARC fields included in this area are: 245, 246, 1XX, 7XX.

• There can be only one 245 field in a record; for access to other title information, use the 246 field. • There can be only one 1XX field in a record; for access for other creator names, use the 7XX fields.

Generic Example: • 100 1_ $a Last name, First name, $d dates, $e relator. • 245 XX $a This is the title of the work :$b it has a subtitle /$c it has an Author; and an Illustrator. (A non-book item could also include a $h between $a and $b.) • 246 3_ $a This is part of the title that is important to trace (usually from 245 $b). • 700 1_ $a Last name, First name, $dates, $e relator.

Specific Example: • 100 1_ $a Stubbolo, Garth, $d1952-, $e author. • 245 14 $a The great waste mystery $h[kit] :$b recycling in Delaware /$c developed and written by Garth Stubbolo and Teren Gordon in cooperation with the Delaware Solid Waste Authority. • 246 3_ $a Recycling in Delaware • 700 1_ $a Gordon, Teren, $e author. • 710 2_ $a Delaware Solid Waste Authority.

Exercises: Apply 1XX, 245, 246, 6XX, 7XX, and 082 fields as applicable; check your answers against a library database. 6.16 This is a non-fiction book about frogs and toads. On the title page as: FROGS AND TOADS BY REBECCA K. O’CONNOR 6.17. This is an audiobook; it is fiction about a boy, Harry Potter, and the trouble he runs into in his second year at the wizardry school Hogwarts. On the disc is: HARRY POTTER AND THE CHAMBER OF SECRETS J. K. Rowling Read by Jim Dale 6.18. This DVD is a biography of the jazz pianist Duke Ellington, based on the book of the same title. On the title screen as: Duke Ellington The Piano Prince and his Orchestra

Immediately preceding the title screen are credits for Scholastic and Weston Woods. The animated program is based on the book by Andrea Davis Pinkney, illustrated by Brian Pinkney, who are not named in the title although the names are in the credits at the end of the movie.

Conclusion This chapter concludes our foray into intellectual and added access points. You are about halfway through the MARC record. In Chapter 7 we will cover the rest of the surrogate record and pull all the elements together.

Chapter 7 RDA—Physical Description Fields & Coded Data In this chapter we cover these fields (use of X is a placeholder for field number or indicator value): 010

__

$a _ _ 2001336783 [Library of Congress Control Number (LCCN)]

020

__

$a 0394170660$q paperback$c $4.95 [International Standard Book Number (ISBN)]

040

__

$aDLC$cDLC$dagk$erda [Cataloging Source; look for $erda]

041

X_

$a $h $j [Language Code; for bilingual items, translations, captions]

043

__

$an-us-wi [Geographic Area Code; example shows item is about or takes place in North America-US-Wisconsin]

[1XX, 245, 246 covered in Chapter 6] 250

__

$a Third edition. [Edition Statement]

264

_X

$a Place :$b Publisher,$c date [Production, Publication, Distribution, Manufacture, and Copyright Notice; use this instead of 260 field; may see $c in a separate 264 field.]

300

__

$a Extent :$b Other physical details ;$c Dimensions +$e Accompanying material [Physical Description]

336

__

$a Content type $b code $2rdacontent [Content Type]

337

__

$a Media type $b code $2rdamedia [Media Type]

338

__

$a Carrier type $b code $2rdacarrier [Carrier Type]

490/8XX [Series Statement with added access point for authorized title of series] 5XX [Notes fields] [6XX covered in Chapter 4 and 7XX covered in Chapter 6]

Introduction

I

n this chapter we complete the surrogate record by exploring other physical description areas as well as related, non-RDA, MARC fields. Included here will be the presentation of some non-eye-readable, coded fields as well as fields for publication information, material type definitions, series title access, and notes fields, including providing access for awards, age/reading levels, and tables of contents. Note that the rules referred to in this chapter, unless otherwise noted, are all RDA rules.

Number and Coded Fields: Fields 01X–04X These fields are mostly codes of one kind or another and, with the exception of the 020 field, have no corresponding RDA rules. These fields are used for recording standard numbers associated with the information package, as well as codes about the cataloging agency and item content codes. There are 30 fields associated with this part of the surrogate record. We will only concern ourselves with five of them: 010, 020, 040, 041, and 043. Field 010: Library of Congress Control Number (LCCN): You may have heard of the LCCN, and may have used this number to search for an item. In the MARC record this number (always assigned by LC, never by a school librarian) is recorded in the 010 field. This is a nonrepeatable field, both indicators are blank, and there is no closing punctuation at the end of the field. The 010 field consists of 12 spaces, although they may not all be used in a given instance. The LCCN structure is based on the year of publication plus a unique item number. The first LCCN was created

around 1898, and the basic structure has not changed in all that time. The number begins with two digits defining the year of publication, followed by a hyphen and five to six unique numbers (e.g., 98-23143). Note that for the pre-2000 publications, LCCNs have the two last digits of the year of publication and then a hyphen before the rest of the number. However, as of the year 2001, LCCNs were defined using the full four characters to note the year of publication (e.g., 2003111688). With the addition of the full four-digit number for the year, the hyphen has disappeared. Remember, this number is assigned by the Library of Congress: if you do not see this field on your copy cataloging or the information on the item, you do not need to create it yourself. Don’t delete the 010, but don’t feel you have to make something up either. Field 020: International Standard Book Number (ISBN): The 020 field is used to record the ISBN. In the manual cataloging environment, standard numbers, which were developed after the standardization of cataloging rules, were entered at the bottom of that 3-by-5 card. However, in the electronic environment, the numbers appear early in the MARC record. The most commonly used fields for recording standard numbers are 020 (ISBN), 022 (International Standard Serial Number or ISSN), and 024 (government document numbers). We describe here only the 020 field. As always, for more complete information about these fields, go to the MARC21 website: http://www.loc.gov/marc/bibliographic/bd01x09x.html. Back, then, to the 020 field: as described in Chapter 3, the ISBN is a 10- or 13-digit number usually found on a book around the area where other imprint information is found. The 020 field is repeatable, both indicators are blank, and there is no closing punctuation at the end of the field. MARC21 shows us that the ISBN is entered in the $a but without the internal hyphens that one sees on the item. This directive is in contrast to RDA rule 2.15.1.4 that requires us to enter the number as it appears on the item—that is, with

the internal hyphens. There is no explanation why, in MARC, we should record the number without the hyphens, except for a reference to systems that may automatically insert the hyphens. Whatever the reason, MARC overrides RDA, and we will record the ISBN without the hyphens in $a. Sometimes the ISBN includes a designation for the type of item, such as “pbk” for paperback or “trade” for a specially bound book. This information is often recorded in parentheses just as it appears on the item right after the number. Up until 2013, this information was included in parentheses after the number. In 2013, the $q was added, so that now the information should be entered in $q with no parentheses. This subfield is not defined in RDA; generally record this information as you see it on the item. Check your system to decide whether or not to use the $q. The $c is used to record “terms of availability”; that is, the price of the item. RDA rule 4.2.1.3 directs us to include this information, although Library of Congress does not treat it as required information. It is a good idea to have the price of the item listed someplace in the surrogate record. Deciding where to record the price of the item will depend on how the 020 field is displayed in the public record and what you want your users to see. In some systems, only the ISBN in $a is displayed, in others the 020 is not displayed at all, and in still others, the entire 020 field information, including the price, is displayed. The problem arises in determining how public the item cost should be. Some libraries have a policy of charging a flat rate for a lost item. If the flat rate is, for example, $10 and the user can see on the public record that the actual cost of the item was only $5, then there may be a problem in getting the patron to pay the $10. Other libraries like to have the price displayed so that students have a very good sense of the cost of the items they are checking out. Vendors understand library reluctance to publicly list item prices and so often have other places in the record for recording this and other sensitive item information. Find out how the 020 field is

displayed in your system and then decide whether the price will be listed in the 020 $c or elsewhere in the record.

02X Field: Standard Number and Terms of Availability • Record the International Standard Book Number (ISBN) for the item being described (RDA 2.15.1.4, 4.2.1.3). • The 020 field is repeatable, both indicators are blank, and there is no closing punctuation. • Record the ISBN in the 020 field without hyphenation. • Use the 022 field to record the International Standard Serial Number (ISSN)

Examples: • On item as: ISBN 0-87287-485-0

Entered into the record as: 020 _ _ $a0872874850 • On the item as: ISBN 978-0-8050-9974-4 (e-book)

Entered into the record as: 020 _ _ $a9780805099744$qe-book • On the item as: $8.95 (U.S.) $10.95 (Can.) ISBN 0-47136-477-0 Entered into the record as: 020 _ _ $a0471364770 $c$8.95 Note here that we have ignored the Canadian price of the item because we are cataloging in the US. If we were contributing to an international database, we would probably include both prices.

Field 040: Cataloging Source: The 040 field uses a threeletter code to identify the cataloging agency (library) that has created the original catalog record for the item in hand. There is no corresponding RDA rule for this field. The most recognizable code one sees is DLC, meaning the Library of Congress created the original catalog record for the item in hand. This field is not repeatable, both indicators are blank, and there is no closing punctuation. Any library can apply to

the Library of Congress to get a three-letter code; however, most school libraries will not want to do this, as they seldom create original records that will be included in national databases. The field information for the original cataloging agency is entered in the $a. There is also $d for the “modifying agency,” which is the library that makes changes to the record. One may find it useful to add a $d to copy cataloging records, to help identify the person within the library who made the changes to the record. By using a person’s initials, the school library media specialist can keep track of who is adding to the library database and can follow up on record corrections. A new subfield is $e to note that the record has been created using RDA standards: $erda. This is a useful code to be able to identify when looking at copy cataloging, to know if the record was created pre-RDA and therefore will need updating. Another subfield one might see and be tempted to add to a record is $b for language of cataloging. Note that this means the language that was use for creating the surrogate record and not the language of the item. For our purposes, we are mostly interested in the 040 field, to know if the record we are copying was or was not created using the RDA standards. Let us take this example: 040 _ _ $aDLC $dagk $erda Looking at this 040 field, we can see in $a that the Library of Congress created the original record for this item. Looking at the $d, we can also see that the record was updated by the library volunteer with the initials “agk.” The school librarian knows that “agk” is the volunteer, Mrs. Kaplan, who comes in on Monday afternoons. So the next Monday, the school librarian can ask Mrs. Kaplan to go back and take a look at that record she added because she forgot to add the 520 summary note. From the $e we know that this record was created using the RDA standards.

040 Field: Cataloging Source • Field found in copy cataloging and is usually not modified by the school librarian. However, one may opt to modify this field to note the person in the library who has entered or modified the record. There is no corresponding RDA rule for this field. • 040 field is not repeatable, indicators are blank, and there is no closing punctuation at the end of the field. • Includes a three-letter abbreviation for the cataloging agency, most commonly seen in $a as DLC for Library of Congress. • $d is used for adding information about the institution modifying the record. • $erda is used to note that the record was created using the RDA standards.

Field 041: Language Code: The 041 field is used to note items that are translations, bilingual, or non-English language materials. There is no corresponding RDA rule for this field, although there is a rule for recording the language of the item, which we will see in the discussion of 546 field later in this chapter. For school libraries, this is the field of the future. Someday, school library automated systems will be able to search the 041 field, and one will be able to retrieve materials by some aspect of language. Imagine being able to group together all Spanish language and Spanish translation items simply by searching one field! The 041 field is not repeatable and has no closing punctuation. The first indicator is coded 0 or 1. A 0 code means the item is not and does not include a translation. Use the code 0 for items that are in a language other than English but are not translations of an English work, for example, Les Misérables in French. Also use code 0 if the item includes the same content in more than one language; for example, a bilingual text or movies with different language soundtracks. Use the code 1 for items that include or are translations of works in other languages, for example, Les Misérables in English or movies with captions in

languages different from the soundtrack. The second indicator is blank. As ethnocentric as it may be, works in English do not get entries in the 041 field. Use this field only if some other language is involved. The language code is a three-letter code available through the LC Code List for Languages Web site: http://www.loc.gov/marc/languages/. The codes most commonly seen in school libraries in the United States would probably include the following: chi = Chinese (Cantonese, Mandarin) eng = English fre = French ger = German hmn = Hmong ita = Italian rus = Russian sgn = Sign Language (American, Australasian, or British) spa = Spanish There are eleven subfields associated with this field; however, we will focus on three: a, h, and j. Note that there have been many changes to this field in the past few years, so if you are using copy cataloging, you might see other subfields or different use of the subfields described here. Let us examine the 041 field first, using a 1 in the first indicator place. Recall that first indicator value of 1 refers to an item that is or includes a translation. In this case we code for the language of the translation, as well as the language of the original work. Do not apply this indicator value for bilingual texts. Examples: • 041 1_ $aeng$hger This book is in English, translated from the German. Notice there are no spaces between the subfields. The $a is used to record the language of the item in hand, and $h is used to record the language of the original publication.

• 041 1_ $aeng$hmul This book is in English, translated from works of many other languages (the cataloging agency decides on how many “many” actually is). • 041 1_ $ager$jeng This DVD has a soundtrack in German with English subtitles. Now let us look at items with the 0 in the first indicator position. Bilingual texts are included here. Although it could be said that there is some translation going on when a text is in two languages, the point usually is to present the content equally in two (or more) languages; therefore, it is not considered a translation. When more than one language is present and they are all of equal value with respect to the content of the item, as in the case of a bilingual text, then the languages are recorded in their own $a with no punctuation between the subfields. Record the languages in the order in which they are presented within the item or in English alphabetical order. Examples: • 041 0_ $aspa$aeng This book is in Spanish and English, with the Spanish title appearing before the English title. If the English title appeared first, we would reverse the entry ($aeng$aspa). • 041 0_ $aeng$aspa This cd has two soundtracks, one in English and one in Spanish. Audiovisual materials containing multiple soundtracks in different languages are not considered translations, and all languages are noted in $a (one $a for each language). However, audiovisual materials with overprinted titles, such

as subtitles or captions in a language different from the soundtrack, have the language of the subtitles recorded in $j. Examples: • 041 0_ $aeng$ager$aspa This DVD allows the viewer to select the English, German, or Spanish language soundtrack. • 041 1_ $aeng$jsgn This DVD is in English with an open window of an interpreter signing in American Sign Language. • 041 1_ $aeng$afre$jspa This DVD offers the viewer the choice of an English or French soundtrack and includes subtitles in Spanish.

041 Field: Language Code • Record here information about the language of the information package unless it is in English and is not a translation. • This field is repeatable if you have a multipart item in multiple languages; otherwise include all information in one field. • There is no closing punctuation at the end of the field. • The first indicator is coded 0 if not a translation, and 1 if it is or includes a translation; bi- or multilingual texts are coded 0. • The second indicator is blank. • Use $a for the language of the text or recording; repeat $a for each language present. • Use $h for the code for the original language. • Use $j for the language of subtitles or similar translations (such as sign language)

Exercises 7.1. Bilingual dictionary in English and Spanish 7.2. Item in English, translated from the French 7.3. Spanish language film with English subtitles

Field 043: Geographic Area Code: Last on our list of coded fields is the 043 field. This field is used to record the geographic area related to the item, if applicable. This is not to be confused with place of publication; rather, this field is used to describe the geographic context of the item. Use this field to record the location of the action or for the place being described. For example, a book about French history, a collection of French folksongs, or a story taking place in Paris. The 043 field is not repeatable, both indicators are blank, and there is no closing punctuation. The $a is used to record the geographic information. While the field itself is not repeatable, the $a is. Therefore, an item that includes reference to the United States and Germany would have one 043 field with two “a” subfields. The geographic codes are listed on the Library of Congress website at: http://www.loc.gov/marc/geoareas/. The code always comprises seven character spaces. The first character defines the continental location, followed by a hyphen and then the country and state. The hyphens are used to account for all seven spaces. For example, an item about North America would be coded: n------. An item about the United States would be coded: n-us---, meaning North America, United States. An item about California would be coded: n-us-ca.

043 Field: Geographic Area Code • Record here the place of action of a story, or geographic focus of the information. • 043 field is not repeatable, both indicators are blank. • There is no closing punctuation at the end of the field. • Information is recorded in $a, which may be repeated. • The codes can be found on the MARC webpage: http://www.loc.gov/marc/geoareas/

Examples: • 043 _ _ $an-ca---$ae-fr---

This item is about Canadian and French relations; thus it is coded for both countries. Notice there are no spaces between the two subfields. • 043 _ _ $aa-ja--This item is about Japan. • 043 _ _ $afw----This item is about a story that takes place in West Africa but not a specific country in that region. Notice that even though there are only two letters representing West Africa, the code requires the five dashes following the letters to make the seven characters of the code complete.

Exercises: 7.4. This item is about Ohio. 7.5. The action of this story takes place in Sweden. 7.6. This item is a travelogue covering the European continent.

Classification and Call Number Fields: 050 and 082: In this section of the MARC record, we see numbers pertaining to the classification of the information package. The 050 field is used to record the Library of Congress classification information, looking something like this: 050 _0 $aD804.3. Most school libraries use the Dewey Decimal Classification system for classification, so this is not a field that usually holds much importance to us, nor will we discuss in any detail the construction of the field. On the other hand, on occasion a copy record includes a Dewey number that we question. For example, the books Maus I and Maus II have been assigned the 741 Dewey number for graphic novels. We are not so sure we want to put these books in with comic books, but we are not sure it would be appropriate to classify them under the number for World War II (940). A look at the 050 field reveals that LC has assigned the books to classifications under D, the LC classification for history. This tells us that, even though it looks like these are works of fiction, LC has classified them as fact, as historical fact, and that helps us select the 940 Dewey number. LC classification is complicated and

extensive; we refer you to an outline available at http://www.loc.gov/catdir/cpso/lcco/lcco.html for a review of each classification.

Summary of Number & Coded Fields in the MARC Record Discussed Thus Far • 010: Library of Congress Control Number: 12-character number that is unique to each item. This field is not repeatable, both indicators are blank, data are entered without hyphens or closing punctuation. • 020: International Standard Book Number: A unique number created by publishing houses. This field is repeatable, both indicators are blank, data are entered without hyphens or closing punctuation. (Related fields: 022 and 024.) • 040: Cataloging Source: 3-letter code defining the cataloging agency. This field is not repeatable; both indicators are blank; data are entered in $a, $d, and $e; and no closing punctuation is used. • 041: Language Code: 3-letter codes to record the language of the item, including multiple languages and translations. This field is not repeatable; first indicator is 0 (not a translation) or 1 (is a translation); second indicator is blank; data are entered in subfields a, h, or j; and no closing punctuation is used. • 043: Geographic Code: 7-character alphabetic code used to define the geographic location of the topic of the item. This field is not repeatable, both indicators are blank, data is entered in $a, no closing punctuation. • 050: Library of Congress Classification Number: classification number using the Library of Congress system. The school librarian will not assign this field unless the library uses that system. • 082: Dewey Decimal Classification Number: classification number taken from DDC or DDC Abridged. This field is repeatable, but multiple 082 fields in a school library media automation system will probably result in an invalid record. First indicator is 0 (full edition) or 1 (abridged edition); second indicator is blank, 0 (LC assigned), or 4 (assigned by another institution); $a includes the number; $2 includes the edition used to assign the number. (Sister field may be the 092 that some systems use for locally assigned numbers.)

As we have already seen in Chapter 5, the Dewey classification number is located in the 082 field. We won’t go

into detail here, as this topic has already been covered. However, as we are working our way down the MARC record, it is important for us to include fields already discussed within the context of the entire MARC record.

Variable Data Fields The rest of this chapter will be used to provide information about the variable data fields; that is, those fields with (mostly) eye-readable data and related to the physical description of the item in hand. Recall that the 1XX, 245, 246, 6XX, and 7XX fields have already been discussed in the previous chapter. We have stopped jumping around the record and from here on out will pretty much just go in numerical order of the fields.

Edition: Field 250 We come now to the part of the record that notes the edition statement and information about the publication of the information package. Remember that RDA is concerned about relationships between expressions and manifestations, so the edition statement is an important part of the surrogate record. When there is edition information on the item, RDA 2.5.1.4 dictates that we record the information as it appears on the item. In the MARC record, the field we use is the 250 field. To determine whether you need a 250 field in your record or not, look for keywords such as “edition,” “revision,” “complete,” “abridged,” “version,” and similar words—but not “printing,” which does not, in the publishing world, indicate a new edition. Likewise, a reprinted edition is recorded in a note rather than in this edition area. Deciding what constitutes an edition statement is often related to the question of

creating new records based on the ISBN. Generally speaking, statements such as “25th Anniversary Edition” or “Reading Rainbow Edition” are considered edition statements. For those of you with preschool collections, watch out for board books that may have the same title as the picture book–sized books. Sometimes the board books have abridged content from the original publication in order to fit the board book format. So before you simply add an ISBN for the board book to your record for the original title, check the contents. If the contents vary, you have to create a different record for the board book even if there is no “board book edition” statement. The 250 field is repeatable, and both indicators are blank. There are two valid subfields in this field, but most often the only subfield we will need to be concerned about is the $a, into which all edition information is entered. This field ends in a full stop. Prior to the implementation of RDA, instructions for recording the edition statement were to use abbreviations for the number and edition statements. RDA has done away with most abbreviations, so we are directed to enter the information as it appears on the item. Here are some examples: 250 Field: Edition Statement • Record the information as it appears on the item as directed in RDA 2.5.1.4. • As of 2013, write out in full all edition words; use abbreviations if that is how the information is presented on the item. • Preferred source of information for books is the title page, verso title page, and colophon. Preferred source of information for non-book materials is the item itself first and then the accompanying label and container information. Any other information supplied must be enclosed in brackets [ ]. • This field ends in a full stop unless other punctuation (e.g., brackets) is used. • The 250 field is repeatable. • Both indicators are blank. • For our purposes, we are concerned only with the $a, although there are other valid subfields.

Examples: 250 _ _ $a First American edition. 250 _ _ $a Version 1.01.

• On the item as: Second Edition Typed into the record as: 250 _ _ $a Second edition. (Prior to RDA: 250 _ _ $a 2nd ed.) • On the item cover as: NEW EDITION and • On the title page as: FOURTH EDITION Typed into the record as: 250 _ _ $a New edition. AND 250 _ _ $a Fourth edition. (Prior to RDA: 250 _ _ $a 4th ed. With no reference to “new edition.”) Note that there are two edition fields; the 250 field is repeatable, and so we create an edition statement for both edition statements on the item if the system accepts multiple 250 fields (some do not). If your system does not accept multiple 250 fields, opt for the “Fourth edition” statement over the “New Edition” statement. • On the item as: MAC/Windows ver. Typed into the record as: 250 _ _ $a Mac/Windows ver. Note the use of the abbreviation “ver.” RDA directs us to record the information as it appears on the item. Because “ver.” is on the item, that is how we record it. • On the item as: First published in 2004 This is not a valid edition statement and is not recorded in this field in the MARC record. It may be an important statement (depending on the item) and may be recorded in a note (5XX field), but it is not recorded here in the 250 field.

Publication, Distribution, etc.: Fields 260 & 264 Information in this area is also referred to as the imprint and includes publication information in the following order: place of publication, name of publisher, and date of publication. In some cases, there are multiple places and names given on the item. This part of the surrogate record has undergone a significant change with the implementation of RDA. Formerly there was less emphasis on the difference between production, publication, and manufacture, and that information could be conflated into a single 260 field. With the implementation of RDA, however, the 264 field has been designed to code for each of these elements. Thus, pre2013 records will have the 260 field for publication information, and post-2013 records will have the 264 field … sort of. In an effort to help libraries, especially smaller libraries and school libraries, ease into the implementation of RDA, some cataloging vendors are allowing libraries to elect to continue to use the 260 field for publication information, at least for the time being. If you have the opportunity to switch to the 264 field, you should do that. To my knowledge, if your system can accept the information in the 264 field, there is no reason not to make the switch.

Do I Use Field 260 or 264? MARC21 has been updated to follow the RDA rules for recording publication information. In the long run, the new rules help us deal with all of those publisher division problems, so make sure your system will accept the 264 field, and then use it instead of the 260 field!

For book materials, the preferred source of information is the title page. We know that children’s materials often supply publication information on the verso of the title page

or at the back of the book, perhaps an attempt to maintain the integrity of title page illustration. In this case, information may be taken from the verso and the back of the book without including this information in brackets. For non-book items, the preferred source of information is that part of the item that appears to us most similar to a title page. Use this order for preferred information: for projected materials, the title screen or home page; information on the disc; information on the container; printed information (not attached to the item). Chapter 2.8 in RDA covers the rules and considerations for transcribing publication data. RDA also has a section for transcribing production (2.7) and manufacture (2.9) of an item. Rules 2.8.2.2, 2.8.4.2, and 2.8.6.2 provide us with direction for transcribing information about the place of publication, publisher’s name, and date of publication, respectively. The best part of the new RDA rules in this area is that we are directed to transcribe the data as we see it on the item. In terms of cataloging books and non-book materials alike, this is great news. How many of us have struggled with wondering if the publisher is Walden Pond Press, or HaperCollins Publishers? With the directive to transcribe as it appears on the item (rule 2.8.1.4), we no longer have to wrestle with that problem. Likewise, we no longer have to worry about which place of publication to record. As a required element, RDA requires the recording of only one place of publication, although Library of Congress has implemented the option to record a non-U.S. and U.S. place of publication if the first named place is outside of the United States. RDA also directs us to record the place name as provided, but we can add more specific location information if needed for identification purposes (rule 2.8.2.3—see optional additions). Finally, RDA requires more specificity in the date of publication. To address this specificity, we may see a 264 field with a date of publication (RDA rule 2.8.6) as well as a second 264 field for a copyright date (RDA rule 2.11.1.3). In AACR cataloging,

we were instructed to either supply missing data in brackets or use Latin phrases to note if there was no place of publication or name of publisher. If there is no place named and it is impossible to determine even a country of publication, we used the abbreviation S.l. (sine loco) to note this, and if there was no publisher named, we used s.n. (sine nomine). As we know, RDA does not support these kinds of abbreviations. We are directed first to try to guess, even if it is just a country of publication (rule 2.8.2.6.4). If you can get this information from outside of the item itself, for example from a publisher’s catalog or review source, provide the information in brackets ( [ ] ), add a question mark ( ? ) if you are really unsure about the information, and then make a note of the source (rules 2.8.2.6.3, 2.8.2.6.4, and 2.8.4.7). If you really, really cannot even guess the place of publication or name of publisher, use these phrases: “publication not identified” (rule 2.8.2.6.5) or “publisher not identified” (2.8.4.7). MARC translates all of these directives in the 264 field and labels it, “Production, Publication, Distribution, Manufacture, and Copyright Notice.” Compare that to the 260 field, “Publication, Distribution, etc. (Imprint).” The 264 field is repeatable, and instead of using the subfields to note the type of publication information being provided, as we had in the 260 field, the second indicator of the 264 field defines the type of information being presented in the field. There are five indicator values for the second indicator. The values we will see and apply most often are: 1 = Publication, and 4 = Copyright notice date. The first indicator is blank, and the field ends in a full stop or other punctuation (brackets) unless the information is the copyright date alone; then there is no closing punctuation. The subfields are $a (place of publication), $b (publisher), and $c (date of publication or copyright date). The field can get a little complicated, so let’s look at some examples. • On the item as:

Continuum New York * London (on the verso of the title page: 2009 Copyright © 2009 by Fred Lerner) 264 _1 $a New York ;$a London :$b Continuum,$c 2009. 264 _4 $c ©2009 Note that even though we only need to name one place we have exercised the option and both places of publication are named here. The two $a’s are separated by a space and a semicolon ( ; ), but before the $b there is a space and a colon ( : ). The $c is preceded by a comma ( , ). A second 264 field is created to note the copyright date. In this case the copyright and publication dates are the same. Note there is no closing punctuation in the field that includes only the copyright date. • On the item: Farrar Straus Giroux * New York (on the verso of the title page: Copyright © 2006, 2015 by the Estate of Georg Rauch [and] Revised edition, 2015) 264 _1 $a New York :$b Farrar Strauss Giroux,$c 2015. 264 _4 $c ©2015 Note that even though there are two copyright dates, we use only the most recent one. Note too that the “2015” date in the first 264 field is not in brackets. We are accepting the edition date to be a publication date. • On the item Distributed by Buena Vista Home Entertainment, Inc., Burbank, CA. © 2013 264 _2 $a Burbank, CA :$b Buena Vista Home Entertainment, $c[2013] 264 _4 $a ©2013

Note that even though the name of the company is provided as “Buena Vista Home Entertainment, Inc.” we left out the “Inc.” part because RDA rule 11.2.2.10 directs us to leave out terms indicating incorporation unless necessary to identify the corporation. Since in this case, we don’t need “Inc.,” we leave it out. Also in this example, we are guessing that the distribution date is the same as the publication date, but there is no information on the disc or the container to substantiate that guess, so we include it in brackets with no closing punctuation. If your system will not allow you to implement the 264 field, here are some things to know about the 260 field. It presents information in a way that is very similar to that of the 264 field in terms of the subfield definitions. In the 260, there are six valid subfields, but we will focus on three: the place of publication recorded in the $a, the publisher in $b, and the date of publication in $c. Both of the indicators are blank, and the field ends in a full stop unless there is some other punctuation present. The 260 field is repeatable; however, most school library media automated programs will not accept a second 260 field, and it is better to learn how to enter information about mixed publication data within a single 260 field than to try to repeat the field. The subfields in the 260 are applied in the same way as they are in the 264, unless you are also trying to record information about the manufacturing of the item (which you probably will not be doing). If you continue to use the 260 field then note you are creating the field according to AACR rules since RDA does not support publication information in the way it is displayed in the 260 field. Here are some examples for the 260 field: • On the item as: Westport, Connecticut * London • On the verso of the title page: Copyright 2009. Greenwood Publishing Group

Typed into record as: 260 _ _ $a Westport, Conn. :$b Greenwood Publishing Group,$c c2009. Note here that Connecticut is abbreviated. AACR tells us to include the country, state, or province if it appears on the item and if it is deemed necessary to distinguish that place from other places of the same name (AACR 1.4C3, p. 1-23). Not knowing how many other Westports there are, we opt to include the state name because it is included on the chief source of information. We are also directed by AACR that it is all right to abbreviate names of states, provinces, and so forth using their approved list given in Appendix B of AACR. The website State Abbreviations has the same list as one would find in the AACR appendix, available at: http://www.stateabbreviations.us. Remember, RDA tells us to include information as it appears on the item. Note also that we do not include a second $a for London. Since London is mentioned second and we are not cataloging in England, we are not obligated to include that information in our record. If, however, we were cataloging in England, we would then have to include a second $a for London. Finally, look at the date. That is not a typographical error. In older cataloging is it very likely that you will see the $c followed by another c and then a date. In the old days of cataloging, it was difficult to reproduce the copyright symbol, so it was substituted with simply the letter “c.” RDA allows us to use the word “Copyright” if our system does not have the capacity to make the copyright symbol. • On the item as: 2011. On the verso of the title page: Published in Canada by Tundra Books, 481 University Avenue, Toronto, Ontario M5G 2E9 Published in the United States by Tundra Books, P.O. Box 1030, Plattsburgh, New York 12901.

Typed into record as: 260 _ _ $a Toronto, Ont. ;$a Plattsburgh, N.Y. :$b Tundra Books,$c 2011. Because this is a Canadian publication and the Canadian information is given first in the item, we have to list both the Canadian and U.S. places of publication. Note the use of the space and the semicolon before the second $a and the abbreviations for Ontario and New York.

264/260 Fields: Publication Information • Transcribe the information about the place of publication, the publisher, the date of publication, and the copyright date as provided on the item. • Preferred source of information for books is the title page, verso title page, and colophon. Non-book materials use that part of the item that best resembles a title page. • Prefer the use of the 264 field over that of the 260 field. 264 Field

260 Field

Field is repeatable

Field is repeatable but repetition should be avoided if possible.

Indicators:

Indicators:

First Indicator is blank

Both indicators are blank

Second Indicator: 1=publication data 4=copyright   date $a Place of publication

$a Place of publication

$b Name of publisher

$b Name of publisher

$c Date of publication

$c Date of publication or copyright

Repeat 264 for copyright date, second indicator = No separate 260 field for copyright date 4, $c only, no closing punctuation Field ends in a full stop if no other punctuation is present.

Field ends in a full stop if no other punctuation is present.

If recording the copyright date only, then field does not end in a full stop.

 

Examples: 260

__

$a Boston :$b Little, Brown,$c c2004.

260

__

$a New York :$b HarperCollins,$c 2001.

264

_1

$a Boston :$b Little, Brown, $c [2004]

264

_4

$c ©2004

264

_1

$a New York :$b Walden Pond Press an imprint of HarperCollins Publishers,$c [2013]

264

_4

$c ©2013

Exercises:

Put this information into the proper publication field; either 260 or 264. 7.7. On the title page as: New York Scholastic On the verso of the title page as: © 2005 by the author 7.8. On the disc cover as: New York London Franklin Watts 2003 7.9. On the end of the film as: National Geographic Productions © MCMXCVIII (National Geographic is located in Washington, D.C., but the location isn’t on the item; you have to supply it. You need to translate the roman numerals to Arabic numbers, but you don’t need to put that information in brackets.)

Physical Description: Field 300 In this area, we record the physical extent of the items— e.g., number of pages, number of discs, etc. For this area, RDA tells us to “record” rather than “transcribe,” and that is because we are creating data by examining the item rather than by taking data that is on the item itself (as in, for example, a title or edition statement). As such, there is no real preferred source of information, because we are looking at the item as a whole. This is one of the areas of RDA that does focus on the item type, and the rules in RDA Chapter 3 provide instruction for recording everything from number of pages, to font type and production method, to sound characteristics. There are so many RDA rules that it is difficult to synthesize them here. For illustrative purposes, we will look at describing the extent of a book, an audiobook, and a Blu-ray recording. In terms of the MARC record, the field is 300 and both indicators are blank. In theory this field is repeatable, but some library systems will mark a record as invalid if there is more than one 300 field. There are nine valid subfields, but we will limit our discussion to four subfields: a, b, c, and e.

In $a, we record the extent of the item. For books, it is the number of pages (rule 3.4.5.2). Children’s picture books are notorious for not including any pagination. In past practice it has been the responsibility of the cataloger to count the number of pages and include that number in brackets. Happily, now we have the option to simply state the number of volumes thus: 1 volume (unpaged) (rule 3.4.5.3). This option is a great timesaving device. Prior to 2013, the word “pages” had been abbreviated to “p.” The directive in RDA to not use abbreviations comes into play here, and we will see that not only do we need to write out “pages” but also “illustrations,” “color,” “sound,” and indeed any word except for the measurement “cm.” Examples: • 300 _ _ $a 32 pages The last page of the item is numbered “32.” • 300 _ _ $a 1 volume (unpaged) The pages are unnumbered. • 300 _ _ $a xii, 300 pages There are 12 pages numbered in Roman numerals and 300 pages numbered in Arabic numerals. If the numbering continued from page xii to page 13, then we would not include the Roman numerals. Prior to RDA, the practice had been that fewer than 10 pages with Roman numerals would be ignored, but that practice has ceased with the “take what you see and accept what you get” philosophy so we record any number of alternatively numbered pages even if less than 10. For non-book materials, the information in $a is still about extent but focuses more on what is referred to as carrier type, like a 6-disc audiobook or a single Blu-ray disc (rule 3.4.1.3). Librarians have funny ways of referring to some media, perhaps as an attempt to be platform neutral. For

CDs, DVDs, and Blu-ray discs the correct terms are “audiodisc” or “videodisc,” according to rule 3.3.1.3. However, the Library of Congress has recognized that “videodisc” may not be the first term that comes to mind when looking for a Blu-ray disc. Therefore, option b for rule 3.4.1.3 allows us to use common terms if that’s what we want to use. One term that is not provided as an option in RDA but has been established by the Online Audiovisual Catalogers (OLAC) (an organization that specializes in media cataloging), is the phrase “sound media player” as a brandname neutral title for the self-contained audiobook recordings such as one finds in a Playaway.1 In $a we also record the playing time if applicable. If not applicable, as in a game on a disc that has no linear start and stop time, we omit this information. Past practice has had us use the abbreviation “ca.” if we did not know the exact running time, without using abbreviations, RDA has us use the word “approximately” (rule 7.22.1.3). • 300 _ _ $a1 videodisc (approximately 68 min.) or 300 _ _ $a 1 Blu-ray disc (approximately 68 min.) Choices have been presented here, and both are correct depending on your library and your cataloging system. The wonderful thing about RDA is the choices we are allowed to make in cataloging, but it also makes us very aware of the importance of being consistent in our cataloging practice. Notice that “minutes” is abbreviated, after all that has been said about abbreviations. According to Appendix B in RDA, units of time measurement may be abbreviated. • 300 _ _ $a 1 online resource (244 pages)

This is an example of a downloadable book. Note that instead of a running time, the information in the parentheses includes the number of pages of the original book. • 300 _ _ $a 1 sound media player (12 hr., 46 min.) or 300 _ _ $a 1 Playaway (12 hr., 46 min.) As stated above, the phrase “sound media player” is brand-name neutral, and so it is great for librarians but might not be useful to our patrons. So, as with our Blu-ray example, we have the option to use the vernacular if we prefer. Notice that the time statement for this item in hours (hr.) and minutes (min.). • 300 _ _ $a10 audio discs (10 hours) or 300 _ _ $a 10 CDs (10 hr.) Notice that we have the time stated in terms of hours rather than minutes and that, because it is a unit of measurement, we have used the abbreviation “hr.” The next subfield, $b, refers to other physical details such as illustrations, sound, color, and other characteristics and is immediately preceded by a colon ( : ). Past practice dictated that catalogers list in detail the type of illustrative matter— for example, the number of color plates, maps, or forms when cataloging book materials. In the cataloging simplification program, catalogers are given the option of simply stating that the item has illustrations of some kind, using the abbreviation “ill.” As we have come to expect, RDA has changed the rules slightly, and we are encouraged once again to supply as much detail as we (as the catalogers) deem necessary. Surrogate records will show a

variety of types of illustrative matter, including maps, portraits, and forms showing us the mix between past practices, detailed cataloging, and simplified cataloging. We may exercise the option, however, of simply using “illustrations” to record that the item contains some type of illustrations. This option is sometimes unsatisfying, as we may want to say more about the illustrations. We have the option of using other terms such as “color illustrations,” “black and white illustrations,” and “chiefly illustrated” for an item that is mostly illustrative. We can also use “photographs” for items that have photographs as illustrative matter. This may be a critical aspect to note, especially when looking at scientific works where photographic illustrations may be preferable to drawings. We always have the option to be more detailed in this subfield, but for most of us it will be enough to say “illustrations” when cataloging book items as directed in rule 7.15.1.3. For non-book items we apply here as necessary the following: the type of recording (digital or analog), the presence of sound, the material composition (e.g., wood, plastic), or if the moving image (DVD or Blu-ray) is in black and white or color. One note about the word “color.” In an effort toward the internationalization of the RDA standards, the word used in RDA is “colour.” RDA rule 0.11.2 allows us to use spelling in the script preferred by the cataloging agency. So even though it does not help things on an international level, we will stick to spelling that word as “color.” Examples: • 300 _ _ $a 32 pages :$b color illustrations Here we have a 32-page book with color illustrations. Notice the space and the colon before the $b. • 300 _ _ $a 1 volume (unpaged) :$b illustrations

Here we have an unpaged book with illustrations. We do not know whether the illustrations are in color or not. • 300 _ _ $a 1 videodisc (approximately 68 min.) :$b digital, color Here we have a disc (we don’t know if it is a DVD or Blu-ray) that runs about 68 minutes, has digital sound, and is in color. • 300 _ _ $a 1 online resource (244 pages) :$b illustrations This downloadable book has illustrations. • 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, HD audio or 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, High Definition audio Here is our Playaway with the sound characteristics of digital recording with High Definition audio. On the item, the information provided is “HD Audio,” and that is how it is recorded in the first example according to the “take what you see” practice. In the second example “HD” has be written out according to the practice of avoiding abbreviations. Again; your choice. In the third subfield, $c, we record the dimensions of the item. This subfield is preceded by a space and a semicolon ( ; ). RDA instructions for recording the dimensions of the item are found in Chapter 3.5. Books are described mostly by height and recorded in centimeters measuring to the next highest centimeter; for example, a book measuring 23.5 centimeters is recorded as 24 centimeters. We use the mathematical symbol “cm” to note the measurement. If the book is wider than it is high or less than half the height, one also includes that measurement, stating it as height ×

width: for example 20 × 40 cm or 32 × 10 cm (rule 3.5.1.4.14). This will account for the times in copy cataloging when one sees height and width measurements. Record the dimensions of non-book materials according to the carrier (as in a disc) or the container (as in a Playaway). Technically speaking, discs are measured by diameter and recorded in centimeters (3.5.1.4.4); however, the Library of Congress measures the diameter in inches. We tend to follow the Library of Congress rule interpretations, so we too will measure the discs in inches. The Playaway again presents a problem because the OLAC rules are pretty old at this point. OLAC suggests recording the dimensions of the device itself in inches, perhaps following the LC practice in measuring discs. Since there are not explicit RDA rules for measuring these devices, we could default to measuring the dimensions in centimeters, as is the general RDA practice. If you have an item that is in a container, you can provide the measurements of the container instead of the measurement of the item itself (rule 3.5.1.5). Examples: • 300 _ _ $a 32 pages :$b color illustrations ;$c 23 cm This is by far the most common of the 300 fields; we see here very simply the number of pages, that there are color illustrations, and that the book is 23 centimeters high. Notice the punctuation, the space, and colon before $b, the space and semicolon before $c, and no full stop after “cm” because it is a mathematical symbol, not an abbreviation. • 300 _ _ $a 1 volume (unpaged) : $b illustrations ;$c 15 × 32 cm Children’s books are often short and long. In this example we see a book that is not as tall as it is wide and so, following the rule (3.5.1.4.14), we include both measurements here.

• 300 _ _ $a 1 videodisc (approximately 68 min.) :$b digital, color ;$c 4 3/4 in. While “cm” is a mathematical symbol, “in.” is an abbreviation, and so there is a full stop at the end of this field. • 300 _ _ $a 1 online resource (244 pages) :$b illustrations This is not a typographical error. Keep in mind that an online resource does not have physical dimensions, and so the $b is the end of the field. Notice that there is no full stop at the end of the field. • 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, HD audio ;$c case 19 × 14 × 3 cm or 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, HD audio ;$c case 7 3/8 × 5 3/8 × 1 in. or 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, HD audio ;$c 9 × 6 cm or 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, HD audio ;$c 3 3/8 × 2 1/8 in. We provide here four options for recording dimensions for the Playaway: first by the container in centimeters, second by the container in inches according to LC practice, third by the device itself in centimeters, and fourth by the device itself in inches according to OLAC practice. • 300 _ _ $a 1 globe :$b color, on plastic stand ;$c 23 cm in diameter or 300 _ _ $a 1 globe :$b color, plastic coated paper gores over plastic core, on plastic stand ;$c 23 cm in diameter

Many of us shy away from cataloging globes because we think they are difficult to describe, but we can see here that this is not the case. We have a globe in color that is on a plastic stand, and it measures 23 centimeters in diameter. Easy! The second example shows us that there can be much more to describing a globe! Both examples are correct. The first is closer to what we may do ourselves, given that we are not professional catalogers. All of the information in the second example is critical to the scholar but may be unnecessary to the school-aged student. The question is, when does the school librarian need to include all that detail and when can he or she opt to condense it? Be complete, be correct, be careful, but don’t lose sleep over this! Do the best you can do and then move on. The last subfield we will discuss for the 300 field is $e, which describes accompanying materials. This is an important subfield in schools because so many of us have books with accompanying discs. This subfield is immediately preceded by a space and a plus sign (+). Examples: Summary for the 300 Field, Physical Description. • In this field we record the extent and other physical characteristics of the item. • The 300 field is repeatable and both indicators are blank. This area does not end in a full stop unless it is part of the punctuation (as in an abbreviation). • Preferred source of information is the item itself. • Books Record pages in terms of the last numbered page, including other pagination (e.g., Roman numerals) if present. If pages are not numbered give information as: 1 volume (unpaged) or count pages and record in brackets [ ]. Use the word “illustrations” for illustrative matter; may include “black and white” or “color” if desired. May opt to further define type of illustrations in terms of maps, charts, forms, and so on.

Measure book in terms of centimeters; round up to the next centimeter if needed.

• Non-Books Record the number of items being cataloged. Record the sound and illustrative aspects as applicable. Measure the item itself in inches or the container in centimeters.

Examples: Book: 300 _ _ $a 32 pages :$b color illustrations ;$c 25 cm Book with accompanying material: 300 _ _ $a 32 pages :$b color illustrations ;$c 25 cm +$e 1 audio disc (approximately 30 min. : digital ; 4 3/4 in.) Blu-ray with accompanying material: 300 _ _ $a 1 videodisc (30 min.) :$b HD audio, color ;$c 4 3/4 in. +$e 1 book (32 pages : color illustrations ; 18 cm) Playaway 300 _ _ $a 1 sound media player (12 hr., 46 min.) :$b digital, HD audio ;$c 9 3 6 cm

Exercises: Create 300 fields for the following. 7.10. Unpaged book for children with color illustrations that measures 23.5 centimeters. 7.11. A book for young adults, with pages numbered to 164, with color photographs. It measures 14 centimeters high and 30 centimeters wide. 7.12. A DVD that runs 190 minutes, is in color, and has a digital soundtrack. It is the standard measurement; it comes with a book that is 64 pages with illustrations and measures 20.5 centimeters.

• 300 _ _ $a 32 pages :$b color illustrations ;$c 23 cm. +$e 1 sound disc (30 min. : digital) Here we see a 32-page book with color illustrations with a cd that runs 30 minutes. Notice the structure of the information in the $e and how it parallels that of the subfields a and b in this field. • 300 _ _ $a 1 CD (36 min.) :$b digital ;$c 4 3/4 in. +$e 1 book or

300 _ _ $a 1 CD (36 min.) :$b digital ;$c 4 3/4 in. +$e 1 book (32 pages : illustrations ; 23 cm) In this example, we have a CD with an accompanying book. The way accompanying materials are described may vary. Technically both examples are correct, although the second example is a little “more” correct because it includes more information about the book. That extra information is helpful; however, if time is short, the first example will suffice. Again we point out the parallel structure of the parenthetical information and the fact that the close parenthesis serves as the ending punctuation for this field.

Other Physical Characteristics: Fields 336, 337, 338 With the implementation of RDA, we have three MARC fields that, although not really new, either have not been fully implemented in some ILS programs, or have not been fully implemented in library policy. Those fields are 336, 337, 338, corresponding to information about the content, media, and carrier type, respectively. The implementation of these fields is pretty straightforward and, when properly indexed by the ILS program, could potentially provide for some easy searching by material type. For example, say a student was interested in just any old thing as long as it is mostly music notation. A search for the content “notated music” would pull up all of the relevant materials with precise recall. These fields are part eye-readable and part code. To find the codes, refer to the Library of Congress code lists available at: http://www.loc.gov/standards/valuelist/ (see the three lists at the bottom of the screen: “Content,” “Media,” and “Carrier” codes). All three of the fields are repeatable, so if

you have “mixed media” as in the case of a CD with a book, you can record the physical characteristics of both the CD and the book. Here, then, we describe those three fields. Content type – Field 336: In this field, RDA requires us to record the type of content used to convey the information within the item. Rule 6.9.1.3 provides the list of content types from which we have to choose, including the option for “other” if the content type word is not on the list, or “unspecified” if you are not sure of the content type. Here are common content types that might be found in school library collections along with the codes: • 336 _ _ $a cartographic three-dimensional form $bcrf $2rdacontent (use for globes) • 336 _ _ $a performed music $bprm $2rdacontent (use for music CDs) • 336 _ _ $a spoken word $bspw $2rdacontent (use for audio books) • 336 _ _ $a tactile text $btct $2rdacontent (use for books in braille) • 336 _ _ $a text $btxt $2rdacontent (use for books) • 336 _ _ $a two-dimensional moving image $btdi $2rdacontent (use for movies) Note that the indicators are both blank; there is no closing punctuation, and each field ends with “$2rdacontent” regardless of the content type. Media type – Field 337: In this field RDA requires us to record the type of media required for engaging with the material. Rule 3.2.1.3 provides the list of media types from which we have to choose, including the option for “other” if the media type word is not on the list, or “unspecified” if you are really not sure what type of media you have. Here are common media types that might be found in school library collections, along with the codes: • 337 _ _ $a audio

$bs $2rdamedia (to engage with the content requires a sound playback mechanism such as a CD or MP3 player; use for CDs, Playaways, prefer this term even if the disc can also be played through a computer drive) • 337 _ _ $a computer $bc $2rdamedia (to engage with the content requires a computer or similar technology; use for downloadable books, flash drives) • 337 _ _ $a unmediated $bn $2rdamedia (no additional mechanism required to engage with the material—e.g., books, puppets, puzzles) • 337 _ _ $a video $bv $2rdamedia (to engage with the content requires a playback machine like a DVD player to view the moving images; use for DVDs, Blu-ray discs; prefer this term even if the disc can also be played through a computer drive) As with the content type, note that the indicators here are blank, there is no closing punctuation, and each field ends with the same designation—$2rdamedia, in this case. Carrier type – Field 338: In this field, RDA requires us to record the type of storage used for the item. Rule 3.3.1.3 provides the list of carrier types from which we have to choose, including the option for “other” if the content type is not on the list, or “unspecified” if you are not sure of the type of carrier required. Here are common content types that might be found in school library collections, along with the codes: • 338 _ _ $a audio disc $bsd $2rdacarrier (use for CDs) • 338 _ _ $a online resource $bcr $2rdacarrier (use for downloadable books, websites) • 338 _ _ $a volume $bnc $2rdacarrier (use for books) • 338 _ _ $a object $bnr $2rdacarrier (use for globes, puppets, puzzles, etc.) • 338 _ _ $a videodisc $bvd $2rdacarrier (use for DVDs, Blurays)

As with the other two fields, note that the indicators here are blank, there is no closing punctuation, and each field ends with the same designation—$2rdacarrier, in this case.

Summary for 336, 337, and 338 Fields: Other Physical Characteristics • Take data from item itself to record the content, media, and carrier type. • If you have access to RDA Toolkit (online or print version), use the following rules to apply the appropriate term: Field 336: Content type: 6.9.1.3 Field 337: Media type: 3.2.1.3 Field 338: Carrier type: 3.3.1.3

• If you don’t have access to RDA and also to find the codes for these fields, use the codes lists from Library of Congress: Field 336: Content type: http://www.loc.gov/standards/valuelist/rdacontent.ht ml Field 337: Media type: http://www.loc.gov/standards/valuelist/rdamedia.html Field 338: Carrier type: http://www.loc.gov/standards/valuelist/rdacarrier.html

Examples: Book 336 _ _ $a text $btxt $2rdacontent 337 _ _ $a unmediated $bn $2rdamedia 338 _ _ $a volume $bnc $2rdacarrier Blu-ray 336 _ _ $a two-dimensional moving image $btdi $2rdacontent 337 _ _ $a video $bv $2rdamedia 338 _ _ $a videodisc $bvd $2rdacarrier

Exercises: Using the links above (and RDA if you have access to it) create 336, 337, and 338 fields for each of the following. 7.13. Item is a downloadable book that requires a computer/tablet/iPad for viewing (it is not an audio book).

7.14. Item is a set of 10 CDs for a book (non-music sound recording). 7.15. Item is a puppet.

Series Statement – Fields 490/8XX A series may be numbered, such as Babysitter’s Club, number 44, or unnumbered, such as Let’s-Read-And-FindOut Science Series. There is no hard and fast rule for knowing when a statement is truly a series statement or when it is simply a gimmick devised by the publisher. The inclusion of the word “series” is, obviously, a red flag. However, the absence of that word does not necessarily mean the statement is not a valid series statement. There is usually the question of how many publications it takes to decide whether an ongoing thing is a series or just a multipart publication, as in a trilogy. For example, the Redwall series by Brian Jacques was not considered a series (in official library parlance) until almost five years after the publication of the first book! Finally, do not confuse “series” with “serial.” When librarians talk about “serials,” they are usually talking about journals or magazines, but that is not what we are talking about here. In making a decision about whether or not something is a series, use the preferred source of information: title page, verso of the title page, and the item itself, including title screens, labels attached to the item, and containers and external labels, to look for a series statement (rule 2.12.2.3). The fields involved in this area may be somewhat confusing. Time was that one would record series information in the 400, 410, 411, 440, 490, 800, 810, 811, 830, or 840 fields. In 2008, the series fields were redefined so that all 4XX fields except for the 490 became obsolete. If you run across copy cataloging with series information in any 4XX field except for the 490, you should fix the fields. The 490 field is used to record the name of the series as

well as any numbering as it appears on the item. However, if you want your patrons to find an item based on a series title search, you must also include an 8XX field. It sounds complicated, but it really is much easier now that it has been in the past. The confusion with the 490 and 8XX fields comes in the concept of tracing and not tracing. Many of us enter the title of the series in the 490 field and expect that information to show up in a series title search. Library of Congress defines two indicators for the 490: the 0 for no tracing and the 1 for tracing. If you code the first indicator as a 0, then the series will not show up in a series title search. It will probably show up in a keyword search, but consider this: if the patron searches for Magic School Bus, the results are likely to include both the Magic School Bus as well as the Magic Tree House series titles. That is why we should use the value of 1 in that first indicator. But even if we do that, we are not finished. Library of Congress requires us to enter the authoritative series title in one (and only one) of the 8XX fields. Lest we think that the MARC rules are all that dictate the connection between the 490 and the 8XX fields, we turn to RDA for a statement about the access to titles (in this case of a series) through an authorized statement. Along with the rules on the content of the fields in the 2.12 section, RDA rule 6.27.4.3 tells us to construct authorized access points by combining authorized versions of the name of the person/family/corporate body with the authorized title, or if no person/family/corporate body, then provide access through the title only. It is the instruction to enter information using the authorized name or title that leads us to the 490/8XX relationship. Let’s see how RDA and MARC come together to help us provide access to an item through the series title. First, in the 490, the first indicator, as previously mentioned, is coded 0 for no series title tracing or, 1 for series title tracing. The second indicator is blank. The title of

the series is entered in the $a. If there are any numbers associated with the item in hand, we use the $v to record that. Looking at copy cataloging, you may see the $v for volume numbers and $n for issue numbers. Those subfields no longer exist; now we use only the $v and, as per RDA rule 2.12.9.3, record the number as given on the item. There is no final punctuation in the 490 field. Examples: • 490 1_ $a Choose your own adventure ;$v no. 58 Notice here the space, semicolon, and $v with the number of the issue. If the issue number on the item read “number 58” then that is how we would have recorded it. • 490 1_ $a Asian American experience Notice, in this example there is no $v. This series is unnumbered and so we do not use the $v. This series is actually titled “The Asian American experience.” Perhaps one day the second indicator will be used for non-filing characters, as we see in the 245 field. However as this is not yet the case, we drop the initial article. Now that we have decided to trace, or provide title access, for our series statement, let’s see how the 490 field works with the 8XX fields. A good example of that can be seen here for the Arthur chapter books written by Marc Brown. On the item, we see the series statement “A Marc Brown Arthur Chapter Book.” So we wonder which of the following options would be the right one for our series statement. 1. 490 1_ $aA Marc Brown Arthur chapter book 2. 490 1_ $aMarc Brown Arthur chapter book 3. 490 1_ $aArthur chapter book

Library of Congress has established an authorized title for this item: 490 1_ $a Marc Brown Arthur chapter book [Remember, drop the initial article.] 800 1_ $a Brown, Marc Tolon. $t Marc Brown Arthur chapter book. Notice that we have dropped the initial article in the 490 field and then created an authoritative tracing (800 field) using the author’s name (Brown) with a $t for the title of the series. We know to do this because the Library of Congress has established the series in that way. If there was no series title established by the Library of Congress, then we probably would have traced this series as a series title (the 830 field). You need to make use of the LC authority database when creating tracings for series titles. What if we have a series title that does not include a person/family/corporate body connected to the series title? Let’s look at the series of Harold and the Purple Crayon early reader books. There appears to be a trend in children’s literature to publish early readers based on characters of old favorite stories. One such example is Harold and the Purple Crayon. What was once a small picture book is now the heading for a beginning reader series. The original author and illustrator, Crockett Johnson, has long since left us and has no creative connection to the new books—so what do we do with Harold? Consider the following: Harold and the Purple Crayon Under the Sea. Is “Harold and the Purple Crayon” a series title or part of the title proper? Fortunately, we have other library databases to help us make this decision. For our example, we find that the Library of Congress has decided “Harold and the Purple Crayon” is indeed a series title, and the title proper is “Under the Sea” with this series statement: 490 1_ $a Harold and the purple crayon 830 _0 $a Harold and the purple crayon.

Even though the story begins, as with the original, with Harold being unable to sleep, and even though the character of Harold is the same as the original, Crockett Johnson is nowhere to be seen. There may be a note recognizing that the character is based on Johnson’s illustrations, but otherwise he is not considered as the author of this series. Let’s look at the indicators for the 830 field. First, this field is called the “Series Added Entry – Uniform Title.” This means that the access to the series will be under the preferred title of the series rather than under a personal/family/corporate body name. The first indicator is blank, and the second indicator is for non-filing characters. Both the 800 and the 830 fields end in a full stop. We have seen here that a series title is recorded as it appears on the item in the 490 field and that we need to look to an authority, such as the Library of Congress, to check whether there is a certain way of formatting the series title so that we can provide access to the series title in the 8XX fields. The authorized access to the item through the series title may or may not be the same as that entered in the 490 field.

Fields 490/8XX: Series Statement • Transcribe a series statement as it appears on the item (490 field); once a decision is made that it is truly a series statement, check the Library of Congress authority database for the proper format of the series (8XX fields). • Preferred source of information for books is title page, verso title page, and colophon. Non-book materials use that part of the item that best resembles a title page. • The 490 does not end in a full stop. • The 8XX fields end in a full-stop ( . ) • 490: First indicator is 0 for no tracing or 1 for tracing. The title is entered in $a, and the number of the item, if present, is entered in $v. The $v is preceded by a semicolon ( ; ). • The 490 field is repeatable.

• Use the Library of Congress authority database to decide how to create the related 8XX field. If there is no authority record, record the series title the same way it was recorded in the 490 field.

Examples: 490 1_ $a Sky science 830 _0 $a Sky science 490 1_ $a Main Street ;$v bk. 10 [the word is “bk” if it was “book” we’d record that] 800 1_ $a Martin, Ann M. $d 1955- $t Main Street ;$v bk. 10. Exercises: Put the following information into appropriate series fields (490/8XX): 7.16. A New True Book 7.17. Magic Tree House #34 7.18. My FIRST Chapter book #10

Notes – Fields 5XX The part of the surrogate record where one supplies the user with some important facts about the item, such as awards, summaries, reading levels, and other aspects of the item about which users may be (or should be) interested is referred to as the Notes area. In RDA the directives for this area are scattered throughout the text depending on the type of information being explained. In MARC the fields are referred to as a whole as the 5XX or five-o-o fields—and there are about fifty different 5XX fields! Most systems offer help in defining the specific 5XX fields for entering notes, and these hints should be followed if possible. When in doubt, however, it is always possible to use the 500 (general notes) field. We will limit our discussion to 11 of the 50 fields: 500, 504, 505, 508, 511, 520, 521, 526, 546, 586, and 590. There is no preferred source of information for this area. Information is recorded as needed and may or may not be part of the item itself. Therefore, brackets are not used here.

In this part of the MARC record, we get into something called “display” or “display constants.” This means that there is a code given to the computer so that it will automatically display a word or phrase when the record is retrieved and presented in the OPAC. Not every 5XX field makes use of the display constants, but those that do save us lots of typing time … assuming your ILS makes use of the displays. The display constant is defined in the indicators of the fields. Some systems seem to make use of the different displays by allowing the librarian to alter the indicators as needed, when in reality, no matter what indicators are used, the display will always be the same thing (usually “Note”). This is not wrong, but it becomes a waste of time to go through the exercise of using the proper indicator values if the system has only one default. If you have a system like this, you may be tempted to ignore the indicators; however, this is not a good idea. Having a record that is as correct and accurate as possible, even if the current system ignores some standard policies, will help in the long run. Chances are very good that the system will be upgraded and eventually will be following standardized practice, or the library will migrate to a newer and better system. If the records are good, clean, and follow standardized rules and policies, the upgrade or new system migration is a much easier process. Therefore, in the section following, we will include a description of the indicators needed to code for various display constants, even if not all school library automation programs are up to (excuse the expression) code. Field 590 – Local Notes: We begin with the last named field, as it is often the first of the 5XX fields that new catalogers want to use. The 590 field should be used with caution, especially because there are no corresponding RDA rule for this field—a big hint to us that probably any kind of item specific note we want to create can be entered in a field besides the 590. Before using the 590 field, make sure your system indexes it, because information entered in that

field will not be retrievable via any kind of search if it is not indexed. Using the 590 field means that the data entered apply only to the specific item in hand. If you are going to use the 590 field, the indicators are blank and the field should end in a final stop. This field is repeatable. Again, try to avoid this field. Field 586 – Awards Note: Continuing in our backward motion, we come to the 586 field. This field is used to record any awards connected to the item, such as Caldecott, Newbery, and the like. Rule 7.28.1.3 provides the directive to provide information about important awards given to the item if deemed necessary (we’ll find that most 5XX notes are optional). Until recently, many vendors did not index this field, and so school librarians included this information in the 500 field, which was indexed. Old habits die hard, and one will still find even very recent records with awards information in the 500 field instead of the 586 field. Before making use of the 586 field, check that it is indexed in your system. If not, then use the 500 field. In the 586 field, the indicators are blank. Information about the award is entered in $a, and no other subfields are needed. This field does not end in a full stop. There is no formal format for this field. We suggest that for ease of searching, the cataloger defines an institution-specific format for this field. Examples below show various ways of recording this information. Examples: • 586 _ _ $aCaldecott medal winner, 1999 • 586 _ _ $aNewbery Honor Book award winner, 2000 • 586 _ _ $aAcademy award winner, best picture, 2001 Field 546 – Language Note: This field is used to make a note about the language of the item, as directed in rules 6.11.1.3, 6.11.1.4 and 7.12.1.3. As we have already seen, the 041 field is used to enter the code for the language of the item. However, this code does not show up in the public

catalog and might not be indexed for searching purposes in school library automated systems. It should be noted in the surrogate record if the item is a translation or bilingual, includes captions, or has some other linguistic features. We enter this information in the 546 field. This field is repeatable, the indicators are blank, all information is entered in the $a, and it ends in a full stop. There is no set format for this field; the examples below are just suggestions. Examples: • 546 _ _ $a Bilingual text in English and Spanish. Item includes both English and Spanish languages. • 546 _ _ $a Translated from the French, Les Misérables. Item is an English translation of the French work, Les Misérables. • 546 _ _ $a All songs in French. Item is a sound recording of French songs sung in French. • 546 _ _ $a Closed captioned for the hearing impaired in English, German, or French. Item includes captions in English, German, and French. • 546 _ _ $a Includes soundtracks in English and Spanish. Item has dual soundtracks in English and Spanish. Field 538 – System Requirements Note: The most common use for this note is to record equipment needed for proper viewing of multimedia information packages (rule 3.20.1.3), but one can also make note of sound characteristics (rule 3.19) and video characteristics (rule 3.18). Typically, this field is not indexed for keyword searching, but check your system to be sure. The 538 field is repeatable; both indicators are blank; and it ends in a full stop.

Examples: • 538 _ _ $a DVD. The item is a DVD; useful to make this note if you used “videodisc” in the 300 field. • 538 _ _ $a System requirements: iOS or Android platform mobile devices. This program requires a mobile device running either the iOS or Android platforms. • 538 _ _ $a Requires Blu-ray player only; will not play on conventional DVD player. Item requires a Blu-ray player for viewing. • 538 _ _ $a Playaway digital audio book. As with our DVD example, this is a useful field if we used more technical terms for “Playaway.” Field 526 – Study Program Information Note: Here one records information about the item as it relates to school, classroom, or other curriculum standards; there is no RDA rule for this field. Notes such as “For Mrs. Smith’s Fall AP English class” can be entered here. Most often this field includes data on items for reading programs, such as the Accelerated Reader program. As with all the specialized 5XX fields, before investing time and energy in this field, check first to confirm that the system indexes information from this field. The first indicator value of 0 is used for a display constant “Reading program,” or 8 for no computergenerated display. Some school library systems do not recognize the first indicators, in which case you will need to enter the display constant information yourself (use 8 as the value). The second indicator is blank. This field is repeatable and ends in a full stop. Field 526 uses 10 subfields; we will describe the use of subfields a, b, c, d, and z. The first subfield, $a, is used to enter the name of the reading or study program—e.g.,

Accelerated Reader. Subfield b is used to enter the interest grade level of the item as assigned by the given program and may be expressed in terms of a range of grades. This information is added without explanatory text. For example, entering “5-10” means the interest grade levels are five through ten—that is, students in grades five through ten may be interested in this item. This information isn’t always expressed in grade numbers but may also be seen in terms of more general ranges such as LG for “lower grades,” MG for “middle grades,” and UG for “upper grades.” Subfield c is similar to $b, except that it notes the reading grade level, again without explanatory text. Thus, entering 6.0 in $c would mean the item is for a student reading at the level of the first semester of the sixth grade. Putting the two subfields together, one sees an item that is of interest to students in grades five through ten, reading at the sixth grade level. Subfield d is used to enter the point value of the item. These are not values to make up. The values will be supplied by the reading program or will be on the item itself. Finally, $z is used to enter public notes, such as, “This item may be used for credit in the Accelerated Reader program and Mrs. Smith’s AP English class for Fall 2016.” It is important to remember here that we are talking about standardized reading programs. If an item simply has a grade level attached some way, that information is recorded in the 521 field (see below). You will notice in the examples that there is nothing to lead us to understand what all of this means; however, most systems have automatically assigned information to each of the subfields so the user will understand the information. In the examples, we show how the information is typed into the MARC record and how it displays in the OPAC. Examples: • Typed into the record as: 526 8_ $z This item may be used for Mrs. Smith’s second period English class, Spring 2015.

Appears in OPAC as: Notes: This item may be used for Mrs. Smith’s second period English class, Spring 2015. This is just a public note informing students that Mrs. Smith considers this item as proper reading for her second-period English class during the Spring 2015 semester. (It will be up to Mrs. Smith to keep the librarian informed of the changes to her list.) • 526 0_ $aReading Counts $b5-10 $c6.0 $d1.0. Appears in OPAC as: Study Program: Reading Counts Interest level: 5-10 Reading level: 6.0 Title point value: 1.0 This reading program note says the item is of interest to 5th through 10th grades. It is at a 6th-grade reading level and worth one point. • 526 0_ $aAccelerated Reader $bLG $c2.0 $d0.5. Appears in OPAC as: Study Program: Accelerated Reader Interest level: LG Reading level: 2.0 Title point value: 0.5 This reading program note says the item of interest is for the lower grades reading interest level. It is written on the second grade reading level and is worth half a point. (Notice that in both of the last two examples, the name of the reading program is capitalized because it is a proper noun.) Field 521 – Target Audience Note: Often neglected or misused, the 521 field designates the general audience level of the item as directed in RDA rule 7.7.1.3. This may be expressed in terms of a broad audience level (e.g., “For teen readers”), a reading interest level (e.g., “For reading interest grade levels four through eight”), a reading grade level (e.g., “For reading grade level 6.0”), or a Lexile

level (e.g., Lexile 450). This differs from the 526 field because it does not refer to a formal study program or even a local classroom level. It is a repeatable field. The indicators are used to note the type of formatted information being supplied, or one may opt to use a free form of entry, as will be explained later. School librarians should take a careful look at their systems to determine how this information should be entered and will be displayed. Some systems index this information only if it is in a specific format. Other systems do not index this information at all— in which case, one should enter the data in the correct field (521) but may also opt to enter the information in an indexed field, such as 520 or 500, to make sure the information is retrievable. In this field, the first indicator is used to define a display constant. There are seven choices in the display constants for this field; we will concern ourselves with the five most common of them. The display constants in the first indicator place are defined as follows: blank - displayed as: Audience 0 - displayed as: Reading grade level 1 - displayed as: Interest age level 2 - displayed as: Interest grade level 8 - no display generated When applying these indicators, keep in mind that not all automated systems make use of all possible indicators. Before going through the trouble of applying a myriad of indicators, check your system and see how it displays the 521 field information. You may only need to use the default (usually blank but sometimes 8) and fill in your own information in the $a. The second indicator is blank. This field ends in a full stop. Most of the time, reading interest, age, or grade level information is taken from the item itself. Publishers will sometimes note the reading or age level of an item using either standardized or in-house scales. This information in books is usually found on the verso of the title page or the

back cover, and is most often recorded in cryptic notation such as, RL: 1.5-2.3 (meaning reading grade levels 1.5 to 2.3) or 008-010 (meaning appropriate for children ages eight to ten). If the information is not on the item, it is all right to supply this information using other resources or your own best guess. Again, you are cautioned to check on the retrieval program of the automated system to be sure the information input in field 521 is retrieved accurately. If all else fails, remember that using the 500 field is a viable (if not completely correct) alternative to using the 521 field. In doing this, however, information should also be recorded in the correct field (521), as automated systems are constantly improving and we want to make sure that we don’t have to go back to records to put information in the correct field. Here are some examples of the use of the 521 field: • First indicator blank MARC entry: 521 _ _ $a All grade levels. OPAC display: Audience: All grade levels. Note that the blank value of the first indicator makes the system automatically insert the word “Audience” into the display in the OPAC. This is the “display constant.” The value of the first indicator dictates the display constant, which changes as the value changes, as we see in our next examples. • First indicator 0 MARC entry: 521 0_ $a 3.1. OPAC display: Reading grade level: 3.1. • First indicator 1 MARC entry: 521 1_ $a 008-010. OPAC display: Interest age level: 008-012.

The information has been typed into the MARC record as it appeared on the item. The librarian may well have elected to type in “8-10” instead (leaving out all of those zeros), as a way of making this more readable for the user. • First indicator 2 MARC entry: 521 2_ $a 4-5. OPAC display: Interest grade level: 4-5. • First indicator 8 MARC entry: 521 8_ $a MPAA rating: PG-13. OPAC display: MPAA rating: PG-13. Note here that there is no prefatory word or phrase before the audience information. If you opt for the first indicator value 8, you need to be sure that you have supplied enough information so that the field makes sense to the user. In some systems, this is the default indicator. If this is true in your system, you will need to type in the phrase or word you want to see preceding this information. Field 520 – Summary, Etc.: This field is used to record a summary note for the item in hand (rule 7.10.1.3). This is a very important part of the surrogate record. This field is indexed for keyword searching; therefore, a good summary statement can be critical in retrieving just the right item. Summary statements also work hand-in-hand with subject headings to help clarify for the user the content of the item beyond the definitions of the subject headings. Summary statements should be short and succinct but should also include enough key words to be useful in the retrieval process. The Library of Congress creates summary statements that are as succinct as possible. Be aware, however, those succinct summaries may not get to the heart of the item. For example, the summary statement

assigned by the Library of Congress for the book, Hope Was Here, reads: “When sixteen-year-old Hope and the aunt who has raised her move from Brooklyn to Mulhoney, Wisconsin, to work as waitress and cook in the Welcome Stairways diner, they become involved with the diner owner’s political campaign to oust the town’s corrupt mayor.” While it may seem to do justice to the story, one can’t help but wonder why there is the accompanying subject heading, “Cancer -Fiction.” The summary of the book neglects a very important part of the book; the diner owner has leukemia and it is because of this that Hope and her aunt decide to help out. One may argue that the summary and the subject headings together are used to show all aspects of the content of the book in an efficient way without redundant information. For a school population, however, this may be unsatisfactory, and we may feel the need to “doctor” the summary a bit to help out our students. Remember, Library of Congress records are not inviolate, and one may certainly change information to make the catalog record more useful for specific audiences … Just be sure you don’t give away the ending. The 520 field is repeatable and ends in a full stop. There are six possible first indicators to define specific display constants. Most of us are using this field to enter a summary statement, and therefore, it is suggested to go with the default of most systems, which is a blank value for the first indicator. Systems vary in the definition of a blank first indicator. In most cases, the display generated will be “Note(s)” or “Summary”; either term is appropriate and therefore the various other first indicator values will not be discussed here. The second indicator is blank. As always, check your system for the way this field should be coded. There are five subfields in the 520 field. We will concern ourselves only with the first subfield, $a, as the other subfields add information that is not directly applicable in the school environment. Recall also that reading and

interest grade levels may not be retrievable in a satisfactory manner in the 521 and 526 fields; therefore, that information may be added in the 520 field. In dealing with multimedia items, we find that it is extremely helpful to put in the front of the summary the type of material being described. This not only alerts the user to the type of item retrieved, but also serves to differentiate information packages with the same title. For example, here are three different summaries for Dr. Seuss’ Green Eggs and Ham: • 520 _ _ $a Sam wants his friend to try a new taste treat in this story in rhyme. Summary statement for the book. • 520 _ _ $a In this board game, for 2-4 players ages 4-6, players move from space to space to help Sam convince his friend to try a new taste treat. Summary for the board game. • 520 _ _ $a Windows or Macintosh computer program that allows the reader to follow along as Sam convinces his friend to try a new taste treat. Summary for the computer program. Notice that in all three examples, the description of the content of the item is essentially the same. What differs is the helpful information up front that tells the user whether the item is or is not a book. Although this information is available in other parts of the record, past experience has shown that it is a very useful aid for users to have this information right up front in the summary statement. Field 511 – Participant or Performer Note: This field is used to provide information about the participants involved with the content of a non-book item (audio book, music recordings, or videodiscs) as per rule 7.23.1.3. This field is repeatable and ends with a full stop. As with the 520, the cataloger is advised to use the default indicators provided in the cataloging system. There are two first indicators to select: the value 0 means there will be no

display constant, and the value 1 means there will be a display constant “Cast.” The second indicator is blank. Information about the item is entered in $a. There is no standard way of entering this information. Examples: • 511 0_ $a Performed by the American Ballet Theatre, featuring Mikahail Barishnikov and Gelsey Kirkland. This is a film of the American Ballet Theatre. We emphasize here the stars of the production. • 511 1_ $a Judy Garland (Dorothy), Frank Morgan (the Wizard), Ray Bolger (the Scarecrow). This information will look like this on the OPAC: Cast: Judy Garland (Dorothy), Frank Morgan (the Wizard), Ray Bolger (the Scarecrow). Notice here that because all of the named people are actors in the movies they are separated by a comma. • 511 0_ $a Narrator, Raffi ; with voice characterizations by Robin Williams. Here we have a sound recording where Raffi is doing the narration and Robin Williams is providing voices for different characters. Notice the use of the space, semicolon, space between the two different jobs of narrator and voice character, just as we saw in the $c of the 245 field. Field 508 – Creation/Production Credits Note: Again, referring to non-print visual and sound materials, this field is used to define the people involved in the production of such items. Producers, directors, program creators, and persons with similar responsibilities are entered in this field as per rule 7.24.1.3. This field is repeatable, both indicators are blank, and the field ends in a full stop. Information for this field is entered in $a. The amount of detail entered here

depends on how much information is appropriate for the collection. Often in the school environment, only those names deemed “important” or “recognizable” by the cataloger are entered. However, even if not recognizable, one should, at the very least, enter the names of the producer and director. Examples: • 508 _ _ $a Executive producer, Steve Linden ; project director, Kris Moser ; programmers, Glenn Axworthy, [and 7 others] ; editorial consultant, Sharon Lerner. As with the 511 field, we see the separation of responsibilities by space semicolon space. Notice the use of “and 7 others” after Glenn Axworthy. Computer programs often have an army of programmers responsible for the project, and we can’t name them all so, as with the $c in the 245 field, we resort to the option of just counting up the names we aren’t going to list and putting that number in brackets. • 508 _ _ $a Producer, Northern Lights Productions ; director, Ken Burns. Notice the use of the comma after the job title, and the space semicolon space between the names of people with different functions. Note that it may be desirable to search by name of the people or corporate bodies recorded in fields 511 and 508. If the names are entered only in the 511 and 508 fields, this will be possible only in using a keyword search. To search by personal or corporate name (usually defined as author or name search in online systems), one must also enter the names in the 700 or 710 fields. We see then that names in the 7XX fields can come from places in the surrogate record other than the $c in the 245 field. Field 505 – Formatted Contents Note: This field is used to enter full or partial contents information for the

item. An interesting aspect to note about this field is that the corresponding RDA rule, 25.1.1.3, looks so different from the arrangement defined in MARC that it is difficult to connect the two. The reason is that the language of RDA is a little foreign to us. Where we think about something akin to a table of contents for an item, RDA refers to related works. In theory, a chapter in a book is related to the work as a whole because the chapter could appear someplace on its own; for example, perhaps it was previously published in a research journal. In an effort to keep with the philosophy of relationships, recording the contents of an item could be considered the same as recording related works, and that is why the examples in RDA look so odd to us. Happily, we know that we create a contents note because of rule 25.1.1.3, but we can use the instructions in MARC to inform us how this note should be created. This is a particularly useful note when cataloging anthologies. One is not likely to list all of the stories included in such works, but one might opt to bring out the titles connected to the school curriculum. For example, consider a collection of stories by Washington Irving that includes the Legend of Sleepy Hollow. Let’s assume this story is read every year as part of the fifth-grade English language arts curriculum. As the school librarian, you want students and teachers to know that this item includes the needed story. One way to do this is to enter the information in the 505 field. The 505 field is repeatable; the second indicator is blank; and the field ends in a full stop. There are four values for the first indicator (0, 1, 2, and 8), defining various display constants. The 0 indicator displays the constant “Contents:”; the 1 indicator displays the constant “Incomplete contents:”; the 2 indicator displays the constant “Partial contents:”; and the 8 indicator displays no constant at all. Before showing examples, we must first consider the difference between “Incomplete contents” and “Partial contents.” To enter incomplete contents is to say

that all the parts of a multipart item are not in the library. For example, the library has only part one of a two-part video. In this case, the first indicator value “1” would be entered. Partial contents means that the entire item is (or all parts are) in the library, but the cataloger chooses to enter only some of the contents information, as in the case of a large anthology, where only some of the titles are important to the users. In that case, the first indicator value “2” would be entered. Examples: • First indicator value 0 (Contents) MARC entry: 505 0_ $a Writing a paragraph -- Writing a short story -- Writing a novel. OPAC display: Contents: Writing a paragraph -- Writing a short story -- Writing a novel. Note how the different chapters of this book are separated by a space, double dash, space. Note too how only the first word of each chapter title is capitalized, just as we have in the 245 field but of course we have the option of transcribing the contents as they appear on the item. • First indicator value 1 (Incomplete contents) MARC entry: 505 1_ $a v. 1. The early life of George Washington -- v. 5. George Washington retires. OPAC display: Incomplete contents: vol. 1. The early life of George Washington -- vol. 5. George Washington retires. In this example, the library owns only volumes one and five of the multipart set, and so we make a note of those titles but not to the other volumes which do not exist in this library. • First indicator value 2 (Partial contents)

MARC entry: 505 2_ $a Legend of Sleepy Hollow / Washington Irving -- Tell Tale Heart / Edgar Allan Poe. OPAC display: Partial Contents: Legend of Sleepy Hollow / Washington Irving -- Tell Tale Heart / Edgar Allan Poe. In this example we have a collection of short stories, but we are only naming the two stories that are important for retrieval in our library, those of Irving and Poe. Note the repetition of the ISBD punctuation; that is, the space, slash, space between the title of the work and the author, just as we saw in the 245 field. Note also that in order to retrieve these titles by author or title searches, we need to create added entries under the authors’ names in a 700 field or as a title analytic entry (see below). • First indicator value 8 (no display constant) MARC entry: 505 8_ $a Songs included on this CD are She Loves You and Yesterday. OPAC display: Songs included on this CD are She Loves You and Yesterday. Here we see the contents of a disc in an unformatted contents note. Field 504 – Bibliography, Etc., Note: This field is used to note the presence of a reference section within or connected to an item, including bibliographies, discographies, webliographies, filmographies, or any other reference materials associated with an information package as per rule 7.16.1.3. This field is repeatable; both indicators are blank; and it ends in a full stop. Information for this field is entered in $a. Catalogers can opt for the generic bibliography statement or include a note that is more specific (see examples). If an index is also included as part of the item, that information is added here. However, if

there is only an index and no reference section, then the index information is recorded in the 500 field. Examples: • 504 _ _ $a Includes bibliographical references. [Generic bibliography note.] • 504 _ _ $a Includes bibliographical references and index. [Generic bibliography note with index.] • 504 _ _ $a Bibliography: p. 238-250. • 504 _ _ $a Filmography: p. 126-128. • 504 _ _ $a Discography: p. 130-132. Notice that the last three examples include page numbers for the reference sections. This is an optional but sometimes helpful element in the note. Field 500 – General Note: This is the catchall for information. Here one states source of title information if necessary (required for electronic resources), language of item if it is bilingual or not English, index information (see also field 504), information supplied by cataloger, and other variances of the item. More often than not, if some information needs to be provided and it is unclear where or how the information should be entered, the 500 field is the place. There are a variety of RDA rules for the 500 field depending on the information being recorded. The 500 field is repeatable, and both indicators are blank. The information is entered in the $a, and the field ends in a full stop. There are no limits on the format of this field. The only time this field must appear in the record is if any explanation is needed for the title of the item: e.g., taken from a source other than the item itself, corrections in spelling of the title, other variations in the title (rule 2.17.2.3). Other reasons for a 500 field include: information about creators (rule 2.17.3); information about the edition statement or pseudo-edition statements (rule 2.17.4 and 2.17.11); information about the

publisher (rule 2.17.7); or information about the copyright date (rule 2.17.10). See RDA section 2.17 for more details about recording notes. Examples: • 500 _ _ $a Title taken from title screen. Electronic resource wherein the cataloger actually loaded the program and took the title from the screen, versus simply using the title on the container or disc. • 500 _ _ $a Title taken from the cover. Book that lacks a title page; for example, a board book. Recall that in books the preferred source of information is the title page; if there is no title page, the source of the information must be explained in a 500 note field. • 500 _ _ $a Turtleback edition. • 500 _ _ $a Reading Rainbow book. Sometimes in children’s publishing, statements are made that look like edition or series statements but are really publishing gimmicks. The statements, “Reading Rainbow Book” or “Turtleback Book” are examples of this. You may want to make mention of these statements, and this is the place to do so. • 500 _ _ $a Title supplied by cataloger. Not a common occurrence in the school environment if one is talking about books, but as we make more and more attempts to catalog items, such as Web pages, posters, and library equipment, we might see notes like this with increasing frequency. • 500 _ _ $a Includes index.

As mentioned in the discussion of the 504 field, if an item includes both a reference section (e.g., bibliography) and an index, then the note is made in the 504 field. If there is an index only, then the note is here in the 500 field. • 500 _ _ $a “This disc is a school production for TAG testing with the Great Waste Mystery. It is not intended to be a final version.” -- Disc case. This note is in quotes because it is text taken directly from the item. Although we put this in quotation marks, a direct quote of a summary statement from the CIP data need not be enclosed in quotation marks. • 500 _ _ $a “Written for families who have to deal with lifethreatening diseases.” When a note is in quotation marks and there is no explanation as to the origin of the quote (as we saw in the previous example), then we have a quote from the title page of a book. In this case, this statement is on the title page, but it is not information that belongs in the 245 field. Since we need to account for title page information, we do so here in the 500 field. Before closing our discussion of the 5XX fields, we need to examine an aspect of information retrieval touched upon earlier in the chapter. Most of the fields discussed above are searchable through a keyword search. However, titles and names of people and corporations might not be retrieved in a name or title search if they exist only in the 5XX fields. In order to retrieve names and titles stated in the 5XX fields, we need to do two things: first, check with the vendors of our ILS programs and ask whether the 5XX fields are indexed for author/title searches; and second, if the fields are not indexed in that way (and likely they are not) we need to make use of the 7XX fields. We have already discussed how to use the 700 and 710 fields to create added access points for personal and

corporate names found in the 245 field. We can also apply this practice for titles, personal names, and corporate names found in the 5XX fields. Thinking back to our examples, people like Ken Burns, Raffi, and Robin Williams who appear in our 508 and 511 fields can also get their own 700 field entry in the record just as if their names appeared in the 245 $c. In the past, this has been an optional element in the surrogate record, but remember that RDA is all about relationships, and if we want to be able to find everything in our library related to Robin Williams, we need to make sure that proper access has been provided (rule 24.4.2)—in this case by creating a 700 field for Williams. But how would we retrieve a title found in the 505 field? In part this depends on the nature of the title. In a collection of stories by the same author, such as our example with the “The Legend of Sleepy Hollow,” we can still use the 700 field thus: 700 1 _ $a Irving, Washington, $d 1783-1859. $t Legend of Sleepy Hollow. If, however, we need to create access to a title that has no creator connected to it, we use the 740 field. This field is not applied very often in the school library environment, but it might be of some use down the road, so it is useful to be aware of it. The 740 field is repeatable; the first indicator is for non-filing characters; the second indicator is blank; and the field ends in a full stop. A word of caution: older records (prior to 1993) will have the 740 serve the purpose of added title entry for information from the 245 field. If you see this, you must move that information to the 246 field. The 740 field is now used for “uncontrolled” added title entries (rule 24.4.3) and serves to allow us to account for titles found in the 5XX part of the MARC record. Examples: • If the Contents note looks like this: 505 1_ $a v. 1. The early life of George Washington. • Then the 740 field will look like this:

740 4_ $a The early life of George Washington. • But if our Contents note looks like this: 505 2_ $a Legend of Sleepy Hollow / Washington Irving -Tell Tale Heart / Edgar Allan Poe. • Then we trace for the creators, not the titles, and we have this instead: 700 1_ $a Irving, Washington. $t Legend of Sleepy Hollow. 700 1_ $a Poe, Edgar Allan. $t Tell tale heart. The library automation system should be set up to be able to retrieve the information in the $t of the 700 field. If you check this and your title does not get retrieved, then you will also need to add a 740 for the title even though technically that is incorrect so talk with your vendor about it. 5XX Field Summary. There are a variety of uses for the 5XX fields; these are only some of them. All of the 5XX fields are listed with brief descriptions at the Library of Congress MARC page (http://www.loc.gov/marc/) under Bibliographic Formats. For the most part, information in the 5XX fields is optional to the bibliographic record. Nevertheless, after reading this section, one can see how much fuller the record is when this kind of information is included. The librarian who skips the 5XX fields is doing a disservice to his or her community.

Summary for 5XX Fields, Notes • Take data from any suitable source. • Include information about variations in title, statements of responsibility, language, editions, and other information pertaining to the item. • Include information not recorded in the other areas—e.g., awards, audience interest level, and curriculum connections.

• Most 5XX fields are optional except in the case of accounting for the source of a title. • Fields discussed were 500, 504, 505, 508, 511, 520, 521, 526, 538, 546, 586, and 590, each with its own meaning. If all else fails, use the generic 500 note field.

Examples: 586 546 538 526 521 520

_ _ _ _ _ _ 0_ 2_ _ _

511

0_

508

_ _ 2_

505 504 500

_ _ _ _

$a Caldecott award winner, 1999 $a Bilingual text in English and Spanish. $a System requirements: Windows XP or higher; DVD player. $a Accelerated Reader $bLG $c2.0 $d0.5 $a 4-5. $a Windows or Macintosh computer program that allows the reader to follow along as Sam convinces his friend to try a new taste treat. $aNarrator, Raffi ; with voice characterizations by Robin Williams. $a Producer, Northern Lights Productions ; director, Ken Burns. $a Legend of Sleepy Hollow / Washington Irving -Tell Tale Heart / Edgar Allan Poe. $a Includes bibliographical references and index. $a Includes index.

Exercises: Try to convert this information into the appropriate 5XX field. (A problem may need more than one 5XX.) 7.19. This book won the Caldecott Medal in 1995. 7.20. This film is closed captioned. 7.21. This app runs only on an iPad. 7.22. This book is for children at the reading grade levels three through five, and it has a bibliography and an index. 7.23. This book on disc is narrated by Gerard Doyle. 7.24. This Blu-ray shows a performance of the actor Hal Holbrook portraying the author Mark Twain and was produced and directed by Ken Burns.

Additional Cataloging Considerations There are three more questions that are often asked by new school librarians: When do I need to create a new record? Should I catalog my periodicals? How do I catalog my equipment? We will address those questions here.

Helpful Hint What to do with equipment? If you are responsible for it … Catalog it!

Equipment Yes, you should catalog your equipment. If you are responsible for knowing where each table, laptop, projector, and media cart is, then you need to catalog it. Some programs allow for cataloging an item and then “hiding” it from the general user. This is a matter of investigation of the system in your own library. Regardless of whether or not you can keep the equipment from displaying in your OPAC, it is to your benefit to catalog the equipment for which you are responsible and to check out anything that moves from your library into a classroom. Do not be afraid of cataloging these items. Control of your equipment is very important, and the following template should allow you to organize these items quickly and easily. Leader: make sure you have entered the proper code for your item. In most cases you will want to change the monograph code “a” to “r” for realia, or three-dimensional object. For those systems with iconic representation of material types, using the r code will change the book icon to

some other icon. For example, the Follett system uses a gear to represent a three-dimensional object. Most automation systems provide help in changing the Leader field. 008 Field: Again, depend on the system to help in fixing the information in this field. Remember that, like the Leader, this field is a series of codes. If your system does not offer good help in modifying this field, contact the vendor. To help you out, recall that the 008 field as a series of placeholders for material-specific information. Those spaces (spaces 18– 34) in the line will have to be altered to define the piece of equipment. In general, you will be safe with these codes: nnn (no running time), r (for accompanying instructional materials if including a user’s manual; otherwise leave this blank), r (material type is realia), and n (technique question is not applicable). Again, consult your system for the placement of these codes. 082 Field: See Chapter 5 for a description on classification numbers for equipment. 245 Field: Use the best description for this item; consider how you and your users will refer to the item. Both indicators will have the value 0. Use “realia” in $h. Examples: • 245 00 $a Panasonic LCD projector $h[realia] • 245 00 $a Chromebook $h[realia] • 245 00 $a Sony portable DVD player $h[realia] Notice that there is no closing punctuation at the end of the field, as the brackets take the place of the full stop. Notice that we did not enclose the title proper in brackets. Try to use the title that is given to the item by the company. However, if that title is not descriptive of the item, modify it as little as possible to fit your needs. 264 Field: Enter as completely as possible the place, name, and date of manufacture. Use a second indicator value of 3

to show this is manufacture and not publication data. Examples: • 264 _3 $a Japan :$b Sony, $c[2004] • 264 _3 $a Secaucus, New Jersey :$b Panasonic, $c[2004] 3XX Fields: Enter the description of the item. Describe the individual item, not the number of copies of the item you have. If you have 10 tablets, describe the one item in the 300 field and let the holdings area define how many of the item you have in your library. Use the 336, 337, and 338 fields to define the content, media, and carrier types. Examples: • 300 _ _ $a1 tablet ;$c in case +$e1 user’s manual + 1 power cord. • 336 _ _ $a three-dimensional form $btdf $2rdacontent The term is selected because a table exists in three dimensions (rule 6.9.1.3). • 337 _ _ $a unmediated $bn $2rdamedia A tablet is used without the aid of any other device, so it is considered unmediated (rule 3.2.1.3). The programs on the tablet are not unmediated, but that’s not what we are cataloging here. • 338 _ _ $a object $bnr $2rdacarrier As an unmediated carrier, this is considered an “object.” (rule3.3.1.3) 5XX Fields: Enter notes as needed. We might also make a note of the location of the item(s), the access or use of the item(s), and a description of the item(s). Remember, these fields are optional and you should make use of them as they best suit your own needs. Examples: • 520 _ _ $a Samsung Chromebook for use with English and Spanish language classes, grades 7 and 8 only. • 500 _ _ $a Please ask at Circulation Desk for this item. • 500 _ _ $a This item requires ear buds and two AAA batteries, not supplied by library.

• 500 _ _ $a Media cart with LCD projector and wireless laptop kept in workroom and available for classroom project circulation only. Please see Mrs. Kaplan for availability.

Example surrogate record for cataloging a piece of equipment (without the Leader or 008 fields) 082 245 264 300 336 337 338 500

14 00 _3 _ _ _ _ _ _ _ _ _ _

$a [EQUIP SONYDVD 2015] $215 $a Sony DVD player $h [realia] $a [Japan] :$b Sony Corporation, $c [2015] $a1 DVD player ;$c in case +$e1 user’s manual + 1 power cord + 1 connector cord. $a $a three-dimensional form $btdf $2rdacontent $a unmediated $bn $2rdamedia $a object $bnr $2rdacarrier $a For use in library media center only.

Periodicals Serials (or periodicals) cataloging can be problematic, and there are professional catalogers who organize no other material types except serials. Most school librarians tend not to catalog their serials, due in part to the ephemeral nature of the beast. Many school librarians do not keep back issues of popular magazines, partly because they don’t have the space to do so and partly because, for research purposes, students rely on databases rather than the printed copies of periodicals. Most of the time there is no problem in not cataloging serials, as long as the serials do not circulate, and it is not a problem if issues go missing.

But if control is (pardon the expression) an issue, then cataloging is the answer. Creating a serials record for temporary control and circulation is a relatively simple process. Like cataloging other materials, it can be an easy job to find a record for a serials title. Creating an original record for a serials title can also be an easy process. Please note that the directions that follow are for the creation of a minimal record. At no other time in this text do we advocate for the creation of minimal records; “catalog once, catalog completely” is our motto. However, the nature of the use of periodicals in school libraries is such that all we really need is a minimal record. To that end, we really need only four to six fields for adequate retrieval and control of our periodicals. Minimally we include the following fields: • 022 for the ISSN; • 245 for the title; • 082/092 for the call number; and • 500 for a statement about the volumes in the collection. Additionally we may want to have: • 650 for a subject heading; and • 520 for a contents note. Notice we have omitted the publication data (264) and the physical description (300). Some systems require a 300 field in the surrogate record. In this case, you could simply use “1 v.” and be done with it.

Sample generic and specific minimal serials record (without the Leader or 008 fields) Generic Record 022 _ _ $a enter ISSN here with hyphens. 245 0X $a Enter title here. [Second indicator is for non-filing characters.]

500 _ _ $a Note about how many issues (years) the library has. 520 _ _ $a Summary statement. 650 _X $a Subject heading. [Second indicator coded for the list used.] Classification number

Specific Record 022 _ _ $a0163-7061 245 00 $a Sports illustrated. 500 _ _ $aLibrary keeps current year only. 520 _ _ $a Current sports events magazine. 650 _7 $a Sports $vPeriodicals. $2sears PER SPORTS

Notice we did not put the call number in a MARC field. What we did supply is an example of what a call number for a periodical might look like. We suggest preceding the number with “PER” to note the item is a periodical. We follow this, not with a true Dewey classification number (although you could do that), but rather with an abbreviation of the title of the periodical (in this case, Sports Illustrated). In the record there will be a place for specific copy information. There you will add something specific for each issue: for example, 090115 for the Sept. 1, 2015, issue, or Fall15 for the Fall 2015 issue. Playing around with this model in your own system will help you decide how you want to create control for your periodical titles. Some libraries put their current periodicals in temporary folders with bar codes for circulation purposes but without identifying specific dates. When new issues come in, the old one is pulled out of the folder and dropped on the free reading table, and the new one is put in the temporary folder. It really is not difficult and is worth the time to organize that part of your collection.

Creating New Records

As we promised in our discussion of the 250 field, we will now discuss when it is necessary to create a new record. In adding new items to your collection, you will run into a situation where the item in hand is the same but slightly different from the item already on the shelf with an existing surrogate record. Usually the difference is in an ISBN or publisher’s statement. The question then arises as to when an item can be tacked on to an existing record and when a new surrogate record needs to be created. Most of the time, a change in the ISBN is not enough to warrant the creation of a new record. The paperback and hardback printings of a book can be dealt with in the same record, assuming that ISBN is the only difference between the works. What, then, constitutes a reason for creating a new record? In some cases it is very easy to recognize when two copies of the same information package warrant two different surrogate records. However, sometimes it is difficult to tell if the item in hand is a different edition or if someone is playing fast and loose with publication data. This is especially evident in books with such statements as “Book Fair Edition” or “Published by X with permission from Y for school book fairs.” AACR defines edition for books as: “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.”2 Unfortunately, RDA doesn’t

provide us with as succinct a definition; in fact, it provides no definition for what an “edition” is at all. Since AACR is the predecessor to RDA, we will work with that definition. In the definition, the word “entity” is important to us. Even if it appears to be a different edition—for example, “Reading Rainbow edition”—if the publisher is the same as the original publication, there has been no change to text or illustrations, and pagination is the same, then the information package in hand is not a new edition and can be added as a second copy to the existing surrogate record. We

might conclude that any time the publisher changes we have a new edition and should create a new surrogate record. However, AACR throws in something else to consider in defining edition for materials other than books and electronic resources, stating, “All copies produced from essentially the same master copy and issued by the same entity. A change in the identity of the distributor does not mean a change of edition”3 (emphasis added). What, then,

do we do with the book fair edition or the reprint edition, and does it really matter if we simply add a copy to the existing surrogate record? The short answer is yes; it does matter whether a copy is added to an existing record or a new record is added. As more and more of us have our catalogs available for searching through the Internet, as more and more of us find ourselves contributing to district, county, or state union catalogs, and as more and more of us depend on the cataloging from other libraries, whether one elects to add to, change, or create a new record is a matter of importance. We must be cognizant of the rules and abide by them as best as we can, and still be efficient in adding new information packages to our collections. Also, be careful about “book fair” books, as they can sometimes be redacted for sensitive topics, so even though they look exactly the same, there might be some alterations in content. This box offers checkpoints for deciding whether the work in hand is a new edition or not.

Determining new editions by a careful examination of edition and publication statements: 1. The LCCN (010 field) is the biggest determinate for making a new record or adding to an existing record. The LCCN (Library of Congress Control Number) tells us that the Library of Congress has decided that this is a new work. If your information package in hand has a different LCCN from that on the existing record, you have a different work and must create a new record. 2. If the publication statement reads that the information package is a reprint by permission of the original publisher, then you have a new

edition. Catalog the item according to the new publisher; that is, make a new record, and make a note (534) about the publication history. For example: 534 _ _ $a Reprint. Originally published New York : Dell, 1995. 3. If the edition statement reads that the item is a special edition—as in “Yearling Book,” “Reading Rainbow edition,” or “Book Club edition”— those statements alone are not enough to warrant a new record. 3.1. If however, the statements are accompanied by a difference in publisher, other than a change in the division of the publishing house (see next item), then a new record is required. 4. If the publisher named on the existing surrogate record is a division of the publisher named in the information package in hand (or vice versa) and the publication dates are the same, then do not make a new record. Example: Aladdin Paperback versus Simon and Schuster. 4.1. It is sometimes difficult to know whether you have a division of a publishing house or a separate house. These days, publishers buy up each other on a frequent basis, and where we once had two separate publishers, we now have a publisher and a division. Just take a look at Penguin Random House (http://www.penguinrandomhouse.com/imprints/) to see the names of what were once separate publishing houses. 4.2. If in doubt, treat a “published with permission” as a change in edition and create a new record; that’s the safest, if not the most expedient approach. 5. Hardback editions of a paperback book, such as those produced by Permabound or Turtleback, are not new editions. 6. If the title page and verso title page read one publisher (e.g., Little, Brown) and the back of the book reads that it is a special edition for a different publisher (e.g., Special Scholastic edition), catalog for the original publisher; that is, add to the existing record, and make a 500 note for Scholastic. 6.1. However, you will need to check the ISBNs. Often in this case, there is the ISBN for the original publication on the verso of the title page that is different from the ISBN on the back of the book. If this is the case, we still recommend cataloging for the original publication with the edition note and a 020 field for the special edition ISBN, with an explanation—e.g., 020 _ _ $a1234567890 (Scholastic book fair) 6.2. In this case, you have an original publication, and Scholastic is simply a change in distributor; therefore, there is no warrant for a new record. Example: • On the title page the publisher is listed as Aladdin Paperbacks. • The verso of the title page reads, “First Aladdin Paperback Edition, September 2000.” • Text and illustrations are copyrighted 1997.

• Aladdin Paperbacks is an imprint of Simon & Schuster, Children’s Publishing Division. • The item is available in hardcover from Atheneum Books for Young Readers. • Hardcover ISBN is 0689805268. • Aladdin paperback edition ISBN is 0689838921. • Notice the beginning of each ISBN is the same, identifying it as the same publishing house. • The surrogate record you have is for the Atheneum hardcover edition. • The information package you need to catalog is the Aladdin Paperback edition. • You have the hardback edition on your shelf. • Do you add to the existing surrogate record or create a new one? You create a new record. It’s the dates that tell us the answer. A new publication date, even if we have the same copyright date, tells us we must make a new record. • On the title page, the publisher is Arthur A. Levine. • On the verso is the statement, “Published for Scholastic Book Fairs with permission by Arthur A. Levine.” • There is also a Scholastic date of 1999 and a Levine copyright date of 1999. • The LCCN is the same as the one on the existing surrogate record, but the ISBN for the Scholastic version is different than the one for the Levine version. • Do you add to the existing surrogate record or create a new one? You add to the existing surrogate record and make this a second copy. In reality, your students don’t care which edition they have, and they will get confused if they see two records for the same title. But, speaking as a cataloger, you have an edition that was created with the same type image with just a change in distributor. Make a second 020 for the Scholastic ISBN and be done with it.

Conclusion With this chapter we conclude the physical description of information packages commonly found in school library collections. The surrogate record was described in terms of the RDA rules and the MARC fields. At this point you should

feel comfortable with the notion of RDA rules and with the practice of organizing data about your items through the use of the MARC format. Even if you don’t feel entirely comfortable with the thought of creating a brand-new record from scratch (original cataloging), you should feel that you could look at older cataloging and update it to RDA standards. If you want to test your skills, following the Notes is an old catalog record; go for it!

Notes 1. OLAC is the Online Audiovisual Catalogers organization, recognized as the authority organization for interpretation of and establishing of cataloging rules for audiovisual materials. For information about cataloging media materials, see the OLAC website at: http://olacinc.org/drupal/?q=node/12. For the specific example used in defining a term to use for cataloging Playway books, see the website at: http://olacinc.org/drupal/capc_files/playawaysPDF.pdf. Admittedly this information is provided for AACR cataloging, but in lieu of any updated information, it is the authoritative resource at this time. (Accessed May 15, 2015.) 2. Anglo-American Cataloguing Rules. 2nd ed., 2002 revision, 2005 update. Chicago, IL: American Library Association, 2005, p.D-3. 3. Ibid.

Exercise 7.25 This is very old cataloging; can you update it to RDA standards? (Don’t forget the new fields.) 010

__

$a 78145731 I

020

__

$a 0448044943

040

__

$a DLC $c DLC $d DLC

082

00

$a 609.22 $a B $a 920 [This is a collection of biographies, so LC provides

choices of DDC; pick one.] 100

1_

$a Tharp, Edgar.

245

10

$a Giants of invention. $c Illustrated by Frank Vaughn.

250

__

$a [Rev. ed.]

260

__

$a New York, $b Grosset & Dunlap $c [1971]

300

__

$a 117 p. $b illus., ports. $c 28 cm.

490

0_

$a Illustrated true books

520

__

$a Describes twenty-eight men whose inventions have been significant to modern science.

500

__

$a “4494”

650

_0

$a Inventors $x Juvenile literature.

650

_1

$a Inventors.

700

1_

$a Vaughn, Frank, $d 1915- $e illus.

(Record from the Library of Congress, used with permission)

Chapter 8 The Future of Cataloging Introduction

W

ith the exception of the first chapter, which provides historical contexts for our topic, the preceding chapters have focused on organizing collections through the means of international cataloging rules and computer program standards. With the implementation of RDA in 2013, catalogers are poised to change the computer program in a way that will allow us to more fully implement and develop the RDA standards. Previous editions of this text have used this chapter to discuss cataloging websites, arguing that school librarians cannot rely on bookmarking sites as a way of controlling electronic data. With advances in bookmarking programs that allow for better organization of sites and with the implementation of programs such as LibGuide, there seems to be little point in suggesting ways of cataloging websites for library catalogs (although I personally still believe it is a good idea). Instead, this chapter will present the next step in organizing information: BIBFRAME.

The Death of MARC Catalogers have been predicting the death of MARC since the turn of the century. Especially vociferous on this point has been Roy Tennant, who boldly published the article “MARC must die” in Library Journal in 2002.1 In presenting

his case, Tennant refers to the fact that MARC was developed at a time when one needed a dedicated room for a computer and one had to worry about the size of a catalog record because big records would slow down the machine. We have already seen how concepts like main and added access points are relics from the old catalog card, yet remain highly visible even in RDA. How then do we move forward in cataloging, especially considering the school library environment? Must MARC die after all this time we’ve spent discussing it? Quite probably the answer is, yes, MARC must die. The hope is that the transition from MARC to the next computer framework will be easy for those of us in schools with just about anything else to do besides cataloging!

Effects of Metadata on Cataloging When the formats for cataloging different material types were integrated into one MARC format, catalogers paid special attention to traditional cataloging methods as they were applied to controlling metadata. Metadata are, literally, data about data. In some libraries, we have been cataloging metadata for years. Creating a record for a part of a book, rather than the entire book itself, is cataloging metadata. Even the old Reader’s Guide to Periodical Literature is an example of metadata cataloging. The way we retrieve images for our PowerPoint presentations is also a result of metadata cataloging. Typically when one talks about metadata, one is usually referring to the information created

about a digital entity. Standards such as SGML (Standard Generalized Markup Language), XML (eXtensible Markup Language), and TEI DTD (Text Encoding Initiative Document Type Definitions)2 have been developed to create a way for

catalogers to transfer data about the information package into a syntax understood by computer programs for information retrieval purposes. Actually, MARC is an example of such a communication tool, however archaic it may appear to be to cataloging theoreticians today. Recall that RDA is based on the FRBR concept of WEMI (work, expression, manifestation, and item) and that its focus is on relationships. Linked data too is all about relationships and is perfectly suited to the relationship building in RDA. Even though we’ve just said that MARC is also about metadata, it is not as flexible as some of the other languages that deal with organizing information away from the old 3-by-5 catalog cards.

Bibliographic Framework The program that is being tested at the time of this writing as a replacement for MARC is known as BIBFRAME (Bibliographic Framework), and it too rests squarely on the shoulders of FRBR and FRAD … sort of. BIBFRAME has reconceptualized the WEMI vocabulary and refers instead to Work, Instances, Authorities, and Annotations. Truly linking data from various sources, BIBFRAME relies heavily on authority work (that’s the LC authority database) and “instances” or occurrences of data. Library of Congress uses this graphic to illustrate what that looks like (see Figure 8.1).

Figure 8.1 Library of Congress BIBFRAME.

This is what the Library of Congress says about BIBFRAME: BIBFRAME Initiative is the foundation for the future of bibliographic description that happens on the web and in the networked world. It is designed to integrate with and engage in the wider information community and still serve the very specific needs of libraries. The BIBFRAME Initiative will bring new ways to: • Differentiate clearly between conceptual content and its physical/digital manifestation(s) • Unambiguously identify information entities (e.g., authorities) • Leverage and expose relationships between and among entities

 

In a web-scale world, it is imperative to be able to cite library data in a way that differentiates the conceptual work (a title and author) from the physical details about that work’s manifestation (page numbers, whether it has illustrations). It is equally important to produce library data so that it clearly identifies entities involved in the creation of a resource (authors, publishers) and the concepts (subjects) associated with a resource. Although the BIBFRAME Initiative will instantiate a new way to represent and exchange bibliographic data—that is, replace the Machine Readable Cataloging (MARC) format—its scope is broader. As an initiative, it is investigating all aspects of bibliographic description, data creation, and data exchange. In addition to replacing the MARC format, this includes accommodating different content models and cataloging rules, exploring new methods of data entry, and evaluating current exchange protocols.3

There are a few interesting points about BIBFRAME. First, it is slightly ironic that the program born out of the necessity to organize information in formats other than books is called “bibliographic framework,” and so we still hold on to “biblion” discussed in Chapter 1. Second, that the testing records available for view are all book materials, again in spite of the emphasis on non-book materials. Finally, even with the strong desire to move away from MARC and ISBD, the records being created have a distinct ISBD look to them. BIBFRAME is probably a few years off in terms of full implementation, and it most certainly will hit university and larger institutions first. In the meantime, when you talk with your vendor, every now and then ask what is going on with BIBFRAME.

Conclusion Unlike MARC, BIBFRAME is being developed on a national scale rather than as an in-house program as was MARC. The advantage is that it should be easily implemented because feedback on its development is being provided by a variety of institutions and vendors. The disadvantage is that smaller public and school libraries will likely, yet again, be left

behind with this advancement in cataloging. It is too early to tell yet exactly what the impact will be on school library cataloging systems, but do watch for this in the near future.

Notes 1. Tennant, Roy. “MARC must die.” Library Journal. 127 (17) (2002): 26–28. 2. To find out more about metadata, look at the following websites: Dublin Core: http://dublincore.org/ LC: http://www.loc.gov/marc/marcxml.html GILS: http://www.gils.net/ 3. Library of Congress. BIBFRAME: Frequently Asked Questions. 2015. Accessed 15 May 2015. Available at: http://www.loc.gov/bibframe/faqs/.

Chapter 9 Processing Information Packages Introduction

M

any messages are sent to library discussion lists regarding the actual physical processing of library items. This chapter will present some recommendations about the physical processing of the item itself. There are no standards for physical processing. These ideas presented here are simply made based on years of experience in various libraries and many discussions with practicing librarians.

Labels Barcodes work with ILS programs to keep track of library items, such as what is on the shelf, what has been checked out, what is overdue. Placement of the barcode is frequently a matter of debate, and there is no one definitive answer.

Where one positions the barcode depends very much on what one believes to be the primary role of the barcode. There are a variety of places to put the barcode and an equal number of reasons for putting them in those places. Most vendors that offer the service of putting the barcode on the book will give the librarian a choice of where the barcode will be located. Some librarians like to put the barcode on the inside of the front or back cover of a book because it’s harder for the students to randomly tear the barcodes off that way. Others do not like putting them inside the covers because it is harder to discover if students have torn off the barcode. Some like to put the barcode on the front cover because it is easier to verify the title as the book is checked out. Others do not like the barcode on the front cover because it compromises the front cover artwork. Some librarians like to put the barcode on the back cover of the book so it does not interfere with the front cover artwork. Others don’t like to put it on the back cover because it will cover up summaries that are often found on the back of the book. Consider putting the barcode on the upper right hand corner of the back cover. One of the more onerous tasks in the library is that of taking inventory. In fact, before automated systems came along, that task was considered so onerous and so time consuming that often it was never done, or it was done infrequently. With the barcodes on the upper right hand corner of the back cover, it is simple to partly pull the book from the shelf and scan the barcode. If the barcode is located anywhere else on the book, each book must be completely removed from the shelf before the barcode can be scanned into the system. This action can add hours to an already time-consuming task. Placement of barcodes on non-book items is a bit trickier. The cover of the item is the obvious place to put the barcode, assuming there is only one item to control—i.e., the item is not part of a multipart item such as a book and disc set. Some librarians like to put the barcode inside the

cover so that the person who is doing the checkout (the librarian or an assistant) is forced to make sure the item in the case is, in fact, the item that should be there. This is helpful, for example, for items like CDs, DVDs, and Blu-ray discs. This may also hold true for kits, games, and other items that are in some sort of container. Having to open the container will ensure that the contents are verified before the item circulates. This saves on hassles later on if the item is returned with missing pieces. As stated above, unlike cataloging rules, there are no standards upon which we can rely to make this decision. It rests on the librarian. We can, however, offer you one hard and fast rule: Decide where you want the barcode to be located and stick to that decision. It is terribly frustrating to have a group of children ready to check out books and have to rummage through each book to find where the elusive barcode is located. Spine labels or call number labels are typically found on the bottom portion of the spine of the book. Some libraries with professional cataloging staff insist that the label be located at a precise point on the spine so that all spine labels are at the same spot and look nice and neat on the shelf. We have seen places where processors actually use rulers to measure where the spine label will go. This is not very realistic for the librarian who has to get the label on the item quickly and get back to instruction. It is, however, some food for thought. When the spine label is on the same spot (or relatively same spot) for all books, it helps to give a uniform look to the bookshelves. For those items that are not wide enough for a spine label, as is the case with the ubiquitous 32-page picture book, labels are often put on the lower left corner of the front cover. Additionally, as with bar codes and call number labels, consider deciding on one place for your books where you will put your genre labels. Again for the sake of uniformity and ease of reference, it helps you and your students to know where to look for the genre label.

Non-book materials present a problem, as they are seldom uniform in their packaging. First, one should label all parts of the item. This may be time consuming for items that have many parts, such as games and game pieces, but it is necessary. It is unfortunate and sometimes costly to have an unidentifiable piece that cannot be returned to its proper place. Call numbers on pieces can include the prefatory phrase “part of” to show that the item does not stand alone but is part of a bigger item. Library supply companies offer a variety of items to assist in the labeling process, such as round labels with holes for discs, or special pens for writing on plastic. With respect to call number labels, one may find that several are needed on the tops and sides of boxes depending on how the item will be situated on the shelf. Property stamps must also be applied to library items. Remember, the library collection will be used both within and outside of the library; the items are not historical documents that must be free of extraneous matter. We want our items to be well marked so there can be no mistake to whom the items belong. For books, librarians often use a library property stamp (a stamp with the library and school name and sometimes the address) on the front cover, title page, and back page. Some libraries also stamp somewhere in the book itself. Librarians often talk about stamping on a certain page. Picking one page to stamp helps in the deaccessioning process, wherein one must remove all library identification. It is easier to turn to a specific page than to leaf through the book page by page looking for the property stamp. Non-book materials must also have all pieces identified. Pockets or due date slips may also be placed on the item if that is the practice in your library. In the old days of manual circulation systems, librarians had cards with the due date placed in the pocket of the item to remind the user when to return the item. Due date cards are still used in some libraries, while others have systems that will print out

a receipt and need a place to put that receipt so it does not get lost. Some libraries use date stamps on due date sheets in the items. Others simply click a button and an email message goes to the student (or parent). Which system is used is a matter of choice and ILS program options. It is useful, however, to have some system that will remind the students when they must return the items. For book materials, the pockets or due date slips are placed on the inside of the back cover or the front cover. For non-book materials, the inside of the box cover is the place of choice for the pocket or due date slip. For items that do not have nice box or container covers, the librarian is forced to find the best place to put the pocket or slip. One should avoid just floating the pocket or slip inside a container because they usually disappear or end up in another item.

Packaging While not an issue for book materials, how one keeps nonbook or multipart items together is very important. Original packaging, as in the case of computer programs, often is not substantial enough to survive the use demands of the school library. Librarians may find it better to dissect original packaging and put the items and relevant information into a more substantial container such as a zip-lock plastic bag or a plastic container that can be closed. These storage items are readily available in stores and from library supply companies. Again, be sure that all parts of the package, including the package itself, are well marked with the proper identification. Most importantly, keep multipart items together. Resist the temptation to put media in one place and the accompanying books in another. If two items come into the library packaged together, then keep them packaged together.

Placement on the Shelf Packaging of non-book materials and where the materials will reside in the library are often ideas that should be discussed together. In the old days, librarians often disassembled non-book materials and kept like material types together. This is detrimental to the use of the item and compromises the purpose of the item. If an audio disc is released with a book, then the two items should be kept together; that is how they are intended to be used. So once the librarian has decided how these items can be packaged together, the next decision is where to put the items. The decision to put materials in special places is often linked to space. Graphic materials, maps, globes, and prints do not fit nicely on the shelves next to books. The decision is also linked to security and understanding what types of materials are easily taken out of the library without being properly checked out. The position throughout this text has been that, when possible, media and books should be inter-shelved. This is to capitalize on the serendipity of finding the desired item by browsing. If a student is in the book stacks area, we want that student to find all the items on a particular subject, not just some of them. However, if security and space are an issue and it is imperative that non-book items be shelved away from the books, there should be some reference to the item on the bookshelf. This reference is called, for lack of a better term, a dummy. Made out of cardboard or Styrofoam, dummies have the same dimensions of books and can be set right next to a book in classification number order. The dummy is labeled to direct the user to the location of the item in need. Say, for example, that the library has a copy of the book and CD of Frog and Toad are Friends. If the decision is made to store the disc separate from the book, or store the disc and book together in a separate place, a dummy for the disc (or the items together) is placed on the shelf in the proper order, next to the other Lobel books, to

let the user know that there is a sound recording of this book located elsewhere in the library. The surrogate record should also include a directive 500 note, such as, “This item is located behind the circulation desk. Please ask for assistance.” The use of dummies is a great way to keep the students informed of all the wonderful items in the library. Dummies are also prime targets for student mischief. Students seem to take great delight in moving the dummies around to the wrong places. We have no solution for this problem and stick to our recommendation of interfiling mixed materials. Sometimes a library will have more than one copy of an item and, due to the nature of the item, simply cannot decide where on the shelves to place the item. This is particularly common with folktales that can either be classified in the E-Everybody section or in the 300s section. Sometimes librarians will fudge the data and will classify one copy under one number and one copy under another number. This is not very good practice and should be avoided. It is confusing to look up a title and find that an item resides in two locations in the library. New catalogers are counseled to avoid this urge. Pick one number and put both copies there. It may be argued that this practice does not capitalize on serendipity that we so strongly recommend. While this may be true, it does encourage students to learn the library classification system and to use the catalog as a finding tool.

Conclusion This chapter has presented some nuts-and-bolts information about processing book and non-book items. This information has little to do with the MARC record but everything to do with getting the item on to the shelf and into the students’ hands. It is recommend that barcodes be placed on the

upper right-hand corner of the back cover and that multipart items be kept together and, if at all possible, shelved with the books. But that’s just an opinion.

Appendix I

Hint Sheet

Below are the most commonly used MARC fields for cataloging book materials, with a description and illustration of the field and the major RDA rules as applicable. Note that there are many fields and subfields not described here; this is simply a basic hint sheet. For more details, consult the RDA and MARC rules. 010 – Library of Congress Control Number (LCCN) Eight-digit number supplied by the Library of Congress. You do not make it up yourself! Not all items will have one, but those that do will look something like this: 010 _ _ $a 766633 This field has no closing punctuation and both indicators are blank. Exceptions: You may see the number entered with a hyphen 76-6633 or with fillers to create the eight digits 76006633 or 76-006633. Do not use information from a $z in this field, which is for discontinued numbers. This information is usually found around the CIP information in a book. 020 – International Standard Book Number (ISBN) Ten- or thirteen-digit number assigned by the publisher to note a unique number for the item. If you have one number in the CIP data and a different number on the item (such as on the book cover), use the number on the item. This number is entered without hyphens, thus: 020 _ _ $a 0491001304

This field has no closing punctuation, and both indicators are blank. You may also see a $c for cost of the item, thus: 020 _ _ $a 0491001204 $c $4.50 Do not use information from a $z in this field, which is for discontinued numbers. This field is repeatable. RDA rules: 2.15 to record the number; 4.2 to record the cost of the item. 040 – Cataloging Source Code to note from whence came the cataloging for the item in hand; indicators are blank, $a notes the original cataloging agency (e.g., DLC for Library of Congress), $c for agency that turned the record into MARC format, and $d for the agency that modified the record. You may see the same agency codes in all three subfields. Records created after 2013 will also include a $erda to show the record was created following RDA rules. In Chapter 6 we proposed using $c or $d to provide the initials for the person in the school who created or updated the record. This is not standard practice, but if you do employ it, the field might look like this: 040 _ _ $aDLC $cOCLC $dagk $erda This field has no closing punctuation. This field is not repeatable, although the subfields are. 041 – Language Code Use this field to note whether item is or contains a translation, or if the item is in a language other than English. First indicator is 0 if the item is not or does not contain a translation (is bilingual or is in some language besides English), or 1 if item is or includes a translation (e.g., captions in a language different from the soundtrack of a movie). Second indicator is blank; $a is the language of the item; $h is the original

language; $j is the language of the subtitles or captions. Examples: Item is in English, but was originally in French (a translation): 041 1_ $aeng $hfre Item is originally published in English and Spanish: 041 0_ $aeng$aspa Item is published in German (not a translation): 041 0_ $ager This field has no closing punctuation. Note that bilingual texts are not considered a translation. 050 – Library of Congress Call Number Call number as derived from the Library of Congress classification schedules. You will not be creating this number, but you might see it in copy cataloging. 082 – Dewey Decimal Classification Number (locally, may use the 092 field) Call number as derived from the Dewey Decimal Classification schedules. The first indicator defines which schedule was used; 0 for unabridged edition or 1 for abridged; the second indicator is blank, 0 (LC created the number) or 4 (the number was assigned by an agency other than the Library of Congress); $a includes the number itself; $b is the Cutter or item number (author initials and publication date); and $2 notes the edition used, thus: 082 14 $a 914.3 $b KAP 2014 $215 This field has no closing punctuation. Note that the actual field you use in your library (082 or 092) will depend on the system you’re using. This field is repeatable.

245 – Title and Statement of Responsibility All records must have a title. The first indicator 1 shows that the record includes a 1XX field, and 0 shows the record does not include a 1XX field. The second indicator 0–9 is for filing characteristics; that is, skip all spaces for initial articles; English language includes A (2), An (3), and The (4). There is always a $a for the title proper; if necessary, add $h if non-book item (optional), $b for remainder or other title information, and $c for statement of responsibility. There are other subfields available for this field, but these are the most common. Examples: 245 14 $a The paper bag princess /$c by Robert N. Munsch ; illustrated by Michael Martchenko.

also 245 00 $a Excellent organizations :$b how to develop and manage them /$c edited by James Lewis, Jr. This field ends in full stop and is not repeatable. RDA rules for recording the title as presented on the title page: 2.3.2 ($a) and 2.3.3, 2.3.4, 2.3.5 ($b), with respect to capitalization: 1.7 and Appendix A, and for recording the statement of responsibility ($c): 2.4.2. 246 – Varying Form of Title Use this field to provide access for other forms of the title proper (as in numbers) or for other title information. Records prior to about 1993 will have this information in the 740 field. Initial articles are dropped from the beginning of the title information. The first indicator can have a variety of values; however, the one you will use most often is 3 (no note, title added entry). The second indicator also has a number of values; the easiest thing to do is to leave this indicator blank, thus: 245 04 $a The 5 hats. 246 3_ $a Five hats (Notice the drop of the initial article.) Information is entered in $a; however, that subfield may be preceded by a $i that is used to explain the 246 information thus: 245 00 $a Cats and dogs playing together. play

246 3_ $i Spine title: $a Cats and dogs at

This field does not end with a full stop and is repeatable. RDA rules: 2.3.3 and 2.3.5. 250 – Edition Statement

Record edition as given on the item; both indicators are blank; information is input to the $a, although other subfields are available for this field (not presented here). Note that prior to 2013, edition statements were abbreviated. 250 _ _ $a First edition. or 250 _ _ $a First HarperTrophy edition. This field ends in a full stop. RDA rules: 2.5.2 and 2.5.6. 264 – Production, publication, distribution, manufacture, and copyright notice. (Note: prior to 2013, this information was recorded in the 260 field.) Place of publication ($a), publisher name ($b), and publication date ($c); first indicator defaults to blank; second indicator code for type of information, use 1 for publication information: 264 _1 $a New York :$b Harper Row, $c1996. Record copyright dates in a separate 264 field with second indicator value of 4 to note copyright date: 264 _4 $c©2015 This field ends in a full stop and is repeatable. However, the field with the copyright date alone does not end in a full stop. RDA rules: 2.8.2, 2.8.4, and 2.8.6; for copyright date, rule 2.11. 300 – Physical Description Record information relating to the physical aspects of the item itself. Although technically repeatable, this field is seldom repeated when cataloging books, and some programs will not allow for repetition. Both indicators are blank. Prior to 2013, abbreviations for pages and illustrative matter were used.

300 _ _ $a 32 pages :$b illustrations ;$c 23 cm +$e 1 puppet. This field does not end in a full stop unless finishing with other punctuation (such as parentheses). RDA rules: for extent ($a) 3.4; illustrative content ($b) 7.15; dimensions ($c) 3.5; and accompanying material ($e) 27.1. 336 – Content Type Record the form of the content of the item being cataloged according to the list of options provided in RDA and by LC at: http://www.loc.gov/standards/valuelist/rdacontent.html. Indicators are blank, $a is used for the content type, $b for the code for the type, and $2 for the RDA code. 336 _ _ $a text $b txt $2 rdacontent This field is has no final punctuation and is repeatable if the item being cataloged consists of more than one type of content (e.g., book with CD). RDA rule: 6.9.1.3 337 – Media Type Record here information about any device needed in order to engage with the content. Books do not require special equipment and so are considered “unmediated.” For list of options, see RDA and LC at: http://www.loc.gov/standards/valuelist/rdamedia.html. Indicators are blank; $a is used for the media type, $b for the code for the type, and $2 for the RDA code. 337 _ _ $a unmediated $b n $2 rdamedia This field is has no final punctuation and is repeatable if the item being cataloged consists of more than one type of content (e.g., book with CD). RDA rule: 3.2.1.3. 338 – Carrier Type

Record here information about how the content of the item is stored or housed. Books do not have a special storage and are listed as “volume.” For list of options see RDA and LC at: http://www.loc.gov/standards/valuelist/rdacarrier.html. Indicators are blank; $a is used for the carrier type, $b for the code for the type, and $2 for the RDA code. 338 _ _ $a volume $b nc $2 rdacarrier This field is has no final punctuation and is repeatable if the item being cataloged consists of more than one type of content (e.g., book with CD). RDA rule: 3.3.1.3. 490/8XX – Series Statement If needed, add a series statement; older cataloging may also show 400, 410, 411, and 440 fields. The 490 field has been the only 4XX defined field since 2008. First indicator is coded 1 if providing access to the series (tracing) or 0 if no access is provided. If providing access (1) then there must also be an 8XX field. The second indicator is blank. Use $v for volume number or sequential number of the series, thus: 490 1_ $a Who was…? 830 _0 $a Who was--?

or 490 1_ $a Magic tree house ;$v#15 800 1_ $a Osborne, Mary Pope. $t Magic tree house ;$v#47. Note there is no final punctuation at the end of the 490 field, but there is at the end of the 8XX fields. Note too that the information in the 490 and 8XX fields may be exactly the same. Use LC authority database to check on the proper series name to construct the 8XX field. Both the 490 and 8XX fields may be repeated if the item is part of more than one series. RDA rules: 2.12.2 ($a), 2.12.9 ($v); 6.2.2, and 9.2.2 (8XX fields). 5XX – Notes This area in the MARC record provides a variety of ways to bring out certain aspects of the item being cataloged. Generally most 5XX fields are repeatable and end in a full stop. Indexing of these fields varies according to the system. Check with the vendor before using some of the more specific 5XX fields. RDA rules are as numerous as the fields themselves; note that the RDA rules presented here are for these specific field examples. Some of the more common 5XX fields are: 500 – General Notes Both indicators are blank; include here such notes as origin of title information, translation information, previous edition titles, index, and other information from title or cover that is important to include in the record. RDA rule: 2.17.2. 500 _ _ $a Title taken from cover. 504 – Bibliography If item includes a bibliography or references of some sort, make note of it here; you may also include

reference to an index if both are in the item at hand. RDA rule 7.16.1.3. 504 _ _ $a Includes bibliographical references and indexes.

But index alone is recorded in the 500 field (same RDA rule: 7.16.1.3). 520 – Summary Summary statements of the item are kept short and to the point; first indicator should default to blank, although there are other codes available; the second indicator is blank. RDA rule: 7.10.1.3. 520 _ _ $a The story of a boy and his dog and how the boy learns to trust people again after many hardships. 521 – Audience Refers to who might want to use the item. Such phrases as “For reading grade levels 4-6” or “For reading interest ages 8-12” are used here, by using the codes in the first indicator position, one can make use of display constants: Blank = Audience; 0 = Reading grade level; 1 = Interest age level; 2 = Interest grade level; 8 = no display constant. RDA rule: 7.7.1.3. 4.

521 0_ $a2-3. or 521 1_ $a8-10. or 521 2_ $a2-

586 – Awards Use this field to note awards connected with the item; both indicators are blank. RDA rule: 7.28.1.3. 586 _ _ $a Caldecott Award winner, 1999 This field does not end in a full stop unless needed for abbreviations. 650 – Topical Subject Headings

Record topics from a standardized list. First indicator is blank. Second indicator 0 = Library of Congress Subject Heading (LCSH); 1 = LC Children’s Subject Heading (LC/AC); 4 = some other source not defined; and 7 = some other source defined at the end of the field in $2. Subfields include $a for the topical heading, $x for topical subdivisions, $y for chronological subdivisions, $z for geographical subdivisions, $v for form subdivisions. Use of the subdivisions is defined by the list you are using, thus: 650 _7 $a Dragons $z Great Britain $v Fiction. $2sears This field ends in a full stop before the $2 and is repeatable. 651 – Geographic Subject Headings Record names of places as subject headings here; indicators are the same as those used in 650 field, thus: 651 _7 $a United States $x History $y 17831809 $v Fiction. $2sears This field ends in a full stop before the $2 and is repeatable. X00 – Personal Names, General Information (100, 600, 700) Record personal names in inverted order as needed for main and added entries and as subject headings (remember the names of authors are not used in the subject areas). First indicator is 0 for forename, 1 for surname, or 3 for family name. Second indicator for 100 and 700 is blank; second indicators for the 600 field are the same as those of 650 field. Subfields include $a for name, $q for fuller form of name, $c for titles associated with name, $d for birth/death dates, $t

title of work, and $e relator term (100 and 700 only), thus: 600 17 $a Roosevelt, Eleanor, $d 1884-1962 $v Biography. $2sears

and 700 1_ $a Chuchill, Winston, $cSir, $d18741965. $t The great war. This field includes a full stop before the $2 and before the $t. 100 field is not repeatable, but 600 and 700 fields are. RDA rules for providing access to creator names (not subject headings): 9.2, 10.2, 11.2, and I.2. Follow similar procedures if you must provide access to corporate bodies (110, 610, 710 fields).

Appendix II

MARC Template*

__

$a

(enter ISBN, no hyphens)

 

^:$c $a

(optional to add price of item) (institution that originally cataloged item)

$c $d $e $a

(institution that input the item in MARC format) (institution that modified the record, your initials here) (code for RDA record) (Dewey # from abridged version)

$b

(author & date designation if used) (edition # of Dewey used)

020  

__

040  

 

 

 

 

 

082 14  

 

 

 

$2 1_

$a

(name of author of item)

 

 

 

 

$q ,$d $a

(fuller form of name if available and necessary) (birth/death dates if necessary) (title, indicators show 100 field and filing characters)

^:$b ^/$c

(subtitle if needed) (statement of responsibility)

100 XX

245  

 

 

 

246 3_

$i

(type of title, if needed)

 

 

$a

__

$a

(added title, to trace for numbers, abbreviations, and more if needed) (edition statement recorded as presented on the item)

$a

(place of publication, additional places use ;$a)

^:$b ,$c $a

(name of publisher, additional names use :$b) (date of publication) (date of copyright if available)

__

$a

(number of units—e.g., pages)

 

 

 

 

 

 

__

^:$b ^;$c ^+$e $a

(illustrative matter) (dimensions) (accompanying materials if needed) (content type)

 

 

$b

 

 

(code for content type) (rdacontent)

250 264 _1  

 

 

 

264 _4 300

336

$2 __

$a

(media type)

 

 

$b

 

 

(code for media type) (rdamedia)

337

$2 __

$a

(carrier type)

 

 

$b

 

 

(code for carrier type) (rdacarrier)

338

$2 1_

$a

(series title)

 

 

5XX

XX

;$v $a

(volume number) (notes to explain cataloging decisions and emphasize other aspects of the item; fields discussed in text: 500, 504, 505, 508, 511, 520, 521, 526, 538, 546, 586, and 590) (personal name as subject heading)

490

$a

600 17  

(defines list, usually “sears”)

 

$2 $a

(topical subject headings)

(order of subfields varies according to subject heading) (time period) (topical subheading) (geographical subheading) (defines list, usually “sears”)

650 _7  

 

 

 

 

 

 

 

 

$y $x $z

 

 

$2 $a

(geographical subject headings, add other subfields as for

651 _7

650)

 

(defines list, usually “sears”)

 

$2 1_

$a

(added name entries—e.g., illustrator, editor)

 

 

8XX

XX

,$e $a

(subfields same as those for 100 field) (added entry for series title as established by LC)

700

* Note that the following punctuation is used: ^ marks a space before the subfield punctuation. _ marks a blank indicator place. X marks a placeholder in field number or indicator.

Appendix III

Answers to the Exercises

Chapter 4: Intellectual Access – Subject Headings Personal Name Heading Exercises Try to create personal name subject headings and then use a copy cataloging source or the LC authorities database to find personal name subject headings for the following (watch out for information that is interesting to know but may not be necessary to enter into the field itself). 4.1. Eleanor Roosevelt, former first lady and human rights advocate, who lived from 1884 to 1962. • Attempting to create the heading without looking her up, you should end up with something that looks like this: 600 10 $a Roosevelt, Eleanor, $d1884-1962. • When we check the heading with the Library of Congress, we find our heading agrees with theirs. • Sears doesn’t have an entry for Mrs. Roosevelt, but we know by the structure for the key heading under Shakespeare (see Sears p. xli) that we have structured the heading correctly. • If you wanted to code the heading for a Sears subject heading, you would end up with a heading that looks like this: 600 17 $a Roosevelt, Eleanor, $d1884-1962. $2sears • While it’s interesting to know a little bit about Mrs. Roosevelt, the fact that she was a first lady and a human

rights advocate means nothing when creating a name heading. 4.2. Bill Clinton, 42nd president of the United States, born 1946 as William Jefferson Clinton; to most of the world he is just plain Bill. • Again, just using the information in front of us we might create this heading: 600 10 $a Clinton, William Jefferson, $d1946• This one is deceptive. On our own, we use the fuller form of the name, but apparently, he’s just “Bill” to the Library of Congress too, as the correct heading is: 600 10 $a Clinton, Bill, $d1946• The fact that he was a U.S. president does not come into play in a name heading. • If we want to code for Sears, it would look like this: 600 17 $a Clinton, Bill, $d1946- $2sears 4.3. Casey Kasem, radio personality known for playing American Top 40; born 1932 and died 2014. • On our own we might create this heading: 600 10 $a Kasem, Casey, $d1932-2014. • LC disagrees with us. If we look it up in the authority database we find that this is the actual preferred form for Mr. Kasem: 600 10 $a Kasem, Casey. • We see here that not every name has dates associated with it. That’s why we look up names in the LC authorities database. 4.4. Queen Elizabeth II, born 1926. Royalty presents all kinds of problems when setting up a personal name entry. Take a look at the entry established by the Library of Congress. Also, take a look at the entry for her husband, Prince Philip, and her son Prince Charles. Note that royalty is not entered under the person’s last name but under the first

name (note the use of the 0 in the first indicator space). This sometimes creates some confusion but is the answer to the question, “Why is the biography of Princess Diana shelved between the biography of Johnny Depp and the biography of Celene Dion?” • We have a lot of information, but we’re really unsure about what to do with this woman. Here is our first attempt: 600 00 $a Elizabeth, $b II, $d1926• But we’re really unsure about this or any of the royal family, so we check LC and find: 600 00 $a Elizabeth $b II, $c Queen of Great Britain, $d1926• We weren’t too far off and that makes us feel pretty good! Notice the title in the $c that she is given. Here are the name subject headings for Prince Philip, Prince Charles. 600 00 $a Philip, $c Prince, consort of Elizabeth II, Queen of Great Britain, $d1921-600 00 $a Charles, $c Prince of Wales, $d1948-You should notice a pattern, both with respect to royalty being entered under first names, and the use of $c for their titles.

Topical Subject Heading Exercises Using a copy cataloging source or the LC authorities database, try to find topical subject headings for the following (you may need more than one heading to cover the topic): 4.5. Care and feeding of pet tropical fish • 650 _0 $a Tropical fish. • 650 _1 $a Aquarium fishes. • 650 _1 $a Tropical fish $v Handbooks, manuals, etc. Here we have examples of LC/AC. Notice the option one has of adding the subdivision “Handbooks, manuals,

etc.” According to LC/AC (and LCSH), this is a floating subdivision and can be applied as necessary to other subject headings. • 650 _7 $a Tropical fish. $2sears • 650 _7 $a Tropical fish $x Care. $2sears This example from the Sears book is somehow a little bit more satisfying. There is something about that floating subdivision “Care” that seems to work better for our K12 population than does the heading “Handbooks, manuals, etc.” 4.6. Volcanoes and earthquakes around the world • 650 _7 $a Volcanoes. $2sears • 650 _7 $a Earthquakes. $2sears • 650 _7 $a Natural disasters. $2sears Sears gives us permission in all three cases to subdivide these headings by geographic location. As the item is about these disasters worldwide, that is unnecessary. • 650 _1 $a Volcanoes. • 650 _1 $a Earthquakes. • 650 _1 $a Natural disasters. Looking up the headings we find that the LC/AC headings do not provide us with the same option as Sears to subdivide these headings geographically. It is all right in this case but if we had something that was specific to a geographic location we would not be allowed to account for that. 4.7. Italian cooking • 650 _1 $a Cooking, Italian.

This one was tricky because looking up “Italian cooking” in the LC authorities database as a subject search we get a reference button. Clicking on the reference button, we find out that the heading is one of the inverted headings as we see above. • 650 _7 $a Italian cooking. $2sears Even though this specific heading is not in the Sears book, if we look under “cooking,” we see we have permission to add a phrase for regional cooking. The example given in Sears (pg. 183) gives us the example “French cooking,” leaving us to add additional headings as needed. Sears headings are so natural. The chances of a K-12 student looking up “Italian cooking” as a subject heading are probably much greater than those of the student looking up “Cooking, Italian.” 4.8. Careers in dentistry • 650 _0 $a Dentistry. • 650 _0 $a Occupations. Here we have subject headings that are the same regardless of the vocabulary being consulted (LC or Sears). Although “occupations” is fairly broad, it is possible that a student might be interested in finding out about some occupations; thus the subject heading leads the student from the general to the specific.

Geographic Subject Heading Exercises Create geographic subject headings for the following. Use copy cataloging resources to check your answers. (Try to

find both LCSH and Sears subject headings.) 4.9. Item about the American Revolutionary War • 651 _0 $a United States $x History $y Revolution, 17751783. It might seem strange at first to have an event, like the American Revolutionary War, as a geographic heading rather than as a topical heading. Both Sears and LC usually deal with events in terms of places with “History” then time period subdivisions rather than as topical headings. You will see the same is true in our next problem. Note the use of the topical subdivision (in $x) for history and the chronological subdivision ($y). These headings are given to us when we look up United States in the LC authorities database. Just for fun, take a look at the subject heading for Great Britain during the same time period. What conclusions can you come to looking at this heading? • 651 _1 $a Great Britain $x History $y 1714-1837. 4.10. Item about the Russian Revolution (1917) • 651 _1 $a Soviet Union $x History $y Revolution, 19171921. This is an interesting heading because the Soviet Union no longer exists, but if we look up Russian Revolution in the LC authorities database, this is what we get. Now look at the Sears heading: • 651 _7 $a Russia $x History $y1917-1921, Revolution. $2sears Remember Sears favors simplicity, so when we look up “Russian revolution” the heading we get is Russia. 4.11. Item about China in the 1920s • 651 _7 $a China $x History $y 1912-1949. $2sears Sears treats China the same way it treats the Soviet Union. There is no separate heading for the People’s

Republic of China; it’s just plain China. • 651 _0 $a China $x History $y 1912-1928. • 651 _0 $a China $x History $y 1928-1937. LC does the same as Sears but gives us more time periods to use instead of the one supplied in Sears. It would depend on the information package itself for us to determine which time period designation to use. 4.12. World War I and World War II present some interesting cataloging questions because neither Sears nor LCSH use those phrases as headings. • How would you assign headings for a book about World War II in general? Because World War II took place all over, this is a topical heading instead of a geographic heading: 650 _7 $a World War, 1939-1945. $2sears 650 _0 $a World War, 1939-1945. Subject headings for wars tend to follow a logic that escapes most K-12 students—and adults, for that matter! Make sure you include enough significant and descriptive keywords in your record so that the average person can retrieve items of this type. First, notice that the time period is not entered in the $y as we would think it should be. When the date is attached to the heading with the comma, as is the case here, it is part of the heading. • What about an item that focused on the impact of the war in Germany only? Since we are talking about a specific place, the heading becomes a geographic heading: 651 _0 $a Germany $x History $y1933-1945. Notice the difference in the time period that coincides with entire time period in which Adolf Hitler was in power in Germany.

Corporate Name Subject Heading Exercises Create corporate subject headings for the following. Use copy cataloging resources to check your answers: 4.13. Buckingham Palace • 610 20 $a Buckingham Palace (London, England) 4.14. The White House • 610 20 $a White House (Washington, D.C.) Notice in both of these examples, there is a place location in parentheses and that the close parentheses act as the final punctuation so there is no full stop. 4.15. Titanic (hint: a steamship, not a sailing ship) • 610 20 $a Titanic (Steamship) We know that Sears does not provide all names so we have to use models in order to figure out how to create some headings. When we look up “ships” we are instructed to add the names of ships as needed. Unfortunately, when we look up buildings and palaces we are not provided with the same instructions. However, in the Front Matter of Sears we are provided instruction to add names as needed (see Sears, p. xxi), so we feel comfortable in establishing the names as given below. 610 27 $a Titanic (Steamship) $2sears 610 27 $a White House (Washington, D.C.) $2sears 610 27 $a Buckingham Palace (London, England) $2sears

Chapter 5: Intellectual Access – Classification Exercises

First Summary Tables Use the first summary table (see first box in Chapter 5) to assign a general classification number for the following: 5.1. Information package on Hinduism: 200 • Hinduism is a religion so we know we would classify this item in the 200 area. 5.2. Information package on the United States presidents: 300 or 900 • This item might be equally at home in the 300 area for social sciences (that includes politics) or 900 under history. We have to know more about the item to be sure of which number to select. 5.3. Information package on the civil rights movement in the United States: 300 • Again we might have to make a choice here, depending on how we’ve classified our other materials. Most civil rights information packages are classified in the 300 area for social sciences; however, there may also be some in 900 for historical discussions. We’ll select the 300 area with the understanding for this problem and the previous one, that we need to have more information both about the classification numbers (we can’t classifying based on 10 numbers) and the information package itself (remember it is the discipline and intent of the item that decides the classification number).

Numbers into MARC Format Put the following numbers into the MARC format; assume you are using the 15th edition of abridged Dewey and that the Library of Congress has assigned the number: 5.4. 796.81

082 10 $a 796.81 $215 • The first indicator tells us that the abridged edition is being used to assign this number. The second indicator tells us that the Library of Congress assigned the number. The $2 tells us that the 15th edition of abridged Dewey was used to create the number. 5.5. 613.6 082 10 $a 613.6 $215 5.6. 940.53 082 10 $a 940.53 $215

Create Full Numbers Use DDC15 or a copy cataloging resource to find numbers for the following (put the numbers in the MARC format): 5.7. Folktales from Africa 082 14 $a 398.2096 $b ARK 2012 $215 • Again, we have the first indicator telling us the abridged Dewey was used. The second indicator tells us that some institution besides LC has assigned the number. • The number comes from the schedule for folktales, 398.2. At that number we are directed to use Table 2 to add the specific location of the folktales: “Add to the base number 398.209 notation 3—9 from Table 2, e.g. folk literature from France 398.20944…” (p.552). If we go to Table 2, we see that 6 is the number for Africa. We add as follows:

5.8. School nurses 082 14 $a 371.7 $b ADA 2005 $215 or 082 14 $a 610.73 $b ADA 2005 $215

• Interestingly, the 14th edition of DDC Abridged includes “school nursing” in the relative index with the classification of 371.1. There is no term “school nursing” in the relative index in the 15th edition of DDC Abridged. There is, however, the term “school social services” (the name for the classification 371.7 is “Student welfare”), which is as close as we can get to school nurses without going to the number 610.73 for nurses. It’s a conundrum. If it helps, the number for school libraries (not librarians) is 027.8, so deciding on the number 610.73 is certainly an informed decision. Having made that informed decision, if you go to the Library of Congress catalog, you will find this item has been classified under 371.7. 5.9. Soccer 082 14 $a 796.334 $b REE 2014 $215 • Happily, this is a fairly straightforward number. It is the number we are given in the Relative index, but we still go to the schedules where we find the number is created as

follows:

Chapter 6: Name/Title Access Points Exercises 245 Field Exercises Put these titles in a 245 field format and try to apply one subject heading and a Dewey classification number. 6.1. Title page: Body decoration Jillian Powell.

[Powell is the author, and the book is about the different ways people decorate their bodies including tattooing, cosmetics, and hairstyles.] • 082 14 $a 391.6 $214 391 is the classification number for Costume and personal appearance; under that number we find two possibilities: 391.5 (hairstyles) and 391.6 (personal appearance including tattooing and use of cosmetics). Although 391.5 is first in the schedule, we follow the rule supplied in DDC15 that instructs us to use the number for the subject receiving fuller treatment. Since 391.6 includes two of our three content areas, we use that number. • 245 10 $a Body decoration /$c Jillian Powell. This is a straightforward example of a title and author statement. There is no initial article in the title so the second indicator is 0. The first indicator is 1 because we have a clear author statement. • 650 _1 $a Cosmetics. • 650 _1 $a Tattooing. • 650 _1 $a Hairstyles. It is just serendipitous that these subject headings are the same as the words in our summary statement. These are the most specific subject headings we can apply. We might also try for something more general, e.g., 650 _7 $a Personal appearance. $2sears. 6.2. Title page: WALTER DEAN MYERS NOW IS YOUR TIME! The African-American Struggle for Freedom [Myers is the author; the book is a history of the African American struggle for freedom and equality, beginning with the capture of Africans in 1619, continuing through the

American Revolution, the Civil War, and into contemporary times.] • 082 14 $a 973 $215 (a fuller number would be 973.008) or • 082 14 $a 323.1196 $215 Recall in the Dewey exercises, we said civil rights might be classed in the 300s or 900s. We would need to spend more time with the item to know if the location (United States) is more important than the discipline (civil rights). The history number (973) is presented both as the shorter number with the added standards subdivision for groups of people as modified under 971979, which is why the number is 008 and not 08. The civil rights number (323) is extended to mean civil rights of African Americans in the United States. So with such a specific definition of the number, it is a more satisfying classification, although we might opt for the history number just to keep historical works together. • 245 10 $a Now is your time! :$b the African-American struggle for freedom /$c Walter Dean Myers. We transpose the title according to the title page but not necessarily according to layout. In our example, we have lots of capital letters but, even though RDA allows us to transcribe as provided on the item, we are just a little uncomfortable with supplying a title in all capital letters so we follow the LC option to record the title according to the capitalization rules in RDA appendix A.4 and A.10 (capitalize only the first word and all proper nouns). • 650 _0 $a African Americans $x History $v Juvenile literature. • 650 _1 $a African Americans $x History. • 650 _1 $a African Americans $x Civil rights. • 650 _7 $a Civil rights $z United States. $2sears

Notice we have two nearly identical subject headings; the difference is in the $v of the first subject heading. We have that designation because it is from LCSH, which, you recall, uses a designation (Juvenile literature) to show that the item is a nonfiction work for children. Our second subject heading does not do this because it is an LC/AC heading. The third heading brings out the “civil rights” component of the text, it is the more specific of the three headings and is the same heading that Sears has (of course, we’d have to code differently for Sears). Finally we have the heading that might be the most likely of the subject searches “civil rights,” which is considered by both Sears and LC as the broader heading compared to the other three headings. If you look up “civil rights” in the LC authorities database, you cannot tell that the heading can be subdivided geographically. To find that out, you would need to go to the LCSH pdf files to verify that aspect of the heading. 6.3. Title page: Mermaid Tales From Around The World Retold by Mary Pope Osborne Illustrated by Troy Howell. [Collection of 12 mermaid tales from around the world.] • 082 14 $a398.21 $215 By now we should recognize the 398.2 classification number. The .21 classification includes semi-human forms, such as mermaids; hence the number. • 245 10 $a Mermaid tales from around the world /$c retold by Mary Pope Osborne ; illustrated by Troy Howell. We might be a little unsure of the word “retold,” but it is considered part of the author statement, so it is included in the $c area. Notice the space, semicolon, space before the name of the illustrator. • 650 _7 $a Mermaids and mermen. $2sears • 650 _1 $a Mermaids.

Notice the difference in subject headings between the Sears and LC/AC headings: LC does not add mermen to its heading. 6.4. Title on disc: The Sea of Trolls by Nancy Farmer read by Gerard Doyle [12-CD recording of a fictional story involving Druids, Norse mythology, brothers and sisters, and Vikings] • 082 14 $a [FIC] $214 As we’ve seen before, “fiction” does not fit in Dewey’s classification system, so we use “FIC” to note this. We put it in brackets because it is not really a Dewey number. How you enter this into your own catalog would depend on the organization of your automated system. • 245 14 $a The sea of trolls $h[sound recording] /$c by Nancy Farmer. This is just an ordinary 245 field. The exercise is included here to demonstrate that creating records for recordings is not a scary problem. Notice, however, that Doyle has not been included in the 245 $c. This is the tricky part of the exercise. There is an option to include Doyle here or in a note field (see Chapter 7). • 650 _1 $a Brothers and sisters $v Fiction. • 650 _1 $a Vikings $v Fiction. • 650 _1 $a Mythology, Norse. • 650 _7 $a Norse mythology. $2sears In this set of subject headings, we can really see how nice Sears is to our users. The first mythology heading is LC/AC and is an example of an inverted heading with the noun (mythology) before the adjective (Norse). But Sears is an example of direct entry and makes much

more sense when we think of how our users would look up mythical tales.

246 Field Exercises Create 245 and 246 fields for the following. (Be sure to correct for capitalization.) 6.5. The time we had together The story of Richard Rogers and Oscar Hammerstein By John Smith • 245 14 $a The time we had together :$b the story of Richard Rogers and Oscar Hammerstein /$c byJohn Smith. Note the use of the 4 in the second indicator place. • 246 3_ $a Story of Richard Rogers and Oscar Hammerstein Note that we dropped the initial article “the” before entering the title under the word “story.” Remember that the 246 field has no way of dealing with initial articles so they have to be dropped. Notice too there is no final stop at the end of this field. 6.6. The GREATEST Puppy ever My dog Fluffy written by Samuel Jackson and illustrated by Laura Smith • 245 14 $a The greatest puppy ever :$b my dog Fluffy /$c written by Samuel Jackson ; and illustrated by Laura Smith. • 246 3_ $a My dog Fluffy Notice that “Fluffy” is capitalized because it is the name of the dog. 6.7. 24 girls in 7 days ALEX BRADLEY • 245 10 $a 24 girls in 7 days /$c Alex Bradley.

• 246 3_ $a Twenty-four girls in seven days Notice the way we wrote out the numbers 24 and 7 to provide access to the title should someone search with the numbers written out. 6.8. Extra credit: On title screen as: Moon Rope   A Peruvian Folktale Lois Ehlert

Un lazo a la Luna Una leyenda peruana translated into Spanish by Amy Prince

This is a folktale presented in both English and Spanish. Along with the 245 and 246, can you create a classification and subject heading for it? • 082 14 $a 398.20985 $215 • 245 10 $a Moon rope :$b a Peruvian folktale = un lazo a la luna : una leyenda peruana /$c Lois Ehlert ; translated into Spanish by Amy Prince. Because there is other title information as well as a parallel title, we have the Spanish language title in the $b area following the other title information. If there were no other title information, there would be the equal sign ( = ) before the $b and then the title in Spanish. • 246 3_ $a Lazo a la luna This part should be pretty clear, providing access to the title proper in Spanish. Notice, however, we did not provide access to the other title information in either English or Spanish (a Peruvian tale/una leyenda peruana) because we are not sure that such a general title would be useful in searching. Could we have created two other 246 fields? Yes: 246 3_ $a Peruvian folktale AND 246 3 _ $a Leyenda peruana • 650 _1 $a Folklore $z Peru. • 650 _1 $a Moon $v Folklore.

100 and 700 Fields Exercises Take the information from the $c and put it into 100 or 700 fields as needed. 6.9. 245 10 $a Opposites /$c by Sandra Boynton. • 100 1_ $a Boynton, Sandra, $e author. No tricks to this problem; even looking it up on the LC database shows us that Sandra is just that, no titles, dates, or other distinguishing characteristics. Remember that prior to 2013, the practice was not to add a $e for author, so don’t worry if you have copy cataloging that does not include the $e, but feel free to add it. 6.10. 245 10 $a Books and libraries /$c by Jack Knowlton ; pictures by Harriett Barton. • 100 1_ $a Knowlton, Jack, $e author. • 700 1_ $aBarton, Harriett, $e illustrator. Again, this is fairly straightforward; note that we have one name in the 100 and one in the 700. New catalogers sometimes try to put two names into one field, which cannot be done. 6.11. 245 10 $a Elvis Presley’s Love me tender /$c lyrics by Elvis Presley and Vera Matson ; illustrated by Tom Browning. • 100 1_ $a Presley, Elvis, $d1935-1977, $e lyricist. • 700 1_ $aMatson, Vera, $e lyricist. Note that Matson has ended up in a 700 field even though she is also responsible for the text. Be careful not to confuse the purpose of the 700 field, which is to provide access for another person’s name regardless of that person’s contribution to the intellectual content of the item. • 700 1_ $a Browning, Tom, $d1949-,$e illustrator.

Notice Browning has both a date and relator subfield. We can see how the field was created by checking the LC authority database. In general, the field is structured with the date first ($d) and the relator second ($e). We obtained our dates for all of the entries from the LC authority database.

110 and 710 Fields Exercises Look on various library databases for the following. Notice both the OPAC and MARC displays. 6.12. Weston Woods • As per LC: 710 2_ $a Weston Woods Studios. • Typical OPAC display: Added Entry: Weston Woods Studios 6.13. Scholastic (notice the variety of Scholastic entities from the databases) • As per LC: 710 2_ $a Scholastic, Inc. • Typical OPAC display: Added Entry: Scholastic, Inc. • Most of the time we can ignore “Inc.,” but this time, because there are so many incarnations of Scholastic, we need to keep it in the heading. 6.14. National Geographic • As per LC: 710 2_ $a National Geographic Society (U.S.) • Typical OPAC display: Added Entry: National Geographic Society (US) • Here, as with Scholastic, it is important to seek a higher authority on the creation of this field to know that “(US)” needs to be part of the name of this corporation. 6.15. Living Books • As per LC: 710 2_ $a Living Books (Firm) • Typical OPAC display: Added Entry: Living Books (Firm)

• As with our other problems, we only know the authoritative way of entering a corporate body by checking the authority database for Library of Congress.

Summary of Title and Statement of Responsibility Fields Apply 1XX, 245, 246, 6XX, 7XX, and 082 fields as necessary. (Check your answers against a library database.) 6.16. This is a nonfiction book about frogs and toads. On the title page as: FROGS AND TOADS BY REBECCA K. O’CONNOR • 082 14 $a 597.8 $215 (full call number: 082 14 $a 597.8 $b OCO $215) This is a fairly easy number to find. If you have the Dewey book, you can easily look in the index under frogs or toads. Checking a database for this title also yields this number, but remember, in accepting copy cataloging, be aware if the number you find on the database is the abridged or unabridged number. • 100 1_ $a O’Connor, Rebecca, $e author. Even though O’Connor uses her middle initial on this item, looking up the name in the LC authority database, you will see that the middle initial is dropped. If you were creating an original record, you might include the initial; however, be aware that any other items you add to your collection must also include that initial. • 245 10 $a Frogs and toads /$c by Rebecca K. O’Connor. Nothing special in this field except that the capitalization has been corrected according to RDA rule A.4. • 650 _1 $aToads. • 650 _1 $a Frogs.

• 650 _1 $a Amphibians. The addition of the broader subject term “amphibians” is optional. If your collection is such that you don’t need the broader term, then feel free to leave it out. There is no need in this record for added access in the 246 and 700 fields. 6.17. This is an audio book; it is fiction about a boy, Harry Potter, and the trouble he runs into in his second year at the wizardry school Hogwarts. On the disc is: HARRY POTTER AND THE CHAMBER OF SECRETS J. K. Rowling Read by Jim Dale • 082 14 $a [FIC] $215 • 100 1_ $a Rowling, J. K., $e author. • 245 10 $a Harry Potter and the chamber of secrets $h [sound recording] /$c J.K. Rowling. Because this is a non-book item, we have opted to include the $h; but we didn’t have to that. Notice in the 100 field there is a space between the “J” and the “K,” but in the 245 there is no space. That is because the 100 field is used for retrieval purposes but the 245 $c is not. As with our Farmer example in the text, we see that Dale has not been included in the $c information. One might see records with Dale in the 245 $c; however, the answer given here is also correct. • 650 _1 $a England $v Fiction. • 650 _1 $a Wizards $v Fiction. • 650 _1 $a Magic $v Fiction. • 650 _1 $a Schools $v Fiction. • 650 _7 $a Witchcraft $v Fiction. $2sears

• 650 _7 $a School stories. $2sears Notice the Sears subject headings. Sears does not have a “Wizards” subject heading so we added the “Witchcraft” heading, which is a close as we could get to “Wizards.” Additionally, Sears uses “School stories” instead of “Schools $v Fiction” so we added that subject heading as well. • 700 1_ $aDale, Jim, $e narrator. Notice Jim Dale’s name. We had to look that one up not only in the LC authority database but also in the LC catalog. In the authority database there are two Jim Dale names (one with a date and one without) and given the description in the authority record, it is easy to conclude that neither is the person we have narrating the story. However, in all of the Harry Potter recordings that the Library of Congress has cataloged, the name is Jim Dale without dates, so that is the format we selected. If you do look up Dale in the catalog, you will see “$enrt.” That was the abbreviation used in records prior to 2013 and should be fixed in your records as you accept the copy cataloging. 6.18. This DVD is a biography of the jazz pianist Duke Ellington, based on the book of the same title. On the title screen as: Duke Ellington The Piano Prince and his Orchestra Immediately preceding the title screen are credits for Scholastic and Weston Woods. The animated program is based on the book by Andrea Davis Pinkney, illustrated by Brian Pinkney, who are not named in the title although the names are in the credits at the end of the movie. • 082 14 $a [B] $b ELL DUK $215 • 082 14 $a 920 $b ELL DUK $215 • 082 14 $a 92 $b ELL DUK $215 • 082 14 $a781.65092 $b ELL DUK $215

As discussed in Chapter 5, biographies can be problematic so we have provided examples for cataloging under B, 920, 92, or 781 (jazz music). You would use only one of the numbers. The cuttering is clumsy because we are cuttering for the Ellington as the subject of the biography, but because this is a film and there is no name main access point (1XX field) then we are also cuttering by the first word of the title. We could also opt to cutter by Weston Woods the company responsible for the film or for Andrea Pinkney the author of the book. If we made use of a prefix or suffix for media type, cuttering by Pinkney might not be a bad idea because then the book and disc would be next to each other on the shelf. • 245 00 $a Duke Ellington $h[videorecording] :$b the piano prince and his orchestra. Unlike our Strega Nona example, this item does not say the names of the author and illustrator at the title screen; therefore we do not include them here in the 245 field. We will include them elsewhere in the record (in a 5XX field) but not here. • 246 3_ $a Piano prince and his orchestra $h[videorecording] It is probably not very likely that anyone is going to search for this item by the subtitle, but we include it as a matter of practice. • 600 17 $a Ellington, Duke, $d1899-1974. • 650 _1 $a African Americans $v Biography. • 650 _0 $a Jazz musicians $z United States $v Biography $v Juvenile literature. • 650 _1 $a Musicians. Our first heading is from the Sears list—and notice that we have not included “$v Biography” as a subdivision. In

the front matter, Sears is clear that if you are making an entry for a personal name as a subject that the use of “biography” is redundant (p. xxvii) unless there are many works about the person focusing on other aspects besides being biographical. As we have seen, LCSH tends to allow us more detail than does LC/AC, and so we include both the heading for Jazz musicians as well as that for Musicians. • 700 1_ $a Pinkney, Andrea Davis, $e author. $t Duke Ellington : the piano prince and his orchestra. • 700 1_ $a Pinkney, J. Brian, $e illustrator. $t Duke Ellington : the piano prince and his orchestra. • 710 2_ $a Weston Woods Studios. • 710 2_ $a Scholastic, Inc. This is a really tricky item because the Pinkneys are not responsible for the item itself, so we need to show their relationship to the expression of the work (rule 25.1.1.3). To do this we use a $t with the title of the work. Notice that we use the colon but not a $b for the other title information and we do that because the $b means something else in this field. If you look up this record, you will see that other libraries have opted to record the title as “Duke Ellington” without the other title information. It is an option. If you are uncomfortable with tracing Scholastic and Weston Woods, it is all right to not include them here. However, consider the positive retrieval aspects if a classroom teacher could search under Weston Woods or other producers of educational media.

Chapter 7: Physical Description Exercises

041 Field Exercises 7.1. Bilingual dictionary in English and Spanish • 041 0_ $aeng$aspa We use the first indicator value 0 to show we do not have a translation. The first $a tells us that one of the languages is English, and the second $a tells us the other language is in Spanish. Note how the two subfields are written together with no spaces. 7.2. Item in English, translated from the French • 041 1_ $aeng$hfre This first indicator 1 tells us that we do have a translation. The $a tells us that the language of the text is English, and the $h tells us that the original language of the text was French. 7.3. Spanish language film with English subtitles • 041 1_ $aspa$jeng For audiovisual materials, the language soundtracks, no matter how many soundtrack language options there are, are not considered translations; however, add text in the form of captions or subtitles and you have a translation, as is the case with this problem. We enter the language of the subtitles in $j.

043 Field Exercises 7.4. This item is about Ohio. • 043 _ _ $an-us-oh

For this and the next two exercises, we make use of the country code list supplied to us by the Library of Congress at: http://www.loc.gov/marc/geoareas/gacs_name.html 7.5. The action of this story takes place in Sweden. • 043 _ _ $ae-sw--Notice the use of the “extra” three dashes: remember that this string must include seven characters for each named geographic area; hence the three dashes. 7.6. This item is a travelogue covering the European continent. • 043 _ _ $ae-----This item covers the entire European continent, far too many countries to list separately, and so we simply use the code for the continent itself.

260/264 Fields Exercises Put this information into the proper 260 or 264 field. Although proper practice is to use only the 264 field, recognizing that some systems are still not RDA-compliant, both fields are provided here. 7.7. On the title page as: New York Scholastic On the verso of the title page as: © 2005 by the author • 260 _ _ $a New York :$b Scholastic, $c c2005. Even though we have seen Scholastic in the 700 field as “Scholastic, Inc.,” it is not necessary to include the “Inc.” here because we are recording the information as it appears on the item.

Notice the second “c” in the $c. Remember not to be confused by the name of the subfield and other copyright designations. • 264 _1 $a New York :$b Scholastic, $c [2005] • 264 _4 $c ©2005 We can see a big difference between the 260 and 264 fields in the way the date is treated. Here the copyright date is included in brackets in the first 264 $c because we can be reasonably sure the copyright and publication year are the same but not completely certain. Notice that once we use the brackets, there is no additional closing punctuation. Notice the use of the second 264 field, coded “4” for copyright date information, the copyright symbol with the date, and no closing punctuation. 7.8. On the disc cover as: New York London Franklin Watts 2003 • 260 _ _ $a New York :$b F. Watts, $c 2003. We are assuming we are cataloging in the United States; therefore we don’t need to reference the London location. If we were cataloging in another country, Canada for example, our field would look like this: 260 _ _ $a New York ;$a London :$b F. Watts, $c 2003. Notice the abbreviation of “Franklin Watts” as F. Watts. This is perfectly all right to do under AACR rules as long as we maintain enough of the name to keep this Watts separate from any other Watts publisher that there may be. Of course, under RDA rules (“take what you see”) we would write out Franklin Watts in full but as long as we are creating a 260 field, we will follow the older rules. • 264 _1 $a New York :$b Franklin Watts,$c 2003. Again we have opted not to include “London” as part of this field, and again that is because we are cataloging in the United States and RDA allows us the option to

include just the first named place. Unlike the former rules, if the order of the places was reversed (London New York) then we would probably add both place names because we are cataloging in the United States. We did not include a second 264 field because we do not have a copyright date. 7.9. On the end of the film as: National Geographic Productions © MCMXCVIII (National Geographic is located in Washington, D.C., but the location isn’t on the item, you have to supply it.) • 260 _ _ $a [Washington, D.C.] :$b National Geographic Productions, $c 1998. Notice the insertion of the brackets to show we are supplying the information about the place of publication. Notice too that we “translated” the Roman numerals into Arabic numbers. • 264 _1 $a [Washington, D.C.] :$b National Geographic Productions,$c [1998] • 264 _4 $a ©1998 Even though we are working with the “take what you see” philosophy, RDA does tell us to translate the Roman numerals (rule 2.8.6.3).

300 Field Exercises Create 300 fields for the following: 7.10. Unpaged book for children with color illustrations that measures 23.5 centimeters. • 300 _ _ $a 1 volume (unpaged) :$b color illustrations ;$c 24 cm This is an uncomplicated problem, with everything written out except for the measurement (cm).

Remember to round up to the next whole centimeter when measuring a book. 7.11. A 164 page book for young adults with color photographs; it measures 14 centimeters high and 30 centimeters wide. • 300 _ _ $a 164 pages :$b color photographs ;$c 14 × 30 cm • 300 _ _ $a 164 pages :$b color illustrations ;$c 14 × 30 cm Both of these fields are correct. It is a matter of choice if we want to be explicit in saying we have photographs instead of just some kind of illustrations. Because the book is more than twice as wide as it is high, we have to include both measurements. 7.12. A DVD that runs 190 minutes, is in color and has a soundtrack, is the standard measurement, comes with a book that is 64 pages with illustrations, and measures 20.5 centimeters. • 300 _ _ $a 1 DVD (190 min.) :$b sound, color ;$c 4 1/4 in. +$e 1 book (64 pages : illustrations ; 21 cm) or • 300 _ _ $a 1 DVD (190 min.) :$b color, sound. ;$c 4 1/4 in. 300 _ _ $a 64 pages :$b illustrations ;$c 21 cm When you have mixed media like this, you have the option of cataloging for the main part, in this case the DVD, and then using the $e for the accompanying material as we have in the first example. The other option is to create two 300 fields which can be done because the 300 field is repeatable… unless it isn’t. Check your system to make sure the 300 field is defined as repeatable. If you create two 300 fields, you will need multiple 336, 337, and 338 fields as well: one set for the DVD and one for the book.

336, 337, 338 Fields Exercises Create 336, 337, and 338 fields for each of the following. Use the tables provided by the Library of Congress if you don’t have access to RDA: http://www.loc.gov/standards/valuelist/ (Scroll to the bottom of the “Other Value Lists” for the RDA terms and codes for Content, Media, and Carrier.) 7.13. Item is a downloadable book that requires a computer/tablet/iPad for viewing (it is not an audiobook). • 336 _ _ $a text $btxt $2rdacontent • 337 _ _ $a computer $bc $2rdamedia • 338 _ _ $a online resource $bcr $2rdacarrier A downloadable book is considered text, just like a physical book; it needs a computer to engage with the material; and it exists online. 7.14. Item is a set of 10 CDs for a book (non-music sound recording). • 336 _ _ $a spoken word $bspw $2rdacontent • 337 _ _ $a audio $bs $2rdamedia • 338 _ _ $a audio disc $bsd $2rdacarrier An audiobook is considered spoken word because the content is through spoken language; it needs some kind of audio player (a CD player in this case) to engage with the material; and it exists on discs. 7.15. Item is a puppet. • 336 _ _ $a three-dimensional form $btdf $2rdacontent • 337 _ _ $a unmediated $bn $2rdamedia • 338 _ _ $a object $bnr $2rdacarrier

A puppet is three-dimensional, it does not require any equipment between itself and the user so it is considered unmediated, and it is an object.

490/8XX Fields Exercises Put the following information into the 490/8XX fields. 7.16. A New True Book • 490 1_ $a A new true book • 830 _0 $a New true book. These two fields look just about the same, but there is an interesting twist here. Because we’ve coded to trace the series (include the 830 field), we can leave in the initial article “A” because this field is not going to be indexed. Even though we can account for the initial article in the 830 through the second indicator, the Library of Congress has established the title without the “A” so we leave it out too. 7.17. Magic Tree House #34 • 490 1_ $a Magic tree house ;$v #34 • 800 1_ $a Osborne, Mary Pope. $t Magic tree house series $v #34. The Library of Congress has established this series title under the author’s name, and so we have the 800 field. 7.18. My FIRST Chapter book #10 • 490 0_ $a My first chapter book ;$v #10 Notice there is no 8XX field in this example and we have coded to not trace the series title. We aren’t exactly sure if this is a series title because the Library of Congress hasn’t created an authority record for it and we have a suspicion that it might not be an actual series title. Here

is what it would look like if you coded it as traceable series title: 490 1_ $a My first chapter book :$v #10 830 _0 $a My first chapter book ;$v #10.

5XX Fields Exercises Try to convert this information into the appropriate 5XX field: 7.19. This book won the Caldecott Medal in 1995. • 586 _ _ $a Caldecott Medal winner, 1995 There is no formal way for presenting this information; just remember, this field does not end in a full stop. 7.20. This film is closed-captioned. • 546 _ _ $a Closed-captioned. • 546 _ _ $a Closed-captioned for the hearing impaired. Either form of this note is acceptable. 7.21. This app runs only on an iPad. • 538 _ _ $a For iPads only. There is no formal way of expressing the information. We could have included “System requirements,” but that seems a bit excessive for such straightforward information. 7.22. This book is for children at the reading grade levels three through five, and it has a bibliography and an index. • 504 _ _ $a Includes bibliographic references and index. • 521 0_ $a 3-5. or • 521 8 _ $a For students reading at grades 3-5 level.

We need two different notes fields to enter this information into the record: the 504 for the bibliographic note and the 521 for the reading level. Remember that the way the 521 field is displayed can be dependent on the system itself, so be sure to check this when making the decision of how you will enter the information both for the indicators and within the field itself. There is always the option with the 521 field to enter the information in something that might be a little more “eye-friendly,” as provided in the second 521 field—but do not use both in one record. 7.23. This book on disc is narrated by Gerard Doyle. • 511 0_ $a Gerard Doyle, narrator. Recall that the information about Doyle is on the disc itself and that we could not enter this information in the 245 field. We enter that information in the 511 field, but we will also want to create a 700 field to be able to find Doyle under a name search. 7.24. This Blu-ray shows a performance of the actor Hal Holbrook portraying the author Mark Twain and was produced and directed by Ken Burns. • 508 _ _ $a Ken Burns, producer and director. 511 1_ $aHal Holbrook (Mark Twain) Older cataloging might show Holbrook and Burns in the same 511 field, so you will want to watch for that when accepting copy cataloging. Notice that the 511 field has the parenthesis as the closing punctuation. 7.25. This is very old cataloging; can you update it? 010 _ _ $a 78145731 020 _ _ $a 0448044943

040 _ _ $aDLC$cDLC$dDLC$erda [option to include your initials in $d] 082 1 4 $a 609.2 $b THA 1971 $215 100 1_ $a Tharp, Edgar, $e author. 245 1 0 $a Giants of invention /$c Edgar Tharp ; illustrated by Frank Vaughn. 250 _ _ $a [Revised edition] 264 _1 $a New York :$b Grosset & Dunlap,$c [1971] 300 _ _ $a 117 pages :$b illustrations, portraits ;$c 28 cm 336 _ _ $a text $btxt $2rdacontent 337 _ _ $a unmediated $bn $2rdamedia 338 _ _ $a volume $bnc $2rdacarrier 490 1_ $a Illustrated true books 520 _ _ $a Describes twenty-eight men whose inventions have been significant to modern science.500 _ _ $a “4494” 650 _0 $a Inventors $v Juvenile literature. 650 _1 $a Inventors. 650 _7 $a Inventors. $2sears 700 1_ $a Vaughn, Frank, $d 1915-,$e illustrator. 830 _0 $a Illustrated true books. • We don’t know if these inventors are all from the United States or not, so we can’t add the 043 field. • There is a suspicion that the edition statement and publication date came from a source other than what was once defined as the “chief source of information” and that is why they are in brackets. If we had the item in hand, we might make the decision to remove the brackets. • We have no idea what the “4494” means so we leave it in. Again, other cataloging decisions might have been made if we had the item in our hands. • Check the appropriate chapters if you have questions about the other fields.

Glossary   AACR: Anglo-American Cataloguing Rules. The standard in the U.S., Canada, and the UK for cataloging. The current edition is the second edition, 2002 revision, 2005 update. It has been superseded by RDA. See also RDA. Access Point: A name, term, code, and so forth under which a bibliographic record may be searched and identified. See also Heading. Added Access Point: A secondary entry, additional to the main access point, by which an item is retrieved in a catalog. See also Main Access Point. Anglo-American Cataloguing Rules. See AACR. Area: The major sections formally used to describe the parts of the surrogate record under AACR. There are eight areas of description in the surrogate record. See also Title & Statement of Responsibility; Edition; Publication, Distribution, Etc.; Physical Description; Series; Notes; and Standard Numbers. Authority Control: A method to control the multiple ways an entry could appear in the library catalog. Multiple entries are cross-referenced to a single entry, using authority control. Entries that may require authority control include subject headings, author names, corporate body names, and series titles. Authority Database or File: A file containing the official forms of names, uniform titles, series titles, and subject

headings used as access points in a library catalog, and citations to sources used to establish them, as well as crossreferences to variant forms not used as access points. The authority database in a library (for example, the Library of Congress) is used for establishing the preferred choice of name. BIBFRAME: Bibliographic Framework. The program that is in testing as of 2015 to replace MARC; it is based on the concepts of linked data in that surrogate records can be created and linked to other records without regard to platform or computer language. Bibliographic Record: The organized description of an information package; originally applied to the description of books, the phrase is now associated with surrogate records for all material types. See also Surrogate Record. Call Number: The shelf address of an item, made up of its classification number and shelf marks. Catalog: 1) collection, a according to materials are

A list of library materials contained in a library, or a group of libraries, arranged some defined plan; 2) the process by which organized for retrieval purposes.

Chief Source of Information: The source of data to be given preference as the source from which a surrogate record (or portion thereof) is prepared under the rules of AACR. Classification: A numeric, alphabetic, or alphanumeric system used to organize information often in a hierarchical order (e.g., Dewey Decimal Classification, Library of Congress Classification), often associated with creating an identifier as a shelf locater for an item.

Colophon: A page at the end of a printed item on which bibliographic information is given. Control Field: A field in the MARC format identified by a field beginning with the number zero (0XX). Control fields contain information such as a call number and ISBN. Controlled Vocabulary: A list of terms authorized for indexing, such as a subject heading listing thesaurus. Copy Cataloging: The act of taking one or more surrogate record from one library database and copying the record(s) into another library database; the surrogate records of another database, also known as copy. Corporate Body: An organization or group of persons that is identified by a particular name and that acts, or may act, as an entity. Typical examples of corporate bodies are associations, institutions, business firms, nonprofit enterprises, governments, government agencies, religious bodies, local churches, and conferences. Creator: term used to refer to the person, corporate body, or family responsible for the intellectual and creative content of a work, expression, manifestation, or item; could also be known as author, illustrator, choreographer, etc. Cross-reference: A message in the catalog that links two or more related access points (for example, a message at Clemens, Samuel Langhorne referring searchers to Twain, Mark). Delimiter: In the MARC format, a symbol identifying the start of a subfield. Delimiters print variously as a ‡, $, or |. Direct Entry: An access point in which the desired name or word is the first part of the heading, without naming a larger

unit of which it is a part; for example, the heading is Ohio, not United States—Ohio. Edition: In the surrogate record, wherein the cataloger records the version of the item being cataloged; most often identified on the item with the terms “edition” and “version” but not “printing.” In the MARC format, recorded in the 250 field. Entry Word: The word by which a subject heading, title, or creator name is arranged and searchable in the catalog. See also Access Point. Field: The line in a MARC record corresponding to one area of description, one subject heading, one call number, and so forth; also known as Tag. Fixed Field: A field containing data of a specific length and format. In the MARC format recorded in the Leader area. FRAD: Functional Requirements for Authority Data. Along with FRBR it forms the basis for the theoretical construct for RDA. FRAD focuses on the organization of authority data including preferred choices of personal names, corporate bodies, and families, and making connections between names and works. See also RDA. FRBR: Functional Requirements for Bibliographic Data. Along with FRAD it forms the basis for the theoretical construct for RDA. Within FRBR is the design for WEMI; focusing on the relationships of ideas and creators rather than on items and surrogate records. See also RDA. Functional Requirements for Authority Data. See FRAD. Functional Requirements for Bibliographic Data. See FRBR.

Heading: A name, word, or phrase placed at the head of a catalog entry to provide an access point. See also Access Point. Indicators: In computer that information in indicators, even

MARC format, numeric codes for the define the process for dealing with the the field subfields. Each field has two if one or both are undefined or blank.

Indirect Entry: An access point (usually a geographic or corporate body name) in which the desired name is not the first part of the heading; for example, the desired name is Boston, but the heading is Massachusetts—Boston. Information Package: The item being cataloged, whether it is a book, DVD, LCD projector, etc. Term used to refer to all types of materials being cataloged in a generic form rather than describing a list of item types. Intellectual Description: The part of the surrogate record that describes the topic or discipline of which the information package is about, usually recorded in the subject (6XX) and classification (08X) fields. IFLA: International Federation of Library Associations. This is the organization through which ISBD, FRBR, and FRAD were developed. ILS: Integrated Library System. The computer or web-based program many school libraries have today that provides the integration of acquisitions, cataloging, and circulation functions in one program. Integrated Library System. See ILS. International Federation of Library Associations. See IFLA.

International Standard Bibliographic Description. See ISBD. International Standard Book Number. See ISBN. International Standard Serial Number. See ISSN. ISBD: International Standard Bibliographic Description. International standard that defines the punctuation found in the surrogate record. ISBN: International Standard Book Number. This is a system of unique numerical 10- or 13-digit identifiers assigned by publishers to books. It helps to ensure more efficient ordering, inventory control, and accounting. In the MARC format, it is recorded in the 020 field. ISSN: International Standard Serial Number. The standard number publishers assign to serial publications; most often refers to periodicals, journals, or magazines, but may also be assigned to monographic serial publications. In the MARC format, it is recorded in the 022 field. Key Heading: In Sears List of Subject Headings, a set of subject headings and subdivisions for one term that may be applied to all terms of its type—e.g., using William Shakespeare as a key heading model for all authors. Keyword: A searchable word, such as a significant word in a title, summary, or one of the words in a multiword subject heading in the surrogate record. Linked Data: Based on the concept of using the Web to connect (or link) data that may not have been previously connected; underlies the concepts of BIBFRAME. See also BIBFRAME. MAchine Readable Cataloging. See MARC

Main Access Point: The element in the surrogate record that is defined as the first point for access to the record. Reminiscent of the main entry in the manual catalog system, it has little meaning in the MARC format except that it is defined as the place it occupies in the format (1XX or 245 fields); it has no meaning in RDA standards. Main Entry Card: The complete catalog record of an item, presented in the form by which the entity is to be uniformly identified and cited. The main entry may include the tracing(s). No longer in use, the elements are still evident in the MARC format. MARC: MAchine Readable Cataloging. A group of identifying codes used to communicate information about an information package using computers, originally developed by and for the catalogers at the Library of Congress, most current version is MARC21. Minimum Level Cataloging: Catalog records containing less information than the minimum required by currently accepted standard rules. Monograph: An information package published/produced in full within a finite time period; originally synonymous with the term “book,” may now refer to any finite information package. Notation: In a classification, the system of alpha or numeric symbols used to represent subjects. Notes: In the surrogate record, the area that includes either the physical description or intellectual content of the information package that is not explained elsewhere in the surrogate record. In the MARC format, it is recorded in the 5XX fields.

OCLC: Online Computer Library Center. Formerly the Ohio College Library Center; a bibliographic utility headquartered in Dublin, Ohio, which is responsible for the multinational database WorldCat. OLAC: Online Audiovisual Catalogers; an organization that provides guidelines for cataloging multimedia. Online Audiovisual Catalogers. See OLAC. OPAC: Online Public Access Catalog; the electronic form of the library catalog. Parallel Title: The title of an item in a language other than the primary language of the text. Physical Description: In the surrogate record, the area that includes a description of the information package itself rather than its intellectual content. Also the phrase used to refer to the description of the information package that includes all parts of the surrogate record except for subject headings and classification numbers. In the MARC format, it is recorded in the 3XX fields. Preferred Source of Information: Phrase used in RDA that refers to the priority order of sources on an information package from which to take data in creating a surrogate record. Publication, Distribution, Etc.: In the surrogate record, the area that includes a description of when, where, and by whom the information package was published. In the MARC format, it is recorded in the 260 field. Production, Publication, Distribution, Manufacture, and Copyright Notice: In the surrogate record, the area that includes the same information as the 260 field but is better designed to display and organize the publication

information; it is the preferred field to use under the RDA standards. In the MARC format, it is recorded in the 264 field. Qualifier: A word or phrase that removes ambiguity from an access point, usually given in parentheses, such as Cambridge (Eng.). RDA: Resource Description and Access. The cataloging standard that has replaced AACR, developed on the theoretical frameworks for FRBR and FRAD with a focus on making connections through the relationships between ideas and creators. Designed to be format and platform free, the standards are applicable to cataloging all types of information packages but is adaptable to ISBD and MARC requirements. See also FRBR; FRAD. Reference: A direction from one heading or entry to another. Resource Description and Access. See RDA. Serial: An information package published/produced in parts intended to go on without end; in successive parts bearing numeric or chronological designations and intended to be continued indefinitely Series: In the surrogate record, the area that describes the publication connection between the information package and the series; group of discrete items having, in addition to their own titles, a common title identifying them as parts of the series. In the MARC format, it is recorded in the 490/8XX fields. Shelflist: A catalog of items owned by a library, arranged by call number.

Standard Numbers: In the surrogate record, the area that includes internationally, nationally, or locally recognized numbers specific to the information package being described, most often associated with ISBN and ISSN. In the MARC format, it is recorded in the 02X fields. Statement of Responsibility: Part of the first area of description naming the creators with overall responsibility for the intellectual and creative content of the information package, usually recorded in the 1XX, 245, and 7XX fields. Subfield: Part of a field in the MARC format. Subject Heading: A word or phrase identifying the content or “aboutness” of an item being cataloged and used as an access point; a term from an authorized list of terms to be used as intellectual access points. In the MARC format, it is recorded in the 6XX fields. Surrogate Record: The result of taking physical and intellectual data about an information package and arranging that data according to standard cataloging rules (e.g., AACR, ISBD, or RDA); library databases are comprised of surrogate records. See also Bibliographic Record. Tag: The three-digit code identifying a line in the MARC format, also known as Field. Title & Statement of Responsibility: In the surrogate record, the area wherein the cataloger records the title proper, additional title information, and the statement of the person(s) or corporate body responsible for the intellectual and creative content of the information package. Corresponds to MARC fields 1XX, 24X, and 7XX. Title Proper: The main title of an item.

Trace or Tracing: Recording information in the surrogate record so that it will be indexed and retrieved by the automated system when a search is entered by the user; tracings in the surrogate record include, but are not limited to, creator, title, series, and subject. Uncontrolled Vocabulary: Indexing in which any terms, not just those on an authorized list, may be used for retrieval, such as a title keyword index. Uniform Title: A title used to collocate editions and versions of a work that appear under different titles proper. The uniform title assigned to an item may be the title by which it is commonly known, often used in identifying standard fairy tales or epic poems (e.g., Beowulf, not Adventures of Beowulf). In the MARC format, it is recorded in the 130 or 240 fields. Variable Field: A field in the MARC format containing data that is not limited in length and format. Vendor: The manufacturer, distributor and seller of a library automation system. Verso of the Title Page: The back of the title page. WEMI: Acronym referring to Work, Expression, Manifestation, and Item; the theoretical basis for bibliographic control defined in FRBR. See also FRBR. Z39.50 Protocol: A standard for information retrieval that makes it possible for any library that uses automated library systems conforming to the standard to tap into remote library collections or other libraries to tap into local collections.

Index

 

1XX fields (main access point), 117–118 02X fields (standard number, terms of availability), 130 3XX fields (equipment), 171 5XX fields (notes), 155–169 6XX fields (personal, place, genre), 34–35, 62–64, 171 7XX fields (added access point), 117–118, 167–168 008 fields (equipment), 170 010 fields (LCCN), 128, 175 020 fields (ISBN), 128–129 022 fields (ISSN), 172 040 fields (cataloguing source), 130–131 041 fields (language code), 131–133 043 fields (geographic area), 134–135 050 fields (LC classification), 135 082 fields (DDC call number), 135–136 082 fields (equipment), 170, 172 092 fields (call number), 172 110 fields (corporate names), 121–126 111 fields (meeting names), 124 130 fields (uniform title), 124 240 fields (uniform title), 124 245 fields (title, statement of responsibility), 104–114, 107f, 113f, 170, 172 246 fields (title, statement of responsibility), 104–105, 114–117 250 fields (edition statement), 136–138 260 fields (publication, distribution), 136–143 264 fields (publication, distribution), 136–143, 171 300 fields (physical description), 143–149 336 fields (content type), 149–150 337 fields (media type), 150 338 fields (carrier type), 150–151 490/8XX fields (series statement), 152–155 500 fields (general note), 166–168, 172 504 fields (bibliography, etc.), 165–166 505 fields (formatted contents), 164–165 508 fields (creation/production credits), 163–164 511 fields, (participant or performer), 162–163 520 fields (summary, etc.), 161–162, 172 521 notes (target audience), 159–161 526 notes (study program information), 158–159 538 notes (system requirements), 157–158 546 fields (language), 157

586 590 600 610 611 650 651 655 658 690 710 711

fields fields fields fields fields fields fields fields fields fields fields fields

(awards), 156–157 (local notes), 156 (personal names), 64–68 (corporate names), 72–73 (meeting names), 73–74 (topical headings), 68–70, 172 (geographic heading), 70–72 (genre headings), 74–75 (curriculum objectives), 75–77 (local headings), 77 (corporate names), 121–126 (meeting names), 124

aboutness, 78 Access Pennsylvania, 17–18 access points: comparing 100, 700 fields, 121; comparing 110, 710 fields, 124; for corporate names, 121–126; main and added, 117–118; past and present, 103–104; for personal names, 118–121; title, statement of responsibility as, 104–117 accompanying materials, cataloging, 147–149 ambiguous headings, 72 American Library Association (ALA), 4 American Standard Code for Information Interchange (ASCII), 24 Anglo-American Cataloguing Rules (AACR): on 260 fields, 141; on access points, 104; areas of description for, 37–38; on book editions, 174; overview of, 5–7; revisions to, 6–7 articles, ignored, 106, 114 authority, authority control, 56 authority record, 55f, 56 awards note field, 156–157 barcodes, 183–184 bibliographic fields, for MARC record, 29f Bibliographic Framework (BIBFRAME), 11, 180–182, 181f bibliographic record, 9, 12 bibliography, etc., field, 165–166 book fair editions, 174 Book Industry Standards and Communications (BISAC) Subject Headings List: beginnings of, 52; compared to Sears, LCSH, 52–54; list structure of, 61–62; for school libraries, 83; used in schools, 79 book list, 9–10 BookWhere, 19 call numbers, 99–100, 173, 184–185 card catalog, 10 Catalog Rules: Author and Title Entries, 4 Cataloger's Reference Shelf, 20 cataloging: beginnings of, 2–3; defined, 2; early standards for, 3–5; effects of metadata on, 180; future of, 179–182; importance of, responsibility for, 13–

14; objects (objectives) of, 3–4; references, citations in, 1. See also copy cataloging Cataloging Calculator, 20 Cataloging in Publication (CIP) program, 12, 16–17 Cataloging Rules and Principles, 4–5 Chan, Lois Mai, 3 classification: BISAC and Metis models for, 82–84; building number for, 88–93; call numbers for, 99–100; conundrums in, 94–97; of DDC15 in MARC format, 98; of equipment, 97; and information organization, 82. See also Dewey Decimal Classification (DDC) CLEVNET Consortium, 18 content, media, carrier type fields, 32–33, 149–151 controlled vocabulary, 46, 47 copy cataloging: help for, 20; need for, 15–16; programs for, 19; sources for, 17– 19; See also cataloging creation/production credits field, 163–164 curriculum objectives, 75–77 Cutter, Charles Ammi, 3 Cutter numbers, 20, 99–100 database(s), 16, 17–18, 55f Dewey, Melvil, 10, 84 Dewey Decimal Classification (DDC): applying, 86–88; biographies under, 94; building number with, 88–92, 101; children's fiction under, 82–83; fiction under, 95; folklore under, 95; graphic novels under, 96–97; hierarchical structure for, 91; historical background of, 84–86; non-book items in, 90, 92; number length, 92–93; rules for, 92; standard subdivisions for, 89f; standardizing catalogs, 10; story collections under, 96; See also classification direct order, 121 directory, for MARC record, 27 display (contents), 156 dissemination, 2 distribution, publication fields, 138–143 dummy placement, 186–187 EBSCO, 56 edition statement, 31, 136–138 electronic catalog, 10 equipment, cataloguing, 97, 170–172 exercises, 177 eXtensible Markup Language (XML), 180 folksonomies, 46–47 Follett MARC Resources, 20 formatted contents field, 164–165 Functional Requirement for Bibliographic Records (FRBR), 7–8, 180 Functional Requirements for Authority Data (FRAD), 7–8 general note field, 166–167 genre headings, 74–75 geographic headings, 70–72 Guideline on Subject Access to Individual Works of Fiction, 74

incipit, 3 indicators, in subfields, 62–66, 69–77, 98, 106–108 information, organization, dissemination of, 2 information packages: barcodes, 183–184; for multipart items, 186; pockets, due date slips, 185; property stamps, 185; shelf placement, 186–187; spine labels, call numbers, 184–185 integrated library systems (ILS), 24 intellectual access. See classification; subject headings International Federation of Library Associations and Institutions (IFLA), 5 International Standard Bibliographic Description (ISBD), 5, 38, 104 International Standard Book Number (ISBN), 128–129 intershelving, 186 Introduction to Cataloging and Classification, 3 inverted order, 121 Jewett, Charles C., 3, 9 Joint Steering Committee (JSC) for Revision of AACR, 6 jurisdiction order, 121 keywords, searching by, 46–49, 167 language note field, 157 LC/AC (Library of Congress Annotated Card Subject Headings), 51, 63–72 leader field, for MARC record, 26–27, 170 Lexile searching, 49–50 library, school, 2, 83, 100. See also Dewey Decimal Classification (DDC) Library of Congress Classification (LCC) scheme, 86 Library of Congress (LC): on BIBFRAME, 181–182; Cataloging in Publication (CIP) program, 12, 16–17; as database, 16–17; LC Cataloging Directorate, 20; LC Control Number (LCCN), 128; MARC for, 11; printed card service, 11–12; See also Library of Congress Subject Headings (LCSH) Library of Congress Subject Headings (LCSH): in 6XX fields, 62–68; in 650 fields, 68–69; in 651 fields, 70–71; basic structure of, 58; commonly used, 46; compared to Sears list, 52–54; electronic, 54–57, 55f, 56f; headings, subdivisions of, 59–61; historical background of, 50–51; used in schools, 79 LibraryThing website, 46–47 Link +, 18 List of Subject Headings for Use in Dictionary Catalogs (LSCH), 49, 65 literary warrant, 53 local headings, 77 local notes field, 156 Lubetzky, Seymour, 4–5 MAchine Readable Cataloging (MARC): 6XX fields, 34–35, 62–64; 245, 246 fields, 104–117; 600 fields, 64–68; access to, 17–18, 20; beginnings of, 11, 23; classification of DDC15 in, 98; death of, 179–180; differs from RDA, 129; example of record, 25; fields overview, 29–35; help, hints for, 40–43; ILS platforms for, 23–24; as metadata, 180; structure of, 24–29; writing, 20 MARC Magician/MARC Wizard, 19

meeting name headings, 73–74 metadata, 180 Metis system, 83–84, 83f, 84f, 100 Mitinet Library Services, 19 names, company, 115 names, corporate, 72–73, 121–126 names, meeting, 124 names, personal, 62, 64-68; 115–116, 118–121 National Information Standards Organization (NISO), 16 National Union Catalog (NUC), 12 notes fields, 33–34, 155–169 number and coded fields, 127; fields covered, 128; summary for, 135 OCLC, 20 OCLC/WorldCAT, 18 Online Public Access Catalog (OPAC) programs, 6, 11, 12–13 order, of fields, 121 Panizzi, Anthony, 3 Paris Principles, 5 participant, performer field, 162–163 periodicals, cataloguing, 172–173 physical characteristics fields, 149–151 physical description field, 32, 138-143; 143–149 programs, cataloging, 19 property stamps, 185 publication, distribution fields, 31-32; 138–143

RDA Toolkit, 8–9, 40 records, new, 174, 175–176 Resource Description and Access (RDA): on access points, 104–105; based on WEMI, 180; development of, 7–9; differs from MARC, 129; on fields 260, 264, 138–139; help, hints for, 40–43; subfields for, 107–109; and WEMI, 39–40 Rules for a Printed Dictionary Catalog (1876), 3 Sears, Minnie Earl, 51 Sears List of Subject Headings (Sears): advantages, disadvantages of, 57; basic structure of, 58; development of, 50–55; headings, subdivisions of, 59–61; matching DDC, 86; in school libraries, 46; used for MARC record, 63, 64–72; used in schools, 79 series statement fields, 33, 152–155 shelf placement, 186–187 signage, in libraries, 83, 100 source of information, 104 spine labels, 184–185 Standard Generalized Markup Language (SGML), 180 standard numbers, in MARC field, 34 study program information field, 158–159

Subject Authority Component of the Program for Cooperative Cataloging, 53 subject headings: adding new, 53; choosing number of, 77–78; comparison of lists for, 52–71; electronic, 54–57, 55f, 56f; historical background of, 50–52; lists of, 57 Subject Headings Used in the Dictionary Catalogues of the Library of Congress (1914), 51 subject string, 46, 50, 51 summary note field, 161–162 surrogate records: and copy cataloging, 15, 21; for equipment, 170–172; example of, 48f; for multipart items, 187; sharing, 11–12; types of, 9–10 symbols. See indicators, in subfields system requirements field, 157–158 target audience field, 159–161 Tennant, Roy, 179 Text Encoding Initiative Document Type Definitions (TEI DTD), 180 title, statement of responsibility: as Area 1 information, 104; for bilingual materials, 111–112, 114; field 245, 104–114; field 246, 104–105, 114–117; for MARC field, 30–31; for mixed media, 110–111; summary for, 125–126 topical headings, 68–70 uniform title, 124–125 union catalogs, 17–18 variable data fields, 136–169, 169 variable fields, for MARC record, 27–29, 28f Varying Form of Title field, 114 WebDewey, 86 work, expression, manifestation, item (WEMI), 7–9, 39–40, 180 work, instances, authorities, and annotations, 180 WorldCat, 18 Z39.50 protocol, 16

About the Author

 

ALLISON G. KAPLAN graduated from the University of California, Los Angeles (UCLA), with a Master of Arts in Dance and a Master’s of Library and Information Science in 1986; in 2006 she earned her doctorate in Educational Leadership from the University of Delaware. Allison’s interest in cataloging began at UCLA, where she was fortunate enough to learn cataloging theory and practice from Elaine Svenonius, Elizabeth Baughman, and Marcia Bates. Moving to Delaware in 1987, Allison began teaching cataloging to school librarians in 1990. Formerly the coordinator of the School Library Media Specialist program and assistant director of the Education Resource Center at the University of Delaware, Allison is now Faculty Associate in the School of Library and Information Studies at the University of Wisconsin–Madison, where she continues to teach cataloging along with courses in children’s literature and youth services. Throughout the years she has learned much from her students regarding the practice of cataloging while kids are climbing the bookshelves and asking for another book “just like this one.”