Penn State University Libraries - Surrogate Processing

Items acquired directly by the campus are cataloged from photocopies of the title page and its verso (or their equivalent for non-book material) rather than having the item shipped to UP for processing. This is called "surrogate cataloging" because the photocopies act as a surrogate for the item. The exception to this is any item falling into the "added locations" category. Added location items may be processed by trained campus staff.

There are two kinds of surrogates. One is for items ordered and received at your location (rush campus ship orders and source orders). The other is for gifts and other older uncataloged material.

Mail surrogates to:

Cataloging/Monographs Team
(Surrogates)
126 Paterno Library
University Park, PA 16802-1808

Do not mail surrogates to any one person in particular. Mailing them to the Cataloging Monographs Team will ensure that they are filtered into the surrogate workflow right away.

The workflow is as follows: Incoming surrogates are sorted initially by a designated Monographs Team member, who distributes them to other Team members by assigned campus location, or to other Cataloging Teams based on format (e.g., video surrogates go to the Music/AV Team, serials go to the Serials Team).

Exception: Serials surrogates may be mailed directly to the Serials Cataloging Team

Serials Cataloging Team
126 Paterno Library

Even if you send complete and correct information, there may be cases when catalogers need additional information. In such a case, Cataloging staff will request further information by e-mail or phone. Catalogers will request an item itself be sent to University Park when it requires original cataloging.

Caution:

• Do not send the item unless specifically requested to do so. Exception: Do not send surrogates for maps. Instead, send the maps.
  
• Note funding information on surrogates for purchased items.
  
• Use a CRC Form with a surrogate for a non-purchased item, or write the information that would normally appear on the CRC Form directly onto the surrogate.
  
• Do not send a separate CCL Label Request with a surrogate. Labels will automatically be produced for each surrogate title cataloged.

Monographs

• Photocopy the book cover or the container if there is no title page or logical substitute.
• Photocopy the spine, container or cover when they supply a varying title, or other important information not supplied elsewhere.
• When sending photocopies of both cover and title page/verso, indicate on each photocopy what it is.
• Write information on the CRC Form that cannot be legibly photocopied and note where the information was found.
• Do not send photocopies of a Table of Contents or other prefatory material unless it is to indicate a publication date, or an edition/revision statement not found elsewhere on the item.

Serials/Periodicals

• Make a surrogate for each title.
• Any title change or change in numbering requires a separate surrogate.
• Choose the first or earliest issue available to you.
• Photocopy the title page or title page substitute (cover, caption, masthead, editorial page, colophon, contents page). Be sure to photocopy all information pertinent to describing the item bibliographically, (i.e., title, statement of responsibility, publisher, information indicating related publications, date and volume numbering).
• If you have a publisher's blurb or an advertisement that gives information about the title that would be helpful to the cataloger, either send it or photocopy it as well.
• If the item requires original cataloging, the cataloger may request additional information.

Computer files

• If the title screen or main menu is used as the chief source of information, supply a printout of this information to use as a surrogate. Also photocopy information for the accompanying material (e.g., accompanying manuals.)

Maps

• Do not make surrogates for maps. Instead, send them to the Maps Team:
  
  Cataloging/Maps
  126 Paterno Library
  University Park, PA 16802-1808

Other non-book material

• Sometimes it is impossible to make a photocopy of the chief source (e.g., films, videorecordings). If possible, transcribe important information, including dates, and photocopy container labels.

Some of the following information is optional for the CRC Form since it should be apparent on the photocopies of the chief sources of information that are supplied. However, if the information is not supplied on the photocopies, include it on the form or surrogate.

1. Complete a Campus Request for Cataloging Form (CRC) and attach it to the surrogate.
2. Instead of filling out the CRC Form, write the information required on the CRC directly onto the surrogate instead. Do not send a CRC Form with the surrogate.
3. Optionally, request training for Added Locations.

These instructions are geared toward filling out the CRC Form. If you choose to write the information directly onto the surrogate, apply the instructions to that method.

Take the information directly from the item itself, not from an existing CAT record. This insures that the campus' holdings will be added to the appropriate record.

Detailed Instructions for Specific Sections of CRC Form

Series

When a series appears on the item, the preferred source from which to take the series statement is the series title page, a separate page usually appearing before the title page proper. The series title may also appear on the title page, its verso, or on the dust jacket. If the series is being classed together for your location, add that information with the class together call number, if known, in the Special Instructions section.

Serial/periodical titles normally are not part of other series. Leave blank unless you can identify a series present in the supporting documentation. If an apparent series title appears and you are unsure, include this information in your surrogate documentation.

Pages, or, Physical Extent of Item

First, identify the type of material (book, score, etc.), then record the physical extent of the item:

• the number of pages in a book (give the last numbered page in the book-if that number does not give an accurate indication of the extent of the book, add a note: e.g., 25 p. plus about 75 pages/leaves of plates)
• the number of physical volumes being added to a set (Note: For multipart items, the physical volumes may or may not correspond directly with the number of bibliographic volumes)
• the number of sound discs or cassettes (for recordings) and in how many containers
• the number of slides and in how many containers
• the number of computer disks and number and type of containers
• the number of videocassettes

Size, or, Dimensions of Item

Record the dimensions and any other important physical characteristics of the item.

No. of Copies

If you have several identical copies of the same item which you are adding to your collection, note the total number of copies. Do not give the number of copies in the "No. of Volumes" area. If a copy of the item has already been cataloged for your location, note that the surrogate item is to be added as a second (third, etc.) copy, otherwise, the cataloger will have to contact you to find out if it is an unwanted duplicate, a surrogate mistake, or a surrogate for a second copy.

No. of Volumes

Record here the bibliographic volume numbers. (see Glossary of Terms and Acronyms), i.e., the volume numbers as you want them to appear on your labels, including the volume designator(s). For a two volume item issued in one physical volume, the bibliographic volume numbering would be v. 1-2, whereas two separate volumes would be indicated as v. 1, v. 2. For non-book items, record the number of containers, if more than one, i.e., the number of pieces you will need labels for: cs. 1, cs. 2; pt. 1, pt. 2; text [and] disk. This area will be blank for items not comprised of volumes or parts.

No. of Copies/Volumes for Serials and Periodicals

In order to set up your MARC holdings accurately, use this area to list holdings as they are to be displayed in The CAT. It is important to clearly indicate what volumes and issues you have, leaving gaps when your holdings are incomplete.

If you have a standing order, tell us the starting volume and date of your holdings and write "to date" at the end:

2007-To Date
v.29 no.3 1998-To Date
3rd ed. 2000-To Date
v.1,no.1-4, 1928; v.1,no.8-12, 1928; v.3, 1930

If you plan to keep latest edition only (or latest 2 years only, current 6 months, etc.), let us know this. Just note:

Current Edition only
Current 2 Years only
Current 6 Months only

If you plan to keep the most recent edition in your reference section and move previous editions to the stacks so that they can circulate, make a note that says:

Latest in Reference

If you notice changes in a title or a change of numbering and you are sending separate surrogates and CRC forms to document the change, be sure to show the holdings separately for each title.

Special Instructions

The special instructions area is to be used for all additional information. You may attach a note if more space is needed. Additional information may include:

• a request to classify with another edition, or in an alternative subject area, or to classify together with series.
• the presence of a bibliography, discography, filmography and/or index.
• the presence of accompanying material: guides, documentation (for non-books), a sound disc, computer disk, map, set of plates, etc. Include number of items.
• a request to supply a traced series for "Pennsylvania writers collection."

In the case of a microform reproduction, supply information for the original publication in the usual areas; supply information applying only to the microreproduction as special instructions (i.e., transcribe the type and number of microforms, plus the place, agent, and date of reproduction).

Every type of material has a "chief source" of information where Cataloging looks for the primary information that is used to create the bibliographic record.

• Provide surrogates for all accompanying materials. Follow instructions on what to photocopy from the accompanying material as outlined for the specific type of material above. Indicate on the photocopy that it is accompanying material.
  
  
• Indicate whether the accompanying material is in a pocket of the book, or laid in a container, or if it will shelve separately. If you want it to shelve separately from the main piece, indicate how you want the label(s) to read. Cataloging will supply a generic term which best describes the item that will be added to the call number for separately shelved accompanying material unless you specify something else.

  For example:
  + 1 computer disk + 1 guide + 2 manuals

• Fill out the CRC or annotate the surrogate with information for the principle item. In the case of a non-book item plus printed matter, it is usually, but not always, the non-book item which is cataloged and the printed matter which is considered accompanying material. The printed material will usually give some indication of the relationship between the two; this will help you to decide, and it is helpful to us, as well, to see a photocopy of such a statement. When printed material accompanies a non-book item, indicate this on the CRC or surrogate.

Labels are automatically produced for surrogates and do not need separate label requests. All new titles not received directly at University Park should be submitted as surrogates (optionally, request training for Added Locations). This process automatically includes the appropriate labels and card sets.

In spite of efforts to process your requests promptly and efficiently, it does happen that a campus may send a request for surrogate processing and still be waiting several months later for labels. There may be several explanations for this situation, the most frequent being that someone in Cataloging Services requested further information, delaying the cataloging process, or that the item needed to be referred to a subject specialist for original cataloging. We regret the inconvenience this causes the campus.

• If it has been six months or more since the original request was submitted and you find no record in The CAT for your item, or the record is in The CAT but your location is not yet listed, then you should send a copy of the request, marked "2nd request," plus another surrogate of the item. This will alert processors to give priority status to the request.
  
  
• If you find your location on a fully cataloged CAT record (i.e., the record displays LC classification and subject headings) and your request was dated six months or more ago, check the CAT record to see if it does, in fact, accurately represent your item. If it does, send a CCL Label Request and note "Labels were never received and the barcode must be replaced". Please note, however, if you had supplied your own barcode it does not need to be replaced.