Penn State University Libraries - Referrals

I. General Information
    A. When to Make a Referral
    B. How to Make a Referral
    C. Routing
    D. Statistics
II. Types of Referrals
    A. Call Numbers
    B. Series
    C. Other

Although referrals can be made no matter what kind of copy is found, Copy Catalogers should update full or less than full copy that is usable as much as possible before referring an item. MLP records are not required for items lacking copy. Those items can be referred directly to the Original Catalogers. This includes items having only Acquisitions level order/mlp records with no real copy available. Foreign copy that has not been updated by another institution is to be used as a last resort and should always be referred.

Make referrals in the following situations:

• Call number problems
• Series problems
• Subject problems
• Note verification
• Access point verification
• Near copy updates
• Foreign copy only available
• No copy, original cataloging needed
• Questions

1. Indicate Reason for Referral on Accompanying Paperwork (i.e., flier, orf, etc.)

   At one time, specific codes were used to indicate the various types of referrals. These can still be used, or some abbreviated form of the referral category may be written for the referral.

   • Call Number referrals -- "C" or Call #, Call no., Call, etc.
   • Cutter referrals -- "C|b" or Cutter, Dup. call #, etc.
   • Series referrals -- "S" or Series, Ser., etc.
   • MLP items -- "MLP" or Acq MLP (if Acqusitions has input an Order level record)
   • No copy -- An Order level record may exist, but no copy is found
   • Other -- Near copy, Check access, UKM, Subj., etc.

   If writing a more detailed explanation for the referral, use the Special/Other Instructions box on fliers, or a blank area on other accompanying paperwork.

2. Record Status

   If the referral is made on a new title, the Date Cataloged in the Control window of the record should be kept at "NEVER." The person who receives the referral will change the status to "TODAY" once the referral has been addressed and the cataloging completed.

3. Multiple Referrals

   When a single item requires multiple referrals, indicate them all on the accompanying paperwork. When several items require the same referral, they may be banded together.

Referrals may be placed on the general "Referrals" shelf from which they will be sorted, or, if the subject category of the items can be determined, placed onto the appropriate original cataloger's referral shelf. See Subject Specialists to help determine which original cataloger should get the referral.

When creating a Cataloging level MLP record or updating an Acquisitions level MLP record to Cataloging level before making a referral, take one MLP and one New Title statistic.

When upgrading an MLP record using copy, only take one Copy statistic, unless it was an Acquisitions level MLP record, in which case you would also take a New Title statistic.

When upgrading an MLP record by doing original cataloging, only take one Original statistic, unless it was an Acquisitions level MLP record, in which case you would also take a New Title statistic.

1. No record in The Cat and Unacceptable or No copy available

   If a Copy Cataloger enters a Cataloging level MLP record, which is no longer required, before making the referral, the Copy Cataloger will take an MLP and New Title statistic. The Original Cataloger who upgrades the Cataloging level MLP record will take an Original statistic.

2. Acq MLP record in The Cat and Unacceptable or No copy available

   If a Copy Cataloger updates an Acq level MLP record to a Cataloging level MLP record before referring, the Copy Cataloger will take an MLP and New Title statistic. The Original Cataloger who upgrades the Cataloging level MLP record will take an Original statistic.

3. Incomplete copy available

   AACR2 or Pre-AACR2 copy lacking either LC classification or subject headings may still be used and updated as much as possible by Copy Catalogers before referring. When that is the case, the Copy Cataloger will take one Copy and one New Title statistic.

4. Full copy available

   When a referral is made on full copy that has been used to create/update a record by a Copy Cataloger, the Copy Cataloger will take one Copy and one New Title statistic.

   See also Policy on Acceptance of Copy and Statistics Instructions.

See also Classification.

1. No Call Number on Copy

   When no call number is available and a Call number referral (C) is made, retain the system generated call number in the Call number box of the Vol/Copy window if one exists. If it doesn't, and you cannot make the sytem supply one, type "Referral" in the Call number box, or, optionally, use the barcode number for the item, which should always be unique.

   Typing the word "Referral" in the Call number box may generate an error message saying that the call number is already in use if no copy record exists and another unresolved Call number referral using "Referral" is in the system. When that is the case, adding a copy record should prevent the error message from occurring.

2. Class Together Call Number

   Follow LC practice for class together call numbers when they are new to The Cat. When non-LC copy has a class together number that has not been established in The Cat, make a Call number referral (C).

   Original catalogers establishing new series will use classed separately numbers unless otherwise indicated by a selector. See also Series Referral.

3. Dup Call Number/Cutter Problem
   
   
   1. Duplicate call number

      Duplicate call numbers can usually be resolved by re-Cuttering (see the Cutter Training Document), but a Dup call number referral (C|b) may always be made when there is doubt. It is not necessary to change the duplicate call number to "Referral," but the Date Cataloged should remain "NEVER" until the referral is resolved.

   2. Cutter Problem

      Again, most Cuttering problems can be resolved by the Copy Cataloger, but a Cutter referral (C|b) is appropriate if questions arise.

4. Edition Call Number Available

   Edition call numbers can be used when adding a new record to The Cat without making a referral. This assumes that the Main entry and title are identical in both editions, and that the subject entries (for non-literary items) are also identical in both editions. If either of these conditions is not met, retain the system generated call number, if available, or type "Referral" in the Call number box, and refer.

   This referral is also applicable when processing an item with copy only for a translation, or any time there are uncertainties about the edition call number.

See Series Policy in Field-by-Field Guidelines.

1. MLP Item Needs Full Cataloging

   Refer all items lacking copy to the Original Catalogers.

2. Subject Headings Needed

   When copy lacks a usable subject heading for a non-literary item, refer it. See Subject Heading Treatment. When both a call number and a subject heading are lacking, copy should be rejected and an MLP or No copy referral made.

3. Note Needs To Be Created/Checked

   For a description of notes requiring a referral, see 5XX.

4. Access Point Problem

   An access point that is changed or added without being checked against LCAF should be referred for verification.

5. Other

   Make a referral for any questions or problems that do not fit into the other referral categories.