General Information: Monographs and Non-book items

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).

Three Ways of Processing Surrogates:

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.

The instructions in this manual 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.

When you complete the CRC or write the information on the surrogate, 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.

Even if you send complete and correct information, and especially if you don't, 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.

Return to top of page

Filling in the CRC Form, or Annotating the Surrogate

Chief Source of information

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.

Books
The chief source is the title page. When the title page contains incomplete information or is absent, use its verso (back of the title page), an added title page (with series or in a foreign language), cover or spine. For a foreign book, information may also appear in a colophon on a back page.

Please note that geographical atlases are cartographic material. See below.

Sets
Take the information from the first volume or earliest volume in hand. Use the same chief source of information that you would use for a single item of that type of material (e.g., book, score, etc.).

Cartographic Material (Atlases and Maps)
Atlases: Chief source of information is the title page. When the title page contains incomplete information or is absent, use its verso, an added title page, cover, or spine. Include scale statement if only one or two scales are used for the entire atlas (e.g., 1:50,000 and 1:100,000).

Maps: Chief source of information will vary and may be scattered throughout the map. Include publisher and author information from item. Include scale statement (e.g., 1:25,000 or 1 in. = 12 miles).

Maps may be requested as necessary. If so, send the map(s) to:

Cataloging/Maps
126 Paterno Library
University Park, PA 16802-1808.

Computer files
Use the title screen, if any, the main menu, or program statements. Printouts of these screens are used as surrogates. If you cannot access the software itself, consider the labels on the physical carrier, plus publication information from accompanying documentation, and the external container to be the chief source.

Films and videorecordings
Use the following as the chief source of information and in this order of preference:

1. The title frame of the item(s) itself.
2. The label on the container, or cassette housing, or any external container available.
3. When information is not available from these, use accompanying textual material, containers that are not integral parts of the material, or any other available source as the chief source.

Graphic material (art prints, charts, filmstrips, photographs, posters, slides, wall charts, etc.)
Use the title on the item itself, including any labels that are permanently affixed to the item or container that is an integral part of the item. Otherwise, use the container box or accompanying textual material (manuals) or any other available sources.

Microforms
Make a distinction between the original publication and the microform. Information concerning the original (hard copy) publication should be taken from the title frames viewed from the fiche. Information concerning the micro-reproduction (the place, agent, and date of reproduction) is usually found on the header, or on frames preceding the title page.

Music scores
Prefer the title page, or the first page of music. Otherwise, choose the title page verso, caption, cover, colophon, any other preliminaries or sources available.

Sound discs
Use the disc label (both sides); otherwise, use the container (cover or box); for a compact disc it is the disc (one side), otherwise, the container, front and back, or the booklet within the container; for a sound cassette it is the label(s) affixed to the cassette housing. The information most needed from the container is a collective title (if any) and production or publication information (place, agent and date of publication); include a list of contents from the container only if the contents are not given on the disc/cassette labels.

Return to top of page

What to include

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.

Campus
Include the name of your campus.

When a surrogate(s) is received without the campus name and cannot be identified from other clues, a global message will be sent to the campuses via e-mail with a brief description of the item. If the surrogate is not claimed within two weeks from the date of the message, the surrogate will be discarded.

Date Sent
The date that you completed the information or sent the surrogate to UP.

Title (Optional)
Record the title from the title page or chief source of information. When the title appears differently on different parts of the item, use the one that seems most prominent to you, but make sure to photocopy all of the variant forms of the title.

Author (Optional)
Take the author from the title page or chief source of information. The author can be a person or a corporate body/conference name. For scores and music sound recordings, the author is the composer. If there are several persons or corporate bodies, use only the first on your form, but make sure that the others appear on the photocopies.

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 this instruction, with the class together call number if known, in the Special Instructions section.

Publisher (Optional)
Take the publisher from the title page or chief source of information. If there appear to be several publishers, add the first one to the form and photocopy the rest. If you are in doubt about who the publisher is, that section of the form may be left blank, but photocopy everything you think might be publisher information.

Year of Publication (Optional)
If there are several dates on the item, use the most obvious one, or the most recent one, and photocopy the rest. Important: If there is no date on the item, state "n.d." or "no date" in this area so that the cataloger will know that this information was not overlooked.

Special note for sound recordings: If a date can be found on the item preceded by the letter "P", that is the preferred date to be given on the order form and to be photocopied. Transcribe as, e.g., p1990.

Edition statement
This should be identified clearly on the item, but if there is doubt, photocopy the possible alternatives. For computer disks, give "Version" or "Release" number here.

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

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

Atlases: measure the height in centimeters, always rounding up; if the width is as great or greater than the height, record that next: e.g., 24 x 28 cm. = 24 cm. high and 28 cm. wide. Note the presence of illustrations as "ill." or "col. ill." Note presence of "map" or "col. maps."

Books: measure the height in centimeters, always rounding up; if the width is as great or greater than the height, record that next: e.g., 24 x 28 cm.= 24 cm. high and 28 cm. wide. Note the presence of illustrations as "ill." or "col. ill.

Maps: measure the dimensions of the map as read in centimeters: e.g., 56 x 82 cm. = 56 vertical and 82 horizontal (map read top to bottom). Include dimensions of entire map sheet if significantly different than map on it: e.g., 56 x 82 cm. on sheet 86 x 112 cm. Include scale statement.

Sound recordings: give the type (compact disc (CD), sound disc, cassette or tape reel), playing time, speed, sound characteristics, e.g.: (1 hr., 6 min.), 33 1/3 rpm, stereo (for disc); or (45 min.) 1 7/8 ips (for cassette). Give the diameter of a disc in inches.

NOTE:

Most sound discs (LPs) are 12 inches in diameter
CDs are 4 3/4 or 5 inches in diameter. Do not include speed for CDs.

Films and videorecordings: note sound and color characteristics:

sd. (for sound), or si. (for silent)

b&w (black & white), or col. (for color)-(possibly both)

Films: also give the size:

16 mm.,

super8

Videorecordings: note whether the item is a videodisc, DVD, cassette, or reel; give width of the reel tape in inches; note type of playing equipment required: VHS; U-matic, Beta.

NOTE:

Videodiscs are 12 inches in diameter
DVDs are 4 3/4 inches in diameter
VHS and Beta widths are 1/2 inches
U-Matic width is 3/4 inches

Computer disks: give the diameter of the disk in inches; note system requirements, i.e., the computer on which the file runs, plus any additional requirements such as storage space or operating system. Photocopy any sections in the manual that give system requirements.

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.

LC Card No., i.e., LC Control Number (Optional)
If the LC control number or ISSN/ISBN numbers are available, record them. If more room is needed, place information in special instructions.

Location
When the item is for your Reference collection, write "Ref." at the top of the call no. box and/or check the Ref. box.

If the item will be shelved in a special collection for which the campus has an assigned code, include it (see the Location/Marking Description List). Cataloging writes the call number in this area, so be sure to leave space for it. Do not use staples in this area.

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.)

Return to top of page

Making the Surrogate

Photocopy the book cover or the container if there is no title page proper or logical substitute, and 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.

If any portion of the information asked for on the CRC Form cannot be photocopied legibly (as the labels of sound recordings occasionally will not), please write in this information and note where the information was found.

It is generally of no use to Cataloging to 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.

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.

Return to top of page

Accompanying material

• 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. Ifyou 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 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.

Return to top of page

Labels

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.

Return to top of page

Second Requests

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 the order form to be returned with labels, card and pocket. 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.

When you want to know what has happened to your request, first check The CAT. If you find an MLP or incomplete record with your location on it, you know that your request was received and is somewhere in the process of being completed, especially if the Home Location is reading INPROCESS. If the request is less than six months old, it probably will not be helpful to send a second request.

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 that should not be replaced.

Return to top of page