DRAFT, 12/1/1998

APPENDIX J

COLLECTION-LEVEL CATALOGING

Contents

Introduction

J1. Selection

J2. Arrangement
J2.1. Organized at time of receipt
J2.2. Not organized at time of receipt
J2.3. Materials originally intended for item-level treatment
J3. Description
J3.1. Finding aids

J4. Cataloging
J4.1. Elements
J4.1.1. Title
J4.1.2. Distribution, release, broadcast
J4.1.3. Physical description
J4.1.4. Organization and arrangement of materials field
J4.1.5. Notes
J4.1.5.1. Contents
J4.1.5.2. Restrictions on access
J4.1.5.3. Summary
J4.1.5.4. Preferred citation of described materials
J4.1.5.5. Terms governing use and reproduction
J4.1.5.6. Location of associated archival materials
J4.1.5.7. Biographical/Historical
J4.1.5.8. Cumulative index/Finding aids
J4.1.5.9. Provenance
J4.1.5.10. Linking entry complexity

J5. Subject headings

J6. Added entry headings
J6.1. Location
J6.2. Electronic location and access of finding aids

J7. Cataloging divided into more than one record
J7.1. Title
J7.2. Distribution, release, broadcast
J7.3. Physical description
J7.4. Notes
J7.4.1. Contents

Introduction

Collection-level cataloging involves the creation of a single bibliographic record for a group of monographic, serial, or archival materials. Collection-level cataloging draws from long traditions both of bibliographic cataloging and archival processing for complex collections of historical materials. Collection-level cataloging for the latter takes advantage of the natural relationships which exist among the items within the collection and recognizes the importance of capturing these relationships in the bibliographic record.

This appendix is divided into three sections: Selection, Arrangement and Description, and Cataloging. The first section, Selection, describes the types of materials that are candidates for collection-level cataloging. The second section, Arrangement and description, provides guidelines for organizing and processing collections. The third section, Cataloging, describes characteristics of collection-level records, stating requirements and pointing out alternatives.

Arrangement and description are terms used to describe various types of processing activities which bring order and control to collections of materials. They commonly involve the physical handling, sorting and listing of materials.

This appendix is an adaptation of the Library of Congress Descriptive Cataloging Manual, C14: Collection Level Cataloging.

J1. Selection

Collections normally fall into one of three basic categories:

a) groups of items that come to the archive already well organized by a previous owner;
b) groups of items that come from a single source, but with minimal or no previous organization;
c) groups of items that are assembled into collections for the purposes of technical processing and storage; such collections are often termed "artificial."

All three types of collections share certain factors in common. All are represented by bibliographic records which describe groups of materials rather than items, and all tend to be organized around similar unifying factors. Such factors may include:

a) personal author;
b) issuing body;
c) form or genre;
d) subject;
e) language or nationality;
f) provenance (source).

J2. Arrangement

Arrangement is the process of sorting individual items into meaningful groups and of placing those groups into meaningful relationships with each other. Materials can be arranged in many logical ways, and the "look" or design of the arrangement which will reflect that arrangement should be determined by examining the material to consider the types of access most likely to serve the needs of researchers and other potential users. Individual collections will require differing levels and methods of arrangement. For these reasons, decisions about arrangement must be made on a collection-by-collection basis.

J2.1. Organized at time of receipt

For collections that come to the archive already well organized, every effort should be made to maintain this order. Maintaining the order of collections tells something about the previous owner(s) of the materials. In certain instances, this principle must be modified, as, for example, where preservation and storage factors may mitigate against the maintenance of original physical order.

J2.2. Not organized at time of receipt

Collections that come to the archive lacking any recognizable order must be examined, sorted, and arranged in some fashion prior to cataloging. Customary types of arrangement include:

1) by source or provenance;
2) by content or topic;
3) by date of item or group, i.e., in chronological order;
4) in alphabetical order.

Collections consisting of large numbers of individual items are normally divided into ranges of hierarchical groupings commonly referred to as record groups, series, file units, and documents. Additional guidance in these matters may be found in Arranging and Describing Archives and Manuscripts by Fredric M. Miller.

J2.3. Materials originally intended for item-level treatment

Materials originally acquired for item-level treatment that are designated for artificial collections (see J1, c) also need to be examined, sorted and arranged before bibliographic records are created. The sorting and weeding process is especially important for these materials.

J3. Description

Description is the process of organizing and recording the information about collections that was gathered during the sorting and arranging stages. For extensive collections, finding aids are compiled to provide researchers with a level of detail well beyond that available through the catalog record.

For collections with a small number of items, the entire description of a collection may be accomplished within the framework of a bibliographic record. In many cases, finding aids are appropriate to extensive collections with large numbers of items.

J3.1. Finding aids

Finding aids vary widely in format, style and complexity. Commonly, they consist of two parts. The first is a narrative introduction which contains: (1) biographical sketches or agency histories, etc.; (2) collection descriptions highlighting strengths, gaps, weaknesses, and characterizing its extent and depth; and (3) information concerning restrictions on access and use. The second part, listings of the items or groups of items contained in the collection, occupies the major portion of finding aids. For collections arranged hierarchically, the listings may stop at a more generalized level, e.g., series, or may extend down to the container or item level.

More detailed information about preparing finding aids may be found in such works as Arranging and Describing Archives and Manuscripts by Fredric M. Miller, and in Administration of Photographic Collections by Mary L. Ritzenthaler, Gerald J. Munoff, and Margery S. Long.

Currently work is underway at a national level to prepare standards for accessing and sharing finding aids online, for example, through the Internet, using an SGML (Standard Generalized Markup Language), document-type definition called Encoded Archival Description (EAD).

J4. Cataloging

J4.1. Elements

Specialized practices for collection-level cataloging are arranged element by element according to field number. Fields for which no special collection-level instructions are required are not listed here. Other fields than those listed here may be used on collection-level cataloging records by following normal MARC guidelines.

J4.1.1. Title

When material incorporated into collection-level cataloging records has diverse authorship, collection-level records are entered under title main entry. The title of each record is constructed by the cataloger. Titles should generally be in English with an attempt to make them both descriptive and distinctive, highlighting the factor(s) which hold the collection together.

Consistency in title construction within major collections is another desirable feature. Types of data appropriate for such supplied title statements may include:

1) name of collection (for previously named collections);
2) name of creator, creating body, collector or source (provenance);
3) languages;
4) geographic locations;
5) genre or form;
6) principal subjects--persons, events, topics, activities, objects, and dates of subject coverage.

245 00 $a [Footage of peace rallies and marches in the 1970s]. 245 05 $a [The Edward W. Brooke Collection of film and video materials relating to his political career, 1963-1978].

When a record is likely to exceed system limitations for contents notes (see J4.1.5.1.), consider the best means of representing the collection to get around these limitations. This may be accomplished by further refining the nature of the collection by dividing it into parts that can each be represented in a single record, or simply by dividing the cataloging for the collections into more than one record. See J7.

	        245 00 $a [Universal Collection. p Features, 1929-1952].

		245 00 $a [Universal Collection. p Shorts, 1929-1952].

J4.1.2. Distribution, release, broadcast

All three elements of this area may be included in collection-level records if appropriate. In most cases, however, owing to the diversity of the material incorporated, only the date element will be recorded.

		260 ## $c 1958.

		260 ## $c 1980-1984.

		260 ## $c 1899-1917, bulk 1909-1915.

J4.1.3. Physical description

The extent of the collection is given by counting the number of items it contains. A separate physical description statement is provided for each format represented in the collection.

		245 00 $a [Charles Webster Hawthorne Collection of home movies of
                          Princeton University campus life, 1929-1933]. 
		300 ## $a 7 videocassettes : $b si., b&w ; $c 3/4 in. viewing
                          copy.
		300 ## $a 7 videocassettes : $b si., b&w ; $c 3/4 in. master.
		300 ## $a 22 reels : b si., b&w ; c 16 mm. arch pos. 

J4.1.4. Organization and arrangement of materials field

Details about the organization and arrangement of a collection, such as the way in which materials are subdivided into smaller units, may be given in this field.

		351 ## $a There are between 5 and 12 separate rolls of film in
                          each film can; each roll is labeled with the brand name
                          and title.

J4.1.5. Notes

Special notes may relate to provenance, collection arrangements and complexities, restrictions and access, finding aids, scope, and content. Description of content is accomplished both through the use of notes, particularly the contents note and the summary note and through the preparation of separate finding aids (see J3.1). Only those notes with a special relevance to collection-level cataloging are listed in these guidelines. All are optional and catalogers should use judgment in determining their importance and applicability to specific collections.

J4.1.5.1. Contents note

Formatted contents notes provide a structured method of recording item-level information within a collection-level cataloging record. Elements that may be incorporated into contents notes for collection-level cataloging include title, statement of responsibility, version, edition, distribution, release, broadcast information, etc. When additional materials are added to a collection, the cataloger extends the contents note to incorporate the new materials. For collections of materials that lack routine bibliographic indicia, the more narrative summary note may be preferred. See J4.1.5.3.

		505 0# $a [1] The spider and the fly / Walt Disney Productions ;
                          1938 ; MP2892 -- [2] Peculia penguins / Walt Disney
                          Productions ; 1934 ; MP4963 -- [3] Elmer Elephant /
                          Walt Disney Productions ; 1936 ; MP6355 .... 

For large collections, extensive contents notes may sometimes be required. In such cases, it is advisable to record items in some recognizable order, such as alphabetically by title, or chronologically by date of distribution, release, broadcast.

If the collection requires an excessive number of contents notes, separate bibliographic records must be created. This may be accomplished by further refining the nature of the collection by dividing it into parts that can each be represented in a single record, or simply by representing the collection in more than one bibliographic record. See J7.

		245 00 $a [Women's rights films. n Record 1 of 2].
		505 0# $a [1] American experience. Ida B. Wells--a passion for
                          justice / William Greaves Productions, Inc. ; 1989 ; 1
                          videocassette of 1 ; 3/4 in. viewing copy -- [2]
                          [Franchise parade, Tarrytown, N.Y.] / Thomas A. Edison,
                          Inc. ; 1915 ; 1 reel of 1 ; 16 mm. ref print ....

		245 00 $a [Women's rights films. n Record 2 of 2].
		505 0# $a [21] National Women's Party--Washington activities /
                          [production company unknown] ; 194? ; 1 videocassette ;
                          3/4 in. viewing copy .... 

J4.1.5.2. Restrictions on access

When access to a collection or a portion thereof is restricted, construct a note to explain the nature and extent of the restrictions. For restrictions upon copying and use of all or portions of collections, see J4.1.5.5.

		506 ## $a Restricted access; $c written permission required; $b
                          donor.

J4.1.5.3. Summary

Summary notes may be used either in addition to or as a replacement for a 505 contents note. Summary notes are narrative, free-text form, and are normally used to provide information about the scope and contents of collections. Types of information to be recorded in summary notes may include: types and forms of materials, their arrangement, dates of subject coverage, and the most significant topics, persons, places, or events. Frequently, summary notes replace 505 contents notes when a decision has been made to prepare separate finding aids for specific collections. Reasons for such a decision include the large size or complexity of hierarchical relationships within a given collection.

		245 05 $a [The Lawrence F. Karr Collection of television
                          commercials of the 1960s and early 1970s.
                520 ## $a This collection consists of 1,928 commercials produced
                          during the 1960s and early 1970s. In addition, there
                          are 175 duplicate copies. The commercial products
                          advertised include items such as food for human
                          consumption, dog food, automobiles, cigarettes,
                          products for indoor and outdoor use, entertainment
                          products, and various services. Companies represented
                          include Colgate-Palmolive, Cambell's, Chevrolet, and
                          General Foods. These commercials were broadcast on
                          WJAR-TV, Channel 10, the NBC affiliate in the
                          Providence, Rhode Island area.
		520 ## $a Continued: The commercials are of various running
                          times: 10, 20, 30, 40, 50, and 60 seconds. The majority
                          are either 30 or 60 seconds. Most are in color, but
                          many are in black and white. Many of the color films
                          are faded. Almost all have sound, but some sound tracks
                          are damaged. A few are incomplete. All are 16 mm. ref
                          prints. Most are live action, but some are part live
                          action and part animation and some are completely
                          animation.

If a finding aid is available, a note to that effect should appear either in a cumulative index/finding aids note (see J4.1.5.8.), or, if preferred, in a general note.

J4.1.5.4. Preferred citation of described materials

This note field is used to provide a specific format preferred for citing the collection being described.

		524 ## $a Library of Congress, Motion Picture, Broadcasting and
                          Recorded Sound Division.

J4.1.5.5. Terms governing use and reproduction

In contrast to the restrictions on access note, this field explains restrictions on the further use of materials once access has been granted. This may include restrictions on reproducing, exhibiting or quoting.

		540 ## $a Restricted; information about rights of reproduction
                          available from Library of Congress, Motion Picture,
                          Broadcasting and Recorded Sound Division, Public
                          Services Office.

J4.1.5.6. Location of associated materials

This field may be used to provide the name and address of institutions holding materials bearing a significant relationship to the materials being described. It may also indicate additional locations of materials forming part of the collection within the archive.

		544 ## $a The papers of Edward W. Brooke are serviced in the
                          Manuscript Division of the Library of Congress (see
                          bibliographic record mm81-58347) and the audio
                          materials in this collection are serviced in the
                          Recorded Reference Center of the Motion Picture,
                          Broadcasting and Recorded Sound Division.

J4.1.5.7. Biographical/Historical

This field may be used to provide biographical information about an individual or historical information about an institution or event who or which is the main subject or topic or donor of the collection.

		545 ## $a Primarily known as a music and dance critic and
                          novelist, Van Vechten gained a reputation as a
                          theatrical and society photographer. Many of the
                          sitters were acquaintances of Van Vechten. He
                          photographed them in his studio, in private    
                          sittings, and also at social gatherings.

J4.1.5.8. Cumulative index/Finding aids

This field may be used to specify the existence of a separate finding aid which has been created for the collection. Finding aids may be defined as any descriptive media, electronic or manual, which provide intellectual or administrative control over elements within collections. See J6.2.

Separate finding aids are commonly used for collections whose contents are extensive, and/or whose internal relationships are highly complex. This note most commonly appears on collection-level cataloging records in conjunction with a summary note.

		555 8# $a Inventory in the Library of Congress, Motion Picture
                          and Television Reading Room.

J4.1.5.9. Provenance

This note may be used to provide any relevant history concerning the materials described in the collection from the time of their creation up until the time of their accessioning. The immediate source of the acquisition of the materials is recorded in the source of acquisitions/provenance note. See 7B39.

		561 ## $a On permanent loan from the collection of J. Paul Getty.

J4.1.5.10. Linking entry complexity

This note contains a note that identifies a complex relationship between the materials described in the record and other items which cannot be adequately generated from the linking entry fields.

		580 ## $a Forms part of the Margaret Mead Collection.

J5. Subject headings

Subject headings serve as a primary means of access to materials of all kinds that are described in collection-level records. All types of subject headings may be assigned. They should be as specific as the collection warrants. The applicability of terms referring to only portions of the collections may be specified in subfield 3.

		650 #0 $a Kathak (Dance) $3 videocassette only

There is no limit to the number of subject headings that may be assigned, but, in the cases of collections constructed for reasons of economy in processing, a reasonable limitation should be observed.

J6. Added entry headings

The number and extent of added entry headings depends upon their usefulness for access. Accordingly, decisions for these entries may be made separately for each collection, and practices may vary widely. Types of added entries considered useful for various types of materials include: author/title analytics, creators of collections, names of collections, etc.

J6.1. Location

This field may be used to provide the name and address of the institution and sub-unit holding the collection being cataloged.

		852 ## $a Library of Congress $b Motion Picture, Broadcasting and
                          Recorded Sound Division $e Washington, D.C. 20540-4840
                          USA $n dcu

J6.2. Electronic location and access of finding aids

This field may be used to specify the location or means of access to electronic finding aids prepared for the collection or portions thereof.

		856 7# $3 finding aid d fsa n Library of Congress, Washington,
                          D.C. $2 file

J7. Cataloging divided into more than one record

Once the decision has been made to divide the cataloging for a collection into more than one record or that there is a need for an additional record (see J4.1.1.), use the following guidelines. Except as noted below for title, physical description, a note related to the multiple- record condition, and contents note, the data elements in each record are the same, as they would be were a single record used. When creating additional records or adding items to collections, modify existing records according to the same guidelines.

J7.1. Title

Follow the guidelines in J4.1.1. above but indicate in the title that the collection is being represented in more than one record. The clearest means of doing this is to indicate the specific number of the record out of the total number of records as in "Record 1 of 2" to ensure that users know that the collection is represented in more than one record.

J7.2. Distribution, release, broadcast

Give only the dates for the materials on each of the multiple records and not for the entire collection. Record the entire span of dates represented in the collection in a note on each of the records if this information is not already present in the title.

Record 1:

		260 ## $c 1900-1910.

Record 2:

		260 ## $c 1911-1921.

Both records:

		500 ## $a Materials in this collection cover the span of 1900-
                          1921.

J7.3. Physical description

Give only the physical description information for the materials on each of the multiple records and not for the entire collection. Record the entire scope of the collection in a note on each of the records.

Record 1:

		300 ## $a 82 reels : $b sd., b&w ; $c 16 mm ref prints.

Record 2:

		300 ## $a 57 reels : $b sd., b&w ; $c 16 mm ref prints.

Both records:

		500 ## $a There are a total of 139 ref prints in this collection.

J7.4. Notes

With the exception of the contents note, give the same notes in each record. In addition, indicate in a note in each record that the entity being cataloged is represented by more than one record.

Record 1:	

		500 ## $a The contents below list the first forty items in the
                          volume; the last forty are listed in LC bibliographic
                          record 97-124700.

Record 2:	

		500 ## $a The contents below list the last forty items in the
                          volume; the first forty are listed in LC bibliographic
                          record 97-123256.

J7.4.1. Contents note

Numbering within contents notes should be consecutive from one record to another.


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