1. Shelflisting and Filing Rules
and
Subject Authority Control
December 3, 2012
1

2. Overview
 Shelflisting
 Basic definitions
 Filing rules
 Dates
 Editions
 Translations
 Corporate bodies
 Biography
 Supplementary materials
 Subject authority control
2

3. Basic definitions
Call number: A number consisting of a class
number, a book number, and additional
information that uniquely identifies the item.
Class number: A number that represents
what the item being cataloged is about,
selected from the schedules.
Book number: An alpha-numeric device
appended to a class number to arrange
material on the same subject in a specified
order, usually alphabetically by author. Also
called author number.
3

4. Basic definitions (cont.)
Title: Treasures of the Library of
Congress
Call number: Z733.U58 G66 1991
Class number: Z733.U58
Book number or author number :
G66
4

5. Basic definitions (cont.)
Cutter number: An alpha-numeric
device for representing words or
names by using one or more letters
followed by one or more arabic
numerals used decimally.
Examples:
 Book numbers
 Some subdivisions in the classification
schedules (e.g., geographic subdivisions)
5

6. Shelflisting
The activity of arranging materials within
an existing collection, normally by
author
OR
The activity of determining the book or
author number and necessary additions
to the call number for a unique number.
6

7. Filing rules
 Since the goal of shelflisting is to organize
materials within a class by main entry (either
title or author), rules are needed to resolve
conflicts
 The primary source for filing is: Library of
Congress Filing Rules (Washington :
Library of Congress, 1980).
 CSM: Shelflisting has additional rules
7

8. Order of fields with identical
leading elements
 Person
 Place
 Corporate body
 Title
8

9. Order of fields with identical
leading elements (cont.)
George, Alan
George (Ariz.)
George (Motor boat)
George is lost
9

10. Identical filing entries
Consider the title to extend only to the
first significant mark of punctuation
which will be either a period ( . ) or a
slash ( / ).
If two identical but unrelated title entries
appear in the same class, arrange the
entries by imprint date using successive
Cutters, in order of receipt.
10

11. Identical filing entries (cont.)
Education today / 1966
Education today. 1966
Education today / by John Smith. 1969
Education today. 1977
Education today (Boston)
Education today--and how it works. 1970
Education today : language teaching. 1966
11

12. Abbreviations
 File abbreviations exactly as written
Mister Doctor Blo
Mme. Begue and her recipes
Mr. Drackle and his dragons
Mrs. Appleyard's family kitchen
12

13. Dates
1976? use 1976
ca. 1976 use 1976
1981, cl980 use 1981
1971, cl972 use 1972
1979 [i.e.1978] use 1978
1962 or 1963 use 1962
1969 (1973 printing) use 1969
1979-1981 use 1979
between 1977 and 1980 use 1977
197- use 1970z
197-? use 1970z
19-- use 1900z
19--? use 1900z
13

14. Editions
 If subsequent editions of a work have the
same author, title, and classification, retain
the same cutter and distinguish by the
date of publication
 If the title is changed but the classification is
the same, retain the same cutter and
distinguish by the date of publication
 If the author and/or title changes, but the
classification is the same, retain the same
cutter and distinguish by the date
14

15. Translations
.x Original work
.x12 Polyglot
.x13 English
.x14 French
.x15 German
.x16 Italian
.x17 Russian
.x18 Spanish
15

16. Corporate bodies
 For materials entered under a corporate body
heading, Cutter for the name of the corporate
body. Add the imprint date to the call number
to make each call number unique.
 Assign the same Cutter to all publications
with the same corporate body heading,
including translations, selections, editions,
etc.
 Ignore all subheadings in establishing the
Cutter number
16

17. Biography
 Biography classes exist in some parts
of LC schedules
 Within these classes, biographical
materials are organized according to a
special table
 Biography table
 The effect is to organize all works by
and about an individual
17

18. Supplementary materials
Supplementary materials are separately issued
subordinate works that continue or
complement a previously issued work.
Examples:
 Supplements
 Appendices
 Indexes
 Addenda
18

19. Supplementary materials
(cont.)
3 situations:
1. Cataloged separately
 add Suppl. to call number for original work
1. Covered by a note in the physical
description or note area
 add appropriate term (tables, maps) to the call
number for the original work
1. Indexes
 add Index to the call number for the original
work
19

20. Subject Authority Control
 Purpose and use of subject authority
records
 MARC format for authority records
 Creation of new subject headings
20

21. Purpose and use of subject
authority records
 Subject authority file: authorized forms
of headings
 Each term appears in a particular form
designated to represent one concept or
topic
 Each authority record gives information
about the heading and its relation to
other terms
21

22. Purpose and use of subject
authority records (cont.)
 Purposes of authority records:
 To maintain consistency in the choice and
form of a heading for a given concept
 To relate that concept to others in the
database
 Controlled vocabularies = authority files
22

23. Purpose and use of subject
authority records (cont.)
 In online systems, authority records are
used to guide users to authorized forms
of headings
 Some systems will report unmatched
headings or unauthorized forms
 Other systems require catalogers to
search authority records for verification
23

24. MARC Authority Format
 Variable fields
X00 Personal name
X10 Corporate name
X11 Meeting name
X30 Uniform title
X50 Topical heading
X51 Geographic name
24

25. MARC Authority Format
(cont.)
 Variable fields (cont.)
1XX Authorized form
4XX Synonyms and other unauthorized
forms
5XX Broader, narrower, and related
forms
25

26. MARC Authority Format
(cont.)
 5XX uses $w
 $w g is a broader heading
 $w h is a narrower heading
 $w n is a related heading
26

27. MARC Authority Format Example
010 $a sh 85148273
040 $a DLC $c DLC $d DLC $d AuSU $d DLC
053 0 $a D731 $b D838
150 $a World War, 1939-1945
450 $a European War, 1939-1945
450 $a Second World War, 1939-1945
450 $a World War 2, 1939-1945
450 $a World War II, 1939-1945
450 $a WW II (World War, 1939-1945)
450 $a WWII (World War, 1939-1945)
550 $w g $a History, Modern $y 20th century
670 $a Women's fiction of the Second World War, 1996.
670 $a LC database, May 7, 2004 $b (titles: World War Two; World
War 2; WW II)
670 $a Am. heritage dict. $b (WWII: abbr. World War II)
27

28. Creation of New Subject
Headings
 When to establish a new heading
 Authority research
 Citation of sources
 Formulating the subject heading
28

29. When to establish a new
heading
“Establish a subject heading for a topic
that represents a discrete,
identifiable concept when it is first
encountered in a work being cataloged,
rather than after several works on the
topic have been published and
cataloged.” (SCM:SH)
29

30. When to establish a new
heading
 New topics that are not discrete or
identifiable – assign existing headings
 New topics where American usage is
still undetermined – research and use
judgment in selecting best terminology
30

31. Authority research
 Proposed subject headings and UF
references must:
 reflect usage in current literature
 reflect construction, language, and style of LCSH
 Purpose of authority research:
 To document the form used in current literature
OR
 To show that no such form can be found except in
the work being cataloged
31

32. Citation of sources
 670 – citation of sources consulted and
found
 675 – citation of sources consulted but
not found
 952 – citation of an LC pattern
 Example: to justify the form of a new
heading Art, German, cite the LC
heading Art, French
32

33. Formulating the subject
heading
 H285-H365 cover the form of the
headings, including:
 Singular vs. plural forms
 Articles in initial positions
 Foreign terms
 Natural language
 Ethnic qualifiers
33