Cataloging Guidelines for Collections

Cataloging Guidelines for Collections AikensB August 28, 2015

MARC Data Entry

Listed below are guidelines for MARC cataloging updates to records in the Archives’ catalog in the Smithsonian Institution Research Information System (SIRIS). These updates take place upon notification by the Chief, Collections Processing, that a collection has been fully processed and/or fully digitized. Most of the data is derived from the archivists’ finding aid conforming to EAD and DACS standards. This documentation does not include additional internal workflow procedures.

095  Local Control Number — Does not map to EAD

If a collection was previously microfilmed, there will be 095s, repeatable (for each microfilm range). These are for index purposes only and can be left as is to support management of AAA’s microfilm holdings. Optionally, for clean-up purposes, if multiple 095s exist, there is a good chance that one of them may be an occurrence without a $b; if so, this isn’t functioning in any useful way and can be deleted. Similarly, if more than one exists as $aAAA, we only need one in the record so delete away.

1xx  Main Creator  — Maps to EAD <origination> 
There is no place in the finding aid where the archivists are recording the authorized form of the name. Review of this field should be based on ensuring that name corresponds to the form as displayed in the PDF Collection Overview as “Creator” and that the life dates, if found in the MARC authority record, correspond to those in the finding aid Biographical Note. If there are discrepencies, it is possible that the archivist has corrected earlier information, etc., so review should be to confirm and update our auth. if necessary. Ideally, if a death date is known and is not in the NACO heading, an update should be made.  

245  Title/dates  
This data is stored in various places. Use the PDF. You can either copy the title from the title page starting with the Name of the creator, or copy the Title and Dates from the Collection Overview. DO NOT use the Title in the header as displayed in the HTM version.  The format from DACS is $aMain creator papers/records, $fdates, $gbulk dates; spell out circa

245   10  $aWilliam H. Johnson papers,$f1922-1971,$gbulk 1926-1956.

Note, older finding aids MAY have bulk dates in parentheses…  “(bulk 1926-1956)” PLEASE CHANGE!

Where a collection includes a co-creator, be mindful that there are a few places in the htm and main Collections Online home page where the title that is programmatically displayed is only pulling from the 1xx, so be sure to follow the archivists’ title format.  

300  Extent 
Use the value as entered in the Collection Overview under “Quantity.”  If a collection is under 0.2 linear feet, the archivist will express in terms of items. If both types of extent are recorded in the finding aid, use items as the primary/first $a even if it is switched in order in the PDF display. Bring to Karen’s attention any situations where you have questions.  Spell out “feet.” 
The basic format we follow from  is  30  $a number $flinear feet or $a number$f items 
PDF: Quantity1.3 linear feet
Marc:  300 $a1.3$flinear feet. 
PDF: Quantity19 items
Marc: 300 $a19$fitems
PDF: Quantity  0.2 linear ft. (19 items)
MARC   $a19 items $a(0.2$f linear feet)

351  Arrangement 
This note is in all finding aids. In the PDF the label is Arrangement, and in the HTM, this is used as a link to the digitized series and so is labeled Arrangement and Series Descriptions.  Copy and paste it as is using only subfield $a. It is not necessary to add any additional punctuation. 
351   $aThe collection is arranged as one series:  Series 1: Benjamin West Collection, 1771-circa 1879 (Box 1; 5 folders)

351   $aThe collection is arranged into 5 series:  Series 1: Biographical Material, 1922-1967 (Box 1, 3; 0.2 linear feet)  Series 2: Printed Material, 1928-1971 (Box 1-3; 0.3 linear feet)  Series 3: Photographs, circa 1923-1940s (Box 2-3; 0.2 linear feet)  Series 4: Scrapbooks, 1920s-1947 (Box 2-4; 0.4 linear feet)  Series 5: Harmon Foundation Research Materials Regarding William H. Johnson, 1950s (Box 2,  OV 5; 0.2 linear feet) 

500  General Note
This field is not used by AAA in collection records (only OH records).

506  Restrictions on Access
Copy the text from the Archivists’ finding aid – in the PDF the heading is Restrictions on Access. In the HTM it is labeled Restrictions on Use. Although this will appear in various forms in older finding aids, the current format is all inclusive for any situation, including fully digitized collections and should read:

506  $aUse of original papers requires an appointment.

520  Scope and Content Note
Copy from the PDF finding aid’s Scope and Content Note. Do not take data from Scope and Content Note at the series level. Be sure to break the first paragraph of the Scope and Content Note (which matches the Abstract Note) into subfield $a (or occasionally the first two paragraphs combined if the second still falls within the general overview prior to a series breakdown).  The remainder of the note will fall into subfield $b, using separate occurrences of $b for each paragraph. The guidelines for the archivists on this have changed a few times, so you may not find the paragraph breakdowns or format consistent for older finding aids. Also, if the collection is of family papers, or there is a co-creator, the $a should be an overview for all the creators’ materials. 

520   $aThe scattered papers of inventor and portrait painter John Goffe Rand measure 0.2 linear feet and date from circa 1832-1960, bulk 1832-1873. Included are biographical sketches, a will, lists of portraits by Rand, a small amount of correspondence, United States patents for the collapsible paint tube invented by Rand and later improvements, printed materials, a photo, and an example of one of the first paint tubes made in a factory. 
520      0    $bBiographical Information includes an unpublished biography about Rand, typescripts of an obituary, short biographical sketches, lists of portraits painted by Rand, and a copy of his will. A small amount of correspondence consists of one letter written by Rand in 1864 addressed to his neice and typescripts of letters written by members of Rand's extended family concerning the artist and his works.   
520      0    $bSubject files document Rand's invention of the collapsible tin artists' paint tube and include two patents from the United States Patent Office dated 1841 and 1844. The 1844 patent was for improvements to the tube. The patent applications contain diagrams and written descriptions of the tube. There are also clippings about the anniversaries of the invention.
520      0   $bAdditional clippings are about members of the Rand family and a painting by Rand. One photograph depicts Rand's gravesite circa 1930. Artifacts include an example of one of the first collapsible paint tubes made in a factory.

524  Preferred Citation
Copy and paste into field 524, $a, the contents of the PDF’s Preferred Citation note.

524 $a   Peggy Bacon papers, 1890-1973. Smithsonian Institution, Archives of American Art.

530  Available formats
Copy the archivists’ note from the PDF finding aid’s Alternate Forms Available note as found. (This same note is labeled “Alternate Formats” in the HTM version). This note contains information about how the collection is made available in a format other than the original; do not repeat information in the 506 on access to the originals. The note is also used to elaborate on what portions of the collection are not available in an alternate format (i.e. wasn’t scanned). If a collection was previously microfilmed, the archivists are instructed to NOT reference the use of microfilm through interlibrary loan. The only reference to microfilm for a fully digitized collection that the archivists will include in this note is for availability of microfilm reels corresponding to loaned material and which should be matched with a Separated Materials Note (see field 544 below). 

Use one occurrence of the 530 for each paragraph.

Copy as is even there are slight variances between the style used by another archivist, but  
 email Barb if you feel the style or content vary too much from the above guideline.  

Acceptable examples:

530  $a    The bulk of the collection has been digitized and is available online via AAA's website. Materials not digitized include a few certificates, writings and notes not authored by Solon but by others, Monica Borglum Davies research files for and drafts of the biography Solon H. Borglum, A Man Who Stands Alone, 1974, some routine financial materials, clippings and magazines, and photographs of artwork. Loaned portions of the collection, most of which was later donated, merged, digitized, are available on 35mm microfilm reels N69-98 and 1054 at Archives of American Art offices and for interlibrary loan.

530  $aThe bulk of this collection has been digitized and is available online via AAA's website. Materials which have not been scanned include photographs of artwork, negatives, news clippings, and all but a few printed reproductions of artwork.

530   $a The bulk of the collection has been digitized and is available online via AAA's website.

530  $a The bulk of the collection has been digitized and is available online via AAA's website. Photographs of works of art have not been digitized.

535  Location of originals
Delete this field if found in the existing SIRIS record if the information is contained in the Separated Materials note. Do not worry if the phrase “Originals were returned to ….” is not found explicitly in the Separated Materials note, but alert Barb or ask the archivist if there is a 535 note in the SIRIS record and there is no reference to a loan in a Separated Materials note. There have been situations where it was determined upon processing that all, or almost all, of the loan was accounted for in a subsequent donation and has then been digitized, so no reference to it in the separated materials is necessary. (It may appear in the Provenance and Source of Acquisition note however).

There are some situations where the use of the 535 is well-founded, for example if the digitized material is known to be a copy of an original held elsewhere. Unfortunately, the note will not make sense unless the archivist has referenced this in the Scope and Content Note. If you come across a note in the existing SIRIS record that you feel should be referenced in the finding aid, alert Barb. See example for Holger Cahill/Joan Pring below.


Existing record: 535 $3 Reel N69-98: $aOriginals returned to the lender, Mervyn Davies, after microfilming.
535      $3Reel 1054:$aOriginals returned to the lender, George Borglum, after microfilming.

Update:  544, Separated Materials Note: 
544      $aA scrapbook of news clippings, other printed material, writings, and correspondence were loaned for microfilming in 1969 by Solon's daughter, Monica Borglum Davies. Originals were returned to Monica Borglum Davies and George Borglum after microfilming. Loaned material is available on reels N69-98 and 1054.Loaned material that was not later donated and merged is not described in the finding aid.

Original:   535    $3Reel N68-87, except for correspondence:$aOriginals returned to Bearden after microfilming.
Update:      544    $aIn 1968 Romare Bearden loaned a scrapbook, photographs, catalogs, clippings, and writings for microfilming on reels N/68-87. These materials are not described in the finding aid.

Original: 535  Interviews conducted by Joan Pring:$aOriginal tape located at: Columbia University
No Separated Materials note, no reference to Interviews conducted by Joan Pring in the main Scope and Content note so contact archivist or Barb to find a “home” for that information. 

536   Sponsor Note
Copy this information as is from the PDF version of the finding aid’s title page, displayed just below the archivists’ name. This note also displays as the last sentence on the “View Collection” tab in the HTM site.

You may see different versions of this note that were entered prior to the most recent format which starts with the words “Funding for…”  No dates should be in this note (those should appear in the first sentence of “View Collection.”

Please email Barb if you notice any sponsor notes not following this format, but even without updating the finding aid please enter this note per the guideline/examples found here. 

536      Funding for the processing and digitization of this collection was provided by the Terra Foundation for American Art.

536      Funding for the digitization of the microfilm of this collection was provided by Jane Blumenfeld.

541   Source of Acquisition
Edit this note (s) to remove $3REEL references when the microfilm has been “replaced” with the online collection. Do not update or edit a $3Reel reference if that reel is for material loaned as referenced in the 544 Separated Materials Note. 
Add example:  

544   Location of other Archival Materials Note (MARC field name)
Please be aware that policies for the archivists to follow for this field have evolved so that older finding aids may need additional tweaking on the MARC record side to be consistent with the following practice, and if really far off the current guideline, possibly rewritten altogether. 

Basic instruction is to copy the archivists’ data as found in the finding aid under the HTM label: Separated and Related Materials. Information relating to materials lent for microfilming will require a few additional tweaks as outlined below.

Use a separate 544 for each paragraph under this/these headings in the finding aid, and include a first indicator or blank according to the guideline below. (Note, this is currently displaying in the PDF under two labels for Separated and Related Material, but may change to match the htm version which has them combined under one heading).

Loaned materials: Map to MARC as “No Information Provided“ format where no indicator value is used. Use the 544 field to “describe” the materials rather than the 520. You will need to “tweak” the field should it include information on availability – that would be cut and pasted into the 530, leaving only a reference to the reel(s) number(s) in the 544. Also, you will delete the sentence that says “These materials are not included in the container listing in this finding aid.” 

Separated materials note from finding aid referencing a loan:

544     $ In 1970, Charles Alston loaned materials for microfilming, including correspondence with Henry Epstein, Langston Hughes, Robert Riggs, Harry Sternberg, J. Johnson Sweeney, Hale Woodruff and others. Also loaned for microfilming were sketchbooks, printed materials, and photographs. Subsequently, some of the photographs were later donated by Alston's sisters. The loaned materials are available only on microfilm reel N70-23 at Archives of American Art offices, and through interlibrary loan. These materials are not included in the container listing of this finding aid.

In MARC, this data would be entered in 544 and 530, and the sentence about the container listing would be deleted.544  --$a In 1970, Charles Alston loaned materials for microfilming (reel N70-23), including correspondence with Henry Epstein, Langston Hughes, Robert Riggs, Harry Sternberg, J. Johnson Sweeney, Hale Woodruff and others; sketchbooks, printed materials, and photographs. Subsequently, some of the photographs were later donated by Alston's sisters. These materials are not included in the container listing of this finding aid.   
530  Materials lent for microfilming on reel N70-23 is available at Archives of American Art offices and through interlibrary loan.

Related materials are those that that reside in the Archives of American Art and that share the sphere of activity but have different provenance. – Indicator value 1 is used   
544 1  $aAlso found in the Archives of American Art is the John Davis Hatch papers, 1790-1995, which include correspondence, printed material, and research files regarding Oscar Bluemner.

Associated materials have the same provenance but reside in a different repository and use indicator 0. 
544  0   $a Additional Oscar Bluemner materials are available at the Avery Architectural and Fine Arts Library, Columbia University, and within the Vera Bluemner Kouba Collection, Stetson University, Deland, Florida.

545   Biographical/Historical Note
Ideally $a can be copied from the first sentence of the archivists’ Biographical Note, or if a 110 creator, will be labeled Historical Note in the PDF version of the finding aid, but often it does not follow the preferred format, which is:  
$a Main creator (bbbb-dddd) was a [occupation(s)] from [primary place associated with the main creator]. 
$b Expansion edited from archivists’ finding aid (rather than copying it wholesale as it is just too long.)

For family papers, include all the “creators” in the 545 $a.

For papers “concerning” another person/organization/event, include the brief bio in $a following the same format as the main creator. 
546   Language note
Copy the archivists Language of materials note that is found in the PDF version under the Collection Overview as one occurrence of the  note.

546 $a The papers are in English, Norwegian, Danish, and Swedish.

555   Finding aid note
Do not use this field in the SIRIS record.  

561   Provenance
Copy the Provenance field from the PDF version of the finding aid as is. 

561      The William H. Johnson papers were originally donated to the National Museum of American Art (Smithsonian American Art Museum) by the Harmon Foundation in 1982. The National Museum of American Art subsequently transferred them to the Archives of American Art in 1982 and 1986.

583   Action Note
The only note to be copied from the finding aid into this field is the EAD Processing Information note, which is found in every finding aid. There is no MARC equivalent so we’ve decided to put it into a 583.

583  The collection was microfilmed in the order in which it was received on reels D283, D359, and1198-1203. The entire collection was merged, fully processed, arranged, and described by Erin Corley in 2007 and scanned in 2009 with funding provided by the Terra Foundation for American Art.

You should also delete the following Action Notes as a data cleanup effort:
Finding aid on web
Microfilm Priority Code
Terra Year #  to be digitized

852  Location
No action required; this field will be updated by the registrar or processing archivist.

856  Electronic Resource Location
Add the 856 for the collection online.

856      7          $2http$u http://$3Online collections$9http://$zView Collection