Member copy monograph processing

For: Cataloging Documentation Group
By: Steven Arakawa
Date: (10/8/02/creation date/ 11/04/2002 2:37 PM revision date)

1.. SCOPE : standard level cataloging copy contributed to OCLC or RLIN by utility members. 

OUT OF SCOPE: DLC (Library of Congress) cataloging, i.e.,

  • 040 DLC cDLC (DLC cataloging)
  • 040 <Library code> c<Library code, etc.>d DLC (DLC copy cataloging)
  • 040 DLCcDLCd<Library code> if there is also a 050 00 field. (DLC CIP record upgraded by member)

Consider a DLC MLC record (050 MLC) upgraded to full level by a utility member as member copy. 

2. MATCH POINTS. The following elements of the record found must match on the item you are cataloging. Items that match on all of the following points are considered copies and their MFHD records should be associated with the same bibliographic record.

  1. ISBN if there
  2. Title ‡a subfield. If data appropriate to these fields is on the item, then also: ‡b, ‡n, ‡p, ‡c
  3. First place of publication in the record must be on the item
  4. Publisher must be the same (though the form of the publisher's name may be truncated). If there appears to be more than one publisher and only one publisher has been recorded, consider as a match, all other things being equal, but consult with a catalog librarian. Distributor does not always have to be recorded, so don't consider as part of the match.
  5. Edition statement must be the same, but don't confuse a later printing with a later edition.
  6. Date of publication must be the same. All other things being equal, consider as a match a later, unrevised printing , but consult with a catalog librarian if in doubt. If the date is in brackets, it has been supplied by the cataloger and will not be a match; check against the other match points.
  7. Pagination. Consult with a catalog librarian if there are discrepancies. A paperback issued by the publisher of the hardcover is considered the same unless there are gross discrepancies in pagination and size between the paperback and the hardcover.
  8. Other physical discrepancies: If there are many illustrations and none are recorded in the record, or if there is a significant difference in size betwen your item and the size on the record, or if there is accompanying material but it is not on the record, and if 1-7 are a match, the cataloging is probably miscoded as standard or needs to be upgraded; have it reviewed by a catalog librarian.

3. DEFINITION OF STANDARD LEVEL for records searched and retrieved on the utilities by the copy cataloger. 

OCLC: Encoding level (ELvL) blank, 1, 4, I or L

RLIN: CC 91x or 94x. <9665?>

If you're working with a record that has already been downloaded into Orbis, the Voyager Encoding level for a member record must be 1, 4, I or L. Otherwise, route to an original cataloger (C&T D if belle lettres or variant edition source record is available, or multipart monograph add; librarian cataloger otherwise)

3a. MISCODED RECORDS. Sometimes a non-standard record has been miscoded as standard. The record may be non-standard if:

  • The record is obviously not belletristic and it has no 6xx _0 fields. The indicator 0 (=Library of Congress subject heading) is crucial. (Note: exceptionally, some LC class records in class A would not be assigned subjects.)

  • The record notes are not in English, and/or the physical description does not use English-language terms.

  • Parts of the title or statement of responsibility appear to be mistranscribed or not transcribed at all. 

In the following example, the Encoding Level at the time the image was captured was 1 (full level, not examined). It is actually a non-standard vendor record. Note that terms in the 300 and 500 fields are in Spanish, and the absence of 6xx _0 fields.

If you think your record has been miscoded, consult with a catalog librarian. 

A record does not have to be coded as AACR2 (Leader/Cataloging Form/a:AACR2) to be considered standard as long as the encoding level falls within scope. 

3b. STANDARD LEVEL MEMBER COPY WITHOUT CALL NUMBERS. Processing of the item will depend on its location or the subject matter or genre of the item.

  • If the location uses local classification, use a pre-assigned number (e.g. Math Library) or assign a local number (e.g. NJ18) if local classification is derived from the subject matter and the cataloger is authorized to assign local numbers. 
  • If the location uses LC classification, and is obviously belletristic (fiction, poetry, drama), route to appropriate D-level C&T or catalog librarian
  • If the location uses LC classification and is not belletristic, and a series is present, check series and determine whether the series is classed together for that Yale location. If classed together for that location, use the established series call number with vol. no. If no decision has been made for the location, or if no series authority record is found, route to a catalog librarian.
  • If the location uses LC classification, is not belletristic, and the series is classed separately, route to a catalog librarian. 



<linkable, but better to include summary?>

4.2. FIXED FIELDS. (Leader and 008). The assumption is that a standard member record has followed the rules for recording fixed fields. However, check the following in Voyager:

____ Encoding level. Check the Leader to make sure the Encoding level is 1, 4, I or L. 

____ No "unassigned fields". These are easily identified by the black "pipe" on Voyager. If one or two, update. If there are many of these, the record was probably miscoded as standard and should be re-routed to appropriate staff for upgrading. 

4.4. VARIABLE CONTROL FIELDS. (000-090 and 240) Assumption is that you are familiar with instructions and examples in Editing procedures for CIP. 

_____ 020. If the ISBN is not present, add it to the record without hyphens. 

_____ 040. Add d CtY to the 040 field if you perform any updates to the record. Do not add 2 d CtYs in a row if you update more than once.

_____042. If 042 pcc, see instructions under 4.7. ACCESS FIELDS. 

_____090/050 _4:

  • If a 090 field is present and a 050 _4 field is also present, delete the 090 field and retain the 050 _4 field.

  • If only a 090 field is present, decide if the call number is LC classification.* If it is, re-tag the field to 050 _4. If it is not, route to appropriate staff for call number assignment if necessary. If authorized to assign call numbers, delete the 090.

  • Do not enter local call numbers or LC classification call numbers modified to local practice in 050 _4. (For example: call numbers should not have oversize/folio data, local Z9/autobiography/correspondence practice for literature call numbers, local NJ18 or Mathematics Library classification.)

  • LC specific cuttering is not required in an 050 _4 found on a record, except:

  • For belletristic works, if a 090 is re-tagged to 050 _4, determine if LC has assigned a cutter to the author and use the LC author cutter in 050 _4. (Check the 053 on the authority record for the author. If no 053, check LCDB for other titles by the author; if none are found, assume LC has not assigned a cutter to the author. If LC has assigned a cutter, be sure the cutter is really for your author and not the topic your author is writing about.) If the LC cutter differs from the YUL cutter, use the YUL cutter in the MFHD call number. 
  • *For a quick overview of LC classification, click here:

    LC Classification Overview

    If still in doubt, check with staff in your team who are authorized to access LC's ClassPlus schedules. See also note on shelflisting at the end of the checklist. 

_____240 field. Note that 240 title is not descriptive and is not necessarily verifiable from your item. If there is a translation note (500 Translation of ....) there should be a 240 10 field. If not, check with a catalog librarian. Note current policy for translation numbers: translation numbers are not added to the call number if a 240 field is not present. So, if the note simply says "Translated from the French," book number would not have the form x14. 

4.5. DESCRIPTIVE FIELDS. (245, 246, 250, 260, 300, 4xx, 5xx)

_____ 245. FILING INDICATOR. Check the 245 field for accurate non-filing indicator tagging. For more detail, see the Editing procedures for CIP. 

_____245. TITLE AREA TRANSCRIPTION. The assumption is that a standard member record has followed the rules for transcription with item in hand. 

  • Every word of the title, including the initial article, should have been transcribed. Correct obvious mistranscriptions. However, if sections of the title have been left off, consult with a catalog librarian in case the record was incorrectly coded as standard.
  • Capitalization, diacritics, punctuation. If transcription is otherwise accurate, assume capitalization, diacritics, and punctuation are accurate. Note that the rules for capitalization differ from language to language, that libraries following LC policy do not add some diacritics for capital letters in romance languages, and that the cataloger is allowed by the rules to supply punctuation not present on the item, and is required to use certain types of prescribed punctuation (= for parallel titles, : for subtitle) and to supply diacritics if not present on the item. 
_____ 246. Variant forms of title are entered in the 246 field. CAUTION: the second indicators in 246 fields DO NOT represent filing indicators. (Initial articles are not transcribed in 246 fields) Do not try to "correct" the indicators in 246 fields. If the title on the title page differs from the title on the cover and there is no 246 14 field, consult with original cataloger. 

____ 250. EDITION STATEMENT. The assumption is that a standard member record has followed the rules for edition statement transcription (i.e. the abbreviations are authorized by AACR2). Although libraries following LC policy use a standard period to represent the ordinal number for non-English editon statements (1. _ed. rather than 1er _ed.) "correcting" records that don't follow the LC policy is not necessary. If there appears to be a discrepancy between the edition statement on the record and the edition statement on your item that reflects a difference in content (record has 2nd ed. and item has 2nd ed. repr. with corr.) consult with an original cataloger; title may have to be treated as a variant edition.

_____260. PUBLICATION, DISTRIBUTION AREA: PLACE AND PUBLISHER. The assumption is that a standard member record has followed the rules for transcription of the publication area. However, if a publisher has not been transcribed, check the CIP instructions <LINK HERE> and update the record if necessary. Note that when there are multiple places of publication, the rules require that the first named place be transcribed. A subsequent place is transcribed if the first named place is not in the country of the cataloging institution. So, a second place of publication will differ depending on whether the cataloging institution was in the U.S. (e.g. NJPG), Canada (NLC) or Great Britain (UK). Accept transcription of place of publication as found on the member record. 

_____260. PUBLICATION, DISTRIBUTION AREA: DATE. The date (‡c) must be recorded somewhere on the item. If not, consult with a cataloging librarian; record may be for a different edition. However, punctuation and symbols associated with the date may be left as is if the date itself matches (absence/presence of copyright c; absence/presence of brackets around the date).

_____4XX fields. If the series is tagged 440, check the filing indicator for accuracy. If the series in 4XX does not match the series as it appears on the item, consult with a catalog librarian. If you notice that the record has not recorded a series that is actually on the item, consult with a catalog librarian. Discrepancies of this kind may be an indication that the record has been miscoded as standard.

_____590 NOTES. Delete 590 notes from records downloaded from the utilities. Do not delete 590 notes for Yale libraries. If in doubt, check with a catalog librarian. 

_____505. If the title is a multipart, do not delete volume titles not held by Yale from 505. Volume titles held by Yale but not on the member 505 must be added. Multipart description should only be updated by authorized staff. If the record was downloaded with indexable subfields (‡g, ‡t) leave the delimiter tags in the record.

_____5XX. Generally leave other notes as is unless there is an obvious misspelling. It is not necessary to check for or to add 504 Includes bibliographical references or 500 Includes index notes. It is not necessary to retag 500 language notes to 546.  

4.6. CHOICE OF ENTRY. The assumption is that a standard member record has followed the rules for choice of entry. 

4.7. ACCESS FIELDS. Detailed instructions for authority control processing are at:

_____042. If the bib record has variable field 042 pcc, only the series heading is verified in order to check the classed-together/classed separately decision. PCC headings are not modified without authorization from a catalog librarian.

_____ AUTHORITY VALIDATION: PERSONAL NAMES. If record is not pcc, check the Voyager Validation column when you click on the Sailboat button. Any personal name (100/700/600/800) with a prefix or a compound surname must validate. If the heading does not validate, you need to search in LCDB for an authority record. Use the Voyager Staff Name Search. A hit on an authority record will have the label AUTHORIZED in the left column of the Voyager Headings List; use the authorized form of the heading if found. If you do not get a hit on an authorized heading, route to a NACO authorized catalog librarian who will establish the heading in the national file on RLIN. 

_____AUTHORITY VALIDATION: MUSIC NAME/TITLES. For music copy cataloging, validate also any 100t, 700t, 600t. If the heading does not validate, search LCDB for an authority record. Use the Voyager Staff Name/Title search.Use the authorized name/title heading if found. If you do not get a hit on an authorized name/title heading, or if the title subfield varies from the title subfield on an authorized heading or reference, check with a catalog librarian.

NOTE: if any heading matches on a reference, it is not necessary to update the record. The MARS authority program will automatically update the heading to the authorized form. 

______AUTHORITY VALIDATION: SERIES. If the series heading validates, retrieve the authority record for the series to determine if the series is classed together or classed separately. If the authority record indicates the series is classed together for your location, use the classed together number with a volume number as your call number. If there is no record on the authority record for the Yale location classification practice, search the series in Web Voyage to see if other analytics have been assigned volume numbers. If the series heading does not validate, search LCDB for an authority record. If LC classes separately, follow LC. If LC classes together, consult with a catalog librarian. If no series is found, route to a catalog librarian to establish the series.

4.8. Call number modification and shelflisting. Sterling Library catalogers refer to the following documents:

Shelflisting Introduction

Modification of call numbers by copy catalogers at SML


Modifying call numbers: belletristic works

NJ18 call numbers 2001 notation

For shelflisting on Voyager, see Orbis2 training documents/CAT/MFHD/Shelflisting on Voyager* at:

*This is currently a Word document only. Three options are described: Voyager Cataloging Module call number search, Voyager call number browse search, and Web Voyage search. The Web Voyage search is preferable for most shelflisting work.

MEMBER COPY SHELFLISTING. At this point the assumption is that you have made any necessary local adjustments as instructed in the above documents. Now it is simply a question of inserting your call number in the existing LC classification file. After you have edited and saved your call number on the MFHD record, search it with a Call Number search on Web Voyage.

  1. If it is necessary to collocate by author or geographic cutter, truncate the author/geographic cutter.

  2. If it is not necessary to collocate by author/geographic cutter, truncate the book number. Remember that the call number search on Web Voyage is a browse search; if you truncate digits, you may need to check the previous screen for other cutters that begin with your letter; if you truncate by letter, the call number at the top of the screen will be the first cutter beginning with that letter, but the range of call numbers to be examined may be too large.

  3. If the only record retrieved with your class number is your own, have the call number checked on ClassPlus.
  4. If other records are using your class number, consider also if the number assigned is reasonable. The other records using the call number should have subjects related to the subjects in your record. (The subjects will not necessarily be precisely the same.) You aren't expected to display and examine individual records with the same call number whenever you shelflist, but if you notice that the titles in the Webpac appear to be in a different universe from the title you are cataloging (a book with QE90 (Science/Geology) should not be about police in Indonesia), this is generally a cue to look at the subjects on a couple of individual records. If you then think there might be something wrong with the call number on your record, consult with a catalog librarian.

  5. Cutters should fit into the sequence already begun in the shelflist. If there is more than one cutter, the sequence for the first cutter should take precedence, but the second cutter is expected to be subarranged in sequence as well.

  6. Because numbers with trailing X are not shelflisted, they may be ignored when shelflisting, but if a trailing X call number is not disrupting the sequence, adjust your call number to include it as part of the sequence if possible.

  7. If shelflisting for a YUL location, LC call numbers assigned by non-YUL libraries may be ignored when shelflisting, but if a non-YUL number is not disrupting the sequence, adjust your call number to include it as part of the sequence if possible.














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Last updated: 11/04/2002 2:37 PM
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