Added Copy or New Record: Books

To: Technical Services Staff
From: Steven Arakawa for CPDC
Date: (Feb. 2005 creation date/ 03/24/2005 12:05 PM revision date)

Copies for books added to an existing Orbis bibliographic record as MFHD records must conform to the following standards and definitions.

STANDARDS FOR EXACT COPIES:

  1. Standard numbers (LCCN and/or ISBN) are the same.
  2. Title (including subtitle) and statement of responsibility are the same.
  3. Edition statement is the same.
  4. Place of publication is the same.
  5. Publisher is the same.
  6. Date of publication is the same.
  7. Extent of item [pages or volumes] is the same.
  8. Series, if there, is the same.

ACCEPTABLE VARIATIONS

Treat as an added copy if the item in hand otherwise matches the standards for an exact copy listed above, but one or more of the following variations applies. If in doubt, consult with your supervisor.

When there is a difference in acceptable standards for variation among LC, ALCTS, and OCLC, processing staff can follow the more liberal ALCTS or OCLC interpretations if there is a question of adding an additional MFHD to a record in Orbis vs. creating a new Orbis record. However, if the book has not yet been cataloged for Orbis and the cataloger is comparing cataloging copy from the utility with the item in hand, and the cataloger wishes to contribute the record at pcc level, the stricter LCRI 1.0 needs to be followed, since the LC standards apply to both LC and PCC contributions.

Special collections such as Beinecke, AOB, and BAC may have fewer acceptable variations for added copies. See especially GUIDELINES FOR ADDED VARIANT COPIES at the end of this document for restrictions on editing bibliographic records when copies are added.

  1. Absence or presence of LCCN/ISBN vs. the bibliographic record. (OCLC, LC)
  2. OCLC Bibliographic Formats and Standards lists acceptable variations in 245, e.g. variations in punctuation, cataloger's judgment about what to include, etc. Worth consulting for the gray areas. (LC does not recognize any gray areas here.)
  3. Edition statements in foreign language publications when the statement represents a printing rather than a new publication. OCLC: " If the edition statement appears in conjunction with the printer's name or the number of copies printed, generally consider the edition statement to reflect printing information. Use the existing record. In all other cases, use judgment. " (ALCTS is similar at a more general level; not acceptable by LC)
  4. Presence/absence of 1st ed. or equivalent (ALCTS/OCLC; not acceptable by LC)
  5. Presence/absence of Book club ed. or Paperback ed. or their equivalent (per ALCTS/OCLC) [must be the same publisher] . NOTE: consider "book club ed." to be of the "book of the month club" type, where only minor variations in extent, size, etc. are involved. Reading group book club editions, if they include supplementary appendices of discussion questions, etc., should get a new record. If the reading group edition lacks any supplementary material (i.e., identified only by a label or statement like Oprah's book club), treat as a copy.
  6. Place of publication, as long as the publisher is the same. (This follows OCLC's guidelines roughly):
    a. Accept a change of place within the same country between printings of the same edition. (First printing, San Francisco; 2nd printing, San Diego)
    b. Accept a variation in the choice of place if the book has more than one place of publication where the places are in different countries, e.g., per AACR2, if a book is published in Toronto and Chicago, a Canadian library only transcribes Toronto, but a U.S. library transcribes Toronto [always record the first place] and Chicago.
    c. Accept also variations in place of publication among copies of the book, as long as the publisher is the same and the first place is the same, e.g. a book published in Denmark with only Kobenhavn, but another copy has the same publisher but with both Kobenhavn and Chicago.
  7. Minor variations in the name of publisher. ALCTS and LC examples: St. Martin's vs. St. Martin's Press; John Wiley & Sons vs. Wiley; G. Duckworth vs. Duckworth. Don't confuse minor variations in the publisher name with publisher name changes, which require a new record. For examples of name changes requiring a new record, refer to section below, Items requiring a new record, 6.
  8. Differences in printing or copyright date when there is also a publication date if there is no evidence that the item in hand represents another edition. (LC)
  9. Minor variations in extent (e.g. 351 p. vs. 353 p.; preliminary pages not recorded). (ALCTS, OCLC; not LC) If it is evident that the extra pages represent a revision (e.g. an updated bibliography), a new record should be created.
  10. Minor variations in size. ALCTS considers more than 2 cm. to be a major size variation; however, a somewhat greater size variation would be OK for the hardcover vs. trade paperback if the publisher is the same. Differences in extent or size between the hardcover and a mass market paperback, even if the publisher is the same, will generally require a new record.
  11. Paperback/paper bound copies vs. hardcover (if the publisher is the same). But check carefully for information about updates and revisions in the paperback edition; in that case a new record should be made. For acceptable variations in publication and physical description information, refer to 6.-10. above.

*LC considers any variation in place to warrant a new record.

ITEMS REQUIRING A NEW RECORD:

Differences too significant to ignore. A new record must be created.

1. Record is for the original, item in hand is a photocopy (or any other type of reproduction, such as a reprint edition, i.e. different publisher reprinting the original using the same type face and often reproducing the original title page). Or the record is for a book and the item in hand is a CD-ROM with the complete text of the book. Or the record is for a book and the item in hand is a microfilm reproduction of the book.

2. Explicit indication of changes, e.g. 3rd printing with corrections.

3. Examples of significant edition statement variations (cited by ALCTS) likely to apply to books:

  • Different content: abridged, corrected, enlarged with a new introduction
  • Different language: English edition
  • Different audience: Teacher's edition vs. Student edition; American edition vs. British edition [not an ALCTS example]
  • Different format: Library edition

4. Difference in place of publication if published in a different country.[2] (Consider differences in place in the same country to be minor, all other things being equal) [ALCTS, OCLC]

5. Different publisher, e.g. St. Martin's vs. Macmillan. [1] Variation in choice of publishers when there are multiple publishers may require a new record; consult with supervisor.[2]

6. Publisher name change. A publisher name change requires a new record, e.g., Harcourt, Brace to Harcourt Brace Jovanovich; or [LC/ALCTS examples] Doubleday Doran to Doubleday; or Harper & Brothers to Harper & Row; Bailey-Film Associates to BFA Educational Media. For minor variations in the publisher name see notes under Acceptable variations. 7. above. When in doubt, consult with your supervisor.

[1] Example cited in Cataloging Service Bulletin no. 86, Fall 1999, p. 2:

"Publication, etc. Area for Books Published by St. Martin's Press.

"The Library of Congress has been asked to update its policy on the publication, distribution, etc., area for certain books published by St. Martin's Press. The title page contains the letter "M." The verso of the title page has two separate statements, "First published in Great Britain 1999 by Macmillan Press Ltd ..." and "First published in the United States of America 1999 by St. Martin's Press, Inc. ..." LC interprets the two separate statements as evidence, for cataloging purposes, that there are two separate editions for the publication, one edition for Great Britain, another for the United States. Books received through LC's Cataloging in Publication Program are assumed to be the edition for the United States. The bibliographic record for the U.S. edition contains only the publication details in the publication, distribution, etc. area that are applicable to the U.S. edition:

"260 ## $a New York : $b St. Martin's Press, $c 1999."

Since SML is likely to receive the British edition, a new record should be made if the only source copy is for the American edition and the cataloger suspects that the item in hand is the British edition.

[2] SUPERVISORS. See AACR2 1.4D4 and LCRI 1.4D4 and note [1] above. Summary and guidelines:

a. Ambiguous publisher symbol on t.p. and explicit publication statement for different publishers in different countries: separate record for each country/publisher. (Applies to the St. Martin's/Macmillan scenario above)

b. Multiple explicit publisher statements on t.p.or t.p. substitute. LCRI 1.4D4: record all publishers. (LCRI is more liberal than the AACR2 rule). If there is a discrepancy, e.g., 3 publishers on t.p.of the book in hand and only one on the source copy, consider the variation acceptable as long as the first publisher named is the same. If the first publisher named differs, make a new record. When the variation is acceptable,

-If the item is being added as an additional copy, leave the bibliographic record as is.

-If it is the first copy cataloged on Orbis, optionally revise the bibliographic record to follow the LCRI.

c. Non-U.S. publisher on t.p. and U.S. publisher also on t.p. or on verso. LCRI 1.4D4: record both publishers on same record. If the U.S. publisher was left out, consider the variation acceptable. (Whether the U.S. publisher is included depends on which cataloging agency created the record.) When the variation is acceptable:

-If the item is being added as an additional copy, leave the bibliographic record as is.

-If it is the first copy cataloged on Orbis, optionally revise the bibliographic record to follow the LCRI.

d. [LCRI 1.4D4] General imprint name on t.p., and specific firms (branches of the general firm name in different countries where the general name is included in the branch name) are also listed (following the general imprint or on the t.p. verso). Record the place of first specific firm and the general firm name, but if the first place is non-U.S. and one of the following specific firms is U.S., record the U.S. place as the 2nd place.

If the first place on the source copy differs from the first place listed on the book when the place on the book is in a different country, make a new record (assume it's published in a different country). If the first place listed is in the same country, the variation is acceptable (assume it's a later printing). If the U.S. place should also be included but was not included on the source copy, the variation is acceptable. (Whether the U.S. publisher is included depends on which cataloging agency created the record.) When the variation is acceptable:

-If the item is being added as an additional copy, leave the bibliographic record as is.

-If it is the first copy cataloged on Orbis, optionally revise the bibliographic record to follow the LCRI.

e. [LCRI 1.4D4] Specific firm on t.p. and associated companies or parent company are listed elsewhere (the opposite of d. above): just record the specific firm. If the associated companies are also recorded, consider an acceptable variation.

-If the item is being added as an additional copy, leave the bibliographic record as is.

-If it is the first copy cataloged on Orbis, optionally revise the bibliographic record to follow the LCRI.

SPECIAL SITUATIONS FOR VARIANT COPIES OF MULTIPART MONOGRAPHS:

Acceptable variations for multipart monographs:

  1. Change in title or statement of responsibility between parts.

    Example:
    v. 1 has title: Neil Simon's collected plays.
    v. 2. has title: Neil Simon's plays.

    Generally a
    cceptable; no new record is made because of the variation in title between v. 1 and v. 2. However, note that the record will need to be updated to account for the variation in title. Guidelines are at Multipart Policies and Procedures. 246. Title Changes. Recataloging should be performed by authorized staff only.

    However, if the change/variation is for the same part, generally a new record should be created unless 5. applies.

    Example:
    v. 1 has title: Neil Simon's collected plays
    Item in hand (for another location or a separate MFHD for the same location) is v. 1. Neil Simon's plays. Create a new record rather than add as another copy.
  2. The addition or change of publisher during the course of publication. (But a combination of different title and different publisher may be a separate edition and require a new record.)
  3. Volumes replaced by photocopies.
  4. Volumes replaced by reprint editions.
  5. Multipart monograph set consists of varying editions, publishers, etc. [use judgment; in many cases a location may own more than one edition of a multipart set]

GUIDELINES FOR ADDED VARIANT COPIES:

Any variations given above, if deemed to be significant by the cataloger, should be recorded in field 590 of the bibliographic record.

Notes given on the bibliographic record must be placed in field 590 with the primary Orbis location code preceding the text.

Procedures for linking 590 to the MFHD are described in Added Copies: Policies and Procedures (see RELATED DOCUMENTS).

Under no circumstances is the bibliographic description (fields 2xx through 4xx) to be changed.

When adding to records with a special collections location (e.g. Beinecke, AOB, and BAC), make no changes to the bibliographic record at all except the addition of 590, additional access points, and authority updates to headings.

Modified version of Added Copies policy from the 1995 version of the Orbis Cataloging Manual.

RELATED DOCUMENTS

Added Copies: Policies and Procedures

[ALCTS] Differences between, changes within: guidelines on when to create a new record. c2004. PDF document available free to ALCTS members at:

http://www.ala.org/ala/alcts/alctspubs/pubswebpubs/webpublications.htm

Library of Congress Rule Interpretations. 1.0. Edition or copy of a monograph. (available through Cataloger's Desktop)

OCLC Bibliographic Formats and Standards: When to Input a New Record:

http://www.oclc.org/bibformats/en/input/

Video (DVD and Videocassette) Original Cataloging Checklist. Examples of when to make a new record

 

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