SWIFT
Cataloging Practices Manual [CPM-200]

COPY REVIEW GUIDELINES FOR PRINTED MONOGRAPHS

Bibliographic Record Procedures

BACKGROUND

These guidelines apply to cataloging records for books when the cataloging record is determined to be standard. In this document the terms "cataloging record" and "cataloging copy" are used interchangeably. For definition of standard copy see CPM-010 and CPM-011.

The primary objective in comparing cataloging copy with the book in hand is to determine that the record and the book match. In most instances this determination can be made by comparing the book in hand to fields 1XX to 4XX/8XX. Usually the review of these fields will be sufficient to accurately identify the book and to provide access to it. Fields beyond 1XX to 4XX/8XX should be examined only in cases of doubt as part of assigning a call number, or when a work of non-fiction lacks subject headings. If the copy in hand does not match the copy found, follow departmental guidelines on whether to continue processing, process as variant edition, or route the book to other department or backlog.

For more detailed information regarding values, tagging and indicators of the fields mentioned in this document, see Understanding MARC bibliographic: machine-readable cataloging and MARC21 concise format for bibliographic data.

In order to make the most efficient use of shared resources, once the cataloging copy is determined to match the book in hand, the record should be adjusted as little as possible. Minimal adjustment to records determined to be standard should result in a timelier processing of material. Unnecessary adjustments can also result in the creation of a new RLIN cluster, or OCLC record, often increasing the duplication of records.

The following is a complete list of fields and subfields to be examined as the copy is reviewed. If a field or a subfield is not included in this list, it should be accepted as is.

PROCEDURES

  1. BASIC GUIDELINES

    When examining the fields to be reviewed, apply the following guidelines:

  2. FIXED FIELDS

    With the exception of the fields mentioned below, accept fixed values as is. If corrections are made to any of the following fields, also add institution identifier (e. g. $d NNC or $d NNC-EA) to the 040 field in the record.

  3. VARIABLE FIELDS

    1. 020 field

      In general, accept the 020 field as found in the record. For single volume monographs add the ISBN number (without hyphens) only when the book has it but record does not. For multi-volume sets if there is no 020 field in the record add only the first volume ISBN or the set ISBN, do not add ISBN(s) for added volumes.

      If cataloging a paperback on a record describing a hardbound copy with only one 020 field, add the ISBN for the paperback using (pbk.) at the end of the field.

    2. 024 field

      Accept only a 024 field with a 13-digit ISBN number. If an 024 field has any other values and blank indicators, delete it. (In most cases MARC validation will prevent a record without proper indicators from saving in CLIO.)

    3. 035 field

      Only the following 035's should stay in a record that has been imported or loaded into CLIO and is used to catalog a matching item:

      - 035 followed by an OCLC record id number (OCoLC)ocm

      - 035 followed by a Columbia RLIN id number (CStRLIN)NYCG, NYCP, NYCT

      - 035 followed by a NOTIS CLIO ID number (AVD7318CU) in a subfield 9

      - 035 followed by NNC and Voyager id number, e.g. (NNC)3653483

      - 035 followed by DLC and an LCCN number, e.g. (DLC) 2003027324

      All other 035's should be deleted.

      Note: 035 field followed by Columbia RLIN id number (CStRLIN)NYCG, NYCT, or NYCP should be retained as long as a record with this particular id number remains in RLIN. If the record is deleted from RLIN the 035 field with the RLIN id should be deleted from CLIO as well.

    4. 040 field

      Add $d NNC to the 040 field if you update the record. Do not add it twice if you update more than once.

    5. 050 and 090 fields

      In general, leave the 050 and 090 as found in the record, except when adjusting a CIP date. Any other modifications to the call number should be done in the holdings. [link to the call number verification document]

    6. 245 field

      Proofread words in $a, $b, $c, $n and $p against title page of the book in hand and correct any typos.

      245 $a
      - check if the title begins with initial article and if so, check that the second indicator is appropriately set; correct if there is a discrepancy
      - do not correct punctuation or placement of delimiters

      245 $b
      - book has a subtitle and record does not: add the subtitle

      245 $h
      - if a record has subfield h, search for one without it, if not found, consider variant edition

      245 $n and $p
      - if $n and $p are present in the record search for a multivolume set record first in CLIO and then in OCLC or RLIN. If a set record without $n and $p is found add the volume to the set or route to adding staff.
      - if a set record is NOT found, accept as is unless volume in hand contradicts coding (e.g. v. 2 is received for a title previously thought to be complete in one volume). If in doubt, consult supervisor.

    7. 246 field

      246 field represents variant forms of title. The second indicator in 246 field do not represent filing indicators. Do not "correct" them, accept as found.
      If the title on the title page differs from the title on the cover, and there is no 246 14 in the record, consult supervisor.

    8. 250 field

      If record and book match on 245, 260, and 300 fields in all respects but 250 does not match, use the following guidelines for processing:

      - record and book match: accept
      - record has 250 and book does not: remove from record
      - record lacks 250 but book has it: add
      - record has a different edition from the book: search OCLC and RLIN for matching copy:

      • if found: accept
      • if only a different edition is found, follow the procedures for variant edition cataloging described in CPM-205

      Substitute Arabic numerals for Roman numerals, numbers expressed as words or numerals in vernacular. If the book is in English, record ordinal numerals in the form 1st, 2nd, 3rd, 4th, etc. For other languages, follow the usage of the language (using "." to indicate an ordinal number), e. g. 1er, 1re, 2e, 3e, etc. (French); 1., 2., 3., etc. (German); 1o, 1a, 2o, 2a, 3o, 3a, etc. (Italian).

      Abbreviate words in edition statements according to the lists of Roman and Cyrillic abbreviations.

    9. 260 field

      Proofread subfields $a, $b, $c, $e, $f against the book in hand and correct any typos.

      260 $a
      - as long as any place name from book appears in record, consider it a match and don't adjust it
      - if record has fuller form of the place name than the book, accept it e.g. Cambridge [Mass.]
      - when there are multiple places of publication in the book and at least on of them is transcribed in the record, accept it
      - add a place if it is clearly found in the book and the record has only [S.l.] or if $a is missing, and adjust the country of publication code in the 008 accordingly
      - do not add or delete brackets around place unless it is [S.l.]
      - if a question remains whether to adjust the record or not, consult supervisor

      260 $b
      - if this subfield contains the most unique element of a commercial publisher's name, accept it and don't adjust to correspond to book in hand
      - name of a commercial publisher can be in a shorter form than it is in the book, e.g.
      Penguin for Penguin Books
      Bohlau for Bohlau Verlag
      or it can appear in an abbreviated form, e.g.
      Wydawn. Marabut for Wydawnictwo Marabut
      Educational Pub. Co. for Educational Publishing Company

      These variations are acceptable
      - disregard the absence/presence of Inc., LTD, et cie, etc.
      - if record matches the book in all other respects, do not add distributor if missing, do not remove distributor if present
      - add the publisher's name if clearly found in the book and the record has only [s.n.]
      - do not add or delete brackets around a name unless it is [s.n.]

      260 $c
      - compare publication date with the book; if date matches, accept as is
      - do not add or delete copyright date
      - do not add or delete the copyright symbol, square brackets, or a question mark
      - if it's not clear if the imprint date is a printing or edition date, consult supervisor
      - remove any angle brackets (< >) around dates
      - if you have first or last volume of a multivolume set, adjust dates as necessary. Consult supervisor in case of doubt.

    10. 300 field

      If otherwise standard record lacks a 300 field, add 300 $a, $b, and $c as appropriate.

      300 $a
      - in instances of complicated or highly irregular paging, consult supervisor before spending an undue amount of time on resolving it. If record has 1 v. (various pagings) accept as is
      - compare pagination to book (check for preliminary pagination and last numbered page), adjust if necessary
      - when cataloging a complete set and record has incomplete holdings in 300 $a, complete it
      - when record has complete 300 $a and you do not have all the volumes, do not alter the number of volumes (record the volumes in hand only in the MFHD record)
      - do not change p. of plates to leave of plates and vice versa
      - add leaves or pages of plates only if they are numbered, do not adjust Illustrations field in the 008 of the bibliographic record
      - remove any angle brackets (< >) and information within them

      300 $b
      - accept as is
      - add $b ill. if there are significant illustrations in the book but do not modify Illustrations field in the 008

      300 $c
      - accept as is, DO NOT add unless the item is less than 15 cm. or more than 28 cm., consult CPM-605 for oversized categories
      - add or adjust if the item width is more than the height, or if there is any other reason to record size. If in doubt, consult supervisor.
      - add if completing CIP, see CPM-250

      300 $e
      - accept as is, add if book has accompanying material but $e is missing and the accompanying material is NOT mentioned in a note.

    11. 4XX/8XX fields

      In a standard record, accept all series statements/tracing as is. Search all series statements appearing in a record. If the record lacks a series statement but the book in hand clearly is a part of a series, 4XX/8XX has to be added with all required delimiters including subfield v. Do not add subfield x (ISSN number) to the record but accept if it is already in the copy. Omitted series may appear in the colophon, on a jacket, the cover, or a flap. DO NOT search for series in the text itself. When in doubt, consult supervisor.

      Follow procedures described in CPM-327 to determine series treatment in CLIO. If determined that the piece in hand is part of a serial or an analytic, route as appropriate.

      If the series is coded 440, accept as is only check filing indicator for accuracy.

    12. 5XX fields

      Accept all notes including their phrasing and content, except as instructed below:

      DO NOT ADD:
      504: any kind of bibliographic note
      500: any notes pertaining to the origin, history, provenance, etc. of the book (e.g. Proceedings of a conference; Originally presented as author's thesis, etc.)
      586: any kind of award note

      DO ADD:
      500: Errata slip inserted.
      505: Update with the latest volume(s) title when adding to a multivolume set
      534: Reprint. Originally published: Place : publisher, date. (when cataloging a reprint only)
      590: used only for rare book cataloging (see CPM-222).

      DELETE:
      Non-Columbia copy specific notes in 500 and 590 fields.

      All copy specific notes for non-rare books should be added to the MFHD (see CPM-560)

    13. 6XX fields

      In general, subject heading (6XX) on standard member copy can be accepted as is. However, there are situations when 6XX fields need to be examined. In addition to the following guidelines, see also copy review guidelines for UKM and EQO records [link to document]

      1. Reasons for examining subjects:
        - subjects are coded with non-standard tags and/or indicators (see point 2 below for definition of standard and nonstandard tags and indicators)
        - a record that should have subjects has no subjects at all (see point 3 below on how to identify them)
        - a record with standard subject headings needs to have an LC call number assigned

      2. Subject headings considered to be standard

        The following tags represent standard subject headings assigned according to the Library of Congress Subject Heading list (LCSH): 600, 610, 611, 630, 650, 651 with second indicator 0

        If the second indicator is not 0, the subject heading is NON-STANDARD.

        The 6XX fields with a second indicator 2 represent Medical Subject headings (MeSH), which are used in the HSL cataloging. See point 4 below for guidelines.

        Tags 652, 653, 654, 655, 690, 691, 696,697, 698, and 699 with any indicator represent NON-STANDARD subject headings.

      3. How to tell whether record should or should not have subject headings

        In general works of fiction (novels, poetry, short stories, drama, film scripts) or anything else that is a work of the imagination do not have subject headings. Although there are some exceptions (e.g. most collections of fiction) usually works with call numbers beginning with letter "P" do not require subject headings. (Some libraries, including LC assign subject headings to works of fiction. These are not required but should not be deleted from the record if present)

        In general, if the work has a call number that begins with a letter other than "P" it requires a subject. Books about specific subject, person, institution, criticism of literary works, conferences, congresses, etc. should always have at least one subject heading.

      4. Procedures - follow the chart below:

        Subject Headings on Record

        Actions

        600,610, 611, 630, 650, 651 with 2nd indicator 0 (standard)

        Accept as is without checking unless to assign or verify call number

        600, 610,611, 630, 650, 651 with 2nd indicator other than 0 (non-standard)

        Consider record to be non-standard, process for Precat. If in doubt, consult supervisor

        Standard and non-standard subject headings on the same record

        Accept as is without checking unless need to assign or verify call number Do not delete the non-standard subject headings

        Record that should have subject headings does not (see point 3)

        Consult supervisor whether to process for Precat

        Only 600,610,611,630,650,651 with 2nd indicator 2 (MeSH) headings

        CU staff - search for and use another record with standard LC headings; if record with 6XX 2nd indicator 2 headings is already in CLIO search for record with standard LC headings and merge with the HSL record

    14. 7XX fields

      Delete any 7XX fields with $5 related to local notes of other libraries.

    15. 856 field

      Delete URLs for other versions of the resource, i.e. those coded 856 41. Retain URLs for related resources, i.e., those coded 856 42.

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    Last updated: 8/10/17 mdw