Scope and Breadth

General instructions given in Record Creation apply to complex processing (sets and conferences) and special processing such as on-demand reproductions. Specific guidelines, exceptions and special procedures are given in special processing routines in BP Procedures.

Do not apply the field-by-field guidelines in Record Creation to Rare Book processing.

The term ORF is used in this document as a generic term referring to ORF, MOF, CRC, Yellow Slip, Approval Plan Slip, etc.

Other sources of information:

Bibliographic Processing Cataloging Rules

OCLC Bibliographic Formats & Standards

Workflow

• Select materials, reviewing each item to ensure it does not belong to a specialized workflow.
• Examine the Flier(s)/ORF or any accompanying printouts for special processing instructions.
• Search a variety of databases for exact or near copy. Begin your search in The CAT. Some external databases to search are: OCLC and RLIN.
• Apply Match Criteria when copy is found. Make sure to check for series.
• Process the item according to the procedures outlined in this document.
• Record statistics.

Policy on Acceptance of Copy

See Encoding Level definitions for more detailed descriptions of various levels of copy in each category.

Exact Match Copy

The information in the record accurately describes the item in hand. (See also Match Criteria and Field-by-Field Guidelines.)

Full Copy

AACR2 or Pre-AACR2 copy from a U.S. source with an LC classification and subject heading(s). Foreign copy with English subject headings and a usable call number may also be used. See Foreign Copy Policy. (NOTE: Subject headings are not required for literary works.)

In addition to full level CAT and LC MARC records, consider the following full copy:

LC CIP

OCLC Enc lvl: [blank], 1, I, L, 4, sometimes 8

RLIN dcf: a, u

Foreign copy with subject headings in English and a usable 050/090

See also Encoding Level definitions.

In general, accept copy as found. Do not update Pre-AACR2 records to conform to AACR2 standards. Correct obvious errors (i.e., typos, incorrect indicators, etc.) Make referrals as necessary.

Full Level CAT Record

Added Location

When the item is going to a new location, add the location; no further processing is necessary.

Same Location: Duplicate/Replacement

When the Flier/ORF and the record contain the same UP Home Location, check the Flier/ORF for the instruction, "OK to dup for [location]" or for replacement instructions. Add as second copy if so instructed; process replacements as per current guidelines.

If this information does not appear on the Flier/ORF, write "Dup in [location]" at the top. Initial and date it and place the item in the Acquisitions' Duplicates box.

Duplicate locations for CCL items are added without question. Duplicate surrogates, however, must be investigated. When the Surrogate/CRC form does not include "Okay to duplicate," contact library staff at the Campus in question for instruction.

See also Handling of Duplicate Items.

Incomplete Copy

AACR2 or Pre-AACR2 copy lacking either LC classification or subject headings. See Foreign Copy Policy. (NOTE: Subject headings are not required for literary works.)

Consider the following incomplete copy:

OCLC Enc lvl: 2, sometimes 7 or 8 or K, M

RLIN dcf: [blank], i, p, r, ?

Foreign copy: English subject headings present but lacking a call number

Use full-level OCLC or RLIN copy when available; refer copy with valid subject headings but no call number as a Call referral. Do not use the 055 to create a call number.

See also Encoding Level definitions.

Unacceptable Copy

Copy which lacks both LC classification and subject headings.

Consider the following unacceptable:

LC MLC

LC In Process (MIP)

OCLC Enc lvl: 3, 5, sometimes 7 or K

Continue to search for matching or near copy. Input an MLP record for the item or refer, if necessary.

CAT MLP and MLC

Continue to search for copy, when none is available, add a location to the MLP record and refer as required.

Foreign copy lacking a call number and subject headings in English (See Foreign Copy Policy.)

Near Copy

Near copy describes a different version of the item in hand.

See Near Copy Cataloging guidelines.

The six categories of near copy are described below.

Revised Editions

The informational content has been revised, rewritten, updated, or changed in some manner.

Item in hand: 2nd ed.

Available copy: 1st ed.

Editions Published by Different Publishers

The publishers vary, but the informational content remains unchanged.

The most common example of this is a simultaneous publication.

Available copy: London, Gale Research International

Item in hand: Detroit, Gale Research

Reprint and Facsimile Editions

Reprint and facsimile editions are made for out of print publications which have been copied and published by a reprint publisher. This category includes newly published items that are close reproductions of the original in terms of paper, binding, print, etc.

Do not confuse with on-demand reproductions.

Original and Translated Editions

Copy is for an item in a different language from that of the item in hand.

Editions Produced in Different Physical Forms

The same informational content issued in different physical formats (e.g., microform version of paper copy).

On-Demand Reproductions

Items reproduced either commercially or non-commercially at the request of an individual or corporation. The original may be paper, microform, etc. Unlike an edition, these are not mass produced. Also see Reproductions.

Foreign Copy Policy (National Library Cataloging other than LC)

Accept foreign national copy (i.e., Canadian, UKM, Australian, New Zealand and other English language foreign MARC copy) when it is the only copy available and refer it for call numbers and/or subjects when they are missing, as usual. The original cataloger who assigns the call number and/or subjects has the option to do the authority work for the name headings or to let them be taken care of by the Authority Control vendor.

If a call number and subjects in English are present, foreign copy may be used without referring. Headings will be checked by the Authority Control vendor.

Note: ANY national library cataloging that has been updated by a member library (look for library identifier in 040 field) is accepted as copy if it meets other criteria.