ASIALINK: APPENDIX B, CATALOGING SPECIFICATIONS Prepared by: Shirley Higgins; portions by Cindy Geraldo November 20, 1997 This appendix contains: 1. Bibliographic and Order Record Specifications For Keying in Non-MARC Records on Innopac. 2. Barcoding and Labeling Procedures for Monographs. 3. National Standard Resources to be Applied to Original Cataloging for UCSD. 4. Guidelines for Creating New OCLC Records: Books. 5. Guidelines for Editing Existing OCLC Records: Books. 6. Verifying Headings and Assisting UCSD With Authority Records. 7. Shelflisting Procedures. 8. Instructions for Exporting OCLC Records to InnoPac.1. Bibliographic and Order Record Specifications For Keying in Non-MARC Records on Innopac Codes to be used in the bibliographic records: LANG: kor BRANCH: will vary--see attached list of codes MAT TYPE: m R CTRL CD: - (dash) SKIP: 0 Codes to be used in the order records: LOCATION: will vary--see attached list of codes FUND: ikor1 RLOC: i BLOC: i VENDOR: asial SELECTOR: klo Sample Bibliographic and Order record: ____________________________________________________________________________ B33278350 Last updated: 03-28-94 Created: 03-28-94 Revision: 1 ____________________________________________________________________________ 01 LANG: kor 03 BRANCH: irps 05 MAT TYPE: m 07 R CTRL CD: - 02 SKIP: 0 04 CAT D: - - 06 GOV PUB CD: 08 COUNTRY: 09 AUTHOR Author (Surname, Forename, Dates) 10 TITLE Title : subtitle / statement of responsibility 11 PUBLISHED Place (City) : Publisher, Date 12 ISBN/ISSN 0123456789 ____________________________________________________________________________ O4433889 Last updated: 03-28-94 Created: 03-28-94 Revision: 1 ____________________________________________________________________________ 01 ACQ TYPE: p 07 KEYER: 1 13 ODATE: 03-28-94 19 BLOC: i 02 LOCATION: ik 08 CODE3: 14 ORD NOTE: 20 STATUS: o 03 CDATE: - - 09 RENEWAL: 15 ORD TYPE: c 21 TLOC: 04 CLAIM: - 10 E PRICE: $0.00 16 RACTION: 22 VENDOR: asial 05 COPIES: 1 11 FORMAT: p 17 RDATE: - - 23 VOLUMES: 1 06 CODE1: - 12 FUND: ikor1 18 RLOC: i 24 SELECTOR klo CODES: 1. Bibliographic Branch: ICUL Order Location Code Description _____ _______________________ ckea SSH East Asia crea SSH East Asia Ref 2. Bibliographic Branch: IRPS Order Location Code Description _____ _______________________ ik IR/PS Stacks ir IR/PS Reference Barcoding and Labeling Procedures for Monographs Prepared by Cindy Geraldo September 16, 1997. Barcoding Procedure GENERAL NOTE: If the book to be barcoded does not allow you to follow the guidelines below, or if you have any questions about barcode placement, consult Jean Tzung. 1. Use 2-up barcodes. 2. Place the first barcode horizontally on the upper left corner of the book cover. For hardbound books, place barcodes at least « inch from the top or side of the cover. For Pam bound books or paperback books, place barcodes at least 1 inch from the top or side of the cover, so they won't be cut or lost when the book is trimmed for binding. Do not place barcodes where the book will fold or crease. Do not cover important information such as the title, author, volume numbering, or series statement. 3. Place the second barcode in the upper middle of the first available interior page. Avoid covering important information such as title, author, volume number, series statement, illustrations, etc. Labeling Procedure Format spine labels as follows: Location Label Format ckea SSH EastAsia PL 909 .H26 1990 crea SSH EastAsia Reference HF 1518.5 .V4 A38 1997 ik IR/PS HC 236 .D65 1997 ir IR/PS Reference KF 1987 .A15 O33 1996 Place spine labels on the lower end of the spine, approximately a "finger's width" up from the bottom of the book--if the book is wide enough to accomodate the label without having the label fold over the edges of the book. If the book is too narrow to accomodate the label on the spine, place the label on the upper left of the front cover of the book, below the barcode, and about a "finger's width" from the spine. 3. National standard resources to be applied to original cataloging for UCSD. Anglo-American Cataloguing Rules, 2nd Edition, 1988 Revision LC Rule Interpretations OCLC Prism Bibliographic Formats and Standards OCLC MARC Code Lists PRISM Services Authorities User Guide LC Classification Schedules and Super LCCS LC Subject Cataloging Manual: Classification LC Subject Cataloging Manual: Shelflisting LC Subject Headings LC Subject Cataloging Manual: Subject Headings Free-Floating Subdivisions: An Alphabetical Index LC Period Subdivisions Under Names of Places ALA-LC Romanization Tables4. Guidelines for Creating New OCLC Records: Books. CJK Catalogers will add vernacular fields as required. FIXED FIELDS TAG DEFINITION TREATMENT Audn Target Audience Ignore. Biog Biography Ignore. Blvl Bibliographic Level Change if necessary. Conf Conference Publication Change if necessary. Ctry Country of Publication Input. Dates Date 1 and Date 2 Input. DtSt Type of Date/Pub. Status Input. Desc Desc. Cat. Form Input. Elvl Encoding Level Input. EntW Nature of Entire Work Ignore. Fest Festschrift Change if necessary. Fict Fiction Ignore. Form Form of Item Change if necessary. Gpub Government Pub Change if necessary. Ills Illustrations Ignore. Indx Index Change if necessary. Lang Language Code Input. Mrec Mod. Record Code Change if necessary. Srce Cat. Source Code Input. Type Type of Record Change if necessary. VARIABLE FIELDS Tag Definition Treatment 006 Fixed-length Data Elements Additional Materials Characteristics Input if applicable following input guidelines for fixed fields in that format. 007 Phys. Desc. Fixed Field Input for preservation microforms only. 010 LC Card Number Input as appropriate. 015 National Bibliography No. Input if available when inputting exact LC copy only. 018 Copyright Article Fee Code Input if applicable. 020 ISBN Input if available. 040 Catalog Source Input if not CUS; Ignore if CUS is appropriate value (default). 041 Language Code Input if applicable. 049 Local Holdings Enter the following input stamps: EastAsia stacks: [SSH EastAsia] EastAsia Ref: [SSH EastAsia Reference ] IR/PS stacks: [IR/PS] IR/PS Ref: [IR/PS Reference] 050 LC Call Number Add if available when inputting exact LC copy only. Use of Multiple Call Numbers: Multiple call numbers (090/090 fields in member input; or 050 0/050 14 fields in member input or LC copy and LC minimal-level records) are allowed in these circumstances only: a. Literature numbers vs. PZ numbers for fiction. b. Bibliography number vs. subject. c. LC minimal number vs. member call number. d. Classed together vs. classed separately call numbers for monographic series. For example, if LC NAF treatment differs from UCSD treatment in the series authority record, i.e., LC chooses to class together a monographic series and UCSD classes it separately, you may add a second call number in an 090. In all other cases, only one 090 should appear in the record. When inputting printed LC copy with a call number and UCSD chooses to use a different LC based call number, add the second call number in a second 050 field so that both call numbers remain in the OLUC. Code the first indicator "1" and the second indicator "4." Remember that input of the 050 automatically deletes any 090. 051 LC Copy, Issue, Offprint Statement Add if available when inputting exact LC copy only. 082 Dewey Decimal Call No. Add if available when inputting exact LC copy only. 086 Government Documents Classification Number Input if applicable. 090 Locally Assigned LC Number Input as necessary. See 050 for Multiple Call Numbers. 1XX Main Entry Input if applicable. 240 Uniform Title Input if applicable according to AACR2 and LCRIs. 245 Title Statement Input. 246 Varying Form of Title Input if applicable. 250 Edition Statement Input if applicable. 260 Publication, Distribution, Etc. Input. 300 Physical Description Input. 4XX Series Statement Input if applicable. Follow LCNAF treatment when available. 500 Notes For Level I, notes may be required to justify added entries, according to AACR2R rule 21.19F. Enter all notes, as described in AACR2R chapters 1-12 that are applicable to the item in hand. 501 "With" Note Input if applicable. 502 Dissertation Note Input if applicable. 504 Bibliography, etc. Note Input if applicable. 505 Formatted Contents Note Input if applicable using $a only. 515 Numbering Peculiarities Input if applicable. 533 Photoreproduction Note Input if applicable. 538 System Details Note Input for accompanying computer files. 546 Language Note Input if applicable. 550 Issuing Body Input if applicable. 580 Linking Entry Complexity Note Input if applicable (component parts and technical reports). 590 Local Note Input if applicable. Subject Added Entries 600-651 Input if applicable. Do not input $e, $u or $4. Added Entries 700-730 Input if applicable. Do not input $e, $u, $x, or $4. 773 Host Item Entry Input if applicable for component parts only. Local Added Entries 790-793 Input if applicable. Series Added Entries 800-830 Input if applicable, using the LCNAF form if available. If not available, input locally-established form. Do not input $e, $u, or $4. 949 Local Processing Information See instructions on p. 20-21. 5. Guidelines for Editing Existing OCLC Records: Books. NOTE: All fields are accepted as is unless indicated below. For fields listed below, check all tags, indicators and subfield codes for accuracy and correct if necessary. Do not modernize description to reflect current rules and rule interpretations, but follow current rules when adding descriptive information. CJK Catalogers will add vernacular fields as required. FIXED FIELDS Tag Definition Treatment Conf Conference Publication Correct if necessary. Try Country of Publication Correct if necessary. Dates Date 1 and Date 2 Correct either or both dates if necessary. DtSt Type of Date/Publication status Correct if necessary. Elvl Encoding Level Ignore, unless enhancing or upgrading record. Fest Festschrift Ignore, unless enhancing or upgrading record. Form Form of Item Use with microforms and photocopies. Correct if present, add if not. Gpub Government Publication Ignore. Lang Language Code Correct if necessary. Type Type of Record Accept as is on copy until OCLC performs Phase II Format Integration conversion. After that time, correct if necessary.VARIABLE FIELDS Tag Definition Treatment 006 Fixed-length Data Elements-- Additional Material Characteristics Use only when book or microform is accompanied by non-book materials such as sound recordings or CD-ROMs. When adding or modifying, follow the fixed-field guidelines for that format. 010 LC Control Number Correct if present, add if not. Do not transfer LC control number from minimal level DLC/DLC record to OCLC member-contributed record. 011 Linking LC Control No. Correct if present. If missing, add as $w of 776 field. 020 ISBN Correct if present, add if not (even if multiple ISBNs are present). 041 Language Code Correct if present, add if not. 049 Local Holdings Enter the following input stamps: EastAsia stacks: [SSH EastAsia] EastAsia Ref: [SSH EastAsia Reference ] IR/PS stacks: [IR/PS] IR/PS Ref: [IR/PS Reference] 050 LC Call Number If 050 on copy is call number of choice, correct typos and ignore indicators. If adding 050 from printed copy, input as given with correct indicators. For Enhance/Upgrade: Use of Multiple Call Numbers: Multiple call numbers (090/090 fields in member input; 050 0/050 14 fields in member input of LC copy and LC minimal-level records) are allowed in these circumstances only: a. Literature numbers vs. PZ numbers for fiction. b. Bibliography number vs. subject area number. c. LC minimal number vs. member call number. d. Classed together vs. classed separately call numbers for monographic series. For example, if a member library has chosen to class together a monographic series with an analytic call number in an 090 field, and your library classes it separately, you may add a second call number in an 090 field. In other cases, only one 090 should remain with the record. Leave the inputting library's number unless it is clearly incorrect, not merely a matter of judgment. When upgrading or enhancing member-input LC copy with an 050 call number, or an LC minimal-level record, add the second call number in a second 050 field so that both call numbers remain in the OLUC. Code the first indicator of the second call number "1" and the second indicator "4." Remember that input of the 050 automatically deletes any 090. 060 NLM Call Number Ignore. 086 Government Documents Classification Number Ignore. 090 Locally Assigned LC Number Correct or add as needed. For use of multiple call numbers see 050 above. 096 Locally Assigned NLM Number Ignore. 1XX Main Entry Do not change choice of main entry as long as all appropriate access points appear as main and added entries on record. Correct form, if necessary, including capitalization and punctuation. 240 Uniform Title For copy cataloging, accept uniform titles as they appear on copy. For enhance and upgrade, follow AACR2. 245 Title Statement Correct and/or add titles, subtitles, and statements of responsibility as necessary. Add the medium (GMD) if necessary, including brackets. If the GMD is already present without brackets, add brackets. 246 Varying Form of Title Correct if present, add if needed. Do not convert existing 740 X1s to 246s. 250 Edition Statement Correct typos. Add if necessary. 260 Publication, Distribution, Etc. Do not correct bracket usage. Place (a): Ignore absence or presence of larger body qualifier for place. Name (b): Accept form of publisher(s) as on record. Add additional publishers if necessary. Do not add distributor if missing on record. Date (c): Correct if present, add if not. 300 Physical Description Extent of item ($a): Don't add preliminary paging if missing. Check last page to be sure you have same edition. Accept pagination in most cases, e.g., if there are 348 p. in book, but numbering only goes to 346 and the copy says 348, accept. Ignore plate pagination or lack of. Don't add any spaces before v. on open entries. Illustrations ($b): If on copy, accept as described. If book has easily ascertainable illustrations not indicated on copy, add. Dimensions ($c): If book and size notation look compatible, accept. Add if missing. Discrepancies more than 3 cm. may indicate variant ed. 4XX Series Statement/Added Entry Reminder: 400, 410, and 411 are not valid under AACR2R. Change to 490 1 and 8XX instead. Add or correct as necessary but do not change 490 1 for style. 440s: If the authority file form of title matches the book and copy but the volume designation does not, edit the volume designation to match the authority file form. For enhance, transcribe volume designation as on piece and reformat after update to match UCSD volume designation. 490 Series Statement Correct if present, add if not. 490 0: Delete initial article if not in English, except for enhance/upgrade. 500 Notes Unless specified below, accept order and wording as on record, unless inaccurate or misleading. For AACR2 records, if source not given for quoted notes, don't add. Delete other libraries' copy specific notes. Delete rare books notes, e.g., binding info. Add notes as necessary to justify additional added entries. NOTE: Fields 515 (Numbering Peculiarities); 546 (Language Note); and 550 (Issuing Body) are new to monographs. If this information is on existing copy as 500 notes, leave. If adding this info, input in correct new field(s). If information that should be in a 502, 504, 505, or 533 field appears on copy as a 500 note, correct tag. 502 Dissertation Note. Add if necessary. 504 Bibliography/Discography Note Accept as is. Don't add bibliography or index notes if missing from record except for enhance or upgrade. 505 Formatted Contents Note Accept as on record, correct typos. Add contents when necessary, following subfielding practice of existing contents. If no existing contents, input all in $a. For multi-volume sets, accept existing contents and add additional contents based only on volumes in hand. 533 Photoreproduction Note Correct if present. 534 Original Version Note Accept as on record. 538 System Details Note. Add if missing for accompanying computer files. 590 Local Note Add when necessary based on local procedures. Subject Added Entries 600-651 Accept order of 6XX as on copy. Ignore absence or presence of final period. Delete $e, $u and $4 if present. All headings with 2nd indicator O(LC) or 4(local): Correct if present, add if needed. All headings with 2nd indicator 1, 2, 3, 5, 6, 7, 8: Ignore. 655 Index Term, Genre/Form Delete Added Entries 700-730 Correct if present, add if needed. Ignore absence or presence of final period. Accept order of added entries as on copy. Delete $e, $u and $4 if present. 740 Added Entry, Uncontrolled Related/Analytical Title Titles that should now be tagged 246 may still appear as 740s on copy. Leave as tagged and correct typos and indicators as necessary. If uncontrolled related/analytic title(s) missing, add in 740 X2. If any other types of title(s) missing, add in 246. 752 Hierarchical Place/Name Access Delete 755 Added Entry, Physical Delete 776 Additional Physical Form Entry $c and $w only: Correct if present, add if needed. Delete other subfields. Local Added Entries: 790-793 Add if needed. Series Added Entries 800-830 Correct if present, add if needed. Delete $e, $u and $4 if present. 949 Local Processing Information See p.20-21 for instructions. 6. Verifying Headings and Assisting UCSD With Authority Records. * When creating new records on OCLC, all name, series, and uniform title headings used must be verified in, and input as found in the Library of Congress Authority File on OCLC (LCAF). * To assist UCSD with creating authority records for name and title headings used, AsiaLink staff will make a printout of each bib record after it is completed. Please make the following annotations on the OCLC printout for each heading used: - LC (For headings which were found in the LC authority file on OCLC, and which don't have x-refs.) - LCX (For headings which were found in the LC authority file on OCLC, and which do have x-refs.) - O (For headings which were not found in the LC authority file on OCLC, and were therefore established by AsiaLink staff.) - Record variant forms of headings which must be added as cross references on authority records. * Topical subjects must be verified by AsiaLink in Library of Congress Subject Headings, but no additional markings on OCLC printouts are needed by UCSD for this type of heading. Authority records for topical subjects will be created post-cataloging by the Authorities Unit at UCSD. 7. Shelflisting procedures. General note: When assigning or modifying call numbers used in original or non-LC copy cataloging, UCSD uses double digit book cutter numbers. Copy Cataloging LC MARC Copy: Accept call number as found on copy, except in the case where LC has supplied alternate class numbers for bibliographies or analyzed titles: For bibliographies, use the alternate subject classification number, assign a book cutter number, and add a date as appropriate. Search this call number in the shelflist to insure that it does not conlict with an already existing call number. For titles which LC has analyzed, check UCSD's authority file to determine UCSD's treatment for the set. If UCSD analyzes the title, use the call number indicated in the authority record. If UCSD classes the title separately, use the LC alternate classification number to construct a call number, then verify that the call number fits into the UCSD shelflist. If there is no UCSD authority record for the title, follow LC treatment, and create an authority record for the set title. OCLC Member Copy: For copy cataloging using OCLC member-input copy, UCSD generally accepts the classification which is found on the copy. Call numbers are searched in the shelflist to insure that the classification is consistent with UCSD's shelflist, and to make sure that the book cutter number fits alphabetically. UCSD uses double-digit book cutter numbers and dates in all call numbers for current cataloging, and adjusts call numbers on copy as needed to fit this practice. Search the classification number in InnoPac. If the classification number is found, scroll down to the cutter number for the book in hand. Check nearby titles and/or subjects to make sure they are in the same subject area as the book in hand. Check to be sure the book cutter is consistent with the cutter numbers in the shelflist (cuttered by main entry, or editor, or title, etc.) Check to be sure the cutter number of the book in hand files alphabetically and does not conflict with existing cutter numbers. If the classification number is not found in InnoPac, check LC Classification Schedules to verify that the call number is valid. If the call number is not valid, assign a valid LC call number and lock and replace the OCLC master record. Original Cataloging Assign call numbers using LC Classification schedules, Super LCCS, LC Subject Cataloging Manual: Classification, and LC Subject Cataloging Manual: Shelflisting. For bibliographies, prefer the subject, rather than the bibliography classification number. Use double digit book cutter numbers and dates. Search call numbers in UCSD's shelflist and adjust book cutter numbers as needed. 8. Instructions for exporting OCLC records to InnoPac. Bibliographic Records: To export bib records, two 949 fields must be added to the OCLC record. One 949 contains information for the creation of the InnoPac bib record, and the other 949 contains information for the creation of the InnoPac item record. UCSD uses constant data records or macros to create 949 fields to export OCLC records to InnoPac. Bib record 949: 949 _1 $a *recs-b;bn-[branch code];b1-m;ov-.b[InnoPac bib record number]; "*recs-b" starts every bib record export line. "bn-" is for the branch code. Branch codes for CJK cataloging are: - icul for East Asia - irps for IR/PS "b1-m" is used for monographs. [b one-m] "ov-" is followed by the InnoPac bib record number of the record to be overlayed. example: 949 _1 $a *recs-b;bn-icul;b1-m;ov-.b12345678; Item record 949: 949 __ $a [call number class number] $b [call number cutter number and date] $d [volume designator--use if other than default "v." is needed] $e [volume number] $u [free text volume info] $g [copy number--use if other than default "1" is needed] $i [barcode] $l [item location code] $n [note] $s [status code--use "t" for in transit] $t 0 [zero for monograph] $z [MARC tag and indicator numbers from the call number] This 949 must always contain subfields a, b, I, l, n, s, t, and z. Subfields d, e, u, and g are used as needed. Item record location codes are: ckea for SSH East Asia stacks crea for SSH East Asia Ref ik for IR/PS stacks ir for IR/PS Ref For statistical purposes, always input a note in the item record using this format: //[3 letter code for month and 2 digit year]/tp[for TechPro];;[COP=copy cataloging or IN=original cataloging] The month codes are: JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC examples of completed 949 fields: 949 __ $a HC257 $b .D56 1997 $i 31822023857493 $l ckea $n //OCT97/tp;;COP $t 0 $z 050 00 949 __ $a AS161 $b.B39 1990 $d Bd. $e 1 $g 2 $i 31822034095734 $l ik $n //DEC97/tp;;IN $t 0 $z 090