Level 4 Records
A level 4 cataloging record is defined by the UNLV Bibliographic
and Metadata Services Section as one created and input into OCLC by a member
library other than the Library of Congress, whether or not following AACR2
cataloging rules. Such records may require considerable knowledge of AACR2
and of current LC cataloging practices.
Level 4 records are copy cataloged in the same way and using the same procedures
as Level 1 through 3, but will require much closer attention due to the different
standards practiced by various libraries. In particular, the following areas
will require special attention:
1. 1xx (main entry).
An oversimplified definition of "main entry" might be the author or title
under which the book is alphabetized within its call number classification.
In other words, if all books with a given subject are grouped together under
one call number, they will be subarranged by main entry by creating the last
Cutter number of the call number from the main entry. The main entry is always
the 1xx field, or, if no 1xx is present, the 245.
The rules for determining what the main entry have changed from pre- AACR2
to AACR2 rules. In the past, editors and corporate authors were frequently
main entries. Under AACR2, such entities are rarely the main entry; the main
entry usually being title instead. If it is determined that the 1xx in a record
is no longer the main entry under current rules, it should be changed to a
7xx. The call number will then need to be re-Cuttered. If the original main
entry was a conference and is changed to a 711, it may also be necessary to
change the date in the call number, since items with a conference main entry
bear the date of the conference rather than the publication date.
A summary of the rules regarding main entry is as follows:
- An editor or compiler is not considered to be a main entry.
- A corporate name (110) is not considered to be a main entry unless the
publication officially "emanates" from that body and deals with proceedings,
regulations, etc. of that body.
- If more than one but not more than three actual authors are responsible
for an item, the first named becomes the main entry (1xx) and the others
are entered in 7xx fields. If more than three actual authors are named,
all are entered in 7xx fields and the title (245) is the main entry.
- A conference (111) is a main entry if the publication actually consists
of the proceedings of the conference and the conference is named on the
title page of the item.
- If an item is a translation, etc. of a work, the original author is the
main entry. If the item is adapted to the point of becoming a new work in
effect, then the adaptor, etc. becomes the main entry with a (7xx) name/title
entry made for the author and title of the original work.
If the main entry is a 130, follow the same rules as for 240s:
- If a 130 or 240 is present in the record, change it to a 730 with
indicators 0_ . If it includes a subfield L (language), and does not contain a generic term such as "Works", "Selections", "Plays",
etc.
- If a 130 or 240 does not meet both of these conditions, leave it
as is. If you change a 130 to a 730, change the first indicator of the
245 to zero.
2. Call number verification (090):
All non LC cataloging records must have the call number verified both for classification
and cuttering accuracy as well as location filing in the local catalog (Innopac).
ALL NON-DOUBLE DLC call numbers should be transferred to the local call
number field (the 090). First check that the classification number is consistant
with the subject matter of the book. (refer to
Classification Web). Secondly, verify cutter information is consistant
with any variations made in main entry forms, and use the LC cutter number table
. Once you have established a call number, verify its placement in the local
online catalog to ensure that the shelflisting falls alphabetically in line
with other items in that area.
3. Punctuation.
Punctuation throughout the record should be changed
to standard ISBD (AACR2) punctuation. For information on punctuation, consult
AACR2, 2nd ed., for special cases such as two separate works in one volume,
etc.
4. Fixed field.
The fixed field should be scanned and made consistent
with the remainder of the record. The Desc: field should be changed from
blank to "a" to indicate the upgrading of the record to AACR2. See
Fixed field reference guide for additional information.
5. Control fields.
The 020 (ISBN), 041 and 043 fields should be checked
and corrected if necessary. Two or more ISBNs may often be found in one 020;
these should be split out into as many 020s as necessary.
6. 300 field.
The paging and description will need to be modified
to correspond to current LC practice. In particular, the subfield a will often
count frontspieces, etc. as plates, leaves, etc. which would be ignored under
current practice; obsolete illustration descriptors such as "photos," etc.
may be found in the subfield b. Follow current LC practice which is to refer
to all illustrations as "ill." unless all illustrations in a volume are of
one kind, in which case use only that descriptor.
7. Series.
Invalid forms such as 400, 410 and 411 may appear.
Only 440 and 490 should appear as 4xx fields. If in doubt, discard the
forms found in the record and start from scratch using the item itself
as your source. Create 440 or 490/830 fields as needed in the same way
as for Level 2 cataloging. For additional information see the
Series procedures web page.
8. Notes.
Use only the following notes for bibliographies/bibliographical
references/indexes:
- 504 Includes bibliographical references.
- 500 Includes index[es].
- 504 Includes bibliographical references and index[es].
If a single main bibliography is present, add the page numbering after the words
"bibliographical references" as follows:
- 504 Includes bibliographical references (p. 310-345).
- 504 Includes bibliographical references (p. 310-345) and index.
Do not use such terms as "bibliography", "bibliographical footnotes", "notes",
etc.
Other notes, such as "Reprint. Originally published:", etc. should be modified
or added as needed to conform to current practice.
9. Subject headings.
These will be checked "after the fact" as part
of the routine INNOPAC authority exception report processing and do not usually
require modification. BMS does have several local practices to
watch for, however:
- If the work is a detective or mystery novel, add the heading "Detective
and mystery stories, _____________ [American, English, French, etc.]"
- If the work is a science fiction novel, add the heading "Science fiction,
______________ [American, English, French, etc.]"
- If the work is a novel dealing with ballet, add the heading "Dance|xFiction"
or "Ballet|xFiction".
- Foreign language literature does not receive broad subject headings, such as "French literature|y20th century". Delete any 653s that may be present in the record.
Watch for LC juvenile subject headings (second indicator 1). If there are duplicate
LC subject headings (2nd indicator 0) already in the record simply delete
them; otherwise consult a Cataloger for help in converting the juvenile heading
to a regular LC subject heading. Always
delete all subfields using the word "juvenile". Note that the CML branch
library does use juvenile headings in their cataloging records, hence
juvenile headings are permitted in the local catalog but only in records with
a CML location. See the
CML cataloging procedures for more information.
As always, delete any subject headings with
2nd indicator other than 0 or 2 (with the exception noted above). Keep National Library of Medicine subject headings with a first indicator 1 or 2 (which indicates whether it is a primary or secondary subject heading).
10. 7xx name/title entries (7xx fields with a subfield t).
Be sure
the subfield t does not begin with "A", "An" or "The", or their equivalents
in foreign languages. This will not affect the indicators of a 7xx, neither
of which is a filing indicator.
11. Indicators.
Virtually anything may be found here. Check
all indicators, especially filing indicators, carefully. In particular,
many older LC records omit filing indicators entirely, which will cause
problems with misfiled entries in the database.
12. Multi-volume sets and added copies.
With the exception of analyzed
sets, processing of multi- volume or multi-copy items are considered Level
5 items (see Copy cataloging detailed procedures: level 5 (multiple/added copies/volumes)). However, in the case of analyzed sets the series statement used to link the analytic records with the set record
may change because the main entry of the cover (set) record may have changed
under AACR2. Before doing analytic records, the cover record should be verified
for conformity to AACR2 and the main entry and call number modified if necessary.
If this appears to be the case, consult a Cataloger before proceeding.
Refer to Physical Processing by Staff to determine what processing, if any, is required.
