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Level 5 Records

(MULTIPLE/ADDED COPIES/VOLUMES)

Preliminary Processing of Multiple Copies/Volumes Received Through Materials Ordering & Receiving
Cataloging of Multiple Volumes/Copies
  1. Checking Record for Correct Level
  2. Treatment of New Multi-Volume/Copy Items
  3. Treatment of Added Volumes/Copies
  4. Updating Record in Innopac
  5. Statistics
Appendix: Handling Standing Order Added Volumes

Bibliographic items involving multiple copies and/or volumes require special handling, due to the unusual situations encountered. Two basically different methods of treatment will be followed, depending upon whether the item(s) are received via 1) Serials (serials, sets on standing order) or 2) MOR (new sets, individual items ordered through bibliographers, gift books, replacement copies, etc.). For procedures on dealing with items received through Serials, see the Appendix, Handling Standing Order Added Volumes. Multiple volumes or copies received through Acquisitions are referred to as "Level 5" cataloging.

A Level 5 record is one defined by UNLV Bibliographic and Metadata Services (BMS) as being either in multiple volumes or copies, or an added volume or copy to one already in the collection. A Level 5 book will contain a red or pink flag.


Preliminary Processing of Multiple Volumes/Copies Received Through Materials Ordering & Receiving (MOR)

Whenever MOR encounters an item which is obviously multi-volume or multi-copy in nature, they will add a red flag to the item. This includes If it is unclear whether an item is really part of a multi-volume set or if it is just part of a series, omit the flag.

If the item is an added copy or added volume to one already on the system, MOR may include the call number and the PAC bib. number (if any) on the purchase order, if the item has one, or on a slip of paper if the item has no purchase order (such as a gift book). If the item is a replacement for one previously withdrawn, MOR will provide the copy of the INNOPAC record. MOR will maintain a call number count of items for which no purchase order is made. Items will then be sent to BMS on the same truck as other items of that run date.


Cataloging of Multiple Volumes/Copies

The copy cataloger will encounter several situations involving multiple copies or volumes. The first and simplest is the case where the Library has purchased two or more identical copies of an item. The second is when an item received is a duplicate (added copy) of an item already in the collection. Such cases usually require only the processing of the item and the addition of the necessary information to the bibliographic record.

A more complex situation exists with sets (i.e., a work in more than one different volume). Such sets can be either "analyzed" or not analyzed. A set which is not analyzed has only one bibliographic record, with all the volumes listed in that one bibliographic record. An example would be an encyclopedia. An analyzed set, on the other hand, contains individual volumes which have their own unique titles as well as bearing the title of the set, and often each volume may cover a different subject.

Such a set will have a bibliographic record describing the set as a whole, and giving the call number for the entire set. Each volume will also have its own bibliographic record, entered under the author and title of that volume, with the title (and possibly author) of the set as a whole appearing as a series statement. The call number of such a volume record, or "analytic record", will be the call number of the set plus the volume/part designator for that volume. For example, a set titled "The Anatomy of the atomic nucleus" will have a call number of "QC245.A57 1982", while the 2nd volume of the set, titled "The neutrino and positron interaction" will have a call number of "QC245.A57 1982 vol. 2" and a series statement as follows:

440   4  The Anatomy of the atomic nucleus ; |v v. 2

When BMS first catalogs an analyzed set, an authority record (called a continuation record) is added to the INNOPAC Series Authority File, giving such information as the overall call number, the form of the series statement in the analytic records, the OCLC no. of the set record (called the cover record), etc. If an analyzed set is found in the UNLV database for which no such record exists one will need to be added.

The final situation which may be encountered is of a serial which failed to receive a green flag (such items will have a card in the Series Authority File with a "1" or "2" in the upper right-hand corner). Serials should always be referred to the Serials Librarian regardless of cataloging level.


I. Checking Record for Correct Level

Determine whether the item is new to the collection or is an added volume or copy to one already in the collection.

Catalogers should check the following as clues to an item being an added volume or copy: Sort red-flagged items into "new" versus "added volumes/copies" as follows:

II. Treatment of New Multiple Volume/Copy Items

Examine the call number on the OCLC record. If a volume/part designator is present ("vol.", "pt.", "no.", etc.) skip to Analyzed Sets/Serials; otherwise proceed with part A below.

A. Items Not Part of an Analyzed Set or Serial
  1. Catalog the item, following level I or II cataloging procedures as appropriate and the guidelines in the procedure sheet, Multiple Volume/Copy Item Records on INNOPAC.
  2. Process the finished book according to Level I or II procedures, with the following exceptions:
B. Analyzed Sets/Serials

The following procedures are for items in which a volume/part designator ("vol.", "pt.", etc.) appears in the call number on the OCLC printout.
  1. Check the INNOPAC Series Authority File for an authority record for the set. Note that if the set (not just the individual item) has a main author the record will be indexed under the author, not the title of the set.
  2. If a record is found, check the type of record. If it is a serial record, route the item, printout, and all paperwork to the Serials Cataloger. If it is a series or continuation record, or if no record is found, proceed.
  3. Check for a set record for the item in INNOPAC, searching first by call number (minus the volume/part designator), then by other search keys if necessary.
  4. If the item was found in INNOPAC, note whether analytics are present. This can be determined by noting whether separate records are found for individual volumes in INNOPAC in addition to the set record when searching by call number. If analytics are not found, route the item and all paperwork to your supervisor for correction; otherwise proceed.

    If a set record is found with a range of volumes in the call number (for example, M2.R2382 vol. 15-19), you may have an example of a "set within a set." If in doubt, refer the item and all paperwork to your supervisor.


  5. Barcode the item and catalog the item using the OCLC record found, following appropriate cataloging procedures. Note that a series statement for the set will be present. If no continuation record was found in the INNOPAC Series Authority File, search the series statement for the set on OCLC in the Library of Congress Name Authority File and print off any authority record found. Any other series statements found should be handled as usual.
  6. If no continuation record was found in the INNOPAC Series Authority File:
  7. Process the book and finished printout following appropriate cataloging processing guidelines. When adding volume/part designator to the call number on the title page of the book, use "v.", not "vol." even if "vol." is used in the 050 or 090 in the printout. Other volume/part designators are used as given.
  8. If a set record was already present update it following instructions in Part IV, Updating Record in INNOPAC.

III. Treatment of Added Volumes/Copies

  1. If a record is found in the online catalog and the item is an added copy to one already in the collection, add the necessary information to the online record as described in Part IV, Updating Records in INNOPAC below.
  2. If a record is found in the online catalog and the item is an added volume to one already in the collection, determine whether the set is analyzed or not as described above in "Analyzed Sets/Serials." If not, add the necessary information to the online record as described in Part IV, Updating Records in INNOPAC below, including correcting any "library has" statement and updating the contents note if necessary. If the set is analyzed, update the set record and make an analytic record for the volume in hand, again following the guidelines above in Analyzed Sets/Serials.

IV. Updating Records in INNOPAC

If records are already in the INNOPAC system, volume and/or copy information must be added directly to the item record(s). Such information should also be added to the bibliographic record in the corresponding 949(s). Information in the item records and the 949s should always be maintained together. Changes to 949s should be made using the guidelines and examples in the procedure sheet, Multiple Volume/Copy Item records on INNOPAC.

  1. "Library has" information should be present in the bib record in two places:

    2. When in database maintenance mode (looking at a MARC record), you can see the INNOPAC labels for the fields by entering a plus sign (+). To return to the MARC record enter another plus sign. You should not input new fields while in the INNOPAC label mode.

    Example:
    Marc Record:   9490 UNLM|p31147001470123|vv.1|gv. 1-3, 5
                               9490 |gv. 1-3, 5
    After entering plus sign (+):
                               MARC UNLM 31147001470123 v.1 v. 1-3, 5
                               LIBRARY HAS v. 1-3, 5

    If a 590 with a "Library has" statement is found in an existing bib record, it should be deleted and the holdings information entered in two 949s as described above.

    Note: A "LIBRARY HAS" statement is used only with multi-volume works. It is not used for multiple copies or added copies of a single-volume work.

  2. To modify item records, bring the item record onscreen and use the following procedures:
    1. Adding barcode
      • Press <F2> ("Add barcode")
      • Type in the significant digits of the barcode
      • Press <Enter>
    2. Adding volume information
      • Type "iv" <Enter>
      • Enter the volume information, following the same guidelines as for subfield v in Part I above (if an item-specific call number is being used, do not use this field for volume information; include the volume designator in the item-specific call number instead).
      • Press <Enter>
    3. Adding copy number
      • Type "01"
      • Enter the copy number (do not include "c.")
      • Press <Enter>
    4. Correcting holdings code
      • Type "18"
      • Type in the correct holdings code (it is not necessary to use upper case)
      • Press <Enter>
    5. Adding item-specific call number
      • Type "ic" <Enter>
      • Type in the item-specific call number (including specific volume designator)
      • Press <Enter>
    See the procedure, Editing Records on the INNOPAC System for more detailed information.

V. Statistics

  1. Count each physical item (not each cataloging record) when preparing a count of items cataloged. If cataloging an item for which no record (INNOPAC or shelflist card) is present, place the total item count under "DLC", "Member", or "Original". If a record already exists for a set or if the item is an added copy to one already in the system, record the count under "Added Vol. & Copies."
  2. For each volume/copy added to the collection which does not cause an additional bibliographic record to be added to the database, add a tickmark under "added volume/copy." Total these monthly and submit along with other cataloging statistics.

    3. Examples:
    A copy two is added to a record already in the database. Record one item in the "Added Vol. & Copies" category and add one tick mark under "added volume/copy."

    A new three-volume set (member copy, not analyzed) is cataloged. Record three items under "Member" and add two tickmarks under "added volume/copy."

    A four-volume DLC analyzed set is cataloged (cover record plus four analytic records). Record five items under DLC and no tickmarks under "added volume/copy."

Appendix: Handling Standing Order Added Volumes

  1. Added standing order serial volumes to be sent to the designated BMS library assistant include:
    • Main Stacks or Oversize locations only
    • Only serial records that have an open entry subfield g, e.g., v.24(1985)- or 1985-
    Volumes not to be sent to BMS to add include:
    • Those going to the bindery
    • Those that require the transfer of volumes from one location to another
    • Those in locations other than Main Stacks or Oversize
    BMS library assistant will:
    • Verify title on the piece against the bibliographic record title
    • Verify that the subfield g makes sense in terms of the volume being added
    • Verify that the volume is labelled as specified in the subfield w of the 949 0; Items that are mislabelled will be returned to the Serials Section for correction
    • Create the appropriate 949 0 and its corresponding item record
    • Notify the Serials Section of recent volumes that are lacking 949 0s and items records, e.g., v. 26 is being added and the last 949 0 in the record is for v. 24
    • Count these transactions as bib updates and new items added on INNOPAC statistics; actual count of added volumes is recorded by the Serials Section
  2. Added volumes to most unanalyzed monographic sets regardless of location will be sent to the designated BMS library assistant. Quasi-monographic volumes such as those having subfield g Basic volume, continuously revised or cumulative supplements, etc. will be handled by the Serials Section.
  3. Added volumes that have analytics (either monographic sets or serials) will have individual order records typed. Serial analytics will be flagged with the green serials flag and analytics for monographic sets should be flagged as added volumes. These volumes appear on regular runs of new book trucks and are cataloged by the appropriate level of BMS personnel (see the "Level 5" procedures described earlier). These volumes are counted by BMS as part of their statistics; Serials does not count these volumes.
    4. BMS library assistant will: