Procedures for when to Input a New Record

When to Input a New Record
Catalogers should follow the OCLC guidelines at http://www.oclc.org/bibformats/en/input.html

Chapter Summary
4.1 General Guidelines
4.2 Field-by-Field Guidelines for New Records

Historically, to promote a common basis for decision-making and creation of a useful database, OCLC and its advisory groups established guidelines for inputting new records into WorldCat.

4.1 General Guidelines

Use of guidelines

Although it is impossible to cover every case, these guidelines should help you determine whether an existing record matches the item you are cataloging or whether you should input a new record.

Apply these guidelines to current cataloging and retrospective conversion. These guidelines also describe characteristics of a record that legitimately represents a distinctive bibliographic item.

Basis of guidelines

When you input new records, you should exercise conservatism. If you are transcribing retrospective cataloging copy, be especially conservative because the item is not usually in hand. If in doubt, use an existing record.

Differences Between, Changes Within

In 2004, the Association for Library Collections and Technical Services published Differences Between, Changes Within: Guidelines on When to Create a New Record, which supplements the descriptive cataloging rules. The document provides guidance to the cataloger who has found copy that is a close or near match to the item in hand about whether to use that copy or to create a new bibliographic record.

Differences Between, Changes Within (DBCW) is a valuable supplement to this chapter, but does not replace it. On most major points, the two documents agree. There are, however, several areas in which OCLC, because of the unique cooperative nature of WorldCat and its application of a master record concept, has chosen to differ. These areas are noted below. OCLC requests that users follow OCLC practice in these instances.

Procedure for creating new record
Follow appropriate cataloging rules and input standards. However, you may apply some local or nonstandard practice (other than a local call number or local note) for your own catalog. To do so:

Parallel records
Records for the same title, but cataloged in different languages are parallel records. For more information, see chapter 3, " Special Cataloging Guidelines."

Discrepancies
WorldCat records reflect a variety of input standards, encoding levels and cataloging rules. To correct errors or add information to a record, replace the record or report the changes to OCLC.

Replace the record
In some cases, you can revise and replace a master record. For more information. See chapter 5, " Quality Assurance."

• For example, you can replace a record that you have input if you have attached your holdings symbol and no other member has used it for cataloging.
• You can replace a non-CONSER serial record with ten or fewer holdings.
• With Full authorization or higher, you may do Database Enrichment on most records.
• With Full authorization or higher, you may do a Minimal Level Upgrade on a record with ELvl K, M, 2, 3, 4 (when no field 042 is present), 5 or 7 (except CONSER-authenticated serial records).
• Enhance libraries can replace higher Encoding Levels, according to Regular and National Level Enhance capabilities, add information and correct problems.
Report errors to OCLC
• If your authorization mode and/or the record's Encoding Level do not allow you to replace or upgrade the master record, edit the existing record for your own use and report the errors to OCLC for correction. See chapter 5, " Quality Assurance."

Guidelines for all formats

When comparing records, closely examine the bibliographic description (fields 245 through 5xx) and important fixed-field elements (e.g., Form, Dates).

Different editions

• Input separate records to represent different editions of bibliographic works. See AACR2, appendix D, for the definition of an edition.
• Input separate records to represent different issues of an edition whenever there are significant differences in the description. Significant differences are discussed under 250 edition statement ‡a in section 4.2, Field-by-Field Guidelines for New Records.

Analytical vs. comprehensive entry

• A record for a multipart item or serial and records for their individual parts or issues may coexist. If a record for an item as a whole exists, you can create a record for a part and vice versa. This includes the legitimately separate records for musical scores, parts, and scores and parts. You can also create "In" analytic records for items physically contained within other items.
• You can describe some items lacking a collective title as a unit or make separate descriptions for each separately titled item. (AACR2, rule 1.1G2).• You can also catalog accompanying material separately. Records for items reflecting each of these options may coexist and are not duplicates.

Cataloging rules

• Differences resulting from changes in cataloging rules do not justify a new record.
• Do not create a new record solely because of disagreement with the choice of main entry. Except for serials, do not consider access points (fields 1xx, 7xx, etc.) when deciding whether to create a new record.

Guidelines
CIP Cataloging. Variations in field 245, field 260 subfield ‡c, field 300 and 4xx do not justify a new record when the Elvl is 8. If the CIP describes the item being cataloged, edit that CIP record to reflect information appearing on the item as published.

Integrating resources. A change in title or date appearing on the title page resulting from the publication being updated does not justify a new record. See AACR2, chapter 12 for more information.

Multipart items. A change in title among parts of a multipart item does not justify a new record. Catalog a multipart item as an open entry unless there is evidence that it is closed. Occasionally, a publisher may issue a multipart item in which the individual parts bear differing edition statements and are revised and reissued independently. In such cases, only one multipart item record should exist. See LCRI 2.2 for more information.

Non-Roman scripts. Do not create a new record in order to include non-Roman scripts. Make such additions yourself if you have an authorization that allows you to change the master record or report to OCLC such additions to an existing record.

Record format. A record cataloged on an incorrect workform does not justify a new record. Edit the record for local use and report Type code errors to OCLC so the master record can be changed. See also chapter 5, " Quality Assurance," about reporting Type code changes and Type code editing capabilities.

• BLvl (Bibliographic Level) codes can be corrected. If a serial has been incorrectly cataloged on a wrong material workform, or vice versa, do not create a new record. Report the error to OCLC.
• Do not create a new record because you disagree about the choice of predominant material (e.g., a set of slides with book vs. a book with set of slides). Use of field 006 allows multiple aspects of an item to be accessible. See 006 Introduction—Additional Material Characteristics.
• The coding of certain multiple characteristics of an item can be incorporated into a single record. For instance, nonprint serials should be cataloged using the appropriate nonprint format. Duplicate records for nonprint serials on Serials format are not permitted. See Type (Type of Record) when you are uncertain about the choice of predominant material.
• If you disagree with the choice of format of an existing record, use the existing record and add 006 coding for the additional characteristics.

Record quality. Errors do not justify new records. Report incorrect fields or indicators to OCLC. The absence or presence of angle-bracketed information does not justify a new record. The absence or presence of a field, whether optional or required, does not justify a new record.

Guidelines for serials

Changes in title or main entry determine if a new serial record should be created. For AACR2 cataloging, see rules 21.2A, 21.2C, 21.3B and related LCRIs. For pre-AACR2 cataloging, consult the appropriate rules.

Create successive entry (S/L: Successive/Latest Entry code 0) serial records. (CONSER participants may create latest entry serial records). If the only existing record is a latest entry serial record, either use the latest entry record or input separate successive entry records.

Changes in title proper. Create a new record when the title proper of a serial publication changes. For AACR2 cataloging, do not consider the title proper to have changed in any of the following cases:

• An addition, deletion or change in an article, preposition or conjunction
• An addition, deletion or change in punctuation, including hyphenated words vs. unhyphenated words
• An addition, deletion or rearrangement of the name of the issuing body anywhere in the title
• The change occurs beyond the first five words (disregarding an initial article) and does not change the meaning of the title or scope of the item
• The representation of a word or words, including:

• Later issues have the title in more than one language or script in a different order than that on the earliest issue. Or, later issues have a parallel title that did not appear on the earliest issue
• The title proper fluctuates, and it seems clear that the publisher did not intend to change the title
• Addition to, deletion from, or change in order of words or terms in a list (lists contain at least three items)
• Addition to, deletion from, or rearrangement anywhere in title of words indicating type of resource (e.g., "magazine")

Main entry changes. If the person, corporate body or conference chosen as the main entry changes, create a new record.

Corporate names as qualifiers in uniform titles. Some AACR2 records use a corporate name as a qualifier for a uniform title. If the corporate name qualifier changes, create a new record. A change in a place name qualifier does not justify a new record.

Change of publication, publisher or frequency. If the only difference is a change in the place of publication, publisher or frequency, do not create a new record.

Change in format. If the only change in a serial is the physical format (e.g., from paper to electronic medium), create a new record. This is not the same as having different formats simultaneously published.

Canadian imprints. Through the CONSER program, the Library and Archives Canada (NLC) inputs serials records for Canadian imprints. NLC has established the following policy, which is not used by other CONSER libraries:

• NLC follows AACR2, chapter 11, for the cataloging of microform reproductions. NLC describes the microform in the body of the record and the original in field 534 (Original Version Note). If an NLC microform record is the only record for a microform serial, create a separate record for the item following LC guidelines.