Level 3--Guidelines for applying to print monographs

I. Introduction

Before March 2009, print monographs which had imprints at least five years old and which had not yet been fully cataloged (i.e., “recycled” materials) were given Level 3 (Abbreviated) cataloging.  As of March 2009, all print monographs entered in SUL’s catalog are eligible for Level 3 cataloging.  This category includes records for serial analytics, as well as two (or more) separately-published titles bound together (“bound-withs”).  In addition, as of that date, no collection-level records will be treated as Level 3 by the Classification Unit.

This document provides local SUL guidelines for creation of Level-3 records for print monographs according to RDA.  For examples, see ckeys 10330460, 10112813 and 10318821 in Symphony WorkFlows.

II. Required Fixed Fields

Rec Typ    TYPE of RECORD

            a       Printed language material

            t         Manuscript language material, including unpublished theses, microform and photocopy of dissertations 

Bib Lvl       BIBLIOGRAPHIC LEVEL

            m      Monograph 

Enc Lvl      ENCODING LEVEL

            3       Abbreviated level 

Desc           DESCRIPTIVE CATALOGING RULES

            i         ISBD, i.e., record is formulated according to International Standard Bibliographic Description conventions. 

Dat Tp        TYPE of DATE

A one-character alphabetic code derived from information in field 264.

s        Single date

Indicates that the date consists of one known or probable year of publication.

m      Multiple dates

Indicates the range of years of publication of a multipart item.

Date1 contains the initial or earliest known date and Date2 contains the terminal (or ending) date. If initial year and terminal year are the same, use code s. For incomplete multipart items, Date2 is represented by 9999.

t         Publication date and copyright date

Date1 contains the year of publication; Date2 contains the year of copyright notice.

   r         Reprint/reissue date and original date

Date1 contains the reprint/reissue date; Date2 contains the date of the original.

   q         Questionable date. A range of years is the only date that can be specified (e.g., between 1960 and 1969). Give the earliest year in Date1 and the latest in Date2.

 

Date1/Date2       DATE(S)

Dates are represented by four digits.  Missing/unknown digits are represented by the character "u".

Examples:

        Single known date

          Dat Tp                  s

          Date1                  1999

          264   -1                Boston :|bMacmillian,|c1999.

 

     Incorrect date

          Dat Tp                  s

          Date1                   1999

          264   -1                Boston :|bMacmillan,|c1998.

          N.B. Add 500 note with correct date, e.g.: Actually published in 1999.

          N.B. Use correct date in call number.

         

        Probable date

          Dat Tp                 s

          Date1                  1999

          264   -1               Boston :|b[A.R. Smith?],|c[1999?]

          N.B. Date used in call number:  1999

 

        Multiple dates (Incomplete set)

          Dat Tp                  m

          Date1                   1995

          Date2                   9999

          264   -1      New York :|bDover,|c1995-

          N.B. Date used in call number:  1995

        

        Multiple dates (Complete set)

          Dat Tp                  m

          Date1                   1995

          Date2                   1998

          264   -1               New York :|bDover,|c1995-1998.

          N.B. Date used in call number:  1995

         

        Publication and copyright dates

          DatTp                  t

          Date1                  2016

          Date2                  2014

          264   1                 London :|bMacmillan,|c2016.

          264   4                 |c©2014

          N.B. Date1 is most recent publication year and Date2 is most recent copyright year. Use even if years are the same.

 

        Publication and reprint dates

          DatTp                   r

          Date1                   1966

          Date2                   1913

          N.B. Date1 is the year of reproduction. Date2 is the original date

 

        Questionable date

           DatTp                  q

           Date1                   1966

           Date2                   1967 

           264 _1  ... |c [1966 or 1967]

 

          DatTp                    q

          Date1                     19uu

          Date2                     20uu

          264 _1  ... |c[late 20th century and early 21st century]

          [Decade is missing for both earliest and latest date]

 

Ctry                      PLACE of PUBLICATION

A two- or three-character alphabetic code representing the U.S. state or (other) country of publication from field 264 information.  For an unpublished item (e.g., manuscript or thesis) use code xx.

Refer to MARC code list for countries.

Form                FORM OF ITEM

r                  Use for reproductions, including photocopies (primarily used with U.S. theses)

Lang                    LANGUAGE

A three-character alphabetic code indicating the primary language of the text.  (Code mul indicates that the item contains more than six languages.)

Refer to MARC code list for languages.

Source      CATALOGING SOURCE

 d             Source of cataloging is not Library of Congress, a national library or a participant in a cooperative cataloging program.  N.B. If another library’s copy is being enhanced, do not change this code.

III. Required Variable Fields (if available and appropriate)

       R = field is repeatable             NR = field is not repeatable

010   LCCN (Library of Congress Catalog Number) (NR)

           |a      Enter 2 leading blanks, followed by year and accession no., omitting hyphen, e.g., –2001001234

020   ISBN (International Standard Book Number) (R)

           If an item contains an ISBN (a ten or thirteen digit standard number), transcribe it without hyphens.

Examples:

020   3428098900 (on item: ISBN: 3-428-09890-0)

020   9781566199094 (on item: ISBN-13: 978-1-56619-909-4)

020   9789876543292 |q (v. 1)

040   CATALOGING INSTITUTION/AGENCY (NR)

For SUL-created level 3 records, use CSt|beng|erda|cCSt.  If there is an existing 040 with another library’s code(s), add |dCSt for RDA records.  For non-RDA records, add |erda|dCSt and upgrade record to RDA.

If the existing 040 includes |b for a non-English cataloging agency follow the Guidelines for Creating Derived Level 3 Records from Foreign-Language Cataloging.

050   LIBRARY OF CONGRESS CALL NUMBER (NR)

This field contains the complete LC call number.

           Indicators:

First            <blank>

Second         4                 Assigned by agency other than LC

           Examples:

050   _4      DS881|b.B62 1968

050   _4      PS3523.O46|bM3 2002

100   MAIN ENTRY-PERSONAL NAME (with local authority verification) (NR)

In almost all cases, transcribe the name in standard (inverted) form, including appropriate diacritics. Some names are recorded in direct order (for example, Ethiopian names which have no surname).

N.B. The “compiler” of a bibliography or dictionary is treated as its author and is used as the personal name main entry (100).

          Collaborative works

Enter a collaborative work (i.e., by more than one person) under the (100) access point for the first named.  Enter additional access points (700s) for up to two others.  See field 245 |c for instructions on transcribing statements of responsibility.

          Compilations of works by different persons (i.e., works produced under editorial direction)

Do not use 100 field.  Enter the work under title.  Make added entries (700s) for access points for up to three authors/compilers/editors.  See under field 245 |c for instructions on transcribing names of responsible persons.

          Authority verification

In Symphony, enter the name in inverted form and hit Enter. If “unauthorized” does not appear (which means the access point is authorized), no need to verify the access point.

If the name access point is unauthorized, check in Symphony using the Validate wizard to browse name authorities for the authorized access point.  If found, copy the authorized access point to your bibliographic record.  If name is not found in Symphony Name Authority, leave as is.  (Stanford’s authorities vendor will later attempt to find authorized matches for unauthorized access points.)

        Indicators:

             First           Type of personal name entry

                               0       Forename(s) only

                               1       Surname, single or multiple

             Second        <blank>

245   TITLE AND STATEMENT OF RESPONSIBILITY (NR)

For Western European languages, transcribe the title from the preferred source (the title page, if there is one), including diacritical marks as they appear.  For Eastern European languages, diacritical marks may be omitted.

Errors in titles should also be transcribed as they appear on the resource without adding "[sic]".  To add the corrected title to the record, see instructions for the 246 field.  

           Indicators

            First

0       1XX field is not present in the record

1       1XX field is present in the record

            Second               Nonfiling characters

                    0       No initial article at the beginning of the title.

                   1-9    Title begins with a definite or indefinite article that is disregarded in sorting.

N.B. Marks of punctuation or special characters at the beginning of the title are disregarded for nonfiling character purposes.

For an alphabetical list of articles, see no. 9. under G 100 Filing Rules in the Subject Cataloging Manual: Shelflisting. Diacritical marks associated with the article and the space after it are included in the count of nonfiling characters.

Subfield codes for 245 

                    |a      Title proper

                    |b      Remainder of title

Includes other title information (subtitles) and parallel titles.  Parallel titles may be transcribed from any source in the material being cataloged.

Follows the title proper, preceded by a space and colon.  All subsequent other title information follows with space-colon-space.  (Subfield codes are not repeatable in 245.)             

                    |c       Statement of Responsibility

Transcribe up to the first three names in this statement.  If more than three names appear, follow the transcribed names with the phrase [and n others].  (Statements of responsibility may be transcribed from any source in the material being cataloged.)

          Examples:

          245   /|cby Karl Marx and Friedrich Engels.

          245   /|cedited by Marcella Dunbridge, George Sanchez, Mia Williams [and two others].

Follows all title information, preceded by a space and slash.  All subsequent statements are preceded by space-semicolon-space.  Omit spaces between adjacent initials in 245.

          Example:

          245   10     Bits of paradise = Pedacitos de paraiso /|cby F. Scott and Zelda Fitzgerald ; translated by S.F. Smith and Matthew J. Bruccoli.

          ITEMS WITHOUT A COLLECTIVE TITLE

When an item contains several separately titled works and lacks a collective title, transcribe the titles of the individually titled works in the order in which they appear.

Case1:  If the works are all by the same person(s), enter the item under the (first) author.

Transcribe the titles in 245, separating them with a space-semicolon-space.

         Source:  Party party // Girlfriends // two short novels by // Ronni Sandroff

                 100   1_      Sandroff, Ronni.

            245   10     Party party ;|bGirlfriends : two short novels /|cby Ronni Sandroff.

            700   12     Sandroff, Ronni.|tGirlfriends.

Case 2:  If the item consists of multiple works by different persons, enter the item under the first title.

Transcribe the titles in 245, separating each title and statement of responsibility with a period-space, followed by the next title, etc.

Add author/title access points (700 12) for each work. 

   Source:  Henry Esmond // Thackeray // Bleak House // Dickens

      245   00     Henry Esmond /|cThackeray. Bleak House / Dickens.

      700   12     Thackeray, William Makepeace,|d1811-1863.|tHenry Esmond.

      700   12     Dickens, Charles,|d1812-1870.|tBleak House.

246   VARYING FORM of TITLE (R)

Use to record varying forms of the title associated with the item. These variant titles are recorded in field 246 only if they differ substantially from the title statement in 245 and they contribute to the identification of the item.

Also use to record a variant title containing the correction in case of errors in 245.

          Indicators:

          30     Portion of title

          31     Parallel title

          3_      Miscellaneous variant title (unannotated) – not normally used

          1_      Annotated miscellaneous variant title (|a is preceded by explanatory text + colon and entered in |i.)

          14     Cover title

          16     Caption title

          17     Running title

          18     Spine title

          Example:

          246 1_        |iCorrected title:|a<Title>

 

250   EDITION STATEMENT (NR)

Transcribe the edition statement fully, as found on the item.  Do not supply abbreviations.  They are used only when the book itself uses them.

Both indicator positions are blank.  This field ends with a period or ending bracket. 

          Examples:

          Erste Auflage. (spelled out in book)

          1. Aufl. (abbreviated in book)

          2a edición.

          Completely revised [edition]

          Première édition.

(260 Discontinued) 

264   PUBLICATION/COPYRIGHT INFORMATION

           First indicator:

           <blank>

           Second indicator:

           1       Publisher information/imprint (including publication year)

           4       Copyright year (enter only |c©[year])

  Transcribe as found as accurately as possible. 

Subfield codes:

            |a      Place of Publication

Transcribe only the first place of publication. When the place of publication is unstated, supply the place (or your best guess followed by a question mark) in square brackets.

In general, do not supply a larger jurisdiction (e.g., state, province, country).  Exceptions may be made for a city whose name is the same as that of a much more well-known city.  Use judgment when applying this exception, it should be applied rarely.

          Example:  264 _1 London [Ontario]

Omit the place of publication when an item is unpublished.

Follow this information with space-colon.     

|b      Name of Publisher

 Transcribe the publisher’s name as found.  If an item has two or more publishers, enter the first only.

When the publisher is unstated, supply the name (or your best guess followed by question mark) in square brackets.

Omit this subfield when an item is unpublished.

            |c       Usage 1:  Date of publication 

Follow the publisher with comma and |c (no spaces before or after) and enter the publication date.

If the date of publication is unstated, supply the date (or your best guess followed by question mark) in square brackets.

When describing a multipart title, enter the earliest and latest dates, separated by a hyphen.  When describing an incomplete multipart enter the earliest date only, followed by hyphen.

N.B. Printing date is not used as publication date, but can be used to infer a supplied publication date.

Subfield |c is not repeatable. 

Field 264 _1 ends with a period, a hyphen, or a closing bracket. Field 264 _4 has no ending punctuation.

          |c       Usage 2:  Copyright date 

          Examples:

          264   _1      Tulsa, Oklahoma :|bWinchester Press,|c1999.

          264   _1      London :|bMacmillan,|c[between 1999 and 2001]

          264   _1      Lima :|bInstituto Peruano de Arbitraje - IPA,|c[1999?]

          264   _1      Pisa :|bFabrizio Serra Editore,|cMMXII [2012] (supply date in Arabic numerals in brackets)

          264   _1      |c1999. (unpublished thesis)

          264   _4      |c©1999 (copyright symbol in book)

          264   _4      |ccopyright 1999 ("copyright” spelled out in book)  

          264   _4      [place of publication not identified] :|b [publisher not identified],|c [2016] 

300   PHYSICAL DESCRIPTION

Both indicator positions are blank.

          |a     Extent

Record the last numbered page only, e.g., 275 pages.  If the pages are numbered as part of a larger sequence, give the first and last numbers of the pages, e.g., pages 415-453.

If an item does not have numbered pagination, use 1 volume (unpaged).

If an item has irregular paging, use 1 volume (various pagings).

For multipart titles, enter the number of volumes, e.g., 4 volumes (for a complete set) or volumes alone (for an incomplete set).

For items issued in a portfolio (usually sheets or leaves) use 1 portfolio and confirm the "Number of pieces" in the Call Number/Item tab. Include the portfolio itself in the "Number of pieces" count.

If 300 is followed by a 490 (series statement), follow 300 by a period.  (This rule applies even when 300 ends with “cm”, which otherwise should have no period.)

In all other cases, no ending punctuation is used after 300. 

           |c     Height (measured in cm)

If parts of a set have different heights, record the shortest and tallest as a range.

300 __ 275 pages ;|c23 cm

300 __ 3 volumes ;|c21-24 cm

 

33X Fields

The following three fields have constant values (for books) and may be automatically entered using the locally-created MacroExpress macro: 

336   CONTENT TYPES

          336   --       |atext|2rdacontent

337   MEDIA TYPES

          337   --       |aunmediated|2rdamedia

338   CARRIER TYPES

          338   --       |avolume|2rdacarrier 

490   SERIES STATEMENT (R)

Indicators

            1st    0

             2nd   <blank> 

             |a      Series title

 Transcribe series title as it appears on the item in |a. 

             |v       Volume designation and/or numbering

 Transcribe volume information as it appears in |v preceded by a space and semicolon. 

Do not perform authority validation on this field.

There is no ending punctuation.

          Example:

Source:      Serie Bibliografías // tomo 1

490   0_      Serie Bibliografías ;|vtomo 1 

500   ACCOMPANYING MATERIAL NOTE (NR)

Use this (general) note field to describe accompanying material found with the monograph.

          Examples:

500   Five maps on 2 folded leaves in pocket.

500   Two CD-ROMs in pocket.

500   Accompanied by supplement (20 pages) published in 1996. 

Verify the number of pieces (including the main volume) in the “number of pieces” field in Symphony’s Call No./Item tab.

Multipart titles also require MARC Holdings (MHOLD) fields 852 and 866, which are created by the receiver/processor.  Even though the CLASS Unit does not create this information, we are responsible for verifying its correctness.

          Example:

          852             |cSTACKS (home location is Stacks)

          866   41     |80|a1 v. + 5 maps (number of pieces = 6)

 502   DISSERTATION NOTE (NR)

Elements are separated by subfield codes |b, |c and |d.

No punctuation is used to separate subfields.  End the field with a period.

          |a      (Unused)

          |b      Degree type

If the item being described is a dissertation or thesis, enter the academic degree earned in standard abbreviated form (e.g., M.A. or Ph. D.).  Degrees which do not have standard abbreviations are spelled out (e.g., Doctoral).

          |c      University or degree-granting institution

          |d      Year degree awarded

          Examples:

          502   |bPh. D.|cUniversity of Toronto|d1974.

          502   |bM.A.|cUniversity of California, Berkeley|d1995.

          502   |bDoctoral|cFreie Universität, Berlin|d1973.

 

 (533  Discontinued)

N.B. Note field 533 for reproductions is no longer used.  Reproductions, photocopies, etc. are now described as such with their own bibliographic records.  Refer to separate procedures for cataloging reproductions. 

590   BOUND WITH NOTE (NR)

Used in conjunction with records describing multiple separate publications which have been subsequently bound together, i.e., bound-withs.  For detailed procedures, refer to SUL guidelines for creating bound-with parent and child records.

N.B. Although the call number entered reflects only the first bound work, remember to assign subject keywords (653) according to the subject matter of each separately titled work in its own bibliographic record

653   UNCONTROLLED SUBJECT TERMS (NR)

Enter subject keywords in this field.  Terms should be derived from title information, introduction, table of contents, etc.  If the title is in English and the subject is self-explanatory, do not add 653. 

Begin each subject keyword or phrase with capitalization and separate each with |a.  Proper names are included in this field

Both indicator positions are blank.

          Example:

          Higher education|aWomen|aParis, France|aHistory|a18th-19th century 

For additional guidance and examples see Level--3 Uncontrolled subject terms

700/797/798       ADDED ENTRIES

These fields are used for added entries to provide additional access to a bibliographic record. 

700   Personal Name Added Entry

Add personal name access points following the procedures for entering Personal Name field 100, including authority validation.

Use the same indicators as Personal Name field 100.

Enter analytic (name/title) added access points using (authorized) name access point, followed by period (if there is no other mark of punctuation).  Then enter |t immediately followed by the work’s title proper (|a only).  Capitalization of |t information follows standard transcription rules (i.e., capitalize only proper names in the language being transcribed).

797   Corporate Name (Local Entry)

Both indicator positions are blank.

N.B. Add only if no 100 or 700(s) are present.

Do not perform authority validation on this field.

Example: 797 __ Biology Department, Stanford University.

798   Conference Name (Local Entry)

Both indicator positions are blank.

N.B. Add only if no 100 or 700(s) are present.

Do not perform authority validation on this field. 

Transcribe conference name.  Include numbering, frequency, date and location(s) of conference if readily available.

Examples: 

798 __ Annual Forum on Bilateral Relations.

798 __ Segundo Seminário de Estudos Simonianos, 2000, Pelotas, Brazil.

MISCELLANEOUS/SPECIAL INSTRUCTIONS  

Parallel title (or added title page) in non-Latin/Cyrillic script:

     Hebrew - route to Hebrew cataloger in MDU

     Arabic - route to Arabic cataloger in MDU

     Chinese, Japanese, Korean - route to your supervisor 

     All other scripts - add a note in the record. Examples: Parallel title in Mongolian. Added title page in Thai.

Special characters: 

     Superscript/Subscript: use regular characters. Example: N 4 = no 4

     Eszett (ß): transcribe as ss. Example: Außlegung = Ausslegung

     Other characters that cannot be transcribed as is: give item to your supervisor. 

Book jackets: retain/do not discard

Stanford University theses: route to Data Control

Last updated by Margaret Hughes: October 16, 2017