HELIN Consortium

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HELIN Cataloging Policies and Procedures Manual

Compiled by the HELIN Cataloging Committee

July 2006 Revision

"The more information,the richer the record"

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Table of Contents

  1. General Principles
  2. Types of Bibliographic Records Allowed
  3. Overlaying of HELIN Bibliographic Records
  4. Selection and Editing Policies:
    1. General Policies
    2. Policies concerning Electronic Resources
      Audiovisual Files   Databases/Websites   Electronic Books   Electronic Serials
  5. Bibliographic Standards for Non-MARC Records:
    1. On-the-Fly Records
    2. Reserve Materials Records
    3. Vertical/Pamphlet File Records
    4. Order Records
  6. Bibliographic Record Maintenance:
    1. Deletion of Records
    2. Handling Duplicate Bibliographic Records and Transfer of Attached Records
  7. Attachments to Bibliographic Records
  8. Authority Control Policies
Appendices:
NOTE: For the MARC Load Table, Fixed Length Codes for Item Records, and the Bibliographic Index Rules, which were included in Appendix C, Appendix F, and Appendix G, respectively, of the Spring 1997 Revision of this Manual, consult the "Codes used" listing provided under the category, "Information about the System," which can be accessed through "Management Information" on the Main Menu of the HELIN online system. Passwords are required to view the listings under "Information about the System."
Appendix A
Authorized Cataloging Standards
Authorized Authority Lists
Appendix B
Innopac Field Tags
Appendix C
Abbreviations Authorized for the Volume Field in Item Records
Appendix D
HELIN Record Limits

I.General Principles.

HELIN bibliographic and authority records are added and maintained in accordance with the following general principles:

  1. National cataloging and authority control standards are followed. (See Appendix A).
  2. Overlaying of HELIN MARC records is based on OCLC control number, with the exception of special overlaying provisions made for vendor-supplied records. (See Section III).
  3. HELIN bibliographic records are shared by all libraries that contribute to the HELIN Catalog and should contain no local information.
  4. Duplicate records should be avoided (See Section VI.B).
  5. Each authorized heading is represented by only one authority record in each authority file. Authority records are shared by all libraries that contribute to the HELIN Catalog and are visible to OPAC users. (See Section VIII).

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II. Types of Bibliographic Records Allowed.

  1. MARC records added from OCLC WorldCat or from HELIN authorized vendors through exporting or tape loading.
  2. Non-MARC records added through KEY NEW RECORDS function in the Catalog Database Maintenance Subsystem. Limited to the following types: "On the fly" records; Reserves records; brief bibliographic records with attached order records; and vertical file records.
    (See Appendix B for a list of Innopac field tags used in non-MARC record keying.)
  3. Non-MARC records added through tape loading or GENERATE A DUPLICATE RECORD function. Limited to the following types: MARCIVE shipping records.

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III. Overlaying of HELIN Bibliographic Records.

  1. The default overlay is by OCLC control number.
  2. However, if the only bibliographic record in the HELIN Catalog is a non-MARC or brief MARC record with an attached order record, the overlay key may be the HELIN bibliographic record number or the order record number.
  3. To overlay by bibliographic record number, add the following 949 field to the bibliographic record to be exported into the HELIN Catalog:
    949------*ova=.b_________;
  4. To overlay by order record number, add the following 949 field to the bibliographic record to be exported into the HELIN Catalog:
    949------*ova=.o________;
  5. Brief MARCIVE shipping records are overlaid by full MARCIVE bibliographicrecords, supplied by GPO. The overlaying mechanism is the MARCIVE control number (035 field.)
  6. Overlaying of Serials Solutions records (only by other Serials Solutions records) is accomplished via the 001 field, which contains the Serials Solutions record number.
  7. 856 and 962 fields are protected from overlay. (See more about updating 856 fields in Section IV.A.2.f)

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IV. Selection and Editing Policies

  1. General Policies.
    1. Recommended Changes and Enhancements.
      1. In order to keep the HELIN Catalog consistent with OCLC input standards the following changes to OCLC records and MARC records added to the HELIN Catalog from OCLC WorldCat are allowed:
        1. Upgrading fixed field information
        2. Adding/changing call number
        3. Changing 049 to appropriate location code
        4. Completing missing data in CIP records
        5. Adding titles or other added entries
        6. Adding/correcting subject headings
        7. Adding/changing notes applying to the bibliographic record
        8. Changing obsolete headings
        9. Deleting obsolete fields that would not be caught by the exporting parameters
        10. Correcting typographical errors
        11. Correcting coding errors
        12. Upgrading to International Standard Bibliographic Description (ISBD)
        13. Adding missing/new access points (010, 020, 246, 730, etc.)
        14. Adding/editing 856 fields
      2. Changes to MARCIVE and Serials Solutions records should be kept to a minimum. In general, only attend to the following changes:
        1. Correcting typographical errors
        2. Deleting or correcting obsolete subject headings
    2. Maintaining URLs. (See also specific instructions on URLs included in Section IV.B. Policies Concerning Electronic Resources).
      1. URLs in Bibliographic Records
        When a bibliographic record added to the HELIN Catalog is the first representation of a particular title, any URL in the record for a service not subscribed to by the library responsible for adding the record, should be moved from the 856 field to a 530 field.
      2. Uncorrectable URLs
        If an uncorrectable link exists in a bibliographic record describing some other format, and that format is currently held by at least one HELIN library, the uncorrectable link should be deleted. If, on the other hand, the resource described in the record is only available electronically and the URL does not work, the HELIN Cataloging Committee representative from the inputting library should be contacted.
      3. URLs and PURLs
        When a bibliographic record contains both a URL and a PURL for the same resource, the PURL should be retained in the 856 and the URL should be moved from the 856 to a 530 field.
      4. Language in subfield z of the 856 field.
        When the URL in a bibliographic record leads to an electronic version of the same title cited in the 245 field, do not reiterate the title in the subfield z.
        Information regarding the technical aspects of accessing a resource (e.g.“In PDF format”) normally should not be included in subfield z. Place this type of information in note (5xx) fields. Exceptions might be federal government publications.
        When the URL leads to supplementary material, use:
        |z View [table of contents, examples, etc.] online
      5. URL for Table of Contents.
        When a bibliographic record contains a 505 field and an 856 field that contains a subfield z for “Table of contents,” delete the 856 field.
      6. Publisher supplied 856 fields.
        Delete a publisher supplied 856 field for which the sole purpose is to market the described resource.
      7. Overlay protection for 856 fields
        856 fields are protected from overlay. Any record downloaded from OCLC which overlays a record currently in the catalog will not contain the current OCLC 856 field. The original 856 field in the HELIN catalog will be retained. Any editing of the 856 field for an overlaid record must take place in the HELIN catalog.
    3. Classification policies.
      Call numbers should not be deleted from bibliographic records. They are not indexed and are suppressed in the OPAC. When a change is made in an item record call number, it is not necessary to make a corresponding change in the bibliographic record.
    4. Notes fields.
      1. Local notes normally placed in 590 fields of OCLC records should be placed instead in item note fields.
      2. Edit or delete 520 fields whose sole purpose is to market the described resources.
    5. Form Subdivisions
      Form subdivisions indicate what an item is rather than what it is about. Items can be assigned form subdivisions because of their physical characteristic, the particular type of data they represent, the arrangement of information within them, their style, technique, purpose, or intended audience, or a combination of these factors. A subject heading may contain multiple subfield v fields. The Library of Congress began assigning subfield v to bibliographic records on Feb. 17, 1999.
      It is not necessary to go back into the HELIN database to update old form subfields, but records being added should include the correct subfield headings. Examples of form subdivisions include:
      BiographyIndexesPictorial works
      ChronologiesJuvenilefiction Slides
      CongressesJuvenile literatureStatistics
      DictionariesPeriodicalsYearbooks
    6. Serial Title Changes or Ceased Serial Publications
      When a serial ceases or a title changes, close out the record for the old title by making the following changes, if possible:
      008Change publication status to "d" (dead)
      008Add correct ending date
      260Add closing date in subfield "c"
      300Add the number of bibliographic volumes
      362 0_Add volume, number, and date of last issue (last issue in hand)
      OR
      362 1_ Add "ceased in xxxx" if last issue is not in hand or known
      785 00Add link to later title, if appropriate
    7. Suppression of Bibliographic Records
      If only one HELIN library holds a particular bibliographic entity, then that library may suppress the bibliographic record from public view by changing the bcode3 to 'n'.
      If more than one HELIN library holds the bibliographic entity, a particular library may suppress its own attached records (item, order, check-in) but not the bibliographic record itself. WARNING: a library's symbolwill remain listed in the location field of the bibliographic record and will show in an index display in the OPAC, even if the attached records are suppressed.
    8. Downloading from the OCLC Database.
      1. OCLC Fields That Export into the HELIN Catalog.
        The listing of OCLC fields and subfields that are captured in HELIN MARC records and item records can be viewed by looking at the MARC Load Tables category in the HELIN online system. To access these Tables, make the following choices at the HELIN Main Menu: Management Information > Information about the System > Codes used > MARC load tables
      2. OCLC 949 Field Subfields for HELIN Item Record Creation:
        |a : Call number
        |b : LC call number cutter number (tag is optional)
        |c : Volume information, free-text
        |d : Volume designator. Repeat for each volume designation (Ex. |dv.)
        |e : Volume number. Follows volume designator (Ex. |e1)
        |f : Call number prestamp (Ex. |fREF)
        |g : Copy number (for copy 2 and higher)
        |i : Bar code number
        |k : Call number poststamp (Ex. |k Oversize)
        |l : Holding location code (5-letter code)
        |m : Short message (limited to 15 characters), visible to users. Input as a one-character code. Codes determined by HELIN consortium. (Ex. |mk ; k = "With CRC kits")
        |n : Variable-length note, visible to staff only (Ex. |n Lib. sends superseded editions to the English Department)
        |o : Variable-length note, visible to users. (Ex. Author's autograph presentation copy)
        |p: Price
        |q: Icode1, any number from 0-32767, value determined by each library
        |r: Icode2, single digit code, value determined by each library. Exception: n = suppress
        |s : Status of item. One-character code. Codes determined by HELIN consortium. Default code is " - " ("Available")
        |t : Item type. Default code is "0" ("Circulating"). "1" should be used for a non-circulating item which is shelved in a circulating collection.
        |u : Variable-length message, visible to staff checking in or checking out items in Circulation Mode. (Ex. Check for 4 pieces in box)
        |z : Call number type. MARC tag types are used (060,086, 090, 096, 098, 092, 099)
    9. Record Selection for Non-Electronic Serials.
      1. A single bibliographic record should be used to represent the paper and microform editions of the same serial title.
      2. The bibliographic record for the serial title in paper form should be used in preference to the microform record. To ascertain whether or not a HELIN MARC record for the title in paper form already resides in the HELIN Catalog, search the Catalog before downloading a record for the title in microform. If the title for the paper form does reside in the HELIN Catalog, add an item record for the microform edition to this bibliographic record.
      3. If a MARC bibliographic record for a serial title in paper form does not reside in the HELIN Catalog, an OCLC-derived MARC bibliographic record for the microform edition of the title may be downloaded into the Catalog.
      4. In compliance with prevailing standards, the practice of using successive title entry (versus latest title entry) should be followed for representation of serial titles in the HELIN Catalog.
      5. A single bibliographic record should be used to represent a serial title whose various publishing frequencies (e.g., monthly, annual, biennial) in the same format are represented in OCLC WorldCat by more than one valid bibliographic record. The OCLC record that represents the greatest publishing frequency (e.g., record for monthly issues rather than the record for the annual) should be used.
    10. Record Selection for Federal Government Documents.
      1. Several HELIN libraries receive their bibliographic and item records from MARCIVE, which in turn obtains these records from GPO. GPO catalogs paper and microformat on different bibliographic records, so the HELIN Catalog complies with this policy. Brief MARCIVE shipping list records are overlayed with full bibliographic records, when GPO or one of GPO's contracting agencies has cataloged these titles.
      2. Libraries not using MARCIVE should attach their holdings to bibliographic records supplied by MARCIVE, as long as they own the same bibliographic entities. If there is no bibliographic record in the HELIN Catalog, the appropriate record should be downloaded from OCLC.
      3. Duplicate bibliographic records for government documents will be merged, if they have the same OCLC number.
  2. Policies Concerning Electronic Resources
    1. General information.
      1. The policies described in this section reflect HELIN-established practices for cataloging electronic resources of the following types:
        Audiovisual Files
        Databases/Websites
        Electronic Books
        Electronic Serials
        Sections for other types of resources will be added, as needed.
      2. Information for each material type is divided into the following topical sections:
        Criteria for Inclusion
        Sources for Bibliographic Records
        Edits to Bibliographic Records
        Peripheral Records
        Classification
        Maintenance and Deletion
      3. Three general types of access are identified for each material type. These are:
        HELIN proprietary Access (purchased by consortium)
        Institution-specific Access (purchased by institution)
        Universal Access (no fee paid; see also Section e below)
      4. In general, HELIN observes the “multiple records” approach to cataloging electronic resources, whereby a separate record is required to represent the electronic version of a given work. The extent to which this record will describe the characteristics specific to the format may vary. However, minimum encoding, descriptive and access point requirements are included in these policies.
      5. Consortium members are required by HELIN policy to attach and suppress item records for Universal Access e-resources. In order to make catalog users aware of the accessibility of these resources, distinctive location codes assigned to member institutions are inserted initem records. Government documents are not considered Universal Access resources. Therefore, item records for government documents are not suppressed.
      6. Refer to Section IV.A.2 for more information about maintaining URLs (856 fields) in HELIN records.
      7. For supplemental information on national and international cataloging standards please refer to the following documentation:

        Cataloging Electronic Resources: OCLC-MARC Coding Guidelines
        http://www.oclc.org/support/documentation/worldcat/cataloging/electronicresources/default.htm

      8. ISBD(ER): International Standard for Bibliographic Description of Electronic Resources / International Federation of Library Associations & Institutions
        http://www.ifla.org/VII/s13/pubs/isbd.htm

        Module 31: Remote Access, Electronic Serials (Online Serials) / Library of Congress, Cooperative Online Serials (CONSER)
        http://www.loc.gov/acq/conser/Module31.pdf

        OCLC Bibliographic Formats and Standards
        http://www.oclc.org/bibformats/en/default.shtm

        PCC Standing Committee on Automation (SCA) Task Group on Journals in Aggregator Databases Final Report (January 2000) / Library of Congress, Program for Cooperative Cataloging (PCC)
        http://www.loc.gov/catdir/pcc/aggfinal.html
    2. Audiovisual Files
      1. Criteria for Inclusion
        Inclusion in the catalog is at the discretion of each HELIN library. Permission to store digital files on the HELIN server must be authorized by the HELIN Executive Director in conjunction with the HELIN Board.
      2. Sources for Bibliographic Records
        OCLC Worldcat is the authorized source for records added individually. Permission to load record sets from OCLC or an alternative source must be authorized by the HELIN Executive Director in conjunction with the HELIN Board.
      3. Minimal Requirements for Bibliographic Records:
        Field HELIN Proprietary Institution-Specific Universal Access
        Bib Loc HELIN Institution symbol Institution symbol
        Mat Type g g g
        006 mz mz mz
        007 Optional Optional Optional
        008/Form s s s
        245|h [electronic resource] [electronic resource] [electronic resource]
        300 N/A N/A N/A
        500 Streaming video (x min.) Streaming video (x min.) Streaming video (x min.)
        506 Describe access restrictions in general Describe access restrictions in general Describe nature of access (i.e. unlimited)
        710 Corporate heading for provider Corporate heading Corporate heading
        856|u
        (Universal access)        		 N/A N/A URL
        856|u
        (IP recognition and remote access through HELIN proxy)        		 0-<host site server URL>.helin.uri.edu/<rest of host site URL> 0-<host site server URL>.helin.uri.edu/<rest of host site URL> N/A
        856|u
        (password access)        		 N/A URL from provider N/A
        856|z
        (Universal access)        		 View online
        856|z
        (IP recognition and remote access through HELIN proxy)        		 Brief, free-text phrase indicating nature or scope of access View online ; Access limited to <Institution bib symbol> N/A
        856|z
        (password access)        		 N/A View online ; Access with password limited to <Institution bib symbol> ; Ask at Reference Desk N/A
      4. Peripheral Records – Item
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Yes Yes (Suppressed)
        Location N/A Institutional E-R code Institutional No-fee E-R code
        Status N/A Available (-) or Limited (h) Available (-)
        Call number (c) N/A Discretionary Discretionary
      5. Peripheral Records – Order
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Optional NA
      6. Classification:
        Classify materials according to institution's practice.
      7. Maintenance and Deletion of Bibliographic Record:
        HELIN Proprietary Institution-Specific Universal Access
        Connectivity Verified by HELIN staff Verified by institution staff Verified by institution staff
        Deletion HELIN staff only Last holding institution Last holding institution
    3. Databases/Websites
      1. Criteria for Inclusion
        Inclusion in the catalog is at the discretion of each HELIN library.
      2. Sources for Bibliographic Records
        OCLC Worldcat is the authorized source for records added individually.
      3. Minimal Requirements for Bibliographic Records:
        Field HELIN Proprietary Institution-Specific Universal Access
        Bib Loc HELIN Institution symbol Institution symbol
        Mat Type Code as appropriate * Code as appropriate * Code as appropriate *
        006 Code as appropriate * Code as appropriate * Code as appropriate *
        007 Optional Optional Optional
        008/Form s s s
        245|h [electronic resource] [electronic resource] [electronic resource]
        300 N/A N/A N/A
        506 Describe access restrictions in general Describe access restrictions in general Describe free availability of resource.
        710 Corporate heading for provider Corporate heading… Corporate heading…
        856|u
        (remote access through HELIN proxy)        		 0-<host site server URL>.helin.uri.edu/<rest of host site URL> 0-<host site server URL>.helin.uri.edu/<rest of host site URL> N/A
        856|u
        (password access)        		 N/A URL from provider N/A
        856|z Brief, free-text phrase indicating nature or scope of access View online ; Access limited to <Institution bib symbol> View online
        856|z
        (password access)        		 N/A View online ; Access with password limited to <Institution bib symbol> ; Ask at Reference Desk View online

        *Please refer to the section of “Type of Record” Coding (Fixed Filed Type) and “Type and File” Coding in http://www.oclc.org/support/documentation/worldcat/cataloging/electronicresources/ for guidance.

      4. Peripheral Records – Check in record (no card)*
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Optional* Optional*
        Location N/A Institutional E-R code Institutional No-fee E-R code
        Lib Has N/A Electronic Access Electronic Access
        Call number (c) N/A Discretionary Discretionary
      5. Peripheral Records – Item
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Optional* Optional* (Supressed)
        Location N/A Institutional E-R code Institutional No-fee E-R code
        Status N/A Limited (h) Available (-)
        Call number (c) N/A Discretionary Discretionary
      6. Peripheral Records – Order
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Optional* NA

        *A minimum of one peripheral record per institution is required to maintain bibliographic location codes.

      7. Maintenance and Deletion of Bibliographic Record:
        HELIN Proprietary Institution-Specific Universal Access
        Connectivity Verified by HELIN staff Verified by institution staff Verified by institution staff
        Deletion HELIN staff only Last holding institution Last holding institution
    4. Electronic Books
      1. Criteria for Inclusion
        Inclusion in the catalog is at the discretion of each HELIN library. Permission to store digital files on the HELIN server must be authorized by the HELIN Executive Director in conjunction with the HELIN Board.
      2. Sources for Bibliographic Records
        OCLC Worldcat is the authorized source for records added individually. Permission to load record sets from OCLC or an alternative source must be authorized by the HELIN Executive Director in conjunction with the HELIN Board.
      3. Minimal Requirements for Bibliographic Records:
        Field HELIN Proprietary Institution-Specific Universal Access
        Bib Loc HELIN Institution symbol Institution symbol
        Mat Type a a a
        001 OCLC# preferred OCLC# preferred OCLC# preferred
        006 m d m d m d
        007 c r preferred c r c r
        008/Form s s s
        245|h [electronic resource] [electronic resource] [electronic resource]
        300 N/A (if included, must add 533) N/A (if included, must add 533) N/A (if included, must add 533)
        506 Describe access restrictions in general Describe access restrictions in general Describe free availability of resource.
        533
        (With 300 field)        		 Electronic reproduction note when appropriate Electronic reproduction note when appropriate Electronic reproduction note when appropriate
        710 (optional) Corporate heading for provider Corporate heading… Corporate heading…
        856|u
        (remote access through HELIN proxy)        		 0-<host site server URL>.helin.uri.edu/<rest of host site URL> 0-<host site server URL>.helin.uri.edu/<rest of host site URL> N/A
        856|u
        (password access)        		 N/A URL from provider N/A
        856|z Brief, free-text phrase indicating nature or scope of access View online ; Access limited to <Institution bib symbol> View online
        856|z
        (password access)        		 N/A View online ; Access with password limited to <Institution bib symbol> ; Ask at Reference Desk View online
      4. Peripheral Records
        A minimum of one peripheral record per institution is recommended to maintain the presence of bibliographic location codes. In cases where records are batch-loaded and batch-deleted by HELIN staff the inclusion of peripheral records must be approved and coordinated by HELIN staff.
      5. Item Records
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Optional* + Optional* (Suppressed)
        Location N/A Institutional E-R code Institutional no-fee E-R code
        Status N/A Limited (h) Available (-)
        Call number (c) N/A Discretionary Discretionary

        *One attached record required to establish holding library.

        +Coordination with original cataloging institution is required when attaching to a bibliographic record previously lacking a peripheral record.

      6. Order Records
        HELIN Proprietary Institution-Specific Universal Access
        Attach No Optional* NA
      7. Maintenance and Deletion of Bibliographic Records:
        HELIN Proprietary Institution-Specific Universal Access
        Connectivity Verified by HELIN staff Verified by institution staff Verified by institution staff
        Deletion HELIN staff only Last holding institution Last holding institution
    5. Electronic Serials
      1. Criteria for Inclusion
        Inclusion in the catalog is coordinated with holdings documented in the Serials Solutions Journal Locator for each subscribing institution, as well as government publication item selections for depository libraries.
      2. Sources for Bibliographic Records
        Serials Solutions, when available; MARCIVE for federal government serials received by contracting libraries; OCLC Worldcat, when records are not available from Serials Solutions or through MARCIVE.
      3. Minimal Requirements for Bibliographic Records:
        Field HELIN Proprietary Institution-Specific Universal Access
        Bib Loc HELIN Institution symbol Institution symbol
        Mat Type s s s
        001
        006 m d m d m d
        007 c r c r c r
        008/Form s s s
        245|h [electronic resource] [electronic resource] [electronic resource]
        300 N/A N/A N/A
        506 Describe access restrictions in general N/A Describe free availability of resource.
        710 Corporate heading for provider Corporate heading… Corporate heading…
        856|u
        (remote access through HELIN proxy)        		 0-<host site server URL>.helin.uri.edu/<rest of host site URL> 0-<host site server URL>.helin.uri.edu/<rest of host site URL> N/A
        856|u
        (password access)        		 N/A URL from provider N/A
        856|z View available full-text for <Institution bib symbol> View available full-text online; access limited to <Institution bib symbol>;
        Serials Solutions:
        View available full-text for <Institution bib symbol>        		 View available full-text
        856|z
        (password access)        		 N/A Ex.: Ask at Reference Desk N/A
      4. Peripheral Records – Checkin record (no card)*
        1. No checkin record should be attached to a Serials Solutions bibliographic record.
        2. Checkin records should be added to bibliographic records downloaded from OCLC or provided by MARCIVE, in accordance with the following practices:
          HELIN Proprietary Institution-Specific Universal Access
          Attach No Yes Yes
          Location N/A Institutional E-R code Institutional No-fee E-R code
          Lib Has N/A Vols. & dates (if known)
          Electronic access (if unknown)          		 Vols & dates (if known)
          Electronic access (if unknown)
          Call Number(c) N/A Discretionary Discretionary
      5. Peripheral Records – Item
        1. No item record should be attached to a Serials Solutions bibliographic record.
        2. Item records should be attached to bibliographic records downloaded from OCLC or provided by MARCIVE, in accordance with the following practices:
          HELIN Proprietary Institution-Specific Universal Access
          Attach No Optional * Optional * (Suppressed)
          Location N/A Institutional E-R code Institutional No-fee E-R code
          Status N/A Limited (h)
          Gov. pub: Available (-)          		 Available (-)
          Call Number(c) N/A Discretionary Discretionary

          *A minimum of one peripheral record per institution is required to maintain bibliographic location codes.

      6. Peripheral Records – Order
        1. No order record should be attached to a Serials Solutions bibliographic record. However, for the internal tracking of order information by individual libraries, a second, suppressed bibliographic record may be created to which an order record could be attached.
        2. Order records may be attached to bibliographic records downloaded from OCLC, in accordance with the following practice:
          HELIN Proprietary Institution-Specific Universal Access
          Attach No Optional * NA *

          * A minimum of one peripheral record per institution is required to maintain bibliographic location codes.

      7. Maintenance and Deletion: for Serials Solutions Records
        HELIN Proprietary Institution-Specific Universal Access
        Connectivity Verified by HELIN staff Verified by HELIN staff Verified by HELIN staff
        Deletion HELIN staff only HELIN staff only HELIN staff only
      8. Maintenance and Deletion: for non-Serials Solutions Records
        HELIN Proprietary Institution-Specific Universal Access
        Connectivity Verified by HELIN staff Verified by institution staff Verified by institution staff
        Deletion HELIN staff only Last holding institution Last holding institution
    6. Multiple Manifestations of Electronic Serial Titles.
      1. When an OCLC record and a Serials Solutions record for the same electronic serial title are found in HELIN, the Serials Solutions record is preferred. The institution that obtained the OCLC record should consider adding this journal to its library's Serials Solutions Journal Locator and delete the OCLC record. The library's holding symbol and 856 field will appear in the catalog with the next month's updated records from Serials Solutions NO peripheral records may be attached to Serials Solutions records.
      2. Occasionally, a Serials Solutions record and a MARCIVE record may be present for the same electronic serial title in the HELIN Catalog. Both records should be retained if the Serials Solutions record is present, because that title is available in an aggregator database.
      3. When a MARCIVE record and an OCLC record for the same electronic serial title are found in the HELIN Catalog, transfer to the MARCIVE record all peripheral records attached to the OCLC record, and delete the OCLC record
      4. When multiple OCLC records representing the same electronic serial title are found in HELIN, merge the records into one, as follows:
        1. Select the fullest of the records to serve as the remaining record, taking into consideration such elements as completeness and accuracy of note fields, as well as number of access points.
        2. Add vendor-specific information from records to be deleted into the remaining record, as noted in (3) below.
        3. Be sure to edit certain fields in the remaining record as follows:
          1. Field 130. Parenthetical qualifier should only include the term “online” and any other qualifying term used in the corresponding title for the paper version.
          2. Field 362. Cite earliest available volume noted in any of the records.
          3. 5xx fields. Check all notes to ensure that the information therein applies to all providers represented. Delete the term, “back issues”, since some providers do not provide such access. Remove notes that cannot be edited to pertain to all providers.
          4. Field 710. Add for any provider represented in an attached 856 field.
          5. Field 856. Include for each provider. In addition to the subfield u, provide a subfield z with the wording:

            “View available full text online; access restricted to [library holding code(s)]”

            If access restrictions must be included in the subfield z, create a separate 856 field for the library requiring those restrictions.

            Format URLs for these proprietary serials as follows:
            http://0-<host site server address>.helin.uri.edu/<rest of host site URL>
        4. Transfer all peripheral records from the bibliographic records to be deleted to the remaining record, and delete all but the record to be retained.
    7. The ISSN from the paper format of a serial title may be added to the record for the electronic version to facilitate linking between the HELIN Catalog and the journal databases.

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V. Bibliographic Standards for Non-MARC Records

  1. On-the-Fly Records.
    Use the following procedures for on-the-fly conversion:
    1. Select the CREATE or SEARCH option.
    2. Fill in all information for which you are prompted.
      "COPY # : 1" Press <Return>, if copy 1. Otherwise, enter the correct copy number.
      "I TYPE : 0" Press <Return>. [0 is the code for circulating material.]
      "PRICE : $0.00" Press <Return>.
      "LOCATION: zzzz" Replace z's with location code. See local listing.
      "STATUS : - " Press <Return>.
      "CALL #" Enter according to standardized format. See local guide sheet.
      "VOLUME" Enter volume number and other designators, such as ser., suppl., etc. See local guide sheet.
      "AUTHOR" Enter last name, first name, middle initial. Capitalize the first letter of each name and place a period after the middle initial. Do not include titles such as Sir,Maj., Mrs., etc
      "TITLE" Enter the first six (6) significant words of the title. Do not count initial articles. Capitalize only the first word.
    3. Answer the question, "Edit record (y/n)," as appropriate to your situation.

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  2. Reserve Materials Records.
    When materials to be placed on reserve are not owned by the HELIN library, Reserves staff may enter brief bibliographic records for these materials through the HELIN Catalog Database Maintenance Program.
  3. Vertical/Pamphlet File Bibliographic Records.
    Each HELIN library desiring to maintain one or more vertical or pamphlet file records in the HELIN Catalog may do so as follows:
    1. Create a bibliographic record through the KEY a RECORD function and include the following fields, exemplified by this record provided by CCRI:
      AUTHOR: Flanagan Campus
      TITLE: a CCRI pamphlet file - Lincoln Campus
      PUBL INFO: CCRI, 1998-
      NOTE: Pamphlet file is located near photocopier.
      SUBJECT: Abortion.
    2. Make note of the bibliographic record number assigned to the record.
    3. As needed, add item records for pieces to be circulated from the vertical/pamphlet file to the vertical/pamphlet file bibliographic record. Each item should include a bar code number, keyed to the barcode label on the piece. SUPPRESS THESE ITEM RECORDS.
  4. Order Records.
    1. Order records should be displayed to HELIN Catalog users.
    2. Order records should be attached to HELIN bibliographic recordswhich have been exported from OCLC WorldCat, whenever possible.
    3. Keying brief bibliographic records to which order records are attached is permitted, when OCLC-derived bibliographic records are not found for the titles in the HELIN Catalog and appropriate OCLC bibliographic records are not found in OCLC WorldCat.
    4. Keyed HELIN bibliographic records created for the purpose of ordering should ultimately be overlaid or replaced by OCLC bibliographic records for the received titles in a timely manner.
      OCLC Control numbers should be added to the keyed HELIN bibliographic records before the OCLC records which overlay the keyed HELIN bibliographic records are loaded into the HELIN Catalog.
    5. Order records should be suppressed from public view after appropriate item or checkin records have been added to the HELIN Catalog for the received and cataloged titles.
      Suppression is accomplished by adding the cataloged date to the order record.

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VI. Bibliographic Record Maintenance.

  1. Deletion of Records.
    1. Bibliographic and Item Records.
      1. If a HELIN library is deleting or transferring the last item record attached to a HELIN MARC or non-MARC bibliographic record, the bibliographic record should be deleted as well.
      2. Bibliographic records are deleted only by the owning HELIN libraries.
      3. For deletion of duplicate bib records see Section VI.B
    2. Order Records.
      Refer to the Manual compiled by the HELIN Acquisitions Committee.
    3. Checkin Records.
      1. For checkin records attached to monographic bibliographic records, delete the checkin record when the set is either complete or cancelled.
      2. Refer to the HELIN Serials Committee Manual for other policies relating to the deletion of checkin records.
  2. Handling Duplicate Bibliographic Records and Transfer of Attached Records.
    1. Each bibliographic title should be represented in the HELIN Catalog by only one bibliographic record. It is each HELIN library's responsibility to transfer its order, item, or checkin records from brief bibliographic records or duplicate bibliographic records to existing HELIN MARC bibliographic records.
    2. Duplicate bibliographic records are determined by OCLC number and/or if the following fields in the duplicated records match:
      1. Author
      2. Title
      3. Publisher or Distributor (except for serials)
      4. Latest copyright date
      5. Edition statement
      6. Collation
      7. Series (except for serials)
      8. Illustrator or translator
    3. When the same bibliographic entity is treated as a serial by one HELIN library and as a monograph by another and these occurrences are represented by bibliographic records with different OCLC numbers, both bibliographic records may co-exist in the HELIN Catalog.
    4. When duplicate HELIN MARC bibliographic records with different OCLC numbers (e.g., OCLC control numbers recorded in a 019 field) are found, the following procedures should be followed to eliminate the duplication:
      1. If the records have been merged in OCLC, transfer all attached records to the record now used in OCLC and delete the bibliographic record that no longer has attached records. Before deleting, transfer all unique access points from the record to be deleted to the record to be retained.
      2. If two records still exist in OCLC and one is a DLC record, transfer the attached records from the non-DLC record to the DLC record and delete the non-DLC record.
      3. If neither record is a DLC record, transfer attached records to the higher quality bibliographic record and delete the less desirable record. If, according to OCLC standards, the records are equally valid, the least preferred HELIN MARC bibliographic record would be the one with fewest attached records.
    5. When duplicate HELIN MARC bibliographic records with the same OCLC numbers and the same content are found, the records should be merged. The retained bibliographic record would be one of the following, in successive order of preference: (a) record with the fullest bibliographic description; (b) record with the greatest number of item or checkin records.
    6. When duplicate HELIN MARC bibliographic records with the same OCLC numbers but different content are found, further investigation is needed. For instance, if two HELIN MARC bibliographic records have the same OCLC numbers, title transcription, and LCCNs, but they have differing collations and the lack of agreement does not appear to stem from simple typographical error, holding libraries should be contacted to resolve the duplication. If the duplication cannot be resolved by the holding libraries, the HELIN Cataloging Committee should be asked to address the issue.

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    VII. Attachments to Bibliographic Records.

    1. Item Records.
      1. Multivolume item records may be created to indicate ownership of material. Local call numbers, holdings statements, and location information may be entered into the call number or volume fields.
      2. Use of delimiters in the call number field is not required. Each institution may set its own policy.
      3. Appropriate MARC tag types for call numbers are:
        060 : National Library of Medicine Call Number
        086 : Government Document Classification Number
        090 : Locally-assigned LC-type Call Number
        092 : Locally-assigned Dewey Call Number
        096 : Locally-assigned National Library of Medicine Call Number
        098 24: Swank Classification Call Number
        099 : Local Free-text Call Number
    2. Checkin Records.
      1. Checkin records may be attached to monographic bibliographic records for current standing order titles but should be suppressed from public display. When the set is completed or cancelled, the checkin record should be deleted.
      2. For more information on checkin records refer to the HELIN Serials Committee Manual.
    3. Order Records.
      Insert cataloging dates into order records after the appropriate item or checkin records have been added to the HELIN Catalog.

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VIII. Authority Control Policies and Practices.

  1. Each library will maintain its own in-house authority control procedures and perform full authority work on all original cataloging.
  2. Standards for HELIN Bibliographic Records.
    1. Name and uniform title headings used in HELIN MARC bibliographic records should be formed in accordance with AACR2 (latest edition with revisions) and Library of Congress Rule Interpretations.
    2. Topical subject headings used in HELIN MARC bibliographic records should be formed in accordance with the latest edition of Library of Congress Subject Headings, the Library of Congress Subject Heading Manual and Medical Subject Headings.
    3. Normally, headings in HELIN and OCLC authority records have been formed in accordance with AACR2 and LCSH. However, pre-AACR2 forms do appear in the most current version of authority records in the OCLC Authority File. If only a pre- AACR2 form is found in an OCLC authority record, use that form in HELIN bibliographic records.
  3. Outsourced Authority Control.
    1. The HELIN consortium retains an authority control vendor who maintains a record of all authority records resident in the HELIN Catalog.
    2. Each month, new bibliographic records added to the HELIN Catalog that contain a CATDATE within that month and an OCLC number are sent to the vendor for authority control work. The vendor returns, within two weeks, changed bibliographic records, as well as new name and subject authority records that support those bibliographic records.
    3. Additionally each month, the authority control vendor sends to HELIN changed name and subject authority records that, in most cases, overlay the existing authority records. The authority control coordinator receives reports from the vendor each month of added and deleted authority records due to these changed records. The coordinator checks these against the HELIN Catalog and adds/deletes any authority records, as necessary.
  4. Local Authority Control
    1. The three situations in which staff may need to export, modify, or create authority records are:
      1. When an OCLC authority record needs one or more cross- references, and these are not present in the OCLC authority record resident in the OCLC file,
      2. When a series authority record for a title is desired to document volume and/or indexing decisions, or
      3. When no OCLC authority record is found in the OCLC Authority File for a name, title, or topical subject heading that needs to be represented in the HELIN Catalog with cross-references.
    2. The situations in which staff may choose to export an authority record from OCLC are:
      1. When an OCLC authority record needs cross-references (cf. Section VIII. D.1.a), add these and export the authority record into the HELIN Catalog.
      2. When a series authority record is needed (cf. Section VIII. D.1.b), export it into the HELIN Catalog.
      3. When no OCLC authority record is found and an authority record is needed (cf. Section VIII. D.1.c), create the appropriate authority record in the HELIN Catalog according to the procedures noted in Section VIII. E below.
  5. How to Create HELIN Authority Records.
    1. If a name heading requiring cross-references appears both as an author and as a subject in HELIN bibliographic records, be sure that the name heading is represented in both the HELIN Name Authority and Subject Authority File. Often this will require creating a subject authority record from the name authority record already in the HELIN Catalog.
    2. Create authority records only for headings that require cross-references. Authority records with cross-references are the only authority records that should be retained in the HELIN Catalog.
    3. Keying HELIN Name and Title Authority Records.
      1. Use only an AACR2 or an AACR2-compatible form in the 1xx field of an authority record.
      2. Use judgment in making cross-references from variant forms. See LCRI 26.

        Examples of headings for which cross-references are not needed:

        (1) 100 1 Durling, Dwight Leonard |d 1899-

        t.p. form: Dwight L. Durling

        No cross-reference or authority record is needed, since the title page variant would be listed near the fuller form on a browsing screen and Durling is not a common name

        (2) 110 1 Rhode Island. |b Racing Commission. (pre-AACR2 form noted in a bibliographic record)
        AACR2 form: Rhode Island Racing Commission

        No cross-reference or authority record is needed, since the AACR2 and pre-AACR2 headings would normalize to the same form. (AACR2 form should be substituted in the bibliographic record, of course.)
    4. Keying HELIN Authority Records for Topical Subject Headings.
      Develop subject heading authority records (requiring cross-references) only for those topical headings, which do not have authority records in the OCLC Authority File. Use forms authorized in Library of Congress Subject Headings.
    5. Authority records for names, titles, and topical subjects keyed into the HELIN Catalog should include the appropriate 1xx field, 4xx and/or 5xx fields and a 670 field which shows the HELIN location symbol of the keying library, title in which the authorized form occurs, and publication date of the title.

      Ex. 01 100 1 Hilton, Thomas Eric
      02 400 1 Hilton, T. E.
      03 670 RIC: Practical geography in Africa, 1964.
    6. When an authority record is created for a heading with subdivisions, an authority record for the main heading should be created as well, if the main heading requires references from variant forms and does not yet appear in a HELIN authority record.
  6. Only catalogers or their designees should make changes to HELIN authority records.
  7. Global changes to name, title, and subject headings for the purpose of updating these headings to current OCLC authorized forms may be performed by the HELIN Knowledge Management Librarian and HELIN library catalogers.
  8. The HELIN Knowledge Management Librarian will delete from the HELIN Catalog authority records that: (1) have been superseded by other authority records; (2) exactly duplicate other authority records; or (3) no longer have bibliographic records associated with them in the HELIN Catalog. This will be done after notifying HELIN's authority control vendor about these deletions. The automated authority control feature of the HELIN system does allow overlay of authority records (based on authority record number) in records that are downloaded from OCLC. This feature does not catch all duplicates, however, and it is always good practice to delete duplicate authority records.
  9. Reports on Headings
    1. The authority control coordinator runs all HELIN Catalog headings reports daily, and errors noted in the reports are resolved at that time. Headings appearing in the DUPLICATE call numbers & other errors and the First Time Use reports are sent to the staff member in each library designated to handle these reports. The review file containing headings reports is emptied after the reports are run.
    2. Categories of headings included in the Reports on Headings are:

      F > Headings used for FIRST Time

      [First occurrence in an indexable heading occurs in a bibliographic record]

      I > INVALID headings used

      [Heading in bibliographical record matches a 4xx in an authority record]

      D > DUPLICATE call numbers & other errors

      [Detects duplicate barcodes (name and item) and OCLC numbers]

      B > BLIND References

      [1xx in authority record has no matches in bibliographic records]

      R > Duplicate authority RECORDS

      [1xx occurs in two different authority records]

      U > Bibliographic UPDATES

      [Indexable entry changed by automatic authority control module]

      N > NEAR matches

      [Indexable entry matches 4xx in authority record, but bibliographic record not changed]

      L > BUSY matches

      [Indexable entry matches 4xx in authority record but couldn't be changed]

      X > Non-Unique 4XXs

      [Same 4xx field occurs on more than one authority record]
    3. Handling Blind References Reports.
      1. Search the HELIN Catalog for occurrences of the form of name/title/subject listed in each field by pressing H (verify MARC headings).
      2. If the name/title/subject is found in a bibliographic record in a form in a 4xx field, correct the bibliographic record to match the 1xx in the authority record.
      3. If the form is not found as an access point in any HELIN MARC bibliographic record, the authority record will be deleted by the HELIN Knowledge Management Librarian after reporting it to the authority control vendor.
      4. If the form in the 1xx field is found as an access point in any HELIN MARC bibliographic record, retain the authority record.

        Example:
        In bibliographic record: 830 0 Studies in music (Ann Arbor, Mich.) ; v. 4

        In authority record:
        130 0 Studies in music (Ann Arbor, Mich.)
      5. If the name/title/subject is formed differently in the bibliographic record from the authorized form in the authority record, correct the entry in the bibliographic record, and retain the authority record. However, before correcting the bibliographic record, be sure that the authority record is accurate. When in doubt, check the OCLC Authority File for a DLC or other authoritative form.

        Example:
        In bibliographic record: 650 0 Peaceful coexistence

        In authority record: 150 0 Peace
        450 0 Peaceful coexistence

        Change bibliographic record: 650 0 Peace
  10. Automated Authority Control [AAC] (III).

    After midnight, for each SEE FROM heading (MARC 4XX) in an authority record that has been added or edited that day, INNOPAC searches for a matching bibliographic heading in the same index. If a matching bibliographic heading is found, AAC changes the bibliographic entry to the valid form (MARC 1XX) in the authority record. If the heading in the bibliographic record is not an exact match with that in the authority record, the update won't be automatic, but several extra headings reports are generated which assist a manual review of near matches:

    U > Bibliographic UPDATES

    Lists all entries that have changed. Review for inappropriate changes (e.g., second occurrence of |k Selections and some mis-corrected musical headings)

    N > NEAR matches

    Lists all entries that match a 4xx but can't be changed (e.g. mis-tagged entries). Because of stripped-off diacritics and the spelling out of '&' to 'and,' the majority of this report is irrelevant.

    L > BUSY matches

    Records in use by the system at time of conversion. Correct the entry in the bibliographic record.

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Appendices

NOTE: For the MARC Load Table, Fixed Length Codes for Item Records, and the Bibliographic Index Rules, which were included in Appendix C, Appendix F, and Appendix G, respectively, of the Spring 1997 Revision of this Manual, consult the "Codes used" listing provided under the category, "Information about the System," which can be accessed through "Management Information" on the Main Menu of the HELIN online system. Passwords are required to view the listings under "Information about the System."

Appendix A

Authorized Cataloging Standards

Anglo-American cataloging Rules, 2nd ed., latest revision

Library of Congress cataloging practice, as documented in the LC Cataloging Service Bulletin and in other Library of Congress documentation (for example,Subject Cataloging Manual and the Bibliographic Description of Rare Books)

OCLC Bibliographic Formats and Standards. Latest edition

OCLC Cataloging Manual. Latest edition

OCLC Technical Bulletins.

Authorized Authority Lists

OCLC Authority File

Library of Congress Name Authorities (microfiche ed.)

Library of Congress Subject Headings. Latest ed.

Medical Subject Headings. Latest ed.

OCLC-MARC Code Lists.

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Appendix B: Innopac Field Tags

Innopac Tag
Bibliographic

Definition

a

Author

b

Add Author

c

Call Number

d

Subject

e

Edition

f

Faxon ID #

g

Govt. Doc #

h

Holdings

i

ISBN/ISSN

j

Marcive

l

LC card #

m

Uniform Title

n

Note

o

OCLC #

p

Imprint

q

Link

r

Description

s

Series

t

Title

u

Alt Title

v

Bib call #

w

Related to

x

Continues

y

MARC

z

Cont'd by

Item

b

Barcode

c

m

Call #

Message

n

OPAC Note

v

Volume

x

Note

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Appendix C: Abbreviations Authorized for the Volume Field in Item Records

NOTE:These abbreviations have been taken from AACR2rev., Appendix B.9.

Term

Abbreviation

appendix

app.

book

bk.

bulletin

bull.

document

doc.

edition, -s

ed.

index

index

manual

manual

number, -s

no.

opus

op.

part, -s

pt.

report

rept.

series

ser.

supplement

suppl.

tome

t.

update

updt.

volume, -s

v.

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Appendix D: HELIN Record Limits

Maximum size of:

Bibliographic record: 100,000 characters
Variable field in bibliographic record: 10,000 characters

Maximum number of item records that can be attached to a bibliographic record: 3,000

Maximum number of bibliographic records that can be linked to an item record: 1,000

Maximum number of checkin records that can be attached to a bibliographic record: 300

Maximum number of order records that can be attached to a bibliographic record: 100

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