Guidelines for National Level Enhance participants

Revised May 2000, By Jay Weitz, Consulting Database Specialist, Collections and Technical Services Division

Much of the information found in the current version of the Enhance training outline and any subsequent updating memos, written to cover what is now referred to as Regular Enhance, is applicable to National Level Enhance. These Guidelines will concentrate on areas where National Level Enhance has capabilities different from, or responsibilities beyond those of, Regular Enhance.

The National Level Enhance mode adds to existing Enhance capabilities the ability to lock and replace records without regard to Encoding Level. This enables National Level Enhance participants to replace records with a blank or numeric (1, 4, or 8) Encoding Level not currently allowed in each of the relevant bibliographic formats. National Level Enhance authorizations can also create new records with blank and numeric Encoding Levels.

This level of Enhance participation was intended for use by the Library of Congress, institutions that have cooperative cataloging agreements with LC, and others chosen in consultation with LC.

  1. Locking and Replacing Existing Records
    1. A National Level Enhance authorization can lock and replace any record within its authorized bibliographic format(s) regardless of Encoding Level, with the exception of Encoding Level E records, which cannot be altered.
      Database Record Modified Record
      blank blank, 1, 2, 3, 4, 5, 7, 8
      1 blank, 1, 2, 3, 4, 5, 7, 8
      2 blank, 1, 2, 3, 4, 5, 7, 8, I, K
      3 blank, 1, 2, 3, 4, 5, 7, I, K
      4 blank, 1, 2, 3, 4, 5, 7, I, K
      5 blank, 1, 2, 3, 4, 5, 7, 8, I, K
      7 blank, 1, 2, 3, 4, 5, 7, 8, I, K
      8 blank, 1, 2, 3, 4, 5, 7, 8
      I blank, 1, 2, 3, 4, 5, 7, I, K
      J 4, I, J, K
      K blank, 1, 2, 3, 4, 5, 7, I, K
      L blank, 1, 2, 3, 4, 5, 7, I, K, L
      M blank, 1, 2, 3, 4, 5, 7, I, K, M
    2. A National Level Enhance authorization can lock and replace only the same minimal-level records OUTSIDE OF ITS AUTHORIZED BIBLIOGRAPHIC FORMAT(S) that Full Mode and Regular Enhance authorizations can.
      Database Record Modified Record
      2 2, 4 (no 042 = pcc), I, K
      3 3, 4 (no 042 = pcc), I, K
      4 (no 042 = pcc) 4 (no 042 = pcc), I, K
      5 4 (no 042 = pcc), 5, I, K
      7 4 (no 042 = pcc), 7, I, K
      K 4 (no 042 = pcc), I, K
      M 4 (no 042 = pcc), I, K, M

      Database Enrichment (addition of 006, 007, call numbers, subject headings, and contents notes) and the addition of field 300 to CIP records can also be performed as outlined in Bibliographic Formats and Standards, 5.3 Database Enrichment.

    3. Summary Chart of Editing Capabilities for Locked Records in Authorized Bibliographic Format(s)
      Element Add Change Delete
      System-supplied elements n/a no n/a
      BLvl n/a (1) n/a
      ELvl n/a (2) n/a
      Type n/a (1) n/a
      Other fixed-field elements n/a yes n/a
      019 no no no
      029 no no no
      040 ‡a yes yes no
      040 ‡c no no no
      040 ‡d no no no
      042 yes yes yes
      066 no no no
      850 yes yes yes
      Other variable fields yes yes yes

      (1)   Valid values within the same bibliographic format only.

      (2)   See Encoding Level charts.

      For further recommendations on editing records, see Section 3.

  2. Creating New Records
    1. A National Level Enhance authorization can create New records within its authorized bibliographic format(s) using Encoding Level values blank, 1, 2, 3, 4, 5, 7, and 8, as well as values I and K. Please note that Encoding Level 3 is intended to be used only for particular projects such as OCLC's Cooperative Online Resource Catalog (CORC) project.
    2. A National Level Enhance authorization can create New records OUTSIDE OF ITS AUTHORIZED BIBLIOGRAPHIC FORMAT(S) only in Encoding Levels 4 (no 042 = pcc), I, and K.
    3. Summary Chart of Editing Capabilities for New Records
      Element Add Change Delete
      System-supplied elements n/a no n/a
      BLvl n/a (1) n/a
      ELvl n/a (2) n/a
      Type n/a (1) n/a
      Other fixed-field elements n/a yes n/a
      012 (3) (3) (3)
      019 no no n/a
      029 no no n/a
      040 ‡c no no no
      040 ‡d yes no yes
      042 (3) (3) (3)
      066 no no n/a
      263 (3) (3) (3)
      850 (3) (3) (3)
      Other variable fields s yes yes yes


      (1)   Valid values within the same bibliographic format only
      (2) In New records in authorized format(s), National Level Enhance Mode users may enter blank, 1, 2, 3, 4, 5, 7, 8, I, or K. In New records in format(s) not authorized, National Level Enhance Mode users may enter only 4 (no 042 = pcc), I, or K.
      (3) In New records in authorized format(s), National Level Enhance Mode users may add, change, or delete fields 012, 042, 263, and 850. In New records in format(s) not authorized, National Level Enhance Mode users cannot add, change, or delete these fields.
  3. Record Editing
    1. Can (Please note that some things the OCLC Cataloging service will allow you to do SHOULD not be done under ordinary circumstances; see 3.3).
      1. Edit almost entire record except system-supplied data (OCLC number, Date Used, etc.)
      2. Change Type Code within a bibliographic format (i/j, g/k/o/r, etc.)
      3. Edit 040 subfields ‡a, ‡b, ‡e, and Fixed Field Source. For any, mostly older, records that lack 040 subfield ‡a, input your own symbol in 040 subfield ‡a, as you would for an original record.
      4. Upgrade or downgrade Encoding Levels in accordance with previous charts.
      5. Add, change, or delete fields 042 and 850.
    2. Can not
      1. Change Type code between formats (a to c, for instance). Although the OCLC Cataloging service will allow you to change Type codes locally on unlocked records, you cannot perform a Type code change on a locked master record. OCLC encourages you to report such necessary Type code changes via phone, paper form, online, or e-mail as outlined in Bibliographic Formats and Standards, 5.7, Type code changes.
      2. Change Bibliographic Level to or from serial. These should be reported via phone, paper form, online, or e-mail as outlined in Bibliographic Formats and Standards, 5.7 Submitting Reports.
      3. Change system-supplied data (040 ‡c, Date Entered, etc.)
      4. Change records containing CJK vernacular data (unless you are a CJK Enhance institution with OCLC CJK™ software).
      5. Add, delete, or change fields 019, 029, and 066.
      6. Delete a bibliographic record from WorldCat (the OCLC Online Union Catalog).
    3. Do not
      1. Do not change LCCN (field 010). For LC staff: A change to an LCCN should be done in OCLC only if the error would prevent the record being loaded in LC's system. For example, a typo in the 010 of a record created in OCLC may preclude its being loaded in LC (the LCCN may match that of another record in the LC system, thus causing the incoming record to be rejected). To limit complications, only specially authorized LC staff should make such changes to the 010 field in the record in OCLC; other LC staff should not make these changes.
      2. Do not change LC-assigned call numbers, except for adjustments to the date in CIP records, as outlined in Cataloging Service Bulletin no. 59 (Winter 1993) p. 71. Non-LC staff should follow these guidelines: Change the date in the 050 field to agree with that in the 260 ‡c subfield except in the special cases when there may be no one-to-one correlation between the imprint date and the date used in the 050. Those cases are as follows (citations to the Shelflisting Manual are provided for reference purposes):
        1. Classification subarranged by specific date (G 140)
        2. Collected set for which the date in the call number usually matches the first item in the set, not the imprint date of the analytic being cataloged (G 910)
        3. Commentaries on a specific conference (G 230)
        4. Commentaries on a specific corporate body's work (G 220)
        5. Congress or conference publications (G 230)
        6. Multiple editions of a work, with the same imprint date (G 140)
        7. Supplementary works cataloged separately (G 1400)
      3. Do not remove information (for instance, added entries or database enrichment fields) from a record unless the information is in error. For LC staff: On occasions when LC needs to delete information from a captured OCLC record to make it an LC record, do not delete the information from the OCLC master record.
      4. Do not use National Level Enhance for routine bibliographic file maintenance. It was intended for upgrade work done with the piece in hand. For NACO Participants: You are still required to report BFM to the Library of Congress. For LC staff: The official iteration of the LC record is the iteration in LC's system. All routine maintenance should be done in LC's system for the following reasons:
        1. If one has used copy on OCLC, one may have to edit the record to reflect previous changes that might have been made.
        2. Local fields in OCLC are not visible.
        3. Someone may have modified the LC system record in the interim.
      5. Do not leave in the master record local data that has no value to other libraries making subsequent use of the record. Generally omit local "bound-with" information and copy-specific notes and/or added entries for:
        1. Routine administrative information, such as donor information.
        2. Holdings information.
        3. Binding or dust jacket descriptions for modern materials.
        4. Provenance or location information.
        5. Names of internal collections.
        6. Information that applies to a copy that you do not own, including information from LC printed copy.
      6. Do not remove field 042 from a record.
    4. Guidelines for PCC Participants Upgrading CIP Records
      1. Full LC CIP record after being loaded into OCLC. Such a record contains the following relevant values:
        Encoding Level 8 [record in CIP state]
        Cataloging Source blank [national library]
        040 ‡a DLC ‡c DLC [LC-originated record]
      2. Full level former CIP record after being upgraded by PCC participant in OCLC:
        Encoding Level blank [full level]
        Cataloging Source blank [national library; do not change to c]
        040 ‡a DLC ‡c DLC ‡d UPL [LC-originated record; upgrading library's symbol added in $d]
        042 pcc [added by PCC participant]
      3. Record in CIP state that is intended to be core level after being loaded into OCLC:
        Encoding Level 8 [record in CIP state]
        Cataloging Source blank [national library]
        040 ‡a DLC ‡c DLC [LC-originated record]
        042 pcc [LC indication that record is intended to be core although record is still in CIP state (LC uses 042 = pcc in core records in addition to ELvl = 4)]
      4. Core level former CIP record after being upgraded by PCC participant in OCLC:
        Encoding Level 4 [core level]
        Cataloging Source blank [national library; do not change to c]
        040 ‡a DLC ‡c DLC ‡d UPL [LC-originated record; upgrading library's symbol added in ‡d]
        042 pcc [LC indication that record is intended to be core although record is still in CIP state (LC uses 042 = pcc in core records in addition to ELvl = 4)]
      5. Full level record after being upgraded to full in OCLC by PCC participant. When the record was in a CIP state, it was coded to signal that it was intended to be core but instead has now been upgraded to full:
        Encoding Level blank [full level]
        Cataloging Source blank [national library; do not change to c]
        040 ‡a DLC ‡c DLC ‡d UPL [LC-originated record; upgrading library's symbol added in ‡d]
        042 pcc [LC indication initially used to indicate that record is intended to be core now rendered moot by upgraded record with ELvl = blank [full]; record has been upgraded to full; 042 = pcc now is signal record upgraded by a PCC participant]
    5. Expectations
      1. In general, the guidelines governing the use of copy cataloging at LC and the rules for existing cooperative programs remain in force, including the use of codes in fields 040, 042, and Cataloging Source. Only exact matches should be Enhanced.
      2. A record should fulfill all the standard requirements of the Encoding Level at which it has been input or to which it has been Enhanced.
      3. In general, existing records should not be changed in such a way that the Encoding Level would be lowered.
      4. All authority work required under existing cooperative programs should be performed.
      5. When entering new records and Enhancing existing records input since 1995 February 1, follow any appropriate Format Integration content designation practices. When Enhancing existing records input before 1995 February 1, OCLC encourages, but does not require, National Level Enhance participants to upgrade the record to Format Integration practices, especially those unlikely to be candidates for machine conversion (246/740, 500/546, etc.).
      6. When an item lacking a publication date has a copyright date following the year in which the publication is received (e.g., "c1999" on a publication received in 1998), the Library of Congress recommends accepting the date that appears on the item as the date of the edition being cataloged (AACR2 rule 1.4F1). The copyright date is treated by AACR2 rule 1.4F6 as a substitute for the lacking publication date. In the example cited, LC would treat "c1999" as an "adequate" substitute publication date for a publication received in 1998.
  4. Duplicates
    1. As a National Level Enhance participant, you may report duplicate records in any bibliographic format EXCEPT BOOKS, following the procedures and using electronic means or the paper form found in Bibliographic Formats and Standards, 5.7, Duplicate records.
    2. Use a separate form for each format and note the format on each sheet. Send forms promptly; do not let them sit.
  5. Monitoring, Evaluation, and Feedback
    1. There will be no monitoring or evaluation of National Level Enhance replaces or inputs performed by LC staff.
    2. Selective evaluation of National Level Enhance replaces and inputs by other institutions may be performed after authorization to confirm the quality of work. Further monitoring may be done as necessary.