Joint Catalog Department/Preservation Department Task Force to Recommend Standard Procedures for the Processing and Cataloging of Preservation Replacements
Pt. 2: Cataloging Procedures for Preservation Replacements. 2005 Revision

To: Technical Services Staff
From: Preservation Task Force
Date: (Oct. 12, 2000 creation date/ September 24, 2012 6:16 PM revision date)

CONTENTS:

I. Microfilm (Purchased). Fixed fields. Example. Variable fields. 533 examples. MFHD. Volume holdings. Item record
II. Microfilm (Created). Fixed fields. Variable fields. Copy Specific Notes. MFHD. First location. Second location Third location. Volume holdings. Item record.
III. Microfiche (always purchased, never created). Fixed fields. Variable fields. Copy Specific Notes. MFHD. Volume holdings. Item record.
IV. Photocopy (always created, never purchased). Fixed fields. Variable fields. MFHD. Volume holdings. Item record.
V. Reprint. Fixed fields. Variable fields. 534 field. MFHD. Volume holdings. Item record.

Return to part 1: Workflow

NOTE: Apply Cataloging Procedures I, IIII, IV, and V for Preservation Replacements also to new titles added to Orbis.

I. MICROFILM (PURCHASED)

Bibliographic Record

Fixed Fields

Enter values for the original monograph or serial according to the MARC 21 Bibliographic Format. In addition, enter values for the microform following these guidelines:

Basic guidelines (see the MARC 21 Bibliographic Format for more detail):

008    
Form of item   a (microfilm)
007   Select Microform
Specific Material Designation   d (microfilm reel)
Original vs. Reproduction   Ignore. (If a value has been entered for derived copy cataloging, leave value as is.)

 

Positive/Negative Aspect   a (positive)
b (negative)
etc.
Dimensions   f (35 mm)
d (16 mm)
Reduction Ratio Range  

a (low; reduction ratio less than 016)
b (normal; reduction ratio between 016-030)
c (high; 031-060)
d (very high; 061-090)
e (ultra high; over 090)
u(unknown)

Reduction Ratio   "Generally, the specific reduction ratio is recorded when it is ultra high (code e in 007/05). If the ratio is not ultra high, recording the specific ratio is less essential. The numeric value of the reduction ratio, using three digits, is right justified with leading zeros (e.g., 015, 048). A hyphen is used for unknown digits in the reduction ratio (e.g., 03-, 1--, or ---). Three fill character (|||) are used when no attempt has been made to code this data element."--MARC 21. If the reduction ratio is not explicit, use range code u and hyphens rather than |||
Color   b (black and white)
c (multicolored)
m (mixed)
etc.
Emulsion on film   a (silver halide) (use as the default value)
u (unknown)
Generation   c (service copy)
Base   a (safety base; use for pre-1980 production)
p (safety base, polyester; use for post-1980 production)

 

 

 

 

Example:

Variable fields:

245   Add ‡h [microform] in 245 field after title proper.

533
The following subfields are the ones most commonly used. For a full listing of the subfields, check MARC 21 Bibliographic Format.

  Reproduction note.
  ‡a   Type of reproduction (i.e. Microfilm)
  ‡b   Place of reproduction
  ‡c   Agency responsible for reproduction
  ‡d   Date of reproduction
  ‡e   Physical description of reproduction __ reels ; ___ mm.)
  ‡f   Series statement of reproduction
  ‡m   Dates and/or sequential designation of issues reproduced
  ‡n   Note about reproduction
 
‡7   Fixed-length data elements of reproduction. Subfield 7 is always the last subfield in 533.
Subfield 7 contains fifteen character positions (0-14):
  0   Type of date/publication status (for monographs use s or m; for serials use c, d or u)
  1-4   Date 1 (for monographs use date of reproduction found in |d of 533; for serials use original beginning date of publication of the issues that have been reproduced as indicated in |m of 533)
  5-8   Date 2 (for monographs use 4 blank spaces if no second date of reproduction found in |d of 533; for serials use original ending date of publication of the issues that have been reproduced as indicated in |m of 533)
  9-11   Place of publication, production, or execution (use country code for the reproduction)
  12   Frequency (for monographs use n; for serials use code that indicates frequency of reproduction)
  13   Regularity (for monographs use 1 blank space; for serials use code that indicates the regularity of the reproduction)
  14   Form of item (use a)

Examples (monograph)

Note: in the two monograph examples,

4 blank spaces after ‡7 s1981

1 blank space after dcun

533     ‡a Microfilm. ‡b Washington, D.C. : ‡c Library of Congress, Photoduplication Service, ‡d 1981. ‡e 1 microfilm reel ; 35 mm. ‡7 s1981    dcun a

533     ‡a Microfilm. ‡b Washington, D.C. : ‡c United States Historical Documents Institute, ‡d [1972] ‡e 12 microfilm reels ; 35 mm. ‡7 s1981    dcun a

Examples (serial)

533     ‡a Microfilm. ‡m 1962-1965. ‡b Ann Arbor, Mich. : ‡c University Microfilms International, ‡d 1988. ‡e 1 microfilm reel ; 35 mm. ‡7 d19621965miuuua

533     ‡a Microfilm. ‡m 1950-1954. ‡b Millwood, N.Y. : ‡c KTO Microfilm, ‡d 1966. ‡e 5 microfilm reels : negative ; 35 mm. ‡7 d19501954nyuara

 

COPY SPECIFIC NOTES

If it is considered necessary to record notes reflecting the difference between the original and the reproduction in the record for the microfilm, generally prefer 533 ‡n.

533     ‡a Microfilm. ‡b Ann Arbor, Mich. : ‡c ProQuest, ‡d 2004. ‡e 1 microfilm reel ; 35 mm. ‡n Plates not reproduced. ‡7 s2004    miun a

MFHD

852 first indicator 8 (other classification scheme).

852 second indicator 0 or 1 as appropriate.

Location smlmic (or other location as appropriate). The location smlmic includes EAC and MSS microfilms.

Call numbers used by the SML Cat. Dept.:

Monographs. Assign accession number from the Film B shelflist.

852 8 0 ‡b smlmic ‡h Film ‡i B[accession number]

Serials. Assign accession number from the Film S shelflist.

852 8 1 ‡b smlmic ‡h Film ‡i S[accession number]

Newspapers. Until Oct. 2012, newspapers were assigned Yale classification An, and the title cutter construction was based, exceptionally, on the Cutter table (which has a more detailed expansion than the LC table). Shelflisting against a separate An shelflist was required. From Oct. 2012, reflecting the steep decline in newspaper microform purchases, microform newspaper call numbers are constructed following the standard accession number procedures used for microform serials & are shelflisted against the Film S or NS shelflists.

NOTE: For negative service copy, use Film B or Film S call number. Do not assign Film N or Film NS call number.

CALL NUMBERS FOR OTHER LOCATIONS: assign according to the appropriate scheme for the location.

Volume Holdings

Create volume holdings for the microfilm replacement when appropriate.
Record bibliographic information, not information regarding physical reels.

Item Record

Procedures for SML:

  • An item record is created for each microfilm reel and a barcode is affixed to each microfilm box at time of receipt.
  • Item type is microform
  • For multi-part monographs or serials, the ENUM and CHRON fields in the item record should indicate the volumes and/or years represented on the microfilm reel.
  • After the title is cataloged, the item record is discharged and the microfilm is sent to Preparations.

For other locations, follow appropriate procedures.

II. MICROFILM (CREATED)

Bibliographic record:

Fixed Fields:
Enter values for the original monograph or serial according to the MARC 21 Bibliographic Format. In addition, create three 007s. Values will be the same as I. above, except Generation values should be:

a first generation (master)
b printing master
c service copy

Create 007s in reverse order, service copy first, first generation master last.

Service copy:



 

 

Printing master:

 

 

 

 

 

 

 

 

 

 

 

First generation master:

Variable fields:

Follow the guidelines in Section I, but enter also:

037   Use this field to record the microfilm storage number for the first generation (master)

NOTE: For SML, place of reproduction and agency responsible for reproduction will usually be: ‡b New Haven, Conn. : ‡cYale University Library.

The 533 should describe all microfilm copies represented on the MFHDs.

Example. Note spacing in ‡7:

4 blank spaces after ‡7 s1990

1 blank space after ctun

533     ‡a Microfilm. ‡b New Haven, Conn. : ‡c Yale University Library, ‡d 1990. ‡e 1 microfilm reel ; 35 mm. ‡7 s1990    ctun a
590     ‡a NEGATIVE FILM AVAILABLE FOR REPRODUCTION

 

COPY SPECIFIC NOTES

Do not add the MFHD public note 852 ‡z NEGATIVE FILM AVAILABLE FOR REPRODUCTION. Instead, add as 590 note in the bibliographic record.

Generally avoid recording routine processing information about the original, e.g. the original call number, as a staff note in 852 ‡x or ‡z. Copy specific notes entered in 852 may result in a misleading display when the Voyager bound-with technique needs to be applied in situations where multiple bibliographic records are created for a single reel (or fiche).

If detailed notes about the original hard copy have been entered in the 590 of the original record, revise the location given at the beginning of the 590 note to reflect the current location of the microfilm and qualify the current location by citing the call number of the original copy. If needed, record information about the reproduction in 533 $n.

If the original lacks a 590 note with details about the original hard copy, and it is considered necessary to record notes about the original in the record for the microfilm, record in 590 preceded by the current location of the microfilm. Qualify the current location by citing the call number of the original copy. If needed, record information about the reproduction in 533 $n.

533     ‡a Microfilm. ‡b New Haven, Conn. : ‡c Yale University Library, ‡d 1995. ‡e 1 microfilm reel ; 35 mm. ‡n Plates not reproduced. ‡7 s1995    nyun a
590     ‡a SMLMIC (Copy filmed: SML DT123 B27 1976): Imperfect: all after p. 70 wanting.
590     ‡a NEGATIVE FILM AVAILABLE FOR REPRODUCTION

 

533     ‡a Microfilm. ‡b New Haven, Conn. : ‡c Yale University Library, ‡d 2005. ‡e 1 microfilm reel ; 35 mm. ‡7 s2005    mdun a
590     ‡a SMLMIC (Copy filmed: BEIN Zc50 855gr).
590     ‡a NEGATIVE FILM AVAILABLE FOR REPRODUCTION

MFHD

Create a MFHD for each generation:

1st Location (Service copy):

852 first indicator 8 (other classification scheme). Second indicator 0 or 1 as appropriate.

Location smlmic (or other location as appropriate). The location smlmic includes EAC and MSS microfilms.

Call numbers used by the SML Cat. Dept.:

Monographs. Assign accession number from the Film B shelflist.

852 8 0 ‡b smlmic ‡h Film ‡i B[accession number]

Serials. Assign accession number from the Film S shelflist.

852 8 1 ‡b smlmic ‡h Film ‡i S[accession number]

Newspaper call numbers: Until Oct. 2012, newspapers were assigned Yale classification An, and the title cutter construction was based, exceptionally, on the Cutter table (which has a more detailed expansion than the LC table). Shelflisting against a separate An shelflist was required. From Oct. 2012, reflecting the steep decline in newspaper microform purchases, microform newspaper call numbers are constructed following the standard accession number procedures used for microform serials & are shelflisted against the Film S or NS shelflists.

CALL NUMBERS FOR OTHER LOCATIONS: assign according to the appropriate scheme for the location.

 

2nd Location (Printing master, formerly called Master negative):

852 first indicator 8 (other classification scheme). Second indicator 0 or 1 as appropriate.

Location smlmic (or other location as appropriate). The location smlmic includes EAC and MSS microfilms. The MFHD must be suppressed from public view. Click on the System Tab and click Suppress from OPAC. In 852, always follow the ‡b location subfield with ‡k Suppressed. Follow ‡i with ‡x Printing master.

Call numbers used by the SML Cat. Dept.:

Monographs. Assign accession number from the Film N shelflist.

852 8 0 ‡b smlneg ‡k Suppressed ‡h Film ‡i N[accession number]‡x Printing master

Serials AND newspapers. Assign accession number from the Film NS shelflist.

852 8 1 ‡b smlneg ‡k Suppressed ‡h Film ‡i NS[accession number] ‡x Printing master

 

CALL NUMBERS FOR OTHER LOCATIONS: assign according to the appropriate scheme for the location.

3rd Location (First generation (master))

The MFHD must be suppressed from public view. Click on the System Tab and click Suppress from OPAC. In 852, always follow the ‡b location subfield with ‡k Suppressed. Follow ‡i with ‡x First generation (master) and a 2nd ‡x <archival barcode number> (Iron Mtn.)

852 8 0 ‡b smlpres ‡k Suppressed ‡h <call number assigned by Preservation Dept ‡i> ‡x First generation (master) ‡x <barcode number> (Iron Mtn.)

Volume holdings

Create volume holdings for the microfilm replacement when appropriate.
Record bibliographic information, not information regarding physical reels.

Item Record

Service copy (positive microfilm):

Procedures for SML:

  • An item record is created for each microfilm reel and a barcode is affixed to each microfilm box at time of receipt
  • Item type is microform
  • For multi-part monographs or serials, the ENUM and CHRON fields in the item record should indicate the volumes and/or years represented on the microfilm reel.
  • After the title is cataloged, the item record is discharged and the microfilm is sent to Preparations.

For other locations, follow appropriate procedures.

Printing master (formerly called Master negative):

  • An item record is created for each microfilm reel and a barcode is affixed to each microfilm box at time of receipt.
  • Item type is microform
  • For multi-part monographs or serials, the ENUM and CHRON fields in the item record should indicate the volumes and/or years represented on the microfilm reel.
  • After the title is cataloged, the item record is discharged and the microfilm is sent to Preparations.
  • All printing masters will be stored in LSF (those currently in Seely Mudd Library will be transferred to LSF)

First generation (master):

If the first generation (master) is sent to LSF, follow the same procedures as for the printing master above.

If the first generation (master) is sent to the Iron Mountain Storage, follow appropriate procedures.

 


 

III. MICROFICHE (always purchased, never created)

Bibliographic record

Fixed Fields:

Enter values for the original monograph or serial according to the MARC 21 Bibliographic Format. In addition, enter values for the microform following these guidelines:

Basic guidelines (see the MARC 21 Bibliographic Format for more detail):

008    
Form of item   b (microfiche)
007   Select Microform
Specific Material Designation   e (microfiche)
Original vs. Reproduction   Ignore. (If a value has been entered for derived copy cataloging, leave value as is.)
Positive/Negative Aspect   a (positive)
b (negative)
etc.
Dimensions   m (11 x 15 cm., standard microfiche size)
Reduction Ratio Range   a (low; reduction ratio less than 016)
b (normal; reduction ratio between 016-030)
c (high; 031-060)
d (very high; 061-090)
e (ultra high; over 090)
u(unknown)
Reduction Ratio   "Generally, the specific reduction ratio is recorded when it is ultra high (code e in 007/05). If the ratio is not ultra high, recording the specific ratio is less essential. The numeric value of the reduction ratio, using three digits, is right justified with leading zeros (e.g., 015, 048). A hyphen is used for unknown digits in the reduction ratio (e.g., 03-, 1--, or ---). Three fill character (|||) are used when no attempt has been made to code this data element."--MARC 21. If the reduction ratio is not explicit, use range code u and hyphens rather than |||

 

Color   b (black and white)
c (multicolored)
m (mixed)
etc.
Emulsion on film   a (silver halide) (use as default)
u (unknown)
Generation   c (service copy)
Base   a (safety base; use for pre-1980 production)
p (safety base, polyester; use for post-1980 production)

EXAMPLE:

 

Variable fields:

245   Add ‡h [microform] in 245 field after title proper.

533
The following subfields are the ones most commonly used. For a full listing of the subfields, check MARC 21 Bibliographic Format.

  Reproduction note.
  ‡a   Type of reproduction (i.e. Microfiche)
  ‡b   Place of reproduction
  ‡c   Agency responsible for reproduction
  ‡d   Date of reproduction
  ‡e   Physical description of reproduction (__ microfiches. Dimensions are not given for standard 11x15 microfiches.)
  ‡f   Series statement of reproduction
  ‡m   Dates and/or sequential designation of issues reproduced
  ‡n   Note about reproduction
 
‡7   Fixed-length data elements of reproduction. Subfield 7 is always the last subfield in 533.
Subfield 7 contains fifteen character positions (0-14):
  0   Type of date/publication status (for monographs use s or m; for serials use c, d or u)
  1-4   Date 1 (for monographs use date of reproduction found in |d of 533; for serials use original beginning date of publication of the issues that have been reproduced as indicated in |m of 533)
  5-8   Date 2 (for monographs use 4 blank spaces if no second date of reproduction found in |d of 533; for serials use original ending date of publication of the issues that have been reproduced as indicated in |m of 533)
  9-11   Place of publication, production, or execution (use country code for the reproduction)
  12   Frequency (for monographs use n; for serials use code that indicates frequency of reproduction)
  13   Regularity (for monographs use 1 blank space; for serials use code that indicates the regularity of the reproduction)
  14   Form of item (use b)

 


Example (monograph)

Note: in the monograph example,

4 blank spaces after ‡7 s1978

1 blank space after oncn

 

533     ‡a Microfiche. ‡b [Ottawa] : ‡c National Archives of Canada, ‡d [1978?] ‡e 2 microfiches. ‡7 s1978    oncn b

Example (serial)

533     ‡a Microfiche. ‡m Jan. 1930-Nov. 1945. ‡b Glen Rock, N.J. : ‡c Microfilming Corp. of America, ‡d 1975. ‡e 66 microfiches. ‡7 d19301945njmrb

MFHD

852 first indicator 8 (other classification scheme). Second indicator 0 (single part monograph) or 1 (serial or multipart monograph) as appropriate.

Location smlmic (or other location as appropriate). The location smlmic includes EAC and MSS microfilms.

Call numbers used by the SML Cat. Dept.:

Monographs. Assign accession number from the Fiche B shelflist.

852 8 0 ‡b smlmic ‡h Fiche ‡i B[accession number]

Serials. Assign accession number from the Fiche S shelflist.

852 8 1 ‡b smlmic ‡h Fiche ‡i S[accession number]

CALL NUMBERS FOR OTHER LOCATIONS: assign according to the appropriate scheme for the location.

Volume holdings

Create volume holdings for the microfiche replacement when appropriate.
Record bibliographic information, not information regarding number of fiches.

Item Record

Procedures for SML:
Only one item record is created for the microfiche(s) and the barcode is affixed to a card, which accompanies the microfiche(s) when sent for cataloging. After the title is cataloged, the item record is discharged and the microfiche(s) is sent to the Microtext Room with a printout of the copy holdings record.

For other locations, follow appropriate procedures.

IV. PHOTOCOPY (always created, never purchased)

NOTE: Photocopies in Preservation workflow are always created & never purchased. In new cataloging workflow, on-demand photocopies may be purchases.

Bibliographic record

Fixed Fields

Enter values for the original monograph or serial according to the MARC 21 Bibliographic Format. In addition, enter values for the photocopy following these guidelines:

Form of item: r (regular print reproduction)

Variable Fields

Give the bibliographic description for the original.


533
The following subfields are the ones most commonly used. For a full listing of the subfields, check MARC 21 Bibliographic Format.

  Reproduction note.
  ‡a   Type of reproduction (i.e. Photocopy)
  ‡b   Place of reproduction
  ‡c   Agency responsible for reproduction
  ‡d   Date of reproduction
  ‡e   Physical description of reproduction (Give pagination & size if different from original)
  ‡f   Series statement of reproduction
  ‡m   Dates and/or sequential designation of issues reproduced
  ‡n   Note about reproduction
     

NOTE: Subfield ‡7 is not used for photocopies.

NOTE: For SML, place of reproduction and the agency responsible for reproduction will usually be: ‡b [New Haven, Conn. : ‡c Yale University Library]

Example (monograph):

533     ‡a Photocopy. ‡b [New Haven, Conn. : ‡c Yale University Library, ‡d 1999?] ‡e 30 p. on [15] leaves ; 20 x 25 cm. ‡n Plates not reproduced.

MFHD

852 first indicator 0 (LC classification) or 8 (other classification scheme) as appropriate.

852 second indicator 0 (single part monograph) or 1 (serial or multipart monograph) as appropriate.

Original location or new location as assigned by the selector.

Call number for LC call no.: add "A" to the date of the original.

If the original LC call number lacks a date, supply the date with A for the photocopy call number. Use the publication date (the first date in 008).

For old Yale call no., use the same call no. as the original.

Example (Original published 1964; photocopy created 1999):

852 0 0 ‡b sml ‡h DT963.K3 ‡i H35 1964A

Volume holdings record

Create volume holdings for the photocopy replacement when appropriate.

Item Record

An item record is created for the photocopy at time of receipt and the barcode is affixed to the item itself or to a card that accompanies the photocopy when sent for cataloging. After the title is cataloged, the item record is charged to Preparations or other appropriate locations for marking and labeling.

V. REPRINT

Bibliographic record

Fixed fields

  • For monographs, fixed field values that correspond to the original content should be entered as such. For dates, use Publication status r (Reprint/reissue). Date 1 should be the date of the reprint; Date 2 should be the original date. If the original date is a range, enter the earlier date. For detailed guidelines and many examples, consult the OCLC Bibliographic Formats and Standards under DT/ST:

    http://www.oclc.org/bibformats/en/fixedfield/dtst.shtm

  • For serials, add values for the original except for the place of publication, frequency and regularity which should have values for the reprint.
  • For both monographs and serials code Form of item: r (regular print reproduction)

Variable fields:

For monographs, the reprint is described in the main portion of the bibliographic record.

For serials,

  • the original is described in the title statement area (245), edition statement area (250) and numeric and/or alphabetic, chronological, or other designation area (362). Other information pertaining to the original is given in the 534 field.
  • the reprint is described in the publication, distr., etc. area (260) and the physical description, etc. area (300).


534. Original version note. Give details relevant to the original in the 534 note. The following subfields are the ones most commonly used. For a full listing of the subfields, check the MARC 21 Bibliographic Format.

‡p   Introductory phrase
‡a   Main entry of original
‡t   Title statement of original
‡b   Edition statement of original
‡c   Publication, distr., etc. of original
‡e   Physical description, etc. of original
‡f   Series statement of original
‡n   Note about original
‡z   International Standard Book Number
‡x   International Standard Serial Number

Examples (monograph)

534     ‡p Originally published: ‡b 1st ed. ‡c New York : Harper & Row, 1972.

534     ‡p Reprint. Originally published: ‡c Oxford ; New York : Pergamon Press, 1963. ‡f (International series of monographs on electromagnetic waves ; v. 4).

Examples (serial)

534     ‡p Reprint. Originally published monthly: ‡c Boston : [s.n.], 1951-1956.

534     ‡p Originally published: ‡c Garden City, N.Y. : Anchor Books, 1974-1978. ‡n Published bimonthly (monthly June-July).

MFHD

852 first indicator 0 (LC classification).

852 second indicator 0 (single part monograph) or 1 (serial or multipart monograph) as appropriate.

Location as assigned by the selector.

Call number: Use LC classification; the call number date should be the date of the reprint (not the original).

Volume holdings

Create volume holdings for the reprint replacement when appropriate.

Item Record

An item record is created for the reprint at time of receipt and the barcode is affixed to the item or to a card which accompanies the reprint when sent for cataloging. After the title is cataloged, the item record is charged to Preparations or other appropriate locations for marking and labeling.


Dec. 11, 2000/Updated for Voyager 2005/rev. 2012 (font & newspapers)

RELATED DOCUMENTS

Procedures for Processing and Cataloging Preservation Replacements. Part 1: Workflow

 

[TOC | Cataloging at Yale | [Optional Link]


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