Overview
Preliminary bibliographic records are created for materials that are (1) on order (2) recently received or (3) not yet represented in Orbis. Preliminary bibliographic records contain standard MARC fields with appropriate content designation and sufficient information to permit the determination of a bibliographic match manually or by machine processing.

The procedures described in this document are to be followed by all staff with responsibility for creating records in Orbis for materials that are in one of the above categories.

The procedures in this document are described as follows:

Part 1: General procedures for all preliminary bibliographic records

Part 2: Creating a new preliminary record

Part 3: Creating a preliminary record using "standard" copy from OCLC

Part 4: Creating a preliminary record using "non-standard" copy from OCLC

Part 5: Authority Validation

Part 6: Recording information in the Orbis MFHD

 

Part 1: General Procedures for All Preliminary Bibliographic Records
Search Orbis thoroughly before creating a preliminary bibliographic record. Create a preliminary bibliographic record, using approved templates, when there is no matching record in Orbis or in LCDB when placing an order, receiving an item, or sending an item to a frontlog or backlog.

If an Orbis search results in a record for a serial, determine if the item in hand should be added to the record for the serial before creating a new record for the item in hand. Pay particular attention to series statements or series-like numbering that appear in a citation (when ordering) or on the item in hand.

If an LC record (from LCDB, from OCLC, from a vendor) has a 490 0_ field for the series, re-tag the 490 0_ field to 440 _<filing indicator if necessary>. There is a macro available that will perform the re-tag, but the filing indicator must be supplied if the series begins with an article. If the series does not begin with an article, the tag should be 440 _0.

EXAMPLES:

If the LC record has:

490

0

‡a International series on biometrics ; ‡v 6

Re-tag to:

440

0

‡a International series on biometrics ; ‡v 6

If the series on the LC record has an initial article:

490

0

‡a The A.W. Mellon lectures in the fine arts ; ‡v 2003

Re-tag and enter the correct filing indicator:

440

44

‡a The A.W. Mellon lectures in the fine arts ; ‡v 2003

If a record is found in OCLC that can be used as a basis for a preliminary record, follow the instructions in Part 3 or in Part 4 as appropriate.

If a record is not found in OCLC, create an Orbis record according to the procedures in Part 2. Code the MFHD for all preliminary records according to the procedures in Part 6.

Part 2: Creating a New Preliminary Record

The template Leader will look like this. For preliminary records, leave as is.

The 008 will look like this (the 008 was revised in 2007):

 

For 008, code the fixed fields as follows, using the drop-down menu; otherwise leave as is:

Date 1 (yyyy) (Beginning date of publication) and Date 2 (yyyy) (Ending date of publication) Record the date(s) of publication. If there is no date of publication on the item use 200u or, for older material, 19uu.

Place of publication Assign the appropriate code from the list of MARC Codes for Countries

Form of item If the work is a reproduction assign the appropriate code

Language Assign the appropriate code from the list of MARC Codes for Languages. The default code is eng (English). If your order unit uses a different language code, the default language on the template can be customized.

Examples of Dates:

260 ‡c	DATE 1	DATE 2
2002	2002	____
1998-	1998	9999
1996-1997	1996	1997
[199-]	199u	____
[19--]	19uu	____

 

The variable field template will look like this (new template used from 1/07):

	Tag	I1	I2	Subfield data
	020			‡a
	100		0	‡a
	245	1	0	‡a
	260			‡a : ‡b , ‡c
	300			‡a
	830			‡a

 

Create variable fields as follows:

020 (ISBN): Record the ISBN (International Standard Book Number) in field 020 according to the following pattern:

020

‡a###########

Do not transcribe hyphens. For multi-volume sets, enter the ISBN of the set only (if present). Otherwise enter the ISBN for each volume(s) in hand in separate 020 fields. If the item has ISBNs for hardcover and paperback editions, input both numbers in separate 020 fields. If the item is simultaneously published (for example, in U.S. and British editions), input only the ISBN of the item in hand. If there is no ISBN present, you must delete the 020 field from the template before Voyager will allow the record to be saved.

13 digit ISBNs are now standard. "In general, for preliminary record creation by acquisitions staff handling orders, follow LC practice when creating the bibliographic order record from a citation if both 10- and 13-digit ISBNs are given, i.e., paired 020s, first 020 has the 13-digit number. If the citation only provides an unpaired 13-digit ISBN at the point of ordering, then staff may ignore the LC practice and enter the 13-digit ISBN in 020, with the understanding that if the record only has a 13-digit ISBN in 020, the chances of duplication may be increased."

See: http://www.library.yale.edu/cataloging/Orbis2Manual/ISBN13.htm

100/700, 110/710, or 111 (Main entry: Personal, Corporate or Conference Name):

If the item has three or fewer authors, record the first named author in the appropriate 1xx field. If the item has no author or more than three authors, do not input a 1xx field and use a 7xx field for the first named author. If there is no 1xx and there is an editor, compiler, etc., record the name in field 7xx.

Search for the correct form of the heading (personal, corporate, or conference) in ORBIS and, if necessary, in LCDB. If a personal name or a corporate name is not represented in ORBIS or in LCDB, use the form of the name as found on the item (last name first for personal names unless instructed otherwise). Do not include dates even if such information is readily available on the item in hand.

If a conference name is not represented in ORBIS or in LCDB, do not record it in field 1xx or field 7xx.

Examples:

Lawrence, T. E. ‡q (Thomas Edward), ‡d 1888-1935. (form found in ORBIS)

100

1

‡a Lawrence, T. E. ‡q (Thomas Edward), ‡d1888-1935.

Judy Verdini. (form on t.p. not found in ORBIS or in LCDB)

100

1

‡a Verdini, Judy.

Yale University. ‡b Library. (form found in ORBIS)

110

2

‡a Yale University. ‡b Library.

Cataloging Coordinating Committee. (form on t.p. not found in ORBIS or in LCDB)

110

2

‡a Cataloging Coordinating Committee.

Symposium on a Clinical Pharmacy Program. (form found in LCDB)

111

2

‡a Symposium on a Clinical Pharmacy Program.

 

245 ‡a and ‡b (Title and other title information) Record the title in field 245 according to the following pattern:

245

1

0

‡a Title : ‡b other title information.

Transcribe the title as it appears on the title page or container. Do not transcribe initial articles or diacritics. If the book lacks a title page, record the title as it is found on the cover. Capitalize the first letter of the first word and the first letter of proper nouns. Use b for other title information (such as subtitles, parallel titles, etc.) and precede it with a colon (:). Do not transcribe a statement of responsibility. If the work is a micro reproduction or requires a general material designation (gmd), add the form of reproduction or the gmd in square brackets in ‡h following ‡a.

Examples:

Title page: Boss dog by M.F.K. Fisher.

245

1

0

‡a Boss dog.

Title page: The Merchant of Venice.

245

1

0

‡a Merchant of Venice.

Title page: Monet to Manet Landscape Painting in France

245

1

0

‡a Monet to Manet : ‡b landscape painting in France.

Microform: Monet to Manet Landscape Painting in France

245

1

0

‡a Monet to Manet ‡h [microform] : ‡b landscape painting in France.

 

246 (Varying form of title) Record a varying form of the title in field 246 according to one of the following patterns as appropriate:

246

1

33

‡a Alternate form of word, etc. in title in field 245

Create field 246 in the following situations only:

If the title recorded in field 245 ‡a is in English and contains an ampersand (&), create a 246 field with the word "and" in place of the ampersand, using indicators as shown.

Title page: Peace & war: reminiscences of a life on the frontiers of science

245	1	0	‡a Peace & war : ‡b reminiscences of a life on the frontiers of science.
246	1	3	‡a Peace and war

If the title recorded in field 245 ‡a has an obvious typographical error, create a 246 field with the corrected text, using indicators as shown.

Title page: Leve and be well

245	1	0	‡a Leve and be well
246	1	3	‡a Live and be well

 

250 (Edition statement) Record edition statements in field 250 according to the following pattern:

250

‡a Edition statement.

Abbreviate the term used for edition; abbreviation does not need to be AACR2 standard. Convert a written-out number to an Arabic ordinal number. Use a period to represent the ordinal number in all non-English-language edition statements. Omit diacritics.

Examples:

Book: Fifth edition

250

‡a 5th ed.

Book: Revised second edition

250

‡a Rev. 2nd. ed.

Book: Zweite Auflage

250

‡a 2. Aufl.

Book: 1 ´edition

250

‡a 1. ed.

Book: 1 opplag

250

‡a 1. op.

260 (Place, publisher and date) Record the place of publication, the name of the publisher, and the date(s) of publication according to the following pattern:

260

‡a Place of publication : ‡b Name of publisher, ‡c date(s) of publication.

If there is more than one place of publication, record the first named only. If there is no place of publication, use [S.l.].

If there is no publisher, omit ‡b (do not use [s.n.]). If there is no publication date, record the latest copyright date preceded by "c."

If there is no date of publication, use [200-] or, for older material, [19--] in ‡c.

If item is a complete multi-part monograph, record the first date and the last date. If item is an incomplete multi-part monograph, record the first date only followed by a hyphen.

Examples:

260			‡a New York : ‡b New-Tech, ‡c2001.
260			‡a [S.l.] : ‡b T. Front, ‡c 1998.
260			‡a Boston, ‡c 1997.
260			‡a [S.l.], ‡c 1965.
260			‡a London : ‡b Penguin, ‡c c1997.
260			‡a London : ‡b Penguin, ‡c 1997-
260			‡a London : ‡b Penguin, ‡c [200-]
260			‡a London, ‡c [20--]
260			‡a New York : ‡b Neal-Schuman, ‡c 1995-1997.

300 ‡a (Extent of item) Record the extent of item in pages or in volumes in field 300 according to the following pattern:

300

‡a Number of pages or volumes.

Do not include field 300 in order records. For single volume works, input the last numbered page. For complete multi-volume sets, input the total number of volumes. For incomplete multi-volume sets, use "v." For complicated pagination or unnumbered pages, use 1 v.

Examples:

300			‡a 329 p.
300			‡a 4 v.
300			‡a v.
300			‡a 1 v.

4XX (Series Statement). Not necessary for a preliminary records created in Orbis. Enter the series in the 830 field instead.

Search for the series title in ORBIS and, if necessary, in LCDB. If the series is represented by an authority record, use the form of the series title as it is found in the authority record in the 830 field. Record volume numbering from piece in hand in ‡v.

If the series is not represented by an authority record, but the series has been used in field 830 or 440 in a bibliographic record, use the name exactly as found in the bibliographic record field's 830 or 440. Record volume numbering from piece in hand in ‡v.

If the series is not represented by an authority record, and it has not been used in field 830 or 440 in a bibliographic record, record the series statement as it appears in the item in hand in the 830 field. Record volume numbering from piece in hand in ‡v. Omit initial articles and diacritics.

Pattern:

830

0

‡a Series statement ; ‡v volume number

Examples:

830		0	‡a ArtScroll history series
830		0	‡a Espace & architecture
830		0	‡a Modern library giants ; ‡v G43
830		0	‡a Monuments de la France gothique
830		0	‡a Occasional papers (Freer Gallery of Art : 1998) ; ‡v v. 1
830		0	‡a Spatantike Zentralbauten in Rom und Latium ; ‡v Bd. 2

Proceed to Part 5: Authority Validation

Part 3: Creating an Orbis Record Using "Standard" Copy from OCLC
If a matching record is found in OCLC and it meets the criteria below, it is considered "standard" copy and can be used as is as a preliminary record. Do not edit any fixed fields; edit variable fields only when it is necessary in the authority validation process to correct headings to their authorized forms, or to re-tag an LC 490 0 field.

• An OCLC record is considered standard only if the Encoding level (Elvl) is blank, 1, I, L, 4 or 8.

Proceed to Part 5: Authority Validation

Part 4: Creating an Orbis Record Using "Non-Standard" Copy from OCLC
If a matching record is found in OCLC and it does not meet the criteria for "standard" copy provided in Part 3, it can be used as a preliminary record, with some editing. Most records that are characterized as "non-standard" are records created by vendors, records created by foreign libraries, and minimal-level cataloging records. Batch-loaded vendor records should also be considered part of this category. Many of the headings on these records are not in authorized form. All headings, except for main entry or single added entry (1XX/7XX), and series (440), should be deleted. In addition:

1. The following fixed field elements must be verified for accuracy and corrected as necessary according to the guidelines in Part 2: Record type, Bibliographic level, Encoding level, Place of publication, Language, Form of item, Date 1 (Beginning date of publication), and Date 2 (Ending date of publication).

   Proceed to Part 5: Authority Validation

Part 5: Authority Validation
After completing the record, attempt to save the record by clicking on the sailboat icon labeled "Save to DB." The authority validation window will appear. Validate all of the headings which appear on the record (name and series) according to established policy.

Authority control workflow for C&T staff

Part 6: Recording Information in the Orbis MFHD
As a rule of thumb, MFHDs for order records should have a location code, but the ‡h should be left blank. Records created with the book in hand should have the words "In process" in the ‡h.

 In process materials (single volumes, order records):

 

For multi-volume sets, when there is not an acquisitions order record present for receiving, the words "In Process" must be added in ‡h.

Frontlog: