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Orbis Cataloging Manual
RETROSPECTIVE CONVERSION: STANDARDS FOR RECORD
CONTENT AND CREATION
Retrospective conversion of bibliographic records into machine readable form consists of two different processes: deriving from an existing machine readable record; creating a machine readable record from a Yale source record. Although there are some standards that apply in both processes, other standards are different depending upon the type of retrospective conversion process used.
The following standards apply to all retrospectively converted records.
STANDARDS
The converted record will contain the same
level of bibliographic description and access as the original
Existing
call number must be exactly transcribed
Current location must be
indicated
Bibliographic access points must conform to those forms as
established by the Library of Congress or as established in the Orbis
bibliographic and authority files, when that information is available
Edition statements must match in number but not necessarily the form in
which they are presented
NOTE: The presence or absence of
first edition statements may be ignored (do not add; do not delete)
SEARCHING AND THE ACCEPTABILITY OF CATALOGING COPY
NOTE: on numbers 2-4, apply only if contractual arrangements, such as grant-driven projects or non-Roman and archive format cataloging, do not require cataloging on the national database utility.
1. Searching LTYL is required. Searching LTLC is neither required nor recommended
2. Searching the national utility is not required. If the decision is made not to search the utility, then the record should be created in Orbis from cataloging data on the card. (See CREATION OF RETROSPECTIVE RECORDS, p. VI-1-3)
3. If the utility is searched and cataloging is found, the cataloging need not be derived (e.g. if extensive upgrading is required). If the decision is made not to derive the utility cataloging, then the record should be created in Orbis from the cataloging data on the card. (See CREATION OF RETROSPECTIVE CONVERSION RECORDS, p. VI-1-3 ) If the decision is made to use the utility cataloging, then the guidelines under DERIVED RETROSPECTIVE CONVERSION, p. VI-1-2, must be followed.
4. If no cataloging is found in the utility database, the record should be created in Orbis from cataloging data on the card. (See CREATION OF RETROSPECTIVE CONVERSION RECORDS, p. VI-1-3)
DERIVED RETROSPECTIVE CONVERSION
Retrospective conversion based upon an existing machine
readable record should follow the principle of using the derived record with little or no modifications.
The following changes are mandatory:
1. Corrections to typographical errors which affect
bibliographic access to the record.
2. Correction to filing indicators when they affect title retrieval.
3. Corrections to MARC field tags when they have an effect on bibliographic access and indexing. If there is doubt whether a correction will affect access, make the correction.
4. Corrections or changes to access points conflicting with the Orbis database.
The following changes are not allowed:
1. Change in choice of main entry.
2. Changes in order or choice of access points (except series tracing decisions)
3. Changes to MARC field tags when they have no effect on bibliographic retrieval or indexing
4. Addition of ISBD punctuation or AACR2 conventions for
bibliographic description
NOTE: Somewhat greater flexibility is recognized for the needs of rare materials and special collections cataloging.
CREATION OF RETROSPECTIVE CONVERSION RECORDS
Retrospective conversion based upon an original source
record from the Yale catalogs should provide an equivalent record in machine readable form. Information from the original source record is transcribed using MARC format conventions for fields and content designations. In general, the guidelines above for DERIVED RETROSPECTIVE CONVERSION, p. VI-1-2, apply to the creation of retrospective conversion records on Orbis.
Older shelf cards used as the original source record may not have full cataloging information. If full cataloging data is readily available (e.g. tracing paragraph is on the card but crossed off), use the shelf card as the original source. If full cataloging data is not readily available, the shelf card may be used as is as the original cataloging source. (See note on encoding level below.)
The following information must be created or transcribed from the original source record:
FIXED FIELDS:
NOTE: if item is not at hand when retrospective conversion is performed, fixed field encoding level value should be 1. If a less than full record is entered, use encoding level value 1 even if the physical item is in hand.
Bibliographic level and type
Cataloging source code
Country of publication
Language of publication
Date(s) of publication
Additional required format specific fixed fields:
SERIALS: serial type
SCORES & SOUND RECORDINGS: form of composition
SCORES: format of music
MANUSCRIPTS & ARCHIVES: all fixed fields are required at this time, even for accession-type records
VARIABLE FIELDS:
040 Cataloging source
1xx Main entry
245 Title
250 Edition statement
260 Place of publication, publisher, date
300 Physical description
4xx Series statement
5xx Notes (including Contents notes)
6xx Subject access point(s)
7xx Bibliographic access point(s)
8xx Series tracing
Add if readily available:
010 LC control number
020 ISBN
022 ISSN
Additional required format specific variable fields:
SERIALS:
246 varying form of title
247 former title or title variation (use only for nonAACR2)
310 current frequency
321 former frequency
362 dates of publication and volume designation
785-787 linking entry fields
SCORES & SOUND RECORDINGS:
028 publisher or plate number
MANUSCRIPTS AND ARCHIVES:
Beinecke Library uses full standard cataloging for all archival material at the present time; this document will be updated if policy changes.
Manuscripts and archives accession-type records currently require: 040, 1xx if appropriate, 245, 300, and 1 LC subject. For more detail see "RLG Standard for Use of the AMC format" (RLIN document code 85-67/Date: 12/85). A revision to the standard is forthcoming.
REQUIRED LOCAL FIELDS:
For retrospective conversion done on Orbis, fields 927 and 940 (when applicable) are required. Area tracings are not required for retrospective conversion.
MAINTENANCE AND RETROSPECTIVE CONVERSION
Retrospective conversion is required when maintenance is performed on a bibliographic record not yet in the local Orbis database in the following situations:
Transfers of copy/copies to a different location.
Reclassification.
Retrospective conversion of multipart monographs is performed routinely as recataloging for added volumes; retrospective conversion for serials is performed routinely for title changes.
All or part of card set is missing (e.g. card set withdrawn for missing book and book turns up).
Added copies for the same or for a different location.
Card sets must be withdrawn from all catalogs for the first three situations above.
EXCEPTION: retrospective conversion for serials title changes.
UNIFORM TITLES/ORGANIZED HEADINGS (Excluding series)
NOTE: special projects (e.g. music recon) may involve stricter authority control for uniform titles than in the guidelines given below.
1. If a uniform title is a main entry (130), added entry ( 730), or subject (630), it must be verified against the local Orbis database (LTYL)
If an LC authority or DCF:a cataloged bibliographic record is found, follow the local treatment.
If no LTYL record is found, search the LC resource file (LTLC). If an authority record is found, follow the LC treatment. Transfer of authority record is not required.
If no record is found in LTYL/LTLC, consult with cataloging supervisor.
2. If a uniform title (240) does not appear on the card or on the record to be derived (e.g. Sein und Zeit. English), do not add.
3. If a 240 field is found on a record to be derived, do not delete; use as found. In that case, if the card has a uniform title as part of the main entry heading, do not add a subfield t to the derived record.
4. If a uniform title appears as a subsection of an author/title main entry on a card, do not transcribe the uniform title as a subfield of the author field. (See Examples 1-5 below.)
Add a 240 field only if an LC authority record (author/title) or DCF:a bibliographic record (1xx/240) is found.
5. For main and added entries, and for subjects, do not transcribe any organization subheadings (e.g. editor, date, form) as subfields. See Examples 1-2 below.
EXCEPTION: transcribe manuscript form subheadings as a |k subfield; unless required by guidelines for special projects, do not attempt to update to AACR2 form unless an authorized heading is found. (Under current LCRIs, manuscripts generally are entered under title [25.13].) See Example 6 below.
6. The heading Jews. Liturgy and ritual should not be used. Update to the current form for the liturgical text. Consult with cataloging supervisor and/or Judaica specialist. See Example 7 below.
EXAMPLES:
EXAMPLE 1:
CARD MAIN ENTRY:
Aristoteles. Organon. Priora analytica. ed. Ross.
TITLE ON CARD:
Prior and posterior analytics ...
TRANSCRIBE AS:
100 00 Aristotle.
245 10 Prior and posterior analytics ...
EXAMPLE 2:
CARD MAIN ENTRY:
Propertius, Sextus Aurelius. ed. & tr. Tremenheere.
CARD TITLE:
The elegies of Sextus Propertius ...
CARD ADDED ENTRY:
Propertius, Sextus Aurelius. Eng. tr. Tremenheere.
TRANSCRIBE AS:
100 10 Propertius, Sextus.
245 14 The elegies of Sextus Propertius ...
Added entry should not be transcribed at all in this case.
EXAMPLE 3:
CARD MAIN ENTRY:
Catholic Church. Liturgy and ritual. Benedictional.
TITLE ON CARD:
The benedictional of Archbishop Robert ...
TRANSCRIBE AS:
110 20 Catholic Church.
245 14 The benedictional of Archbishop Robert ...
EXAMPLE 4:
CARD MAIN ENTRY:
U.S. Treaties, etc., 1829-1837 (Jackson)
TITLE ON CARD:
Treaty between the United States of America and the Caddo nation of the Indians ...
TRANSCRIBE AS:
110 10 United States.
245 10 Treaty between the United States of America and the Caddo nation of the Indians ...
EXAMPLE 5:
CARD MAIN ENTRY:
U.S. Laws, statutes, etc.
TITLE ON CARD:
An act to provide a national currency ...
TRANSCRIBE AS:
110 10 United States.
245 13 An act to provide a national currency ...
EXAMPLE 6:
CARD ADDED ENTRY:
British Library. MSS. (Cottonian Vespasian A-25).
TRANSCRIBE AS:
710 20 British Library. |k MSS. (Cottonian Vespasian A-25)
EXAMPLE 7:
CARD MAIN ENTRY:
Jews. Liturgy and ritual. Hagadah.
TITLE ON CARD:
The passover Haggadah.
TRANSCRIBED AND UPDATED AS:
130 00 Haggadah. |l English & Hebrew.
245 14 The passover Haggadah.
650 0 Judaism |x Liturgy |x Texts.
SERIES AUTHORITY
1. The local Orbis database (LTYL) must be searched for series form and tracing decision. If an authority or cataloged bibliographic record is found, follow local treatment for form.
2. If no LTYL record is found, search the LC resource file (LTLC). If an authority record is found, follow the LC treatment for form and tracing decision, and transfer the series authority record into LTYL.
3. If no record is found in LTYL or LTLC, follow the treatment for form and tracing decision reflected on the card. If the series added entry is author/title, update the author to AACR2 form if known.
SUBJECT AUTHORITIES
1. Verify all subject headings against the local Orbis database (LTYL).
2. Subject subdivisions do not require routine verification.
EXCEPTION: routinely convert direct form geographic subdivisions to indirect form geographic subdivisions; routinely convert all abbreviations not authorized by LC to unabbreviated form.
3. If no subject authority record is found in LTYL but a subject heading is found to be used on a bibliographic record and does not conflict, follow the bibliographic record; reverification against the LC resource file is not required. An authority record is not required.
4. If a subject heading on a record to be converted is not found in LTYL, use as is. An authority record does not have to be created.
AUTHOR/TITLE ADDED ENTRIES
Initial articles in the title subfield must not be transcribed.
VOLUME HOLDINGS ON ORBIS; PROVISIONAL RECORDS FOR MULTIPART MONOGRAPHS AND SERIALS
Retrospective conversion of volume holdings on Orbis is required for all multipart monographs and serials if local holdings are readily available. If local holdings are not readily available, create volume holdings record and enter note:
**HOLDINGS not yet in ORBIS. Please consult
**appropriate card files or reference librarian.
If retrospective conversion is done at Sterling for a school or departmental library, the school or departmental library is responsible for converting the volume holdings. In that case the volume holdings record may be created at a later time.
OTHER LOCATIONS; IDENTIFYING RETROSPECTIVE CONVERSION ON ORBIS
When retrospective conversion is done for one location, there is no requirement that all locations or even other known locations be added to the Orbis copy holdings at the same time.
The abbreviation REC in the title level note of Orbis copy holdings indicates that all locations (in some cases with the exception of Law, Medical, Divinity, Music, and Economic Growth Center) have been recorded. The abbreviation REC may be input in copy level notes to indicate that the cataloging for the title for that location follows retrospective conversion guidelines rather than new cataloging guidelines, and that other copies may exist in other YUL locations.
IDENTIFYING RETROSPECTIVE CONVERSION CARD SETS
Except for specific maintenance situations (see MAINTENANCE AND RETROSPECTIVE CONVERSION, p. VI-1-5), card sets that have undergone retrospective conversion are not withdrawn. To indicate that retrospective conversion has been done, use these guidelines:
Monographs: Cataloger has the option of either ordering a replacement shelf card or having the original shelf card stamped RECON. (Retrospective conversion performed by outside vendors will use shelf cards or copies of shelf cards for verification and/or copy source. For such projects, it is important that shelf cards clearly indicate which records are already in machine readable form and are available on Orbis.)
Serials: Because Yale policy is to perform retrospective conversion of serials locally, there is no need to distinguish converted from unconverted serial titles in the shelflists.
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Last Revised: 27 July 1995
Contact:
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