Interim Procedure for Processing CD-ROMs and DVD-ROMs that Accompany Printed Materials to be Shelved in the Stacks

Background

In 2004 staff and administrators at SSHL and the Science Libraries voiced concerns that the practice of storing discs that accompany print materials separate from the print in cabinets behind the various circulation desks was causing problems. They were running out of storage space and the discs were seldom used. The Metadata Services Department was asked to make recommendations to address these issues. Ryan Finnerty did some research and wrote a report with recommendations which was reviewed with various public and technical services groups. All agreed that CD-ROMs and DVD-ROMs that accompany print materials (both true accompanying materials as well as electronic versions of the print) should be stored in or with the print material and shelved in the stacks. Some branches and some materials have a need for special treatment which will be applied post-cataloging. Ryan and Tony Harvell drafted a procedure that outlined cataloging tasks as well as procedures for staff that will process exemptions post-cataloging. This document was used to acquaint various groups with the issues and proposed process. Renee Chin, Shirley Higgins, and Jim Soe Nyun adapted Ryan's and Tony's document to create the more detailed interim cataloging procedure which follows. Stacy Nelson and Arvid Nelsen have also contributed to the wording of this procedure. This procedure has been reviewed and approved by the Technical Service Managers Group and should be implemented immediately. Existing cataloging procedures will be revised to incorporate these procedures over the coming months.

Notes

In the following procedure, "disc" is used as a generic term for CD-ROM or DVD-ROM. At the present, this procedure applies only to CD-ROMs and DVD-ROMs, but may be expanded in the future to apply to other materials on disc such as CD-Audio discs and/or videodiscs.

Follow these procedures for all CD-ROMs and DVD-ROMs that accompany printed books, serials, and other printed materials to be shelved in the stacks for all branches, except Arts Libraries (AAL, FVL, and MUS), and MCL, or unless a special exemption is requested by the bibliographer. The Appendix contains exemption procedures for Arts Libraries, MCL, and Bibliographer requests.

The Acquisitions Dept. will flag print materials to indicate that the piece contains a disc (CD-ROM or DVD-ROM). The flag for CD/DVD-ROMs is bright pink to alert all staff along the processing stream to the presence of a disc and to enable Acquisitions and Bibliographers to indicate licensing, registration, or special treatment needs. The Acquisitions Dept. procedures are as follows:

1. If the media is flagged by the bibliographer to be installed or hosted at UCSD, make a copy of the license and place the license(s) and original materals in the "Needs License Review" Box located outside Holly Eggleston's cube.
2. For all other media, make a copy of the print license and keep with the circulating material.
3. Put the original copy of the print license in the "To File" box located outside Holly's cube. ERes staff will file with other media licenses.
   

CATALOGER PROCEDURE FOR ACCOMPANYING CD-ROMs and DVD-ROMs

1. Bib Record

Include the following descriptive information for the accompanying disc in the bib record for the primary printed material:

a. Physical characteristics

007 _ _ co [Millennium]
OR
007 _ _ c |b o [OCLC]

b. Physical description

Single volume monos : Use subfield "e" of the 300 field to indicate the number and type of accompanying discs. Always include the number of discs. Use conventional terms such as CD-ROM or DVD-ROM or accept the description found on copy.

Example:
300 _ _ … + |e 1 CD-ROM (4 3/4 in.)

Multi-volume mono sets : For complete sets, where the number of volumes and discs is known, and each volume is accompanied by a disc or discs, use subfield "e" of the 300 field. Give the complete number of discs. For incomplete sets, sets in which only some volumes have discs, or when an explanation is needed for irregular or complicated holdings, use the 500 note field in place of the 300 field.

Examples:
300 _ _ … + |e 4 DVD-ROMs (4 3/4 in.)
500 _ _ Some volumes accompanied by [CD-ROM, DVD-ROM]

Serials : Use the 500 note field to describe the accompanying disc(s). Do not add 300 |e to serial records but retain if in the CONSER record.

Example:
500 _ _ Some issues accompanied by [CD-ROM, DVD-ROM]

c. Add a note about the content of the disc if easy to determine (monos only)

Example:
500 _ _ Accompanying CD-ROM contains 3 sample tests.

d. System details note: Add system requirements if needed to specify unusual requirements.

Examples:
538 _ _ System requirements for accompanying CD-ROM: Japanese Windows 98.
538 _ _ System requirements for accompanying DVD-ROM: Mac OS10

Discs

Do NOT create item or checkin records for accompanying discs that are inserted in pockets at the back of the printed material.

If the accompanying discs are too numerous to store in pockets at the back of the printed material, place the discs in a separate binder and create an item record for the binder (see e. under Physical Processing below for more information). Use the same item location, status, and call number as the printed material. Add a 945 volume enumeration field with |uDiscs. Add an item message in OCLC by adding |m to the 949 field, OR in MilCat by inserting a message (internal tag "m"): CHECK FOR [number] DISCS

Example: CHECK FOR 2 DISCS

Use item types as follows:
51 CD-ROMs that accompany monos or type 4 serials
53 CD-ROMs that accompany type 2 serials
65 DVD-ROMs that accompany monos or type 4 serials
66 DVD-ROMs that accompany type 2 serials

Monos

Create item record(s) for the printed material. Add an item message in OCLC by adding |m to the 949 field, OR in MilCat by inserting a message (internal tag "m"): CHECK FOR [number] DISCS

Example: CHECK FOR 2 DISCS

NOTE: Do not add an item message to Arts Libraries or MCL materials. Arts Libraies and MCL staff will use the exemption procedure contained in the Appendix.

NOTE: For multi-volume mono sets where not every volume is accompanied by disc(s), only add the item message to item records for volumes that contain disc(s).

Serials

Serials Receiving staff in Acquisitions will triage as items are received, following the categories and treatment listed below:

• Advertisements, AOL discs, etc.: trash.
• Unrelated, but possibly useful new titles on CD/DVD-ROMS received in the same package as serial issues: request bibliographer review.
• CD-ROM titles received in the same package as serial issues but already cataloged as separate titles: checkin on appropriate bib record.
• Cumulations on CD: treat as an additional format for the print and use the single bib record approach, but checkin on separate checkin record. Send only initial CD to Serial catalogers to update bib record and create base item record as needed.
• CD/DVD-ROMs that are meant to accompany print text: send to serials catalogers if updates to the bib record are needed.

With the exception of some annuals, unbound serial issues do not have item records. If an item record exists for a print serial issue/volume that has accompanying material, add a message (internal tag "m" in MilCat): CHECK FOR [number] DISCS. Otherwise, bindery staff will add messages to the item records when bound volumes return from the bindery.

Special Collections Procedure

Do not create a separate item record for discs whether or not they are in housing separate from the print material. All Special Collections item records should have item type 34 for "Special Collections". Item message tags CHECK FOR [number] DISCS should be included in the item records.

3. Physical Processing

1. Pencil a system details note on the flyleaf if needed to specify unusual requirements (e.g., "Requires [specific software/operation systems] (e.g. Japanese Windows or higher) which is available at the IR/PS Library.") Pencil the note on a blank label if the flyleaf is a dark color or contains illustrations that would make a penciled note illegible. No other notes or labels are needed.
2. Use an archivally-safe Identipen to write the call number of the printed material on the face of the disc.
3. Do not tattle-tape, property stamp, or barcode discs or pockets.
4. If the printed material contains a pocket for the disc, and it is securely attached inside the piece, simply insert the disc back into its pocket. If the piece lacks a pocket or the pocket is not secure, place a self-adhesive, archivally-safe pocket in the back of the printed material, and insert the disc.
5. Apply the "Warning of Copyright Restrictions" label below the pocket (or as near as possible, but not on the pocket).
6. If the disc is accompanied by a small guidebook, insert the guidebook in the pocket as well. If the guidebook is too large to fit into the pocket, use a "Technical processing transmittal notice" to request that Bindery tip-in the guidebook.
7. If the printed material is accompanied by multiple discs that do not all fit on the back cover in a single layer, use binder pockets and binders designated for multiple discs. These binders will sit in the stacks next to the printed materials they accompany. Binders and binder pockets are stored in the Metadata Services Department supply cabinet. Property stamp and tattle-tape binders as follows:
   1. Place a white Avery label on the outside front cover of the binder in the top central area. Property-stamp the label for the correct branch.
   2. Tattle tape the binder ONLY if the tape can be easily concealed.

NOTE: Do not apply these physical processing instructions to Arts Libraries and MCL materials. Simply use an archivally-safe Identipen to write the call number of the printed material on the face of the disc, insure that the disc(s) are protected and sent with the printed piece to the branch. Arts Libraries and MCL staff will use the exemption procedure contained in the Appendix.

Special collections procedure
If accompanying discs are in housing separate from the print material (envelope, academy binder, etc.), affix a pre-printed label to the housing. For academy binders, also type a streamer. Pencil the call number on the inside of the paper label of the disc. Do not write on the disc itself.

APPENDIX

Primary Practice

UCSD Libraries' primary practice is to place the accompanying CD-ROM or DVD-ROM in an archivally-safe polypropylene envelope at the back of the book or issue. Only those CD-ROMs and DVD-ROMs which need special protection because of their monetary value or special reference value will be kept in a closed-circulation environment. This determination is made by the Bibliographer for that subject. Those items that are considered for special treatment will be identified by Bibliographers in the Acquisitions Department Review Room as they review direct order and approval plan books. The bibliographers will insert a Notify streamer in the book and ask that the book be held for them and that they be notified upon cataloging. They can then review the book and disc at leisure, install it on a workstation, and decide if it should be separated from the book and go into a controlled circulation location. If they so decide, any further processing will be done in the respective branch library.

Exemption Procedure for Arts Libraries, MCL Staff, and Bibliographer Requests

The Arts Libraries and MCL have requested a blanket exemption from the primary practice and have agreed to handle their own CD-ROMs and DVD-ROMs in a post-cataloging environment. Staff responsible for post-cataloging processing of new materials in other branches will handle the Bibliographer requested exemptions. All staff members responsible for this processing will need III permissions to create and edit item records.

1. The CD-ROM or DVD-ROM should be placed in a preservation-approved jewel case. A barcode and call number label should be applied to the outside of the jewel case.
2. An item record should be created for the CD-ROM or DVD-ROM using the following steps:
   1. Create a new item record by copying data from the existing book or serial item record
   2. Change the I TYPE:
      51 for CD-ROMs that accompany monos or type 4 serials
      53 for CD-ROMs that accompany type 2 serials
      65 for DVD-ROMs that accompany monos or type 4 serials
      66 for DVD-ROMs that accompany type 2 serials
   3. Change the location code to the ConCirc code for that library.
   4. Edit the branch location codes if the location of the accompanying CD-ROM/DVD-ROM differs from its print counterpart (e.g., accompanying sound recordings for SSH serials which get housed in Music ConCirc).
   5. Add a 945 field with the text “|uDisc”

      Music Library only: Instead of adding 945, assign accession number, change call number field to 099, and enter accession number

      Serials only: More detailed 945 fields may be warranted if specific designations for which discs accompany which issues are required (e.g., 945 |e45|dno.|e2|uDisc)

   6. Add the barcode .
   7. Serials only: If needed to record disc holdings, create a checkin record for discs accompanying serials. Follow procedures for "Serials accompanied by CD-ROMS and diskettes."