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Cataloging Practices Manual [CPM-255]

APPROVALS WITH MARC RECORDS

Bibliographic Record Procedures

  1. Background:
  2. Columbia University Libraries receive electronic invoices for approval materials supplied by YBP Library Services (GOBI), Harrassowitz, Casalini, and Amalivre. This process will be expanded to other approval plans when feasible. One significant advantage of electronic invoicing is the increased efficiency in payment processing and the ability to track the resources remaining in the various funds as the fiscal year progresses. Included in this process is the simultaneous loading of MARC records for each approval title at the time the invoice is loaded into CLIO. Some of these records (mostly YBP) are Library of Congress catalog records but others (Harrassowitz and Casalini) may have less complete catalog records supplied. This document will outline the implications and changes these developments will have on cataloging procedures.

  3. What is different?
    1. Each title will already have a BIB and MFHD in CLIO. Searching for cataloging copy in OCLC is necessary when the loaded record is not an LC standard record.
    2. The operator in the History tab of the BIB and MFHD will have the acronym for the approval vendor followed by "APPR" e.g. "YBP/APPR", "HRR/APPR", "CLL/APPR", or "AUX/APPR".
    3. The bibliographic records will have any number of 9xx fields that convey the acquisitions information during loading. These include 900, 901, 902, 904, 909, 910, 980, 981, and 990 fields.
    4. The MFHD ID will not be written on the CCN line of the T2, although the bibliographic record in CLIO box will be checked. The upper left of the T2 will still be marked as YBP, HRR, CLL, or AUX and the upper right hand corner will have the Purchase Order number followed by the annotation: MARC.
      NOTE: If the volume was identified as an added volume to a monograph continuation by MAS, they will write the MFHD ID on the CCN line of the T2 and the "Added Volume" box will be checked.
    5. The fixed fields in the MFHD will need correction and the record will not be tracked to MPS in the 852. The MFHD location for all approvals with MARC records will be "sho".
    6. In most cases, the OPAC status will read "In the Pre-Order Process. Try Borrow Direct or ILL" although once the invoice is approved in the acquisitions module, the OPAC message changes to "Received [date]. Place an In Process item request". This especially necessitates appropriate tracking and quick processing of all approvals with MARC records.
  4. Processing:
    1. Examine the T2

      • If the "Added Volume" box is checked and there is an ID on the CCN line, give the volume to RCH in MPS regardless of the location on the T2

        If the "Added Volume" box is not checked on the T2 and a CLIO search discovers that the book in hand is an added volume to an existing multi-volume continuation, print a copy of the holdings record of the approval copy, place it in the book and give it to Dave Motson.

      • If the location on the T2 is either ave, fax, or ref and there is no ID on the CNN line, route the book either to FAVE or OSMC on the T2, and track it in the bib and holdings records
        Note: If you have started to catalog the book and then notice the location on the T2, make sure that the 948 field in the bib stands for items tracked to other departments. Also make sure to remove any LC call number you may have entered in the holdings before tracking to OSMC or FAVE.

      • If the book is rerouted to OSMC update the holdings according to CPM-551
    2. Search the title in CLIO, make all checks and determinations regarding duplication as detailed in CPM 001.
    3. If the book is a duplicate, place a completed T1 problem rider inside the book and route it to MAS. Do not make any changes to the bib of any existing copy. On the holdings record leave the location "sho" and track the approval copy to MAS in subfield x.

    4. If you have determined that your copy is not a duplicate, display the Bibliographic record and press the F12 (view hierarchy) key. Verify that:
      1. the location in MFHD is "sho"
      2. there are no other MFHD's/locations associated with the bibliographic record.

      Leave all 9XX fields in the record at the time of cataloging, they will be taken out when the record is sent for LTI processing. In case a 9XX field doesn't validate, notify a supervisor.
    5. If in the hierarchy view the location is not "sho" - consult your supervisor.
    6. If there were other MFHD's/locations associated with the bibliographic record, rund the Added Copy (Ctrl + Shift + 1) statistics macros and save the record.
    7. Before moving to the MFHD, identify whether the record is a standard record with a usable call number. If it is not, search for better copy in OCLC. If the record is not a standard record, is not belles-lettres and no copy was found in OCLC, process the book for Precat (with an exception of Harrassowitz approvals as noted below).

      • YBP approvals

        YBP approval records are mostly LC full records requiring little or no editing. However, some YBP records may not be standard, then it is necessary to search OCLC for a better copy and if none is found to process the book for Precat.

      • Harrassowitz approvals

        Harrassowitz approval records are identified by 035 field (GyWOH)har [followed by the vendor number] and 040 $a GyWOH. They are not standard and could be used for Precat and Offprecat processing if there is no standard record in OCLC.

      • Amalivre (Formerly Aux Amateurs) approvals

        Amalivre approval records are identified by 035 field (FrPAAL)AAL [followed by the vendor number] and 040 $a AAL. They all have LC call numbers in 050 field and LC subject headings for non-fiction. The records may be used and treated as standard copy following CPM-200 Copy review guidelines. If there is a question regarding these records, OCLC may be searched for addtional information but it is not necessary to routinely re-search Amalivre supplied records.

      • Casalini approvals

        Casalini approval titles for Italian imprints will have Full RDA records in CLIO identified as:

        • E/L blank
        • DCF i
        • 040 $a ItFiC $b eng $e rda$c ItFiC
        • 050 indicators 0 0

        These records are created by Casalini in cooperation with the Library of Congresss according to RDA & LC standards and should be accepted the same way LC copy is accepted. No work letter "g" is required after the call number except for fax-lc & ave-lc locations to prevent duplication.

        Casalini approval titles in languages other than Italian may have basic records in CLIO identified as:

        • E/L blank
        • DCF i
        • 040 $a ItFiC $b eng $c ItFiC
        • 050 indicators blank and 4

        These records may be used and treated as standard copy following CPM-200 Copy review guidelines. If there is a question regarding these records, OCLC may be searched for addtional information but it is not necessary to routinely re-search Casalini supplied records.

        Casalini also supplies preliminary "acquisitions" type records mostly for Spanish and Portuguese materials. They should be easily identified by E/L 5, no standard subject headings and call number and treated as regular vendor records which should be either overlayed by a standard copy found in OCLC or used as a base for a Precat preliminary record.

      • Puvill approvals

        Puvill records are usable for cataloging, but need adjustments. Features of Puvill records are:

        • E/L 5
        • DCF a
        • 035 $a (SP-Ba)pu #########
        • 040 $a SP-BaPL $c SP-BaPL
        • 050 indicators blank and 4

        These records can be used and treated as standard copy, but follow these steps:

        • Search WorldCat for a better record and import and merge if standard copy is found
        • If no copy is found, check name headings against NAF and make changes if necessary. Use the vendor-provided record for cataloging, delete all 035's and change the E/L to blank.

    8. If the bib record is standard copy and it needs a call number assigned, go to the MFHD, change the location to that given on the T2, and track the book to the call number shelf as usual.
    9. If the bib record is LC with a usable call number, proceed to the MFHD and press Ctrl + Alt + F4 to run the approval MARC holdings macro; this will correct all fixed fields (for single volume monographs) correct the indicators in the 852, enter the call number from the bibliographic 050 field, and then remove the location "sho" and position the cursor directly after 852 $b to prompt the cataloger to input the location from the T2 rider.
    10. If the title is a multi-volume continuation, make the necessary edits to the fixed fields, 852, 866 etc.
    11. Continue all other processing as normal, report any unusual situations to your supervisor.
    12. NOTE: Some titles will be rejected by selectors and sent back to the vendor. In this case the supplied record will be suppressed and a note will be added to the MFHD saying that the title was rejected as an approval, Example:
    13. If future copies are to be added to such records on another holdings (e.g. firm orders or UTS approval copies) verify that the bib has been unsuppressed when cataloging the item. DO NOT re-use the holdings of the rejected approval to process another copy, create new holdings record for the non-approval title.

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Last updated: 8/10/17 mdw