Superseded Guidelines
As of March, 2013
For single items, DCRM(MSS) rules and local interpretations replaced APPM rules in 2017, with addition of 044, 260, and 33x fields, and changes in use of the following fields: 008/Place of production, 040, 245, 250, 300, 500, and 524.
RDA rules were implemented in 2013 March for the following LCAF fields:
100, 110, 111, 130, 240, 600, 600 ‡t, 610, 611, 700, 700 ‡t, 710, 711
Beginning 2017 April, subfield ‡0 (Authority record control number or standard number) have been added to 100, 110, 111, 130, 600, 610, 611, 630, 700, 710, 711, and 730 fields during MARS authority processing.
Superseded cataloging guidelines previously used by the Manuscript Unit are listed below.
Dates of previous usage and retrospective updating of records are noted when known.
MARC format for holdings record (MFHD)
264 (Place and Date of Production)
524 (Preferred citation of described materials)
530 (Additional physical form available)
540 (Terms governing use and reproduction)
544 (Location of other archival materials)
545 (Biographical or historical data)
555 (Cumulative index/finding aids)
561 (Ownership and custodial history)
562 (Copy and version identification)
650 (Subject added entry - topical term)
690, 692, 693 (Local subject added entries)
752 (Added entry - hierarchical place name)
755 (Added entry - physical characteristics)
856 (Electronic location and access)
928 (Authority control load instruction)
948 (Local processing information)
Appendix B. Preliminary Records
Authority Record
Before DACS, names traced without authority records were not necessarily in the fullest known form and did not necessarily include known birth and death dates.
Bibliographic Record
Before upgrade to Voyager 10 in 2018 January, ExportQ was used for exporting records to MARS.
Before implementation of Aeon in 2011 October, bibliographic and MFHD records were suppressed during editing and review.
Before the merger of RLIN and OCLC, ExportQ was used to export bibliographic records to RLIN as well as to OCLC and MARS. The ExportQ window still has a check box for RLIN; this check box is disabled.
Before the OCLC reclamation project was begun in 2010 September, ExportQ was used to export bibliographic records to both OCLC and MARS. The ExportQ window still has a check box for OCLC; this check box is disabled.
Records with NOTIS keys in ranges other than F represent records that were originally created in OCLC or RLIN, or were not exported to OCLC or RLIN. When a record with a NOTIS key not beginning with F was edited, a new record was created by copying the existing record, and the original record was deleted.
Item Record
Before 2008, BRBL did not use item records. Creation of item records for retrospective barcoding and new cataloging started in 2008.
The following abbreviations were used for nonstandard storage locations:
Oversize Box: OS Box
Broadside: Bsd
Portfolio: Port
Before 2019 January, the optional use of TS location codes, temporary location codes, temporary MFHDs, and temporary item records was permitted for in process collections before transfer to BRBL and in process additions to existing collections before transfer to LSF. In these cases, archivists were responsible for updating these codes and removing temporary location codes manually. These options were removed from unit documentation to streamline workflows and minimize errors.
MARC Format for Holdings Record (MFHD)
Before implementation of Aeon in 2011 October, bibliographic and MFHD records were suppressed during editing and review, and MFHD 852 ‡h Manuscript Unit was not used.
The following nonstandard shelving locations were listed in the manual, and may have been used in call numbers for oversize materials:
4to
Folio [over 42 cm.]
The following abbreviations were used for nonstandard shelving locations:
BrSides
BrSide 4to
Artstor
In NOTIS, location codes were the same, but with intervening commas. Example: bein,gen.
Before 2004 December 20, 852 first indicator was 7, with ‡2 localyale; all records have been updated to first indicator 8, and ‡2 deleted.
Recon cataloging was noted in subfield ‡x with the following code: ‡x REC.
Subfield ‡x was used to note transfers from other Yale libraries.
Various form of date have been used in subfield ‡x.
Other notes were entered in subfield ‡x, such as:
‡x To be completed with additional name tracings once curator supplies them.
‡x Collation updated after album was disbound.
Before baseline processing started in 2010 summer, former uncat call numbers were not noted in ‡z. When cataloged call numbers were changed, such as for recon, these former call numbers were noted in ‡x, with standard wording:
‡x Before recon call number was [call number]; bein, ms [yyyy] [Month].
These records have not been updated.
In a few cases, multiple call numbers were assigned to Western Americana collections, with each call number assigned to a section of the collection. Sections and call numbers were listed in 351 or 520. Though this has been discontinued, some Western Americana collections still have multiple call numbers. Previously these call numbers were sometimes given as a range in one MFHD (for example, WA MSS S-498-500); currently individual call numbers are in separate MFHDs. For examples, see:
100 1_ ‡a Streeter, Thomas W. (Thomas Winthrop), ‡d 1883-1965, ‡e collector.
245 10 ‡a Thomas W. Streeter collection of Texas manuscripts, ‡f 1787-1864.
Call numbers: WA MSS S-498, WA MSS S-499, WA MSS S-500
100 1_ ‡a Applegate, Jesse A., ‡d 1811-1888.
245 10 ‡a Oregon letters, ‡f 1830-1862.
Call numbers: WA MSS 10, WA MSS 11
Before 2019 January, the optional use of TS location codes, temporary location codes, temporary MFHDs, and temporary item records was permitted for in process collections before transfer to BRBL and in process additions to existing collections before transfer to LSF. In these cases, archivists were responsible for updating these codes and removing temporary location codes manually. These options were removed from unit documentation to streamline workflows and minimize errors.
Leader/Record Type
Records with obsolete record type b were globally changed to record type p, as part of Webvoyage 7 upgrade, 2010 December.
Leader/Bibliographic Level
Code d, with 773, was used for a subunit of a collection or an analytic for an item within a collection or bound volume.
Code m was used for single items before 2018. To facilitate export to Oclc, while maintaining collocation of single items and collections as record type p, single item records were retrospectively changed to bibliographic level c in 2018 October. Single item records coded record type p and bibliographic level c are identifiable by 006t and 33x codes.
Leader/Character Coding
Added with NOTIS upgrade, 2001 January. Discontinued with Unicode/Orbis 5.0 upgrade, 2006 January.
Leader/Encoding Level
Before baseline processing started in 2010, brief preliminary records were created for some collections at the time of accessioning. These records will be updated to full level during baseline processing.
Leader/Cataloging Form
_ was used for recon records to indicate that headings were transcribed from a catalog card and did not necessarily conform to AACR2.
a was used for all records before 2017 September.
006
Added with Format Integration, phase two, 1996 March, to allow the assignment of multiple record type codes.
Before 2004 May, 006t (manuscript lang) was included in every record coded record type p (mixed materials), to accommodate search limiting by 006t in NOTIS. As 006t was not indexed in YUL’s implementation of Voyager in 2004, use of 006t was phased out beginning in 2004 May, and discontinued as of 2005 January.
In 2018 September, use of 006t was resumed for new single items records. 006t was added retrospectively to all single item records in 2018 October.
008/Place of Production
Before 2017, ctu was used for all single items.
035 (System Control Number)
Former call numbers of items added to collections were recorded in 035; these 035s were later deleted.
Before implementation of Voyager in 2002, NOTIS keys were been assigned as a search string for linking a file in the Finding Aid Database to the associated catalog record. After Voyager implementation, this linking continued via NOTIS keys for legacy records until finding aids were updated to link via 035 fields based on YFAD file names.
Additional NOTIS key spans, which were assigned and then updated to another span:
PMAxxxx – PMJxxxx: MATPS (Acquisitions)
XAAxxxx – XZZxxxx: Created online during NOTIS-Voyager interim
040 (Cataloging Source)
Before DACS was available, APPM was used for both single items and collections. DACS has been used for collections since 2006 December.
Before 2017, APPM was used for single items.
041 Language Codes)
Codes were previously entered in one subfield ‡a, in one string, without spaces, e.g.: ‡aengfrespa. Separate subfields for each code were introduced around 2005.
The first indicator was formerly always blank; first indicator 0 and 1 were introduced in 1996 March, with format integration.
245 (Title Statement)
Prior to 2006 December, collection titles conformed to APPM rules.
Some titles of collector’s collections contained abbreviated names, combined names with punctuation, or started with “the.”
Before DACS, a correspondence collection of two or more writers to one recipient was titled Letters to [Name of recipient]
In titles of single letters, supplied or standardized names and locations were bracketed.
In titles of single letters, handwritten names of houses were transcribed as place of writing.
Before DACS, intentionally-assembled were called artificial collections in processing and cataloging documentation.
Before 2017, single item title conformed to APPM rules, and date was recorded in 245 ‡f.
250 (Edition)
Before 2017, 250 was optional for single item statements identifying numbered drafts, etc.
264 (Place and Date of Production)
Before 2017 September, 260 __ was used for single items.
300 (Physical Description)
Before 2010, multiple containers were not noted with items counts. Some records have been updated during retrospective barcoding.
During retrospective barcoding, container counts were inconsistently noted in either 300 or 500, and items were sometimes noted as stored in one container.
Before 2017, single item physical description conformed to APPM rules: ‡f was used, and page count and measurement were required.
500 (General Note)
Standard wording for bound with notes was:
500 __ Bound with: [Title], [date] (cataloged separately).
500 __ ‡a No. [x] of [x] titles bound together.
Before 2017, single item title source was noted only if not title page.
506 (Restrictions On Access)
Before implementation of Aeon in 2011 October, bibliographic and MFHD records were suppressed during editing and review. 506 was used only for on- or offsite processing or for materials sent offsite for microfilming.
Before 2011, 506 was not used for unrestricted materials; i.e., “this material is open for research” was not noted. These records have not been updated.
Before 1995, a curator was specified for further information.
Before 2010 June, audiovisual reference copies were noted in 540; records have been updated.
Restricted fragile box numbers were not noted in records created 1995-2010 March; these records will be updated.
During retrospective barcoding in 2009, the following notes were used for WA files with separately foldered surrogates:
506 __ ‡3 Folder 1: ‡a Restricted fragile material. Use reference surrogates in folder 2. For further information consult the appropriate curator.
506 __ ‡3 WA MSS [numbers] stored in 2 folders. Originals (in folder 1): ‡a Restricted fragile material. Use reference surrogates (in folder 2). For further information consult the appropriate curator.
506s were added to some older records in 2010. For restricted materials housed in the same container as non-restricted, the following note was used, pending rehousing:
506 __ ‡a Contains restricted fragile material…. This was explained in the project spreadsheet and highlighted as needing follow-up.
Before 2012 August, only first indicator _ (No information provided) was used. First indicators 0 (No restrictions) and 1 (Restrictions apply), established in Marc in 2006, are now used. All records were updated 2012 August-September.
Before 2012 August, “reference copies are availiable” and “reference copies may be requested” were differentiated for electronic files and audiovisual materials. Now “reference copies may be requested” is used for all records. All records were updated 2012 August-September.
Before 2012 August, restricted materials were sometimes not housed separately for full and baseline cataloging, and audiovisual use restrictions were noted in 506. Separate housing and separation of restricted paging from restricted use was required when paging through Aeon was implemented. All records were updated 2012 August-September.
Before 2012 August, audiovisual use restrictions were noted in 506. These are now noted in 540, to simplify identification of paging restrictions in Aeon. All records were updated 2012 August-September.
In 2014 August, a list of standard terms for digital media and digital files with no physical media was determined.
520 (Summary, Etc.)
Before 2011 May “holograph” was used instead of “autograph manuscript” for manuscript in the handwriting of the creator of the work.
Names of months and circa were abbreviated.
Optionally included references to information in Beinecke curator files, with a hardcopy bibliographic file slip filed with the material.
524 (Preferred Citation of Described Materials)
Standard wording for curatorial areas was implemented 1997 December.
“Yale Collection of American Literature” was used as the curatorial area for the James Weldon Johnson Collection from 2003 July through 2011 February.
Before 1998 March, “Yale University” was included for all curatorial areas.
Before 2017, single item titles conformed to APPM rules, and devised titles did not start with creator.
530 (Additional Physical Form Available)
In some Western Americana recon records “Also available on microfilm” was used when only portions were microfilmed, and in some cases all information was in ‡a. These should be corrected when found, adding ‡b and either using ‡3 to identify the part filmed, or using “Portions available on microfilm.”
540 (Terms Governing Use And Reproduction)
Before 2010 June, was used for information about audiovisual reference copies. This information is now in 506; most records have been updated.
Before 2012 August, audiovisual use restrictions were noted in 506. These are now noted in 540, to simplify identification of paging restrictions in Aeon. All records were updated 2012 August-September.
Before 2014 May, audiocassettes and videocassettes were identified as restricted use in 540. Since 2014 May, audiocassettes and videocassettes are identified as restricted fragil ein 506.
544 (Location Of Other Archival Materials)
544 has been used in some records to refer to analytics, e.g. see records for parts of the Speck collection.
Before 1998 or 1999, there were no codes for the first indicator, which was always blank.
Before 2011, ‡d Related material was used for material located at Beinecke, and ‡d Associated material was used for materials at another Yale repository, or a repository outside Yale.
545 (Biographical Or Historical Data)
Starting with name has been inconsistent.
546 (Language)
Before implementation of DACS, 546 was not used for materials in English only. Subfield ‡3 may have been used in some records to note specific materials not in English. Example: 546 __ ‡3 Notebooks ‡a in French.
555 (Cumulative Index/Finding Aids)
Before 2010, was used to note container lists.
Before 2009, was used for preliminary lists, with standard wording: Preliminary list available. After use of preliminary lists was discontinued in 2009, most 555 fields were updated; some may remain to be updated.
Was used for analytics, such as:
555 0_ ‡a Selected items also cataloged separately.
555 0_ ‡a Accompanied by a container list. Some items also cataloged separately.
555 0_ ‡d Podeschi, John B. Dickens and Dickensiana: a Catalogue of the Richard Gimbel Collection in the Yale University Library. New Haven: The Library, 1980.
561 (Ownership and Custodial History)
For materials purchased by an agent from an auction house, only the auction house was cited.
562 (Copy And Version Identification)
Used rarely, to distinguish copies or versions.
6xx (Subject Added Entries)
Used to trace binders:
600 _4: ‡a [Name] ‡x Binding.
700 and 710 are now used.
650 (Subject Added Entry - Topical Term)
Before 1999 October, ‡x was used for both form and topical subdivisions. When found, update form subdivisions to ‡v.
Second indicator 4 was used for type of binding. When found, update to 655.
Records and correspondence was used as a subdivision for corporate headings.
655 (Index Term - Genre/Form)
Before 1996 February, 755 was used for genre/form terms.
Before 1999 April, 650 with second indicator 4 was used for type of binding.
Terms from LCSH were coded 655 _7 with ‡2 lcsh.
In 2012 August, “Born digital” became the standard term for all electronic files, and “Audiovisual materials” became the standard term for all AV. Additional specific terms may also be used. All records were updated, 2012 August-September.
657 (Index Term - Function)
May have been used rarely, for Art and Architecture Thesaurus terms identifying activities or functions, such as organizational records or personnel files.
Indexed in Orbis as keyword, with public display constant “Subjects.”
690, 692, 693 (Local Subject Added Entries)
690 has been used to trace binding dates, with standard wording:
690 _4 ‡a Binding ‡y [yyyy].
Example:
690 _4 ‡a Binding ‡y 1550.
Before 2001 July, local subjects were tagged 600, 610, or 650, with second indicator 4. When found, update these to 69x.
Before 2010, 692 and 693 were used for names of binders. 700 and 710 are now used.
Records loaded to Yale’s online catalog from RLIN in 1987 used the following ‡2 subdivisions in 69x local provenance headings (“_” = blank space):
‡2_690_%_bind
topical subject
‡2_692_%_bind
personal name
‡2_693_%_bind
corporate names
‡2 subdivisions continued to be used for binding headings through 1998 August. When found, delete these subdivisions.
752 (Added Entry - Hierarchical Place Name)
Not used as of 1995 January 26.
755 (Added Entry - Physical Characteristics)
Not used as of 1996 February.
773 (Host Item Entry)
May have been used in the past, as follows:
Leader/Bibliographic Level: d
Subfields:
‡7 [xxxx]
Each [x] represents a code for:
Type of main entry
Form of name
Type of record (from Leader)
Bibliographic level (from Leader)
‡a [‡a from 1xx]
‡t [‡a from 245]
‡w (CtY-BR)[bib id number]
Example:
773 0_ ‡7 p1pc ‡a Jones, Henry. ‡t Gold mining correspondence ‡w (CtY-BR)AAKl234
851 (Location)
Superseded by 852 in mid-1990s. When found, update to 852.
852 (Location)
Before 1993, Beinecke’s post office box address was included. When found, update to standard wording.
856 (Electronic Location and Access)
Before 2001 November, two 856 fields were used for each finding aid, for HTML and SGML files.
Before 2009 June, the following URL format was used:
856 42 ‡3 Finding aid ‡u http://webtext.library.yale.edu/xml2html/beinecke.jobaker.nav.html
Before 2009 June, some 856 fields linked to preliminary lists. For these, “Preliminary List” was used in ‡3.
Before 2010 April, “Finding aid” was used in ‡3: 856 42 ‡3 Finding aid ‡u …
All 856 fields have been updated per current guidelines.
909 (Tape Load Instruction)
Used to export record type p to RLIN and OCLC. Superseded by 927, 1999 May 4. Existing 909 fields were deleted during migration to Voyager, 2002 June.
927 (Tape Load Instruction)
Used to export all record types to RLIN and OCLC, beginning 1999 May 4. Existing 909 fields were updated to 927 when found, until both were discontinued as of Voyager implementation, 2002 June.
Do not delete or edit existing 927 fields, as these contain information that was not otherwise migrated.
Examples of fields migrated to Voyager:
927 __ ‡a tape
before export
927 __ ‡a 9408RO
after export, with coded year and month of export, 1994 August
Records could be re-exported by deleting the code and re-entering either “RLIN,” “OCLC,” or “tape” for re-export to both.
Used only for records with NOTIS keys (i.e., NOTIS bib id numbers) beginning with “F.”
928 (Authority Control Load Instruction)
Used to export records to Mars, beginning 1997 March 10. Discontinued as of Voyager implementation, 2002 June.
Do not delete or edit existing 928 fields, as these contain information that was not otherwise migrated.
Examples of fields migrated to Voyager:
927 __ ‡a actape
before export
927 __ ‡a AC031097
after export, with coded year, month, and day of export, 1997 March 10
940 (Location Code)
Used in NOTIS to enable search by location code. The following codes were used, with commas:
bein,gen (included Medieval and Renaissance and Modern)
bein,ycal (included JWJ)
bein,osb
bein,ycgl
bein,wa
Though 940 could be created automatically by NOTIS for unsuppressed records, it was entered manually in Manuscript Unit records to enable location code searching for both suppressed and unsuppressed records.
Superseded by MFHD 852 ‡b, as of migration to Voyager, 2002 June. Existing 940 fields were not migrated to Voyager.
948 (Local Processing Information)
Used for information migrated to Voyager from title level note field in NOTIS holdings records.
Examples of fields migrated to Voyager:
948 __ BEIN : Before recon title was [title] ; bein, ms mo/yr.
948 __ BEIN : Before recon call number was [call number] ; bein, ms mo/yr.
948 __ ‡a tgy
948 __ ‡a srb ‡a bjb 4/95 ‡a ks ‡a REC
The code “REC” was used to identify recon records.
Cataloger’s initials identified staff that entered or updated the record. See the list of current and former staff initials.
Do not delete or edit existing 948 fields, as these contain information that was not otherwise migrated.
949 (Local Processing Notes)
Used as a title level notes field in NOTIS holdings record to record cataloger’s initials, date of cataloging, or information identifying recon records.
Superseded by MFHD 852 ‡x, as of migration to Voyager, 2002 June.
Existing 940 fields were migrated to 948 Voyager.
Appendix B. Preliminary Records
Before baseline processing started in 2010, brief preliminary records were created for some collections at the time of accessioning. These records will be updated to full level during baseline processing.
Content of these records conformed to YUL Manuscript Cataloging Guidelines, Appendix B, with the following additional local decisions:
Created only for archival collections that required a preliminary list and/or had an exent of at least five linear feet.
Bib id was noted in a Mem field in the corresponding accession record(s) in ACQ.
Updated only to note an addition of a significant amount of material in a new format to an ongoing collection.
Date 2, for ongoing gifts: 9999.
245: dates always preceded with “circa”.
245, for ongoing gifts: 245 10 ‡a John Smith papers, ‡f circa 1941-[ongoing].
300, for ongoing gifts: 300 __ ‡a ms.
520: copied or derived from the accession record.
546: required
555: used one of the following:
555 0_ ‡a Unprocessed Collection. Preliminary list available. For further information, consult the Public Service Desk.
555 0_ ‡a Unprocessed Collection. For further information consult the Public Service Desk.
6xx: used a 600 or 610 for the main entry, with subdivision ‡v Archives.
7xx: used 700 or 710 for a co-creator of the collection.
Did not use 65x topical headings.
856: used the following for each preliminary list file:
856 42 ‡3 Preliminary list ‡u http://beinecke.library.yale.edu/mss_preliminarylists/[filename].htm
Supplements/Cuttering for Western Americana
Before 2012 October, cutters were determined by use of a hardcopy C. A. Cutter’s Three-Figure Alfabetic Order Table, which was located in the Manuscript Unit.