Electronic media procedures:
print/non-print sets,
non-networked e-journals

PROCEDURES FOR BOOK/ELECTRONIC-ITEM SETS AND BOOK/AUDIO-VISUAL ITEM SETS

Scope: All monographic book items issued with supplementary material that is in an electronic or audio-visual format. The supplementary material may duplicate the complete text and constitute another edition. The procedures should address preservation, c opyright and security concerns, while making allowances for circulation.

Note: Copyright concerns were particularly complex for the Taskforce to discuss. The guiding principles were supplied by ARL's publication titled "Copyright, Public Policy, and the Scholarly Community." One principle is that libraries must have full use of technology in order to preserve scholarship and research. The policy framework of the emerging information infrastructure, the Taskforce assumes, will provide for the archiving of electronic materials by research libraries to maintain permanent collections and environments for public access. Accomplishing this goal will require strengthening the library provisions of the copyright law to allow preservation activities which use electronic or other appropriate technologies as they emerge.

The other important guiding principle was outlined in a statement on "Fair Use in the Electronic Age: Serving the Public Interest," developed by representatives of the following associations: American Association of Law Libraries, American Library Association, Association of Academic Health Sciences Library Directors, ARL, the Medical Library Association, and the Special Libraries Association. It was useful to know that they prepared a statement that included the following: "Without infringing copyright, nonprofit libraries and other Section 108 libraries, on behalf of their clientele, should be able to:

• use electronic technologies to preserve copyrighted materials in their collections, and
• avoid liability, after posting appropriate copyright notices, for the unsupervised actions of their users."

These documents and other copyright related materials are available on the ARL server at: http://arl.cni.org/scomm/copyright/copyright.html

1. Books accompanied by audio-visual material (cassette, disc, LP, video)
   1. The audio-visual element will not be allowed to circulate.
   2. One bibliographic record will be used to describe the items.
   3. Two locations will be created: the book will be cataloged for the stacks (BMAIN); the audio-visual element will be cataloged for Avery Fisher.
   4. The audio-visual element will be assigned an accession number, preceded by the appropriate media prefix.
   5. The book will be barcoded by acquisitions receiving staff; the accompanying material will be barcoded when cataloged.
   6. The physical description will indicate the presence of non-book material, e.g.:

      214 p. :$bill. ;$c24 cm +$e sound cassette

      A complete physical description of the audio element will not be given.

   7. The audio element will be barcoded and labelled according to standard procedure; when not possible, the call number or accession number will be written on a piece of paper, barcode attached to it, and sent with the item to Avery Fisher.

2. Books accompanied by electronic items (diskette, CD-ROM)

   The Subject Specialist will need to play an important role in making the decision whether or not it is necessary to preserve the electronic item on a longterm basis. The decision will be indicated either on the order slip by indicating that the preservation of the electronic item is required, or upon notification of receipt of the book/electronic item set. If the subject specialist needs to make a decision upon receipt, the original order must include a note to "please notify upon receipt (name, extension)" and the Acquisitions Department and the Electronic Resources Center must make it possible for the the selector to evaluate the content of the electronic item.

   1. The book accompanied by diskette or CD-ROM will, upon receipt, be sent to Cataloging.
   2. One bibliographic record will be used to describe the items, unless the electronic item duplicates the printed text and constitutes a new edition. If the electronic item constitutes a new edition, it must get a separate bibliographic record even if the book and electronic item are kept physically together for shelving and circulation purposes.
   3. The book will be barcoded by Acquisitions receiving staff; the accompaying electronic item will be barcoded when cataloged. Barcode will be attached to pocket housing the electronic item; if Bindery must make a sturdier pocket, a yellow, barcoded card should be temporarily attached to the pocket.
   4. Since both are barcoded, they must both have a holdings record. One holdings record will have the barcode for the book, the other will have the barcode for the elec. item. Example of a display (each line represents a separate holdings record):
      1. Bobst QA76.5.A215 L33 1994 (text) Not Checked Out
      2. Bobst QA76.5.A215 L33 1994 (diskette) Not Checked Out

   5. A 006 field will be added to the record to reflect in encoded form descriptive characteristics of the accompanying material.
   6. If necessary, a bindery flag will be inserted into the book by the selector to request a secure pocket for the electronic item. The Electronic Resources Center or the Cataloging Department (depending on the need for an archival copy) will then know to place the book on the bindery truck in the Cataloging Department for the Preservation Department's attention. The Cataloging Dept. will affix the copyright label to the electronic item.
   7. After cataloging, if the selector has requested longterm preservation, the book accompanied by the electronic item will be sent to the Head of the Electronic Resources Center who will double check the copyright clearances for creating an archival copy. (It is the Taskforce's belief that future legislative changes will ensure that libraries are able to utilize the latest technology to preserve knowledge.) A staff member in the ERC will make an archival copy that is retrievable by the assigned LC call number. The technical method for maintaining archival copies of CD-Roms and diskettes is at the discretion of the Head of the Electronic Resources Center. The original disk and the book will either go to its stacks location or the bindery on the mezzanine. All electronic items intended for the Stacks must have a label with a "Warning of Copyright Restrictions."
   8. Both items will circulate together. The Electronic Resources Center will replace missing electronic items on demand, if a selector has requested longterm preservation.

PROCEDURES FOR SERIALS
ACCOMPANIED BY NON-PRINT SUPPLEMENTARY MATERIAL

Scope: Serials, all or some of whose issues are accompanied by supplementary material that is in a non-print format. The format can be audio-visual (videos, cassettes, cd's) or electronic (computer diskettes or CD-ROM's).

1. Serials accompanied by audio-visual supplementary material: Serials check-in staff records the existence of the audio- visual supplementary item in the Advance System, and forwards the audio-visual item to the Cataloging Department.
   1. If the audio-visual element IS ANALYZABLE, the cataloger.......
      1. creates a full-level cataloging record for the audio-visual element.
      2. includes a series statement or note relating the audio-visual element to the journal.
      3. classifies the audio-visual item:
         1. Cassettes receive the same LC call number as the journal, followed by theappropriate volume/issue;
         2. Videos receive the video accession number assigned to the journal in the Avery Fisher Center, followed by the appropriate volume/issue number;
         3. Audio cd's receive the XCD assigned to the journal by the Music cataloger, followed by the appropriate volume/issue.
      4. reports video accession numbers and XCD numbers to the Serials Check-in staff so that they can add them to the check-in record for future reference.
      5. pencils the call number or accession number on a slip of paper, attaches it to the audio-visual item, and sends to AFC

   2. If the Cataloging Dept. determines that the audio-visual element IS NOT ANALYZABLE, upon first receipt of the accompanying item, Cataloging returns item to Serials with the call #. The serials check-in staff records its existence in the Advance System and indicates that "future accompanying items are analyzeable and get ", and the accompanying item is sent to AFC with the attached slip of paper indicating the assigned call number or accession number.
   3. The audio-visual item will be barcoded by the Cataloging Department.
   4. The serial record for the journal contains a note explaining that individual issues of the journal may be accompanied by an audio-visual element.
   5. The serials cataloging record will have a location for BMAIN, and the Serials Holding Statement will state, for example:

   Accompanying sound recording located in Avery Fisher Center [call number]

2. Serials Accompanied by Electronic Items

   NOTE: The Subject Specialist will need to play an important role in making the decision whether or not it is necessary to preserve the electronic item on a longterm basis. The non-circulating electronic items will not be backed-up for preservation reasons, unless a selector can present a compelling reason. The decision is indicated either on the pre-order slip by including a note that the preservation of the electronic item is required, or upon notification of receipt of the electronic item. If Subject Specialists need to make a decision upon receipt, the electronic item together with the issue should be made available to the selector for review. The Acquisitions Department and the ERC must make it possible for the selector to evaluate content of the electronic item together with the paper issue.

   If the selector requests longterm preservation, the first supplementary electronic item, together with the paper issue, will be sent to the Head of the Electronic Resources Center. The Head will determine the technical and copyright feasibility of archiving. (It is the Taskforce's belief that future legislative changes will ensure that libraries are able to utilize the latest technology to preserve knowledge.) A staff member in the ERC will make an archival copy that is retrievable by the assigned LC call number, volume and issue number (it needs to match up with a specific issue). The technical method for maintaining archival copies of CD-Roms and diskettes is at the discretion of the Head of the Electronic Resources Center. The original electronic item will be housed in the Microform Center and the issue will go to its stacks location. All electronic items intended for the Stacks must have a label with a "Warning of Copyright Restrictions." The Procedure is as follows:

   1. Serials check-in staff records the existence of an electronic item in the Advance System, and, if necessary, forwards the supplementary item together with the paper issue to the appropriate selector for a retention and preservation decision.
   2. If selector decides to keep the electronic item, it is returned to Serials indicating that decision and stating whether or not the electronic item will be archived, and whether or not all future electronic items should be forwarded to the selector for a case-by-case decision, or if the decision applies to all future receipts. If selector decides to discard, the decision is recorded and returned to Serials.
   3. If the selector requests archiving, the electronic item together with the journal issue is sent to the Head of the Electronic Resources Center, who will review the decision and forward to Serials.
   4. Serials staff record the retention and archiving decisions in the serial record and attach a slip of paper with title, call number and volume/issue number to the item. Item and all subsequent diskettes are delivered to the senior labeller for labeling.
   5. The Labeller affixes the copyright label, supplies a jewel box for the electronic item, and labels the jewel box appropriately. The accompanying electronic item is filed by title/issue in the Microform Center. If the electronic item does not display the title /issue, the labeller must provide a label for the jewel box with title/issue information. The serial record for the journal should contain a note explaining that individual issues of the journal may be accompanied by a computer diskette or CD-Rom. The serials cataloging record will have a location for BMAIN, and the Serials Holding Statement will state: Accompanying computer diskette located in the Microform Center.

The Electronic Item may have sufficient information for filing by title. Cataloging determines whether or not it needs to supply labeling, which may include the LC call number; appropriate volume/issue number; and the title of the journal. The labeling will be attached to the container for the electronic item.

PROCEDURES FOR NON-NETWORKED ELECTRONIC JOURNALS

Scope: Electronic Journals in CD-ROM or diskette format

The Acquisitions and Cataloging functions are fully comparable to print journals

The Subject Specialist will need to play an important role in making the decision whether or not it is necessary to preserve the electronic journal on a longterm basis. The non-circulating electronic items will generally not be backed-up, unless the selector can present a compelling reason. The decision is indicated either on the order slip by including a note that the preservation of the electronic item is required, or upon notification of receipt of the electronic journal. If the subject specialist needs to make a decision upon receipt, the original order must include a note to "please notify upon receipt of first issue only (name, extension)." The Acquisitions Dept. and the ERC must make it possible for the selector to evaluate the content of the electronic item.

If the archival copy is necessary Cataloging must send the first issue, and Acquisitions subsequent issues, to the ERC where a staff member makes an archival copy.

For first issue of serial, follow the existing Acquisitions to Cataloging procedure. For subsequent issues Serials must attach a slip of paper with title, call number, vol. and issue before sending to Cataloging for labelling.

The electronic journal is filed alphabetically by title in the Microform Center. The Labeller affixes the copyright label, supplies a jewel box for the electronic item, and labels the jewel box appropriately. The electronic item is filed by title/issue in the Microform Center. If the electronic item does not display the title /issue, the labeller must provide a label for the jewel box with title/issue information. The serials cataloging record will have a location for Bmicro.