Revised

January 11, 2002

CD-ROM Processing Procedures Summary (Chart - html)
CD-ROM Processing Procedures Summary (Chart - PDF)

This policy and procedural guideline is intended to describe the handling of materials received in the CD-ROM format and cataloged and processed in the Technical Services Division and Preservation Department for all libraries or collections: Rivera, Science, Map Collection, Media Library, and Music Library. This policy does not cover processing procedures for CD-ROM materials received and processed in the Government Publications Department. See the separate document for policy and procedures for government publications on CD-ROM. The types of CD-ROM materials received include CDs accompanying books and serials, stand-alone CDs with minimal or no accompanying textual material, and CDs that are mounted on the network. See the chart at the end of this document for a summary of processing procedures for the various locations and types of CD-ROMs.

Other media such as DVDs may also be processed according to these procedures, although new media may present problems due to their own nature. For example, DVDs are two-sided where CD-ROMs are single-sided. Therefore, DVDs cannot be security stripped on the face like CD-ROMs. Procedures will vary according to the library or collection, but will contain as many common processing procedures as possible.

CD-ROMs Included with Books

For books that include CD-ROMs in a pocket, the book will be sent to the stacks and the CD-ROM will be sent to the Circulation desk (secured collection) for both Science and Rivera titles. The CD-ROMs will be removed from the book and housed in jewel cases and security stripped when they are processed. The bibliographer may also choose to locate the book in Reference, Reserves, or a secured collection. The following procedures will be followed to handle this type of CD-ROM. See chart at the end of this document.

Collection Development Department

Acquisitions or Cataloging staff will consult with the bibliographer if there are any questions concerning any special handling of a book with a CD-ROM or stand-alone CD-ROM, either by contacting the bibliographer directly or by placing the book or CD-ROM on the bibliographer's review shelf. At the time of order, if there is any special location designation or handling of the CD-ROM desired by the bibliographer, the instructions are given with the firm or form order. For approval books, if there is any special handling, the bibliographer notes that handling on the pink flag. This information is then included in the order record note field in all capital letters. Acquisitions staff and/or the bibliographer will also consult with the Head of Preservation concerning storage of the CD-ROMs when the publisher-supplied housing seems inadequate for long-term storage.

Acquisitions Department

Upon ordering, Searching and Ordering Unit staff will put a note in the order record to indicate knowledge of a CD-ROM included with the book, based on the ordering information (form, publisher's catalog, vendor information, etc.). Staff will also indicate in the order record if the bibliographer has specified any special location designation or handling of the piece.

Upon receipt, a note is placed in the order record to indicate the number of CD-ROMs received with the book. At that time, Receiving Unit staff will also check for obvious damage to the disc and request a replacement copy immediately. The book will not be sent through for further processing until the replacement copy is received. Staff will not attempt to load the disc or otherwise test the content of it. Staff will pull the CD-ROM from the back of the book, insert it in a jewel case, and secure it to the book with an H-band.

Cataloging Department

When creating the item record for the book, the cataloger will insert an item message that indicates the number of CD-ROMs that came with the book. For example, "3 CD-ROMs available." This should be the first imessage in the record so that it will alert the Circulation Department staff to look for the CDs or to notify the patron if the CDs are located somewhere other than in the Circulation Department. The cataloger also creates separate item records for each CD-ROM and sets the status to "f" (ASK CIRC PROC.). When there are multiple item records attached, as with a serial, the item record for the CD-ROM should be placed just below the associated print item. The CD-ROMs are placed in separate jewel cases and the barcode is placed on the lower back side of the jewel case. No labels are applied to the disc itself. Library of Congress call numbers will be assigned to CD-ROMs for Rivera and Science libraries. The Music and Media libraries will continue to use accession numbers.

Preservation Department (Processing)

The book with CD-ROM does not need any special labels on the outside of the piece, but a label is placed on the pocket in the book where the CD-ROMs were originally located. The label says "Ask at Circulation Desk for CD-ROMs accompanying this book." All CD-ROMs for the Science and Rivera Libraries will be security stripped during processing. CD-ROMs for the Music and Media Libraries will not be stripped. The call number label will be placed in the upper left corner of the jewel case and the booklet inside the case, if there is one. The call number will be written on the CD-ROM face with the marking pen.

Circulation Department

When initially received, Circulation staff will change the CD-ROMs item record status to "-" (NOT CHECKED OUT). When checking out a book, Circulation staff will automatically see the imessage indicating that there is a CD-ROM that accompanies the book. The Circulation staff member will also see the label on the pocket in the back of the book when he/she stamps the date due slip. The Circ. staff member will alert the patron to the availability of the CDs in case the patron is not aware that CDs accompany the text. The presence and condition of the CD(s) will be checked when the book is checked out and when it is checked in. If the CD-ROM is damaged or missing at the time of checkout, the imessage in the book's item record will be edited with that information. For example, "Disc 1 of 2 missing." The item record for the missing, lost, or damaged CD-ROM will have the status code changed to the appropriate code.

If the CD is missing or damaged at the time of checkin, the person checking it in sets it aside for a supervisor to handle. Lost or damaged CD-ROMs will be pursued as a billing situation and, as part of the billing process, CDD will be contacted by the Circulation supervisor for a retention/replacement decision. CDD will then contact Acquisitions staff regarding pursuing a replacement copy and BRU or Serials staff, as appropriate, to withdraw the piece.

Stand-alone CD-ROMs

Stand-alone CD-ROMs are defined as non-networked CDs that are by themselves without substantial accompanying text, other than a brief user's guide. All stand-alone CDs will be assigned a Library of Congress call number, except for those going to the Music and Media libraries, which will continue to receive an accession number. Stand-alone CD-ROMs will be housed at the Circulation desk in Science and Rivera, at the Music Library, and when designated by the bibliographer, at the Media Library. All stand-alone CD-ROMs for the Science Library, the Map Collection, and Rivera Library will be security stripped. Music Library CD-ROMs do not get stripped.

Patrons who do not have access to a computer may request that the software be loaded on a computer in the Science Library or Rivera Library for their use. The following are the procedures for such loading of CD-ROM software.

Systems Department

Twenty-four hour turnaround is available for the loading of software from a CD-ROM. CD-ROMs from any UCR library may be loaded in the Science Library or Rivera Library. Systems staff will load the disc within 24 hours from Monday through Thursday. For discs requested Friday through Sunday, they will be available after 3 p.m. on Monday. CD-ROM software will be loaded on machines in the Multimedia Rooms in the Science Library or on the designated machine in Rivera.

Reference or Circulation staff will email Systems (systems@library.ucr.edu), and Terry Toy (ttoy@library.ucr.edu) to request that a particular CD be loaded, where the CD is located, and when the patron requested it (and therefore when the patron is expecting it to be loaded). A Systems staff member will notify Circulation at the appropriate library when the software has been loaded and on which machine. The patron will be instructed by Circulation staff to return to Circulation after 24 hours or after 3 p.m. on Monday to request the CD-ROM. The CD-ROM will be retained on the hold shelf for the patron. At the time of checkout, Circulation staff will put a note on the book's or stand-alone CD-ROM's date due slip indicating the computer it is loaded on and the date loaded. Twice a year, in January and July, Systems staff will remove all CD-ROM software loaded in the multimedia rooms and on the Rivera CD-ROM PC, with the exception of permanently loaded reference or reserve materials designated as such by Reference or Access Services staff.

CD-ROMs for the CD-ROM network

The Information Technology Committee (ITC) decides which CD titles are to be mounted on the CD-ROM network, once the license agreement has been reviewed by the Head of Acquisitions for networking restrictions. New CD-ROM titles to be loaded on the CD-ROM network are sent for cataloging. They are fully cataloged, but do not receive a call number, only "Electronic database" or "Electronic book" as appropriate.

As cataloged CD-ROMs are received or newly cataloged items are returned from the Cataloging Department that are to be loaded on the CD-ROM network, Serials Unit staff call the Systems Department and notify them that there is a disc to be picked up for loading. Systems staff go to the Serials Unit and retrieve the disc(s), signing for them at the time of pickup. When a title is cancelled or the subscription is converted from CD-ROM to online, Systems staff are notified by Acquistions staff. In consultation with appropriate bibliographers and/or electronic resources coordinators on timeframe, Systems staff remove the CD-ROMs and associated software from the network, notify patrons of the change via the CD-ROM network screens, and return the CDs to Serials staff.

Replacement of CD-ROMs

Due to copyright law, CD-ROMs generally cannot be duplicated. The bibliographer may decide to repurchase the CD-ROM if it is damaged or lost. If it is not available for repurchase, we can request a copy of the disc through interlibrary loan and make a copy of the disc. We will table further discussion of duplicating CD-ROMs until the Digital Media Copyright Act (1998) receives additional interpretation through legal cases. If a replacement for the CD-ROM is not available, the item record imessage field will be updated to indicate that the disc is no longer held and that a replacement was not available.

CD-ROMs received with Serials Subscriptions

Increasingly, CD-ROMs are received with current serials subscriptions. These include full text of the current year or current volume of the serial, multi-year cumulations of the full text, indexes or special publications. When a CD-ROM is initially received for a serial title, it will be sent to the bibliographer for review. The bibliographer will make a decision for that title to be applied to future discs received for that title. If the disc is full text of the journal and we will be keeping it, it will be shelved with other stand-alone CDs. Special publications may be cataloged as separate monographs and shelved appropriately, depending on the bibliographer's and cataloger's decisions. Physical processing of these CD-ROMs will follow the established procedures for their intended location.

Item records for CD-ROMs: item type, loan period

Since the loan period for any library material is determined by the combination of location, item type, and patron type, CD-ROMs that circulate will include the CD-ROM item type (itype 034 for monographs, 041 for serials), the appropriate location code, and appropriate patron type. Loan periods for CD-ROMs will follow those of other monographic or serial items. The loan rule table will be updated to reflect these circulating items. CD-ROMs that the bibliographer does not want to circulate will be located in Reference or a secured collection (Cage, Media Library, or Science Circ.) and designated as non-circulating with a LIB USE ONLY status and item type 000 (non-circulating). CD-ROMs will not go out on interlibrary loan, but we can make a replacement copy if requested through interlibrary loan. See chart attached.

License agreements/Registration cards

CD-ROM license agreements or registration cards that need to be returned to the vendor/publisher will be processed by the Head of Acquisitions. Once the cataloging is completed and the CD-ROM is being sent for processing, the cataloger will route the license agreement or registration card to the Head of Acquisitions. A copy of the agreement will be retained in the vendor correspondence files in the Acquisitions Department for future reference.

CD-ROM Processing Procedures Summary (Chart - html)
CD-ROM Processing Procedures Summary (Chart - PDF)

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