This document details the procedures for cataloging corporation annual reports for the "Management collection". Other annual reports (including corporation annual reports for the Africana collection) are cataloged under standard procedures, not this procedure.
Bibliographic records for corporation annual reports in NUL's catalog are of a special nature. They are not intended to be full bibliographic descriptions such as for "regular" serials, nor are they intended to be corporate histories; they are brief, basic guides to the annual report collection. For a given corporation, the record tells the user that the library holds reports for certain fiscal years.
NOTE: Prior to Apr. 2003, all annual reports were housed in the Main library stacks, as "regular" size books (regardless of actual height). In Apr. 2003, all annual reports for years up to and including 2001 were transferred to the Library Storage Facility, in the "large" section. Reports for 2002 and later are treated as "large" books in the Main library stacks. When ADDING a report for 2002 or later, and there is no MFHD record for the location "nstx,lg", see Part IV below.
Use the following codes/values. These will be filled in automatically if the record is based on the current template provided by Head of Serials Cataloging.
Encoding level = 3 (Abbreviated level)
Cataloging form = | (No attempt)
(all others = leave as is)
Use the following codes/values. All but "Place of publication" will be filled in automatically if the record is based on the current template provided by Head of Serials Cataloging.
Publication status = c
Date 1 = uuuu
Date 2 = 9999
Place of publication = [code for the state used in 260 field]
Frequency = a
Regularity = r
Conference publication = 0
Successive/latest entry = 0
Language = eng
Cataloging source = d
(all others = [blank])
040 ## $a IEN $c IEN
Use the Staff Name Headings search and look for an established authorized form of name (marked "Authorized" or "Auth/Ref" in the name headings index). Read the name authority record to determine whether the established name (in the 110 field of the authority record) is for the same entity; if it is, use that form of name in the bibliographic record.
If your search of the name headings index leads to an existing Annual Report record for the same company you are working on, check to see if there is a 785 field in the bibliographic record. If there is, check with a Serials Cataloger. Otherwise, add the report in hand to the holdings (see Part II.B below).
If you are unsure if a name found is the proper one to use, check with a Serials Cataloger.
If no established name is appropriate, use the name found on the front cover or another prominent source (such as the first few pages or the back cover). However, if that form of name matches any entry in the name index for a different entity marked "Authorized", "Auth/Ref" or "Reference", consult with a Serials Cataloger to have a new name established.
Enter the heading for the corporate body name in field 110.
Example:
110 2# $a Mom and Pop Videos.
Use "Annual report" regardless of the actual title on the report.
245 10 $a Annual report.
Give the place of publication as found in the report (usually on one of the covers). If the state name is not abbreviated, use a standard abbreviation (not a postal code).
Example:
260 ## Hominy, Okla.
If the date on the cover is given in the form "year/year" (e.g., "2000/2001"), look inside the report to find the end of the fiscal year. Add a 515 field giving this information.
Example:
515 ## $a Fiscal year ends June 30.
1. Indicators
1st indicator = 1
2nd indicator = [blank]
2. Location (subfield $a)
nstx,lg
3. Call number prefix (subfield $k)
L
4. Call number (subfield $h)
Class number = 338.741
Cutter number
Leave one blank space after the class number, then add the Cutter number. Base the Cutter number on the first word of the name of the company.
Example:
Name: Beatrice Companies
Cutter: B369
The number must be unique (that is, not already assigned to another record). Search the Call Number index to ensure that your number is unique. Extend the Cutter number if necessary. (See SCP 30: Cutter and Work Marks for Serials for more information on Cutter numbers.)
You may find that "work marks" have been used with some Cutter numbers. These are used to distinguish separate companies that have similar names. The work mark is usually for a significant distinctive word in the company's name. This practice should be continued whenever it is encountered. Never add a work mark for the title.
Examples:
N277a = National Acme Company
N277al = National Aluminate Corporation
N277au = National Automative Fibres, inc.
N277ba = NationsBank5. Caption (subfield $x)
[yr]
Use for: 1) calendar year report (that is, report for Jan.- Dec.); 2) non-calendar year report designated by a single year (for example, the report year ends June 30, and reports are called "2002", "2003", etc. instead of "2001/2002", "2002/2003", etc.).
[yy]
Use only if the double year designation appears prominently on the piece (use of this caption should be relatively rare). There should be a corresponding 515 in the bibliographic record giving the end of the report year.
6. Example of a completed 852 field
852 1# $a nstx,lg $k L $h 338.741 B369 $x [yr]
Input holdings for regular annual reports in field 866, using NISO Level 4 standard.
866 41 $8 0 $a 2002,2004Note: The library typically does not retain quarterly reports or other non-annual reports, unless they are the only reports we will receive for the given time period (because of bankruptcy, etc.).
If the library has Form 10-K in addition to the annual report for any given year, add it to the holdings as a supplement in field 867.
Example:
866 41 $8 0 $a 2002,2004 867 41 $8 0 $x Form 10-K: 867 41 $8 0 $a 2002 $z (Form 10-K)Note: The first field 867 is not actually necessary, but is a helpful addition to the record for the purpose of clarification. It will not appear in the public catalog.
If the library has Form 10-K instead of the annual report for any given year, add it to the holdings as a basic bibliographic unit in field 866 with the phrase "(Form 10-K only)" as a note.
Example:
866 41 $8 0 $a 2002 866 41 $8 0 $a 2003 $z (Form 10-K only) 866 41 $8 0 $a 2004
1. Create item records, inscribe volumes, and route to Materials Processing.
1. Add field 948 to bibliographic record with the following codes:
subfield $b = e
subfield $c = [today's date]
subfield $d = o
subfield $e = [your initials]
subfield $f = nstx
subfield $g = ar
2. Record statistics for added volumes.
Note:Annual reports for all years up through 2001 are located in the Library Storage Facility "large" section (location code nlsf,lg). If you are adding a report for 2002 or later and there is only one MFHD record, with a location code of nlsf,lg, create a new MFHD as instructed here.
1. Make a copy of the existing MFHD record (menu: Record|Make a Copy; keyboard: Alt-R, Y).
2. In the copy:
a. Remove extraneous data. This includes any 014 fields (they belong to the original MFHD only), any subfield $x data that does not pertain to the new holdings (such as "rte=mgmt bibl", etc.), and 866/867/899 fields for pre-2002 reports.
b. Change the location code in 852 subfield $b to nstx,lg and add subfield $k with the letter L.
c. At the end of field 852, add the following subfield:
$z (Earlier volumes in Library Storage Facility)d. Add holdings as instructed in section B above.
3. In the original MFHD record, add the following subfield at the end of field 852:
$z (Later volumes in MAIN Large Books)
4. Add field 949 to bibliographic record with the following codes:
subfield $c = [today's date]
subfield $e = [your initials]
subfield $f = nstx
subfield $g = loc
DOCUMENT HISTORY:
Issued Sept. 16, 1985 (MBC) in consultation with C. Cubbage (Management Services) and E. Janakiev (Catalog Dept.)
Revised Nov. 22, 1985 (MBC)
Rewritten Apr. 11, 1991 (KMR) in consultation with P. Bush (Management Bibliographer)
HTML version created July 12, 1995 (KMR)
Revised July 19, 1995 (KMR)
Revised June 20, 2001 (KMR)
Revised Feb. 18, 2002 (KMR)
Revised Sept. 15, 2003 (KMR)