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2. Goals of training. Per Sarah Elman, to standardize the procedures of processing serials at StarrTraining new staff or as a refresher for other staffEnhance communication between acquisitions and cataloging staffGet familiar with serials documentation at Columbia and StarrCleanup projects or t
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1. 1 Serials Trainingat East Asian Library Session One:
The Overview of Serials
Session Two:
MARC Holdings & Item Records
2. 2 Goals of training Per Sarah Elman, to standardize the procedures of processing serials at Starr
Training new staff or as a refresher for other staff
Enhance communication between acquisitions and cataloging staff
Get familiar with serials documentation at Columbia and Starr
Cleanup projects or the areas for local policy making
3. 3 The outline of training sessions Part one—Cataloging Module (Oct.)
Session 1: MARC Holdings/Item Records
Session 2: Bibliographic Record
Part two—Acquisitions Module—Check-in (Nov.)
Session 3: Check-in periodicals/serials &
Claims
Session 4: Publication patterns & subscription cancellation
4. 4 Related documentation at CUL For serial cataloging, go to SCARM.
For adding policy, see adding section of SCARM website and SEAS manual.
For serials check-in for departments, go to DCMM (8xx section).
MARC Holdings Record:
Input MARC Holdings for Serials—SCARM-603
MARC Holdings format training: CLIO
Create item record for serials—SCARM-260
5. 5 Starr Procedures Our local documentation is currently in the U drive (Starr share-folder) and will move to our Technical Services Website later.
Unlike other departments, we are more independent and have our own procedures for technical processing.
Only Health Sciences and Law Libraries are similar to Starr.
6. 6 Agenda The definitions and types of serials (continuing resources)
MARC Holdings Record
Fixed fields
Variable fields
Notation codes/notes
Item Record
Enumeration and chronology
Exercises
7. 7 What is a serial? Show & tell
The definitions for serials, periodicals, series, sets and continuing resources
In 2002, changed from monograph vs. serials to “continuing resources” include:
Serials (including periodicals) + Integrating resources (websites, databases & loose-leafs)
For multi-volume sets (finite materials):
“monograph or books” format in cataloging
“continuation or standing order” in acquisitions
Non-print materials
8. 8 Serials Intended to be continued indefinitely
Each volume of the serial has the same call number
Each volume is recorded on the MARC Holdings record for the serial
General vs. specific definition (its frequency is usually annual or less than annual, e.g. yearbook)
On serial BIB 008 field, type of continuing resource code is blank
OPAC does not display current issues holdings message
9. 9 Serials
10. 10 Serials (e.g. yearbook)
11. 11 Periodicals Type of serial: generally published regularly & more frequently than annually
Intended to be continued indefinitely
Each issue of the periodical has the same call number
Each unbound issue is recorded on the check-in record for the periodical
Each bound volume is recorded on the MARC Holdings record for the periodical
On periodical BIB 008 field, the type of continuing resource code is p
OPAC displays current issues holdings message
12. 12 Periodicals
13. 13 Analyzed serials (series) Has a serial record and each volume is also cataloged separately as a monograph (when it has a distinctive title)
Intended to be continued indefinitely
Each volume of the serial has the same call number
Each volume is recorded on the MFHD records for the serial
On BIB 008 field, type of continuing resource code is m
OPAC does not display current issues holdings message
Notes field for monograph has the payment reference for serial record (preceded by $)
14. 14 Analyzed serials
15. 15 Monographic series (sep cat) Intended to be continued indefinitely
Each volume in the series is cataloged as a monograph and has a different call number
Each volume is recorded on the check-in record for the series
The cataloging module record for the monographic series is in serial format
No MFHD record for the monographic series
Notes field for each monograph has the payment reference for monographic series record (preceded by $)
Series record is suppressed from the OPAC
16. 16 Monographic series (sep cat)
17. 17 Monographic set (Multi-volume set) Intended to be complete in a finite number of separate volumes
Each volume in the set has the same call number [note: if sep cat, treat it as a monographic series (with 490/8xx series tracing in record)]
Each volume is recorded on the MFHD for the monographic set
The cataloging module record for the monographic set is monograph
OPAC does not display current issues holdings message
18. 18 Analyzed set Has a set record and each volume is also cataloged separately as a monograph --(when it has a distinctive title)
Intended to be complete in a finite number of separate volumes
Each volume in the set has the same call number
Each volume is recorded on the MARC Holdings record for the analyzed set
The cataloging module record for the analyzed set is monograph
OPAC does not display current issues holdings message
Notes field for each separately cataloged monograph has the payment reference for analyzed set record (preceded by $)
19. 19 Analyzed set
20. 20 Single volume monograph (book) The cataloging module record is monograph:
Intended to be complete in one volume
Bib record 300 field has pagination not volumes
MARC Holdings record does not have volume holdings in 866
21. 21 Rule of thumb: search by call number to see all records
22. 22 MARC Holdings Record (MFHD) Fixed fields: Leader & 008
Variable fields:
852
866-868
others: 014, 843, etc.
Subfields: $8, a, b, h, i, k, m, x & z
Notation codes/notes
NISO Standard for Serials Holdings display
23. 23 Fixed fields—leader for serials only
24. 24 Fixed fields—008 (Alt+shift+\)
25. 25 852 (Location and call number) Indicators:
1st indicator: 0 (LCC) & 8 (non-LC)
2nd indicator: 1 (multi-parts/serials)
Subfields in 852:
$b--Location, e.g. eax
$h--Class number, e.g. AP2
$i--Cutter number, e.g. .M628
$k--Call number prefix, e.g. DVD
$m--Call number suffix, e.g. F for folio
$x--Non-public note, e.g. add for non-analyzed
$z--Public note, e.g. Current issues in periodicals section of reading room
26. 26 Example
27. 27 Call number search Multiple holdings records will create duplicate search results, but they are not duplicate records.
Confirms if it is a correct holdings record to add volumes or check-in record for check-in, e.g. eax for onsite or off,eax for offsite holdings records
Starr has the policy of split holdings, only keeping the latest two years on site and sending the previous volumes to offsite.
28. 28 Multiple holdings records
29. 29 $z Notation codes affect workflow CPM-580 (List of treatment codes)
CPM-582 (List of standard OPAC messages)
Latest volume in reference (bref) [few titles]
Latest volume needs temp location in item record and goes to reference shelf
The temp location of earlier volume needs to be removed and it goes to stacks
Latest volume only (lvo)
Only latest volume in holdings and item records
Subscription cancelled. Ask for help (sc)
Maybe, print version cancelled and online available
To close prediction patterns after receiving the last issue
30. 30 $z Notation codes affect workflow No bound volumes in stacks yet (nby)
This $z note entered by the cataloger for a new periodical title
Remove the statement and add the bound volumes to holdings record after bindery
Example:
Before binding:
866 41 $8 0 $z No bound volumes in stacks yet
After binding:
866 41 $8 0 $a v.1 (2008)
31. 31 $z Notation codes affect workflow Current issues in periodicals section of Reading Room (prx)
Current issues display in periodicals area
Earlier issues to be bound and go to stacks
Current issues only (cio)
Previous issues on microform (mic)
Analysis codes: (SCARM-701)
Fully analyzed (a:all ; a)
Fully analyzed & bound together (a:bw ; p)
Partially analyzed (a:par ; p)
Not analyzed (add)
Offsite series (a:off)
32. 32 866-868 fields Summary/Textual holdings for main (866), supplements (867) & index (868)
Indicators:
1st: 4; 2nd: 1 (NISO Z39.71 (default))
Subfields:
$8--Sequence number
$a--Textual holdings
$x--Non-public note; $z--Public note
33. 33 How to record holdings data in 866-868 fields for serials (SCARM-603) Punctuations, caption abbreviations and examples
(note: for non-serials (multi-parts), see CPM-503)
34. 34 Mixed levels of holdings data 866 30 $8 0 $a vol. 1, vol. 3:4, vol. 7, vol. 9, vol. 13,
866 30 $8 0 $a vol. 16
866 30 $8 0 $a (1971, Oct. 1973, 1977, 1979, 1983,
866 30 $8 0 $a 1986-Apr. 1987)
866 41 $8 0 $a v.17:no.2 (1987:Apr.)
[here the most recent issue has been added in a new 866 using the new format when level 3 holdings cannot be converted to level 4 holdings; new format—with wrap-around]
35. 35 Punctuation of holdings information (summary) Use 2003/2004 even though 2003-2004 appears on the piece!
Use 2003/2004 even though 2003-2004 appears on the piece!
36. 36 Caption terms and months At Starr, we use English caption terms and months rather than original languages, and follow the standard abbreviations as follows:
Captions: volume (v.) part (pt.) book (bk.) fascicle (fasc.) edition (ed.) series (ser.) page (p.)
Months: Jan. Feb. Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec.
Seasons: spring, summer, fall & winter
For caption abbreviations in other languages, see the old CLIO Manual. For month name abbreviations, see SCARM-606. See the handout for CJK caption abbreviations in English.
If no caption terms on piece, do not record caption in MARC Holdings record.
37. 37 Examples no.1-no.6[we have all issues from no. 1 through no. 6; optionally, no.1-6]
no.1 (1990:summer)-no.5 (1991:summer)[we have all issues from no. 1 through no. 5]
v.1:no.2 (1991:Feb.)-v.2:no.3 (1992:Mar.)[we have all issues from v.1:no.2 through v.2:no.3]
new ser.:v.11:no.14 (2007:May 15)[we have only one issue, so there is no range]
v.1 (1991)-v.2 (1992), v.3:no.2 (1993:Feb.)-v.4 (1994) [we have v.1:no.1 and all following issues through v.4:no.12, except v.3:no.1]
1991:Feb.2-1992:May 7
38. 38 Omitting lower levels of enumeration v.1 (1991)-v.2 (1992)[we have two complete volumes of separately issued pieces, v.1:no.1-12 and v.2:no.1-12]
v.1 (1991)-v.3:no.6 (1993:June)
[then v.3:no.7-12 are bound, volume 3 is now complete, and the statement becomes:]v.1 (1991)-v.3 (1993)
[but once the first half of volume 4 is bound the lower level has to be indicated again:]v.1 (1991)-v.4:no.6 (1994:June)
39. 39 Omitting lower levels of enumeration: special situations year 1:no.1-year 2:no.4[we have a complete run including year 1:no.1, year 1:no.2, year 2:no.3 and year 2:no.4; the second level of enumeration is likely to be used by itself in citations and we want it to display]
v.14 (2004:fall-2005:summer)-v.16 (2006:fall-2007:summer)[a simpler option here would be not to omit the second level of enumeration, even though the volumes are complete:v.14:no.1 (2004:fall)-v.16:no.4 (2007:summer)]
v.1 (2001:Jan.-June)-v.4 (2002:July-Dec.)[or:v.1:no.1 (2001:Jan.)-v.4:no.6 (2002:Dec.)]
40. 40 Numbering changes and irregularities v.1 (1991)-v.6 (1997); new ser.:v.1 (1998)-new ser.:v.2 (1999)[we have all issues from 1991 to 1999, and the numbering changed in 1998]
premier issue (1990:Nov.); v.1 (1991)-v.6 (1997)[the premier issue had no enumeration]
v.1 (1982)-v.6 (1987); v.8 (1988)-v.9 (1989) [no piece called “volume 7” was published]
v.1 (1991)-v.6 (1997), new ser.:v.2 (1999) [When a numbering change occurs after a gap in our holdings, just use a comma. We lack volume 1 of the new series ]
41. 41 Alternative numbering v.11:no.4=no.105-v.11:no.5=no.106or:v.11:no.4-v.11:no.5=no.105-no.106[either format may be used; follow precedent in existing records]
v.11:no.4 (1999:Apr.)=no.105-v.11:no.5 (1999:May)=no.106or:v.11:no.4 (1999:Apr.)-v.11:no.5 (1999:May)=no.105-no.106
Note: alternative numbering may be omitted from the 866 if it is judged to make the holdings statement too hard to read; if it is omitted from the 866 it is also omitted from the Enum field in individual items and entered in the Spine field instead.
42. 42 Other special situations Enumeration with letters:
v.1A (1975)-v.11E (1987), v.11H (1988:Apr.)-v.14D:1/2 (1991:Sept.)
Page numbering:
v.1 (1949)-v.97:p.15466 (1992:Aug.), v.97:p.19111-20928 (1992:Oct.)
Subseries:
no.1(32) no.2(34) no.3(45)
[Use the parentheses to enclose the main series numbering. Enter each issue separately, separated by spaces.]
Special issues:
866 41 $8 0 $a v.1 (1991)-v.8 (1998)866 41 $8 0 $a Special issues: v.5:no.2A (1995:Feb.), v.6:no.2A (1996:Feb.)
43. 43 Library lacks If no sufficient information to convert, leave Level 3 holdings data as is.
Change the "Library Lacks" statement from Level 3 to Level 4 (i.e., change 1st indicator from 3 to 4, set 2nd indicator to 1)
Place brackets around the entire "Library Lacks..." statement. For example, [*LIBRARY LACKS: Vol. 2:2, vol. 4-vol. 7]
Re-order the fields so that the "Library Lacks" statement appears as the last 866 line in the MFHD.
Holdings before modification:
866 | 3 0 | 8 0 |a Vol. *1-vol. 12866 | 3 0 | 8 0 |a (spring 1974-1989)866 | 3 0 | 8 0 |a *LIBRARY LACKS: Vol. 2:2, vol. 4-vol. 7866 | 4 1 | 8 0 |a v.13 (1990)-v.20 (1999)
Holdings after modification:
866 | 3 0 | 8 0 |a Vol. *1-vol. 12866 | 3 0 | 8 0 |a (spring 1974-1989)866 | 4 1 | 8 0 |a v.13 (1990)-v.20 (1999)866 | 4 1 | 8 0 |a [*LIBRARY LACKS: Vol. 2:2, vol. 4-vol. 7]
44. 44 Errors Errors in numbering at either end of a range are corrected with the correct numbering supplied in square brackets:
no.1 (2001)-no.2[i.e.,3] (2003)[actual numbering on pieces is no. 1 (2001); no. 2 (2002); no. 2 (2003)]
Errors in the middle of a range are disregarded:
no.1 (2001)-no.4 (2004)[actual numbering on pieces is no. 1 (2001); no. 2 (2002); no. 2 (2003); no.4 (2004)]
45. 45 Entering supplements in 867 $a 866 41 $8 0 $a v.1 (1991)-v.8 (1998)867 41 $8 0 $a v.5 (1995), v.7 (1997)[we have volumes 1-8, and supplements to volumes 5 and 7]
866 41 $8 0 $a 1995:no.3-1997:no.1867 41 $8 0 $a 1995:suppl.2[we have a range of regular issues, and a piece called "1995 supplement 2"]
866 41 $8 0 $a v.10 (1994)-v.23 (2007)867 41 $8 0 $a v.21/22 (2005/2006)[we have volumes 10-23, and a single supplement to volumes 21 and 22]
46. 46 Entering cumulative indexes in 868 $a 866 41 $8 0 $a v.1 (1991)-v.8 (1998)868 41 $8 0 $a v.1/3 (1991/1993)-v.4/6 (1994/1996)[we have volumes 1-8, and two cumulative indexes, each covering three volumes of the serial]
868 41 $8 0 $a 1985/1986-2007/2008
[Change the dash to slash even though 2007-2008 appearing on the piece]
868 41 $8 0 $a Supplementary index: v.14/17 (1927/1930)
47. 47 900—local notes in free text $x is another option, but Columbia uses 900 note more often.
If the title was received on an order that is not attached to this record, add a 900 note with the record number of the holdings record to which the order is attached.
When a record is suppressed, direct to the right holdings #.
Examples:
See Holdings# 3695509
See H3695510
$ANP3209
48. 48 Item record Key fields to input information:
Enumeration field
Chronology field
Spine field
Procedures
Scan the barcode
Updating item type, e.g. serl or offserl
Changing piece count for accompanying materials or offsite mixed media
Temp location updated by Circulation staff, e.g. reserve and reference
Not used fields: Year, Caption, Free text, Temp type & Media type
49. 49 Incorrect coding
50. 50 Incorrect coding
51. 51 Examples for Enum/Chron Note: If no caption term on piece, supply v. as default in the enum field.
Enum: v.1:no.1-2Chron: (1999:Jan.-Feb.)
Enum: 1999:no.1
Enum: 2008
Enum: 1990:Apr.-June
Enum: ed.11Chron: (2000)
Enum: v.1/2Chron: (1999/2000) Index
Enum: v.10/20Chron: Index
Enum: no.10Chron: (2004) CD-ROM
Enum: Jahrg.1Chron: (2003) Suppl.
52. 52 Examples for Enum/Chron Alternative numbering:
Enum: new ser.:v.1:no.
Chron: (2003:Jan.)
Spine: no.235
Incomplete:
Enum: v.17
Chron: (1979)
Spine: incomplete
With dates/fiscal years
Enum: g.59-60:sv.1-5Chron: (2001:febr.16-juli 24)Enum: v.32Chron: (2003:July-2004:June)
53. 53 Procedures Click on “New items” tab.
Input volume number and issue number in Enum field and year and month in Chron field.
Click and choose correct item type "serl" for onsite serials or offser for offsite serials
Leave Media type alone.
For mixed media, please refer to Mixed media processing for Serials.
Adjust piece count if needed for accompanying maps or microfiches (for onsite serials) or for offsite mixed media.
Click on Quill pen icon (staff notes) to input a note if needed.
Scan barcode into barcode field.
If an item needs to be charged to binding or labeling, charge it in the circulation module.
If you click on “get item” icon and see item records are out of sequence, use “move before” and/or “move after” button to adjust the sequence of item records.
54. 54 Q & A
55. 55 Exercises