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Serials Training at East Asian Library

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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Serials Training at East Asian Library

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    1. 1 Serials Training at 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.106 or: 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.106 or: 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. 12 866 | 3 0 | 8 0 |a (spring 1974-1989) 866 | 3 0 | 8 0 |a *LIBRARY LACKS: Vol. 2:2, vol. 4-vol. 7 866 | 4 1 | 8 0 |a v.13 (1990)-v.20 (1999) Holdings after modification: 866 | 3 0 | 8 0 |a Vol. *1-vol. 12 866 | 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.1 867 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.1-2 Chron: (1999:Jan.-Feb.) Enum: 1999:no.1 Enum: 2008 Enum: 1990:Apr.-June Enum: ed.11 Chron: (2000) Enum: v.1/2 Chron: (1999/2000) Index Enum: v.10/20 Chron: Index Enum: no.10 Chron: (2004) CD-ROM Enum: Jahrg.1 Chron: (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.1-5 Chron: (2001:febr.16-juli 24) Enum: v.32 Chron: (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

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