Serials Training Checklist

Serials Training

Catalog Management Team

Serials Training

Catalog Management Team

Contents

Page

Introduction ………………………………………………………………………………….2

Understanding the Box, Flags, & Statistics….………………...……………………………..4

Overview of Serials Recon …………………………………………………………………..6

Problem Resolution ………………………………………………………………………….8
Searching…………………………………………………………………………………8
Selecting appropriate copy ………………………………………………………………9
Holdings…………………………………………………………………………………11
Miscellaneous Issues/Frequent Problems……………………………………………….13

Quality Assurance …………………………………………………………………………..13

Appendix…………………………………………………………………………………….14

Glossary……………………………………………………………………………………..16

Updated 11/26/03

Introduction

Welcome to the complex and challenging world of serials! After a period of training and practice, you should be able to understand the basics of serial bibliographic records and their attached MFHDs. Here’s a quick definition of a serial: a continuing resource that is issued in a succession of discrete parts, usually bearing numbering and having no predetermined conclusion. Think of journals, newspapers, magazines—all of these are considered serials. Working with serial records can be challenging, especially given the frequent title changes or issuing body changes. Because of these changes we accept two different approaches in cataloging: successive- and latest-entry cataloging. These two approaches are explained more fully below. For now, just realize that with a few important pieces of information you’ll begin to understand the intricacies and complexities of serial records and how they relate to the problem resolution of our Recon project.

Basics of Serials

Before we move onto the finer points of a serial record, you must first grasp some key concepts relating to serials. First, think generally rather than specifically. That is, the serial record should represent the entire publication rather than one particular issue.

Second, there may be multiple bibliographic records to represent a single serial. This is known as successive-entry cataloging; that is, any major change (e.g., some title changes or changes in issuing body in 1xx fields) results in the creation of a new record. These separate records are linked using MARC tags (780/785). We prefer this type of cataloging to latest-entry cataloging which bases the description on the latest issue and uses one record to include all title changes. Earlier titles are represented in the 247 fields on a latest entry record. You can immediately tell if your record is successive- or latest-entry cataloging by checking the “type of entry” field in the 008. If the record is successive-entry, a zero is used; if it is latest-entry, a one is chosen.

Example of Successive-entry cataloging:

Example of Latest-entry cataloging:

Third, there will be MARC tags in the records specific to serials. Linking fields such as 780 and 785 are used to show the relationships between earlier- and later-title records. The 310 and 321 tags show the frequency of a serial. See the Appendix for a full listing of tags used in serial records.

Now that you understand a few basic concepts relating to serials, let’s move on to the specifics. Our goals for you include:

Gaining an understanding of the serials recon process

Learning to search Orbis for existing serial records

Learning to search RLIN and OCLC for serial records to import

Identifying the bibliographic and MFHD records associated with each serial title

Learning and understanding the MARC tags associated with serial records

Understanding the various relationships of serial records through MARC tagging

Understanding the Box, Flags, & Statistics

Your knowledge of problem resolution of monographs will prove to be a solid foundation on which to build. However, many things about the problem resolution of serials cards will be different starting from which boxes to sign out, understanding the serials flags, and keeping serials statistics.

Serials boxes are shelved separately from the Official boxes. Sign boxes out using the serials binder.
Each box is divided into two sections with the sections being separated by a colored index card and a green piece of paper with the word “extension” on it. Cards at the front of the box were processed/converted by the vendor. The remainder of the box is known as the extension. It consists primarily of added-entry cards, guide cards, and the like. The vendor occasionally flagged cards in the extension with Skip flags some of which are RLIN cards (assumed to be converted already) and some are JACKPHY/non-roman.

Be sure to count these skip cards according to location and include them on the statistics sheet under “Flags in Extension Box.”

For every skip flag, file the card in the appropriate box to check holdings at one of the departmental libraries.

If it is a JACKPHY card and it has not been converted then photocopy the card.

There are certain situations where OCLC did not convert the card and the flag/problem simply cannot be resolved at this time. For example, cards with a non-roman script must be converted by someone who can read the language. The following situations require you to photocopy the card(s). Create one folder for each of the situations and file the photocopies in the appropriate folders for future resolution.

Analytics to be converted (those that are not stamped “analyzed” and have complete title and author information)
Delta call number ()

Film—no statement card

JACKPHY/Non-roman

No location/No call number

No Statement card and not on shelf (NOS)

Philosophy library (unconverted)
Statement card only, not converted (some of these cards can be converted if enough information is provided)

Undocumented/unresolved locations

Microfilm N class no. (Film N1307)
Doc. Rm.
Microprint 8 (1, 4, 7, 12, 13, 15)
Uncat. File
Serials Division—Catalog Department

War Collection

Cards in the extension section were skipped by OCLC. Additionally, there are cards in the front of the box that have not been converted by OCLC. They normally include:

Added entry cards

Card is too brief and marked “GPF”

Card marked “1966—Discard per CFL”

Card representing record withdrawn in ORBIS

Card stamped “Beinecke Library transfer”

Dashed-on (e.g., Bd4.10/33 -- --[Biographical pamphlets, v.33])

Gift card/temp slip

Card marked “card for pam. File”

Locations. For the Serials Catalog, cards are flagged according to location (rather than the problem). For example, blue is SML and green is SCIENCE. But some of the flags are the same as the flags used with monographs—e.g., lavender is “not converted.”
No statement cards.

As you process the cards for locations other than SML, you will remove those that do not have holdings in Orbis and do not have a statement card in the box. File these according to the location (e.g., sslegc or fes) in boxes at your desk.

If there is no accompanying statement card for materials shelved in Sterling, check the public catalog downstairs for a statement card. If you are still unable to locate a statement card, check the shelf. If you cannot determine the holdings by checking the shelf, photocopy the card and file it in the folder labeled “No statement card.”

Cards for the American Oriental Society and Babylonian Collection generally do not have an accompanying statement card. Do not bother checking the public catalog downstairs. Simply photocopy the card and file it in the folder labeled “No statement card.”

The Flags

The SCIENCE and SOCIAL SCIENCE flags usually indicate that the record in Voyager does not have holdings (866 in the MFHD). Statement cards for these locations were not included in the Serial catalog; instead, they are at the individual department libraries. Pull these cards out of the box and file in the appropriate box for later holdings conversion. Projects to locate the holdings for KSL and SSL are already underway.

For SML locations there are a number of issues such as Verify copy holdings, verify volume holdings, relink a provisional, etc. (see Problem Resolution Instructions on our team page for more information:

Keeping Statistics (see the definitions sheet)

Count the number of flags located in the front of your box and record that number on the statistics sheet. Do this for SML, SOC, SCI, and OTHER locations. Do this also for the extension portion of your box. Note that these four categories (SML, SOC, SCI, and OTHER) each include multiple locations – for example, SCI includes Kline, Geology, Engineering, etc.

As you complete a box, be sure to tally that on your statistics sheet.

Tally all unresolved flags that are photocopied.

Your trainer or reviser will more thoroughly review with you the statistics-keeping process.

Overview of the Serials Recon project

Retrospective conversion is typically accomplished by one or a combination of two basic methods: matching and extracting machine-readable records from a resource file or keying records directly into a database. Both of these can be performed locally by library staff or contracted to one of several vendors specializing in such work. At Yale, though we contracted with OCLC for as much of the retrospective conversion process as possible, there is considerable in-house effort. The retrospective conversion process is best described as consisting of five separate phases of activity: 1) preparation of project specifications, 2) pilot conversion and testing, 3) production conversion, 4) database loads, and 5) quality control and problem resolution.

Once the project specifications were submitted, our cards were sent, and the pilot conversion and testing were complete, OCLC began actual conversion of our card catalogs. Conversion was accomplished by (1) adding a copy statement to an existing bibliographic record in Orbis (2) modifying a record existing in the vendor's resource file or (3) creating a new record based upon the cataloging information on the card in hand. The records produced by OCLC were loaded into Orbis on a twice monthly basis.

The fifth and final phase of the project is known as problem resolution. We are currently working in this phase. CMT staff members perform a variety ofquality control and problem resolution activities to (1) ensure that the records are in compliance with local and national standards as well as with vendor and other contractual requirements and (2) address problems that are specifically "flagged" for our attention by the vendor as well as those that are inevitable in a retrospective conversion undertaking that is as complex as ours. A given project is considered "done" only when this final phase of activity has been completed.

The serials recon project has been especially complex given the changing nature of serials and the general complexity of Yale’s holdings. In accordance with our project specifications, OCLC provided us with serial records for our existing titles. As previously mentioned, our retrospective conversion policy was designed to accommodate both successive- and latest-entry cataloging. Successive-entry records are generally preferable. Successive-entry cataloging is required, however, only when all the records that are necessary to accommodate Yale’s holdings already exist and those records will accommodate Yale’s holdings without any gaps. In other words, if the requisite successive-entry records are not readily available, latest-entry cataloging records become appropriate and acceptable.

If successive-entry records for all of the titles held by Yale are present in WorldCat, and those records accommodated Yale’s holdings without any gaps in coverage (i.e., there are holdings associated with each successive-entry record), OCLC claimed the successive-entry records for Yale, even if a latest-entry record was also in WorldCat.

If successive-entry records for some but not all of the titles held by Yale are present in WorldCat, OCLC created a latest-entry record based upon the information on Yale’s card. OCLC did not create successive-entry records for the titles not already represented in WorldCat.

If the only record in WorldCat is a latest-entry record, and that record accommodated Yale’s holdings, OCLC claimed the record for Yale. OCLC did not create successive-entry records based solely upon the information on Yale’s card.

A given serial may have multiple bibliographic records to represent it. Therefore, the following points will be helpful in piecing together separate records:

Be sure to check the fixed fields of your serial records, especially publication status, Date 1, and Date 2. These can provide immediate assistance to you as you piece the records together.

Publication status / c=currently published
d=publication ceased
u=status unknown

Date 1

/ Starting Date
If 1981/1982, e.g., then Date 1 is the latest date (e.g., 1982)
u may be used if dates are unknown—e.g., 19uu or uuuu

Date 2

/ Ending Date
9999 is used here if the serial is current
u may be used if dates are unknown—e.g., 19uu or uuuu

Become familiar with the variable tags frequently used in Serial records some of which include:

246 / Varying form of title (used for other forms of the title and for minor changes on subsequent issues)
247 / Former title (used in latest entry records)
310 / Current publication frequency
321 / Former publication frequency
362 / Dates of publication and/or volume designation
500 / DBO (description based on) note
515 / Numbering peculiarities
550 / Issuing bodies note (used for changes of issuing body on subsequent issues and other notes relating to corporate bodies)
580 / Linking entry complexity note. Used to express complex relationships which cannot be accurately generated with the display constants associated with linking entry fields. The note is free text and is most often used when a serial splits into two or more titles, or is the result of two or more combined titles.
710 / Added entry—corporate body (frequently used for issuing bodies)
780 / Preceding entry ("Former title")
Citation for the serial immediately preceding the title being cataloged.
785 / Succeeding title ("Continued by")
Citation for the serial immediately following the title being cataloged.

Check any 78X fields to place the records in order and discover if there are any missing records. The |w subfield within the 78X fields is especially helpful—it contains the lccn and/or oclc number for the record.

Problem Resolution

A.Searching

When processing any flag you should always search to see if there is a record already in Orbis. It is best to perform this search even if the vendor’s flag indicates there is not an existing record in our database. Of course, there will be times when there is no record. In that case you will use OCLC or RLIN to locate a record and import it to our database. The tips below discuss searching ORBIS and these two utilities.

Orbis

It is often best to search Orbis by call number and title or name. This sometimes catches provisional records, call number mistakes, etc.
Avoid searching very generic titles or names—Orbis will search and search and then give you 10,000 results. Not very helpful!

Bibliographic Utilities

Check OCLC and/or RLIN if a record has not yet been imported.
Searching in OCLC

Begin with the sca ti search if the title is fairly specific.

Example:

Title: Eureka: a record of mechanism, inventions, patents, science and news

Search string should be sca ti eureka a record of mechanism inventions

(it is not necessary to input the full title)

Also try OCLC’s author/title search (and other similar searches) for more generic titles. This search requires the first 4 letters of the author and the first 4 letters of the title separated by a comma.

Example:

Corporate author: Eureka pipe line company.

Title: Balance sheet.

Search string would be eure,bala

Frequently used keys and qualifiers

F11 / Functions as the “enter” button
F4 / Move to the next page of a record
F5 / Move back one page in a record
F9 / Move to the next record in the list
gob / Go back
/ser / Qualifier placed at the end of the search string to limit search to serial records

Click the disconnect button to logoff of OCLC

For more OCLC (Passport) search tips go to

Searching in RLIN

Be sure to select the serials file before you search (type sel fil ser)

Some serials titles may be difficult to search in RLIN because they are too generic—e.g., Bulletin. So try searching using the corporate name command. Example:

Corporate author: International Seminar for Diplomats

Title: Proceedings.

Search string should be fin cp international seminar for diplomats

Commands may also be combined.

Example:

Corporate author: International Seminar for Diplomats

Title: Proceedings.

Search string should be fin cp international seminar for diplomats and tp proceedings

Frequently used keys and commands

fin tp / Search command used to search a title
fin cp / Search command used to search a corporate/conference name
# / Used to truncate the search string
“” / Put quotation marks around phrases that contain and, or, not
fin lccn / Search by lccn number
fin issn / Search by issn

Type “logoff” and press enter to exit RLIN