Serial Processing Checklist for Cataloging New Titles

Background information

These procedures apply to serials issued in paper format. Serials are received by the Serial Support Team in Acquisitions. Upon receipt, SST sends serials issued more than twice a year to the Periodical Reading Room. Upon receipt, SST sends serials issued twice a year, or less, or irregularly, to the appropriate cataloging team as priority cataloging. When a new title sent to PRR is complete, the issues are sent to the appropriate cataloging team as priority cataloging. Issues sent to Cataloging Teams are tracked with an item record, but additional item records may need to be created in Cataloging for binding, and the barcode card associated with the item record is removed if the item is sent directly to stacks from Cataloging.

Processing Checklist:

1. Catalog the new title on Orbis (originally or with copy from the resource file or the network databases.)

1a. If a title change is involved, update the earlier title with a 785 field, etc. When cataloging a combination backrun and ongoing receipt serial with multiple title changes, it is preferable to use the Orbis record with the OPR for the most recent title if at all possible.

2. On the record holdings, make sure the order code is 2 (open) or 3 (complete) as appropriate.

3. From the Orbis record holdings, create an MHLD record and record holdings in it. For more detailed information refer to:

Creating and Editing MARC Holdings Records for Serials in Orbis

Serial MHLD Formatting Guidelines

4. From the Orbis record holdings, open the appropriate OPR record. (Command is dor <opr number>) On the OPR record,

change the receipt lines from R to N.
record binding instructions in field VA (e.g. BIND BY VOL. NO.)
record analysis instructions, if appropriate in field NV (e.g. DO NOT ANALYZE)

See EXAMPLE below.

5. Arrange all issues in order, e.g.

1989:no. 1-4; 1990:no.1-4, etc.

vol.1:no.1-6; vol.2:no.1-6, etc.

6. Decide how you will bind. Aim for thickness of no more than 2.5" or what can comfortably be held by a "weak" hand. If more than one volume can be bound under 2.5", do so, as long as complete volumes are bound.

7. Mark the call number, including the appropriate volume number, on the verso t.p. (or t.p. substitute) of the first issue of each bound volume. For example, if vol. 1 & 2 are bound together, write the call number--with 1-2--on the verso t.p of v. 1 no. 1; do not write the call number on the verso t.p of v. 2, no. 1. For detailed instructions on marking by volume number or date, go to:

Rules for marking by volume number/year

8. Tie each set of issues to be bound together (i.e. if 2 vols. are bound as one, tie these together). Use string; do not use rubber bands.

9. Create an item record for each volume or combined volumes.

Always create your record in volume order, from 1 to x
Remember that the number following citm corresponds to the copy statement and NOT the volume number. If your title is the location on copy statement two and you need item records for 6 volumes, you will use the command citm 2 six times to create six item records for copy statement 002. To avoid confusion, write the volume number coverage in pencil oneach barcode card as you create each item record.
Record volume number in ENUM/CHRON. If more than one volume is bound, use a hyphen: 1-2
Record date coverage in MIDSPINE. If there is overlap, use a hyphen: 1972-73
If the latest date of the bound volume is more than 10 years old, type jour in the loan code field
If the latest date of the bound volume is 10 year or less, type jr <latest year> in the loan code
If the serial is an annual or less frequent, do not enter data in the loan code (there is no chronological restriction on circulation of annuals)
Recheck using the summary command
Charge each "item" to preparations and leave on the binding truck

See EXAMPLES below.

10. In statistics, the number of issues received for processing is recorded under volumes (NOT the number of bibliographic volumes; NOT the number of physical volumes created for binding purposes)

Special Procedures for Incomplete Serial Volumes

If the volume is incomplete, e.g. first issue of a semiannual, special procedures are employed.

1. Catalog the new title on Orbis (originally or with copy from the resource file or the network databases.)

2. On the record holdings, make sure the order code is 2 (open) or 3 (complete) as appropriate.

3. From the Orbis record holdings, create an MHLD record and record holdings for the incomplete volume. Refer to:

Creating and Editing MARC Holdings Records for Serials in Orbis

Serial MHLD Formatting Guidelines

4. From record holdings, open the OPR. (Command is dor <opr number>) On the OPR,

type in note in VA field: SENT TO STACKS; STRING and binding instructions (e.g. BIND BY NO.)
change the receipt lines from R to N.
record analysis instructions, if appropriate in field NV (e.g. DO NOT ANALYZE)

See EXAMPLE below.

5. Write call number in pencil in the bottom left hand corner of the cover; volume numbering should be issue specific. (e.g. vol. 1, no. 1 should be marked 1:1). If the cover is glossy, write the call number on an Avery label and afix to the bottom left hand corner of the cover.

6. Delete any ENUM/CHRON and MIDSPINE data in the item record and discharge the item. Keep the barcode card and relink the item record to another Orbis record. Note that SST will be responsible for retrieving the issue for binding and creating a barcode for the volume when SST receives the issue completing the volume.

7. Leave the issue on the Circulation pick up shelf. Do not send to Preparations. Circulation is responsible for security taping the issue.

EXAMPLES:

OPR

LTYL DONE FMJ0483
ORBIS ACQUISITIONS SVA6
YL SERIALS S/STAT c FREQ u S/T p
Josuga : Jos journal of humanities. Vol. 1, no. 1 (Dec. 1998)- -- Jos, Nigeria
: Faculty of Arts, University of Jos, 1998-
PO : 001FMJ0483 05/11/1999 ORDUNIT: 22 RECUNIT: 22 SCOPE: 2
VENDOR: 69HOG15001 ACTINT: 0120 POP: b L1: as L2: jb
VA: BIND AND MARK BY VOL. NO. SEND TO STACKS STRING

NV:
NO: inv=981717
SOURCE: REF:
DIV 001 CCN 001 NOTE:
MED: PCS:
=>001 2L CN |a sml |b AS633;A1 |c J67;(LC) ITEMS: 1
001 ZN E 0.00 EN 00 M 05/11/1999 A none
FC 00/00 CUR usd AMT 0.00 CN 001 XPM p L3/4 jb
002 N v.1:no.1(1998:Dec.) M 05/26/1999 A none

ITEM RECORDS:

LESS THAN 10 YEARS OLD:

LTYL DONE ABY7119-001-0026
DISPLAY ITEM RECORD SVA6
YL SERIALS OCLC ocm832096 LC 76645621 ISSN 0300-7162 S/STAT c FREQ q S/T p
Diacritics. v. 1- fall 1971- -- Baltimore, Md. <etc.> Johns Hopkins University
Press <etc.>
=>001 STATUS: 2L LOCN: SML, Stacks, LC Classification COPY: 1
CALL: |b PN80 |c +D52 ITEMS: 25
LINKED ITEM SUBRECORD (01 OF 01)
ENUM/CHRON: 27
MIDSPINE: 1997
DEPT LOCATN:
TEMP LOCATN:
ITEM ID: 3 9002 039 127 577 ITEM ID:
LOAN CODE: jr97 (journal - 1997) PIECES: 1
REVIEW: _ CIRCULATION _ CATALOG ACTION: none
STATUS: A (active) CREATED: 07/24/1998
SUB STATUS: A (active) UPDATED: 09/09/1998
CHECK-OUTS: 1 RECALLS & HOLDS: 0 LAST USE: 09/09/1998
BROWSES: 0 VALUE: 0.00
NOTE:

MORE THAN TEN YEARS OLD:

LTYL DONE ABY7119-001-0001
DISPLAY ITEM RECORD SVA6
YL SERIALS OCLC ocm832096 LC 76645621 ISSN 0300-7162 S/STAT c FREQ q S/T p
Diacritics. v. 1- fall 1971- -- Baltimore, Md. <etc.> Johns Hopkins University
Press <etc.>
=>001 STATUS: 2L LOCN: SML, Stacks, LC Classification COPY: 1
CALL: |b PN80 |c +D52 ITEMS: 25
LINKED ITEM SUBRECORD (01 OF 01)
ENUM/CHRON: 1-2
MIDSPINE: 1971-1972
DEPT LOCATN:
TEMP LOCATN:
ITEM ID: 3 9002 001 137 307 ITEM ID:
LOAN CODE: jour (journal loan rules) PIECES: 1
REVIEW: _ CIRCULATION _ CATALOG ACTION: none
STATUS: A (active) CREATED: 06/03/1991
SUB STATUS: A (active) UPDATED: 08/05/1997
CHECK-OUTS: 3 RECALLS & HOLDS: 0 LAST USE: 08/05/1997
BROWSES: 7 VALUE: 0.00
NOTE:

Document: serproc.html created 5/27/99
Corrections and updates to: steven.arakawa@yale.edu
Lasts revision: 5/28/99

	1989:no. 1-4;	1990:no.1-4, etc.
	vol.1:no.1-6;	vol.2:no.1-6, etc.