SERIAL BARCODING PROCEDURES

Prior to the year 2000, Bobst Library never barcoded the individual volumes of serial titles within its collections, with the exception of the few hundred "Circulating Serial" titles. However, during discussions which began in 1998 with the Strategic Planning Implementation Team – Serials, it was determined advisable for a number of reasons (O:\serials\spitsfinal.wpd). Chief among these was Inventory Control, not Circulation. There is no intent to allow Serials within Bobst Library to circulate with the sole exception of those titles appearing on the "Circulating Serials" list approved by Selectors.

Other projects which depend upon item-level holdings for serials include: 1) adding holdings and Locations for agencies with only MARC21 866 field ("Library has") information; 2) revising holdings information for agencies which have incorrectly added them through the Edit holdings process; and, 3) adding volumes designated for Off-site Storage which require a barcode linking the Piece to a bibliographic record within BobCat.

ADVANCE permissions required to update/add holdings:

Serials permission : 072

Cataloging permissions: 069, 070, 078, 106, 10%

For inquiries concerning necessary permissions, contact:


For Serials and Holdings permissions: Head of Acquisitions (currently Linda Lerman: lpl1@nyu.edu )

For Cataloging permissions: Head of Authorities & Maintenance (currently Susan Hayes: susan.hayes@nyu.edu)

1. Retrieve the serial bibliographic record representing the volume(s) in hand, after first handling any related CIRC-ON-THE-FLY ALL-CAPS records (A PROCEDURAL DOCUMENT FOR THIS PROCESS IS BEING WRITTEN. WHEN COMPLETED, THE DOCUMENT WILL BE CITED HERE ALONG WITH A URL LINK.)
   
   
2. Compare the MARC21 866 field ("Library has") in the bibliographic record with the corresponding Location's holdings you have either in hand, or in the form of a printout with duplicate barcodes attached.
   
   
   If there are differences, make note of them in the 866 field, being certain to update the date subfield (866$e) in the form: YYMM.
   (It is important to realize the difference when recording the holdings of a serial title on the shelf, between a volume which may be in use, and a volume which is missing. It is also important to remember that when recording holdings, some recent volumes may be at the Bindery.)
   
   
3. After checking/correcting the 866 field, go to Holdings.
   
   Make certain the holdings attached to the serial record are indeed Multi-part/Serial holdings. With the upgrade to ADVANCE 6.8 in 1999, many serial titles without copy sets migrated as Single-part holdings.
   
   If the attached holdings are Single-part, convert them to Multi-part/Serial holdings (A PROCEDURAL DOCUMENT FOR THIS PROCESS IS BEING WRITTEN. WHEN COMPLETED, THE DOCUMENT WILL BE CITED HERE ALONG WITH A URL LINK.)
   
   
4. First go to Locations to be certain there are no duplicate or unnecessary Locations for the title. Delete all duplicate Locations which have only "???" Pieces/Parts attached. In some cases, it may be necessary to delete the ??? Part(s) from Locations with valid Pieces/Parts. To determine this, select a Location from the Location copy summary screen. At the Location copy detail screen, select Pieces/Parts. The Pieces/Parts summary screen will list all Parts attached to this Location. If any display as "???," delete them.
   
   *** THE EXCEPTION TO THIS RULE IS PARSONS!!! If you find any ??? Parts attached to a PARSONS Location, forward a printout of the screen to the Parsons Head of Bibliographic Control (currently Linda Marchand: marchanl@newschool.edu)
   
   It is important to verify that for each MARC21 866 field Location listed in your bibliographic record, there should also be a separate holdings Location.
   
   Also, add a Retention policy in line 8, and a Physical format in line 16 for ALL Locations. The default Retention policy is "8" which represents Permanently retained. Unless you have evidence to the contrary, presume all materials will be Permanently retained. Where necessary, use other values as outlined in Section 5.4.5 of ANSI/NISO Z39.71-1999 (p. 22).
   
   The Physical format (Line 16) of your Location copy detail screen, represents the first two bytes of the MARC21 007 Holdings field. For print materials, the most common values will be "ta." If you are working with any format other than print, enter "??" in this field to scroll through the available options.
   
   After performing all necessary cleanup, file the revised Location.
   
   
5. Establish and/or clean up Type of holdings and Publication Patterns:
   Go to Type of holdings. It is VERY important to remember that just as there should NEVER be a duplicated Publication pattern, there should NEVER be duplicate Types of holdings. If there are, and Pieces/Parts are distributed between them, holdings will not display correctly.
   
   Retrieve Type of holdings:
   
   If there are ANY duplicated Types of holdings, and you are unfamiliar with the necessary revisions, report the title to your supervisor for clean-up.
   
   If there is an existing Type of holdings with the currently used label for the format in which you are working (e.g., Issues, Volumes, Microfiche, etc.), proceed to Step 6 below. (For a list of the most commonly used Types of holdings, see the list at the end of this document.)
   
   If there are existing Types of holdings with the GEAC ADVANCE default labels "ISS" or "Bound PIECES," AND there are Parts attached, revise the Type of holdings label to either "Issues" or "Volumes" accordingly. For detailed procedures, see:
   http://www.nyu.edu/library/bobst/research/tsd/acq/seriscript.htm, scroll down to Section A, no. 6.
   For currently received titles issued more than once per year, NYU Libraries will continue to label bound pieces as "Issues" rather than "Volumes." This is to ensure clear full MARC holdings displays. There will almost NEVER be both an "Issues" and a "Volumes" Type of holdings on the same record simultaneously, as holdings attached to such a record will not display properly. If you encounter one, report the title to the Serials Cataloger (currently Everett Allgood) or the Senior Serials Supervisor (currently Linda Barone) in Acquisitions.
   
   For dead or cancelled titles, annuals and titles published less frequently than once per year (e.g., biennials, etc.), NYU Libraries will use the label "Volumes" in Type of holdings.
   
   If there is a valid existing Type of holdings for the format you have in hand, proceed to Step 6 below. (For a list of the most commonly used Types of holdings, see the list at the end of this document.)
   
   If there is NOT an existing Type of holdings for the format you have in hand, create one:
   
   
   at Type of holdings Summary, select Add item
   
   your cursor will be in the Description field, type "Volumes" (or applicable label for format in hand – see list at the end of this document for commonly-used labels. If the format you have in hand is not on this list, consult the Serials Cataloger or the Senior Serials Supervisor in Acquisitions).
   
   enter through the remaining fields and File
   
   
   If there are existing Types of holdings labelled "ISS" or "Bound PIECES" with NO attached Parts, delete them.
   
   WARNING!! BEFORE LEAVING TYPE OF HOLDINGS, MAKE CERTAIN THERE ARE NO DUPLICATES!!
   
   Go to Pub. Pattern Display. Again, just as there should NEVER be duplicated Types of Holdings,there should NEVER be duplicated Publication patterns. The only exception is when one Publication Pattern is attached to more than one Type of Holdings. This will display clearly from the Publication Pattern Summary screen.
   
   If there are ANY duplicated Publication Patterns, and you are unfamiliar with the necessary revisions, report the title to your supervisor for clean-up.
   
   If there is an accurate Publication Pattern set up for the Type of Holdings you have in hand, proceed to Step 6 below.
   
   If there is an accurate Publication Pattern established, but it is for a different Type of Holdings, you will need to add a new one for the Type of Holdings you are working with.
   
   In the Type of holdings procedure above, you set up the Type of holdings you have in hand, so when you select Add item from the Publication Pattern Summary screen, you will retrieve the Type of Holdings Summary screen from which you may select the proper Type of Holdings.
   
   Once you select the proper Type of Holdings, set up your Publication Pattern to the highest level necessary in terms of Enumeration and Chronology levels. It is VERY important to remember to go to the Second screen and change the value in Line 6 "Caption evaluation" to "3." This tells the system that for this Publication Pattern there may be Parts attached which do NOT have all levels of Enumeration/Chronology present. This will allow us to attach bound volumes to the pattern WITHOUT having to establish Parts for EACH of the issues bound into that volume
   
   From the Second screen, Accept which takes you back to the first screen of the Publication Pattern Detail screen, and File. If prompted with the ADVANCE query: "Will this Publication Pattern be used for predictions?," answer "Yes."
   
   
6. Go to Serial copy display:
   1. If Serial copy set summaries exist, select the Location you are working with:
      From Serial copy set detail, select Binding list. A complete list of the Parts received for this Location through Acquisitions will display.
      
      For all bound volumes which appear on the Binding list, barcodes will be inserted from here. First the Parts of each volume must be updated to allow for barcoding. (For a more detailed description of this procedure, from the Serials Module, see: http://www.nyu.edu/library/bobst/research/tsd/bindery_finaldraft.htm)
      
      Select Update from the Binding list display and select the Part(s) you want to barcode. You may update as many Parts as you want simultaneously. When "returning" Parts "from the Bindery though," you MUST only return THOSE WHICH ARE BOUND TOGETHER.
      
      The system will then prompt for a barcode.
      
      Wand in or enter barcode for the bound volume at prompt. The system will return you to the previous screen (Serial Copy Set Detail). If you have other volumes to barcode, select Binding List and repeat the process for as many volumes as necessary.
      
      After completing the barcoding of volumes from the Binding List, it will be necessary to go to Pieces in order to update the Status of these newly barcoded volumes. The correct Status of these items will be "Available."
      
      If you have additional bound volumes not listed in the Binding list, the easiest place to enter them will be in the steps outlined below.
      
      
   2. If no Serial copy set summaries exist, exit from Serial copy display, and enter barcoded items from Pieces:
      
      
      Select Add item, and wand in the barcode for the volume in hand. You have already revised the data in your Location record, so the information in the "Current Location" line should be correct.
      
      Enter (or Return-key) down to Line 4 (Volume/Part), and type "??" from the succeeding screen, select Link.
      
      Select Insert at line and input the line number above which you want the Part to appear.
      
      At Type of holdings enter ?? to retrieve the correct type, if necessary.
      
      At Line 2 (Publication pattern), enter ?? to retrieve the correct pattern, if necessary. At Line 3 (Enum/Chron.), enter either one or both depending upon the Piece in hand.
      
      At the Linked parts screen, Accept – this enters the new "Enumeration/Chronology" into Line 4 (Volume/Part#) line of the Pieces detail – multipart screen.
      
      Enter (or Return-key) down and enter a Circ. Code – this will typically be "BSER."
      
      Enter (or Return-key) through the remaining fields and File the new Piece record.
      
      
   3. In some cases it may be necessary to change the "Status" of your Piece(s). The correct "Status" for these pieces when seen from the OPAC should read "Available."
      
      
   4. For incomplete volumes (e.g., bound volumes with missing issues), NYU Libraries will NOT build additional, more detailed Publication patterns. Instead enter the volume as though it were complete. Make note of the missing issue(s) in Line 10 (Public note) of the Pieces detail – Multipart screen (e.g., Library's copy lacks no. 2 & no. 5). This way, the information is immediately apparent to users from the OPAC, AND if we ever find a replacement issue, we will simply remove the note rather than create a new Part.
      
      
   (The New York University Libraries Technical Services Division acknowledges this practice for incomplete volumes is a conscious deviation from ANSI/NISO Z39.71- 1999 "Holdings statements for bibliographic items).
   
   
   Types of holdings captions :
   
   As of this writing, the most commonly-used Type of holdings captions for NYU Libraries consist of :
   
   Issues
   Volumes
   Indexes
   Supplements
   Microfilm
   Microfiche
   Computer optical discs
   Videocassettes
   
   
   If you are routinely checking-in serials in any formats other than the above, please report them to the Serials Cataloger at New York University Libraries so this list may be updated.