POLICY for ADDING SERIALS/PERIODICALS to 5-COLLEGE ANNEX

Recommendations of Five Colleges Meeting, Wednesday, November 18, 2009 (Revised, Dec. 24, 2009) (Annex Revision: June 15 2018)

This is the long-version update to the existing 5-College Depository Policy for adding materials to the Five College Library Annex in Hatfield.

For short cheat-sheet/version RE Repository transfers, see annextransfers.docx NOTE: The Depository request URL listed under 9. Monos/ Serials vs. Periodicals (versus the screen shot under 6.) can be copied and pasted.

For packing slip, see end of this document.

Contents

I. DEP50 bibliographic records
II. DEP50 HOL records
III. DEP50 item records
IV. Depository packing slips

Because the DEP50 is a shared ADM, the policies and procedures for processing materials into this facility may differ from practices at individual institutions. Following are mutually agreed-upon processing standards and procedures (allowing for some deviations from preferred practice).

I. DEP50 bibliographic records: As a separate administrative unit, the 5-College Depository must have its own bib. records for Depository holdings.

a) Duplicate bibliographic records in the Depository: The goal is to have a single DEP50 bib. and a single HOL record with attached items for each title. Procedures are in place for Depository staff to merge holdings onto a single bib., as time allows. Examples of duplicate bib records follow:

  1. Two bib records with matching OCLC numbers.
  2. Two bib records for a title where OCLC numbers do not match. This can occur when there are multiple bibs in OCLC for a given title, or when multiple bibs have been merged by OCLC into a single record & the OCLC numbers for the merged records have been entered in an 019 field;
  3. Two bibs that result from “Successive/Latest” entry cataloging decisions. The Five-College catalogers have agreed that there should be no ‘Latest’ entry records in the catalog. Examples of these will need to be deleted and re-cataloged according to ‘Successive’ entry cataloging rules.

b) OWN code: All DEP50 bib records must contain the following: OWN _ _ |a DP

c) When processing material into DEP50:

  1. If no bib record in DEP50: Duplicate the bib record from our own ADM, and review the cataloging for accuracy. Create items for volumes being transferred and include packing slip with the shipment. Add an HOL record with correct holdings statement in the 866 field.
  2. If bib record exists in DEP50: Review the record for accuracy. Since we do not want to send duplicate volumes to the Depository, we need to determine what items/volumes are missing from DEP50. Create items for any new volumes being transferred (following the coding practices for those items already in DEP50) and include packing slip. Update HOL record as necessary.
  3. If duplicate bibs. exist in DEP50 (most likely FCDPT and UMDPT records which have not yet been merged): Make sure to send no duplicates held by either record. Attach new items to the record that will require the least amount of cleanup work when Depository staff merges the two records. Typically this will mean adding to the record with the greatest number of “valid” items—meaning fewer will have to be transferred. (Since some of these records contain duplicate volumes which need to be deleted and removed from their trays, we should not count these items as “valid.”) If unsure about which record is best for adding new material, call the Depository staff.

d) EAST Commitment: EAST Commitments belong to specific OCLC numbers. If an EAST Commitment statement is present in the UM record of the item being transferred, it must be added to the DP record, if OCLC number is the same. If creating a new DP record, add entire 583 field. If converting a UM record to DP, edit the 583 field to reflect Repository information. Only subfields z and 5 need to be changed. See eastexample.docx This example can be copied and pasted. Report that the item was transferred to the Annex on the EAST Reallocations Spreadsheet

II. DEP50 HOL records:

a) All DEP50 HOL records must contain:

1. OWN code: OWN _ _ |a DP

2.1. 852 field, Depository:

2.2. 852 field, Annex: 

 852 0  |b FCANN 
        |c FCANI
        |h AP2
        |i .A6

Full LC call number (class and cutter). NOTES: When the bib. includes more than one LC call number, or different institutions have assigned different numbers to the same title, it is preferable to retain the call number in the HOL (and items) of the original sending library, when transferring titles not yet held by the Annex, or when adding volumes to titles already present in the Annex. Do not check for call number duplication; different Annex titles are permitted to have the same call number. 

 852 0  |b FCANN
        |c FCANI
        |h AP2

Partial LC call number (class number only). Use when no cutter is available. NOTE: This is perfectly acceptable. 

 852  |b FCANN
      |c FCANI

No LC call number available. NOTE: DO NOT USE numbers from other systems, such as Dewey or Sudocs. Both 852 indicators should be blank.

3. 866 field, for recording holdings information: for all DEP50 serials and periodicals. Monographs typically do not contain an 866 field.

4. URL’s. DEP50 HOL records for periodicals ONLY, will contain the following 856 field: 

856 56 |u http://www.fivecolleges.edu/depository/fcdeparticle.html |z Click here to request article from Five College Depository

Previously existing 856 fields for periodicals should be deleted and replaced with the above information.

HOL records for serials and monographs will not contain this 856 field, as they can be requested using the PDQ (“Get”) function.

Some monographs such as UMass theses and Federal and State government documents have 856 fields that link to electronic full text. These 856 fields should be retained.

5. Affiliate titles: Affiliate collections will have their appropriate collection title added to the 500 field with a $5 MU at the end. The collections are:

We have agreed not to put “history notes” pertaining to individual libraries into DP HOL records, although important linking information may be added into the 500; e.g., “This title is ANA-linked.”

6. Split Holdings FCDPT/FCANN: It is possible institutions will wish to send volumes to the Annex that are already held in the Repository Collection at the Depository and will already have an FCDPT HOL statement. When new items are sent to FCANN, these items will require a separate HOL statement. The HOL statements for both FCDPT and FCANN should be identical so all volumes added to FCANN should be included in the HOL statement for FCDPT and FCANN in the 866 field.

b) HOL Record holdings statement (866) syntax

1. Spacing/capitalization concerns: The preferred practice is not to include a space after enumeration captions. Also we agreed not to capitalize the first letter of enumeration captions, but can live with some capitalization errors. Examples: 

      v.1 (not V.1); no.1 (not No.1); pt.1 (not Pt.1); 
      new ser.:v.1 (not New Ser.:V.1); ser.2:v.1 (not Ser.2:V.1)

2. Enumeration caption concerns: Captions printed on periodical/serial issues should be used as a guideline for creating holding statements (866) for newly-added titles. Any institution adding ‘new’ foreign language periodicals/serials to DEP50 will be able to use foreign language enumeration captions if they desire to do this. Examples of these are: Bd., T., vyp. A more complete list of CONSER ‘Abbreviations for Captions’ can be found at:

https://www.loc.gov/aba/pcc/conser/conserhold/Captabbr.html

With respect to foreign language periodicals/serials, follow the captions already in use when adding new volumes/items for titles already in DEP50, that is, don’t change v.1 to Bd.1 or T.1.

3. Use of Slashes (/) and Dashes (-) in the HOL 866: Slashes are used to indicate journals/journal issues that have been printed/published as combined issues, combined months, or combined years.

Dashes are used in “866 41” field to indicate a range between volumes. They are also typically used to show the manner in which we bound items. The use of dashes in the item “description” field is quite common. See III. DEP50 item records, c) Item List Tab (2) General information (1), 4. Description, below.

Examples:

A periodical beginning with a combined issue no.1 & 2 (1980): 

      866 41 |a no.1/2 (1980)-  NOT: no.1-2 (1980)

Periodical holdings which end with an incomplete volume, i.e., the June issue of a monthly periodical: 

866 41 |a v.1 (1971)-v.20:no.6 (1990:June) OR:
866 41 |a v.1 (1971)-v.20:no.6 (1990)
      NOT: v.1 (1971)-v.20:no.1-6 (1990)

4. Use of double-slash to indicate that holdings include last issue published: Since double-slash is an artificial symbol with a meaning unclear to patrons, it should not be used.

5. 'Gap' method of indicating incomplete holdings: Gaps should be indicated with a comma followed by a space, in a single ‘866 41’ field. (Multiple 866’s make it difficult for Systems people to manipulate holdings data; these should be fixed as encountered. Entering a space after the comma prevents a long holdings statement from running off the edge of the screen. Examples: 

866 41 |a v.16 (1998)-v.18 (2000), v.20 (2002)-v.24 (2006)
       NOT:  866 41 |a v.16 (1998)-v.18 (2000), OR:
       866 41 |a v.20 (2002)-v.24 (2006)

Preferred method: 866 41 |a v.1 (1991)-v.2:no.1 (1992), v.2:no.4 (1992)-v.2:no.5 (1992), v.3 (1993)-v.10 (2000)

Optional method (combining second level enumeration to produce a more concise statement): 866 41 |a v.1 (1991)-v.2:no.1 (1992), v.2:no.4-5 (1992), v.3 (1993)-v.10 (2000)

For complicated holding statements with many incompletes, “(with gaps)” may be used for recording holdings information. Example: 

      866 41 |a v.1 (1991), v.2 (1992)-v.3 (1993) (with gaps), v.4 (1994)-v.8 (1998), 
      v.9 (1999) (with gaps), v.10 (2000)-v.15 (2005)

6. Updated 866 fields and appropriate indicators: Older-style holdings statements indicating incompletes with brackets should be updated to reflect gaps in a format more comprehensible to patrons. Once updated, the indicators of 41 can be added. If time limitations or lack of knowledge prevent full updating, remove the brackets, enter (with gaps) after the incomplete volume, and add indicators of 31.

7. Series/enumeration changes concerns:

Series changes example: 

      866 41 |a v.1 (1961)-v.10 (1970); ser.2:v.1 (1971)-v.10 (1980); ser.3:v.1 (1981)-v.10 (1990)
      NOT: 866 41 |a v.1 (1961)-ser.3:v.10 (1990)

Gaps within a series (NOTE: ser.2 or n.s. etc. does not need to be repeated before each volume.) 

      866 41 |a v.1-v.10; ser.2:v.1-v.3, v.5-v.10; ser.3:v.1-v.10

Enumeration changes example: 

      866 41 |a no.1 (1980)-no.20 (1984); v.5 (1985)-v.10 (1989); 1990-1992

III. DEP50 Item records:

a) Temporary Location box. WILL NOT BE CHECKED for FCANN items.

Items sent to the Bunker (FCDPT) will still require the Temporary Location Box to be checked.

This box MUST still be checked for all FCDPT serial and monograph item records. In the interest of efficiency, the Depository staff prefer to treat all materials the same way, and so are not entering ANY tray number into HOL records. Checking the Temp. Loc. box allows them to record the tray number in the item call number field, by breaking the link to the 852 of the HOL record. If the box is not checked and any edits are made, the tray number will disappear and the location of the corresponding volume will be lost.

b) ITEM LIST Tab 2. General information (1):

  1. Copy Number: Common practice will be to leave blank (but OK if some coded as ‘1’).
  2. Material Type: ISSUE, ISSBD – periodicals and circulating serials; BOOK – monographs

The advantage of using ISSUE or ISSBD is that these two material types give Chron.Level 1 (year) top priority, thus maintaining a correct sort display in OPAC view, through series or enumeration changes.

PERBD is no longer an acceptable Material Type. This Material Type does not sort correctly with ISSUE/ISSBD so is no longer acceptable for items going into FCANN.

3.1. Call No. Type/Call. No. (FCDPT): All FCDPT items need to include 8 (“Other”) in the Call No. Type field. This allows ARC and other data extraction to function correctly. By duplicating items before checking the temp. loc. box, the 8 will automatically be entered (from the HOL), after which the temp. loc. boxes can be checked with an item Global Change. The tray number will be inserted into the Call No. field by Depository staff when processing the item.

3.2. Call No. Type/Call. No.(FCANN): The call numbers will populate FCANN items from the HOL, as the temp. loc. box will not be checked. See II. DEP50 HOL records, 2b. 852 field, Annex (above). Preferred practice will be to leave the items as they appear in the sending library’s records. (NOTE: FCANN does not require data in the call number field to find items, unlike FCDPT.)

All items going into FCANN should have an LC call number in $$h, if available, though $$i is not necessary. If no LC number is available in the bib. or HOL, do not add $$h and $$i, or indicator 0 to the HOL 852. Do not use other call number systems.

4. Description:

Materials new to DEP50: As a general rule, items should be linked according to captions printed on periodical/serial issues. Typically, these will be vol., no. (year) designations. See b) Enumeration caption concerns under b) HOL Record holdings statement (866) syntax, 2. Enumeration caption concerns above: “Any institution adding ‘new’ foreign language periodicals/serials to DEP50 will be able to use foreign language enumeration captions if they desire to do this.”

Volumes which have been bound using an artificial designation, such as pt.1 and pt.2, should be linked according to the captions present on the issues, not the artificial designation on the spine. We recommend that whenever possible, the information on the spine should match the item description, but it will also be acceptable if an individual library lacks the time or resources to alter/add the information on the volumes being sent to DEP50.

In the latter case, when the captions in the item description do not match anything on the spine, e.g. a volume bound as v.40, pt.1 (1953) is linked as v.40, no.1-6 (1953), Depository staff has requested that designation present on the spine (such as “pt.”) be added to the description field in square brackets: 

     v.40, no.1-6 (1953) [pt.1]

This will alert them that the spine will be different from the item description.

Materials already in DEP50: Serial descriptions/enumeration levels already in use should be followed when linking new items, as long as they are reasonably accurate/correct. We will not change v. to the more correct Bd. or T. (for example) for foreign language materials.

Item descriptions already in DEP50 needing clean-up: If there are not too many items requiring changes, we may decide to edit these descriptions at the same time we are adding new items (per library discretion). If there are too many item descriptions to fix/edit, add new items following correct format and send title & OCLC # to Depository staff, so that these can be put on a list for future clean-up. Descriptions needing clean-up include those with artificial designations not present on the actual issues, such as pt.1 and pt.2

Use of dashes (-) versus slashes (/) in the item record. Dashes are generally used in the item description field instead of slashes, in the interest of brevity and saving time while linking. However, libraries may use their discretion. Examples: 

       v.4, no.1-3 (1968), versus v.4, no.1/2-3 (1968)
       1970-89, versus 1970/1971-1988/1989.

Use of parentheses for ‘Year’ information: The use of parentheses is recommended, as it conforms to ANSI standards and is easier for patrons to read. However, if previous items lack parentheses around the year, it is OK to add new items with or without the year information in parentheses. Libraries will use their discretion. Example: v.9 (2000) or v.9 2000

2nd level enumeration concerns: A comma is recommended between 1st and 2nd enumeration values, but can be omitted according to library discretion.

For 2nd level enumeration, number is preferred to month. Example: for a periodical which uses both numbers and months, use: 

      v.1, no.1-2 1952, NOT v.1, Jan-Feb 1952.

In the interest of brevity and as a time-saving measure, it is not necessary to include month information, but a library can do so at their discretion, as long as there is consistency among all items. Example: 

      v.1, no.1-6 (2007:Jan./June) instead of v.1, no.1-6 (2007)

If month information is needed in the description (for example, if the publication only uses months as its 2nd level enumeration) the following abbreviations should be used: Jan., Feb., Mar., Apr., May, June, July, Aug., Sept., Oct., Nov., Dec.

Although it is recommended that a period be used at the end of an abbreviation for month, omitting the periods will be acceptable practice.

Incomplete volumes: When a periodical is bound with missing issues, “Inc” should be added to the end of the item description. Example: 

      v.9 (1990) Inc; v.1-3 (1967-69) Inc.

Information about the actual missing issues will be recorded in the ‘OPAC Note’ field located in Tab.3 General Information (2). (See below.)

Tied journal bundles: Any library sending tied or boxed journal issues must create item records for each physical unit in the tied bundle/box. Each issue will also need to be barcoded. Exception: sturdy phase boxes (containing unbound monthly issues, for example and barcoded as one unit) can be linked as one item. When materials are so flimsy that applying a barcode will damage them, they should be contained in a phase box.

5. Item Status will be assigned as follows: 

     FCANN:   01 (monographs and circulating serials)
              02 (thesis)
              11 (periodicals)
              13 (Affiliate Collections)

d) ITEM LIST Tab 3. General Information (2):

1. OPAC Note: This field will be used to indicate the issues lacking from the volume, according to the following examples: 

     lacks #2; lacks: v.1#2, v.2#1,3.

If what is actually lacking from a volume is unknown, construct the OPAC Note in the following manner: 

     has #1-2, 5-7; has: v.1,#1-3,5, v.2#2-3.

2. Internal Note is used by the contributing libraries to enter box numbers (in which the volumes are packed), along with the library’s OCLC symbol. When Depository staff process the volumes into the 5College Depository, they replace this information with the note: ‘Date into FCD 00/00/00’

e) ITEM LIST Tab 4. Serial Information:

Arrival Date. For Material types ISSUE/ISSBD: A date must be added to this field in order for “Available” to appear under the Due Date column in the OPAC display. If left blank, the Due Date will display “Expected on MO/DY/YEAR.” We recommend using the date for which the items are created as the Arrival Date. For Material type PERBD: Items do not need to be “Arrived.” (See c) ITEM LIST Tab 2. General information (1), 2. Material Type, above):

f) ITEM LIST Tab 5. Serial Level:

Values entered into the ‘Enum. and Chron Levels under this tab influence the way the items sort both in the public and staff displays. ISSUE/ISSBD give precedence to Chron.Level.1 while PERBD gives precedence to Enum.Level.1. For volumes bound as a single unit, fill in Enum. Level.1’ and ‘Chron. Level.1’ tabs as appropriate. For serials enumerated by year only, both Enum. Level.1 and Chron. Level.1 need to be filled in with the year, to allow proper sorting and limiting by volume or year when searching in the OPAC.

For volumes bound in 2 or more physical units, it will also be necessary to fill in Enum.Level.2 (typically with number information). In the case where a publication lacks numbers but is divided by months, enter a numerical value (i.e., 1 for Jan., 1/3 for Jan-Mar, 4 for Apr, etc.) into Enum. Level. 2, to assure that the items sort correctly. It is not necessary to fill-in the Chron. Level.2 (2) tab which typically contains month information, since this tab has no effect on volume sorts.

IV. Repository packing slips

Serials and periodicals require a “Five College Library Repository Item Transfer Packing Slip” but monographs do not. For packing slip, see repository_transfer_packing_slip_110718.docx. NOTE: The only materials that should be sent to the “old” Depository (Bunker/ FCDPT) are replacements for incomplete volumes, after verifying with FCLRC Staff.

###