- Email: [email protected]
Centralized serials processing in an automated environment
I
|11
I
There is a recent trend towards the decentralization of serials processing. Perhaps administrators are anxious to disband their serials department in order to give their serials librarians a change after spending extended periods handling only serial items. Although it is true that problematic items are found in the handling of monographs, problems are more the norm than the exception in serials work. Interaction with these materials day after day is enough to drive even the most even-tempered librarian to distraction. Serials and monographs are not the same and cannot be treated in the same way. Serials present special problems due to their nature. Because of these problems, library personnel handling serials need a special expertise which can only come after a great deal of exposure to the materials and proper training by other serials experts. In an article on this subject, William Potter quotes J. Harris Gable who said "the push for separate serials departments grew from a recognition of the importance of serials and in reaction to the confirmed neglect of serials at the hands of administrators who never performed serials work."l A reverting to decentralized processing of serials will produce a recurrence of this neglect. In most libraries, problems tend to go into the backlog, whether it be acquisitions, cataloging, or elsewhere. Since serials tend to be problems, in a decentralized organization they will not receive the attention they need.
Order/Payment Function The acquisition and payment function for serials differs from that for monographs. First of all there is the continuing nature of serials. One must have a record-keeping system which can keep track of the orders placed and payments made even after the item is received, since it will continue to be received and paid. Some acquisitions systems, such as BATAB, have no provision for keeping track of on-going payments. Also, items are expected to purge from the system when received. Again, not a desirable thing for serials. So, serials department personnel, at the University of New Mexico, working daily with serials, BATAB and the university computer center personnel, developed procedures to manipulate the system so that it works for serials. These items are given special vendor numbers which have been programmed not to purge and a payment line was added after the title line. This payment line must be corn-
II
Centralized Serials Processing in an Automated Environment by Diane Stine
Has the move to integrate serials processing overlooked some of the fundamental differences between these two procedures? Automation of processing tasks creates particular problems in an integrated setting, which are examined in this article.
pletely re-entered each time a payment is made (Appendix 1). The BATAB system also does not allow for the problem of memberships where one payment may cover several serial titles. The serials acquisitions staff developed a procedure whereby they put a dummy entry into the system for each membership and post payment to it. Under the entries for the journals received on the membership they simply insert a note "received on x membership" (Appendix 2). When this article was completed, Stine was head of the serials cataloging team at the University of New Mexico Library. She is now technical services librarian for the American Hospital Association.
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When we spoke with our AMIGOS representative about the possibility o f using the OCLC acquisitions system for serials, he said we would not be allowed to put such a d u m m y entry onto OCLC for payment purposes. He did not have any idea as to h o w memberships could be handled. Without the expertise o f serials specialists these systems haven't been adequately designed for processing serial items. The ordering o f an item begins with its identification. Usually a b o o k has an author and a title and can be identified fairly easily. If it is in print the library orders it from their particular vendor for that type o f material. If it is out o f print, the bibliographer or faculty member placing the order has probably found it in a catalog, so the library orders it from the dealer issuing the catalog. If all else fails, interlibrary loan can procure the b o o k for a patron. The identification of a serial is more complicated. A serial can be k n o w n b y any number o f names. Its title can change, and the cover title might not be the same as the title page, spine or running title. The publisher might not be using the same rules for entry as the librarian ordering it. Finding a vendor for a serial can also be difficult. I recently dealt with a very angry professor who couldn't understand why we hadn't begun to receive our subscription to Vertebrata Palasiatica. We had contacted two vendors and tried to receive it on exchange and still hadn't begun to receive the item (Appendix 3). Interlibrary loan is obviously not a viable alternative to a journal subscription.
Check-in/Claiming Function Once a monograph is identified, ordered and received, the acquisitions function is complete and it is no longer necessary to keep a record of it. For serials however, a system must be set up to handle the ongoing receipt and p a y m e n t o f the item, and procedure must be set up for claiming items which are not received. Some items are so irregular that it is impossible to set a specific time period for automatic claiming, making it difficult to integrate such items into an online check-in system. A library needs people who have developed an expertise b y handling serials to work out these problems. Then there are the supplements which appear. It must be determined if they are part o f the original order or if the library will be billed separately before the item can be accessioned. Sometimes an item which is indeed part o f a serial subscription, such as a monograph in a series or an annual conference proceeding, will arrive in the library with its own author and/or title on the piece but no series or conference title. As a result it is not recognized as being part o f the subscription. Then that number is claimed. The publisher says it was sent. Various exchanges of letters ensue. A trained serials expert, however, is used
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to playing private detective and is prepared to deal with such problems.
Cataloging Function When a monograph is cataloged, even the most difficult item requires only one record and needs to be handled only once. A serial, on the other hand, can start out as one title and lead to a myriad of related titles. In an environment such as ours where we are preparing for an online catalog and an online circulation system, we are cataloging all items on OCLC. When we catalog a serial we convert all related titles which the library owns into machinereadable form. The current record-holder is a new title, which when searched led to 26 related titles. A retrospective conversion project handling monographs is fairly straightforward. Most libraries work through their shelflist searching titles on OCLC (or other database), and update records which have matching titles. Since the entries, for the most part, have been converted to AACR2 form on OCLC, the library then essentially has the basis for an AACR2 online catalog. Converting serials is much more complicated. Note the shelflist for a serial in our library cataloged when the rule for serials was to catalog an item under its latest entry (Appendix 4). When searching OCLC for this title, y o u find a pre-AACR2 latest entry record and records under the various title changes. A person doing retrospective conversion could not tell from the card which record or records to update because he or she wouldn't k n o w the holdings of our library, that is, wouldn't know if we only had the latest title or one o f the earlier titles or all of the titles. So, the person would have to check the shelf to determine which titles were actually held. Also, the cataloger would have to understand the principles o f latest and successive entry cataloging. A policy decision would have to be made b y the library either to choose the record which matched the shelflist or to change to successive entry. The OCLC conversion of name headings to AACR2 form is a good example of a global change which converts monographic records to conform to the new cataloging rules. However, it doesn't do much for the conversion o f serials cataloged under earlier rules. One cannot globally change latest entry records to successive entry cataloging. For choice o f main entry, A A C R 2 treats all materials alike. 2 Because o f this rule, serials with titles like monograph, bulletin, report can be entered under title when the title meets the conditions of the rule. Since monographic items usually do not have non-distinct titles such as these they do not present such a problem. To use the AACR2 rule in cataloging serials, the Library o f Congress issued the document
APPENDIX 1 BOOK HISTORY REPORT UNM ZIMMERMAN LIBRARY TITLE AUTHOR IDENTIFYING CHARACTERISTICS
L VEN E DOR V NO
SERIALS MAAC FORMAT, ADDENDUM 1 U.S. LIBRARY OF CONGRESS MARC DEVELOPMENT OFFICE GPO
A 5325
SERIALS REVIEW 1975-81, IQ82 *Mt'H
R 7795
SERIALS UPDAflNG SERVICE ANNUAL ITS MONTHLY NEWSLETTER SENT I:REE (BY EAXONI: CHECKED IN SEP 1974-1979, V.7 (19801 DISCONTINUED W/VOL. 7, 11/17/81. *BW
S 6000
DATE 10--05-82 PAGE 8088
CALLNO (LINE 11 DATEOF FUND LIST NET BOOK LC CARD (LINE 2) LAST NO. PRICE PRICE NUMBER ORDER 10313
REF
PN4832847 PER
03152
LIBT
Z694184
06020
LIB-I" 20.00
SER
STA
A09901584REC
30.00 30.00
B01021498PRO
BOI009706PRO
APPENDIX 2 BOOK HISqORY REPORT UNM ZIMMERMAN LIBRARY
DATE 06-91-82 PAGE 5056
M 6000 *
10121 HIST
MEMBERSHIP AMERICAN LIBRARY ASSOCIA] ION CONTINUED PUBLIC LIB. FRUSTEE: PUBLI( LIBRARIES: J. OF LIB. AUTOMATION *GIVk ANNUAL INVOIC[ TO SER LIBRARIAN TO FILLOUT S FORM* RQ: TOP OF T i l t NEWS *MEtl
M 6051 *
08139 LIBT
MI~MBERSHIP AM[ RI(AN LIBRARY ASSOCIATION. 1975ALA tIANDBK OE OR(;:ALA Mt MBER DIR: COLLEGE & RES. LIBS:LAI) NEWS 1974 79. 198t. 1982 INCLUS:ALSC NEWSLE F:NOTES ] O A[.Gt NON: INTERFACE:AM. LIBRARIES:COLLEGE & RES LIBS NEWS:LIB RESOURCE & TECH SVCS: SCH MEDIA Q * M i l l MV03960000
M6051 *
12211 LIBT
MEMBERSHIP AMERICAN JEWISfl HISTORI('AL SOCIETY INCLS: AMER JEWISH HIST/ITS REPORT/& INVITATION ANN MTG AMERICAN JEWISII HISTORICAL SOCIE IY
20.00 20.00
B01143097PRO
9/78--8/82,9/82-8/83 *DP B01132079
850.00 850,00
B01006146PRO
APPENDIX 3 BOOK HISTORY REPORT UNM ZIMMERMAN LIBRARY
DATE 10--05--82 PAGE 9299
VERSUCHUN(;EN; AUFSATZE ZUR PHILOSOPHIE PAUL FEYERABENDS, BD. ], HRSG. YON HANS PETER DUERR. SUHRKAMP/INSEL BOSTON, 1980 DATE PUB--80
N 1372
07061
10.40
NI5861731CAN
VERTEBRATA PALASIATICA, CURRENT ISSUE & CONT.- .... SliE CORRES. DO NOT PAY UNTIL CLEARED TH ROUGII EXCHANGE CHENG AND TSUI, 25 W. ST., BOSTON, MASS. 02111 *ER/FO
P 8884
06212 ANTII
30.00
B01235412
VERTEBRATA PALASIATICA, 1980 & CONT AS I;SSUED CANCELLED PER C.D., VENDOR NEVER RESPONDED TO CLAIM. TRYING TO ACQUIRE THRU EXCHANGE (SEE CORRES.) 1/9/82 SCIENCE PRESS OF PEKING *ER/FO
P 6001
09090ANTH
30.00
B01170779CAN
VERTEBRATA PALASIATICA, 1980-- AND CONT. AS ISSUED CANCELLED, VENDOR CAN'T SUPPLY, REORDERED THRU BL(6001) 9/80 SCIENCE PRESS OF PEKING *ER/FO
P 6135
03310 ANTH
30.00
BO1154846
SERIALS REVIEW
FALL 1983
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APPENDIX
Per. TD 5A
4
~a~er PolluCion Control FederaClon. Journal _ ~a~er Polluelon Control v.lOct. 1928-
[Lancaster, v.
tlhs.
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PI., eCc.] 24-26cm.
Title varies: 1928-49, Se~,age ~ , k s 1950-59, Sewage a n d i n d u s t r i a l vasEes,
I. Title: Sewage a n d
Sex'a~e v,o r ~ s j o u r n a l . industrial ~.a~es.
II.
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© Record I ~CREEH l o f 2 )NO HOLUINGS IN lOU FUN H O L D I N G S EN'rER OH D~PRLSS D I S P L A Y REED ~ - H D OELE: ~333~15 ~EC S T A T : H E H T R D ; ~ 0 0 5 1 9 USEB: ~E@SZb )TYPE: A BIB LVL: S ~OVT P U B : L A H G : EHG SOORCE: S / L EHT: I REPR: EHC LVL: [ ~ONF PUB i 0 ETRY: PRU SER TP-: P. RL.PHHBT: A ] H D X : U HOD REC: PHVS RED: EOHT.: PREOUH~ Z VU8 S T : C ~ESC: CUR [ H D : U T I T L PRG: U | S U ~ : REGULR: X DATES: 1 9 Z ~ - - 9 9 9 9 1 010 ~ 040 DLU @C TXB L~ 0 5 0 1D511 ~B 54 b 090 e ~ 0¢9 • / 110 • ~ E4b ~10 P 11 PI~ 13
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~B I~UU WATER ~ O L L U T I O H CONTROL F E D E R A T I O N JOURHAL. SEWAGE W~RKS 3 0 U R N A L ~F 1 9 Z U - 4 9 ~EWRGE AHD IHDUSTRIRL MRSTE5 +F 1 9 ~ B - b ~ LLRHCASTER, P A , , E I C . J V. IH ~B I L L U S . , ~IRGRS. ~C E ¢ - Z 5 CN. FREQ-UENC? VARIES V. I OCT. ~ . ~
~CRE-EH Z OF. Z )15 ~1~ B E G I H H I H G I H I E~x~l~, THE MARCH HUHBER OF EVEH HUNBERED YEARS I S ISSUED I H ~ P T S . , PT ;a CALLED WIJCI--YE.RI@BO01(~ HAD [ ] [ ' R E C T O R Y . )11~ 5 ~ 1 I S S U E D BY THE F E D E R A T I O N UNDER I T S E A R L I E R HARES: 1 ~ E ( - 4 9 , F E D E R A T I O N OF ~EMAGE WORKS RSSOCEATION-S.; 1 9 5 0 - ~ 9 . F E i ) E R A T ~ O H OF SEWAGE AHD [ H D U S T R I F I L WASTES R S S O C I A T I O H . P I / 555 VOLS. I - 9 , I~-~--L~/, MTYH V. 10;. VOLS. I - E O , 1 9 Z ~ - 4 ~ . 1 V . ; VOLS.. 1"I~[ b~0 ) 1 9 (550
72
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SERIALS REVIEW
FALL 1983
R e c o r d II
~CREEN 1 OF E INO HUL~Ii4GS IN I~U FOR H U L D [ N G ~ E N I ' E N DH D E P H E ~ D I S P L A Y HECU ~END OCLC: 15~/E~5 NEE S T R T : C ENTRD: / 5 0 5 8 1 U S E D : SEOHZ1 ~'I'YPE: A BIB LVL: S ~OYT PUB: LRHG: ENG SOURCE: D S / L E H I : 0 HEPR: ~NC L Y L : COHF P U B : O ~ T R Y : PAU ~ER T P : P R L P H A B T : A ]NDX: U HOD R E C : P H ~ S NED : CONT: A FREOUH: 8 PUB S T : D DES C : ~UN I N D : I TITL PAG: U I ~ D S : 1 HEGULR: R DATES: 1 5 Z ~ - 1 5 4 5 I, 1 0 1 0 SC/~-IIE1 • ~' 0 4 0 MUL ~ c MUL ~D ASP ~D DLC P 3 01;,' • E N I~ 4 ~ P " b 035 0533515 + 8 H U L S t f l PITT NU. /358~0803 I) H ~ 4 Z NSDP ~R LC P / ~H ~8 • ~ @¢5 I~UU I) 5 E~;-' 0 ~ SEWAGE WORKS JOURNAL I~ 1~ :"(I-5 (~i4 SEWAGE WORKS~ J O U R H R L . II, 11 ;"150 0 1 LLRHCASTER, PA ,. E T C . J ~8 FEDERATION OF ~EWAGE ~ORKS ~ S S O C I A T I O N S . 1;-' 3 0 8 E1 v. II, 13 315~' v. 1 - E l ; OCT. 1 5 E ~ - N O V ? 1545. P 14 50f~ OFFICIAL @UBLICATION OF THE P E D E R R T I O N OF ~EWAGE WORKS ASSOCIATIONS . 15 555 VOLS. 1-~0, 1~Z~-4~.
~CREEN Z OF P I ~ / 1 0 ZO FEDERATION OF ~EWR.GE ~ORKS ASSOCIATIONS. ~ 1 / / ~ 5 08 ~T SEWAGE AND INDUSTRIAL WASTES ~X 0 0 5 ~ 4 X ~1~ ~J~ UNKNOWN~R NOV. 194~ (SURROGATE} Record III SCREEN 1 OF )NO HULDIHG~ IN IgU PgH H O L D I N G 5 E ~ F E H DH UEPNE.S~ D[~PLR? HEED SEND OCLC: 1 6 3 5 5 5 / NEE STRT~ C EHTRD: / 5 0 5 Z 0 USED: ~ B b E I ~I'YPE: A BIB LVL: S ~OVT P O D : LANG: EHG SOURCE: O S / L E N I : 0 NEPR: ENC LVL: CONF P U B : ~O ~TRY:" PRU SER TP: P ALPHABT: A I H D X : U MOO B E E : WHYS N E ~ : COAT: F R E O U H : R PUB S T : D DES C : CUN I N D : 1 - F I T L PAG: U ] S D ~ : I HEGULR: R DATES: 1550-15~ P 1 010 P / ~0 • C HUL ~D .NSD • E H 4 I~EP' O@SB-JH4X I~ 5 ~ 3 5 OB/1/1A ~8 HUL~.tA PITT NO. P b ~4E HSDP P / ~50 ~B I~UU P 9 Z~E 00 SEWAGE AND IHDUSTRIRL W A S T E S P 1 0 ;-'45 0 ~ SEWAGE RHD INDUSTRIAL WASTES. I1'11 ~ 01 LLRNCRSTER, PR.J ~B FEDERATION OF SEWAGE AND I N D U S T R I A L WASTES ASSOCIATIONS. PI~ ~ ~ v. ~ - ~ 1 ; 155~-DEC. 1 5 5 5 . PI~ bSb VOLS. Z1-30, 1545-b~. P14 /1B ZB F E D E R A T I O N OF ~EWAGE AND I N D U S T R I A L WASTES A S S O C I A T I O N S . P15 ,/'d~ B~ ~ T SEWAGE WORKS J O U R N A L ~ X 0 ~ 5 ~ - 5 ~ SCREEN E OF P I ~ / ' ~ 5 0~)
:I=T J O U R N A L
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SERIALS REVIEW
FALL 1983
73
Record IV
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~CREEN Z OF PI~ ~bO 00 LMRSHINGTON', ETC., + B MR:TER P O L L U T I O N ~ O N T R O L P E D E R R T I O H J PI~ ~ 3 ~ WISCONSIN AVE., N.W., ~001~ )]8 ~00 V. t B I L L . , DIRGRS. tC.~4-~ CA. PI/ 3~0 ~:::~_00 [INDIVIDUAL R.ERBERHSHIP) tA ~b.00 (HOM-RERBER) P I ~ L4~Z 0 V. 3 E , NO. ~ PES. I~G~PI~ b10 ~ ~ E L E C T E D MATER RESOURCES A B S T R A C T S t X 0 0 3 / - 1 3 ~ X P~O . ~ 1 0 0 NUCLEAR S C I E N C E A B S T R A C T S ~X ~ O L - ' ~ - ~ I Z ~1 b10 0 BIOLOGICAL RBST~ACTS tX O~HG-31b~ ~ ~10 0 EHERICAL ABSTRACTS ~X 0 0 ~ - ~ ~3 ~10 0 ~HGIHEERING IHDEX ROHTHLY tX 0013-/~ ~4 b10 0 ~HOIHEERING I N D E X ANNUAL t X 0 3 ~ - - ~ b ~ 2 ~5 510 0 ~IBLIOGRAPNY OF A G R I C U L T . U R E tX ~ 0 0 ~ - 1 ~ 3 0 ~ ~10 0 INDEX NEDICUS tX (o~1~-3~/~ ~J~/ ~ 1 ~ BEGIHHIHG IN 1~, THE HARCH HURBER OF EYEH HUNBERED YEARS I S S U E D 1N ~ P T S . , P T : ~ CRLLED MPEP YEARBOOK AND D I R E C T O R Y . ~L~c~ ~ 0 0 ~EMERRGE t X P E R I O D I C A L S ~ ~0 0 ~EMAGE t x P E R I O D I C A L S . ~fd ~0 ~ MATER P O L L U T I & ~ tx PERIODICALS. ~31 ~0 ~ ~E~AGE tX ~ERIODICRLS.
~CREEH 3 OF 3 P3~ )30 ~ MP~P YERRBOOK AND D I R E C T O R Y . P33 /~0 00 t T ~ENRGE AND I H D U S T R I R L MRSTES P34 ~36 OCT. 1 9 1 ~ ( S U R R O G A T E J
74
SERIALS REVIEW
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tX
00~G-3~4X
IS
DLC
"Guidelines for the Treatment of Serials Entered under Title According to AACR2. ''3 Once again, serials experts came to the rescue when non-experts developed rules which are not adequate for handling serial items.
Circulation Function An online circulation system also requires special considerations for serials which people who are not used to handling serials might not realize. Circulation systems require an item record for each individual physical volume which circulates. When records are created for monographs, they are complete and the same record can be used indefinitely. For serials, however, provisions must be made for creating new item records for each new physical piece which will circulate. In conclusion, serials and monographs are not the same. When they are treated as though they were the same, the special needs for serials are ignored and systems are developed which do not adequately handle the material. In consequence, serials tend to get shunted aside in favor of the easier processing of materials the system was designed for. The most efficient handling of serial items takes place when trained serials experts are assigned to handle only those materials. Notes . William Gray Potter. "Form or Function? An Analysis of the Serials Department in the Modern Academic Library." Serials Librarian 6, no. 1 (Fall 1981): 86. . Anglo-American Cataloguing Rules. Second Edition (Chicago: American Library Association, 1978), p284-286. . "Guidelines for the Treatment of Serials Entered under Title According to AACR2." Unpublished document issued by the Library of Congress at ALA/RTSD/LC AACR2 Workshop.
Automation in Libraries, 1978-1982: A LITA BIBLIOGRAPHY. No. 1 in the "Library Hi Tech Series"
Compiled by Anne G. Adler, et aL When the first bibliography of library automation appeared in 1967, libraries and automation were an odd couple. Today they rarely appear apart. This bibliography contains over 2,500 citations. The growing use of computer techniques for library systems and routines has resulted in an enormous amount of published material on the subject. Citations were drawn from manual bibliographies and databases; the literature of the profession, bibliographies in other works, and publisher's announcements were searched. Divided into some 40 subject areas, this bibliography reflects the technological growth of the past five years, while including subject areas that have been applicable for the past five years.
$ i8. 95
Reference Service: A PERSPECTIVE. No. 6 in the "Library Management Series"
Editedby Sul H. Lee. Examines the dynamics of reference service in a changing environment. Papers presented at a conference on this subject are collected here. Conference participants critiqued the provision of reference service in our libraries and questioned the degree to which the public is being served at the reference desk. Current developments and trends such as user education, computer applications and resource sharing, as well as the matter of user fees for information services, and the need for measurement and evaluation of reference service are among the issues addressed.
$i8.95 Pierian Press publishes a number of series covering different areas in library science:
The Library Orientation Series. Current Issues In Serials Management. Current Issues In Librarianship. Library Research Guides Series. All volumes are available on 30
pierian press
SERIALS REVIEW
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FALL 1983
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|11
I
There is a recent trend towards the decentralization of serials processing. Perhaps administrators are anxious to disband their serials department in order to give their serials librarians a change after spending extended periods handling only serial items. Although it is true that problematic items are found in the handling of monographs, problems are more the norm than the exception in serials work. Interaction with these materials day after day is enough to drive even the most even-tempered librarian to distraction. Serials and monographs are not the same and cannot be treated in the same way. Serials present special problems due to their nature. Because of these problems, library personnel handling serials need a special expertise which can only come after a great deal of exposure to the materials and proper training by other serials experts. In an article on this subject, William Potter quotes J. Harris Gable who said "the push for separate serials departments grew from a recognition of the importance of serials and in reaction to the confirmed neglect of serials at the hands of administrators who never performed serials work."l A reverting to decentralized processing of serials will produce a recurrence of this neglect. In most libraries, problems tend to go into the backlog, whether it be acquisitions, cataloging, or elsewhere. Since serials tend to be problems, in a decentralized organization they will not receive the attention they need.
Order/Payment Function The acquisition and payment function for serials differs from that for monographs. First of all there is the continuing nature of serials. One must have a record-keeping system which can keep track of the orders placed and payments made even after the item is received, since it will continue to be received and paid. Some acquisitions systems, such as BATAB, have no provision for keeping track of on-going payments. Also, items are expected to purge from the system when received. Again, not a desirable thing for serials. So, serials department personnel, at the University of New Mexico, working daily with serials, BATAB and the university computer center personnel, developed procedures to manipulate the system so that it works for serials. These items are given special vendor numbers which have been programmed not to purge and a payment line was added after the title line. This payment line must be corn-
II
Centralized Serials Processing in an Automated Environment by Diane Stine
Has the move to integrate serials processing overlooked some of the fundamental differences between these two procedures? Automation of processing tasks creates particular problems in an integrated setting, which are examined in this article.
pletely re-entered each time a payment is made (Appendix 1). The BATAB system also does not allow for the problem of memberships where one payment may cover several serial titles. The serials acquisitions staff developed a procedure whereby they put a dummy entry into the system for each membership and post payment to it. Under the entries for the journals received on the membership they simply insert a note "received on x membership" (Appendix 2). When this article was completed, Stine was head of the serials cataloging team at the University of New Mexico Library. She is now technical services librarian for the American Hospital Association.
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69
When we spoke with our AMIGOS representative about the possibility o f using the OCLC acquisitions system for serials, he said we would not be allowed to put such a d u m m y entry onto OCLC for payment purposes. He did not have any idea as to h o w memberships could be handled. Without the expertise o f serials specialists these systems haven't been adequately designed for processing serial items. The ordering o f an item begins with its identification. Usually a b o o k has an author and a title and can be identified fairly easily. If it is in print the library orders it from their particular vendor for that type o f material. If it is out o f print, the bibliographer or faculty member placing the order has probably found it in a catalog, so the library orders it from the dealer issuing the catalog. If all else fails, interlibrary loan can procure the b o o k for a patron. The identification of a serial is more complicated. A serial can be k n o w n b y any number o f names. Its title can change, and the cover title might not be the same as the title page, spine or running title. The publisher might not be using the same rules for entry as the librarian ordering it. Finding a vendor for a serial can also be difficult. I recently dealt with a very angry professor who couldn't understand why we hadn't begun to receive our subscription to Vertebrata Palasiatica. We had contacted two vendors and tried to receive it on exchange and still hadn't begun to receive the item (Appendix 3). Interlibrary loan is obviously not a viable alternative to a journal subscription.
Check-in/Claiming Function Once a monograph is identified, ordered and received, the acquisitions function is complete and it is no longer necessary to keep a record of it. For serials however, a system must be set up to handle the ongoing receipt and p a y m e n t o f the item, and procedure must be set up for claiming items which are not received. Some items are so irregular that it is impossible to set a specific time period for automatic claiming, making it difficult to integrate such items into an online check-in system. A library needs people who have developed an expertise b y handling serials to work out these problems. Then there are the supplements which appear. It must be determined if they are part o f the original order or if the library will be billed separately before the item can be accessioned. Sometimes an item which is indeed part o f a serial subscription, such as a monograph in a series or an annual conference proceeding, will arrive in the library with its own author and/or title on the piece but no series or conference title. As a result it is not recognized as being part o f the subscription. Then that number is claimed. The publisher says it was sent. Various exchanges of letters ensue. A trained serials expert, however, is used
70
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to playing private detective and is prepared to deal with such problems.
Cataloging Function When a monograph is cataloged, even the most difficult item requires only one record and needs to be handled only once. A serial, on the other hand, can start out as one title and lead to a myriad of related titles. In an environment such as ours where we are preparing for an online catalog and an online circulation system, we are cataloging all items on OCLC. When we catalog a serial we convert all related titles which the library owns into machinereadable form. The current record-holder is a new title, which when searched led to 26 related titles. A retrospective conversion project handling monographs is fairly straightforward. Most libraries work through their shelflist searching titles on OCLC (or other database), and update records which have matching titles. Since the entries, for the most part, have been converted to AACR2 form on OCLC, the library then essentially has the basis for an AACR2 online catalog. Converting serials is much more complicated. Note the shelflist for a serial in our library cataloged when the rule for serials was to catalog an item under its latest entry (Appendix 4). When searching OCLC for this title, y o u find a pre-AACR2 latest entry record and records under the various title changes. A person doing retrospective conversion could not tell from the card which record or records to update because he or she wouldn't k n o w the holdings of our library, that is, wouldn't know if we only had the latest title or one o f the earlier titles or all of the titles. So, the person would have to check the shelf to determine which titles were actually held. Also, the cataloger would have to understand the principles o f latest and successive entry cataloging. A policy decision would have to be made b y the library either to choose the record which matched the shelflist or to change to successive entry. The OCLC conversion of name headings to AACR2 form is a good example of a global change which converts monographic records to conform to the new cataloging rules. However, it doesn't do much for the conversion o f serials cataloged under earlier rules. One cannot globally change latest entry records to successive entry cataloging. For choice o f main entry, A A C R 2 treats all materials alike. 2 Because o f this rule, serials with titles like monograph, bulletin, report can be entered under title when the title meets the conditions of the rule. Since monographic items usually do not have non-distinct titles such as these they do not present such a problem. To use the AACR2 rule in cataloging serials, the Library o f Congress issued the document
APPENDIX 1 BOOK HISTORY REPORT UNM ZIMMERMAN LIBRARY TITLE AUTHOR IDENTIFYING CHARACTERISTICS
L VEN E DOR V NO
SERIALS MAAC FORMAT, ADDENDUM 1 U.S. LIBRARY OF CONGRESS MARC DEVELOPMENT OFFICE GPO
A 5325
SERIALS REVIEW 1975-81, IQ82 *Mt'H
R 7795
SERIALS UPDAflNG SERVICE ANNUAL ITS MONTHLY NEWSLETTER SENT I:REE (BY EAXONI: CHECKED IN SEP 1974-1979, V.7 (19801 DISCONTINUED W/VOL. 7, 11/17/81. *BW
S 6000
DATE 10--05-82 PAGE 8088
CALLNO (LINE 11 DATEOF FUND LIST NET BOOK LC CARD (LINE 2) LAST NO. PRICE PRICE NUMBER ORDER 10313
REF
PN4832847 PER
03152
LIBT
Z694184
06020
LIB-I" 20.00
SER
STA
A09901584REC
30.00 30.00
B01021498PRO
BOI009706PRO
APPENDIX 2 BOOK HISqORY REPORT UNM ZIMMERMAN LIBRARY
DATE 06-91-82 PAGE 5056
M 6000 *
10121 HIST
MEMBERSHIP AMERICAN LIBRARY ASSOCIA] ION CONTINUED PUBLIC LIB. FRUSTEE: PUBLI( LIBRARIES: J. OF LIB. AUTOMATION *GIVk ANNUAL INVOIC[ TO SER LIBRARIAN TO FILLOUT S FORM* RQ: TOP OF T i l t NEWS *MEtl
M 6051 *
08139 LIBT
MI~MBERSHIP AM[ RI(AN LIBRARY ASSOCIATION. 1975ALA tIANDBK OE OR(;:ALA Mt MBER DIR: COLLEGE & RES. LIBS:LAI) NEWS 1974 79. 198t. 1982 INCLUS:ALSC NEWSLE F:NOTES ] O A[.Gt NON: INTERFACE:AM. LIBRARIES:COLLEGE & RES LIBS NEWS:LIB RESOURCE & TECH SVCS: SCH MEDIA Q * M i l l MV03960000
M6051 *
12211 LIBT
MEMBERSHIP AMERICAN JEWISfl HISTORI('AL SOCIETY INCLS: AMER JEWISH HIST/ITS REPORT/& INVITATION ANN MTG AMERICAN JEWISII HISTORICAL SOCIE IY
20.00 20.00
B01143097PRO
9/78--8/82,9/82-8/83 *DP B01132079
850.00 850,00
B01006146PRO
APPENDIX 3 BOOK HISTORY REPORT UNM ZIMMERMAN LIBRARY
DATE 10--05--82 PAGE 9299
VERSUCHUN(;EN; AUFSATZE ZUR PHILOSOPHIE PAUL FEYERABENDS, BD. ], HRSG. YON HANS PETER DUERR. SUHRKAMP/INSEL BOSTON, 1980 DATE PUB--80
N 1372
07061
10.40
NI5861731CAN
VERTEBRATA PALASIATICA, CURRENT ISSUE & CONT.- .... SliE CORRES. DO NOT PAY UNTIL CLEARED TH ROUGII EXCHANGE CHENG AND TSUI, 25 W. ST., BOSTON, MASS. 02111 *ER/FO
P 8884
06212 ANTII
30.00
B01235412
VERTEBRATA PALASIATICA, 1980 & CONT AS I;SSUED CANCELLED PER C.D., VENDOR NEVER RESPONDED TO CLAIM. TRYING TO ACQUIRE THRU EXCHANGE (SEE CORRES.) 1/9/82 SCIENCE PRESS OF PEKING *ER/FO
P 6001
09090ANTH
30.00
B01170779CAN
VERTEBRATA PALASIATICA, 1980-- AND CONT. AS ISSUED CANCELLED, VENDOR CAN'T SUPPLY, REORDERED THRU BL(6001) 9/80 SCIENCE PRESS OF PEKING *ER/FO
P 6135
03310 ANTH
30.00
BO1154846
SERIALS REVIEW
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APPENDIX
Per. TD 5A
4
~a~er PolluCion Control FederaClon. Journal _ ~a~er Polluelon Control v.lOct. 1928-
[Lancaster, v.
tlhs.
Federaelon.
PI., eCc.] 24-26cm.
Title varies: 1928-49, Se~,age ~ , k s 1950-59, Sewage a n d i n d u s t r i a l vasEes,
I. Title: Sewage a n d
Sex'a~e v,o r ~ s j o u r n a l . industrial ~.a~es.
II.
Jouz~nal.-
T£CIe:
© Record I ~CREEH l o f 2 )NO HOLUINGS IN lOU FUN H O L D I N G S EN'rER OH D~PRLSS D I S P L A Y REED ~ - H D OELE: ~333~15 ~EC S T A T : H E H T R D ; ~ 0 0 5 1 9 USEB: ~E@SZb )TYPE: A BIB LVL: S ~OVT P U B : L A H G : EHG SOORCE: S / L EHT: I REPR: EHC LVL: [ ~ONF PUB i 0 ETRY: PRU SER TP-: P. RL.PHHBT: A ] H D X : U HOD REC: PHVS RED: EOHT.: PREOUH~ Z VU8 S T : C ~ESC: CUR [ H D : U T I T L PRG: U | S U ~ : REGULR: X DATES: 1 9 Z ~ - - 9 9 9 9 1 010 ~ 040 DLU @C TXB L~ 0 5 0 1D511 ~B 54 b 090 e ~ 0¢9 • / 110 • ~ E4b ~10 P 11 PI~ 13
YO 10
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~B I~UU WATER ~ O L L U T I O H CONTROL F E D E R A T I O N JOURHAL. SEWAGE W~RKS 3 0 U R N A L ~F 1 9 Z U - 4 9 ~EWRGE AHD IHDUSTRIRL MRSTE5 +F 1 9 ~ B - b ~ LLRHCASTER, P A , , E I C . J V. IH ~B I L L U S . , ~IRGRS. ~C E ¢ - Z 5 CN. FREQ-UENC? VARIES V. I OCT. ~ . ~
~CRE-EH Z OF. Z )15 ~1~ B E G I H H I H G I H I E~x~l~, THE MARCH HUHBER OF EVEH HUNBERED YEARS I S ISSUED I H ~ P T S . , PT ;a CALLED WIJCI--YE.RI@BO01(~ HAD [ ] [ ' R E C T O R Y . )11~ 5 ~ 1 I S S U E D BY THE F E D E R A T I O N UNDER I T S E A R L I E R HARES: 1 ~ E ( - 4 9 , F E D E R A T I O N OF ~EMAGE WORKS RSSOCEATION-S.; 1 9 5 0 - ~ 9 . F E i ) E R A T ~ O H OF SEWAGE AHD [ H D U S T R I F I L WASTES R S S O C I A T I O H . P I / 555 VOLS. I - 9 , I~-~--L~/, MTYH V. 10;. VOLS. I - E O , 1 9 Z ~ - 4 ~ . 1 V . ; VOLS.. 1"I~[ b~0 ) 1 9 (550
72
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~EWERAGE =FX P E R I O D I C A L S . SEWAGE @X P E R I O D I C A L S .
SERIALS REVIEW
FALL 1983
R e c o r d II
~CREEN 1 OF E INO HUL~Ii4GS IN I~U FOR H U L D [ N G ~ E N I ' E N DH D E P H E ~ D I S P L A Y HECU ~END OCLC: 15~/E~5 NEE S T R T : C ENTRD: / 5 0 5 8 1 U S E D : SEOHZ1 ~'I'YPE: A BIB LVL: S ~OYT PUB: LRHG: ENG SOURCE: D S / L E H I : 0 HEPR: ~NC L Y L : COHF P U B : O ~ T R Y : PAU ~ER T P : P R L P H A B T : A ]NDX: U HOD R E C : P H ~ S NED : CONT: A FREOUH: 8 PUB S T : D DES C : ~UN I N D : I TITL PAG: U I ~ D S : 1 HEGULR: R DATES: 1 5 Z ~ - 1 5 4 5 I, 1 0 1 0 SC/~-IIE1 • ~' 0 4 0 MUL ~ c MUL ~D ASP ~D DLC P 3 01;,' • E N I~ 4 ~ P " b 035 0533515 + 8 H U L S t f l PITT NU. /358~0803 I) H ~ 4 Z NSDP ~R LC P / ~H ~8 • ~ @¢5 I~UU I) 5 E~;-' 0 ~ SEWAGE WORKS JOURNAL I~ 1~ :"(I-5 (~i4 SEWAGE WORKS~ J O U R H R L . II, 11 ;"150 0 1 LLRHCASTER, PA ,. E T C . J ~8 FEDERATION OF ~EWAGE ~ORKS ~ S S O C I A T I O N S . 1;-' 3 0 8 E1 v. II, 13 315~' v. 1 - E l ; OCT. 1 5 E ~ - N O V ? 1545. P 14 50f~ OFFICIAL @UBLICATION OF THE P E D E R R T I O N OF ~EWAGE WORKS ASSOCIATIONS . 15 555 VOLS. 1-~0, 1~Z~-4~.
~CREEN Z OF P I ~ / 1 0 ZO FEDERATION OF ~EWR.GE ~ORKS ASSOCIATIONS. ~ 1 / / ~ 5 08 ~T SEWAGE AND INDUSTRIAL WASTES ~X 0 0 5 ~ 4 X ~1~ ~J~ UNKNOWN~R NOV. 194~ (SURROGATE} Record III SCREEN 1 OF )NO HULDIHG~ IN IgU PgH H O L D I N G 5 E ~ F E H DH UEPNE.S~ D[~PLR? HEED SEND OCLC: 1 6 3 5 5 5 / NEE STRT~ C EHTRD: / 5 0 5 Z 0 USED: ~ B b E I ~I'YPE: A BIB LVL: S ~OVT P O D : LANG: EHG SOURCE: O S / L E N I : 0 NEPR: ENC LVL: CONF P U B : ~O ~TRY:" PRU SER TP: P ALPHABT: A I H D X : U MOO B E E : WHYS N E ~ : COAT: F R E O U H : R PUB S T : D DES C : CUN I N D : 1 - F I T L PAG: U ] S D ~ : I HEGULR: R DATES: 1550-15~ P 1 010 P / ~0 • C HUL ~D .NSD • E H 4 I~EP' O@SB-JH4X I~ 5 ~ 3 5 OB/1/1A ~8 HUL~.tA PITT NO. P b ~4E HSDP P / ~50 ~B I~UU P 9 Z~E 00 SEWAGE AND IHDUSTRIRL W A S T E S P 1 0 ;-'45 0 ~ SEWAGE RHD INDUSTRIAL WASTES. I1'11 ~ 01 LLRNCRSTER, PR.J ~B FEDERATION OF SEWAGE AND I N D U S T R I A L WASTES ASSOCIATIONS. PI~ ~ ~ v. ~ - ~ 1 ; 155~-DEC. 1 5 5 5 . PI~ bSb VOLS. Z1-30, 1545-b~. P14 /1B ZB F E D E R A T I O N OF ~EWAGE AND I N D U S T R I A L WASTES A S S O C I A T I O N S . P15 ,/'d~ B~ ~ T SEWAGE WORKS J O U R N A L ~ X 0 ~ 5 ~ - 5 ~ SCREEN E OF P I ~ / ' ~ 5 0~)
:I=T J O U R N A L
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73
Record IV
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NO.
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~CREEN Z OF PI~ ~bO 00 LMRSHINGTON', ETC., + B MR:TER P O L L U T I O N ~ O N T R O L P E D E R R T I O H J PI~ ~ 3 ~ WISCONSIN AVE., N.W., ~001~ )]8 ~00 V. t B I L L . , DIRGRS. tC.~4-~ CA. PI/ 3~0 ~:::~_00 [INDIVIDUAL R.ERBERHSHIP) tA ~b.00 (HOM-RERBER) P I ~ L4~Z 0 V. 3 E , NO. ~ PES. I~G~PI~ b10 ~ ~ E L E C T E D MATER RESOURCES A B S T R A C T S t X 0 0 3 / - 1 3 ~ X P~O . ~ 1 0 0 NUCLEAR S C I E N C E A B S T R A C T S ~X ~ O L - ' ~ - ~ I Z ~1 b10 0 BIOLOGICAL RBST~ACTS tX O~HG-31b~ ~ ~10 0 EHERICAL ABSTRACTS ~X 0 0 ~ - ~ ~3 ~10 0 ~HGIHEERING IHDEX ROHTHLY tX 0013-/~ ~4 b10 0 ~HOIHEERING I N D E X ANNUAL t X 0 3 ~ - - ~ b ~ 2 ~5 510 0 ~IBLIOGRAPNY OF A G R I C U L T . U R E tX ~ 0 0 ~ - 1 ~ 3 0 ~ ~10 0 INDEX NEDICUS tX (o~1~-3~/~ ~J~/ ~ 1 ~ BEGIHHIHG IN 1~, THE HARCH HURBER OF EYEH HUNBERED YEARS I S S U E D 1N ~ P T S . , P T : ~ CRLLED MPEP YEARBOOK AND D I R E C T O R Y . ~L~c~ ~ 0 0 ~EMERRGE t X P E R I O D I C A L S ~ ~0 0 ~EMAGE t x P E R I O D I C A L S . ~fd ~0 ~ MATER P O L L U T I & ~ tx PERIODICALS. ~31 ~0 ~ ~E~AGE tX ~ERIODICRLS.
~CREEH 3 OF 3 P3~ )30 ~ MP~P YERRBOOK AND D I R E C T O R Y . P33 /~0 00 t T ~ENRGE AND I H D U S T R I R L MRSTES P34 ~36 OCT. 1 9 1 ~ ( S U R R O G A T E J
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tX
00~G-3~4X
IS
DLC
"Guidelines for the Treatment of Serials Entered under Title According to AACR2. ''3 Once again, serials experts came to the rescue when non-experts developed rules which are not adequate for handling serial items.
Circulation Function An online circulation system also requires special considerations for serials which people who are not used to handling serials might not realize. Circulation systems require an item record for each individual physical volume which circulates. When records are created for monographs, they are complete and the same record can be used indefinitely. For serials, however, provisions must be made for creating new item records for each new physical piece which will circulate. In conclusion, serials and monographs are not the same. When they are treated as though they were the same, the special needs for serials are ignored and systems are developed which do not adequately handle the material. In consequence, serials tend to get shunted aside in favor of the easier processing of materials the system was designed for. The most efficient handling of serial items takes place when trained serials experts are assigned to handle only those materials. Notes . William Gray Potter. "Form or Function? An Analysis of the Serials Department in the Modern Academic Library." Serials Librarian 6, no. 1 (Fall 1981): 86. . Anglo-American Cataloguing Rules. Second Edition (Chicago: American Library Association, 1978), p284-286. . "Guidelines for the Treatment of Serials Entered under Title According to AACR2." Unpublished document issued by the Library of Congress at ALA/RTSD/LC AACR2 Workshop.
Automation in Libraries, 1978-1982: A LITA BIBLIOGRAPHY. No. 1 in the "Library Hi Tech Series"
Compiled by Anne G. Adler, et aL When the first bibliography of library automation appeared in 1967, libraries and automation were an odd couple. Today they rarely appear apart. This bibliography contains over 2,500 citations. The growing use of computer techniques for library systems and routines has resulted in an enormous amount of published material on the subject. Citations were drawn from manual bibliographies and databases; the literature of the profession, bibliographies in other works, and publisher's announcements were searched. Divided into some 40 subject areas, this bibliography reflects the technological growth of the past five years, while including subject areas that have been applicable for the past five years.
$ i8. 95
Reference Service: A PERSPECTIVE. No. 6 in the "Library Management Series"
Editedby Sul H. Lee. Examines the dynamics of reference service in a changing environment. Papers presented at a conference on this subject are collected here. Conference participants critiqued the provision of reference service in our libraries and questioned the degree to which the public is being served at the reference desk. Current developments and trends such as user education, computer applications and resource sharing, as well as the matter of user fees for information services, and the need for measurement and evaluation of reference service are among the issues addressed.
$i8.95 Pierian Press publishes a number of series covering different areas in library science:
The Library Orientation Series. Current Issues In Serials Management. Current Issues In Librarianship. Library Research Guides Series. All volumes are available on 30
pierian press
SERIALS REVIEW
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