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Preparation for the Serials Module

Implementation of Multilis:
Cataloging and Circulation Workflow Issues in Preparation For the Serials Module

Introduction

This document will discuss three main issues:

1. Conversion of serials records
2. Holdings display in the OPAC
3. Circulation of serials records

Each issue will be discussed from the perspective of whether or not the library will be implementing the Serials module. Though no decision is binding, activating the Serials module after deciding not to do so will entail manual modification of existing data.

Please read both sections, regardless of whether a decision has been made to purchase the Serials module.

Various questions arise when discussing the implementation of the Serials module:

How will serials holdings display in the OPAC?

In what field will the serial holdings be coded?

If a library is waiting to have serials records loaded into Multilis and these records are not in MARC format, should the library create brief Multilis records or download them from OCLC while awaiting the loading of these external source records?

What is the impact of the Multilis field called Inventory of Serials in the MARC record? How will it impact on the Serials module if and when it is brought up?

How should the library circulate serials records if required?

Libraries that will NOT purchase the Serials module Cataloging:

The library may opt to use the Multilis field Inventory of Serials located at the bottom of each MARC record. This is a free text (i.e. unstructured) field which allows the cataloger to enter holdings. Entering these holdings in a consistent and uniform manner will assist in a clear display in the OPAC.

Each time an issue is received, this field must be accessed and updated in order to reflect current holdings.

If the library ever decides to purchase the Serials module, this information will not be automatically transferred.

Conversion:

No conversion of holdings information will be done as part of the SUNY LAIP bibliographic conversion associated with the full database load. However, it may be possible for Multilis to use the Serial Union List Offline Product (SULOP) tapes to generate a file of serials records for loading at a later date.

The SULOP tapes contain master serials bibliographic records from OCLC as well as accompanying Local Data Records (LDR) containing summary holdings statements (non-MARC format) for the library's serials.

Libraries awaiting loading of these tapes should not create brief records since matching and overlaying based on a 001 may be problematic once the serials records are ready to be loaded into Multilis. If the library wishes to first download these records from OCLC while awaiting the serials records, please contact the LAIP office. No tests have as yet been completed and it is recommended the library await news of conversion of SULOP tapes, including aspects of overlaying records, before proceeding

If it is possible to convert the SULOP tapes, i.e. for Multilis to merge bibliographic and holdings fields properly and according to standard, LAIP will offer this as an optional service to member libraries. Conversion specifications will be kept as generic as possible for this service.

Note: Campuses will be responsible for maintaining the Inventory of Serials fields once the initial tape load has taken place. As stated above, information coded in the Inventory of Serials field will not be transferred if and when the library opts to implement the Serials module.

OPAC:

Holdings will display in the OPAC based on what is entered in the field Inventory of Serials. The information will be preceded by the display: "The Library has:" (CARD format) and "SERIALS HOLD:" (DESCRIPTIVE format).

It should also be noted that the MARC 362 tag (Numeric and /or alphabetic, chronological, or other designation) currently displays as part of the title field. The information contained within this field may appear to be in conflict with the Multilis Inventory of Serials data. The display of this particular tag (or suppression thereof) may change in future versions.

Circulation:

The library must decide whether individual issues will circulate or not. If they do, then item records must be added for each issue. A maximum of 255 items per bibliographic record is permitted in the Cataloging module. A few options are available:

Some libraries opt to add a finite number of items to these records and circulate the journal by modifying the item record (entering the journal issue no./vol. etc) each time an issue is circulated. Thus item numbers are "recycled", and the library does not need to barcode every issue. This method will affect circulation reports and cause "skewing" of results for the serials collection.

Other libraries do not even barcode the physical copy; they keep a kardex file at the circulation desk, one for each serials title, on which a number of barcodes are affixed. As an issue circulates the item is modified to reflect the issue in hand, barcodes are scanned in to register the transaction, and the checkout completed

If the library does not normally circulate serials (there are of course exceptions), then it may opt to add one "dummy" item record per title. The item will allow the library to indicate the exact location of the item, as well as the "For use in library only" circulation category

Of course, the library can opt to do none of the above. At a future date the library can decide whether implementing the Serials module is a viable option.

Libraries that WILL purchase the Serials module

Taking into account the information provided in the previous section, "Libraries that will not purchase the Serials module", the following should also be noted. This section looks at the tasks involved in preparation for the Serials module. The extent of data manipulation by the library depends on whether the library wishes to display holdings in the OPAC and circulate serials records prior to implementing the module.

Conversion:

A Serials Union List Offline Products (SULOP) has been received at Multilis and is being analyzed. The SULOP tapes contain the master serial bibliographic records from OCLC as well as accompanying Local Data Records (LDR) containing summary holdings statements (in non-MARC format) for the library's serial collection.

Multilis will normally look to the 85X field of the record for the profiling pattern and to the 86X field for the holdings (chronology) statement. Problems arise from the LDR data not being in MARC holdings format. Ease of conversion will be determined after Multilis completes the analysis.

Additionally, Multilis will be reviewing data extracted from the SC350 system, to determine the feasibility of converting the data to a Multilis acceptable format. SC350 data has not yet been received at Multilis

Cataloging, OPAC and Circulation:

The basic focus to implementing the Serials module is the item:

In a non-serials record a maximum of 255 items can be entered. The key to the item (the way it is stored and retrieved) is the item barcode number. In these records, an item cannot exist without a barcode. The OPAC display is the one that is currently available in Multilis.

In a serials record the key to the item is not the barcode, but the holdings. This allows an unlimited number of items to be linked to a record, and the items may exist in the database with or without a barcode. A barcode is assigned to an item only in the event it will circulate. The OPAC display for the items of serials records differs from the regular display: a short (summary) display, and, with the help of a function key, a window where each issue is detailed complete with circulation status.

Another aspect involved in preparation for the Serials module is the Inventory of Serials field located at the end of each bibliographic record:

This is a free-text Multilis field (not a MARC tag). Because it is free-text, it is not structured, and therefore cannot be converted for use in the Serials module.

This field displays in the OPAC, and is used to enter the holdings of the library. Each time an issue is received, it is necessary to update the bibliographic record in order to reflect the current holdings

This field can be suppressed via the Policies Management module. Once the Serials module is installed, this field will not display for serials records (once holdings have been registered).

Ideally, libraries who intend to buy the Serials module should wait before barcoding serials, if that is what they intend to do, nor should they use the Inventory of Serials field. In other words, the best preparation is to do nothing. However, circumstances may force the library to identify, barcode and circulate these records prior to implementing the Serials module. For this reason, Multilis has incorporated two developments to aid the library: automatic suppression of the Inventory of Serials field for each record that is being processed through Serials, as well as the ability to scan a barcode already in existence in order to transfer the item from Cataloging to Serials. Inventory of Serials: If, in the future, the library intends to load serials tapes, but would like to have holdings display in the OPAC for the most frequently used titles, it may, as an interim solution, choose to use this field. When the tapes are loaded, the information will not need to be deleted since the field will automatically be suppressed as soon as holdings have been entered for the record being processed. During Serials implementation, the Inventory of Serials field should be left activated (through the Policies module) so that the field will display for those records not yet processed through Serials.

Items:

While awaiting for the implementation of the Serials module, a library may wish to circulate some titles. There are a few options available

Add an item record for each item (up to 255) for each bibliographic record and circulate them normally. This will give accurate statistics, but is the most labor intensive option. The more barcodes added, the more barcodes to be transferred once Serials is implemented.

Add a finite number of items to the records and circulate the journals by modifying the item record (entering the journal issue no./vol., etc) each time an issue is circulated. Thus the items are recycled and the library does not need to barcode every issue. The circulation statistics for these items will be inaccurate, but the initial preparation is less labor intensive.The checkout procedure however, always implies an update to the item record, which causes check-out to be more labour intensive.

Another option is to not even barcode the physical copy: keep a kardex file at the circulation desk, one for each serials title on which a number of barcodes are affixed. As an issue circulates the item is modified to reflect the issue in hand. The advantages and inconveniences of this option are the same as the option above.

If the library does not normally circulate serials, a dummy item can be added to the record for location and status display (For use in library only) in the OPAC. If exceptions are granted, each item checked out is added to the record. When the item is returned, it is deleted.

There are a number of other options available. Essentially each library needs to discover what will work best for them. Please keep in mind that until Serials is implemented, all items will display in the same mode. Also, once Serials is implemented, each item linked to a serials record will need to be transferred one by one to the serials module. (Each barcode must be scanned). As the items are being transferred, the display in the OPAC will also flip from the current display to the Serials display (short display and, optionally, the fully detailed display). Circulation statistics (transactions) will also be transferred.

Summary

In conclusion, the best option is to do nothing as it is the less labour intensive option. However, the extent to which a library may decide to do some work is a local decision based on local requirements and circumstances. It is important to keep in mind that anything done may involve, in the light of this document, additional work when Serials is implemented.

In making serials implementation decisions, much depends on the size of the library's serials collection, and the time and resources available to ensure the patron has the best possible information at the OPAC.

Deciding how to efficiently circulate serials is a challenge, regardless of the presence of the Serials module. Issues can be lost or destroyed easily, multiple issues are eventually bound, etc., so the nature of the physical item is in constant flux.

For those libraries that have serials records on tape, we recommend you await our preliminary analysis of the data before manipulating your records.

For those libraries who do not have holdings coded on external tapes, the following decisions should be made:

How extensive should the OPAC be in reflecting the holdings of the library's serials collection?

How much effort does the library wish to make to ensure the patron has correct information? For those libraries already running OPAC without extensive serials location/circulation information, has this lack affected the patrons ability to procure the necessary journals?

The goal of this document and additional information forthcoming is to assist in this decision-making process.

Joanne Reid
Lylliane Le Quellec
Multilis

Carey Hatch
LAIP
21 September 1993

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