Serial adding: pre-Alma

 Updated 08/2018
NOTE: This documentation is in the process of being updated to reflect changes due to the move from Voyager to Alma. In the meantime, some major changes are noted in red. See also brief instructions, which have been updated for Alma.

Adding is the process of recording new serial volumes so that they are reflected in the catalog as part of the Library's permanent holdings.  Adding is done preparatory to binding/labeling.

If received unbound, serial issues may be shelved at an unbound location first, until enough issues are collected for a bindable unit; they are not added until ready for binding. All hardbound volumes are added on receipt. Some softbound volumes may also be added on receipt, if they will be bound/labeled singly due to thickness, infrequency, etc.

Adding involves these basic steps (more detail on each step follows):

1. suppress the corresponding receipt records  (changed with Alma)
2. review the bibliographic information
3. check the piece(s) in hand for completeness, correct order, supplements, etc.
4. update the holdings summary record some changes with Alma; see updated version here: Serial holdings fields
   
5. create/review an item record for each unit, with barcode assigned
6. check that the binding slip is complete and correct
7. charge the units and send them on for the next stage of processing (changed with Alma)

For more information on any part of this procedure, consult the Serials and E-Resources Team (SeERs).

Glossary of selected terms:

Bindable unit = a group of issues that will be bound together, or a single issue that will be bound/labeled by itself. Can also be called an "item".

Call number = a number specifying the exact shelf location of the bound holdings. There are two main systems of classification in use at Princeton: Library of Congress (combines letters and numbers) and Richardson (numbers only). The call number may be headed by a location symbol, indicating that the holdings are in an annex or branch library or other special location. It may end with a size symbol, if volumes are unusually tall or short. The call number for each serial is found on its MFHD, in the 852 field: subfield b (location) + subfields h and i.

Designator = a word or abbreviation used with a number in a numerical designation, e.g.: "vol.". Vernacular designators are designators in the language of the serial; a list of these with their official AACR2 abbreviations is here: Designators.

Main entry = the primary access point for a bibliographic record. For serials, it is most often the title (245 field), but it may be a corporate name (110 field), conference name (111 field), or uniform title (130 field).

Primary adding element = the designation that has been chosen as the primary way of identifying volumes of a serial. It may be numerical, chronological, or a combination. It must be sufficient, without depending on the secondary, to distinguish each bound volume of a serial from all others. The choice of primary adding element for each serial is documented on its MFHD, in the 866x “DESIGNATOR:” field.

Secondary adding element = additional designation information that may be useful in identifying individual volumes of a serial. Some titles have only one system of designation, and therefore no secondary. If the primary is numerical, the secondary is always the year or date if present (as a designation—publication dates are not used). Otherwise, instructions for the secondary may be documented on the MFHD, in the 866x “DESIGNATOR:” field.

Title proper = the chief name of a serial; includes any part designations and/or part titles, but excludes parallel titles, other title information, and statements of responsibility. Corresponds to the bib record’s 245 field, subfields a, n, and p only. This is the portion of the 245 field that is important for identifying title changes.

Step 1: Suppress the corresponding receipt records

(changed with Alma; this is now done as part of the item record creation, Step 5 below)

In Voyager Acq, under Serials History, locate the correct record. If there are multiple copies, select the location that matches the piece(s) in hand.

Click to highlight the receipt lines that match the pieces, then click the Display in OPAC button so that “Yes” changes to “No”. This suppresses the receipts from appearing as current issues in the OPAC.

Use the ellipsis button (…) at right of title to bring up the matching bib. record.

Some currently received serials have no checkin records in Acq, so will need to be searched in Cat directly.

Step 2: Review the bibliographic information

In Voyager Cat, verify that the record is the correct one, by checking title and date range. Do not make any updates. If in doubt, consult the Serials and E-Resources Team (SeERs).

Most important fields to check:

• 245   title: subfields a, n, p (n = part number, p = part title; not always present)

Generally, this should match exactly what appears on the title page (or front cover, if there is no title page) of the pieces in hand. If it does not, check for a 246 field that indicates a minor variation.  If the 245 does not match and there is no 246 field for the variant, refer to a serials cataloger/SeERs Team for a title change decision; do not continue adding. Changes in 245 subfields b or c do not constitute a title change, though they may need a bibliographic adjustment.

If the title is in a non-Roman script (e.g. Cyrillic, Greek), it is still important to verify the title match. An ISSN match is not a guarantee that the title has not changed. Romanization tables can be found here: http://www.loc.gov/catdir/cpso/roman.html

• 110/111  corporate/conference main entry

If present, this indicates that the serial’s main entry is a corporate/meeting name, most common with annual reports and conference proceedings. If the 110/111 does not closely match what appears on the piece, locate the authority record (search Author Headings, right-click on “Auth/Ref”, click on Retrieve) and check if the variant form is accounted for in a 410 field. If not, refer to a serials cataloger/SeERs Team for a title change decision and NACO work; do not continue adding.

• 362   sequential designation/dates

Check that the pieces in hand don’t fall outside the date range given in the 362. If there is no 362, beginning/ending dates may be found in the 008 date fields in the header. Even if the title matches perfectly, the record may be the wrong one if the dates don’t fit.

Other fields to check:

• 260/264  publication information

If place of publication and/or publisher don’t match pieces in hand, and there is not already a 500 or 550 field noting a change, refer to a serials cataloger/SeERs Team for an adjustment.

• 310  current frequency

If frequency has changed, refer to a serials cataloger/SeERs Team for an adjustment.

• 550  issuing body note

If issuing body has changed, refer to a serials cataloger/SeERs Team for an adjustment and possible NACO work.

Step 3: Check the piece(s) in hand for completeness, correct order, supplements, etc.

Flip through each issue in the bindable unit to make sure that all are in the correct order. Check that any missing issues have been noted on the binding slip. Note: volumes going to Recap generally cannot be added incomplete; they should be rearranged into complete units if at all possible, or boxed so that issues can be added later without altering the item's size.

Bindable units should generally be no thicker than 2 inches, less if the margins are narrow. Split units if too thick.

Remove any loose inserts from the issues. The fact that a piece was received along with a regular issue is not a guarantee that it should be added with that issue, or even with that serial.

• Advertisements should be discarded.
• Duplicate issues should be removed.
• Annual indexes may need to be tipped into previously bound volumes.
• Cumulative indexes should always be bound separately, and require a bib. adjustment; refer to a serials cataloger/SeERs Team.
• Errata should be inserted in relevant piece, preferably at relevant page.
• Supplements and special issues are often, but not always, bound with the main title; check the record for notes about previous supplement treatment:
  BIB  525a Supplements accompany some vols. - means supplements are bound in with main title
  BIB  770t [Supplement title] – indicates a separately-cataloged supplement; do not add to main title
  MFHD  866z  - may contain additional notes about supplement treatment
  If none of these notes are found, refer to a serials cataloger/SeERs Team for a supplement decision.
  When being bound in with the main title, a supplement should immediately follow the issue it was received with, unless a designation on it suggests a different order.
• CD/CD-ROM supplements can be sent with the volume, with a note on the binding slip asking to have a pocket made. They should be marked with a sharpie pen as instructed here:
  CD-ROMs, Sound Discs, Computer Disks

Step 4: Update the holdings summary record  some changes with Alma; see updated version here: Serial holdings fields

Click on Retrieve Holdings (strapped books icon) to retrieve the holdings record (“MFHD”). If multiple MFHDs are present, select the correct one from the list.

Note: Many serials have partial holdings in a Recap location, and whether a newer or an older run of volumes has been recapped varies. If unsure where the new item should be added, check the 866 holdings statements for both locations. In general, new units will be added to the location with the most recent holdings.

MFHD fields, in order:

035  OCLC number
852  subfields b  location, t copy number, c  oversize note, h & i call number  (852 subfields changed with Alma)
866a  summary of bound holdings
866z  LACKS note
866z  CURRENT ISSUES or CURRENT VOLUME note
866x  DESIGNATOR note
866x  other non-public notes
866z  other public notes
868a  cumulative index note

Not all of these fields will appear in all records, but 852 and 866a are required for serials.

In most cases, the only fields updated in the adding process are the summary of bound holdings (866a) and, if applicable, the LACKS note. If notes are present, they may contain information that is important to consult before proceeding with adding.

If issues of a title are being added for the first time (the 866a field says “NO BOUND HOLDINGS”) the holdings statement will need to be constructed. If in doubt, consult the SeERs Team. Generally, the 866a takes this form:

    first issue vol., no. (first issue date)-last issue vol., no. (last issue date)

See examples and variations below.

The form for the summary of bound holdings varies greatly, as publishers have many different systems of numbering/dating issues. All designators, months, and seasons should be given in the main language of the serial, and may be abbreviated following AACR2. Capitalization and punctuation differ according to language, although the first word in the field is always capitalized. English seasons are not capitalized.

    Vernacular designators: https://pul-confluence.atlassian.net/wiki/spaces/ResourceDescription/pages/1639369/Designators

    Month abbreviations: https://pul-confluence.atlassian.net/wiki/spaces/ResourceDescription/pages/1639372/Abbreviations+of+the+Names+of+the+Months

    Seasons in various languages: https://pul-confluence.atlassian.net/wiki/spaces/ResourceDescription/pages/1638996/Names+of+Seasons

Roman numerals are generally converted to Arabic form. A diagonal slash indicates numbers or dates that were published combined.

Examples:

866 _0 |a  Vol. 1, no. 1 (Jan. 1986)-vol. 26, no. 12 (Dec. 2011)

866 _0 |a  No. 36 (Apr. 2008)-no. 42 (June 2012)

866 _0 |a  1984-2001

866 _0 |a  1921/22-1958/59

866 _0 |a  1998, no. 1-2012, no. 6

866 _0 |a  17. Jahrg., Heft 7/8 (Juli/Aug. 1969)-17. Jahrg., Heft 12 (Dez. 1969)

866 _0 |a  No 121 (janv. 1971)-no 211 (juin 2003)

Parallel numbering system following an equals sign:

866 _0 |a  Vol. 1, no. 1 (Jan. 1986)-vol. 26, no. 12 (Dec. 2011) = no. 1-no. 192

New series numbering following space, semicolon, space:

866 _0 |a  Vol. 1, no. 1 (spring 1955)-vol. 12, no. 4 (winter 1966) ; new ser., vol. 1, no. 1 (Feb. 1968)-new ser., vol. 30, no. 6 (Dec. 1997)

Designators are not supplied if they don’t appear on the pieces:

866 _0 |a  1 (Sept. 1976)-4 (June 1980)

866 _0 |a  1976, 1-2008, 8

If there is no date designation, date of publication may be included in this form:

866 _0 |a  No. 36 (published in 2008)-no. 42 (published in 2012)

The holdings summary statement (first 866 field) should be updated to reflect the pieces being added. Generally, the established pattern should be followed, but not if that numbering system can no longer be found on the pieces. Significant numbering changes may require a bib. adjustment; refer to a serials cataloger before proceeding.

Note that the data before and after the hyphen need not be perfectly symmetrical. Slight changes over time in the way the publisher has numbered pieces may result in a holdings statement like this:

866 _0 |a  Vol. 1, no. 1 (1986)-vol. 26, issue 11/12 (Nov./Dec. 2011)

(“no.” changed to “issue”, months added to date designation, combined issue)

Supplements are not specifically noted on the MFHD, unless the Library holds only the supplement without the issue/vol. it belongs with.

Annual indexes are not specifically noted on the MFHD. Cumulative indexes are noted in an 868 field, but also require a bib. adjustment; refer to a serials cataloger/SeERs Team.

Sometimes the most recent bound volume of a serial is shelved in one location, then transferred to a permanent location when superseded. In these cases, the holdings are maintained on the MFHD for the permanent location, though the item will be attached to the Current Volume location.

Issues missing from a run may be noted in either of two ways: with a gap in the holdings statement, or with a LACKS note. Generally, use the former for large gaps and the latter for scattered missing issues. Avoid overly complex holdings statements that may confuse users.

Examples:

866 _0 |a  Vol. 1, no. 1 (Jan. 1986)-vol. 26, no. 12 (Dec. 2011)
866 _0 |z  LACKS: v. 8, no. 9; v. 21, no. 1

866 _0 |a  No. 36 (Apr. 2008)-no. 42 (June 2012)
866 _0 |a  LACKS: no. 39

866 _0 |a  1984-1988; 1999-2001

Step 5: Create/review an item record for each unit, with barcode assigned

In many cases preliminary item records will already have been created, for tracking purposes, by staff who collect material for binding. These records still need to be reviewed and adjusted if necessary. (changed with Alma)

One barcode is used for each binding unit.

Procedure if no item record yet exists for piece in hand:
This step is completely different in Alma, and includes collapsing separate item records for individual unbound issues into a single item record (replacing former Step 1).

• Click on Get Items (stacked books icon) to retrieve existing item records for the relevant copy
• Select an item for copying and click OK. Choose a recent item that is similar to the one in hand
• From “Record” menu (at top), select “Make a copy”. Be very careful not to omit this step, to avoid accidentally updating an existing item instead of creating a new one
• With cursor in barcode box, wand barcode
• With removable tape, attach barcode to the inside front cover of the first issue in the binding unit
• Update Enum and Chron fields to match new volume (more detailed info. below)
• Save the item record to the database by clicking on the boat icon
• If adding more than one volume of the same title, repeat the last 5 steps
• Close all open windows for the record

About Enum and Chron:

The data in these fields will not necessarily match the field labels. Enum is used for the primary adding element, whether numerical or not; Chron for the secondary (if present).

For guidance on how to construct the Primary/Enum, see the DESIGNATOR note. Designators are supplied here even if not present on the pieces. Be just as specific as needed to distinguish this volume from others of the same serial; don’t include no. if adding a whole vol., or months if adding a whole year.

Secondary/Chron = date/year unless otherwise noted in the DESIGNATOR note, or unless date/year was primary. Some titles have no secondary, if they have only a single form of designation.

Dates in the adding elements must be chronological designations; if only publication dates are available, they are not used here.

For incomplete binding units, add: (inc.) at the end of the Enum field. Also fill out a “This Volume Lacks” slip and clip it with the binding slip in the first issue of the unit.

Example:    vol. 10, no. 1-6 (inc.)

For supplements and annual indexes that are bound apart from the rest of the volume, add: , suppl. or: , index at the end of the Primary.

Examples:

    vol. 10, suppl.

    vol. 10, index

However, when supplements or annual indexes are bound together with the main volume, no mention is made of them in the adding elements.

Cumulative indexes require bib. adjustments; refer to a serials cataloger/SeERs Team. Once the adjustment has been made (addition/update of a 555 field on the bib and an 868a field on the MFHD), the Enum field will take this form:

Example:    Index, vol. 1/25

If the previously chosen primary adding element cannot be found on the pieces in hand, first check for an 866x note on the MFHD for help in locating it; also check the usual locations: front & back covers, title page, contents page. If still not found, refer to a serials cataloger/SeERs Team, since a bib. adjustment and adjustment of the DESIGNATOR note may be needed.

Example of a numbering change (numbering dropped): 

Enum:    no. 86-88               Chron:    July-Nov. 2008    (previous unit)
Enum:    Jan.-May 2009        Chron:                                (new unit)
866 _0 |a  DESIGNATOR: date (prior to 2009, added by: no.)

If item records are out of order, move them up or down to fix.

Step 6: Check that the binding slip is complete and correct

Serial units traveling from various library branches/locations are accompanied by a slip with binding information as determined by the staff who prepared them. The two types of slip most commonly seen are BIS slips (or similar ones created in branches) and old-style advice slips; both contain the same basic information. These slips serve to match each binding unit to the right catalog and binding records and to specify spine markings for each bound volume. They need to be reviewed and corrected where necessary.

Note: Binding slips are not required for single-piece units unless traveling from a branch/location; they can be created later during the pre-bindery process.

These fields should always be checked:

• Title (BIS slip) / Catalog Card Entry (advice slip)
  Should show the cataloged entry for the serial, either:
  - 245 (subfields a, n, p) if there are no 1XX fields; or:
  - 130 field if present, but drop any years in qualifier; or:
  - 110 field if present, and also 245 field
• Print Title / Spine Title
  Branch libraries may prefer a slightly different form of title for the spine; do not change unless obviously wrong. Leave blank if same as cataloged title.
• Call Number
  Should include location, if other than Firestone stacks, and should exactly match call number as in 852 subfields h & i.
• Library Use / MFHD ID
  Should include the MFHD ID number from Voyager. If missing, write it in.

Though the advice slip has only labeled space for two levels of enumeration, vol. and no./pt., this can be adjusted as needed (for example, adding "new ser." at top or including vol., no., and pt.).

Areas of the advice slip that are not applicable can just be left blank.

Branch libraries may include additional items wanted on the spine; keep unless obviously wrong.

The space marked Notes on BIS slips, and the blank space at top and bottom of advice slips, may be used to bring attention to anything that Binding Services staff might need to know about the unit.

Examples:

    Includes supplements
    Please make pocket for CD-ROM
    Vol. still incomplete; please rebind temp.
    Canceled; final issues

For incomplete units, the Notes area on the BIS slip is also used to specify whether the unit is to be bound as is or in temporary binding. The advice slip has check boxes to indicate this decision, and also a line to list missing issues. Regardless of binding decision, all incomplete units should be accompanied by a “This Volume Lacks” slip listing what’s missing plus the date of adding.

Step 7: Charge the units and send them on for the next stage of processing

(changed with Alma; units are no longer charged, but instead need to have Status updated)

Sort and charge as appropriate:

Charging to some locations will cause a warning to pop up: “This item is not authorized to circulate from this location”; ok to Override.

If “Item not found” message appears, go back and check that the barcode number was entered correctly in the item record.

Tie or rubber-band multi-piece units together.