Printer-Friendly

Serials Cataloging Workflow

I.) Two (2) sections of bookshelves are devoted to serials in the Catalog Dept. The sections are side-by-side.

A.) The first section is for SERIALS INCOMING materials.

1.) Includes a Slavic serials shelf.

2.) Includes 5-6 shelves for incoming non-Slavic serials:

a.) "Catch-Up" shelf (for issues of a serial received after the title is sent for cataloging, but before the title is actually cataloged).

b.) Box for incoming catalog maintenance requests (paperwork only: no pieces).

c.) The other shelves will hold the sorted serials (title changes, copy cataloging, original cataloging).

B.) The second section is for SERIALS OUTGOING materials.

1.) Includes a Slavic serials shelf.

2.) Includes 5-6 shelves for outgoing non-Slavic serials.

3.) Includes two outgoing "reconciling" boxes for Serials and Gov-Docs where catalogers will leave reconciling print-outs.

Note: Reconciling will eventually disappear as titles are converted to online serials control.

II.) A staff member from the Materials Control Unit will deliver Incoming serials (including Slavic and Gov-Docs serials) and pick up Outgoing serials at least once a week.

A.) Slavic materials will be sent down on the same book truck as non-Slavic, but kept separate.

B.) Incoming serials will be sorted by serials cataloging staff in the MARC Unit.

III.) Cataloging

A.) Serials for which no copy was found at the point of ordering are searched in the bibliographic utilities for available copy. Serials cataloging staff perform copy cataloging, related and variant edition cataloging, and complex maintenance of existing titles, adhering to national standards and SUL practices.

B.) Serials needing original cataloging are cataloged following Anglo-American Cataloguing Rules, Library of Congress Rule Interpretations, and CONSER guidelines. The Serials Catalog Librarian determines the level of cataloging (either CONSER full (Encoding Level blank) or CONSER core (Encoding Level 4)) unless the selector has already indicated a preference for cataloging treatment.

C.) Local modifications to CONSER full and core standard:

1.) All serials are assigned a classification number.

2.) All serials are assigned at least one Library of Congress subject heading, if appropriate.

D.) Special Collections serials needing original cataloging are cataloged following the procedures for serials as noted in the Special Collections Cataloging Notebook.

E.) MARC Holdings

1.) If the serial title has ceased, or if SUL does not have an active subscription or standing order for the title, the cataloger creates a MARC Holdings record following SUL's implementation of ANSI/NISO Z39.71 [documentation under revision]. The cataloger creates the MARC Holdings record using Encoding Level 3 or Encoding Level 4, based on judgment of the appropriate level of detail.

2.) If the serial title is active, and SUL has an active subscription or standing order, and the pieces in hand have a cover date of 1999 or later, the cataloger does not create a MARC Holdings record. The MARC Holdings data will be generated through serials check-in data supplied by Serials Department staff.

3.) If the serial title is active, and SUL has an active subscription or standing order, and the pieces in hand have a cover date earlier than 1999, the cataloger creates a MARC Holdings record following SUL's implementation of ANSI/NISO Z39.71 [documentation under revision]. The cataloger creates the MARC Holdings record using Encoding Level 3 or Encoding Level 4, based on judgment of the appropriate level of detail.

IV.) Outgoing serials

A.) All serials on the Outgoing shelves will be picked up and taken back to the Serials unit, and returned to the appropriate shelves, or individual staff members, in the Serials Department. Slavic serials will be returned to the Slavic receivers.

B.) Catalog maintenance paperwork will be returned to the individual staff member in the Serials Department.

C.) Reconciling print-outs will be picked up and delivered to the Serials and Gov-Docs reconciling boxes as part of the normal delivery/pick-up run.

D.) Rush Gov-Docs serials should all be returned back to Gov-Docs receiving staff after cataloging. Rush Gov-Docs serials should never be sent to Binding and Finishing after cataloging.

V.) Analyzed serials/Cat-As-Seps

A.) Serials catalogers will fill out a yellow campus messenger flag with the call number and volume designation if the title is analyzed, or marked "CAS" and indicating the volume designation if the title is a cat-as-sep. The campus messenger flag will be inserted into the outgoing pieces.

B.) These serials will be picked up from the Outgoing shelves as part of the normal delivery/pick-up routine, and returned to the appropriate Serials Department staff member. Serials Department staff will sort out the Slavic anals/cat-as-seps and place them on the Slavic shelves.

VI.) Rush serials (red rushes)

A.) These will have red flags inserted by Serials Dept. staff to alert catalogers that they are rush.

B.) These will be delivered the same way as regular serials. The serials catalogers will catalog the rushes before the next outgoing pick-up.

VII.) Incoming Special Collections serials from the Serials Dept.

A.) Large runs will be kept in a designated locked room in the Acquisitions or Catalog Departments. The Ordering Specialist will contact the Serials Cataloger that there are Spec-Coll items to be cataloged.

B.) Small runs will be delivered to the Serials Cataloger and kept in locked cabinets.

C.) After cataloging, the Serials Cataloger will contact Special Collections department staff who will pick up the material from the Catalog Dept. and take it to Spec-Coll for final processing.

VIII.) Bulk serials

A.) Materials Control Unit will deliver serials received as part of a bulk collection to serials cataloging staff in the MARC Unit. The items should have flags inserted which record the curator's decisions regarding handling of duplicates, etc.

B.) Cataloging staff search for copy and import records into Unicorn where appropriate.

C.) Bulk serials requiring original cataloging will receive CONSER minimal level cataloging (Encoding Level 7), following the CONSER guidelines. These are linked from the Program for Cooperative Cataloging homepage.

D.) Local modifications to the CONSER minimal record requirements:

1.) An LC call number will be assigned.

2.) One subject heading (6xx) will be assigned, where appropriate.

E.) Creating authority records for headings on bulk serial records is desirable but not mandatory.

F.) The cataloger records holdings as MARC21 Holdings Level 3 if the run is complete, or if there are no gaps in SUL holdings.

G.) If there is only a single issue, or if there are gaps in the holdings, the cataloger records the holdings as MARC21 Holdings Level 4.

H.) Hardbound bulk serials will be barcoded and sent to Binding and Finishing for end processing.

I.) Unbound bulk serials will be marked with call number by the cataloger and sent to the Serials Department for stamping and delivery to the final shelving location.

IX.) Serials in other formats

A.) Audiovisual and computer file serials are covered in the A/V and computer file materials workflow document [to be posted].

B.) Electronic (Internet) serials: SEE Guidelines for Cataloging Internet Resources.

X.) Serials in Hebrew, Yiddish, and Arabic languages are not included in this workflow.

A.) All serials in Hebrew and Yiddish are cataloged by the Hebraica and Judaica Catalog Librarian.

B.) All serials in Arabic languages and Turkish are cataloged by cataloging staff in the Middle Eastern Area Studies Group.

Last modified: June 22, 2005