Version 16 Serials

Serials2

Session Agenda

Stage 0: IntroductionStage 1: CatalogingStage 2: SubscriptionsStage 3: PredictionStage 4: Check-in Stage 5: Routing Stage 6: ClaimingStage 7: BindingStage 8: Serial Finance

Serials3

Stage 0: Introduction

Serials4

There are six NavigationTrees, the last two directly relevant to serials control:

Order Navigation Tree Invoice Navigation Tree Admin Navigation Tree Index Navigation Tree Serial Navigation Tree Search Navigation Tree

You may use the direct access options to access titles that are managed through this Module (i.e. for whom orders were created).

Acquisitions and Serials/Serials Overview

Direct access to serial titles

Direct accessto orders andinvoices

Serials5

Acquisitions and Serials/Serials OverviewOnce a serial title is opened in Acquisitions and Serials, all its related functions, from ordering to check-in, are available under various Navigation Trees.

Order Navigation Tree: budget/subscription managementAdministration Navigation Tree: Budget/vendor/currency definitionsInvoice Navigation Tree: invoice managementSerials Navigation Tree:Subscription/prediction/check-in/routing

Serials6

Acquisitions and Serials/Serials OverviewUse the Overview Mode to viewall the records related to the BIB record (ADM, HOL, items, subscriptions, orders and loans).

Click on any node to view its full details in right pane:

Serials7

The Operations Bar (Bottom)Lower-left: displays server communication.

When the client communicates with the server, a red ‘stream’ displays:

Lower-right (right-click) Login, • password changing and privileges• Menu language setup• Connect to a different library• Printing options

• Exit all ALEPH applications

Open other Modules: Circulation, Cataloging, ILL and ALEPHadm

Serials8

Select Library

To connect to an administrative library select:ALEPH/Connect to…

You may also connect by right-clicking on the Library icon on the Operations Bar:

Look at the Title (Windows) Bar to view the library (and server) you are currently connected to.

Serials9

Importing Tables

When you connect to the required library, the system checks to make sure that the module is using the most recent version of the print files.

If these have been modified, they will be downloaded to your pc (Depending on setup).

You will see a ‘Transfer File’ window appear briefly upon initial connection:

Serials10

Serials Functions• Subscription• Prediction Patterns (Holdings Control)• Check-in• Claiming• Routing• Global Changes/Bindery• Standing Orders

What’s done elsewhere… Where?• Serial title cataloging Catalog Module• HOL record cataloging Catalog Module• Serial ordering and encumbrance Acquisitions and Serials and

Serials Module• Vendor/budget/currency definitions Admin Tree in Acquisitions and Serials Module

Serials11

Definitions: Subscriptions and ItemsIssue at hand: “Time”, Vol. 144, no. 26.

The library has three Subscriptions of “Time”(perhaps one for each sublibrary/Holding location).

Three Items: each physical copy of this issue received by the library.

Serials12

Definitions: Orders vs. Subscriptions Order: Assuming there is a single order with the vendor for 3 copies - 3 Units are entered into the Order Form.

Subscription: Each copy received from the vendor must have an ALEPH Subscription Record.

In Serials, 3 Subscriptions should therefore be created for the above.

Serials13

Serials Records Relationships

BibliographicRecord

Subscription

ItemsItems

HoldingsRecord (Prediction*) Administrative

Record (Prediction*)

HOL-Item

Link

RoutingList

RoutingList

Subscription

*The prediction pattern resides in the HOLdings record.

Serials14

The Subscription Record

Subscription records (Z16) contain information relevant to the individual subscriptions (copies) of the serials held by the library.

The subscription record defines item parameters, such as location and claim information, for each of the serial items linked to that record.

*There should be one subscription record per each ‘copy’*

Subscription log record (Z71) – subscription transactions and order transactions (if the subscription is linked to the order).

Serials15

Serials Subscriptions - an Example

3 subscriptions (same vendor, different sublibraries):

Serials16

Item Records

Item records (Z30) are created for each physical copy of an issue, and are linked to subscriptions.

Item records are created automatically once issues are expected. They may also be created manually.

These items can be requested, loaned and viewed on the OPAC (based on item status and depending on table setup).

Serials17

Item List - an Example

An Items List of a bi-monthly title (Staff view):

Serials18

Item Records

An item list of a quarterly title (Web OPAC view):

Serials19

Claim and Routing Records

Claim records (Z20)There is a claim record for each claim and its resulting vendor’s reply. Each claim sent will creates a new claim record.

Routing Lists (Z18), Routing List Member (Z14) and RoutingTrace (Z22)“Routing” means that each new checked-in issue will be loaned (or given) automatically to a group of patrons.

Routing Lists are created for specific subscriptions. Eachsubscription can have several routing lists linked to it.

Serials20

Prerequisites for Serials Control

• A bibliographic (BIB) record (Cataloging Module)

• A holdings (HOL) record with a Prediction Pattern (Cataloging or Acquisitions and SerialsModules)

• Vendors defined (Admin Navigation Tree Tab in Acquisitions and Serials Module)

• Budgets and Currencies defined, required for the acquisitions process (Admin Navigation Tree Tab in Acquisitions and Serials Module)

Serials21

Workflow 1: Defining a New Serial (with order)

• Import or Catalog the Bibliographic record • Create a HOLdings record• Create a prediction (853/853X fields in the HOL record)• ‘Push’ to Acquisitions and Serials Module• Create an ORDER for the title• Create SUBSCRIPTION records for each copy ordered by the library• Select the Serials Navigation Tree Tab• Link the Subscription to a HOLdings record• Create Routing List (s) (optional)• Open expected items – you’re ready to start check-in.

Serials22

Workflow 1: Defining a New Serial (without order record)

• Catalog the Bibliographic record

• Create a HOLdings record

• Create a prediction (853/853X fields in the HOLdings record). • ‘Push’ to Acquisitions and Serials Module

• Create SUBSCRIPTION records for each copy ordered by the library

• Link the Subscription to a HOLdings record

• Create Routing List (s) (optional)

• Open expected items – you’re ready to start check-in.

Serials23

There are two methods for finding serial titles:

• Direct Search for a specific title by various indexes such as Title, ISSN or SICI code.• The Search Navigation Tree Tab – keyword searching/browsing for titles.

Searching for Serial Titles

Serials24

Searching for Serial Titles

After locating the desired record in the Search Navigation Tree Tab, highlight it in the upper pane, so that it will display in full in the lower pane. Click on the “Serials” button to move into the Serials Navigation Tree Tab;relevant nodes display:

Serials25

Stage 1: Cataloging

Serials26

Cataloging the Serial Title

In the Cataloging Module, catalog the following title, based on your position number in the class (Journal of Academic…1 for position 1 etc.):

Journal of Academic Librarianship xISSN: 0099-1333Imprint: New York : Elsevier Science Inc.Frequency: bimonthly

Serials27

Pushing the New Record to Serials

After saving the new record on the server, select Cataloging/Open Serials Record to ‘push’ the new title to the Serials Navigation Tree Tab in the Acquisitions and Serials Module:

Serials28

Stage 2: Subscriptions

Serials29

Notes on Subscriptions

• The Subscription Record in the Acquisitions and Serials Module is an internal ALEPH mechanism. • The Subscription period specified in the Order Form refers to an external record intended for the vendor.

• Subscriptions ‘pass on’ to items created from them parameters such as Item Status, Location (sublibrary/ collection/call number), claim definitions etc.

Serials30

Creating the Subscription

Create 2 subscriptions for your serial title:

To do:Create 2 open-ended subscriptions (for 2different sublibraries), both ending on 12/31/2099.

Serials31

The Subscription List

To add a new subscription, click the “Add” button in the Subscription List:

Serials32

The Subscription Information Form

Mandatory fields

Serials33

The Subscription Log

To view, click the “Subscription Log” button in the Subscription List:

If the Subscription is

linked to an order, order-

related transactions will

also display.

Order-related log

transactions

Subscription-related

log transactions

Serials34

The Subscription Log

System-generated (automatic) transactions :• 32 – Subscription created• 33 – Subscription changed• 34 – Change to issue arrival date • 35 – Issue modified (Issue item)

Transactions that can be added manually :• 95 – Subscription history note• 98 – Correspondence with vendor

Serials35

The Holdings Connection

One or more HOLdings records may be linked to the BIBliographic record.

Subscriptions may then be linked to HOLdings records.

In most cases the HOLdings record will include the prediction pattern.

Serials36

The Holdings ConnectionFrom the lower pane of the Subscription List, it is possible to link a Subscription to a Holdings record from 4. HOL Links tab in the lower pane. Click “Create New” to add a HOL link to the subscription currently highlighted in the Subscription List:

Serials37

The Holdings Connection

BIB

HOL

HOL

HOL

Subscription

Subscription

Subscription

Item

Item

Item

Item

Change

holdings

information

here

And

see

the

change

here...

and

here

Serials38

Subscription Renewals

Depending on the Renewal Date specified in the Order Form (3. Vendor tab), it is possible to send renewal letters to the vendor using a batch service (acq-23). The Renewal Date is automatically increased by one year once letters have been sent:

Serials39

Stage 3: Prediction

Serials40

Prediction TheoryIn order that the system can generate serial item (issue) records automatically (needed for efficient check-in and claiming), the system requires two types of records: a Subscription and a Publication Pattern.

This allows the system to open item records for expected issues. In ALEPH, every copy of every issue of a serial must have an item record to enable check-in, claiming, routing and circulation activities.

A serial Publication Pattern is based on information both in the Publication Pattern (for example, frequency and numbering pattern) and on the library's collection (that is, the first controlled volume number and year).

Serials41

Prediction with fields 853/853XThis method involves two fields, 853 and 853X (based on MARC 21 Holdings). Catalog these fields in the HOLdings record so that it will produce items ready for check-in.

853 has the serial’s general prediction data and issue description853X has information on that serial in our library collection and links it to a subscription.

Example:853 defines the title as a monthly, with issues described in the format of “v.1:no. 1 (1999:Jan.)”.853X says our library’s controlled collection starts with the v.5:no.6 (2003:Jun.) issue, and issue dates are on the 10th of each month.

Serials42

Schedule or Pattern?Two methods of prediction are available (but all pattern records for a given title must be defined in the same type of record): Schedule or Pattern (in either the ADM or the HOL record).

• Pattern (fields)– "Pattern" uses the MARC 21 Caption and Pattern fields

(853/4/5), and proprietary Enumeration and Chronology fields (853X/4X/5X). These should be either in the ADM or the HOL record linked to the BIB record.

• Schedule (Form) Not used by North American Libraries– “Schedule” is a format specific to the ALEPH system.

As a rule of thumb, the ALEPH Publication Schedule Form can be used for simple patterns.

Serials43

Pattern Fields Method

Whenever the terms “853 or 853X” are used, they also mean to refer to 854 or 854X, and 855 or 855X.

853 and 853X: for the basic pattern of a title854 and 854X: for supplements855 and 855X: for indexes

Serials44

Prediction Pattern Fields$$a - f Enumeration (6 levels)$$g - h Alternative enumeration (2 levels)$$i - l Chronology (4 levels)$$m Alternative Chronology$$o Type of supplementary material (only in 854/855)$$u Number of units per next higher level$$v Numbering continuity $$w Frequency code (from MARC21)$$x Calendar change$$y Regularity pattern$$3 (ALEPH) Publication date of first controlled issue$$8 (ALEPH) Link an 853/853X pair where more than one

pattern exist for one title$$9 (ALEPH) Link a pattern to a subscription

Serials45

Prediction Pattern

You may enter a new pattern in one of two ways:

• In the Cataloging Module – during normal cataloging– Create from a pattern template (recommended) , or– Create from scratch

• In the Acquisitions and Serials Module – after cataloging, using special forms.

Serials46

Cataloging Module Pattern Creation The 853/853X pair can be cataloged at the title- cataloging stage.

After the BIB record is saved to server, open/create the HOLdings record, and catalog the 853/853X pair there.

The fastest way is to use existing pattern templates.

Serials47

Cataloging Module Pattern CreationThe list of pattern templates is available from Edit/Expand from Template [Ctrl+E] when you are connected to an ADM or to a HOL library.

Serials48

Cataloging Module Pattern CreationSelect the template which best matches the required pattern and click “Open”.

The cataloging draft will then open, showing the 853/853X fields that were pre-defined for this pattern.

You may need to modify some of the subfields to reflect your own library’s collection, especially in the 853X field.

See a preview of one cycle of items that will be created from the new pattern by clicking Edit/Preview Publication Schedule (while the 853X field is highlighted):

Serials49

Cataloging Module Pattern CreationAn example of a cataloging draft created from a bimonthly template (note that standard fields such as LDR, 008 and LKR are included in the pattern templates):

Serials50

Pattern-Making in Serials

To create the pattern in the Acquisitions and Serials Module, you must first define a Subscription record (to which the pattern will be linked.)

Prediction Patterns created in Serials will be created by default in the ADM record, unless a HOLdings record already exists.

In that case, a window displays with a choice between existing ADM and HOLdings records that are linked to the BIB record.

Serials51

Serials Pattern-Making• Catalog the Bibliographic record in the Cataloging Module • ‘Push’ it to the Serials Navigation Tree Tab (Cataloging/Open Serials Record)• Create a subscription and select the Patterns sub-node (under the Control node) • Click “Add” in the upper pane to open the 3.Pattern tab inthe lower pane• Click the “Template” button and select an appropriate template.• Click “Add” in the lower pane• Select the 2.Level-X tab in the upper pane • Click “Add” to open the 4.Level-X tab in the lower pane• Click the “Template” button and select an appropriate template• Edit 853X dates and numbers to match your library’s own collection• Click “Add” in the lower pane

Serials52

Serials Pattern-Making

To preview a full cycle of items that will be created from that pattern, open the Level-X tab in the upper pane, followed by the 5. Expected Schedule tab in the lower pane:

Serials53

Multi-Pattern Schedule

Subfield $8, cataloged in both the 853 and 853X fields, makes it possible to create “coded pairs”, allowing multiple prediction patterns for a single title.

Both $8 subfields should contain the same number.

Serials54

Patterns for Multiple SubscriptionsSubfield $9 in the 853X field links it to a specific subscription.

If there is only one subscription and one 853/853X pair, the $9 subfield is added automatically to the 853X with a value of “1”.

Serials55

Patterns for Multiple Subscriptions

Subscription List

Serials56

Importing and Exporting Patterns

Batch services serial-51 (for exporting), and serial-52 (for importing), can be used by libraries with similar serial holdings to exchange prediction patterns for these titles.

Serials57

Stage 4: Check-in

Serials58

Check-in Theory

In ALEPH, the ALEPH Subscription is a virtual entity used for prediction.

The Item is a physical issue, for check-in, routing and circulation.

When you ‘open’ Items, you actually create expected items awaiting check-in (with the arrival date left empty).

When you check in an Item, the arrival date is added to it.

Serials59

Opening Items

There are two methods for opening items for check-in:

Method 1:

Regularly using the Open expected issues - serial-13 Service

Method 2 (manually per subscription):

Using the “Open Items” button on the Expected Issues tab in the lower pane (in the Patterns node, with the Level-X tab open in the upper pane).

Serials60

Opening Items – Method 1

The serial-13 service will ‘open’ all serial items whose EDA (expected date of arrival) falls before the specified date (i.e. create items and make them ‘expected’).

The ‘To’ Date

01/01/2003

Serials61

Opening Items – Internal Workflow1. The system searches the HOL record for any 853/853X pair,

and for a HOL-linked subscription, and opens the items whose EDA falls before the specified date.

2. If no 853/853X fields exist, or there is no subscription linked to the HOL record, the system searches the ADM record for an 853/853X pair.

3. Items will be opened from the date specified in 853X$3 to the end of the cycle for the current year.

4. 853X is updated in the HOL (or ADM) record (i.e. ‘jumps’ to the next volume number and year).

Serials62

Checking in Workflow

Serial check-in can be handled in one action for a group of

copies (‘like’ items), or individually for each item.

1. Select the sublibraries for which you wish to check items in - Control node/Control Setup tab.

Serials63

Checking in Workflow

2. Search for the first title whose issue(s) you wish to check in – use title, ISSN, SICI code or any other predefined indexes:

Serials64

Checking in Workflow

3. Once the title is found, select the expected items from the 2. Expected/Not Arrived tab, and click the “Arrive” button:

The Arrival Form tab will open in the lower pane allowing you to amend the system-generated barcode, add the number of pages or add an OPAC Note.

Serials65

For multi-subscription titles, you can use the Group node, where a group of ‘like’ items can be checked in simultaneously. (‘Like’ items share the same enumeration and chronology). You may filter by sublibrary, or by sublibrary/collection.

Select any line and click “Arrive” to check in all ‘like’ items.

Checking in Workflow – Group Check-in

Serials66

Arrived Issues Reports

You can use the Print Arrived Issues report (serial-06) – to see what issues have been received for a defined period.Use the Titles and Number of Issues report (serial-16) - for a defined period:

Journal of Happiness 4

Review of Melancholia 8

Spirituality Now 2

…

Total number of issues 14

Serials67

Merged (Combined) ItemsTwo or more issues can be easily merged (combined).

In the Group node, multi-select the merged items (or the groups of ‘like’ items), and click “Merge”.

The issue record of the last line is retained, and the other lines are deleted. Correct the fields in the record displayed in the lower pane to match the issue in hand.

The content of the Description field should be omitted as the system will automatically populate it with new data.

Serials68

Additional Items

You may add unpredicted items to the Items list by using the “Duplicate” button on the upper pane while in the Check-in node.

Complete the relevant information in the Arrival Form tab in the lower pane, and click “Add”.

For correct sorting, make sure the new items’ enumeration and chronology data is correct.

This workflow is useful for both duplicates and unpredicted extra issues.

Serials69

Irregular Titles

There are titles which are unpredictable, where no workable pattern can be devised.

Two methods:• The ‘Building blocks’ method using the “Add” button to add new items as they arrive.

• Predicting an approximated pattern and amending items as they arrive.

After a full cycle has been checked in, perhaps a more accurate pattern can be created for the next cycle.

Serials70

Stage 5: Routing

Serials71

Routing Theory“Routing” means loaning newly arrived items of specific titles to a group of patrons or staff.

The system automatically loans any new issue to a defined ‘Group Leader’, (either one of the group members, or an entity such as “Biotechnology Group” with a patron record).

The Due Date is calculated by multiplying the number of group members by the number of days we allow each member to hold on to an issue.

Routing Lists are linked to subscriptions – multiple lists may be created per each subscription.

Serials72

Defining a Routing GroupTo add a new group, open the Routing Lists node for the desired subscription, and click “New”. Complete the 1. Routing Info tab in the lower pane and click “Add”:

Click the “Duplicate” button in the upper pane to copy an existing group.

Needed for this exercise

Serials73

Adding Group MembersTo add members, click on the 2. Member List tab in the lower pane. Click “New” to start adding new members, followed by “Update” once you added one from the patron list. Use the up/down arrows to move members up and down in the queue:

Remember: 1. A patron can only be on one list per title. 2. A group leader can ‘lead’ more than one group per title.

Serials74

Routing as CirculationEach issue will be loaned automatically to the Group Leader of the first Routing Group.

Upon completing ‘the rounds’ among group members and is returned to the library, it will be loaned automatically to the next group, if any.

Circulation of routed issues can be tracked from the RoutingLists node(s), from the Web OPAC and in Circulation.

Serials75

Routing as Circulation

Table-defined circulation checks are applied to routing loans, but do no stop routing from continuing.

Instead, an error message will display when problems are discovered during a routing loan:

Serials76

Routing List Printouts & ReportsRouting printoutsWith the arrival of an item whose subscription has a routing list, the following printout is available: • Serial Routing List (to be placed inside the routed item)

Routing reports• Report of routing lists (serial-07)• Letters to routing list members (serial-08)

Serials77

Stage 6: Claiming

Serials78

‘One-of’ and Batch Claiming

‘One-of’ (manual) claiming

This can be performed per single issue (item). The Claim List will list your claims adjacent the vendor replies.

Batch claiming

If the Yes checkbox was checked in the 3. Subscription Info 2 tab (Send Claims section), claims will be sent if:

• an issue has not arrived by its EDA (Expected Date of Arrival)

• the service Print Claim Letters

(serial-44) was run.

Serials79

‘One-off’ Claiming

To send a claim manually, click the “New” button in the Claim List tab (under the Claims node). Complete the pre-defined claim form and click “Add”:

Serials80

‘One-of’ ClaimingClaim Textadd free text to the standard, pre-defined claim form text.

Claim Replysummarize here the vendor’s reply to your claim.

Expected Arrival Dateamend the EDA based on the vendor’s reply.

Formatchoose from pre-defined letter format (e.g. a standard claim, damaged material or duplicate copy).

Serials81

Claiming Batch Services

Print Claim Report (serial-04)Print Claim Letters (serial-44):

Dear Sir/Madam,

The following items, which were expected to arrive, have not been received as yet. Please forward them as soon as possible, or return this form with your comments.

Journal of earth sciences ISSN: 0022-0442

001. Issue Description:Issue date: 2/1/2003 Expected arrival date: 20/1/2003Description: Vol. 26 no. 1Sub-library: Science

Serials82

Serial Order Claiming

It is also possible to report on serial-type orders for which no items at all were ever received, using the Claim Report for Serial Orders (acq-19) Report:

Serials83

Stage 7: Binding

Serials84

Binding Theory

Binding is done from within the Items List node. The process involves selecting items which ready for binding*, collating them (based on a sublibrary filter) and creating a new item representing the bound volume.

Bound items cease to exist in the system, but a history record is kept of each separate issue record.

The actual binding process (sending to a binder etc.) can also be monitored.

*Non-arrived items, and those on loan, cannot be bound.

Serials85

Binding

on the Items List, select an item which is one of the items you wish to bind, and click “Bind/Changes” the Items List for Binding window displays:

Select all the items making a volume, move them with the arrow to the right pane and click “Bind”.

Serials86

Binding

An Item Form for the new bound volume will display in the lower pane – complete the fields with details of the new volume (e.g. enter a new item Description).

After saving, the Material Type field will be updated automatically by the system to “ISSBD” (for “bound issue”), and a relevant Item Process Status will be assigned (e.g. “BD”, set up in a table).

Serials87

Binding as Circulation

The bound volume can be ‘loaned’ to the binder (defined as a patron in the Circulation Module) for the duration of the binding process.

System table setup will determine whether patrons can view the bound volume in the OPAC, and place hold/photocopy requests for it while it’s with the binder.

15A ## BD L In binding N N N N Y

Item Process Status View in Web OPAC

Loan/renew/hold/photocopy requests

Serials88

Stage 8: Serials Encumbrances

Serials89

Serial Encumbrance Issues

• The Budget Cycle

• Annual Encumbrances

• Registering Serial Invoices

• End-of-year Procedures

Serials90

The acquisitions Order Form for serial-type orders, under the 3. Vendor tab, includes the Budget Cycle (in full years). For example, the default “1” Means that this order will encumber a budget once every year.

(e.g., the Renew Order Encumbrance (acq-06-b) process will be generated against this title once a year):

Encumbrance - Budget Cycle

Serials91

Encumbrance List

All annual encumbrances for the order will display on the Order Budget list (upper pane, from the Encumber sub-node under the Order node).

Encumbrances are renewed by a service (acq-06-b), with an option to also specify an annual increase):

New encumbrancewith a 10% increase

Serials92

Serial Invoice History

Serial invoices (Line Items) for serial titles are listed in the Order Invoice Lines tab in the upper pane (from the Invoice sub-node under the Order node):

The invoice history for the title may be so viewed.

Serials93

Linking Invoices to Budgets

If more than one budget is valid for a given Invoice Date, Choose the correct budget-year first before closing the Line Item form.

If there is a problem with a selected budget, an error window displays:

Serials94

Serial Invoice Period

You may record the Invoice Period (Subsc.) for serials in the Line Item form. It is also possible to specify whether overlapping between two invoices will be allowed using the checkbox:

Serials95

End-of-Year Procedures

Depending upon library policy one or both of

the following end-of-year procedures can be

run routinely:

• Open Annual Budgets (acq-05)

• Renew Order Encumbrances for Serials (acq-

06-b)

• Transfer Remaining Balance (acq-07)

Serials96

Open Annual Budgets

To open annual budges for next year:

Serials97

Encumbrance Renewal

To re-create serial encumbrances for the new budget year (optionally, you can also specify an estimated price increase).Unlike monograph encumbrances, which move from one year to the next, serials are re-created each year:

Serials98

Transfer Remaining Balance

To transfer the budgets’ remaining balance (positive/ negative) to the new budget: