HELIN Serials Committee Manual
Revised 6/26/06

PURPOSE:
The Serials Committee is charged to coordinate among the member libraries using the serials module the creation and implementation of polices, procedures, documentation, and training related to the maintenance and enhancement of access to serials.

MEMBERSHIP:
The committee is comprised of a core membership made up of one appointed representative from each full membership institution, and one representative for each group of affiliates.  Appointments are made at the discretion of institution administrators taking into consideration the relevance of each committees charge to their own institutions operations. Each appointed representative will serve for a term of two years, after which time they may be reappointed or replaced at the discretion of member institution administrators. The committee elects its own Chair for a term of two years.

MEETINGS:

Committee meetings should be attended by the appointed representative from each institution or an appropriate substitute.  Attendance should be agenda-driven, i.e. by the person whose responsibilities and areas of expertise best suit the agenda topic(s). Meeting attendance is at the discretion of member institution administrators and is not regulated by HELIN. All meetings will be attended by a representative of the HELIN Central Office. Meeting agendas must be posted to the HELIN list by the Chair not less than one week prior to the date of the meeting.  Minutes for each committee meeting are to be critiqued by the committee chair prior to posting and then posted to the list within two weeks following the meeting.
 
 

I. Use of Holdings Records and Check-in Cards in HELIN

Approval must be obtained from the HELIN Serials Committee to unsuppress check-in cards for a monograph.  Exceptions to this policy will be considered by the HELIN Serials committee on a title by title basis. If the committee agrees to the exception, the decision will be recorded in the HELIN Serials manual and also in internal notes of each of the check-in records that will be unsuppressed or retained because of the exception.  (See Appendix A)

II. Field by Field Procedures for Check-in Records

2. RLOC: Receiving location, single digit code, each institution allowed a maximum of six. Give Information to HELIN staff for input into HELIN.
RLOC for HELIN is "7". This location code is used to indicate a free e-journal which will be accessed ("received") by all HELIN Consortium Libraries.

3. SCODE1: single digit code, 0-9, a-u; do NOT use b (assigned by III). Each library will determine its own use for SCODE1, will mean no on-line help available.

4. SCODE2: single digit code.  To add codes to this list, consultation with HELIN Serials Committee is required.
n = suppression
t = temporarily suppressed (not generally used)
p = permanently suppressed (not generally used)
- = unsuppressed
b = suppressed/print (not generally used)
m = curr. micro. s
x = Bryant Security Strip

NOTE: for suppression of BIB record, place "n" in BCODE3

5. SCODE3: single digit code  Not all codes used by all libraries.
a = active (current subscription)
b = mfilm and paper copy (active subscriptions)
c = canceled (library no longer receives title)
d = dead (title ceased bibliographically)
e = online only
f = active Electronic and Paper
g = inactive Electronic and Paper
h = inactive online
m = microfilm only (active subscription)
n = do not keep (do not bind titles)
o = microfilm only (no paper copy)--inactive
p = pending (title under consideration for cancellation)
s = suspended ( title held in abeyance by publisher)
t = one time only (no active subscription)
u = unknown (title appears to be inactive; status unknown)
w = withdrawn (title no longer held by library)
x = microfilm and paper copy (both subscriptions inactive)

6. SCODE4: single digit code 
Each library will determine its own use for SCODE4, will mean no on-line help available.

7. LABEL TYPE: Used at institution's discretion for formatting printed labels.  See III manual for formats.

8. VENDOR CODES: Up to 5 digits, corresponds to vendor addresses used by each institution. Institutions will prefix their vendor codes with the following agreed upon letters:

1  = Bryant College
A = CCRI
B = Providence College
C = (not in use)
H = HELIN
J =  Johnson & Wales University
N = URI Pell
P = (not in use)
R = Rhode Island College
S = URI Kingston Serials
U = URI Kingston Monographs
V = Salve Regina University
W = Roger Williams University
X = URI CCE

Institutions may consider using a vendor code for dead serials (no current subscription), consisting of Library prefix followed by 3 dashes (e.g. s---) to clearly distinguish dead titles.
Vendor codes are established in conjunction with other departments within each institution.

9. IDENTITY FIELD: Used to distinguish between check-in records attached to same bibliographic record, especially to denote format of material being checked-in. To maintain uniformity in the OPAC, the terms need to be agreed upon by the Serials Committee.

[blank] = paper/print
MICROFILM
MICROFICHE
MICROCARD
CD-ROM
COMPUTER DISK
INDEX
FREQUENCY [e.g. ANNUAL]
MONTHS and YEARS acceptable for complex holdings.

For Complex titles, such as U.S. Code Service, Lawyers Edition, new IDENTITIES have to be established to identify the parts published.

Do NOT use PAPER or PRINT in the IDENTITY Field.

10. S FIELD: Subscription Number, information supplied by each institution's vendor (e.g. EBSCO)--includes title, vendor and invoice information. This information must be present in check-in records to facilitate electronic claiming.

For EBSCO input information as follows:
Account Prefix; Account Number; Suffix Number; Subscriber Code; Title Number [e.g. RB1234500 AA 123456789]

11. Holdings Fields. EVERY Serials check-in record must have a LIB HAS statement.  Complex holdings statements are truncated. Institutions will comply with ANSI standards as much as possible (See Table 3.1, pg 21 of the ANSI standards).

There will be two holdings fields:
LIB HAS: summary holdings statement
MISSING: specific issues lacking from holdings.  When the missing issues field is used, the word "incomplete" should be placed 4 spaces after the end of the "Library Has" statement.

Agreed on use of lower case v. (no., pt., etc.) and to repeat v. (no., pt., etc.) before each applicable number. For numbered editions (rather than volumes), use ed. rather than "v.". In check-in boxes, you may use the volume number space for the edition number or enter the edition number in the NOTE Field in the box.

SAMPLE HOLDINGS STATEMENTS:

I. Patterns for displaying holdings with 2 levels of enumeration and chronology:

open, complete LIB HAS: v.20(1977)-
open, incomplete LIB HAS: v.20(1977)- incomplete
MISSING: v.20:no.1,2, v.27, v.33:no.7
closed, complete LIB HAS: v.20(1977)-v.35(1992)
closed, incomplete LIB HAS: v.20(1977)-v.35(1992) incomplete
MISSING: v.20:no.1, v.27

Gaps are noted in the MISSING field, not in the LIB HAS field. (Exception--if the gap is significant, include it in the LIB HAS field, {i.e. LIB HAS: v.1(1970)-v.3(1972), v.12(1981)- }).

The designation "incomplete" signifies the need to consult the missing field or check-in card for detailed holdings information.

Note: "incomplete" follows 4 spaces after holdings information

For MISSING field:
A colon [:] separates volume and issue numbers
A comma [,] is used to separate volumes
One space separates primary enumeration levels, but there are no spaces between secondary enumeration units.
Chronology is NOT noted in the MISSING Field

II. Patterns for displaying one level of enumeration and chronology:

volumes only--
open, complete LIB HAS: v.20(1977)-
open, incomplete LIB HAS: v.20(1977)- incomplete
MISSING: v.26, v.27, v.33

numbers only--
open, complete LIB HAS: no.20(1977)-
open, incomplete LIB HAS: no.20(1977)- incomplete
MISSING: no.26, no.27, no.33

chronology only (no enumeration)--
open, complete LIB HAS: 1977-
open, incomplete LIB HAS: 1977- incomplete
MISSING: 1977:Jan.,Feb., 1982

Note: Months--Use 3 letter abbreviations [Jan., Feb.]
Seasons--Use Spr., Sum., Fall, Win.
Combined numbers & dates are separated by a slash, [e.g. 1991/1992, Spr./Sum., Jun./Jul., no.½]

For MISSING Field:
Dates of weeklies or dailies are noted as:
MISSING: 1993:Sep.12,19, Oct.9, 1994:Jan.6
   

III. RETENTION or PHRASE Statement agreed upon for use in LIB HAS:

12. HOLDINGS RECORD Notes:
A = alert: Visible only to staff as a "pop-up" when record is opened and in holdings record.

N = note: Visible to patrons if active check-in card is attached and to staff during check-in.  An asterisk [*] may be added to the N note to designate whatever the local institution deems appropriate (e.g. stripping).  The Phrase: "Staff see internal note", can also be used in N note.  Institutions will strive for consistency where possible in the N note.
 
Z = internal note: Visible only to staff.  Z note to be used at each institution's discretion.
 

13. CALL NUMBER FIELD:
The call number field is not indexed.  This field is useful only in displaying the call number, not for sorting purposes.
 
 

ADDITIONAL GUIDELINES:

Electronic Serials

Electronic serials are cataloged as specified in the HELIN Cataloging Policies and Procedures Manual section IV.B.5.  Normally, bibliographic records for e-serials are provided by Serials Solutions and loaded monthly by the HELIN Central Office. NO attached records (check-ins, items, orders) may be used with them. For e-serials which must have attached order records, “dummy” bibliographic records may be entered, but they must be suppressed, like membership records.

 Holdings of e-serials must be maintained in each institution’s Serials Solutions Client Center. Adding a title in the Client Center will automatically result in holdings being added in the HELIN catalog, however, when a title is deleted (whether by the library or the publisher), the library’s holdings symbol must be manually deleted from the HELIN bibliographic record for that title. The HELIN Central Office is responsible for notifying Serials Committee members when their institution has holdings symbols to delete, but it is the committee member’s responsibility to see that the list of changes is created, reviewed by the person responsible for their Serials Solutions Client Center, and implemented by the person who maintains their bibliographic records. If the list of changes includes titles that were “wrongly lost” (i.e., Serials Solutions has reported that a title was lost, but the institution still has access to it), the institution should notify the Serials Solutions representative, not the HELIN Central Office.

Titles not found in Serials Solutions should be requested through the Serials Solutions Client Center.  A library may add a bibliographic record for the title with the understanding they will delete the record when the Serials Solutions bibliographic record appears in the OPAC.

Government Document electronic serials will be treated as outlined in the HELIN Cataloging Policies and Procedures Manual.

Procedures for identifying and implementing holdings changes are as follows.

Serials Solutions Changes  Millennium Review Files (Create Lists)

 Instructions using the existing search strategy:
 Find an empty file
Click “Search Records”
Click “Retrieve Saved Query”
Click on “Serials Solutions Changed Records”
Click “Select”
In the “Review File Name” box type in the name of your search
In the white box next to “Start”, remove existing number and type in:  b28470242
In Line #1, click the box under Value A (currently says PC) and enter your library
In Line #3, click the box under Value A (currently says PC) and enter your library
Click “Search”

Once your list has compiled, you will need to remove your location from the bib. record:  Millennium Review Files

Open your file
Double-click first record
Double-click LOCATION box (or adjacent white box)
Click on your location
Click “Remove Location”
Click “Yes” to delete entry
Click “OK”
Click Close (upper right corner)
Click “Yes” to save changes
Double-click next record
Repeat steps
When completed, empty the review file. 

Records for the same title held in paper and CD-ROM.
The committee agreed that paper and CD-ROM versions of a title are sufficiently different in kind and nature to require separate Bib records for each, unlike microfilm which is simply a reproduction of the original paper. The committee recommends separate Bib and Check-in records for paper and CD-ROM.

Government Publications issued randomly in paper or microfiche.
For these titles, the committee agreed to use only one check-in record, preferably for paper. Add note to box for microfiche issues. If title changes format permanently, close out and start another Check-in record. Use identity MICROFICHE for title on fiche only.

Additional help with Millenium functions may be found online in the III Millenium Guide .

dsanford
revised 1/95; 2/97
jfobert
revised 9/97, 5/03, 12/05