1. Version 16 Serials

2. Serials 2 Session Agenda Stage 0: Introduction Stage 1: Cataloging Stage 2: Subscriptions Stage 3: Prediction Stage 4: Check-in Stage 5: Routing Stage 6: Claiming Stage 7: Binding Stage 8: Serial Finance

3. Serials 3 Stage 0 : Introduction

4. Serials 4 There are six Navigation Trees, 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 access to orders and invoices

5. Serials 5 Acquisitions and Serials/Serials Overview Once 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 management Administration Navigation Tree:Budget/vendor/currency definitions Invoice Navigation Tree: invoice management Serials Navigation Tree:Subscription/prediction/check-in/routing

6. Serials 6 Acquisitions and Serials/Serials Overview Use the Overview Mode to view all 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:

7. Serials 7 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

8. Serials 8 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.

9. Serials 9 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:

10. Serials 10 Serials Functions Subscription Prediction Patterns (Holdings Control) Check-in Claiming Routing Global Changes/Bindery Standing Orders What’s done elsewhere…Where? Serial title catalogingCatalog Module HOL record cataloging Catalog Module Serial ordering and encumbranceAcquisitions and Serials and Serials Module Vendor/budget/currency definitionsAdmin Tree in Acquisitions and Serials Module

11. Serials 11 Definitions: Subscriptions and Items Issue 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.

12. Serials 12 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.

13. Serials 13 Serials Records Relationships Bibliographic Record Subscription Items Holdings Record (Prediction*) Administrative Record (Prediction*) HOL-Item Link Routing List Routing List Subscription *The prediction pattern resides in the HOLdings record.

14. Serials 14 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).

15. Serials 15 Serials Subscriptions - an Example 3 subscriptions (same vendor, different sublibraries):

16. Serials 16 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).

17. Serials 17 Item List - an Example An Items List of a bi-monthly title (Staff view):

18. Serials 18 Item Records An item list of a quarterly title (Web OPAC view):

19. Serials 19 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 Routing Trace (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. Each subscription can have several routing lists linked to it.

20. Serials 20 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)

21. Serials 21 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.

22. Serials 22 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.

23. Serials 23 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

24. Serials 24 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:

25. Serials 25 Stage 1 : Cataloging

26. Serials 26 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 x ISSN: 0099-1333 Imprint: New York : Elsevier Science Inc. Frequency: bimonthly

27. Serials 27 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:

28. Serials 28 Stage 2: Subscriptions

29. Serials 29 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.

30. Serials 30 Creating the Subscription Create 2 subscriptions for your serial title: To do: Create 2 open-ended subscriptions (for 2 different sublibraries), both ending on 12/31/2099.

31. Serials 31 The Subscription List To add a new subscription, click the “Add” button in the Subscription List:

32. Serials 32 The Subscription Information Form Mandatory fields

33. Serials 33 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

34. Serials 34 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

35. Serials 35 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.

36. Serials 36 The Holdings Connection From 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:

37. Serials 37 The Holdings Connection BIB HOL Subscription Item Change holdings information here And see the change here... and here

38. Serials 38 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:

39. Serials 39 Stage 3: Prediction

40. Serials 40 Prediction Theory In 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).

41. Serials 41 Prediction with fields 853/853X This 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 description 853X 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 10 th of each month.

42. Serials 42 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.

43. Serials 43 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 title 854 and 854X: for supplements 855 and 855X: for indexes

44. Serials 44 Prediction Pattern Fields $$a - f Enumeration (6 levels) $$g - h Alternative enumeration (2 levels) $$i - l Chronology (4 levels) $$mAlternative Chronology $$o Type of supplementary material (only in 854/855) $$uNumber of units per next higher level $$vNumbering continuity $$wFrequency code (from MARC21) $$xCalendar change $$yRegularity 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

45. Serials 45 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.

46. Serials 46 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.

47. Serials 47 Cataloging Module Pattern Creation The 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.

48. Serials 48 Cataloging Module Pattern Creation Select 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):

49. Serials 49 Cataloging Module Pattern Creation An 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):

50. Serials 50 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.

51. Serials 51 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 in the 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

52. Serials 52 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:

53. Serials 53 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.

54. Serials 54 Patterns for Multiple Subscriptions Subfield $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”.

55. Serials 55 Patterns for Multiple Subscriptions Subscription List

56. Serials 56 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.

57. Serials 57 Stage 4: Check-in

58. Serials 58 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.

59. Serials 59 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).

60. Serials 60 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

61. Serials 61 Opening Items – Internal Workflow 1.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).

62. Serials 62 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.

63. Serials 63 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:

64. Serials 64 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.

65. Serials 65 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

66. Serials 66 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

67. Serials 67 Merged (Combined) Items Two 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.

68. Serials 68 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.

69. Serials 69 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.

70. Serials 70 Stage 5: Routing

71. Serials 71 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.

72. Serials 72 Defining a Routing Group To 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

73. Serials 73 Adding Group Members To 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.

74. Serials 74 Routing as Circulation Each 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 Routing Lists node(s), from the Web OPAC and in Circulation.

75. Serials 75 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:

76. Serials 76 Routing List Printouts & Reports Routing printouts With 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)

77. Serials 77 Stage 6: Claiming

78. Serials 78 ‘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.

79. Serials 79 ‘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”:

80. Serials 80 ‘One-of’ Claiming Claim Text add free text to the standard, pre-defined claim form text. Claim Reply summarize here the vendor’s reply to your claim. Expected Arrival Date amend the EDA based on the vendor’s reply. Format choose from pre-defined letter format (e.g. a standard claim, damaged material or duplicate copy).

81. Serials 81 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: 2/1/2003Expected arrival date: 20/1/2003 Description: Vol. 26 no. 1 Sub-library: Science

82. Serials 82 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:

83. Serials 83 Stage 7: Binding

84. Serials 84 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.

85. Serials 85 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”.

86. Serials 86 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).

87. Serials 87 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

88. Serials 88 Stage 8: Serials Encumbrances

89. Serials 89 Serial Encumbrance Issues The Budget Cycle Annual Encumbrances Registering Serial Invoices End-of-year Procedures

90. Serials 90 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

91. Serials 91 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 encumbrance with a 10% increase

92. Serials 92 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.

93. Serials 93 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:

94. Serials 94 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:

95. Serials 95 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)

96. Serials 96 Open Annual Budgets To open annual budges for next year:

97. Serials 97 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:

98. Serials 98 Transfer Remaining Balance To transfer the budgets’ remaining balance (positive/ negative) to the new budget: