Serials Cataloging Workflow

I.) Four sections of bookshelves are devoted to serials in the Metadata Development Unit. The sections are side-by-side.

  1. The first section is for SERIALS INCOMING materials. Includes incoming serials in non-book physical formats (microform, computer disk, etc.)
    • Includes shelves for incoming non-Slavic materials, a shelf for incoming Slavic serials and a box for incoming catalog maintenance requests (paperwork only).
    • Paperwork requests to catalog Internet resources are left in the maintenance box.
  2. The second section holds the sorted serials awaiting cataloging, with shelves for title changes and maintenance, copy cataloging, and original cataloging.

II.) Staff members from other units (Serials Access and Maintenance (SAM Unit), Monographic Receiving, Gifts & Exchanges, and Data Control Unit) place serials needing cataloging or maintenance on the incoming shelves. Slavic serials should be left on the Slavic incoming shelf.

MDU serials cataloging staff sort the incoming serials into: copy cataloging, original cataloging, catalog maintenance, title changes, and Slavic original cataloging.

The serials original cataloging backlog is split between serials on standing order and unitary order/gift/"no standing order" serials. Serials on standing order are given a higher cataloging priority. Serials in the original cataloging backlog are arranged in order by ckey number.

III.) Cataloging

  • 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 derived original cataloging, and complex maintenance of existing titles, adhering to national standards and SUL practices.
  • Serials needing original cataloging are cataloged following current, nationally accepted standards and, when appropriate, CONSER guidelines. The Metadata Librarian determines the level of cataloging unless the selector has already indicated a preference for cataloging treatment.
  • Local requirements:
    1. All serials are assigned a classification number.
    2. All serials are assigned at least one Library of Congress subject heading, if appropriate.
  • Special Collections serials needing original cataloging are cataloged following the procedures for serials as noted in the Special Collections Cataloging Notebook.
  • 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. 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, the cataloger does not create a MARC Holdings record. (The MARC Holdings data will be generated through serials check-in data.)

IV.) Outgoing serials

  • If the incoming serial came from SAM Unit, MDU serials cataloging staff returns the cataloged serial to the SAM Unit. In the SAM Unit, there are appropriate shelves for returning regular serials, Slavic serials, and Gov-Docs, as well as boxes where paperwork and computer disks are returned.
  • If the incoming serial came from another unit, the serial is sent to Binding & Finishing (B&F) on the MDU B&F delivery truck. Print serials are barcoded before being sent to B&F. Microform serials are not barcoded in MDU.
  • Audiovisual/computer disk serials that did not come from SAM Unit:
    • If the serial is cataloged for Green Media-Microtext, it is delivered to Binding & Finishing after cataloging and placed in the appropriate bin.
    • If the serial is cataloged for SSRC-SSDS, the cataloger must hand deliver the serial to Judy Marsh, Bing Wing Room 120, during SSDS open hours, or leave it in Judy's box in SSRC, outside the staff area.
    • If the serial is for another Green location, contact the selector to arrange hand delivery.

V.) Analyzed serials/Cat-As-Seps to be returned to SAM Unit:

The cataloger will fill out a yellow campus messenger flag with the call number and volume designation if the title is analyzed, or mark the flag "CAS" and indicate the volume designation if the title is a cat-as-sep. The campus messenger flag will be inserted into the outgoing pieces.

VI.) Rush serials (red rushes and Patron Notify blue flags)

  • The cataloger will catalog rush serials within 24 hours after delivery to MDU.
  • Rush Gov-Docs serials should be returned back to Gov-Docs receiving staff after cataloging. Rush Gov-Docs serials should never be sent to B&F.

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

  • Large runs will be kept in a designated locked room in the Acquisitions Department. The Ordering Specialist will contact the Serials Metadata Librarian that there are Spec-Coll items to be cataloged.
  • Small runs will be delivered to the Serials Metadata Librarian and kept in locked cabinets.
  • After cataloging, the Serials Metadata Librarian will contact Special Collections department staff who will pick up the material from MDU and take it to Spec-Coll for final processing.

VIII.) New Collection serials

  • Data Control Unit or Gifts & Exchanges staff deliver serials received as part of a new collections to serials cataloging staff in the MDU Unit. The items should have the profile documentation included which records the curator's decisions regarding handling of duplicates, shelving location, etc.
  • Cataloging staff search for copy and import records into Symphony where appropriate.
  • New collection serials requiring original cataloging may receive abbreviated level cataloging, if appropriate.
  • Creating authority records for headings on collection serial records is desirable but not mandatory.
  • The cataloger records holdings as Holdings Level 3 if the run is complete, or if there are no gaps in SUL holdings.
  • If there is only a single issue, or if there are gaps in the holdings, the cataloger records the holdings as Holdings Level 4.
  • Collection serials are barcoded and sent to B&F for end processing.
  • Unbound collection serials in sizable runs should be bundled following B&F guidelines (no thicker than 1.5" and tied with archival ribbon only) and each bundle barcoded.

IX.) Internet serials

  • Cataloging requests for Internet serials come from SAM Unit, from selectors using the request Internet cataloging form, or from the Electronic Resources acquisitions staff. Requests may be sent by paperwork or by e-mail.
  • For e-mail requests, after cataloging, notify Linh Chang in SAM Unit that the serial was cataloged.

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

  • All serials in Hebrew and Yiddish are cataloged by the Hebraica and Judaica Metadata Librarian.
  • All serials in Arabic languages and Turkish are cataloged by cataloging staff in the Middle Eastern Area Studies Group.

Created: 1999
Last updated: January 19, 2011
Last modified: July 8, 2014
MDU, Stanford University

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