| OCLC
Union List Guidelines |
| Issued by the Ad Hoc
Union List Subcommittee of the NELINET Resource Sharing Advisory Committee,
June 2001. |
| Introduction |
What follows is not
a directive to either union list or not union list serials. What is
presented are a number of questions and suggestions that may serve
to influence a library's decision to union list none, all, or some
of its serials. Format should not influence the decision to union
list. An electronic serial is chosen for the same reasons that print/microforms,
etc. are chosen -- that their contents have been judged to be of use
and importance to the library's purpose and mission. By their definition
all serials are of a 'fleeting' nature. The challenge is that print/microform
journals fleet more slowly than do electronic journals on the web
or on cd-roms. We should not let the fear of what we perceive to be
a labor-intensive process hinder our decision as to whether or not
to union list some or all of the journal collection.
When reviewing the questions posed, it is suggested that the first
answer may not be the final answer. Ultimately the answer to all subsequent
questions return to the first question: why union list. |
| Why
union list? |
First and foremost, the
library needs to examine what role union listing plays. This question,
and it is not limited by format, drives all future decisions, and
has a direct impact on the commitment of time, staff, and library
resources to participation in union list groups.
Union listing serves many purposes. It supports interlibrary loan
by providing copy-specific data as to the library's serials. It supports
collection development by making all aspects of the collection known.
Union listing provides finding tools for the library's local patrons
and its staff. Online and offline data assist remote users in deciding
whether or not travel to the library is appropriate for use of the
collection or a specific title. Union lists support consortial activities,
including but not limited to interlibrary loan and cooperative collection
development and acquisition.
Should the fact that the title exists in an electronic form prejudice
the decision to include it in a union list? What use restrictions
are imposed by the licensing agreements the library has signed? Is
access to the electronic version of the serial limited; to whom and
by what means? Are there "reasonable" provisions for interlibrary
loan? Licensing agreements have varied among libraries based, in part,
on the skills of the contract negotiators.
What consortial resource sharing obligations exist? Does the definition
of "the collection" extend to only those materials the library
owns, or to all materials to which the library has access?
In what formats is the serial available? Is the electronic full-text
an equivalent of the print? Has the library selected the specific
title as part of its overall collection development policy? Is access
to the title purchased or leased? Is access to the title assured over
time? Is the title part of a "package deal" combining the
print and electronic subscriptions? Is the title part of a product
combining multiple titles in a cd-rom and/or microform format? Is
the title part of an aggregated collection from a vendor? Can the
library control the titles included? Are changes in coverage tracked
easily and in a timely manner?
If the library leases access to a serials title or collection as a
temporary acquisition, it may choose to not union list these materials.
These temporary additions to the collection are generally licensed
for use by the primary clientele of the library and not retained by
the library at the end of the lease. These materials should not be
confused with serial subscriptions that the library chooses to retain
for a limited time.
The final decision rests with the individual library. Those libraries
that |
| Getting
Started |
| |
Purpose |
| |
The purpose of the New England Union
List of Serials and Group Access Catalog (NEUL) is to enhance cooperation
and resource sharing among New England libraries by providing a method
for online reporting of serial holdings. These guidelines aid in standardizing
NEUL so that the goals of resource sharing and cooperation are better
realized.
The guidelines are designed to complement the OCLC
Union List User Guide for New England union listing libraries.
They are written from the perspective of OCLC's current Union List
Service, the American National Standards Institute (ANSI) Holdings
Statements for Bibliographic Items, and policies within NELINET union
listing libraries. |
| |
Organization |
| |
NEUL is a multi-type, multi-state
OCLC resource sharing group with over 1,000 participating libraries.
NELINET is the agency sponsoring NEUL and is responsible for the day-to-day
administration of the union list. All forms, payments, questions and
general information should be directed to NELINET at 800-NELINET.
NELINET issues bills, support documentation, and correction requests.
NELINET assures the integrity of the NEUL project by acting as central
coordinator. |
| |
Participation |
| |
Participation in NEUL is available
to all libraries in New England.
Each participating library agrees to:
- Follow the standards established for NEUL
- Provide for the timely input and maintenance of data
- Pay any costs involved in deleting its holdings if these stipulations
are not met, or if withdrawal from the group is desired
NEUL is comprised of OCLC (full cataloging or partial participants)
libraries, Selective Users (do not necessarily catalog in OCLC, but
may have access to the interlibrary loan service), and non-OCLC (union
list only) libraries. OCLC libraries are usually responsible for inputting
their own serial holdings. Selective Users are either linked to an
OCLC library as their input agent or are responsible for inputting
their own serial holdings. Non-OCLC libraries are linked to an OCLC
library as their input and billing agent.
For a non-OCLC library, all billing for union listing activity is
handled through the agent. Charges for Selective Users doing their
own input are billed to the symbol assigned to the authorization number
used for online activity. Union listing charges for OCLC libraries
are billed to the symbol assigned to the authorization number used
for online activity. |
| |
Access to Union List
Data |
| |
OCLC libraries and Selective Users
may have online access to holdings in the OCLC WorldCat database through
the Union List Service and/or the Interlibrary Loan Service. FirstSearch
libraries may have online access to holdings through the Union List
of Periodicals database. Offline access to union list records is available
in paper, microfiche, and magnetic tape (including electronic files)
formats. Individual participants may request an offline list of their
own holdings, a collection of various members' holdings, or the entire
NEUL list.
Paper and microfiche products include a "basic package"
which specifies the bibliographic information provided for each entry.
A variety of options for additional information is available at additional
cost. Magnetic tape and electronic files include full master bibliographic
records and holdings statements in MARC format.
Each union list group is assigned a semi-annual production schedule
for offline products. The NEUL schedule is March and September. Libraries
belonging to more than one union list group have more production schedules.
OCLC must have the order at least two months before the month of production.
To submit a new one-time or standing order, libraries complete the
Union List Offline Products Order Form (see also the instructions.)
All standing orders receive regular reorder notices. A library must
submit an order or reply to the reorder notice to receive products. |
| |
Planning |
| |
Participants need not catalog their
serials on OCLC to participate in union listing, but before a library
can begin inputting its holdings, the serials collection must be well-organized.
This is important not only to the initial reporting of holdings, but
also for establishing an efficient system for maintenance and updating.
One tool for prioritizing titles to be union listed is the OCLC
Union List Strategic Report. Available from OCLC at no charge,
this report provides the library with a list of its serial titles
requested from interlibrary loan in the last 18 months in order of
frequency of request.
OCLC libraries acting as inputting agents for other institutions need
to develop procedures for reporting and inputting holdings. Decisions
need to be made to determine what bibliographic information is to
be provided by the client libraries. |
| |
Training |
| |
A one-day training session for participants
includes record selection procedures, guidelines and standards for
reporting holdings statements, and procedures for creating LDRs and
retrieving OCLC union list displays. Hands-on exercises are included.
Training sessions are scheduled regularly at NELINET. Institutions
may also request "By Request" training. All new inputting
institutions and agents are required to attend a union listing training
session.
Libraries may also find the instructions on adding local data records
provided by OCLC useful for training staff new to union listing. |
| |
Documentation |
| |
Participants should consult the
following:
|
| Online
Activities |
| |
Bibliographic Record
Selection |
| |
Whether choosing a bibliographic
record already in use by another union listing library or making an
original selection of which record to use, a library will have to
make decisions regarding the match of its own serial holdings to the
bibliographic record. The library should always be alert to possible
problems, changes, or errors with records used by others. Each library
is advised to individually examine the bibliographic record for each
new title. There are some basic elements of the bibliographic record
that can be used in deciding whether it is a suitable record according
to the standards, and a true match of the library's holdings. Refer
to Bibliographic Formats
and Standards for more information on the following:
-
Form:
This element of the fixed field indicates the form of material
being described. If a title is held in its large print edition,
for example, then the corresponding record should be used, not
the record for the regular print edition. Exceptions are allowed
for non-print (including electronic, microform, and cd-rom)
formats.
-
BLvl:
Any bibliographic record can be used for union listing. However,
the non-serial local data record capability applies only to
online applications. LDRs attached to non-serial records display
online but are not available in any of the offline products.
-
S/L:
Only successive entry records are acceptable for union listing
("S/L: 0"). Latest entry ("S/L: 1") records
are not to be used. Current cataloging rules require that a
separate record be created for each successive title change
made to a serial.
-
Fixed Field "Dates:"
and 362
The beginning and ending dates for a publication are recorded
in these two fields. If a serial is not known to have ceased
publication, the second date in "Dates:" will read
"9999", and the 362 field indicates an open run.
-
"DtSt:"
A quick glance at "DtSt:" (publication status for
serial records) in the fixed field will indicate whether or
not the serial is currently being published.
Check the fixed field elements and the 362 field to determine
if the title is open or closed and if this matches local holdings
information. If it does not match, do a shelf check to determine
if records need to be changed or if it is necessary to send
a change request to OCLC. There is no substitute for actually
checking the volumes in hand, as serial reporting techniques
have varied through the years. Even authenticated records can
be incorrect.
If there is no 362 field on the record, accept local holdings
information as being correct. File a change request form with
OCLC when able to determine the correct information for the
362 field.
-
042
Serial records are authenticated by the International Serials
Data Program (ISDP) center of responsibility or by a CONSER
participant. A code of "lcd" or "msc" in
the 042 means the record has been authenticated by a CONSER
participant in what is now known as participant authentication.
These records may be later authenticated by the Library of Congress
(LC) or the National Serials Data Program (NSDP.) Only CONSER
libraries can enter an authentication code in the 042. Once
a record has been authenticated it is considered the final bibliographic
authority for that serial title. Authenticated records should
be selected over unauthenticated records. Once a record has
been authenticated, the symbol of the authenticating center
is entered in the 042 field.
-
260
The 260 field contains the imprint. The place of publication
and publisher helps in distinguishing among serial records with
similar titles.
-
780 and 785
In a successive entry record, the 780 field contains the earlier
title under which the serial was published; the 785 field contains
the title under which subsequent volumes of the serial were
published. The 780 and 785 fields may also contain the LCCN,
ISSN, or OCLC number for that title to aid in locating the various
parts of the preceding/successive entry set. The presence of
780 and/or 785 fields alerts the user to title changes that
may not be indicated in the library's records. These two fields
may also help in determining what parts of the set are needed
to encompass the range of holdings for that title. Note that
780 and 785 fields have two indicators each, e.g., 780 00, etc.
The first indicator shows whether a note can be printed from
the linking entry field. The second indicator denotes the type
of relationship.
-
Misc:
The CONSER method
for cataloging electronic serials (single record approach) specifies
that the bibliographic record:
- Code 008/22 ("form of original item") and 008/23
("form of item") as correct for the original, not
for the online version.
- Note the availability of the online version in field 530.
- Add a 740 (2nd indicator blank) title added entry or 7XX
author/title added entry when the title of the online version
differs.
- Provide the location of the online version in field 856.
- If a separate ISSN has been assigned to the online serial
but a separate record doesn't exist, add field 776 with subfields
‡t and ‡x.
- Optionally, a computer file 007 field may be added for the
online version.
- Do not add a computer file 006 field for the online version.
|
| Local Database
Record (LDR) Creation |
| |
General |
| |
A separate LDR can be created for
each serial title held by an institution. A separate LDR can be created
for each copy of each title held by an institution. A separate LDR
can be created for each different format of each title held by an
institution. (Refer to LDRs for Titles in Non-print and Multiple Formats
for specific guidelines for these formats.)
The following guidelines are meant to aid in interpreting the ANSI/NISO
Standard and its application to reporting holdings. These guidelines
should be used in conjunction with the Standard and the Union
List User Guide. See OCLC's instructions for commands basic to
creating LDRs. |
| |
Holdings Statements |
| |
There are two kinds of holding statements.
One is the summary holdings statement (SIHD) and the other is the
copy-specific holdings statement (SCHD). The SIHD field describes
the institution's composite holdings linked to the bibliographic record
and is required. The SCHD field describes the specific holdings of
a single copy or format of the title. The SCHD field is required when
using Option 2 (see "LDRs for Titles in Non-print and Multiple
Formats") to describe multiple formats of a title. Use of the
SCHD field is recommended in all cases as it supports the "ulxxx"
(institution) display in the WorldCat.
If there are multiple LDRs attached to a bibliographic record within
an institution, the LDR with the broadest holdings statement should
be entered first. This may minimize or eliminate the editing required
for the SIHD field in adding LDRs. A composite statement in the SIHD
is not automatically generated from the multiple LDRs. It must be
figured and entered manually.
Enumeration and/or chronology are to be provided whenever applicable.
If a title is retained for a limited period of time, or in a specific
pattern, the retention note eliminates the need for enumeration and
chronology. |
| |
Local Notes |
| |
Notes pertain only to local information
that provides assistance in interpreting the holdings statement for
document access purposes. Notes are specific to the reporting location
and do not pertain to general bibliographic information. Information
that is part of the bibliographic description (i.e., Volume 10 not
published) are recorded on the bibliographic record, not in the holdings
statement. Pattern and list all notes after the terminology and order
established in the Union
List User Guide and in the Suggested Notes section of
this document. |
| LDRs for
Titles in Non-print and Multiple Formats |
There are multiple options
for recording holdings statements for titles held in non-print and/or
multiple formats. Each institution and union list group within NEUL
needs to select the options they wish to use and use them in a consistent
manner. Each option has implications for the future. In selecting
the option(s) to be adopted, the library may want to examine CONSER's
thoughts on single records versus separate records for the purposes
of cataloging.
- The "single-record" approach works best when the original
and online versions can be considered equivalent manifestations.
- Use the "single-record" approach when the online version
lacks full-text or has only selected full-text from the original.
- Separate records are preferred when the versions are not considered
equivalent and the difference of the online version from the original
is significant to users.
Before settling on a choice, a library may want to discuss the implications
with NELINET, or consult a local union list agent or coordinator. |
| |
Option 1: Combined LDR
on the Print Recordc |
| |
In this option, the print (hardcopy)
record is used for all manifestations of the same title. A single
LDR is created describing all holdings in all formats of the title.
If the library has print holdings of the title, the designators ‡g,
‡e, ‡f, ‡v, ‡y, in the SCHD and SIHD fields
describe the print holdings. If the library does not have print holdings,
the designators ‡g, ‡e, ‡f are coded 0 and ‡v,
‡y are not present in the SCHD and SIHD fields. The physical
form designator on the LDR is "zu" (unspecified).
Non-print and electronic holdings are set off in square brackets in
‡n of the SCHD and SIHD fields and include the codes for enumeration,
chronology, completeness, acquisition status, and retention. When
multiple holdings are reported, begin with a composite holdings statement,
indicating the full range of the non-print holdings (all formats)
in ‡n of the SCHD and SIHD fields followed by a separate statement
for each non-print and/or electronic format.
If a summary holding statement for electronic holdings cannot be provided,
include the general availability statement. Include special conditions
or restrictions on access to the online holdings. See the Suggested
Notes section of this document.
See the Union
List Reference Card for LDR designators and their appropriate
codes. |
| |
Option 2: Multiple LDRs
on the Print Record |
| |
In this option, the print record
is used for all manifestations of the same title. A separate LDR is
created for each format of a title held by an institution. All the
LDRs linked to the print record share a common SIHD field.
The designators ‡g, ‡e, ‡f, ‡n, ‡v,
‡y in the SCHD field describe the holdings of the specific format.
The physical form designator on the LDR is coded appropriately.
If the library has print holdings of the title, the designators ‡g,
‡e, ‡f, ‡v, ‡y in the SIHD field describe
the print holdings. If the library does not have print holdings for
the title, the designators ‡g, ‡e, ‡f are coded
0, and ‡v and ‡y are not present in the SIHD field.
Non-print and electronic holdings are set off in square brackets in
‡n of the SIHD field and include codes for enumeration, chronology,
completeness, acquisition status, and retention. When multiple holdings
are reported, begin with a composite holdings statement, indicating
the full range of the non-print holdings (all formats) in ‡n
of the SIHD followed by separate summary statements for each format.
If a summary holding statement for electronic holdings cannot be provided,
include the general availability statement. Include special conditions
or restrictions on access to the online holdings. See the Suggested
Notes section of this document.
See the Union
List Reference Card for LDR designators and their appropriate
codes. |
| |
Option 3: Like LDRs on
Like Records |
| |
In this option, the matching (format)
bibliographic record is used when creating the LDR. In checking for
a matching bibliographic record, be certain the format is the same,
e.g., microfiche holdings must be attached to a microfiche record.
The designators in the SCHD and SIHD fields describe the holdings
of the specific format. The physical form designator on the LDR is
coded appropriately. To assist searchers, it is recommended that ‡n
in the SIHD contain linking notes to take searchers to other format
holdings. Even when no print holdings are reported, it is recommended
that an LDR on the print record be created. Searchers can then easily
be referred to non-print and electronic holdings. When no print holdings
of the title are reported, the SCHD and SIHD ‡g, ‡e, ‡f
are coded 0 and ‡v and ‡y are not present. See the sample
LDRs.
If a search of the WorldCat reveals the lack of an appropriate format
record in the database, the library may either contribute original
cataloging to create the appropriate format record, or consider using
the other options.
See the Union
List Reference Card for LDR designators and their appropriate
codes. |
| Aggregated
Collections |
Libraries often acquire
aggregated serial collections from a vendor. Under current LC cataloging
rules, these collections are cataloged as single serial items. Therefore,
a library can only truly union list the collection as a whole. However,
such collections may include numerous serial titles with near total
coverage. To accommodate problems caused by the acquisition of aggregated
collections in place of individual titles, the following is suggested.
Please Note: If the decision is made
to union list an aggregated collection, the primary holdings statement
is tied to its corresponding bibliographic record.
Individual titles within an aggregated collection can be union listed
separately. Since such serial collections can contain hundreds of
titles, it is suggested that libraries begin with those titles previously
or currently received separately. Not all component titles of a collection
need be union listed. Decisions will also need to be made regarding
what options are to be used in union listing titles in multiple non-print
formats.
If a library wishes to enter only one detailed holdings statement
for the serial collection but also supply component title access,
a linking note can be used. In such cases, create an LDR for the component
title. The designators ‡g, ‡e, ‡f are coded 0, and
‡v and ‡y are not present in the SIHD field. Enter the
note "‡n Contained in specify collection see #NNNNNNN."
This provides online and offline access but will not require determining
the holdings information for each component title. |
| Suggested
Notes |
The decision about what
kind of note is to be included in an LDR is comparable to the decision
that was made at the beginning of the Union Listing project. Is the
primary purpose of the Union List for Interlibrary Loan? Or is the
Union List used primarily as a finding tool for the institution itself?
If the purpose of the Union List project is to cover both of these
needs, then the notes may need more detail. Once the decision has
been made as to the reason for Union Listing in the institution, the
decision on which notes are appropriate will be an easier one to make.
Text within the suggested notes should be followed as closely as possible.
Multiple notes in ‡n may be used in an LDR. The subfield itself
can only be used once in each SIHD and SCHD field. The following notes
are illustrative only. If local circumstances require a different
note, use these as a guideline when creating your own:
Access Notes:
- Available online.
- Electronic access only.
- Institution IP address required.
- Password required.
- See staff for password.
- Does not circulate.
- Not available for interlibrary loan.
- Current 4 years in Reference.
- Shelved in Music Room.
- Shelved as JAMA.
- Library use only.
- Campus use only.
- [Chemistry] Department use only.
- Staff use only.
Limited Retention:
- Retains latest edition. (use when frequency is annual or less
than annual)
- Retains current 2 years. (use when frequency is more than annual)
- Retains print until specify format received. For specify format
see #NNNNNNN.
Format Notes:
- Full-text.
- Not full-text.
- Image.
Format Notes for Non-print Holdings on Print Records:
- [Online=v.1- 1990- 0,4,8. Full-text.]
- [CD-ROM=v.1- 1990- 0,4,8. Not full-text.]
- [Total=v.1 1973- . Microfilm=v.1-v.2 1973-1974 0,5,8. Microfiche=v.3-
1975- 0,4,8.]
Cross-reference and Linking Notes:
- For specify format see #NNNNNNNN.
- Retains print until specify format received. For specify
format see #NNNNNNN
- Contained in specify collection see #NNNNNNN.
Misc Notes:
- See staff for assistance.
- Special software may be required.
- Sunday edition only.
- Holdings incomplete.
- Scattered holdings.
- Volumes 1-3 damaged.
|
| Union
List Agents
|
Agents are liaisons to
OCLC Union List. For union list groups, a primary role of the agent
is help maintain an accurate and up-to-date union list. For those
libraries within the group that do their own inputting, it is the
agent's responsibility to see that the NEUL Guidelines, as well as
the specific union list's guidelines, are followed. This can include
training, workshops, and/or informational meetings to keep members
informed as to SULOP production dates, quality control, and technological
advances.
For non-OCLC libraries and for OCLC libraries and Selective Users
that have selected to out-source the process, a primary role of the
agent is to input union list data.
Initial contact with a new library will ascertain the library's full
name, type of library, address, telephone number, FAX number (if any),
and the name of a contact person. This information is forwarded to
OCLC through NELINET as part of the profiling process. Once an OCLC
symbol is assigned, the library's holdings can be entered online.
Libraries should be introduced to the cycle of continuous updating
and ordering of offline products specific to each member library and
to the list as a whole.
During the profiling process, the library will be gathering and recording
its serials titles and holdings as instructed by you. Each agent develops
financial arrangements, policies, procedures and criteria for initial
input and maintenance in accordance with these NEUL guidelines. As
guidelines, modifications can be made according to the group's needs.
Each agent can be as rigid or flexible as they desire in dictating
how a library reports their data. At the most basic level, libraries
need to send the agent the following data:
- FULL TITLE
- RETENTION INFORMATION, or ENUMERATION and CHRONOLOGY
- FORMAT
If more verification is needed for a particular title, that request
would be made back to the library. Usually, library staff will feel
more comfortable at this stage sending the agent an in-house list.
After this stage is complete, standard forms specific to the agent
should be used.
A packet of "individual union list approved" updating forms
with instructions should be forwarded to the library. Policy regarding
the updating schedule is something each agent must decide. A number
of variable factors among union list agents will affect this policy.
If a union list group produces a union list product at a given time
of the year, the agent will most likely plan the updating cycle around
this. Updating can be dictated as a continuing process (year round)
which will eliminate the library from ever confronting updating as
an impossible, overwhelming task. Time and available staff of the
agent must also be considered in schedule planning.
Updating reminders should be sent to libraries twice a year as well
as some form of directory update so that any changes occurring since
profiling can be made online. As deadlines approach for ordering offline
products, notification should be circulated in advance.
An agent may be profiling a small one-person hospital library one
day and a large public library with a full staff the next. Some libraries
are staffed with para-professionals and others with professional librarians.
Priorities within a given library may weigh the importance of union
list membership differently. Libraries will vary in many ways and
so within the context of these guidelines, flexibility is necessary.
The agent will keep the lines of communication open for each member
so that the list is actively changing to reflect the holdings of all
members. |
| Ad
Hoc Union List Subcommittee members: |
Martha Burk, Babson College
Lynn Eaton, Springfield Technical Community College
Peter Obuchan, Metrowest MA Regional Library System
Janice Ouellette, Fitchburg State College
Sharon Pei, Tyco Electronics
Deborah Sanford, Bridgewater State College |
| For more information,
please contact
Margaret Lourie (1.800.635.4638 x1942 or lourie@nelinet.net). |
February 5, 2008
|
