This document covers preparation of Aleph Item and HOL records for serials and periodicals being transferred to the Depository.

• Is there an existing Depository record for the items being transferred? Check by title in FCL01.
  • YES. Add UM items to FC/UM DP record. If all items are being transferred, delete UM items/admin/hol/bib (EXCEPT OCA. See Tips/OCA Project before deleting bib). If some items are remaining in UM, see 2) below.
    • Items pre-existing in DP record:
      • If there is a tray number in the HOL 852 it needs to be deleted but before doing so, check existing Depository items for missed Temp Loc Box checks (there is often one).
      • JSTOR only: Change FCDPT JStor pers/sers to UMDPT in both HOL and item records (because of checked Temp Location Box).
    • If some volumes being sent already exist in the Depository, put UM volumes on DISCARD truck.
  • NO. Proceed to either 1) All items on a bib are being shipped to the Depository or 2) Some items are remaining in UM.

• Check bib 362 against holdings. If there is no 362 see Tips below (362).
• Fill out a packing slip.
  • “Holdings” should reflect only volumes being sent.
  • Write number of items deleted on packing slip.
  • Mark the number of items being sent.
  • Write “JSTOR” on the top of the sheet if title is JSTOR.
• Delete UM items that are being shipped. It is helpful to print out a list of items before deleting them to check for remaining items (i.e. a checked out volume). If there are missing items, go to “Some items are remaining in UM” below (and see Tips). Write number of items deleted on packing slip.
• Delete admin record. If admin will not delete, open Acquisitions module. If there is an order record see “Admin Records” in Tips below. Delete subscription record.
• Change bib OWN code to DP.
• Make changes to HOL record.
  • Own code = DP
  • Delete Call Number in 852
  • Add 852 1st identifier = 8
  • Change 852 codes to UMDPT and UDPER or UDBKS [macro=Ctrl+Shift+7].
  • 866 41. A few variations from UM procedures are:
    • Always use new format for the holdings statement (see Tips, Holdings statement reformatting below).
    • If there are too many gaps, use 866 31 and “(with gaps)”.
    • Do not use double slashes at the end of any holdings statement.
    • Use “new ser.” in holdings and “n.s.” in item description.
  • Correct holdings if there are errors. Let Sarah know of errors.
  • Indexes (5 years+) need an 868 field (i.e. “36 (1938)-50 (1952) bound with 50”)
  • Supplements: add a 952 z field with note, “Supplements accompany some volumes.”
  • 590 and 952 notes:
    • Keep 590 JSTOR note.
    • 590: In cases where a HOL contains a 590 stating “Title changed” or “Ceased”, place (or leave) the note into a 952z instead. Remove any other 590 notes that duplicate bib information or that were added for UM internal info (such as history, canceled, transferred, link-by etc). Keep “ANA-linked” notes.
    • 952x: When updating holdings statement remove notes such as incompletes and multiple copies.
    • 952z: Keep notes that are helpful to the public such as “Supplements accompany some vols.” Index notes should be placed in an 86841 field. No online notes should appear in the 952 field. Keep any holdings related information such as “v.84 lacks supplement.” Title change and “Ceased” notes are also included in 952z notes.
  • PERS only: HOL record for pers only should include a request article URL. Bib# 2892188 is an example with a field that can be copied. [cmacro=Ctrl+J]
  • JSTOR only: Add a 590 note in HOL, “JSTOR TITLE.”
• Holdings should match what is being sent.
• Add items under DP admin (which is created automatically by clicking on ITEMS under DEP50).
  • Sublibrary = UMDPT
  • Collection = UDPER [cmacro=ALT+F8], UDBKS [cmacro=ALT+F9].
  • Call Number Type = 8
  • Description (see Tips–Item Description). Use “July” “June” and “Sept”; all other months are three letters as usual.
  • Temp location box checked.
  • Item process status = TR
  • Wand in Barcode
  • Arrival date
  • Enum and chron levels. (Set up item as a template for student packers.)
  • Link item to HOL.
  • X-link if necessary.
• OCA materials: Make a note for packers that an additional Internal Note along with box number is needed. (Linker/Packers have the format in a macro: “UM Box ####. Scanned for OCA Digitization Project – date #/#/#### - initials.”)
• Provide notes for students. Link troublesome volumes and indexes. Set up difficult enum/chron levels.
• Spine errors to Lucy for correction, or print new label.
• Check public view.
• Record statistics for any linked volumes.

• Check bib 362 against holdings. If there is no 362 see Tips below (362).
• Fill out a packing slip.
  • “Holdings” should reflect only volumes being sent.
  • Write number of items deleted on packing slip.
  • Mark the number of items being sent.
  • Write “JSTOR” on the top of the sheet if title is JSTOR.
• Delete UM items that are being shipped. For long runs it is helpful to print out a list of items before deleting them to identify remaining items (including checked out volumes). If there are missing items, go to “Some items are remaining in UM” below (and see Tips). Write number of items deleted on packing slip.
• Make a copy of the bib (Ctrl+N). Click through windows.
• Change bib OWN code to DP.
• Create first item.
  • Sublibrary = UMDPT
  • Collection = UDPER [cmacro=ALT+F8], UDBKS [cmacro=ALT+F9].
  • Call Number Type = 8
  • Description (see Tips–Item Description). Use “July” “June” and “Sept”; all other months are three letters as usual.
  • Item process status = TR
  • Wand in Barcode
  • Arrival date
  • Enum and chron levels. (Set up item as a template for student packers.)
  • Link item to HOL.
  • X-link if necessary.
  • If you wait and check Temp Location Box after creating HOL record, DP codes will be created in HOL.
• Create HOL record.
  • Own code = DP
  • Delete Call Number in 852
  • Add 852 1st identifier = 8
  • Change 852 codes to UMDPT and UDPER or UDBKS if necessary [cmacro=Ctrl+Shift+7].
  • 866 41. A few variations from UM procedures are:
    • Always use new format for the holdings statement (see Tips, Holdings statement reformatting below).
    • If there are too many gaps, use 866 31 and “(with gaps)”.
    • Do not use double slashes at the end of any holdings statement.
    • Use “new ser.” in holdings and “n.s.” in item description.
  • Correct holdings if there are errors. Let Sarah know of errors.
  • Indexes (5 years+) need an 868 field (i.e. “36 (1938)-50 (1952) bound with 50”)
  • Supplements: add a 952 z field with note, “Supplements accompany some volumes.”
  • 590 and 952 notes:
    • Keep 590 JSTOR note.
    • 590: In cases where a HOL contains a 590 stating “Title changed” or “Ceased”, place (or leave) the note into a 952z instead. Remove any other 590 notes that duplicate bib information or that were added for UM internal info (such as history, canceled, transferred, link-by etc). Keep “ANA-linked” notes.
    • 952x: When updating holdings statement remove notes such as incompletes and multiple copies.
    • 952z: Keep notes that are helpful to the public such as “Supplements accompany some vols.” Index notes should be placed in an 86841 field. No online notes should appear in the 952 field. Keep any holdings related information such as “v.84 lacks supplement.” Title change and “Ceased” notes are also included in 952z notes.
  • PERS only: HOL record for pers only should include a request article URL. Bib# 2892188 is an example with a field that can be copied. [cmacro=Ctrl+J]
  • JSTOR only: Add a 590 note in HOL, “JSTOR TITLE.”
  • Check Temp Location Box in item now that codes have fed in from HOL record.
• OCA materials: Make a note for packers that an additional Internal Note along with box number is needed. (Linker/Packers have the format in a macro: “UM Box ####. Scanned for OCA Digitization Project – date #/#/#### - initials.”)
• Provide notes for students. Link troublesome volumes and indexes. Set up difficult enum/chron levels.
• Spine errors to Lucy for correction, or print new label.
• Check public view.
• Record statistics for any linked volumes.

No 362? This is not a problem if the bib 008 has “u” or “uu” in the date fields, i.e.

• Date 1=19uu or perhaps 199u
• Date 2=9999

If there are dates, check OCLC for a 362. If there is no 362 on OCLC, check with Lucy or Sarah.

• Delete UMA50 records on Depository bibs. If an order record is attached is the order record status SV?
  • If yes, give the order record number to Judy R. and do not delete UNLESS the vendor is listed as “Dummy”, then suppress the UM bib and HOL and do not give to Judy.
  • If the order record status contains a “C” then it is safe to try to delete.
    • If a warning box appears indicating that invoices are attached, do not delete! Leave the admin attached and suppress the UM bib and HOL (with an STA SUPPRESSED field). Add a 590 note to the HOL, “Invoices attached to order; record cannot be deleted - date.”
    • If transferring items to the Depository, create a DP bib by copying the UM bib (Ctrl+N), etc.
  • No record should contain both UMA50 and DEP50 admins.

• Copying or converting UM Bib records to DP. See “Depository Transfers: Monographs…”

• Maximum size for items sent to Bunker is 14” wide x 24” tall.
• Bunker trays beginning with U are UMass volumes.

• Retain the UM Bib and Hol for the electronic item. Delete the HOL for items being sent to the Depository.

• When adding a UMDPT item to a Bunker record with FC items, use UM codes (UMDPT / UDPER OR UDBKS). The checked temp location box allows this without changing the HOL. HOL record codes should not be changed.
• If the Four College items are serials (FCDPS Collection code and a non-circulating 10 or 11 Item Status code), and we are adding UM circulating serial items (UDBKS, 01, ISSBD), change FC items to Collection code FCDPM and item status 01. If necessary use global changes to change FC item status records from 06 to 01, or 10 to 11.

• HOL record for Pers only should include a request article URL. Bib# 2892188 is an example with a field that can be copied. (macro=Ctrl+J)
• Own codes in Bib and HOL = DP
• Delete Call Number in 852, and add 1st identifier “8”
• 866 41: Does it fit into the Bib 362? Are the holdings correct?
• JSTOR only: Add a 590 note in HOL, “JSTOR TITLE. Transferred to FCD, date, initials.” Change FCDPT pers/sers to UMDPT in both HOL and item records (because of Temp Loc Box – do not uncheck Temp Location Box because Bunker tray numbers will be lost!).
• 590 and 952 notes:
  • Keep 590 JSTOR note.
  • 590: In cases where a HOL contains a 590 stating “Title changed” or “Ceased”, place (or leave) the note into a 952z instead. Remove any other 590 notes that duplicate bib information or that were added for UM internal info (such as history, canceled, transferred, link-by etc). Keep “ANA-linked” notes.
  • 952x: When updating holdings statement remove notes such as incompletes and multiple copies.
  • 952z: Keep notes that are helpful to the public such as “Supplements accompany some vols.” Index notes should be placed in an 86841 field. No online notes should appear in the 952 field. Keep any holdings related information such as “v.84 lacks supplement.” Title change and “Ceased” notes are also included in 952z notes.

All 866 fields should be updated to the new format. Updated 866 41 fields use commas to show gaps and semicolons to show changes in format (comma trumps semicolon). Depository HOLs do not use slashes at the end of the holdings statement. A reformatted 866 field uses indicators 41. If there are too many gaps to update an 866 field within reasonable time, use 866 31 and “(with gaps)”. Here are some examples with correct spacing:

• v./no. format: v.2:no.4 (1974)-v.4:no.3 (1976), v.5:no.2-13 (1977), v.6 (1977)-v.13 (1985)
• Volume spanning more than one year: v.15 (1986/1988)-v.17:no.3 (1989/1990), v.18 (1990/1991)
• Months (used when v. lacks numbers): v.9 (1972)-v.10 (1973:Mar)
• Currently received (use dash at end): v.14:no.6 (1977)-v.17 (1980)-
• Page numbers: v.25 443-577 1947
• Years: 1940, 1942-1944
• Dates: 1960:Apr 25-1996:Oct 10
• Volume crosses two years: v.1 (1967/1968)-v.3:no.3 (1969/1970), v.3:no.5 (1969/1970)-v.5 (1971/1972)
• Change in format: 1940, 1942-1944; 1945/1946-1977; new ser.:v.1 (1978)-v.6 (1979), v.8-v.9 (1981), v.11 (1982)-v.30 (1999)
• Change in format without interruption: v.4-v.5; v.6 (1977)-v.8 (1979)
• Change in format with incompletes: v.1 (1962)-v.18 (1963); new ser.:v.1 (1964)-v.9:no.2 (1972), v.9:no.4-5 (1972), v.10:no.1 (1973), v.11:no.2-6 (1973), v.12:no.4 (1975)-v.14:no.4 (1977), v.14:no.6 (1977)-v.17 (1980)
• Incompletes difficult to determine or too numerous to list: v.1-v.145 (with gaps)
• Multiple levels: ser.3:v.2 (1957)-v.6:no.3 (1958), v.7 (1960)-v.8:no.3 (1961)
• Ordinal numbers: 37th (1960)-38th (1961)
• Editions: 1st ed.-4th ed.
• Annual meetings etc.: 2nd-3rd

• Item fields:
  • UMDPT, UDPER (Item status=11) or UDBKS (Item status=01), ISSBD, TR
• Item is linked to the HOL record.
• Temp Loc Box is checked
• Items record codes are correct
• Call Number Type = 8
• Check existing Depository items for missed Temp Loc Box checks (there is often one missed item) before deleting the Call Number/Tray Number in the HOL.
• Description field: Use “v.” and “no.” for foreign captions.
• Existing FC items: If we are adding circulating serials (not Pers), change any FCDPS Item Status codes to FCDPM and “10” or “11” to “01”.
• OCA materials: Make a note for packers that an additional Internal Note (along with box number) is needed. (Linker/Packers have the format in a macro: “UM Box ####. Scanned for OCA Digitization Project – date #/#/#### - initials.”)

• Description field: Use “v.” and “no.” for foreign captions in Enum Level1&2.
• If a DP record contains existing FCDPT items, follow the Description format in use. FC items records use parenthesis around dates: v.16 (1990).
• Spell out “June” “July” and “Sept” for Depository item Description fields.

• UM or ISEL items remaining on DP bibs should be cleared up (through a special project 3/09). They would have migrated when the DP ADM was created. There may be a situation where a UM order record was not closed (especially if the order record was created for a gift or free publication), resulting in a bib for items we never received. Cindy knows the details about this.

• JSTOR requires a 590 note in the HOL record: “JSTOR TITLE.“
• Write“JSTOR” on top of the packing slip.
• When FC add items to JStor records, they create or change items to UMDPT.

• Changes to ser and per LKR fields (title changes) should be taken care of by the serials people. This involves changing UMA50 to DEP50 and changing the admin number.

• If any volumes included in a valid holdings statement are not on the shelf when items are being sent to the Depository,
  • Retain the UM Bib/HOL records along with the existing or newly created missing volume item records.
  • Suppress the UM Bib and HOL by adding a field STA “SUPPRESSED” fields if all other volumes are going to the Depository.
  • Create item(s) for missing volumes. If unable to determine how many volumes are missing, create one item for missing numbers (i.e. no.580-900 1954?-66). Give the missing item and Item Process Status of “SF”.
  • Add a Circ Note to each missing item record reading: “If found, return to C&P for transfer to the Depository – date – initials.”
  • Add a 590 note to the HOL only if it seems necessary (i.e. “no.580-900 1954?-66 missing at time of transfer – date – initials”).
  • Edit the HOL record. Include only holdings that should be located at UMass (i.e. missing items) in 866 41.
  • The Depository holdings statement should reflect material actually being transferred, without including the missing volumes.
• When A Missing Item Is Found: If a missing item is found and it is the only item on the suppressed record, the UM Bib, HOL and item record may be deleted. Check the DP record to be sure the missing item has not been added by another college. If the DP record still lacks the item, add it and transfer to the Bunker. If the another copy has been added to the Bunker, give the volume to Lucy for discarding.

• If UM items are being added to a Depository record and NOT all UM items are being removed from the UM record, DO NOT delete the UM bib. After deleting the items and HOL record, suppress the UM bib by adding a STA SUPPRESSED field. Send an email to Mike Allard with the bib number and a note.
• Add Internal Note to the UM Box #### note: “Scanned for OCA Digitization Project – date – initials.”

• Packing slips may be found at http://wws.library.umass.edu/wikis/acp/doku.php?id=depository_packing_slip_for_serials
• “Holding: volume numbers/dates:” List only what we are sending.
• Write the number of items deleted from UMA50 on the packing slip. Students will count the total number of items, subtract those deleted and record the number of newly linked items.
• Mark “JSTOR” on top of slip if materials are JSTOR
• Serials and periodicals require a “Five College Library Depository Item Transfer Packing Slip” but monographs do not.

• If Aleph refuses to update a record due to a “higher level cataloger's” previous updates, send the bib and HOL record numbers to Mike A. who can change the cataloging level.

• 856 56 |uhttp:www.fivecolleges.edu/libraries/depository/forms/request_article|zClick here to request article from Five College Depository