Unicorn WorkFlows Training Guide

Transcription

1 Unicorn WorkFlows Training Guide Serials Control (Version 2002) DOC-SERTGEN-U

2 Publication Name: Serials Control Training Guide Publication Number: DOC-SERTGEN-U First Printing: June 2003 Updated: October 2003 Additional copies of this document can be downloaded from the Client Care section of the Sirsi web site, Sirsi Corporation. All Rights Reserved. The processes and all the routines contained herein are the proprietary properties and trade secrets of Sirsi Corporation. Except as provided by license agreement, this manual shall not be duplicated, used or disclosed for any purpose or reason, in whole or in part, without the express written consent of Sirsi Corporation. The information in this document is subject to change without notice and should not be construed as a commitment by Sirsi Corporation. Use, duplication, or disclosure by the U.S. Government is subject to restrictions as set forth in subparagraph (b)(3) of the Rights in Technical Data and Computer Software clause in DFARS Rights for non-dod U.S. Government departments and Agencies are as set forth in FAR (c)(1,2). Sirsi, WebCat, Vizion, WorkFlows, Unicorn, UnicornECOLE, UnicornOASIS, UnicornSTILAS, Site Source, DRA, DRA Net, Inlex, MultiLIS. Taos, Taos & Design, and JurisLink are trademarks of Sirsi Corporation. Other product and company names herein may be the trademarks of their respective owners. All titles, versions, trademarks, claims of compatibility, etc., of hardware and software products mentioned herein are the sole property and responsibility of the respective vendors. Sirsi Corporation makes no endorsement of any particular product for any purpose, nor claims responsibility for its operation and accuracy.

3 Table of Contents Introduction... 1 Course Overview... 1 Who should attend?... 1 Prerequisite... 1 Course Objectives... 2 Getting Help... 3 Navigation... 5 Moving Around a Window... 5 Numbers on Buttons... 5 Accessing the Menu Bar... 5 Definitions... 6 Toolbar Commands, Wizards, and Helpers... 8 Modifying Toolbars... 8 Serials Main Toolbar... 8 Vendor Information and Maintenance Toolbar...9 Helpers Getting Started Overview Record Types Vendor/Order Record Title Record Serial Control Record Prediction Record Receipt Record Claim Record Routing Record Record Relationships Vendor Records Overview CREATE VENDOR Add Vendor Cycle EDIT VENDOR DISPLAY1 VENDOR DISPLAY2 VENDOR DUPLICATE VENDOR REMOVE VENDOR Title Records Item Search and Display...39 Add Title Setting Defaults October 2003 i

4 Serials Control Training Guide Serial Control Records Overview Create a Serial Control Record Check-In Serial Issues Overview Check-In Procedures Check-In Predicted Issues Receive an Issue Out of Order Check-In Additional Copies Check-In Different Issues Check-In Issues by Barcode Receive Issues without Predictions Received Tab Extended Information Exercise 1: Predict A Regular Monthly Publication Exercise 2: Predict a Weekly Periodical, and Check-In Issues Exercise 3: Check-In Issues Out of Sequence Exercise 4: Predict a Bimonthly Periodical, and Include Check-In Notes in the Control Record Exercise 5: Predict a Daily Periodical, and Check-In Issues Exercise 6: Predict a Quarterly Periodical, and Check-In Issues Exercise 7: Check-in Issues with Special Instructions Exercise 8: Predict a Semi-Monthly Periodical, and Check In Issues Exercise 9: Remove Received Issues Exercise 10: Check-In a Duplicate or Replacement Issue Exercise 11: Predict an Annual Serial Publication, and Check-In Issues Exercise 12: Check-In Unpredicted Special Issues, Supplements, or Indexes Exercise 13: Check In Multiple Copies of an Issue when You Receive Fewer than Expected Copies OPAC Display of Serial Holdings Overview Recently Arrived Issues OPAC Display Tab in the Serial Control Record MARC Holdings Volume/Copy Holdings Exercise 14: Check-In Issues, and Understand the Options for OPAC Display of Check-In Information Creating Predictions Overview Working with Patterns and Creating Predictions Pattern Templates Pattern Policies Publication Cycle, Chronology, and Date First Prediction Date First Prediction Exercises Expected Tab Other Serials Wizards ii October 2003

5 Table of Contents Display Serial Control Record Modify A Serial Control Record Remove A Serial Control Record Binding Routing Exercise 15: Add a Routing List to a Publication Reports and Claiming Overview Claimed Tab Reports Manual Claiming Claiming with Reports Prediction As Late Report Serial Claim Notices Serials Configuration Policies Serials Control Configuration Policies Serials Pattern Configuration Policies Cataloging Configuration Policies Serials Control Wizard Properties Overview Check-In Issues of a Serial Wizard Properties Behavior Tab Defaults Tab Appendix A - Understanding the Publication Cycle Gadget Day Publication Cycle Type Week Publication Cycle Type Month Publication Cycle Type Year Publication Cycle Type Publication Cycle Omission Omit by Day Omit by Week Omit by Date Omit by Month Omit by Holiday Appendix B Calendar Guides Appendix C Chronology Types Appendix D Additional Serials Control Exercises Exercise 16: Predict a Monthly Periodical with Combined Issues, and Check-In Issues Exercise 17: Predict a Weekly Publication with Multi-Library Distributions Exercise 18: Check-In Combined Issues Exercise 19: Change a Publication Pattern Exercise 20: Predicting a Monthly Periodical Published during the Academic Year Exercise 21: Predict a Periodical that has Cover Dates but No Volume Numbering Scheme October 2003 iii

6 Serials Control Training Guide Exercise 22: Predict a Monthly Periodical with a Volume and Numbering Scheme but No Cover Dates Exercise 23: Predicting a Monthly Periodical using a Custom Chronology Exercise 24: Creating a Serial Control Record for an Irregular Publication, and Check-In Issues Index iv October 2003

7 Introduction Course Overview Who should attend? Prerequisite We designed the Unicorn Serials Control Training Course to provide you with a basic understanding of the capabilities of the Unicorn Serials Control software and an overview of navigating those functions in the WorkFlows client. The ultimate goal of the Serials Control Training Course is to train essential library staff members so that they in turn may act as trainers for others at their branch, campus, or institution. This course is intended for Serials Department Managers, System managers, and other Serials staff. Essential Unicorn Skills - This course teaches basic skills including navigating WorkFlows, searching, changing a toolbar, keyboard navigation, using the Help files, and an overview of wizards. October

8 Serials Control Training Guide Course Objectives After completing this course, you will be able to: Create vendor records Search for existing titles Add new titles Create Serial Control records Set up serial predictions Receive issues Display serial holdings in the online catalog Route issues Claim issues 2 October 2003

9 Introduction to Serials Control Getting Help If you have a question about a specific task while you are working in any WorkFlows module, refer to the WorkFlows Online Help. You can access the Help in three ways: On the toolbar, click. Press F1. On the menu bar, click Help, and then click Contents. WorkFlows Help is context-sensitive. This means that the information that displays is specific to the task you were performing when you accessed the Help file. The Help displays in a separate window. Once you read the instructions, close the Help window to continue working. If you need a definition of a particular box on a window: 1. Access the Help file, and click the Index tab. The following Help window appears: October

10 Serials Control Training Guide 2. Click the Find tab to display this window: 3. Type the name of the box you want information about in the Type the word(s) you want to find box and click Display. The Help file looks for the terms and displays a list of probable matches in the Click a topic, then click Display box. 4. Scroll through the list until you find the name of the box. 5. Double-click the box name. A Help window appears with the information about the box. 4 October 2003

11 Introduction to Serials Control Navigation Moving Around a Window Press TAB to move forward through the boxes and lists on the window. Press SHIFT+TAB to move backward. Numbers on Buttons Many buttons contain a text description and a number. For example: If you prefer to use keyboard commands rather than the mouse, press ALT and the number to perform the same action as clicking the button with the mouse. Do not use the number pad when you perform this action. NOTE If the buttons do not contain numbers, click Preference, point to Desktop, and click Windows. The Desktop Setup window appears. In the "Next step key equivalence" section, select Numbers. Accessing the Menu Bar Use the menu bar to access commands, set preferences, and access online help. ALT+letter Press the ALT key with the appropriate underlined character to open menus. For example: Shortcut Key ALT+P ALT+C Menu opens the Preference menu opens the Command menu Once a menu is open, you may press the appropriate underlined letter to access commands from the drop-down menu and submenu. October

12 Serials Control Training Guide Glossary Additional Information Definitions This section provides definitions for commonly used terms used in WorkFlows. Command A command is a button on a toolbar that performs one task. When you move the pointer over the button, the name appears in ALL CAPS. A command does not contain properties. Gadget A gadget is a button next to a text box that provides options you can use in a particular box. When you click the gadget, a window appears giving you a list of predefined values, calendars, etc. Always click the gadget (if one is available) to make sure you enter the correct information in the correct format. Glossary This term refers to any word in WorkFlows that appears with a dashed underline. When you click this word, a popup window appears with additional information. For example: 6 October 2003

13 Introduction to Serials Control Helper A Helper is a "wizard within a wizard." Helpers are positioned in a menu bar just below the title bar of the active window. Helpers listed on the left side of the bar make it easier to access information needed by the current wizard. Helpers listed on the right side of the Helper bar are used when adding or deleting field information. These Helper buttons include Before, After, Delete, Restore, and Erase helpers. Shadow Catalog The shadow catalog contains records searchable only by library staff. For example, you might want to hide or "shadow" records from patrons, such as lost or missing items or items still being cataloged. Users at public workstations can search and display items only from the standard catalog. Users at staff workstations using WorkFlows may search and display items in the standard catalog, the shadow catalog, or both. Wizard A wizard is a button on a toolbar that performs a series of discrete tasks. When you move the pointer over the button, the name appears in Title Caps. October

14 Serials Control Training Guide Toolbar Commands, Wizards, and Helpers Modifying Toolbars This section illustrates and describes the buttons on the various toolbars used in the Serials module. Right-click the blank area on the toolbar. A shortcut menu appears that lets you perform the following tasks: Add or delete a wizard on the toolbar. Change the appearance of the toolbar by adding spaces or moving it to another part of the window. Display a different toolbar. Serials Main Toolbar NOTE The Add Title wizard does not appear on the default Serials Toolbar. You may find it helpful to add this wizard to your working toolbar. Check-In Check-in issues of a serial. Display Serial Control Create a Serial Control Modify a Serial Control Display detailed information about a serial subscription. Create a new control to describe a serial subscription. Change the description of a serial. Remove a Serial Control Vendor Information and Maintenance Remove a Serial Control record and its associated issues. Display, create, edit, duplicate, and remove vendor accounts. 8 October 2003

15 Introduction to Serials Control Vendor Information and Maintenance Toolbar DISPLAY1 VENDOR DISPLAY2 VENDOR CREATE VENDOR DUPLICATE VENDOR EDIT VENDOR REMOVE VENDOR This command displays a summary of a single vendor record, or summarizes and totals all cycles of a single vendor, displays a brief summary of multiple vendor records, or totals a single cycle for all vendors. This command displays a single vendor with an optional list of associated orders and serials control links. It shows all orders and linked serials control records for a specified vendor in the specified fiscal cycle. This command adds a new master vendor record or adds a vendor cycle record to an existing master vendor. This command creates a new master vendor by copying an existing master vendor record, and optionally creates a vendor cycle as well. This command can add or change many of the fields in the vendor record, or it can add or change a vendor cycle record. This command removes a vendor cycle from a master vendor record, or it removes a master vendor record and all associated vendor cycles. October

16 Serials Control Training Guide Helpers After Before Change Linking Number This helper adds all types of funding, distribution, claim, and cancel segments to an orderline. It lets you add segments after the field in which the cursor is positioned. This helper removes all types of funding, distribution, claim, and cancel segments from an orderline. It is also used when creating an Order Map policy for pattern fundings and distributions. If the orderline is balanced, you can use this helper to remove a funding or distribution segment so that when the record is updated, the following statement will display. This Helper displays only when the MARC Holdings folder is being modified using Serials Control wizards on a title that has multiple linked control records. It allows you to associate the current Serial Control record with an existing, linked MARC Holdings record on another control record for the title. The Change Linking Number helper allows editing the Serial Control record's link to the current 853 entry. It specifies the linking number that displays in subfield 8 of the of the 853. Combine Issues Options Delete Display Description Generate Predictions for Expected Issues The Combine Issues Options helper displays only when you are combining two or more predictions into a single issue. This helper allows you to determine how the combined issue will display. This helper deletes entries and be accessed from commands that modify hold, item, or user information. This helper displays bibliographic information and volume/copy information about the current item. The Get Expected Issue Info window displays when you use this helper, allowing you to define prediction record information for a single issue, which may then be used to generate prediction records for any number of additional issues. For more information about this Helper, see page October 2003

17 Introduction to Serials Control Erase Link To Serial Holdings Record Make This Pattern A Helper Modify Bibliographic Description Replace or Fill-In Patterns This helper erases all values on the current window, including default values. This helper displays only when the MARC Holdings folder is being modified using Serials Control wizards. It allows you to associate the current serial control record with an existing, unlinked MARC Holdings record. This helper displays only when the Patterns folder is displayed in a wizard that can modify the information. It is useful when there are no appropriate existing templates, and you have customized a serial control pattern that you anticipate will be used in future serial controls. The Modify Bibliographic Description helper allows you to modify the bibliographic information of the title associated with a serial control record by displaying a modifiable window with the contents of the Bib folder. This Helper displays only when the Patterns folder is displayed in a wizard that can modify the information. In the Modify a Serial Control wizard, it is called the Replace Patterns helper. In the Create a Serial Control wizard, it is called the Fill In Patterns helper. This time-saving helper provides default information for all necessary fields of the Pattern folder in one step, and maintains consistent entries in fields with variable values, such as the Days to Wait Before Claiming and Days Before Subsequent Claim fields. For more information about this Helper, see page 129. Restore Select Tab Set Options for Item Lookup This helper restores default values on the current window. The Tab helper displays an alphabetical list of folders. By selecting the tab that you would like to access, you will jump directly to that folder. This Helper lets you qualify/limit and sort your search using volume/copy characteristics. October

18 Serials Control Training Guide Show Issue Detail Valid 852 Locations This Helper displays in the Expected, Received, and Claimed folders when modifying or displaying Serial Control record or when checking-in issues. This Helper provides the most complete issue information at a time for a particular issue. Depending upon the folder you are viewing, some information is also accessible from the Receipt Status button in the Expected folder, or the More buttons in the Received and Claimed folders. This Helper displays only when a MARC Holdings record is displayed for modification. You can modify MARC Holdings records when you are working with either Catalog records or Serial Control records. This Helper provides a verify list that displays Location policies for your library that are valid in the MARC Holdings record. 12 October 2003

19 Getting Started Overview The Serials Control module manages the status and receipt of the serial collection of your library. Serials Control configuration policies are used to gather statistics about control records, as well as track claims and claim responses. Configuration policies are also used to create and modify pattern templates used for receiving serials. The serial group of reports maintains and gathers statistics about the serial collection. NOTE Placing orders with serial vendors is covered in the Acquisitions Training Guide. The Unicorn structure for serials is based on the following concepts: Record Types Vendor/Order Record Title Record Serials Control uses the following record types: Create vendor records for linking. If you link to vendors though orders, you may also need to create the order. Serials must be linked to vendors for claiming. Every title under Serials Control must have a Title record in Unicorn. If the fixed field used to reflect frequency in the serial format record is coded, the Serials module uses that information when putting the title under serials control. Create a title record first. MARC records used for serials include fixed field codes that indicate the title s frequency, which is automatically used for predictions when the Serial Control record is created. October

20 Serials Control Training Guide Serial Control Record Prediction Record Receipt Record An item is placed under Serials Control by creating a control record attached to the item. The Serial Control record contains publication pattern information that allows Unicorn to predict issues. The Serial Control record also holds a link to the appropriate order or vendor record. Create a Serial Control record to set up a serial for receipt. This record contains publication pattern information that lets Unicorn predict issues. It also links to either the Order or the Vendor record to establish claiming. Once the control record is complete, you may predict expected issues. A Prediction record linked to the Serial Control record represents each expected issue. Prediction is necessary for claiming. Received issues are represented by Receipt records that only staff can see. Receipt of an issue can be reflected in public display automatically in three ways. A note in the bibliographic record. Barcoded issues can display copy records. Receipt of an issue can update MARC Holdings records. Receipt records are created by predictions that are received, or they are created individually at the time of receipt. Receipt records display to staff only, but may be represented to the public as either copies added to the catalog, notes of recently arrived issues, or as MARC holdings records. 14 October 2003

21 Getting Started Claim Record Routing Record Claim records associated with the prediction record represent claimed issues. You may print claim notices using the Report utility. Claim records may be created under the following circumstances: Predicted copy not received by the date to claim Multiple predicted copies that are only partially received Created by library staff for other reasons. Maintain claim records primarily through the serial group of reports. Routing lists are contained in routing records associated with the control record. Routing records are created in the routing folder of the Serial Control record. You may print routing lists for individual copies at the time of receipt. NOTE For more information about records, see the WorkFlows Online Help. October

22 Serials Control Training Guide Record Relationships The following database diagrams show the relationship between the different types of data. Each example is related to a particular system configuration setting. Example: Linking to Vendors through Orders 16 October 2003

23 Getting Started Example: Linking Directly to Vendors October

24 Serials Control Training Guide 18 October 2003

25 Vendor Records Overview Before you begin using Serials Control, define or identify basic title and vendor information. Vendor records are shared with the Acquisitions module, if your library has this module. When we discuss Vendor records in the Serials module, keep in mind that many of the fields may pertain to Acquisitions only. You will need Vendor records if your library will issue claims for missing issues. CREATE VENDOR This command adds a new master vendor record or adds a vendor cycle record to an existing master vendor. To create new vendor record: 1. Click the CREATE VENDOR command button. The following screen appears: 2. In the vendor ID box, type the vendor ID (up to 20 characters) that you want to assign to the vendor, or select AUTO to let Unicorn generate an ID for you. October

26 Serials Control Training Guide 3. The fiscal cycle tracks expenditures and encumbrances associated with Acquisitions. This is a five-character field. In this box, type the fiscal cycle you want to associate with the vendor. If you are creating only a master vendor record, you can leave this blank. If you are creating a vendor cycle record, type in a fiscal cycle. NOTE When ordering in Acquisitions, the fiscal cycle of the fund, vendor, and order must match. 4. In the library box, select the library associated with this vendor from the list. This is the owning library of this Vendor record. In a multi-library organization, each library can have it s own Vendor record. 5. Press ENTER or click OK to create the master vendor record. The following window appears: 20 October 2003

27 Vendor Records Basic Info Vendor Cycle Data 6. In the name box, type the full name of the vendor (up to 70 characters). This is a searchable field. 7. In the customer number box, type the customer number of the vendor (up to 20 characters). This is a searchable field. 8. The policy file controls the choices in the currency box. You cannot change the currency after you place orders with a vendor. This is used in Acquisitions. 9. The policy file controls the choices in the group boxes. This is optional information and acts like demographics. This information is used for reports. Be sure to implement these groups in your policies before using. They are also good for gauging budgets in Acquisitions. 10. Click ordering allowed to permit ordering from this vendor. Used in Acquisitions. 11. Click paying allowed to permit payments to be made to this vendor. Used in Acquisitions. The Vendor Cycle Info area contains fields that may be different in each fiscal cycle. 12. In the deposit amount box, type the amount that is placed on deposit with the vendor. 13. In the % encumb allowd box, type the maximum percentage of the deposit amount allowed before the systems displays a message warning against further ordering. 14. In the claim period box, type the number of days to wait before issuing item claims. 15. In the cancel period box, type the number of days to wait before canceling an order. This can also pertain to canceling a partial order. NOTE The numbers in the claim period box and the cancel period box apply more to orders and are controlled on the Patterns tab in the Serials Control record. (See page 59.) If your site uses the Acquisitions module to order serials, then these numbers come into play. 16. Click one discount type button for monetary, quantity or no discount with this vendor. October

28 Serials Control Training Guide 17. Once you have completed all entries, press ENTER or click OK. A new screen appears that summarizes the vendor information. Included on this screen are sections for a discount table (if appropriate), extended information, and addresses: Extended Info The Extended Info section lets you annotate the Vendor record. The most common extended information entries are NOTE and COMMENT. This is a good place for staff notes, because only staff sees this information. You can also use the Extended Info as a limiting criterion on vendor reports. 22 October 2003

29 Vendor Records Addresses There is room to specify a different address for vendor accounting, ordering, and service. These fields are important for claiming. In addition, there is a series of fields for EDI (electronic) ordering that will be available in future releases. Make the appropriate entries in each field, and press ENTER or click OK when you are finished. NOTE If you need space for more addresses, use a Notes/Comment field. October

30 Serials Control Training Guide Add Vendor Cycle NOTE Unlike adding a fund cycle in Acquisitions, there is not a wizard or command called "Add Vendor Cycle." Instead, you will use the CREATE VENDOR command to accomplish this task. To add a vendor cycle to an existing vendor record: 1. Click the CREATE VENDOR command. The following window appears: 2. Type the vendor ID and the new fiscal cycle. Press ENTER or click OK. The following window appears: 24 October 2003

31 Vendor Records The information in the Basic Info area was entered when you created the Master Vendor Record. 3. In the Vendor Cycle Data section, type the information for this new cycle. This procedure is the same as described in the "Create Vendor" topic on page After typing the appropriate information, press ENTER or click OK. This saves the master vendor and vendor cycle information and displays the Discount Table, Address Info (including EDI), and Extended Information areas. 5. Make additional changes, if necessary, and press ENTER or click OK to complete the process. October

32 Serials Control Training Guide EDIT VENDOR The EDIT VENDOR command lets you change or add information to the vendor record or vendor cycle record. You can modify only one vendor cycle record at a time. To edit a vendor record: 1. Click the EDIT VENDOR command button. The Edit Vendor window appears: 2. Type the vendor ID and fiscal cycle you want to change, and press ENTER or click OK. The following window appears: 26 October 2003

33 Vendor Records In addition to the information displayed above, this window also displays the Discount Table, Extended Info, and Addresses sections as discussed on page Edit any fields necessary, and press ENTER or click OK to save your changes. October

34 Serials Control Training Guide DISPLAY1 VENDOR Use this command to perform the following tasks: Display a summary of a single vendor record Summarize and total all cycles of a single vendor Display a brief summary of multiple vendor records Total a single cycle for all vendors To get started: 1. Click the DISPLAY1 VENDOR command button. The following window appears: 2. In the vendor ID box, type a single vendor ID or click the down arrow to select ALL vendors. 28 October 2003

35 Vendor Records 3. In the fiscal cycle box, type a single fiscal cycle or click the down arrow to select ALL cycles. NOTE cycles. You cannot select both ALL vendors and ALL fiscal 4. The name and customer number boxes can search for a vendor if you are unsure of the complete name because these fields use right truncation. Otherwise, you can leave these boxes empty. 5. The library name defaults to the name you entered in your Session Settings. Otherwise, click the down-arrow and select a library. 6. The Options section lets you choose the following types of vendor information. 7. An alternate way to search for a vendor is by customer name. In the name box, you can type the vendor name. If the name is not unique, a summary list displays. You can then select a vendor from the list and click OK to display vendor-specific information. 8. You can type the customer number instead of the vendor ID in some cases. 9. In the library box, click the down arrow to select a library. 10. The Options section lets you select what information you want to display. Summary - Displays Basic Info and Vendor Cycle Data about the vendor: October

36 Serials Control Training Guide The Single area allows information for a single vendor to be displayed, including extended information and addresses. Extended - Displays notes, comments, and other miscellaneous information in the Extended Info section of the vendor record: 30 October 2003

37 Vendor Records Address - Displays the various mailing addresses and EDI information in the vendor record. You can display the following information about multiple vendors: October

38 Serials Control Training Guide 11. Press ENTER or click OK to display a vendor record with the selected information. 32 October 2003

39 Vendor Records DISPLAY2 VENDOR The DISPLAY2 VENDOR command displays all orders and linked Serials Control records for a specified vendor in the specified fiscal cycle. You must search by Vendor ID; if you don t know the Vendor ID, use the DISPLAY 1 VENDOR command. To get started: 1. Click the DISPLAY2 VENDOR command button. The following window appears: 2. Type a vendor ID. You must know the exact vendor name to access information. There is no ALL option. 3. Type a fiscal cycle. 4. In the library box, click the down-arrow and select a library. 5. Click orders and serials control links fields to control the display of information. 6. Press ENTER or click OK. The following window appears: October

40 Serials Control Training Guide If Serials Control records are linked to this vendor, they display under the heading "Serials Control Links." Each Serials Control record listed displays a brief descriptive entry, the control ID, and the SISAC ID. If no Serials Control records are associated with this vendor, the field displays NONE. 34 October 2003

41 Vendor Records DUPLICATE VENDOR The DUPLICATE VENDOR command copies existing vendor information into a new master vendor record. You can create a new master vendor record with or without a vendor cycle record. NOTE The Duplicate Vendor command only copies master vendor fields. It does not duplicate vendor cycle fields such as Deposit Amount or Discount Type To duplicate a vendor record: 1. Click the DUPLICATE VENDOR command button. The following window appears: 2. Type the new vendor ID in the new ID box, or select AUTO to let the system assign the ID for you. 3. To create a new vendor cycle record, type the fiscal cycle you want to assign to the new record. You may also leave this blank. 4. In the existing ID box, type the vendor ID you want to duplicate. 5. Press ENTER or click OK. The following window appears: October

42 Serials Control Training Guide The information in the Basic Info section is copied from the original vendor record, however the information in the Vendor Cycle Data section is not copied from the original vendor record. 6. You can change the information in any field. When you are finished, press ENTER or click OK to save the changes and display the next window. 7. This final window displays the same information you just entered, and it now includes the Discounts, Extended Info, and Addresses sections discussed on page Make any additional changes to the new vendor record and press ENTER or click OK to save the record. 9. Click Close to exit the record. 36 October 2003

43 Vendor Records REMOVE VENDOR This command lets you perform the following tasks: Remove a single vendor cycle associated with a master vendor record Remove the master vendor record and all vendor cycles Remove a master vendor record that has no vendor cycles associated with it To remove a vendor record: 1. Click the REMOVE VENDOR command button. The following window appears: You have three options: Type a vendor ID and fiscal cycle - this removes only the specified vendor cycle record, unless it is the only vendor cycle associated with the master vendor record (then both are removed). Type a vendor ID and select ALL from the fiscal cycle list - this removes the master vendor record and all associated vendor cycle records. Type a vendor ID and leave the fiscal cycle box empty - this removes the specified master vendor record. The vendor record cannot be removed if any vendor cycles are still associated with it. October

44 Serials Control Training Guide 2. Once you make your entries, press ENTER or click OK. The Remove Vendor Confirm window appears: 3. Review the record, and click Remove to delete the vendor record. 38 October 2003

45 Title Records Item Search and Display If the title you want to order may already exist in your collection, the Item Search and Display wizard guides you through the process of identifying a specific title in your library. It displays information at the title, call number, and copy level. At the copy level, other information related to the item's circulation, bookings, holds, orders, and serial control is available. NOTE This wizard displays on all toolbars. Set Properties may display as the first step of some wizards. Press ENTER to accept default values To search for a title: 1. Click the Item Search and Display wizard. The following window appears: October

46 Serials Control Training Guide 2. Click a button to determine how the system will search for the title record: Search - Locates and displays records that contain the terms you entered. You can use Boolean operators, field qualifiers, and other search strategies to narrow or expand your search. Browse - Produces a list in the alphabetic vicinity of the term you entered, which you can browse forward or backward. Exact - Displays a single record of the search index you used. The Exact lookup is best for specific number or code searches. If the exact ID is not in the database, a message displays that the information was not found. Current - Displays the record that was most recently displayed or modified. 3. In the first box, select the search type (for example, title, subject, SISAC ID). 4. In the second box, type the search text. 5. In the library box, select the library you want to search or select ALL. Settings in the policy file determine the libraries that appear on this list. 6. Click OK to initiate the search. If the search produces a match, the Title Search Results window appears: 40 October 2003

47 Vendor Records 7. Review the information to verify this is the correct title. 8. Display an individual volume/copy as needed. Information cannot be edited when using the Item Search and Display wizard, but Helpers may be available while displaying an individual volume/copy to navigate though the folders, review current shadow values, and print spine labels. October

48 Serials Control Training Guide Add Title The Add Title wizard guides you through the process of creating a new bibliographic record and associated call numbers and copies. Before you begin Add the Add Title wizard to your Serials toolbar. 1. Position the cursor on the toolbar, and right-click. From the pop-up menu, click Add button. The following window appears: 42 October 2003

49 Vendor Records 2. Select TITLEADD, then click OK. The following window appears: 3. Select a function key or key combination to associate with the wizard, if desired. 4. Click OK to add the button to the toolbar. October

50 Serials Control Training Guide To add a new title record: 1. Click the Add Title wizard. The following screen appears: 44 October 2003

51 Vendor Records Setting Defaults 2. Click Only Upon Wizard Startup if you want this window to appear only once at startup of the session. Title/Bibliographic Defaults 3. Select a Format policy in the format box. The Format policy controls the display, editing, data validation, and indexing of all fields in bibliographic, authority, and holding records and in extended information fields in every type of record used in Unicorn. A Format policy is a list of entries allowed by a type of record, along with the characteristics of each entry. 4. In the entries box select Template. This will be covered in more detail in the Cataloging course. 5. In the add 006 for box you can select additional fixed field elements not provided for in a single format. Use a 006 field when you are trying to describe a title that has aspects of more than one format. For example, when cataloging a sound recording that is issued on a monthly basis, use the 006 to code for frequency as you would in a serials format. This is in addition to the primary sound recording fixed field data coding for the audience. You can think of the 006 as an auxiliary fixed field, to be added when the fixed field for the format you have chosen is insufficient. 6. Select the fixed fields check box to display fixed fields data. The fixed field area is a specially coded part of a MARC bibliographic and/or authority record description. Coded fixed field data contains numbers or alphanumeric codes identifying important features of the title or authority being described. 7. Select the descriptive labels check box to display descriptive labels in addition to entries or tags. This field governs the display of descriptive labels in the Bibliographic Info section of the Bib tab for Title records and in the Entries section of the Description tab for Authority records. Select the checkbox to display descriptive labels for all of the tags, as they appear in the catalog, as well as the tags and indicators. Clear the checkbox to display the numeric MARC tags and indicators (or alphabetic tags for non-marc formats) without description. 8. Select the shadow title check box to shadow a title as it is created. The shadow catalog allows the library to retain full catalog records searchable only by library staff. October

52 Serials Control Training Guide 9. The Add copy when creating title check box determines whether copy information will be provided at the same time that the title and/or call number is added or duplicated. This property is useful for staff members who assign both the call number and the item ID. However, if call numbers are being created for the purpose of creating new orders, or item IDs are created by other staff later in the work flow, clear both the Add Copy when Creating Title and the Add Copy when Adding New Call Number properties. If items need to be created and not created depending on the situation, disable these properties, but enable the Add Copy property to display at the end of the wizard. NOTE If you leave this box unchecked, you can configure the Serials Control record (Distribution tab) to automatically create Copy records at check-in. Volume Display Option 10. Select the show shelving key check-box to display the field that controls the sorted display of call numbers. Call Number/Volume Defaults 11. Select a library from the list. Serial Control records (controls, vendors, claims) are assigned to a library. 12. Select a class scheme from the list (for example, LCPER). This policy name identifies the call number's classification scheme. The class scheme automatically generates the correct shelving key based on the Class Scheme policy, which defines capitalization rules, sorting rules, and ascending or descending order. 13. Select the shadow call number check box if you want to shadow a call number as it is added. Copy Defaults 14. Select an item type from the list. The primary purpose of the Item Type is to identify the item's circulation characteristics. Typical item types are BOOK, PERIODICAL, MAP, PROJECTOR, VCR, FILM, and FILMSTRIP. 15. Select a home location from the list. A home location is the item's permanent location; the current location is a temporary or a special status location. 46 October 2003

53 Vendor Records 16. Select the permanent check box if the items will be part of the permanent collection of your library. 17. Select the circulate check box if a user and override a system-generated circulation rule. 18. Select the shadow copy check box to add a copy to the shadow catalog (viewable only by library staff). Optional Defaults 19. In the price box, you could enter the price of a particular copy. Depending on the policies of your library, it may be the purchase price or the replacement price. Your library can set a default value for new copies. 20. The media desk prompt appears only when the Item record contains an item type with a valid booking profile policy. This policy represents the hours of staff availability. NOTE The Media Desk field will only display if the system is configured to use the Materials Booking module. 21. Use item cat1 and item cat2 to denote a copy's special characteristics for collection management and statistical analysis. Your library determines if these fields appear, what characteristics they represent, what policy names are allowed, and the screen label name for each category field. 22. Once you ve set the defaults, click OK. The Modify New Title screen appears: October

54 Serials Control Training Guide 23. Replace the **REQUIRED FIELD** text with a new title. 24. If you configured the Add Title wizard to add a Copy record when adding a new Title record, type or scan an item ID in the Barcode field. For serials, you may not want to add a Copy record at this point. You can set the options in the Serials Control record to add a copy when you receive the issues. 48 October 2003

55 Vendor Records 25. Click OK to save the record. The following options appear: October

56 Serials Control Training Guide 50 October 2003

57 Serial Control Records Overview Why do I need Serial Control records? Serial Control records contain publication pattern information so that Unicorn can predict issues. Serial Control records link to either the Order record or Vendor record to establish claiming. Serial Control records keep track of what you have received and can display this information to staff and patrons. Serial Control records provide OPAC display options. October

58 Serials Control Training Guide Create a Serial Control Record Each serial title may have one or more linked Serial Control records. To create a Serial Control record: 1. Click the Create a Serial Control wizard. The following window appears: 2. Click a button to determine how the system will search for the title record: Search - Locates and displays records that contain the terms you entered. You can use Boolean operators, field qualifiers, and other search strategies to narrow or expand your search. Browse - Produces a list in the alphabetic vicinity of the term you entered, which you can browse forward or backward. Exact - Displays a single record of the search index you used. The Exact lookup is best for specific number or code searches. If the exact ID is not in the database, a message displays that the information was not found. 52 October 2003

59 Serial Control Records Current - Displays the record that was most recently displayed or modified. 3. In the first box, select the search type (for example, title, SISAC ID, Vendor Title Number). 4. In the second box, type the search text. 5. In the library box, select the library you want to search or select ALL. Settings in the policy file determine the libraries that appear on this list. 6. Click OK to initiate the search. If the search produces a match, the Title Search Results window appears: 7. Verify that this is the correct title, and click Create Control to create a new Serial Control record. If you are creating records for a multi-library system, the Library For New Control window appears: October

60 Serials Control Training Guide If a title is already under serials control, you may display the existing control, duplicate an existing control, create a new control, or look up another title. NOTE If more than one control record is associated with a title, the List of Controls Found on Lookup step displays. You may select one to display or duplicate, create a new control or look up another title. 8. In the Library box, click the gadget and select a library that will receive the issues. 9. In the Holding Code box, select an appropriate code established by your library. The holding code selected must distribute copies to the library that is selected. It also helps with barcoding and OPAC display. We will discuss this in more detail later. 10. Click OK. The following window appears: 54 October 2003

61 Serial Control Records 11. Click the publication frequency template for this title from the left column, and press ENTER. The Creating Control ID screen appears. If you click an item in the right column (with the dashed underline), the following information appears: October

62 Serials Control Training Guide NOTE When you added the Title record, if there was a code in the Frequn fixed field, the Select a Pattern Template window will not appear. Instead, Unicorn reads this code and assigns the appropriate template for you to use when creating the Serial Control record. 56 October 2003

63 Serial Control Records We will discuss all the tabs on this screen in detail throughout this training. The first three tabs we will examine are Basic, Patterns, and Subscrptn. Basic Tab The New Control ID box contains a unique serial control ID. In a multi-library system that has a decentralized journal receipt, each library must have its own control record. However, each library's control records may be linked to call numbers on the same title record. The control ID may be an abbreviation of the serial title or its base call number, but each control ID should follow the same pattern (ISSN, base call number, title algorithm) with a prefix or suffix identifying the owning library. The control ID may also be system generated. The SISAC ID box contains the title s ISSN in the form of The ISSN comes from the MARC record (022 field). (SISAC is an acronym for the Serials Industry Standards Advisory Committee. This group promotes the uses of a machine-readable barcode on every serial issue to simplify and speed check-in procedures. Currently, not all serial issues have this barcode format.) October

64 Serials Control Training Guide The Vendor Title # box contains an ID number assigned to the serial title by the subscription vendor. Typically, this title number will appear on your vendor's invoice. This number prints on Serial Claim Notices. The call number in serials control may be referred to as the Base Call Number. The base call number is the call number of the item with which the Serial Control record is associated. A title's call number is initially copied into the control record to provide the base call number for the title (if enabled). As copies are received and added as call numbers (volumes), this original call number can be removed. It may be helpful to create a title where the first call number has no associated copy. The Class Scheme box identifies the call number's classification scheme. It is suggested that you use LCPER. This affects how the serials issue records will display in the OPAC. By using LC, the first issue checked in will appear at the top of the list. By using LCPER, the first issue checked in will appear at the bottom of the list. Therefore, the MOST RECENT issue checked in will appear at the TOP OF THE LIST. The Subscription ID box contains the vendor-assigned ID for your subscription. Typically, the subscription ID will appear on your subscription vendor's invoice. This number would be unique to your library. This is a searchable field, and it may also appear on the mailing label. The ID can also be added later. This field prints on Serial Claim Notices. Your system administrator will define the options that appear in the Status box through the Serials policy configuration. The delivered options are ACTIVE, CANCELED, NEW, and RENEWED. These are controlled vocabulary fields, so you must choose an option from the list. Using these status codes, you can run various reports. Your system administrator will define the options that appear in the Category1 and Category2 boxes. Use these fields for demographic reporting. These are controlled vocabulary fields so you must choose an option from the list. These fields are defined in the Serials policy configuration. The system creates the Date Created on the date it creates the Serials Control record. 58 October 2003

65 Serial Control Records Patterns Tab This tab helps you build prediction information about a subscription such as enumeration, chronology, and number of copies (physical pieces) expected. Information that appears in these fields may come from the FIXED FREQ field in the MARC record. This helps you to expedite pattern creation. The information on this tab may not be perfect, but you can edit the Copy records if there are irregularities. Enumeration Pattern The Label boxes provide abbreviations for the selected numeration pattern. Select the Use checkbox to include that subdivision in the numeration calculation for issues. Select either the Alpha or the Numeric radio button to designate whether each enumeration level is an alphabetic or a numeric character pattern. Level one is always numeric. Subsequent enumeration levels can be either alphabetic or numeric. October

66 Serials Control Training Guide The first subdivision for a title is always Continuous, meaning the numbering scheme never resets. Use the Limit field to determine the number of pieces per volume. This tells the Volume to increment by one. It answers the question, How many physical pieces do you expect to receive in a year? ( After every 12, the volume number changes. ) Chronology Pattern When an issue has a chronological name in addition to an enumeration value, select an entry from the Chronology type list. This field provides a list of chronology types and tells Unicorn how to format the date. If issues are commonly referenced by chronology rather than enumeration, the name (chronology type) may be most familiar to patrons. For a listing of delivered chronology type policies, see page 161. If you select CUSTOM in the Chronology type list, the If CUSTOM, enter list box becomes available. You can then customize an existing pattern or create a completely irregular pattern. Publication Pattern This field displays publication cycle data in an abbreviated alphanumeric format for the selected title and control record. Click the Publication Cycle gadget to interpret, edit, or delete the data displayed in this box. Verify that the limits used in your Enumeration Pattern field, the selected chronology type, and the chronology specified correspond to the publication cycle. This ensures accurate predictions. Up to 1,000 characters may be entered in this field. Select or clear the Allow automatic prediction of issues box to indicate whether you want Unicorn to generate Prediction records during the check-in process. If you clear this box, Unicorn will not prompt you to create Prediction records. We will discuss this in more detail later. The Days to wait before claiming box (also called Days to Claim) contains the number of days Unicorn waits before marking an unreceived issue for claiming. This number represents the number of days past the predicted issue receipts date. If your library does not use report-driven claiming, type 0 (zero) in this box. NOTE If you receive a serial that is free, type zero in this box to prevent automatic claiming through reports. 60 October 2003

67 Serial Control Records The Days before subsequent claim box (also called Days To Subsequent Claim) contains the number of days Unicorn waits before issuing additional claims against missing issues. OPAC Dsply and MARC Hldgs Tabs We will discuss the information on these tabs in the OPAC Display of Serial Holdings section on page 103. Subscrptn Tab The information in this tab creates a link to the vendor and automates the claiming process. Subscription information specifies information such as the expected number of copies and the serial expiration date. If your site uses the Acquisitions module, this will be taken care of automatically. Copies/Issues The Copies to receive box contains the number of copies of each expected issue. The default is set to one copy and is governed by property default information. It answers the question, How many copies of each issue do you expect to receive?. The Number of issues box contains the number of expected issues in one subscription. This value typically corresponds to the number of issues received during a publication cycle. It answers the question, How many issues do you expect to get in a year?. October

68 Serials Control Training Guide The Expiration Date box contains the date that the subscription ends. The default value is NEVER. Link for Ordering/Claiming The information in this section links to the vendor or purchase order. The Vendor record contains the order and claim addresses. You must have entries in this section if you plan to use claiming. The Fiscal Cycle box identifies a particular funding period. The fiscal cycle must be a valid cycle used by the Vendor ID. Click the Vendor ID gadget to display valid IDs assigned to master Vendor records. The Order ID field identifies a single order record. Unicorn can auto-generate this ID, and it may be used with the fiscal cycle to display order information. Over time, you can track order history of all orders linked to the Serial Control record. Order information displays in the Serial Control record; control information displays in an Order record. At the basic level, the Library field determines where an item is held and where the user is registered in a multi-library setting. (Your Unicorn System Administrator defines the values for this field in your library policies.) Unicorn assigns a line item number for each item on a purchase order. The Line Item field identifies which line item on the order is displayed. Distribution Tab We will discuss the information on this tab in the OPAC Display of Serial Holdings section on page 103. Binding Tab (optional) This will be discussed later in this training on page 141. Extended Information This will be discussed later in this training on page 79. Routing Tab This will be discussed later in this training on page October 2003

69 Check-In Serial Issues Overview The Check In Issues of a Serial wizard guides you through the process of checking-in serial issues. If you use a SICI barcode to check in an issue, see Check-In Issues by Barcode on page 75. Keep in mind that you may have multiple Serial Control records for different media types (print, microfiche, etc.). In this chapter, we will work a number of exercises as listed below: Check-in predicted issues Check-in a different number of copies than you expect Check-in issues received out of order Check-in issues without predictions Check-in special issues such as supplements or indexes. Combine two or more issues Check-in issues by scanning a barcode October

70 Serials Control Training Guide Check-In Procedures Check-In Predicted Issues To check-in serial issues: 1. Click the Check In Issues of a Serial wizard. The following window appears: 64 October 2003

71 Check-In Serial Issues 2. Search for the title you want to check in, and click OK. The following window appears: NOTE If a title retrieved by the lookup does not have an associated Serial Control record, a message displays This title is not under serials control. You can enter a new lookup or create a Serial Control record for this title. If more than one Serial Control record is associated with a title, the List of Controls Found on Lookup step displays. Select one and then click Check In Issues to display the next Prediction record for that Serial Control record. 3. Click Check In Issues. The following window appears providing detailed information for the next predicted issue: October

72 Serials Control Training Guide Next Issue Tab The Expected Issue section displays enumeration, chronology, and base call number information pulled from the Serials Control record. The Issues Checked In section displays enumeration, chronology, and date expected information when checking-in more than one issue at a time. 4. If the information is correct, click Check In Now. If the issue has routings, the routing lists will display, For more information, see the Routing section on page 143. If items are being created by the check-in, a confirmation screen appears with automatically generated item IDs next to the copies created. If properties are not set to automatically create copies, a text area displays where you can scan or type library-assigned barcodes. 66 October 2003

73 Check-In Serial Issues 5. When the issue is received and any items have been created, a window appears summarizing basic issue information. 6. If you are checking-in more than one consecutive issue of a serial, you can check-in the next issue. If all current issues have been received for this Serial Control record, you may be prompted to generate additional predictions, or check-in the issue without a prediction. After checking-in an issue, you may be able to select one of the following steps. From the Next Issue tab, you can check-in the displayed issue, check-in different copies, or check-in different issues From the Expected tab, you can select a different predicted issue and receive it as in the Different Copies procedure as discussed on page 71. From the Claimed tab, you can select a claimed issue and receive it as in the Different Copies procedure NOTE Receiving a claimed issue transfers it to the Received tab. View claiming information using the Show Issue Detail helper. From the Control tab, you can leave the Check In Issues of a Serial wizard and enter the Modify a Serial Control wizard for the same Serial Control record Select another title from the list of titles searched Select another control record from the list of controls for the title Perform another item lookup Close the Check In Issues of a Serial wizard October

74 Serials Control Training Guide Control Tab This tab displays basic information from the Serial Control record. To modify this information, click Modify Control, and edit the appropriate fields. 68 October 2003

75 Check-In Serial Issues Receive an Issue Out of Order The Expected tab displays a list of expected issues. The next expected issue appears with a red asterisk. To check-in an issue that is different from the next expected issue: 1. Select the issue in the Enumeration column, and click Selected Issue. The following window appears: October

76 Serials Control Training Guide 2. You can change the number of copies received or add a comment to the record. NOTE Patrons cannot see anything you type in the Receipt comment box. It is a good idea to follow any information you type in this box with your initials. 3. Click Check In to accept the changes and receive the issue. NOTE To view issue-specific instructions for issues other than the one being received, click a button in the Receipt Status column. 70 October 2003

77 Check-In Serial Issues Check-In Additional Copies If you receive a different number of copies than you expect: 1. On the Next Issue tab, click Different Copies. October

78 Serials Control Training Guide The following window appears: 2. Type the number of copies you received. 3. Type a receipt comment followed by your initials. 4. Click Check In Copies Now. 72 October 2003

79 Check-In Serial Issues Check-In Different Issues While checking-in serial issues, you may encounter the following situations: Issue received out of order You expect to receive the March issue, but you receive the April issue instead. Issue received out of order that is not expected You receive a replacement issue or outdated claim issue. Special issue You receive an index, extra edition, or supplement. If you receive an unexpected issue, click Different Issues on the Next Issue tab. The following variations may be checked in. Issue received out of order Click the received issue from the Enumeration column. Then click Selected Issue to receive the issue. Issue received out of order that is not expected, such as a fill in, replacement, or outdated claim Click Special Issue. The following screen appears: October

80 Serials Control Training Guide Click According to Pattern. This option receives the issue as if it were predicted, and MARC holdings are added to the range of received issues that were regularly predicted. Gaps in the ranges are properly recorded. These issues are recorded as 863 tags in the MARC Holdings record. Issue published as an extra edition, supplement, or index Click Special Issue. The same screen illustrated above appears. Click Special, then click Basic, Supplement, or Index. 74 October 2003

81 Check-In Serial Issues Check-In Issues by Barcode To check-in issues by entering or scanning the BAR SICI code: 1. On the Select Search window, click Search or Exact and the search index to BAR SICI. If you do not have a barcode scanner, but still want to enter the issue's barcode, use the HR SICI option. NOTE If the issue has no SICI printed on it, you can type the ISSN in this field, if available. The ISSN must be entered in the format The first matching SISAC ID field in a Serial Control record displays on the Receive Item screen. 2. Scan the issue's barcode if you chose BAR SICI, or enter it into the field if you selected HR SICI and click OK. Receive Issues without Predictions When this window displays, you may check-in issues that do not have a Prediction record associated with them. Use this option in the following circumstances: No more Prediction records are available in the Expected folder, and new predictions cannot be generated as part of the check-in process, or you receive an unexpected replacement for an old issue. In these cases, enable the According to Pattern option. None of the Prediction records displayed from the Different Issues button match the enumeration and chronology printed on the issue, or you receive a supplement or index. In these cases, select the Special Issue option and enable the Special option. According to Pattern When you select According to Pattern, fields defined in the Serial Control record s enumeration and chronology patterns are available to be filled in. The "According to Pattern" option is best used when entering the next expected issues or for missing, fill-in, or claimed issues. Any values may be entered as long as they conform to the same prediction pattern. Text may only be entered into the following fields. Enumeration pattern values defined for this control, such as V. [volume] and NO. [number] enumerations, which must be entered for the issue to be properly received. October

82 Serials Control Training Guide Chronology field, which is required and must contain appropriately formatted chronology. Number Expected Number Received Receipt Comment Special When you select Special, fields available to be filled in are not associated with the Serial Control record's regular patterns. Although enumeration and chronology must be supplied, any value is accepted. The "Special" option is best used when entering supplemental and extra issues, or indexes. Modifications may be entered into the following fields. Type of Special Issue, which allows you to specify whether the issue to be checked in is a supplement or index, or a basic extra issue. Enumeration field, which is required. Chronology field, which is required. Number Expected Number Received Receipt Comment NOTE If the Serials Control record is set up to update MARC holdings, and you receive a special issue, different entries of the MARC Holdings record will be updated: Special Issue/Basic goes to field 866 Special Issue/Supplement goes to field 867 Special Issue/Index goes to field October 2003

83 Check-In Serial Issues Combining Issues To check in an issue that combines two or more issues in a single issue: 1. Click Different Issue. The following screen appears: Select the check boxes of the issues you want to combine, then click Combine Issues. The following window appears: October

84 Serials Control Training Guide You can set the display pattern of the combined issues in the enumeration and chronology fields using one of these options: Right-click Check In Issues of a Serial. The Set Properties window displays. Click the Defaults tab. Scroll down to the Combine Issues Options and make your selections. Click the Combine Issues Options helper and make your selections. If this Helper does not appear, be sure it is enabled in the Helpers properties for the Check In Issues of a Serial wizard. Edit the fields manually on the Combined Issue window illustrated above. 78 October 2003

85 Check-In Serial Issues Received Tab This window displays issues received. You can click display options to access the following options. Sorted by enumeration Sorted by date received Sorted by date expected Each issue displayed has a corresponding more button that provides detailed issue information when clicked. October

86 Serials Control Training Guide Extended Information Use these three informational fields to provide additional information. These fields are good for very irregular issues and supplements that you want to predict. They appear at the point of check-in under Special Instructions. The PHYSFORM box describes the physical form, medium, or types of material pertaining to the Serial Control record. The NOTE box contains a note to be added to the record information. The NAME box contains the user's name. This value should be in the form last name, first name initial (e.g., Smith, Joe H). Your library can change this field name. 80 October 2003

87 Check-In Serial Issues Exercise 1: Predict A Regular Monthly Publication This is a monthly publication. The periodical began publication in January You will begin predicting issues the first year and first month of the publication. The issue you have in hand is Volume 1, No. 1, January Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding a title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the serial title you just created. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle. Verify the values in the Chronology Pattern rectangle. Chronology type: MONTH Verify the values in the Publication Pattern rectangle. 7. Subscription Tab: Verify the value of copies to receive 1 (Receive one physical copy.) Verify the number of issues. 12 (12 monthly issues in a year) Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Select CREATE CONTROL. The Prediction Records box displays. Verify the number of predictions you want to preview. (Predict a minimum of 13) Enter the enumeration of the first issue you want to predict. Enter the Chronology of the first issue you want to predict. Enter the Date First Prediction. Enter the Date Expected. October

88 Serials Control Training Guide 9. Review the predictions in the Prediction Records rectangle. 10. If satisfactory, select SAVE PREDICTION. 11. If changes are needed, select REDO PREDICTION, and make the necessary changes. 82 October 2003

89 Check-In Serial Issues Exercise 2: Predict a Weekly Periodical, and Check- In Issues This is a weekly publication. The periodical began publication in January You will begin predicting issues the sixty-second year and first month of the publication. The issue you have in hand is Volume 62, No. 1, January 2, Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding the title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the Serial Title. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle. Verify the values in the Chronology Pattern rectangle. Chronology type: DATE. Verify the values in the Publication Pattern rectangle. 7. Subscription Tab: Verify the value of copies to receive 1. (Receive one physical copy.) Verify the number of issues. 52 (52 weekly issues received in the year). Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Select CREATE CONTROL: The Prediction Record box displays. Verify the number of predictions you want to preview. (Predict a minimum of 53). Enter the Enumeration of the first issue you want to predict. October

90 Serials Control Training Guide Enter the Chronology of the first issue you want to predict. Enter the Date First Prediction. Enter the Date Expected. 9. Review the predictions in the Prediction Records rectangle. 10. If satisfactory, select SAVE PREDICTION. 11. If changes are needed, select REDO PREDICTION, and make the necessary changes. Imagine that the next expected issue of the title you predicted above has arrived. To check in the issue, follow these steps in the WorkFlows client. 1. Select the Check in Issues of a Serial Wizard. 2. Search by periodical title for the record created above. Identify your record and select CHECK IN ISSUES. 3. Imagine that you compare the issue in hand, with the information displayed by Unicorn, and they match. Select CHECK IN NOW to receive the issue. 4. On the resulting window(s), select OK. 5. Receive several more issues. 6. Display the title using the Item Search and Display wizard to see how the records have been updated. 7. Display the title in the OPAC to see how the holdings will display to the public. 84 October 2003

91 Check-In Serial Issues Exercise 3: Check-In Issues Out of Sequence You are going to receive issues that were predicted in Exercise 17. The following issues have arrived: September 2001 (1:1), October 2001 (1:2), November 2001 (1:3), February 2002 (1:6). December 2001 (1:4), and January 2002 (1:5) have not arrived. 1. Select the Check in Issues of a Serial Wizard. 2. Note your options for searching for an item. Search by periodical title for the record created in Exercise 16. Identify your record and select CHECK IN ISSUES. 3. Next Issue Tab. This information describes the issue that UNICORN expects to be checked in next. Imagine that you compare the issues in hand, with the information displayed in UNICORN, and they match. Select CHECK IN NOW to receive the issue. (Issue 1:1) On the resulting window(s), click OK. Select the Next Issue button. Receive two more issues. (Issue 1:2, and 1:3) After three issues have been checked-in, click OK. 4. Two issues have not arrived: (Issue 1:4, and 1:5) 5. Issue 1:6 has arrived. Select the Check in Issues of a Serial Wizard. Select the DIFFERENT ISSUE button. Highlight the issue Vol. 1, No. 6 (Feb 2002) Select the SELECTED ISSUE button. Verify the issue to be checked in. You may want to enter a receipt note. Select CHECK IN. On the resulting window(s), click OK, and close the resulting window(s). Display the title using the Item Search and Display wizard to see how the records have been updated. October

92 Serials Control Training Guide Exercise 4: Predict a Bimonthly Periodical, and Include Check-In Notes in the Control Record This is a bimonthly publication. The periodical began publication with the January 1986 issue. You will begin predicting issues the sixteenth year and fourth issue of the publication. The issue you have in hand is Volume 16, No. 4, July/Aug, Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding a title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the Serial Title. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle Verify the values in the Chronology Pattern rectangle. Chronology type: BIMONTH Verify the values in the Publication Pattern rectangle. 7. Subscription Tab: Verify the value of copies to receive 1 (Receive one physical copy.) Verify the number of issues. 6 (6 bimonthly issues in a year) Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Extended Info Tab: Add a receiving note in the NOTE field: Watch for special issues. 86 October 2003

93 Check-In Serial Issues 9. Select CREATE CONTROL. The Prediction Records box displays. Verify the number of predictions you want to preview. (Predict a minimum of 7) Enter the Enumeration of the first issue you want to predict. Enter the Chronology of the first issue you want to predict. Enter the Date First Prediction Enter the Date Expected. 10. Review the predictions in the Prediction Records rectangle. 11. If satisfactory, select SAVE PREDICTION. 12. If changes are needed, select REDO PREDICTION, and make the necessary changes. October

94 Serials Control Training Guide Exercise 5: Predict a Daily Periodical, and Check-In Issues This is a daily publication; however, it is not published on Sundays. The periodical began publication in January The issue you have in hand is Volume 13, No. 130, June 1, 2001 Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding the title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the Serial Title. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle. Verify the values in the Chronology Pattern rectangle. Chronology type: DATE. Verify the values in the Publication Pattern rectangle. Select the Publication Pattern Gadget. Select the OMIT Button. Select DAY. CHECK Sun. (To indicate that Sunday is omitted.) Click OK. Click OK for the various Gadget windows if the information is acceptable. 88 October 2003

95 Check-In Serial Issues 7. Subscription Tab: Verify the value of copies to receive 1. (Receive one physical copy.) Verify the number of issues. 313 (365 issues a year minus 52 issues for each Sunday). Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Select CREATE CONTROL: The Prediction Records box displays. Verify the number of predictions you want to preview. (Predict a minimum of 314) Enter the Enumeration of the first issue you want to receive. Enter the Chronology of the first issue you want to receive. Enter the Date First Prediction. Enter the Date Expected. 9. Review the predictions in the Prediction Records rectangle. 10. If satisfactory, select SAVE PREDICTION. 11. If changes are needed, select REDO PREDICTION, and make the necessary changes. October

96 Serials Control Training Guide Exercise 6: Predict a Quarterly Periodical, and Check-In Issues This is a quarterly publication. The periodical began publication with the winter issue in 1979 Vol.1, No.1. You will begin receiving this publication from Vol. 22, No. 4 (Fall 2000). The issue you have in hand is Fall 2000 Vol. 22 No. 4. Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding the title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the Serial Title. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle. Verify the values in the Chronology Pattern rectangle. Chronology type: SEASON. Verify the values in the Publication Pattern rectangle. 7. Subscription Tab: Verify the value of copies to receive 1. (Receive one physical copy.) Verify the number of issues. 4 (Four issues a year). Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Distribution Tab: Modify the DEFAULT distribution. CHECK Update Holdings. Enter 1 in the copies to add to the catalog field. SAVE CHANGES 90 October 2003

97 Check-In Serial Issues 9. Select CREATE CONTROL. The Prediction Records box displays. Verify the number of predictions you want to preview. (Predict a minimum of 5) Enter the Enumeration of the first issue you want to receive. Enter the Chronology of the first issue you want to receive. Enter the Date First Prediction. Enter the Date Expected. 10. Review the predictions in the Prediction Records rectangle. 11. If satisfactory, select SAVE PREDICTION. 12. If changes are needed, select REDO PREDICTION, and make the necessary changes. October

98 Serials Control Training Guide Exercise 7: Check-in Issues with Special Instructions Imagine that the next expected issue of the title you predicted in Exercise 3 has arrived. To check in the issue, follow these steps in the WorkFlows client. 1. Select the Check in Issues of a Serial wizard button. 2. Search by periodical title for the record created in Exercise 3. Identify your record and select CHECK IN ISSUES. 3. A Special Instructions window will display the note you entered in the control record in Exercise 3. Click OK. 4. Imagine that you compare the issue in hand, with the information displayed by Unicorn, and they match. Select CHECK IN NOW to receive the issue. 5. On the resulting window(s), click OK. 6. Receive several more issues. 7. Display the title using the Item Search and Display wizard to see how the records have been updated. 92 October 2003

99 Check-In Serial Issues Exercise 8: Predict a Semi-Monthly Periodical, and Check In Issues This is a semi-monthly publication published on the first and fifteenth of each month. The periodical began publication in April You will begin predicting issues the sixty-fifth year and first month of the publication. The next issue you expect to receive is Volume 65, No. 1, April 1, Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding the title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the Serial Title. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle. Verify the values in the Chronology Pattern rectangle. Chronology type: DATE. Verify the values in the Publication Pattern rectangle. 7. Subscription Tab: Verify the value of copies to receive 1. (Receive one physical copy.) Verify the number of issues. 24 (24 semimonthly issues a year). Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Select CREATE CONTROL. The Prediction Records box displays. Verify the number of predictions you want to preview. (Predict a minimum of 25). Enter the Enumeration of the first issue you want to predict. Enter the Chronology of the first issue you want to predict. October

100 Serials Control Training Guide Enter the Date First Prediction. Enter the Date Expected. 9. Review the predictions in the Prediction Records rectangle. 10. If satisfactory, select SAVE PREDICTION. 11. If changes are needed, select REDO PREDICTION, and make the necessary changes. Imagine that the next expected issue of the title you predicted above has arrived. To check in the issue, follow these steps in the WorkFlows client. 1. Select the Check in Issues of a Serial wizard. 2. Search by periodical title for the record created above. Identify your record and select CHECK IN ISSUES. 3. Imagine that you compare the issue in hand, with the information displayed by Unicorn, and they match. Select CHECK IN NOW to receive the issue. 4. On the resulting window(s), click OK. 5. Receive several more issues. 6. Display the title using the Item Search and Display wizard to see how the records have been updated. 94 October 2003

101 Check-In Serial Issues Exercise 9: Remove Received Issues By mistake, you accidentally checked in one copy too many of the periodical you created in Exercise 1 and modified in Exercise 14. You must remove a Received Issue through the Modify Serial Control Wizard. If MARC holdings were created, they must be corrected manually through the Modify Serial Control Wizard. If copies were created, they must be removed through the Remove Title, Call Numbers, or Copies Button. Edit the Recently Arrived notes through the Maintain Existing Titles Button. 1. Search for the Serial Title you created/used in Exercise Select the Modify Serial Control Wizard Button. 3. Select the Received Tab. 4. Select the Unreceive Issues Button. 5. Select the Unreceive Selected Issues Radio Button 6. Select the check box next to the last issue you checked in, and make note of its enumeration and chronology. 7. Select Remove. This issue becomes unreceived from the Received folder, and displays again in the Expected folder. Note: To permanently remove the issue, it must be removed from the Expected folder. 8. You will be prompted with a message that informs you of the issue(s) you are unreceiving. You will also be informed that MARC holdings (if created) need to be corrected manually. In addition, you will be informed that copies (if created) need to be removed before receiving the issues again. Click OK. 9. To manually remove MARC holdings, select the MARC Holdings tab in the Modify Serial Control Wizard. Insert the mouse pointer in the 863 MARC holding field that corresponds with the issue you just unreceived. Click on the Delete button, in the upper right hand corner of the window. The 863 field disappears. Click OK. 10. To remove copies, if copies were created when issues arrived, select the Remove Title, Call Numbers, or Copies Button. (This button is located on the Cataloging toolbar but may be added to your Serials toolbar.) Search for the title, or select the Current Title radio button if the Current Title displays. Select the check box next to the issue that you unreceived. Select Remove. Close the Window. October

102 Serials Control Training Guide 11. To edit the Recently Arrived notes, which were created at check-in, select the Maintain Existing Titles Button. Recently Arrived notes reside in the 599 field of the Bibliographic Record. Select the 599 field that contains the information about the issue you just unreceived. Delete the enumeration, chronology, and date that correspond with the issue you have just unreceived. Click OK. 96 October 2003

103 Check-In Serial Issues Exercise 10: Check-In a Duplicate or Replacement Issue You have received a replacement issue for the Serial Control record created in Exercise 1. The replacement issue is Vol. 1, No. 1, January, Select the Check in Issues for a Serial Wizard. 2. Search by periodical title for the record created in Exercise Next Issue Tab. This information describes the issue that UNICORN expects to be checked in next. You have the REPLACEMENT ISSUE in hand. Select DIFFERENT ISSUE button. Select the SPECIAL ISSUE button. Verify that According to Pattern radio button is selected. 4. Prediction Information Box: Enter the enumeration of the issue. V. 1 No. 1. Where you are prompted for Chronology, enter the chronology of the issue along with the designation DUP (for duplicate issues) or REP (for replacement) issues. JAN 2002 REP Select CHECK IN. October

104 Serials Control Training Guide Exercise 11: Predict an Annual Serial Publication, and Check-In Issues This is an annual publication. The periodical began publication in You will begin predicting issues for The issue you have in hand is There are no volume numbers. Create a brief item record for this title. However, if your serial title is already cataloged in UNICORN, adding the title will not be necessary. TITLE: 1. Select the Create Serial Control wizard button. 2. Search for the Serial Title. 3. If a multi-library system, select the appropriate Library and Holding Location. 4. Select the appropriate pattern template consistent with the subscription. 5. Basic Tab: Class Scheme: LCPER 6. Patterns Tab: Verify the values in the Enumeration Pattern rectangle. (Deselect the Check box for Vol.) Verify the values in the Chronology Pattern rectangle. Chronology type: YEAR. Verify the values in the Publication Pattern rectangle. 7. Subscription Tab: Verify the value of copies to receive 1. (Receive one physical copy.) Verify the number of issues. 1 (One issue a year). Link for Ordering/Claiming: Enter a Fiscal Cycle and Vendor ID. 8. Select CREATE CONTROL: The Prediction Records box displays. Verify the number of predictions you want to preview. (Predict a minimum of 4) Enter the Chronology of the first issue you want to receive. Enter the Date First Prediction. Enter the Date Expected. 98 October 2003

105 Check-In Serial Issues 9. Review the predictions in the Prediction Records rectangle. 10. If satisfactory, select SAVE PREDICTION. 11. If changes are needed, select REDO PREDICTION, and make the necessary changes. October

106 Serials Control Training Guide Exercise 12: Check-In Unpredicted Special Issues, Supplements, or Indexes You have received a special issue for the Serial Control record created in Exercise Select the Check in Issues for a Serial Wizard. 2. Search by periodical title for the record created in Exercise Next Issue Tab. This information describes the issue that UNICORN expects to be checked in next. You have a SPECIAL ISSUE in hand. Select the DIFFERENT ISSUE button. Select the SPECIAL ISSUE button. 4. Prediction Information: Select the SPECIAL radio button. Select the BASIC radio button. Enter Enumeration information about the issue being received. SPECIAL ISSUE. This information will appear in the 866 field of the MARC Holdings. This information will appear in the 599 field of the BIB record. Receipt Comment: Enter some information concerning the receipt of this issue: Keeping this issue although it was not expected. 5. Select the CHECK IN button. You have received an Index for the Serial Control record created in Exercise Select the Check in Issues for a Serial Wizard. 2. Search by periodical title for the record created in Exercise Next Issue Tab. This information describes the issue that UNICORN expects to be checked in next. You have the INDEX in hand. Select the DIFFERENT ISSUE button. Select the SPECIAL ISSUE button. 100 October 2003

107 Check-In Serial Issues 6. Prediction Information: Select the SPECIAL radio button. Select the INDEX radio button. Enter Enumeration Information about the index being received. Index This information will appear in the 868 field of the MARC Holdings. 7. Select the CHECK IN button. October

108 Serials Control Training Guide Exercise 13: Check In Multiple Copies of an Issue when You Receive Fewer than Expected Copies In Exercise 11, you created a Serial Control record for two subscriptions that are to be processed centrally but distributed to two different libraries. With the next expected issue, however, you only receive one copy. 1. Select the Check In Issues Wizard. 2. Search for the title you created in Exercise The Next Expected Issue Tab displays. Select the DIFFERENT COPIES button. Two copies are expected. Change the number in the numbers received field to 1, and click OK. NOTE Unicorn will attempt to distribute the multiple received copies as evenly as possible to multiple locations. If you prefer staff make the decision about which library will receive the one copy, your administrator can turn off the Auto distribute partially received issues option by right clicking on the Check In Issues of a Serial wizard, selecting Properties, and going to the Behavior tab. 102 October 2003

109 OPAC Display of Serial Holdings Overview Recently Arrived Issues The Serials Control module can automatically update the online catalog when you check-in issues. Your library decides, title by title, which of the following options to use for OPAC display: Recently arrived issues (599 field) MARC holdings Volume/Copy holdings This entry in the bibliographic record lets you display a list of recently received issues. Typically, this is a short list of issues. You can specify a maximum number of issues to display. Each library in a multi-library system can update a 599 entry in the bibliographic record. Each library gets only one 599 entry. If a library has several Serial Control records attached to one title (for example, a control record for the newspaper and a control record for the microfilm), all the control records could potentially update the 599 entry. This is usually not preferred, so most libraries typically choose one serial control record to update the 599 entry. October

110 Serials Control Training Guide OPAC Display Tab in the Serial Control Record This tab contains information that tells the public access catalog how to display serial issues: When you select the Automatically update MARC Holdings box, Unicorn lets you create MARC holdings generally for the entire Serial Control record. If you select this box when you create the Serial Control record, Unicorn creates a Holdings record. The number in the Display the most recently arrived issues as a note box determines the number of issues to display in the 599 entry. The Form of name to display options determine what issue information will be transferred to the 599 field of the bibliographic record. Enumeration = Volume, No. Chronology = Month, Year (only displays in ibistro) Both = Volume, No. Month, Year For more information about enumeration and chronology patterns, see 104 October 2003

111 Creating Predictions Patterns Tab on page 59. If the Serials Control record uses only enumeration, for example, click Enumeration to display in the online catalog. If you click Both, the enumeration is repeated twice in the 599. Technically, the enumeration is written to the check-in record twice when chronology is not used, although you cannot see it graphically in WorkFlows. The same scenario would be true for a control record that uses chronology only. October

112 Serials Control Training Guide Example The library receives the Chicago Tribune in both the newspaper and microfilm format. The library retains four months of the newspaper and permanently retains the microfilm. Create two serial control records: Newspaper Updates the 599 entry and displays the three most recently arrived issues. Microfilm Does not update the 599 entry. Here is an example of a list of Serial control records attached to the title 106 October 2003

113 Creating Predictions Here is how it appears in the OPAC Dsply folder for the NEWSPAPER control record: October

114 Serials Control Training Guide Example: Display of record in ibistro that shows recently arrived issues for the newspaper, and a MARC holdings record for the microfilm 108 October 2003

115 Creating Predictions MARC Holdings You can configure a Serials Control record to create and update a MARC holdings record when you check-in issues. Usually, MARC holdings records represent materials that the library permanently retains. Using a MARC holdings record for materials that are not permanent would require more catalog maintenance time to remove holdings that are no longer part of the library's collection. A MARC holdings record would typically be used for materials like bound volumes, binder sets, microfilm, and other permanently-retained materials. The basic structure of a MARC holdings record (when created and updated by the Serials Control record) includes a key (001), location (852), pattern (853), and holdings (863). MARC Holdings Tab October

116 Serials Control Training Guide If one or more MARC Holdings records already exist for a title, the library and location displays with a link to the detailed record. 110 October 2003

117 Creating Predictions Here is a MARC holdings record as it appears in WorkFlows Here is an example of a MARC Holdings record as it appears in ibistro Related tabs in the Serial Control record: OPAC Dsply To create and update the MARC Holdings record when you check-in issues, be sure to select the Allow update of MARC holdings check box. October

118 Serials Control Training Guide Distribution To create and update the MARC Holdings record when you check-in issues, be sure to select the Update Holdings check box. This field gives the distribution permission to create and update MARC holdings. This field is not available if you did not select the Allow update of MARC holdings check box in the OPAC Dsply tab. QUESTION: Why does the control record have two places that I must check to create/update MARC holdings? The answer is flexibility. The OPAC Dsply tab grants general permission to the Serials Control record to create/update MARC holdings. The Distribution tab offers a second layer of permission. The holding code specified in the Distribution tab is the central component in determining where the issues belong. For example, the library receives two issues of a quarterly publication. Copy 1 is shelved in PERIODICALS, and copy 2 is shelved in the REFERENCE location. Create the Serial Control record with two distribution lines; each line (copy) has a different Holding Code that indicates the appropriate location. The distribution line for each copy can "Update holdings" in case you do no want to create/update a MARC holdings record for each location. In a multi-library setting where receiving and checking-in serial issues is a centralized process, distribution works in nearly the same way. Keep in mind that holding codes not only specify a location in the library, but also the library itself. If several libraries each receive a copy checked-in on one control record, each library has it s own distribution line. Each library could then decide whether or not to update/create MARC holdings. Example Set up two formats for the same title the single issue magazine and the bound volumes. You could create two control records for each format. Parameters Serial name Biography. Monthly publication Bind 12 issues into one volume every year Update MARC holdings with the bound volumes. Do not barcode the bound volumes. Update the 599 to show the single issues in the Recently Arrived note. 112 October 2003

119 Creating Predictions Control record #1: Create a Serials Control record for the single issue. Pattern tab- Set up as monthly. OPAC Dsply tab- Do not update MARC holdings, decide the number of recently arrived issues to display as a note. Distribution tab- Do not add copies; do not update MARC holdings. ExtInfo tab- In the Physform box, type single issue. When you create a Serials Control record for the single issue, you expect the issue, and you can claim it if it does not arrive on time. It also lets you show recently arrived issues as a note in the 599 field of the bibliographic record. Control record #2: Create a Serials Control record the bound volume Pattern tab- Set up as an annual. OPAC Dsply tab- Update MARC holdings, enter 0 for the number of recently arrived issues to display as a note. Distribution tab- Do not add copies, update MARC holdings ExtInfo tab- In the Physform box, type bound volume. Because you bind the single issues (you do not receive the bound volume from a vendor), creating a Serials Control record is optional (no expecting no claiming). However, placing the bound volumes under serials control makes it easier to create and update MARC holdings. This example shows a list of Serial Control records in both the magazine and bound volume formats: October

120 Serials Control Training Guide This bibliographic record in ibistro displays the single issues in the recently arrived note of the bibliographic record and bound volumes in the MARC Holdings record: 114 October 2003

121 Creating Predictions Volume/Copy Holdings You can configure a Serials Control record to create a call number and a barcoded copy upon check-in. When you check-in an issue, Unicorn attaches a call number and copy to the title record. Creating volume/copy holdings is helpful when you want to circulate the issues. Typically, libraries use this option only when they want to retain materials permanently and/or circulate them. The call number and class scheme in the Basic tab of the Serials Control record play important roles when creating the volume/copy holdings. Related Tabs in the Serial Control Record Basic tab Type appropriate information in the Base Call Number box. Unicorn attaches the enumeration and chronology to the end of the base call number when creating the volume/copy. Select the class scheme carefully; usually, LCPER is the preferred class scheme because of the reverse chronological sort rule. OPAC Dsply tab The Form of name to display radio buttons play a role in creating the call number. Choose the appropriate piece of the check-in to attach to the end of the call number. If the pattern uses enumeration or chronology only, be sure to select the correct button. If you select Both, when the pattern uses only enumeration, the call number created will show the enumeration twice. The same holds true if the pattern used chronology only and you selected Both. Distribution tab Type the number of copies to create at check-in in the Copies to add box. Select the appropriate Holding code that represents the library, location, and item type of the material. Wizard Properties The Check-in Issues of a Serial wizard has a behavior property that controls how Unicorn creates the barcode at check-in. Most libraries disable the Auto Create Copies For Received Issues property so they can scan their own barcodes at check-in. October

122 Serials Control Training Guide Example Parameters Serial name Arizona Quarterly. Retention five years Basic tab Base Call Number A7265 Class Scheme LCPER OPAC Dsply tab Form of name to display Both Distribution tab Copies to add 1 Select appropriate Holding code Here is how the volume holdings appear in ibistro: 116 October 2003

123 Creating Predictions Exercise 14: Check-In Issues, and Understand the Options for OPAC Display of Check-In Information Imagine that the next expected issue of the title you predicted in Exercise 1 has arrived. To check in the issue, follow these steps in the WorkFlows client. 1. Select the Check in Issues of a Serial wizard button. 2. Search by periodical title for the record created in Exercise 1. Identify your record and select CHECK IN ISSUES. 3. Imagine that you compare the issue in hand, with the information displayed by Unicorn, and they match. Select CHECK IN NOW to receive the issue. 4. On the resulting window(s), click OK. Close the window(s). View the record using the Item Search and Display wizard to see how receiving updated the records. 1. Select the Item Search and Display Wizard. 2. Search by periodical title for the record you created in Exercise 1. Identify your record and select DETAILED DISPLAY. 3. Click the Bib tab and note the display of the Recently Arrived Note (599 field). 4. Click the MARC Hldgs tab and note the listing of a MARC Holdings record. Click on the platform to view the MARC Holdings record. Note the appearance of an 863 field for each issue checked in. Click OK to close the MARC Holdings record. 5. Click the All Volumes tab and note the appearance of a Call Number record for each issue checked in. Click OK to close the window. If you placed a number greater than zero in the Copies to add to catalog field on the Distribution tab, note the appearance of corresponding Copy records. October

124 Serials Control Training Guide View the record in the OPAC to see how the holdings display to the public. 1. Open a Web browser and point to your OPAC (ibistro or ilink). URL: 2. Search by periodical title for the record you created in Exercise 1. Identify your record and select FULL DETAILS. 3. Notice the Recently Arrived note in the bibliographic display. 4. Notice the MARC Holdings display showing a range of issues held. 5. Notice the copy level holdings reflecting each individual issue received. If Copy records were not generated, this portion of the display will not be present. 118 October 2003

125 Creating Predictions Distribution Tab The Distribution tab displays current distribution information only if your library is configured to use serial distributions. Through distributions, one centralized processing unit may check-in issues for other libraries. To change distributions, click Modify Dist. The Holding Code provides required copy-level information (item type and shelf location) at the time the record is loaded as a process of cataloging, acquisitions, or serials control. The Copies Expected (Number Expected) in a Prediction record is the number of copies expected for an entire issue. It should equal the Copies to Receive value in the Subscription tab. October

126 Serials Control Training Guide The Copies to Add (Copies to Catalog) field in a Distribution record indicates the number of copies expected for a particular serial distribution that should have Item records created in the catalog. The default value for this field is 0 (zero). If your library is configured to use serial distributions, the Update MARC Holdings Records field must be enabled for each distribution record for which you want to create MARC holdings. To enable this field, you must also enable the Automatically Update MARC Holdings field in the OPAC Display tab. 120 October 2003

127 Creating Predictions Overview If you are creating a Serial Control record in order to generate predictions (making it easier to check-in issues), you need to create pattern information. If you create a control on a MARC record with the appropriate value in the Frequn fixed field, WorkFlows fills-in the fields in the Expected tab. In this chapter, you will learn to create predictions through discussions of the following topics Pattern templates Date first prediction Pattern helpers Prediction helpers Working with Patterns and Creating Predictions Pattern Templates Pattern templates are delivered based on the codes for the frequency fixed field in the MARC record. These templates help expedite the process of filling in pattern information for the serial control record. Control record patterns can be filled in automatically. During the initial process of creating a serial control record, the Create Serial Control wizard examines the MARC record s frequency fixed field to determine which pattern template should be selected for the control record. When a match is made, the pattern is automatically inserted into the patterns folder of the control record. When a frequency fixed field cannot be found, no pattern is selected. A helper in the patterns folder of the control record (Fill in Patterns helper) can be used to drop a pattern template into the serial control record. Here is a list of delivered pattern templates: October

128 Serials Control Training Guide This example shows the fixed fields of the Serial record showing the frequency (Frequn) fixed field 122 October 2003

129 Other Serials Wizards Pattern Policies Pattern templates are delivered with the software, They are controlled by pattern policies in the Unicorn configuration. The structure of a pattern template policy includes enumeration, chronology, and a publication cycle. The template also includes a frequency code, which is based on the coding options available to the frequency fixed field of the serial MARC record. Here is an example of a Pattern Template policy: October

130 Serials Control Training Guide Here is an example of a Frequency Code policy associated with the Pattern Template policy: 124 October 2003

131 Other Serials Wizards Publication Cycle, Chronology, and Date First Prediction These three fields all relate to each other and must be in sync for predictions to generate correctly. Publication cycle (Patterns tab) The primary role of this field is to define the frequency (daily, weekly, monthly, etc). It is also lets the user select a date on which the material is published. For example, you would choose MONDAY for a weekly publication with a chronology of June 17, 2002 since the date is on a Monday. The date published is a little less clear in the case of a monthly. If the chronology for a monthly publication is June 2002, the date published defaults to the 1st day of the month. Chronology (generating predictions) When creating a batch of predictions, the chronology of the first issue is specified in the Chronology field. The chronology is the date on the publication. Date first prediction (generating predictions) When creating a batch of predictions, you need to fill out the Date First Prediction field for the first issue. WorkFlows uses this start date to calculate the date expected for each predicted issue. Determining the date first prediction by asking two questions: 1. Where does the chronology of the issue fall on the calendar? When identifying the date first prediction, think about the chronology of the issue. For example, the chronology might be June 2002 for the first issue of a monthly. On the calendar, the chronology falls on the month of June in That means the date first prediction must be in the month of June in the year This is half of what you need to know. 2. What was the date chosen in the publication cycle? For a monthly pattern, the default is the first of the month. You already know based on your first question that June 2002 will make up part of the date first prediction. If the first day of the month is in the publication cycle, the date first prediction will be 6/1/2002. October

132 Serials Control Training Guide Why is it important to carefully select the date first prediction? The date first prediction helps calculate the date expected for every predicted issue. The date expected is calculated by measuring the number of days between the date first prediction and date expected of the first prediction record. If the Date First Prediction field is not filled in correctly (i.e. the date first prediction doesn't match the chronology and date published), the expected dates may not be calculated correctly. 126 October 2003

133 Other Serials Wizards Date First Prediction Exercises Answers are on the next page. 1. Determine the date first prediction for publication with a MONTHLY frequency Publication cycle: On the first of each month Chronology: FEB 2003 Date first Prediction: 2. Determine the date first prediction for publication with a QUARTERLY frequency Publication cycle: Every three months, on the first of each month Chronology: SPR 2003 Date first Prediction: 3. Determine the date first prediction for publication with a DAILY frequency Publication cycle: Every day Chronology: FEB 21, 2003 Date first Prediction: 4. Determine the date first prediction for publication with a WEEKLY frequency Publication cycle: Every Friday Chronology: FEB 21, 2003 Date first Prediction: 5. Determine the date first prediction for publication with an ANNUAL frequency Publication cycle: Annually on January 2 Chronology: 2003 Date first Prediction: October

134 Serials Control Training Guide Answers to First Prediction Exercises 1. 2/1/ /1/2003, 5/1/2003, or 6/1/ /21/ /21/ /2/ October 2003

135 Other Serials Wizards Replace Patterns/Fill-In Patterns Helper This Helper displays only when the Patterns tab is displayed in a wizard that can modify the information. In the Modify a Serial Control wizard it is called the Replace Patterns helper. In the Create a Serial Control wizard it is called the Fill In Patterns helper. This time-saving Helper provides default information for all necessary fields of the Pattern tab in one step, and maintains consistent entries in fields with variable values, such as the Days to Wait Before Claiming and Days Before Subsequent Claim fields. Here is an example: October

136 Serials Control Training Guide This Helper is particularly useful in the following situations. The bibliographic record is not in MARC record format. The Frequency Code in the bibliographic record of the serial title is missing or is incorrect. The Serial Control record is connected to a monograph. The periodical has an odd publication cycle, such as 13 times in a year. Select the desired pattern name from the list. The pattern names and pattern field information provided in this Helper are related to the Frequency Code in the bibliographic record. Values in the Patterns tab are filled in or modified based on the template selected. NOTE The default information is displayed in pattern templates. Template component values may be defined in either the Serial Patterns Configuration or the Serials Control Configuration policies. 130 October 2003

137 Other Serials Wizards Generate Predictions for Expected Issues Helper NOTE The Get Expected Issue Info window also displays as issues are checked in if the Allow Automatic Prediction of Issues field is enabled in the Patterns folder, and the Generate Predictions step is selected, or after a serial control pattern is first created. This Helper is accessible from both the Create a Serial Control and Modify a Serial Control wizards. The Get Expected Issue Info window displays when you use this Helper, letting you define Prediction record information for a single issue. You can then use this record to generate Prediction records for any number of additional issues. Here is an example: In the Preview expected issues starting with box, type the number of prediction records you want to generate. Usually, the number entered here should generate prediction records for one complete publication cycle. For example, type 12 if you have a monthly publication renewed once per year, or type 13 if you have a monthly publication, but during one month it publishes twice. October

138 Serials Control Training Guide The following fields display the enumeration pattern labels, such as V. or NO., as they are currently defined in the control record. The modifiable default values that display next to the labels are based on the next expected issue. Replace any default value(s) with the actual enumerations defining the first prediction record to be generated. In a regularly published serial, you may need to modify these values the first time predictions are generated. The remaining fields are basic prediction record fields. Values must be entered into all of the following fields. Chronology Date first prediction Date expected Click OK to display a list of the issues you predicted based on the values you entered and the Patterns tab information. Check the list to ensure it states the prediction sequence you expect for this title, and save your prediction to create the list of predictions in the Expected tab. Redo your prediction to redefine the first prediction record. Change the pattern to make changes to the Patterns folder and select the Generate Predictions for Expected Issues helper again. Continuous Numbering When a serial control pattern uses a continuous numbering scheme on the second level of numeration, the first level of enumeration may not increment as expected. For example, the library receives a title with a monthly frequency. The enumeration pattern uses a volume and number, and the number is continuous. After 12 issues, the volume should increase. Therefore, the enumeration section of the patterns folder will use two levels of enumeration V and NO. The NO. level will be checked off as continuous with a limit of 12. Let's say that the first issue predicted will be V. 22 NO 30, OCT When creating the predictions, you might expect the volume to increase on the January issue. When creating the predictions, however, it won't. The volume increases on the May 2002 issue. Enumeration Chronology Date expected V. 22 NO. 30 OCT /1/2001 V. 22 NO. 31 NOV /1/2001 V. 22 NO. 32 DEC /1/2001 V. 22 NO. 33 JAN /1/2002 V. 22 NO. 34 FEB /1/2002 V. 22 NO. 35 MAR /1/2002 V. 22 NO. 36 APR /1/2002 V. 23 NO. 37 MAY /1/2002 V. 23 NO. 38 JUN /1/2002 V. 23 NO. 39 JUL /1/ October 2003

139 Other Serials Wizards Expected Tab The software increases the volume when it can evenly divide the limit on the NO. level of enumeration into the number of the issue. When the software made the predictions, the APR 2002 issue had an enumeration of V. 22 NO 36. Referring back to the patterns folder of the control record, the limit for the NO. level of enumeration was 12 which can evenly divide into the NO. 36. Therefore, the volume increased on the May 2002 issue. The customers should not be alarmed that the software does this, and it is okay to predict in small amounts in order to manually the incrementation of the volume. The Expected tab creates a Prediction record. A Prediction record contains information about a particular issue such as enumeration, chronology, and number of copies expected. October

140 Serials Control Training Guide To create a prediction, click Create Issue. The following window appears: 134 October 2003

141 Other Serials Wizards The Enumeration box identifies an issue of a serial title by the numeric information printed on a particular issue. This may generally be defined as the volume, issue, and any item numbers displayed on the issue. Each prediction record includes an enumeration field. The Chronology box contains the date published on the issue. When generating Prediction records, the chronology pattern value begins with the date of the next issue of Prediction records you want to generate. Click the date expected gadget to select the date that you expect to receive the next issue for this generated prediction. To calculate this date, add a fixed number of days to the date published. Click the Date prediction gadget to select the expected or predicted date of publication for the first issue of this generated prediction. The date prediction typically correlates with the issue's Chronology field. The Date Prediction links the prediction's chronology to the publication pattern of the Serial Control record. This date represents the chronology on the issue. Type the number of copies you expect for an entire issue in the Number Expected box. This number should equal the Copies to Receive value in the Subscription tab. Click the Date to Claim gadget to select the date to begin claiming unreceived copies of the issue. Calculate this number by adding the number in the Days to Wait Before Claiming box in the Patterns tab of the Serial Control record to the Date Expected you entered on this tab. The Prediction As Late report does this automatically. October

142 Serials Control Training Guide Type the linking number of the 853 entry to which the record should be linked in the Holdings Link box. You can modify this number at the time of receipt or before you receive an issue. Modifying the number requires a password in the Serial Holding Override box. Under normal circumstances, you should not have to change this number. In the Comment box, you can type a free-text comment associated with the prediction of the record. The maximum number of characters allowed is 80. Click Create when you are finished with your entries. The Create Control window reappears. Once you are satisfied that all your entries are correct, click Create Control. The following window appears: 136 October 2003

143 Other Serials Wizards Display Serial Control Record The Display Serial Control wizard guides you through the process of displaying all parts of a Serial Control record. You cannot edit any information when using this wizard. To display an existing Serial Control record: 1. Click the Display Serial Control wizard. The Select Search window appears as discussed previously. 2. Search for the item you want to display, and click OK. 3. If more than one Serial Control record is associated with a title, a list appears on the Title Search Results screen. 4. Select a title, and click View Serial Info to display the Serial Control record for the selected title. NOTE If a title retrieved by the search does not have an associated Serial Control record, a message displays to inform you that there are no Serial Control records, and prompts you to enter a new lookup. October

144 Serials Control Training Guide Modify A Serial Control Record The Display Serial Control wizard guides you through the process of making changes to existing Serial Control records. To change an existing Serial Control record: 1. Click the Display Serial Control wizard. The Select Search window appears as discussed previously. 2. Search for the item you want to display, and click OK. 3. If more than one Serial Control record is associated with a title, a list appears on the Title Search Results screen. 4. Select a title, and click Modify Control to display the Serial Control record for the selected title. 5. Make any changes and click Save Your Changes when you are finished with the update. 138 October 2003

145 Other Serials Wizards Remove A Serial Control Record The Remove A Serial Control wizard guides you through the process of removing all parts of a Serial Control record. You cannot edit any information when using this wizard. To display an existing Serial Control record: 1. Click the Remove A Serial Control wizard. The Select Search window appears as discussed previously. 2. Search for the item you want to display, and click OK. 3. If more than one Serial Control record is associated with a title, a list appears on the Title Search Results screen. 4. Select a title, and click View Serial Info to display the Serial Control record for the selected title. 5. Select a title, and click Remove Control to display the Serial Control record for the selected title. 6. Verify that you have selected the correct Serial Control record, and click Remove Control to complete the process. 7. If any issues are in the Expected, Received, or Claimed tabs, or if the Serial Control record has routings attached, a message appears. You will then have the option to cancel the removal and review the folders, or remove the control. October

146 Serials Control Training Guide 140 October 2003

147 Binding The Binding tab contains fields that will be used to indicate specifics about a title for which you want to have issues bound. This information may also be used to schedule Serial Group reports and determine when binding activities need to take place for specified titles. The Number to bind box contains the number of issues that will be bound in a single volume. The Copies to bind box contains the number of copies that will be bound in a single volume. The Type of Binding box may contain instructions to library staff or the binding agent. In cases where your library binds materials in different ways, such as hard bound or spiral bound, this field may also be used. This is an optional, 40-character field. The Material box may contain instructions to library staff or the binding agent about the type of binding material to use. This is an optional, 40-character field. The Color box may contain instructions to library staff or the binding agent about the color of the binding and/or the color of the ink used on the binding cover. This is an optional, 40- character field. The Binding Title box may contain instructions to library staff or the binding agent about the bound volume title. In cases where the complete title cannot fit on the spine or when titles are bound using a title other than the title in the 245 field, you can use this field to specify the title to use for binding. This is an optional, 40-character field. October

148 Serials Control Training Guide The Date to Bind box may contain the next date to collect issues for binding. After you collect the issues, be sure to change this date to the next collection date using the Modify a Serial Control wizard. The Serial Control Records report generates a list of materials to collect for binding based on the Date to Bind. The Date Sent to Bindery box may contain the date you send the issues to the bindery. 142 October 2003

149 Routing If your library circulates issues to faculty or library staff before making it available to patrons, you can establish a routing list on this tab and then print it using the Reports Utility. NOTE Be sure to enable the Allow Routing field in the user record or the user's name will not display in the routing list. To create a routing list: 1. Click Create Rtng. The following window appears: October

150 Serials Control Training Guide 2. In the Copy box, type the number of the copy that you want to route. 3. In the Library box, select the library to be routed from. 4. Click the User ID gadget to select the user that you want to add to the routing. 5. Type a number in the rank box to establish the user s rank in the routing. 6. Click Create. The Create Control window reappears with the new user name in the routing list. When checking-in serial issues, if the issue has routings, the routing lists will display beginning with the table of content routing (displayed as copy: 0) and ending with the routing for the last copy with a routing list. Each list displays separately and you will be prompted to print, or not print each one in order. 144 October 2003

151 Reports Exercise 15: Add a Routing List to a Publication You have been asked to add a routing list to one of the copies that you created in Exercise 11. The routing list will consist of at least three users. 1. Select the Modify Serial Control Wizard Button. 2. Search for the Serial Title created in Exercise Select the Routings Tab. 4. Select the Create Routing button. 5. Determine the copy to be routed. 6. Determine the library to be routed from. 7. Use the User Lookup gadget to select the user to add to the routing list. 8. Determine the rank of the routing. (1=highest) 9. Select Create. The routing list displays. 10. Repeat steps 4 9 until your list consists of at least three users. 11. When complete, CLOSE the window. October

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153 Reports and Claiming Overview The Serial Group of reports assists in the maintenance of periodical publications that are received on a subscription or on some other regular basis. Serial reports accomplish the following tasks. Count and list information about predictions, control records, routings, and vendors Manage the receipt and claiming of serials issues Update MARC holdings from the serials control links Provide tools to assist in the routing of periodical issues and Tables of Contents Claimed Tab The Claimed tab in the Serials Control record displays issues that have been claimed. The Report Utility described below generates Serial Claim notices. Even if check-in records were not generated by the prediction patterns (numeration, name, and calendar) in the control record, a check-in record can still be created to represent an issue to be claimed. October

154 Serials Control Training Guide Reports The following reports are available to be scheduled in the Serial Group of reports: Calendar Conversion Prediction MARC Holding Status Count Serial Claims Prediction as Late Count Serial Control Records Serial Claim Notices Count Serial Control Routings Serial Control Holding Flag Count Serial Distributions Serial Control Records Count Serial Predictions Serial Control Routing Slips Count Serial Receipts Serial Control Routings Count Table of Contents Copies Serial Controls by Item Count Vendors Serials X12 Invoices Create Serial Distributions Serials X12 Orders Delete Serials Claims Set Expected Issue List Serial Predictions Table of Contents Labels List Vendors Vendor Address Labels New Routing Slips X12 Serial Claim Transactions 148 October 2003

155 Serials Configuration Policies Manual Claiming You can manually create claims. This is particularly important when you need to claim damaged issues. To place a manual claim: 1. Click the Modify Serial Control wizard to search for the Serial Control record. 2. From the Claimed tab, click Create Claim. The software presents a list of expected issues. October

156 Serials Control Training Guide 3. Select the appropriate issue, and click Create Claim. The Prediction record appears with the option to choose a Claim Reason of Damaged. The claim reason is a required entry. 150 October 2003

157 Serials Configuration Policies 4. The next time the Serial Claim Notices Report runs, this claim will be selected and reported to the vendor. However, if you notify the vendor immediately after creating the claim, increment the Times claimed field and update the Nxt claim date field. Normally the Serial Claim Notices Report updates these fields when a claim is reported to the vendor. Manually updating these fields prevents the claim from appearing on the next report. If the claim is not resolved by the next claim date, the claim will be chosen by the Serial Claim Notices Report. 5. After updating the Prediction record with claim information, click OK. The list of expected issues remains on the screen in case you need to issue more claims. If not, click Return. The Claimed tab reappears. 6. Click Close to exit the record. October

158 Serials Control Training Guide Claiming with Reports A claim is a demand for a title, for issues, or for copies of an issue made by the library to the jobber or vendor responsible for a subscription. A claim record contains the same information about an issue as a prediction record, such as enumeration, chronology, and number of copies expected. A claim record also contains information about the dates and copies that have been or need to be claimed. To claim an issue, a check-in record must exist for an issue that, for some specified claim reason, was not received by the library through the serials control receipt process. Serial claims are created from check-in records. Serial claim notices are generated through the Report Utility. (Electronic claiming may be done for EBSCO titles under serials control.) Claim records may be created in a variety of ways: If a prediction record for is for multiple copies, and all expected copies are not received, an INSUFFICIENT claim record is created automatically for the unreceived issues. If no copies are received by the Date to Claim, a Prediction as Late report may be run to create ISSUELATE claim records. If serials staff notice that an issue was not received, or an issue is received but not accepted by the library for some other reason, (such as being damaged) a claim record may be created manually from the Claimed Folder. The following reports are used most regularly to maintain claim records. Prediction As Late Report Serial Claim Notices Report 152 October 2003

159 Serials Configuration Policies Prediction As Late Report The Prediction As Late report lets you define basic titling information, and make selections based on Serial Control record and Prediction record criteria. The Prediction As Late report marks serials as late based on the prediction record's Date to Claim field. When an entire issue is missed (no copies received at all), the claim record needs to be created with a claim reason of ISSUELATE before claim notice generation can take place. This report automatically creates claim records for issues with the Claim Reason field policy for late issues, so that claim notices can be generated. The Prediction As Late report should be scheduled to run on a regular basis to update prediction records that meet your library's criteria for claiming. NOTE The Prediction As Late report should always be run before you generate claim notices with either the Serial Claim Notices report or the X12 Serial Claim Transactions report. The Prediction As Late report automatically selects issue predictions that have received no copies and that do not already have a claim reason assigned. By default, the report also selects existing claims with a date to claim before the report run date. When the report runs, it looks at the claim reason policy, finds the first claim reason with type LATE, and puts that policy name in the Claim Reason field of the claim record. With delivered policies, the claim reason is ISSUELATE. NOTE The results of this report are embedded in the report log. Do not select to view, print, or results only, or the system will return an error message. October

160 Serials Control Training Guide Serial Claim Notices The Serial Claim Notices report allows you to define the basic titling information, and to make selections base on Vendor, Prediction, and Claim record criteria. NOTE Before running this report, the Prediction As Late report should be run to prepare issues for selection. After the staff reviews the list and makes any necessary modifications to the list of late predictions, the Serial Claim Notices report may be run. An issue is not actually claimed in Unicorn until claim notices are generated through the X12 Serial Claim Transactions report or the Serial Claim Notices report with the updating options set to Yes. The Serial Claim Notices Report generates standard paper letters and claims for serials in order by vendor. Run the X12 Serial Claim Transactions to generate claims in EDI claim format for X12 capable vendors. The Serial Claim Notices report allows you to identify issues from particular vendor, or using characteristics in the prediction or claim records such as date expected or number of times claimed. The report creates letters to vendors that claim issues using a specific claim reason text, which can be created or modified, by our library. Each time the report runs with the Count as Notice Sent field in the output options set to Yes, the selected issues' Date Claimed and Times Claimed fields are updated. 154 October 2003

161 Serials Configuration Policies Serials Control Configuration policies are used to gather statistics about Serial Control records, tracking claims and claim responses, and defining chronology names and chronology lists. To access these policies: 1. Right-click the existing toolbar to display a list of options. 2. Click Toolbars. The Desktop Setup window appears. 3. In the Use box, select config, and click OK. The Configuration toolbar appears. You will use four different wizards to access the Serials Control policies: Serials Control Configuration Serials Pattern Configuration Cataloging Configuration General Configuration October

162 Serials Control Training Guide Serials Control Configuration Policies The Serials Control Configuration Policy group includes the following policies: Serials Tab Category 1 The purpose of this optional category field is to denote a control record s special characteristics for serials control statistical analysis. The library determines the general purpose of this field, which policy names are allowed, and through screen configuration files can define the screen label for this policy. Serials control categories are used as selection criteria in reports for generating detailed statistical breakdowns by library-defined characteristics. Category 2 The purpose of this optional category field is to denote a second field for a control record s special characteristics for serials control statistical analysis. The library determines the general purpose of this field, which policy names are allowed, and through screen configuration files can define the screen label for this policy. Serials control categories are used as selection criteria in reports for generating detailed statistical breakdowns by library-defined characteristics. Claim Response The Serials Control Claim Response policy is used to standardize terminology used in responses from various serials vendors. 156 October 2003

163 Serials Configuration Policies Claim Reason The Serials Control Claim Reason policy is used in checkin records to describe why a serial issue is being claimed. Each Claim Reason policy defines a name, a type, a numeric code, and a line of text to be inserted in the claim notice text. There are four types of claim reasons: DONT (Do not claim), INSF (Insufficient Copies Received), LATE (Late Issue), and NORMAL. Chronology The Chronology policy provides the chronology designations, such as the month or season, for each issue. Chronology Type The Chronology Type policy defines the set of chronology names that issues will have when predictions are automatically generated. This policy usually contains a list of Chronology policies. This list can contain up to 15 elements, with each element containing one to four Chronology policies. When predictions are generated, this list is referenced, and each subsequent prediction is assigned a name from the list, plus a year. When the last name in the list is reached, the year is increased by one, and the first name in the list is referenced again. This policy displays in the Patterns folder of a serial control record. CAUTION: The Chronology and Chronology Type policies are used to calculate chronology statements in prediction records. Do not remove or modify the standard delivered policies without consulting Sirsi Customer Support. Extended Info This policy defines the serials control extended information format. October

164 Serials Control Training Guide Vendors Tab Group 1 This optional vendor Group 1 policy is used for grouping vendors for statistical and reporting purposes. The library determines what vendor characteristic this field represents, what policy names are allowed in this field, and through screen configuration files can change the screen label for this field. Group 2 Like the Group 1 policy, this optional Vendor group policy also denotes a vendor characteristic for budget management and statistical analysis. Group 3 Like the vendor Group 1 and Group 2 policies, this optional Group policy also denotes a vendor characteristic for budget management and statistical analysis. Address This policy is used for defining the vendor address format. 158 October 2003

165 Serials Configuration Policies EDI Address This policy is used for defining the vendor electronic data interchange (EDI) address format. EDI addresses are used by the Acquisitions and Serials Control modules for sending electronic orders and claims to vendors. Extended Info This policy defines the vendor extended information format. NOTE For more information on setting up a vendor's EDI address in policies, see the FAQ in the Help file, How do I create a Vendor EDI Address Format policy? October

166 Serials Control Training Guide Chronology Policies Name Description Code Holdings Display JAN January 01 Jan. FEB February 02 Feb. MAR March 03 Mar. APR April 04 Apr. MAY May 05 May JUN June 06 June JUL July 07 July AUG August 08 August SEP September 09 September OCT October 10 October NOV November 11 November DEC December 12 December SPR Spring 21 Spring SUM Summer 22 Summer FALL Fall 23 Fall WIN Winter 24 Winter 160 October 2003

167 Serials Configuration Policies Chronology Type Policies Name Description Special Processing BIMONTH BIMONTH2 DATE Bimonthly- Jan/Feb Bimonthly- Dec/Jan, Feb/Mar Date(MMM^/D D/^YYYY)Jan2, 2002 None None Date Name List JAN/FEB MAR/APR MAY/JUN JUL/AUG SEP/OCT NOV DEC DEC/JAN FEB/MAR APR/MAY JAN FEB MAR APR MAY JUN JUL MONTH Monthly Month JAN FEB MAR APR MAY JUN JUL NUMERATION Enumeration Numeration There is no name list SEASON SEASON2 SEASON3 Season- Win, Spr Season- Spr, Sum Season- Jan/Mar, Apr/Jun None None None WIN SPR SUM FALL SPR SUM FALL WIN JAN/MAR APR/JUN JUL/SEP OCT/DEC YEAR Year(YYYY) Year There is no name list CUSTOM Custom chronology Text There is no name list Caption (month) (month) There is no caption There is no caption There is no caption (season) (season) (month) There is no caption There is no caption October

168 Serials Control Training Guide Serials Frequency Policies Name Description Code 3INMONTH Three times a month j 3INWEEK Three times a week i 3INYEAR Three times a year t ANNUAL Annual a BIENNIAL Every 2 years g BIMONTHLY Every 2 months b BIWEEKLY Every 2 weeks e DAILY Daily d IRREGULAR Completely irregular x MONTHLY Monthly m QUARTERLY Quarterly q SEMIANNUAL Twice a year f SEMIMONTH Twice a month s SEMIWEEKLY Twice a week c TRIENNIAL Every three weeks h UNKNOWN Frequency unknown u WEEKLY Weekly w Serials Holiday Policies Name Description Date New Year New Year 1/1/2000 Memorial Day Memorial Day Last Monday of May Thanksgiving Thanksgiving Fourth Thursday of November Christmas Christmas 12/25/1999 Serials Label Policies Name V. Volume NO. PT. Number Part Description 162 October 2003

169 Serials Configuration Policies Serials Pattern Configuration Policies The Serial Patterns Configuration policies are used to relate standard serial frequencies to MARC code values, and to define default enumeration, chronology, and publication cycles in control records. The Serials policy group includes the following policies. Pattern Frequency Label Holiday The Serial Patterns Configuration policies are used to relate standard serial frequencies to MARC code values, and to define default enumeration, chronology, and publication cycles in control records. The Serial Patterns policy group includes the following policies. Daily Name Description Frequency code DAILY Daily DAILY SubDivision Label Limit Numeric Level 1 V. Level NO. 365 Y Name Type Date Publication cycle Every day Days to claim 4 Days to subsequent claim 30 Number of issues 365 October

170 Serials Control Training Guide Weekly Name Description Frequency code WEEKLY Weekly WEEKLY SubDivision Label Limit Numeric Level 1 V. Level NO. 52 Y Name Type Date Publication Cycle Every week on Monday Days to claim 10 Days to subsequent claim 30 Number of issues 52 Monthly Name Description Frequency code MONTHLY Monthly MONTHLY SubDivision Label Limit Numeric Level 1 V. Level NO. 12 Y Name Type MONTH Publication Cycle Every month on 1 st day Days to claim 15 Days to subsequent claim 90 Number of issues October 2003

171 Serials Configuration Policies Annual Name Description Frequency code ANNUAL Annual ANNUAL SubDivision Label Limit Numeric Level 1 V. Level Name Type YEAR Publication cycle Every year on Jan. 2nd Days to claim 60 Days to subsequent claim 90 Number of issues 1 Biweekly Name BIWEEKLY Description Every 2 weeks Frequency code BIWEEKLY SubDivision Label Limit Numeric Level 1 V. Level NO. 26 Y Name Type Publication Cycle Date Days to claim 10 Days to subsequent claim 90 Number of issues 26 Every two weeks on the first day October

172 Serials Control Training Guide Bimonthly Name BIMONTHLY Description Every 2 months Frequency code BIMONTHLY SubDivision Label Limit Numeric Level 1 V. Level 2 NO. 6 Y Name Type Publication cycle Days to claim 17 Days to subsequent claim 90 Number of issues 6 Month Every two months on the first day of the month Biennial Name BIENNIAL Description Every 2 years Frequency code BIENNIAL SubDivision Label Limit Numeric Level 1 V. Level Name Type Publication Cycle Days to claim 60 Days to subsequent claim 90 Number of issues 1 YEAR Every two years on January October 2003

173 Serials Configuration Policies Name Description Frequency code Three Issues Per Month 3INMONTH Three issues per month 3INMONTH SubDivision Label Limit Numeric Level 1 V. Level NO. 36 Y Name Type Publication Cycle Date Days to claim 10 Days to subsequent claim 90 Number of issues 36 Every month on the 1st, 15th, and 28th Name Description Frequency code Three Issues Per Week 3INWEEK Three issues per week 3INWEEK SubDivision Label Limit Numeric Level 1 V. Level NO. 156 Y Name Type Publication cycle Days to claim 4 Date Days to subsequent claim 90 Number of issues 156 Every month on Monday, Wednesday & Friday October

174 Serials Control Training Guide Three Issues Per Year Name 3INYEAR Description 3 issues per year Frequency code 3INYEAR SubDivision Label Limit Numeric Level 1 V. Level NO. 3 Y Name Type Publication Cycle Days to claim 30 Days to subsequent claim 90 Number of issues 3 Month Every four months on the first day Quarterly Name QUARTERLY Description Quarterly Frequency code QUARTERLY SubDivision Label Limit Numeric Level 1 V. Level NO. 4 Y Name Type Publication cycle Days to claim 21 Days to subsequent claim 90 Number of issues 4 MONTH Every three months on the first day 168 October 2003

175 Serials Configuration Policies Semiannual Name SEMIANNUAL Description Twice a year Frequency code SEMIANNUAL SubDivision Label Limit Numeric Level 1 V. Level NO. 2 Y Name Type Publication Cycle Days to claim 45 Days to subsequent claim 90 Number of issues 2 MONTH Every six months on the first day Name Description Frequency code Semimonthly SEMIMONTH Two issues per month SEMIMONTH SubDivision Label Limit Numeric Level 1 V. Level NO. 24 Y Name Type Publication cycle Date Days to claim 10 Days to subsequent claim 90 Number of issues 24 Every month on the first and the fifteenth October

176 Serials Control Training Guide Name Description Frequency code Semiweekly SEMIWEEKLY Two issues per week SEMIWEEKLY SubDivision Label Limit Numeric Level 1 V. Level NO. 104 Y Name Type Publication Cycle Days to claim 7 Date Days to subsequent claim 90 Number of issues 104 Twice a week on Monday and Wednesday Triennial Name TRIENNIAL Description Every three years Frequency code TRIENNIAL SubDivision Label Limit Numeric Level 1 V. Level Name Type Publication cycle Days to claim 60 Days to subsequent claim 90 Number of issues 1 YEAR Every three years on January 2nd 170 October 2003

177 Serials Configuration Policies Cataloging Configuration Policies Classification Policy The Classification policy controls the treatment of call numbers in Unicorn. Some attributes of the policy are used in calculating shelving keys; other attributes are used to format the display of the call number. In this policy, you will define the LCPER policy Holding Code Policy The Holding Code policy is used when loading bibliographic records into Unicorn via the record loading reports. A holding code in a bibliographic record is a short code that represents copy-level information, such as Item Type and Location. In Unicorn, the Holding Code policy is used to provide required copy-level information at the time the record is loaded. Each Holding Code policy definition provides several pieces of necessary information which is expanded into data when an bibliographic record is loaded into Unicorn. October

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179 Serials Control Wizard Properties Overview Each wizard has properties that your library can customize to change the way a particular wizard behaves. This includes changing the default values or the information that displays, and deciding which Helpers will be available within the wizard. You can access the properties by right-clicking any wizard. Three tabs contains information you can change: Behaviors Preset selected field values and select which next steps and/or folders will display with a specific wizard or Helper. Some wizards will contain an At End of Wizard screen area, in which you can select which buttons display at the end of the wizard workflow. It can also set which action the wizard should automatically perform as the last step of the wizard. This folder only displays to users at the supervisor and system administrator hierarchical level. Defaults Preset field values and select which information will display with a specific wizard or Helper. Helpers Select which Helpers will display with a specific wizard or Helper. This folder only displays to users at the supervisor and system administrator hierarchical level. October

180 Serials Control Training Guide Check-In Issues of a Serial Wizard Properties NOTE Detailed information about each wizard s properties is available in the online Help. The following example gives you an idea of the types of property settings that you can make. 174 October 2003

181 Serials Control Wizard Properties Behavior Tab October

182 Serials Control Training Guide In the Behavior properties, you can specify whether to allow the following functions when working specifically with issue records in the Next Issue, Expected, and Claimed folders. Modify issues in the Different Issues step Combine issues in the Different Issues step Create and receive special issues in the Different Issues step Auto-distribute partially received issues in the Different Copies step is only used if your library is configured to use serial distributions. If expected copies were not received, the system would distribute the copies that were received equally across distributions. Disable this property to manually distribute the received copies according to your library's priority. Auto-create copies for received issues is only used for serials that are enabled to add copies to the catalog. If copies are created, the system auto-generates item IDs for the copies if enabled. Disable this property to manually add barcodes to received copies. Print routing lists for received issues is only used for serials that have associated routing lists. Disable this property to prevent the prompts for printing route lists. Even if this option is disabled, routing information will display in the received window. If it is enabled, individual routing lists display for printing and the following property may be selected Include user extended info entries is only used when routing lists are enabled for printing. User extended information including NOTE and COMMENT fields may print all, brief, full, or template entries with the user name on the routing list. User address information is included by default. Use the verify list to select the extended information to print. 176 October 2003

183 Serials Control Wizard Properties In addition, in the Behavior properties, you can specify whether to allow the following functions when working specifically with the Serial Control record when checking-in issues. Create a Serial Control record if there is not one found on the title that was searched Modify a Serial Control record from the Control tab when checking-in an issue Modify an existing MARC Holdings record if the MARC Holdings tab is enabled to display in default properties Display Special Instructions notes before checking-in issues The At End of Wizard properties lets you select Show Checked Buttons to specify which step(s) will display as choices for the wizard's final step. You can also select Perform Selected Action to specify which action will be automatically performed as the wizard's final step. Enable the following checkboxes to display these next steps at the end of the wizard. All checkboxes are delivered enabled. New Lookup Next Issue Close Select one of the following actions to be automatically performed at the end of the wizard. Next Issue New Lookup Close October

184 Serials Control Training Guide Defaults Tab You can preset a Search Type by selecting one of the search method options. Search is the delivered Lookup Preference type. You can preset a Search Index by selecting one from the verify list. The delivered value is Title. You can preset which library catalog will be searched by selecting a library from the Search Library verify list. This list is determined by your library policies. 178 October 2003

185 Serials Control Wizard Properties Folder Options You can enable or disable any of the following folders to display during the check-in process. Show Control Information Folder Show MARC Holdings Folder (delivered disabled) Show Distributions Folder Preferences for Working with Issues You can enable or disable any of the following folders of issues to display during the check-in process. Show Expected Issues Folder Show Received Issues Folder Show Claims Folder Number of issues per browse screen determines how many expected, received, or claimed issues will display at a time. The default value displays approximately the number that will fit per window. If the number of issues exceeds a window size, you may use the scroll bar to display up to this specified number. You may page forward and backward through the issues that are not displayed. However, only this number of issues displayed may be removed at one time and you cannot page forward through a list displayed for removal. Combined Issues Options You can enable the default issue enumeration and chronology combination patterns that will display when combining issues. These values may be modified manually or changed using the Modify Options Helper if it is enabled to display. You can set one of the following three combined enumeration options as a default. Combine the enumerations of the first and last issues (default) Use the enumeration of the first issue Use the enumeration of the last issue You can also set one of the following combined chronology options as default. Combine the chronologies of the first and last issue Use the chronology of the first issue Use the chronology of the last issue. October

186 Serials Control Training Guide Helpers Tab Click Bibliographic Description Helper to display additional properties that you can set: 180 October 2003