TECHNICAL SERVICE STANDARDS FOR SERIALS PROCESSING
Part II.

Authors: Pam Daniels, Dana Santa Cruz, and Judith Weeks

IV. CLAIMING

Purpose.
To identify items that are missing, damaged, or mutilated and to monitor the need for subsequent claims as necessary

Tasks that need to be completed for claiming.

• Determine if a title needs claiming
• Determine if an order needs claiming
• Determine if it is appropriate to run a boolean to search for claimable items
• Update or refer, depending on acquisition type, incomplete or out of date vendor/claim addresses

Performance Standards

• Manner of Performance
  Staff completing this function should be alert, capable of high-quality, high-quantity of production and be detail-oriented.
• Timeliness
  
  • As encountered claiming: should occur immediately; the claim limits indicated as check notes in INNOPAC should be observed.
  • Order claiming (i.e. a patron or professor is requesting): the Collection Core Services Division needs to be contacted.
  • Boolean claiming: ideally the domestic file is reviewed quarterly and the foreign file is reviewed semi-annually. Boolean file etiquette should be closely adhered (see BPM, Appendix 4: Innopac, "Advanced Techniques in Creating Boolean Lists", http://www.lib.berkeley.edu/Staff/BPM/appndx4e.html)
• Quality
  3% error rate.
• Effectiveness in use of resources
  Equipment and Software
  • PC
  • access to a laser printer to make printouts of problematic records
  Written Documentation
  • Berkeley Processing Manual (BPM) - paper version is being replaced by the electronic version: (http://www.lib.berkeley.edu/Staff/BPM/8etoc.html)
  • Innopac Data Elements Notebook (for access to this document, contact the Collection Core Services Division in the Technical Services Department)
  • Gladis Maintenance Systems: a reference manual (1989 ed. with updates)
  • Local written procedures to support the shelving location's needs and supplements the BPM
  Electronic Documentation
  • Innopac Users Manual, Release 10 (for access to this electronic document, contact Pamela Daniels in the Technical Services Department, 2-6010.
  Online systems
  • INNOPAC, GLADIS Maintenance, MELVYL, NRLF and FirstSearch
  E-mail reflectors and Listservs
  • btechgrp, checkin, innopac
    (see: http://www.lib.berkeley.edu/Staff/BPM/8edir.html)
• Methods of Performance
  It is expected that the staff performing this function will have access to the resources and understand the use of each tool detailed above.
• Quantity
  Number of claims generated depends on collection size, frequency of journals receied and staff expertise.
• Measures of Success
  A title's holdings are complete or a permanent decision is received from the Selector not to acquire the lacking issues.

V. SNAG PROCESSING

Purpose.
Resolve problems with titles whose records are "unenterable" (e.g. problem cards, title has limited access) or "nonexistent".

Tasks that need to be completed for bibliographic verification.

• Thorough inspection of piece, stencil and any accompanying information
• Search online systems: INNOPAC, GLADIS, MELVYL
• Identify problem to send to appropriate unit or individual for response or information for resolution
• Act on information obtained or solve problem using experience or authority granted and knowledge of Library/Unit's policies and procedures.
• Annotate or create records to reflect action taken

Performance Standards

• Manner of Performance
  Staff performing this function effectively does so with accumulated knowledge and a network of appropriate resources
• Timeliness
  Timeliness is effected by people who are outside the serials processing/technical services unit. The overall process can take 3-6 months (or longer) depending on Selector and vendor response time.
• Quality
  In this function, the processor does not needs to be "correct" but need to refer the title to the proper authority. Efficiency and effectiveness are the goals.
• Effectiveness in use of resources
  Equipment and Software
  • PC
  • access to a laser printer to make printouts of problematic records
  Written Documentation
  • Berkeley Processing Manual (BPM) - Paper version is being replaced by the electronic version: (http://www.lib.berkeley.edu/Staff/BPM/8toc.html)
  • Innopac Data Elements Notebook (for access to this document, contact the Collection Core Services Division in the Technical Services Department)
  • Gladis Maintenance Systems: a reference manual (1989 ed. with updates)
  • Local written procedures to support the shelving location's needs and supplements the BPM
  Online systems
  • INNOPAC, GLADIS Maintenance, MELVYL, NRLF and FirstSearch
  E-mail reflectors and Listservs
  • btechgrp, checkin, innopac - (see: http://www.lib.berkeley.edu/Staff/BPM/8edir.html)
• Methods of Performance
  It is expected that all staff performing this function will have access to the resources and understand the use of each tool detailed above.
• Quantity
  This depends on the local unit priorities, the volume of mail receipt and unit staffing levels.
• Measures of Success
  Item has an accessible record or source is notified to discontinue supplying title.

VI. RECORD MAINTENANCE

Purpose.
Manage serial bibliographic, check-in and order records in INNOPAC and GLADIS as needed in order to: (1.) Make the records in both systems display elements of processing information in accord with cataloging information; (2.) Facilitate the serials acquisitions processes conducted in Collection Core Services Division and check-in units; and (3.) Reconcile or refer discrepancies between actual publications, the GLADIS records and the INNOPAC records that describe the publications and their publication history.

Tasks that need to be completed for record maintenance.
Record maintenance can be sorted into categories by level of difficulty and experience needed to resolve the problem:

• LEVEL 1 (difficulty level: routine)
  Tasks at level 1 include but are not limited to:
  • processing frequency changes in Innopac (GLADIS maintenace is referred to Serials Cataloging)
  • updating INNOPAC transaction dates;
  • processing inexpensive/free duplicate issues;
  • adding additional boxes to a check-in card; and
  • annotating INNOPAC box specific notes of the first two occurrences of printing errors (e.g. numbering, date errors that appear on the publication versus what was expected according to publishing history).
  Knowledge of when to refer problems to more experienced or higher level staff is essential.
• LEVEL 2 (difficulty level: moderate)
  Tasks at level 2 include but are not limited to:
  • updating GLADIS SUMs,
  • performing full range of serials check-in in INNOPAC without restriction on difficulty (including sets within seps, conanal/monanal/supanal, cumulative indexes, "On Order" and "UPDATE" records, referral/update of stencil information);
  • identifying first issue titles, format changes, successive entry cataloging changes (SEC) and other problems needing bibliographic updating (e.g. new series, numbering peculiarities including publisher's printing errors, additional access poins as needed);
  • creating new records as needed for referral to Serials Cataloging as required (including bibliographic, check-in, and order-for-record-only items, discard records);
  • annotating check-in records when bibliographic changes are anticipated;
  • closing and deleting check-in records with referrals to Serials Cataloging as appropriate and
  • referral of items to Collection Core Services Division that come in on a closed order.
  Exceptions to standard workflows must be recognized and routed to someone who can make a decision regarding them. Knowledge of when to refer problems to more experienced or higher level staff is essential.
• LEVEL 3 (difficulty level: high)
  Tasks at level 3 include:
  • transfers and withdrawals;
  • INNOPAC order record transfers and deletions; and
  • full range of record maintenance not processed at a lower level or referred to other units such as Serials Cataloging or Collection Core Services Division (e.g. multi-tiered SECs, complicated sets within seps, contacting catalog units for authority work/heading problems, examining an title's cataloging and how it affects public service in the unit and access to the title consulting with Selector as appropriate).
  Staff at this level have a high degree of training, experience and knowledge of the collection.

Performance Standards

• Manner of Performance
  Staff completing this function should be alert, capable of high-quality production and be detailed oriented.
• Timeliness
  
  • LEVEL 1 (difficulty level: routine): record maintenance at this level should be completed on an as encountered basis;
  • LEVEL 2 (difficulty level: moderate): record maintenance at this level should be completed within 2 working days of discovering or referral of problem;
  • LEVEL 3 (difficulty level: high): record maintenance at this level can be very time consuming (completion of maintenance varies depending on unit and selector priorities and staffing levels/experience)--most problems should be resolved within 3-6 months.
• Quality
  goal for all levels is 100% accuracy
  • LEVEL 1: 3% error rate
  • LEVEL 2: 3% error rate
  • LEVEL 3: 1% error rate

    Record maintenance at this level has far reaching implications for system integrity and often mistakes cannot be caught easily. Staff perform work without review. Quality over quantity is the standard.

• Effectiveness in use of resources
  
  • LEVEL 1: INNOPAC, GLADIS Online Public Access Catalog, MELVYL and local written procedures
  • LEVEL 2:
    Equipment and software
    • PC
    Written documentation
    • Berkeley Processing Manual -- paper version is being replaced by the electronic version: (http://www.lib.berkeley.edu/Staff/BPM/8htoc.html)
    • Innopac Data Elements Notebook (for access to this document, contact the Collection Core Services Division in the Technical Services Department)
    • Gladis Maintenance Systems: a reference manual (1989 ed. with updates)
    • local written procedures
    • technical service standards on check-in, claiming, and snag processing included in this document
    Electronic Documentation
    • Innopac Users Manual, Release 10 (for access to this electronic document, contact Pamela Daniels in the Technical Service Department, 2-6010)
    Online systems
    • INNOPAC, GLADIS Maintenance, MELVYL, FirstSearch, NRLF
    E-mail reflectors and Listservs
    • btechgrp, checkin, innopac (see: BPM section, E-MAIL ADDRESSES, LISTSERVS, AND REFLECTORS)
  • LEVEL 3: Conser Editing Guide (Library of Congress, Serial Record Division, 1994 edition), Anglo-American Cataloguing Rules (2nd ed., 1988 revision) and LEVEL 2 resources. In addition, the SERIALS in Libraries E-conference (discussion name: SERIALST) may be helpful. SERIALST tends to be broad in scope and includes most aspects of serial processing that occurs nationwide. see, Archives .
• Methods of performance
  It is expected that all staff performing record maintenance at the various levels will have access to the resources and understand the use of each tool detailed above appropriate to the level of maintenance being done.
• Quantity
  Amount of record maintenance to be done depends on collection size, level of maintenance and organizational priorities
• Measures of Success
  Patrons and staff can identity and access a record, and locate pieces at the shelving location in a timely fashion as staffing levels can accommodate considering the unit's priorities.

VII. ROUTING

Purpose.
To send library materials to the appropriate shelving location according to the assigned cataloging treatment (anal, no anal, sep, mvm, etc.)

Tasks that need to be completed to route an item.

• Item is marked according to cataloging treatment, format and Library practice
• Based on Library and local policies and procedures, knowledge of workflows and routing information in records, item is directed to its appropriate destination (e.g. Copy Cataloging Division, Bindery, Circulation Unit, other library employees, etc.)

Performance Standards

• Manner of Performance
  Staff completing this function should be alert, capable of high-quality, high-quantity of production and be detail-oriented.
• Timeliness
  Items should be routed or ready for pickup by Library Mail Services within 1 working day of processing.
• Quality
  1% error rate. Need for accuracy is high because this can be the last time the item is handled before patron use or delivery to other staff and unit.
• Effectiveness in use of resources
  Written documentation
  • Berkeley Processing Manual (BPM) - paper version is being replaced by the electronic version: (http://www.lib.berkeley.edu/Staff/BPM/8dappd.html)
  • local written procedures
  Online systems
  • INNOPAC, GLADIS
  In particular, knowledge of workflows is required. When an item's routing is not clear, consult with other staff
• Methods of Performance
  It is expected that all staff performing this function will have access to the resources and understand the use of each tool detailed above.
• Quantity
  Quantity varies depending on library mail deliveries, frequency of titles received, the academic year cycle, sources of material, and organizational priorities. Goal of timeliness needs to be met.
• Measure of Success
  Success is when the material is available to the patron or staff member for further processing

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Last updated 11/20/06 Contact