LIS 901B: Summer 2005 Lecture 5

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LIS 901B Summer 2005Lecture 5

• Serials Introduction
• Serials Costs and Cancellations

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Serialist

• Specialist
• Aerialist
• Socialist
• Surrealist

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Why serials?

• They are expensive
• They are the backbone of many library collections
• They are complex and often defy rationalization
• They are a specialized type of library material

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Why serials? They

• Are born
• Die
• Change name
• Divorce
• Clone
• Branch

• Give birth
• Adopt
• Go through custody changes
• Metamorphose
• Resurrect
• Remarry ...

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Why serials? They

• RECONFIGURE
• Frequency change
• Physical changes
• Numbering changes
• Volume/Issue
• Contents changes

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WORST SERIAL TITLE CHANGESOF THE YEAR AWARDS FOR
2002

• "To Be or Not to Be Award"
• This award goes to the National Stroke
  Association for changing the title of Be Stroke
  Smart to Stroke Smart. This was not smart.
• Going Down the Wrong Path or the Road Less
  Traveled Award
• This award goes to the Royal Society of Medicine
  Press for changing the title of the Journal of
  Integrated Care to Journal of Integrated Care
  Pathways. This ones enough to make catalogers
  hit the road.

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Why serials?

• They affect all areas of library operations
• purchasing
• cataloging
• circulation
• shelving and preservation
• public services / reference
• interlibrary loan
• They contain information required by patrons
• They are fun and interesting

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What is a Serial?

• Continues indefinitely
• Evolves over time
• Needs space!
• A serial is a publication issued over a period of
  time, usually on a regular basis (for example,
  weekly) with some sort of numbering used to
  identify issues (for example, volumes, issue
  numbers, dates).

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What is a Serial?

• A serial, unlike other multi-volume publications
  such as encyclopedias or the complete works of
  literary authors, does not have a foreseeable
  end.
• Examples of serials include popular
  magazines (Newsweek), scholarly journals (Journal
  of the American Medical Association), electronic
  journals (The Scientist), and annual reports.

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What is a Serial?

• 1904 - Charles Cutter
• A publication issued in successive parts, usually
  at regular intervals and continued indefinitely.
• 1927 - Winifred Gregory
• A publication not issued by a governmental
  agency, appearing at regular or staged intervals
  of less than a year, and including articles on
  various subjects.
• 1939 - Louis Shores
• Any publication issued serially or in successive
  parts more or less regularly.

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What is a Serial?

• 1952 - Belle E. Schactman
• Any title issued in parts which is incomplete in
  the collection.
• 1965 - Information Dynamics Corp.
• Any publication, in any format, issued in parts
  for indeterminate periods at stated or unstated
  periods or intervals.
• AACR2 (pre-2002) A publication in any medium
  issued in successive parts bearing numeric or
  chronological designations and intended to be
  continued indefinitely.

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HOUSTON, WE HAVE A PROBLEM

• Are websites serials or monographs?
• Are online databases serials or monographs?
• And what about those loose-leafs?

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What is a Serial?

• AACR2 2002 revision
• A continuing resource issued in a succession of
  discrete parts, usually bearing numbering, that
  has no predetermined conclusion.
• Examples include journals, magazines, electronic
  journals, continuing directories, annual reports,
  newspapers, and monographic series.

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Changes in Serial Definition

• A continuing resource
• (was A publication)
• issued in a succession of discrete parts
• (was issued in successive parts)
• usually bearing numbering
• (was bearing numeric or chronological
  designations)
• that has no predetermined conclusion.
• (was intended to be continued indefinitely)

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Serial definition

• What do we mean by
• Discrete?
• Separate parts/issues/articles
• Usually?
• Unnumbered series or first issue not designated
• No predetermined conclusion
• No obvious finiteness

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Serial Identifying Characteristics

• ISSN
• 1096-6919
• 0895-495X
• frequency in title
• AB Bookmans weekly
• Annual report of the Academy of Sciences of
  Estonia
• Yachting monthly

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Serial Identifying Characteristics

• enumeration/chronology
• Volume 28
• Vol. 32, No. 10 September 1997
• Spring 1997
• 1998-1
• year(s) of coverage
• 1997 (item published in 1998)
• ...for the fiscal year 1995
• ...covering the period July 1978 through June
  1979

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Serial Identifying Characteristics

• intent to continue publishing
• Preface
• The inaugural issue of Advances in the Theory of
  Computation and Computational Mathematics ...
  Future volumes of ATCCM ...
• certain titles
• Advances in ...
• Developments in ...
• Progress in ...
• Trends in ...

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Not Serials

• censuses
• dictionaries
• encyclopedias
• hearings
• five-year plans, etc.
• loose leaf publications with updates
• items issued for the duration of a single event

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Series vs. Serials

• Serials
• Periodicals
• Irregulars
• Series
• Separately published and titles items
• Collective title for group
• Monographic series
• Each issue is a monograph with its own title

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Types of serials

• Periodical Numbered serial intended to appear
  regularly in parts and often more than once a
  year usually a collection of articles by several
  persons
• Journal scholarly periodical focused on one
  subject
• Magazine Non-scholarly or popular periodical
  usually has multiple subjects

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Types of serials

• Newspaper daily or weekly periodical
  concentrating on current events, either in
  general or on a specific topic
• Non-periodical serial Usually appears in
  complete bibliographic volumes issued either
  less often than once a year or irregularly
• Annual issued once a year not issued in parts

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Types of serials

• Subgroup little magazines, non-commercial
  literary magazines and alternative underground
  publications. Electronically called Zines
• Indexing and abstracting services
• Proceedings, conferences, congresses

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Types of Periodicals

• Scholarly and research journals, e.g. American
  Archivist
• Professional and trade journals, e.g. Library
  Journal
• Journals of commentary and opinion, e.g. Mother
  Jones
• News/general interest magazines, e.g. Time,
  Newsweek

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Types of Periodicals

• Popular magazines, e.g. Sports Illustrated, Vogue
• Sensational publications, e.g. National Enquirer

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How often serials published

• Daily
• Weekly
• Semi-monthly (twice per mo)
• Monthly
• Bi-monthly (every two mos.)
• Quarterly
• Semi-annually (twice per yr.)

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How often serials published

• Annually
• Biennially (every two years)
• Regular/Irregular (e.g. comes 4 times a year but
  not every three months)
• Irregular (who knows!)

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History of Serials

• Roots go back as far as China in the third
  century B.C. copies of government news sent out
  to people in remote areas
• Began about 1200 A.D. in Europe
• First machine printed newspapers in Europe in
  late 16th century
• First American periodicals in 1741 American
  magazine (Andrew Bradford)

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History of Serials

• Late 19th century advances in printing
  technology Harpers Weekly and Colliers
• 175,000 periodicals published today

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Serials Librarianship

• Developed in 1930s and 1940s
• Collection development and technical services
  functions
• More efficient processing
• Call to reunify after automation
• North American Serials Interest Group (NASIG)

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CONSER IS

• A cooperative online serials cataloging program
• A source of high quality bibliographic records
  for serials
• A source of high quality documentation for the
  cataloging of serials and the input of serial
  records
• A group of serial experts who work together in an
  atmosphere of collegiality and trust

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CONSER IS

• A promulgator of standards related to serials
• A voice for serials in the library community
• A component of the Program for Cooperative
  Cataloging

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CONSER

• CONSER began in the early 1970s as a project to
  convert manual serial cataloging into
  machine-readable records and has evolved into an
  ongoing program to create and maintain high
  quality bibliographic records for serials.
• 35 total members
• Over 975,000 records in October 2004
• 30,000 new records per year

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CONSER

• In keeping with its evolution, the name was
  changed in 1986 from the CONSER (CONversion of
  SERials) Project to the CONSER (Cooperative
  ONline SERials) Program. In October 1997, CONSER
  became a bibliographic component of the Program
  for Cooperative Cataloging.

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CONSER

• The CONSER database resides within the OCLC
  Online Union Catalog. CONSER members
  authenticate, input, and modify serial cataloging
  records on OCLC or contribute original records
  via FTP. Authentication is the process of
  approving the descriptive elements in the record
  and providing for the record's availability
  through tape distribution services and
  bibliographic products.

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CONSER members include

• The national libraries of the United States and
  Canada (and their respective International
  Standard Serial Number (ISSN) centers)
• Selected university, U.S. federal, and special
  libraries
• Subscription agencies and abstracting indexing
  services

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CONSER members include

• Selected library associations
• Participants in the United States Newspaper
  Program (USNP)
• National program to catalog, preserve, and make
  available U.S. newspapers
• Newspaper microfilming projects
• cataloging the microfilms
• Jointly administered by NEH and LC
• Bibliographic records by USNP participants are
  part of the CONSER database

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Why do serials change titles?

• The scope of the publication may become narrower
  or broader. (American City to American City and
  County)
• The new title expresses more clearly the content
  coverage. (New Choices for the Best Years to New
  Choices for Retirement Living)

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Why do serials change titles?

• Mergers or buyouts of serial titles, usually for
  economic reasons, may bring about changes in
  titles. (Remedial and Special Education RASE
  was formed by the union of Exceptional Education
  Quarterly, Topics in Learning and Learning
  Disabilities, and Journal for Special Educators.)

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Why do serials change titles?

• A corporate name change for an issuing agency
  often means a title change. (Journal of the
  American Institute of Planners to Journal of the
  American Planning Association)
• Titles split to allow greater coverage of a
  topic. (Journal of Climate and Applied
  Meteorology became Journal of Climate
  and Journal of Applied Meteorology)

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Why do serials change titles?

• Some changes occur for political reasons.
  (Soviet Geography to Post-Soviet Geography)
• Occasionally a title changes for no obvious
  reason at all.

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Problems in Serials Cataloging

• Cataloging the whole serial
• From one issue
• Complete run or local holdings
• Relationships to other serials
• Cataloging is not done until the serial dies
• Latest vs. Successive Entry cataloging

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Latest vs. Successive Entry Cataloging

• Refers to history of a changing serial
• Entire run on one record (Latest entry)
• Multiple records as serial changes (Successive
  entry)
• Successive entry is standard
• Latest entry was widely used in card catalogs and
  correct according to AACR1
• Latest entry works best for 11 changes but not
  for complex changes
• Earliest entry cataloging?

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Serials Functions

• Selection
• Ordering and order monitoring
• Check-in
• Claiming
• Cataloging
• Binding
• Fund accounting
• Public services

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Subscription

• Placing an order for a serial
• for a particular period of time
• for a certain number of issues
• for a volume
• Contractual obligation
• Obligated for the term of the subscription
• pre-paid

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Subscription

• Licensing
• Type of subscription
• Multi-title subscriptions
• Bundling

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Serials Check-in

• Process of receiving individual issues
• Kardex- manual check-in
• Electronic check-in
• Expected issues
• Predictive check-in
• Catching anomalies
• Unexpected issues
• Missing issues
• Changes
• Special issues and supplements

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Holding Displays

• Support MARC 21 Format for Holdings and Locations
• Create holdings from check-in data
• Direct to OPAC holdings display
• 853 20 8 1 a v. b no. u 6 I (year) j
  (month)
• 863 40 8 1.1 a 113 i 1923 j 01-06
• Display v.113 (1923Jan.-Jun.)

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Claiming

• Requesting something that has been ordered but
  not received
• Manual vs. electronic
• Vendor vs. publisher
• Domestic vs. foreign
• Conflict resolution / When to give up

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Serials Record Keeping

• Order/payment history
• Shelf location (ever-expanding)
• Specific holdings
• Routing information
• Binding history and instructions
• Binding alert lists
• Instructions for binder (color, spine lettering,
  etc.)
• At Bindery automatic check-out status
• Volume conversion
• Convert issue item records to volume item record
• Disposal when appropriate

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Serials Records Functions

• Acquisitions functions
• Ordering information
• Receipt and distribution of incoming materials
• Payment record
• Claiming
• Processing functions
• Initial physical processing
• Bindery control

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Binding Management

• Mostly serials so often delegated to Serials
  Dept.
• Binding volumes when they are complete
• Internal vs. external binding
• Negotiating binding contracts
• Supervising binding contractor compliance

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Binding Standards

• Library Binding Institute
• Founded in 1935
• ANSI/NISO Standard for Library Binding
• Desirable characteristics of a library binding
• Alter text block minimally
• Bound volume should easily open to a 180 degree
  position to facilitate non-damaging photocopying

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Issues for Binding Contracts

• Desire of small, local vendors to bid
• Can vendor
• handle high volume business?
• Turn around
• automate record keeping?
• Compatibility with serials vendor system
• meet standards for quality?
• do pick up and delivery?

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ISSN

• International Standard Serial Number
• ISSN International Centre (Paris)
• Maintains ISSN register
• Formerly known as ISDS Register (International
  Serials Data System)
• ISSNs assigned by 50 national centers

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SICI

• Serial Item and Contribution Identifier
• Unique to serial issue and article
• ISSN, chronology, enumeration, article-specific
  data
• Multiple uses
• Important component of EDI transactions
• Z39.56 1996

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SICI

• Examples
• ITEM Library Journal Vol. 120 no. 5. March 15,
  1995.
• SICI 0363-0277(19950315)1205ltgt1.0.TX2-V
• ITEM Peters, Paul Evan. "Information Age
  Avatars" Library Journal Vol. 120 no. 5. March
  15, 1995. p. 32
• SICI 0363-0277(19950315)1205lt32IAAgt2.0.TX2-0

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SISAC Bar Code Symbol

• SISACSerials Industry Systems Advisory Committee
• Machine scannable representation of the SICI
• Unique identifier of a serial issue
• ISSN, chronology, enumeration
• ILS serials check-in
• Publisher and ILS compliance

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SISAC Example

• The SICI, located under the barcode, contains
• the ISSN
• the date of publication, between brackets and
  formatted according to the formula AAAAMMJJ
  (19921215 means Dec. 15th 1992)
• the volume and issue numbers, separated by a
  colon (here 121)

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SISAC Example

• the version number of the standard, here 1,
  preceded by a semicolon.
• and lastly a hyphen which precedes the control
  character calculated on the basis of all the
  preceding characters.

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Serials Budget Allocation

• Impact of serials on the materials budget
• Characteristics of serials and monographic series
• Differences among disciplines (humanities vs.
  sciences)
• Differences among various countries and areas in
  methods of acquisitions

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Serials Methods of Acquisition

• Paid subscription and standing order
• Membership and blanket orders
• Approval plans
• Depository arrangements
• Gifts
• Exchanges
• Acquiring issues selectively (e.g., every other
  volume, single issues)

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Serials Records Functions

• Public access functions
• Catalog records
• Holdings records
• In-house serials lists
• Union lists
• Interlibrary loan
• Cooperative collection development

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Serials Physical Retention and Preservation

• Development of preservation policy
• Evaluation of the collection for long-term
  retention and preservation
• Binding
• Microforms
• Problems of mutilation and theft
• Special considerations for nontraditional formats

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Serials Storage and Access

• Organization of paper formats
• Integrated with other collections
• Shelved in separate sequence
• Classed
• Alphabetical by title
• Implications of title changes
• Organization of non-paper formats
• Housing
• Equipment for use
• Reproduction and photoduplication

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The CRISIS

• Journal price increases
• Shrinking budgets
• Cancellation of subscriptions
• Homogeneous collections
• Electronic journals

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Serials Costs

• Serials inflation rate has stayed steady at
  approximately 10 per year for the last 6 years
• Assuming no increase in numbers of titles or
  services, the cost of serials doubles in
  approximately 7 years
• CPI vs PPI 20 year change
• CPI 1984 100 2004 165.70
• PPI 1984 100 2004 439.40

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Why serial publishers increase prices

• Increased content
• Increased features
• Increased pre-issue production costs
• Reduced circulation
• Increased profit
• Publisher judges its publications to be
  indispensable

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Factors that influence institutional serials
budget needs

• Serials inflation
• New serial titles
• New serial formats
• Institutional status/aspirations
• Faculty research areas
• New and cancelled programs

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Serials Costs

• Subscription
• Management (technical services)
• Storage
• Indexes
• Information services
• Access services
• Preservation
• ILL

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Measures

• Subscription costs
• Local user opinion
• Circulation
• In-house use
• ILL statistics
• Local faculty/user authorship and citations

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SPARC

• Scholarly Publishing and Academic Resources
  Coalition
• Coalition of libraries and non-profit/low-profit
  publishers
• Full member Open to all institutions of higher
  education and independent research libraries
• 5000 dues 7500 purchase commitment for
  journals offered under SPARC partnership

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Acquisition or Access

• Serials cancellation projects
• Before title is cancelled, effects of alternative
  access should be considered
• From whom is the title available-other libraries
  or commercial services?
• How current are current only holdings?
• Are multiple volumes available for delivery or
  are there limits on number of articles or volumes
  supplied at one time?

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Acquisition or Access

• In what format will the material be supplied?
• How will the material be shipped
• How long can it be kept?
• What are the delivery charges?
• What is the average turnaround time?
• What are the prospects for continued access?

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AACR2 Chapter 12

• Name now Continuing Resources
• Scope expanded
• Serials
• Integrating resources
• Some finite resources
• Reprints of serials
• Finite integrating resources
• Resources with characteristics of serials but
  whose duration is limited (e.g. regular reports
  of a limited-term project, annual report of a
  commission that will exist only for a limited
  time)
• Not just for serial catalogers any more!

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Conceptual Categories
Bibliographic Resources
Finite Resources
Continuing Resources
Finite Integrating Resources
Continuing Inte-grating Resources
Monographs
Serials
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Bibliographic resource

• An expression or manifestation of a work or an
  item that forms the basis for bibliographic
  description.
• A bibliographic resource may be tangible or
  intangible.
• Functional Requirements for Bibliographic Records
  (FRBR)

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Finite and continuing

• Finite Resource
• No formal definition by implication the opposite
  of continuing
• A bibliographic resource issued once or over time
  with a predetermined conclusion (completed within
  a finite number of parts or iterations).
• Includes monographs and finite integrating
  resources.
• Continuing Resource
• A bibliographic resource issued over time with no
  predetermined conclusion.
• Includes serials and ongoing integrating
  resources.

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Iteration

• Definition
• An instance of an integrating resource, either as
  first published or after it has been updated.

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Continuing Resources

• Continuing Resources is a new concept that serves
  as a collective term for both serials and
  integrating resources
• It refers to resources that have no predetermined
  conclusion
• It is the title of Chapter 12
• It will be the new name for the Serials fixed
  field in MARC records which will be used for both
  serials and integrating resources

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Integrating resource

• New definition in AACR2 A bibliographic
  resource that is added to or changed by means of
  updates that do not remain discrete and are
  integrated into the whole. Integrating resources
  can be finite or continuing
• Most common
• Updating loose-leafs
• Updating electronic resources

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Differences integrating resources and serials

• The primary difference between an integrating
  resource and a serial is the manner in which it
  is issued
• Serials are issued in discrete parts
• Integrating resources are issued with updates
  that do not remain discrete

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Differences in cataloging

• Basis of the description
• Serials First or earliest available issue
• Integrating Resources Latest iteration
• Change conventions
• Serials Successive entry (a new record each time
  there is a major change)
• Integrating Resources Integrating entry (the
  same record is used and updated for most changes)

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Three Major Types of Integrating Resources

• Updating Loose-leaf
• Examples AACR2, CONSER Editing Guide, LCRIs,
  many law reporters and legal loose-leaf services
• Updating Database
• Examples OCLC WorldCat, Books in Print online
• Updating Web Site
• Examples LC Web site, CONSER Web site, Columbia
  University Web site

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Updating Loose-LeafsTraditional Integrating
Resource
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Updating Database
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Updating Web site
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Integrating resources may be continuing or finite

• While all integrating resources are intended to
  be updated, some are finite in scope
• E.g., ALA 2001 Midwinter Meeting Web site --has
  a predetermined conclusion
• Both are included in Chapter 12 because
• There is no difference in the way they would be
  cataloged
• It might be difficult to make this distinction
• The distinctions are not useful to patrons

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Finite Updating Website
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Online and loose-leaf format resources may be
monographic, serial, or integrating
Online monographic document
Online journal
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Online SERIAL
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Types of online serials

• E-serials born digital, that is, originally
  published online
• some of these may later appear in cumulated print
  format
• Reproductions, republications, simultaneous
  editions of print titles
• Issued by original print publisher, a contracted
  third party or as part of a digital library
  project

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Types of online serials

• Titles that are part of a database of aggregated
  titles
• May vary in completeness of reproduction and
  coverage of issues
• May be the most predominate type of e-serial that
  libraries purchase and need to control

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Growth of Online Serials

• 1987 - 1st known e-journal - Syracuse University
  published Journal of Graduate Education
• 1991 - 1st ARL Directory listed 110 titles
• 1996 - listed 1689
• May 1997 - 3800 journals announced on e-journal
  list
• Today - ??? Too many to count

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Columbia E-Journal Numbers

• 13,348 records (titles)
• 16,281 URLs
• As of 10-2-2003

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Going Digital

• An online version of a print serial or other
  physical format serial that does not retain
  separate discrete parts or issues in online
  format, would be cataloged as an integrating
  resource

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Serial in print format

• ACS directory of graduate research
• 1st ed
• American Chemical Society
• Washington, D.C.

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Database in online format
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Resource discovery methods and control

• How do libraries provide access to electronic
  resources?
• Institutional gateways to Web based resources
• Lists and menus that provide access to serials
• Subscription products and services
• OPAC record with links to the resources and
  services

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Resource discovery and control

• Metadata standards that promote the embedding of
  description and search terms in the resource
  itself
• Search engines can more effectively find the
  resource

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Benefits of E-Journals

• Benefits to users
• Linking to and from and between articles
• Linking from databases to articles
• Available to authorized users at any time,
  anywhere
• Journal content can be enhanced, supplemented,
  and searched in ways not possible in print format
• More than one person at a time can read issues
• Electronic text is suitable for adaptive
  technologies for visual impairment
• Issues will usually not be missing

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Benefits of E-Journals

• Benefits to users (cont.)
• Speed of distribution and production many
  journals on web weeks before available in print
• Subscription costs
• Multimedia capabilities
• Benefits to libraries
• Electronic journals support distance education
• Accurate usage statistics can help with
  collection development decisions
• Shelving and processing costs will be reduced
  (long term)
• Issues will not need to be claimed or replaced
• Binding costs will be saved

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Free Electronic Journals

• An individual free journal
• is usually subsidized by a university or
  organization
• does not have expensive infrastructure needs
• probably relies on dedicated volunteers
• does not have the costs or the problems
  associated with maintaining subscriptions
• being young, needs to build a reputation, attract
  readers, attract authors
• may not continue beyond the time when the
  founders lose interest or leave the institution
  or organization

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Free Electronic Journals

• An individual free journal (cont.)
• may not be published as regularly or in as timely
  a fashion as commercially published journals
• may or may not comply with standards
• may have fresh, unconstrained methods of
  presentation and navigation
• may serve as a model for electronic journal
  features in the future
• An established large publisher
• has subscription related expenses
• has high infrastructure and capitalization costs

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Free Electronic Journals

• An established large publisher (cont.)
• will need to bear (or pass on) costs of
  re-tooling and hosting/maintaining journals
• needs to maintain print production while
  developing electronic services
• has to make a profit even nonprofit societies
  sometimes finance functions with their
  publications
• is reliable, predictable, stable but might be
  acquired by or merged with another established
  publisher
• may or may not operate as efficiently as possible

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New Business Models

• A library with a large subscription base will
  benefit from the free electronic access many
  publishers provide to print subscribers
• A smaller library in a large consortium may
  benefit from deals in which members have
  electronic access to collectively held
  subscriptions (though sometimes there is a buy-in
  fee for light-subscriber libraries)
• A library that is willing to cancel print
  subscriptions in favor of electronic access will
  save money with most publishers
• A library can choose to subsidize unmediated
  ordering and desktop delivery of individual
  articles from journals

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Why catalog them with AACR2 and MARC 21?

• Provide access to all versions of a bibliographic
  resource in the OPAC
• Including cases where format changes from print
  to online only
• Resource Discovery Controlled vocabulary and
  MARC 21 content designation for selected
  Internet resources
• OPAC can reflect licensed/fee-based library
  acquisitions

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Access Cataloging

• Titles individually cataloged following the same
  procedures as for other serials
• Advantages
• Benefits of complete MARC records standard
  description, access points, controlled subject
  headings, and authority control
• Consistency within the catalog one stop shopping
  for catalog users
• OCLC records may be available for popular
  aggregators
• Disadvantages
• Cataloging not timely when aggregators larger
  than a couple hundred titles
• Records are more prone to maintenance/deletion

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Single Record Approach

• Libraries may note information about the
  electronic version on the record for the print
  publication rather than separately cataloging the
  electronic version
• Generally, libraries only use for titles they
  hold in print, but can also be used if library
  doesnt hold the print version

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Cataloging single record

• Advantages
• Benefits of complete print serial records
• Doesnt require cataloging expertise
• Staff can process larger packages in a more
  timely fashion
• Disadvantages
• Cataloging still required for those titles not
  already held in print
• Loss of access points and description specific to
  the electronic version

112
Single record approach Advantages

• Patron/public service staff convenience
• Generally cheaper to catalog
• More timely access
• Fewer records to maintain

113
Single record approach Disadvantages

• Difficult to search for electronic versions
  because of loss of electronic descriptive
  information
• If records sets are available, may be cheaper to
  load separate records
• Resource sharing issues

114
Single record approach Factors

• Single record approach works well when
• Online version contains enough original content
  that it can act as a surrogate or substitute for
  the original
• Online version only contains selections (e.g.,
  TOC, abstracts) and thus not worth cataloging
  separately
• Separate records should be used when
• There are significant differences between print
  and online content
• Library wants separate records for identification
  purposes or other local considerations

115
Access Title Lists

• In the beginning, e-serial access was provided
  through alphabetic lists on web pages
• Alphabetic browse lists are still popular
• If unable to provide online access through the
  catalog, this may be the only option for access

116
Access Separate database

• Creation and maintenance of a separate database
  of a librarys aggregator serial title coverage
• Advantage
• Requires no cataloging resources
• Disadvantages
• Users must consult two sources to determine
  serial title holdings
• Duplicates efforts to provide catalog access (if
  not recycling catalog data)
• Individual libraries must do the work themselves
• Possibly no subject or corporate body access
• Note Access through a separate database is not a
  substitute for catalog access, but can be a
  wonderful enhancement

117
Access vendors

• Vendor solutions cover a range of possibilities
  including
• Printed lists
• Title and holdings data
• Record sets
• More sophisticated online access
• Management information
• Vendors include Serials Solutions, TDNet, 1Cate

118
Aggregators (aggravators)

• A collection of publications in electronic form,
  usually full-text versions of print journals
• Some aggregations are stable and well maintained.
  Examples Project Muse, JSTOR
• Some aggregations have surprises! Examples
  Lexis/Nexis, Proquest

119
Examples of Aggregators

• ABI/Inform
• Academic Abstracts
• Business ASAP
• Etc., etc., etc

120
But basically 4 major providers (plus)

• EBSCO
• Gale
• Ovid
• Proquest
• Wilson others via OCLC
• individual publishers and group sites e.g.
  IDEAL (Academic Press, Churchill Livingstone,
  W.B. Saunders, Mosby)

121
The Aggregator (aggravator)

• Basic Model
• Many titles from diverse publishers
• Cost is roughly 5.00 per title per subscribing
  library per year.
• Publishers see as
• Additional revenue stream (good)
• Possible competition for their own product (bad)
• Suppliers see as
• Cheap way to get lots of content with indexing
• A commodity

122
The Aggregator (aggravator)

• Libraries (ideally) see as
• Source of convenience
• The issue
• When these titles are viewed by libraries as a
  replacement for print they need to understand
  that long-term access is not a given.
• The reality
• Lost content

123
Stable Aggregators

• The titles have a common element (usually
  publisher)
• Each title has complete full-text (or if not
  complete, known differences are made clear)
• Browsable because collection is organized by
  title and issue
• Aggregator maintains a stable title list
• There is a close correspondence between print and
  online
• Aggregator notifies subscriber of changes to
  collection
• Compare this to

124
Aggregators with Surprises!

• Often have subject orientation representing many
  publishers
• Large and amorphous collections
• Individual titles come and go depending on
  database providers arrangement with publisher
• Not browsable (lacks title and/or issue-level web
  pages)
• Lacks complete full-text coverage (full-text for
  some articles but not others)
• Content may include monographs, reference books,
  newspapers and pamphlets
• Most packages are somewhere on a continuum
  between stable/well-maintained and full of
  surprises

125
Providing access to journal packages

• Catalog and provide access in OPAC
• Through webliographies and gateways
• Transparently from online indexes and databases

126
Access Aggregators (aggravators)

• Records for a particular aggregator provided by
  the aggregator or purchased from a service
• Considerations
• Record completeness
• Updates and maintenance
• Cost
• Relation to records already in your catalog
• Exit strategy
• If your librarys subscription to 2000 Science
  Direct titles is cancelled, how are you going to
  get those records and links out of your catalog
  tomorrow??

127
Additional factors

• Record set availability
• Collection development issues
• Staffing levels and expertise
• Local workflows and practices
• Your OPAC
• Vendor-supplied services
• User needs

128
Aggregator-Neutral Record

• CONSER and OCLC have announced plans for
  collapsing separate records for a title offered
  by multiple aggregators
• The resulting record would not describe details
  of any particular aggregator- focus on the title
• This would facilitate local adaptation of records
  for titles in aggregator databases

129
These records will be collapsed

• 130 0 American literature (Online Project
  Muse)
• 245 00 American literature h electronic
  resource.
• 362 1 Electronic coverage as of Oct. 13, 1999
  Vol. 71, no. 3 (Sept. 1999)-
• 550 Digitized and made available by Project
  Muse.
• 710 2 Project Muse.
• 856 40 u http//muse.jhu.edu/journals/al/

130 0 American literature (Online JSTOR)
245 00 American literature h electronic
resource. 362 0 Vol. 1, no. 1 (Mar. 1929)-
550 Digitized and made available by JSTOR.
710 2 JSTOR (Organization) 856 40 u
http//www.jstor.org/journals/00029831.html
130 0 American literature (Online OCLC)
245 00 American literature h electronic
resource. 362 1 Electronic coverage as of May
1, 2000 Vol.71, no. 4 (Dec. 1999)- 500
Made available through OCLC FirstSearch
Electronic Collections Online. 856 40 u
http//firstsearch.oclc.org/journal0002-9831scre
eninfoECOIP
130
Resulting Record

• 130 0 American literature (Online)
• 245 00 American literature h electronic
  resource.
• 260 Durham, N.C. b Duke University Press,
  c 1929-
• 856 40 u http//muse.jhu.edu/journals/al/
• 856 40 u http//www.jstor.org/journals/00029831.
  html
• 856 40 u http//firstsearch.oclc.org/journal000
  2-9831screeninfoECOIP

131
Columbia Strategy for E-Resource Control Access

• Hire Networked Electronic Resources Librarian!
• Expanded e-resource cataloging coverage in CLIO
• Purchase title-level catalog metadata records
  for sets whenever feasible
• Use services like Serials Solutions for titles
  carried in databases
• Do proactive and on-request local cataloging of
  individual e-resources

132
Columbia Strategy for E-Resource Control Access

• Flexible functional LWEB presentation
• Integrated, flexible, browsable LWEB displays
• "Backlinks" to CLIO from LWEB citations as
  appropriate
• Individual resource title "lookup" function in
  LWEB
• Optional alternate resource listings with display
  of annotations
• Improved subject access in LWEB
• Subject category display via HILCC
• Systematic and ongoing refinement and extension
  of HILCC Bib Control collaborates directly with
  selectors
• Keyword index to HILCC subject categories to
  supplement hierarchical access
• Geographic content access via LC geographic area
  code

133
Columbia E-Journal Issues and Strategies

• We will continue to rely on SerialsSolutions to
  supply most catalog records and holdings
  information for e-journals
• We need to more actively pursue means of filling
  in gaps in what SerialsSolutions provides
• Monitor accuracy and completeness of their
  coverage
• Report errors and work with SerialsSolutions to
  improve service
• Supplement SerialsSolutions services with local
  procedures and develop clear guidelines to
  distinguish between the two

134
Columbia E-Journal Issues and Strategies

• Actions on existing SerialsSolutions packages
• Records for missing titles
• Catalog locally
• Catalog in CONSER
• Notify SerialsSolutions
• Errors or gaps in holdings
• Correct locally and/or report to SerialsSolutions
• Creating forms and procedures for reporting
  problems
• Procedures for titles and packages not covered by
  SerialsSolutions

135
Canceling print

• Operating budget reduction
• Put our effort where use is (electronic)
• Decreasing use of print serial collections
• Where feasible and makes sense from both a
  collections and user perspective, cancel print
  subscription in favor of electronic
• Not across the board always option to keep print
• For major journal packages, beginning with
  sciences and social sciences just beginning
  discussions with humanities

136
Canceling print

• Faculty and student reaction in sciences and
  social sciences no problem users incredibly
  happy with e-journals
• Need to stay in sync with users and their needs
• Budget savings will be used to purchase
  electronic archives and supplement monograph
  budget
• First packages Elsevier Science Direct, IEEE
  conference proceedings, Sage social work titles,
  Kluwer, Wiley Interscience

137
Canceling print

• Print version
• Departmental library actions to close patterns
• Actions between cancellation and final receipt
• Reference to online continuation in print record
• No URL note that print subscription cancelled
• Implications of e-only for
• Verifying access
• Discovering, verifying, reporting new titles,
  dropped titles, changes in coverage, title
  changes, etc.
• Claiming (detecting and reporting missing
  content)
• ILL

138
HILCC

• Columbia's Hierarchical Interface to LC
  Classification (HILCC) project is intended to
  test the potential of using the LC Classification
  numbers provided in standard catalog records to
  generate a structured menuing system for subject
  access on the web.
• The HILCC mapping table jointly developed by CUL
  digital library division, cataloging and
  reference staff links each LC classification
  range with vocabulary in a three-level subject
  tree, for example
• LC Range GC1 - GC1582
• Maps to Sciences -- Earth Environmental
  Sciences -- Oceanography

139
HILCC

• Call numbers from catalog records extracted from
  CLIO (Columbia's LMS) can be matched against the
  HILCC mapping table, and a browsable subject
  category tree generated on the web to guide users
  through e-resource subject content.
• As of June 2001 HILCC has been used for the
  Browsable E-journal Subject Listings.
• We intend to expand the use of HILCC for access
  to other electronic resources, e.g. Reference
  tools and indexes (RTI)

140
HILCC Design Principles

• The first level display should include no more
  than twelve (or so) categories.
• HILCC's overall hierarchy should be no more than
  three levels deep.
• The degree of granularity should be relative to
  the actual resources available.
• Subject categories should be built from LCC but
  not constrained by it.
• A specific LC class range should map to only a
  single location in the HILCC structure.

141
HILCC Design Principles

• HILCC processing and output should accommodate
  multiple LC class numbers appearing in a single
  bibliographic record.
• The categorization and presentation of
  interdisciplinary resources should be addressed
  separately from the main HILCC effort.
• The user interface must include composite,
  summary lists at the first and second levels of
  each hierarchy.
• When feasible, terminology used at the lowest
  level of the hierarchy should be meaningful and
  unambiguous when displayed independently.

142
HILCC Future Developments

• Interdisciplinary mini-HILCCs. extending the
  HILCC project to include customized presentations
  of interdisciplinary resources. Library staff
  need a simple but flexible way of creating
  targeted listings of resources by
  computer-assisted means, both on demand and for
  public presentation of our digital library
  collections.
• Review of HILCC Terms Against LC Subject
  Headings work has already been done at the
  Library of Congress and elsewhere to begin to
  correlate LC subject headings with relevant
  portions of the LC Class Schedules. Improving
  HILCC terminology by use of LC subject headings
  may benefit users and provide the Library more
  options for using HILCC as a basis for newer
  kinds of subject-oriented access.
• Resource Presentation Using Additional Metadata
  Elements using other metadata elements in
  combination with HILCC for browsing and searching
  for materials these additional elements or
  aspects include genre or format (e.g.,
  e-journals, e-texts), geographic content (e.g.,
  online resources from or about sub-Saharan
  Africa), "reference-ness (e.g., key online
  databases in Public Affairs).

143
HILCC Future Developments

• New Interactive Modes of User Discovery. The
  availability of rich metadata extracted from
  catalog records and made available via a robust
  SQL/Web retrieval framework potentially provides
  a powerful toolset to experiment operationally
  with more "intelligent" forms of user interaction
  such as
• basic research dialogues with users, allowing
  search strategies to be refined, expanded,
  limited, etc.
• content mapping and visual navigation, allowing
  users to see the depth of content in certain
  collection areas, the relationships between
  content clusters
• interactive query optimization with user-assigned
  relevancy weighting
• creation of a non-specialist cataloging interface
  for faculty or other researchers to prepare
  metadata and integrate their resources into
  Columbia's digital collections using HILCC
  categories

144
Linking

• Any protocol that allows the user to directly
  access information indentified without going
  through an intermediate step.
• Full-text
• Abstract/TOC
• Document Delivery/ILL
• Local Catalog Search
• Etc.

145
Linking

• OpenURL
• A URL, imbedding metadata in a standard fashion,
  allowing it to be interpreted by an external
  target.
• SFX www.sfxit.com
• EBSCO SmartLinks www.epnet.com
• Endeavor
• www.endinfosys.com
• Others on the market or soon to arrive

146
Linking

• Source
• Where the user begins his or her search, usually
  an indexing/abstracting tool, the local catalog
  or similar bibliographic services
• Target
• Where the links presented by a source will take
  the user. The places where the desired bits of
  information reside

147
What our patrons tell us

• The electronic world is good
• Indexing is great
• Full-text is even greater
• SFX Statistics
• 39,350 total hits
• 21,993 get full text
• July 1-Nov. 10, 2003

148
Linking Options

• SFX as an example of locally-controlled
  linking
• Our decision based on
• local control
• ability to create targets (and sources)
• ability to present multiple links when multiple
  options exist
• most mature tool at the time

149
Experience with SFX

• Continue to add sources/targets
• Usage growing rapidly after slow start
• Maintenance is something to consider
• SFX adds one more player into the matrix
• suppliers not yet used to thinking about SFX when
  making decisions
• No consistent approach by producers

150
E-Resources on LibraryWeb

• The Libraries completed a year-long project to
  upgrade our 5-year old LibraryWeb publishing
  system for current, licensed electronic
  resources.
• Our new, more powerful process now involves
  extraction of records for e-journal and
  electronic reference tools directly from our
  online catalog, loading into the enterprise SQL
  system (IBM's dB2) that acts as our Master
  Metadata File, and the generation of real-time
  lookup and browse functionality.  
• This enhanced system allows us to create
  interfaces and retrieval methods that are
  optimized for electronic resources in a way that
  cannot yet be done in our online catalog it also
  provides a bibliographic knowledge base that will
  be used for other types of value added services,
  such as database advisers, research guides, and
  quick bibliographies.   

151
E-Resources on LibraryWeb

• The next phase of this development will entail
  allowing selectors and bibliographers actually to
  supply annotatations (scope, related resources,
  search tips, etc.) to our local online catalog
  records for e-resource titles so that this
  information can be displayed for end-users both
  on our LibraryWeb and in the OPAC.  
• During the past year, we have also successfully
  incorporated additional item-level e-journal
  records from Serial Solutions and other sources
  into our OPAC and Master Metadata File, allowing
  users to see current e-journal coverage and
  holdings for many titles.

152
Change in URL

• Online access to Web resources through a Web
  catalog is generally provided by a URL in the
  MARC 856 field
• Libraries rely on several methods to identify
  when URLs have changed, including
• Link checking (automated or manual)
• Reports from catalog users
• Reports from publishers
• Library staff must edit the catalog record to
  provide current access

153
Change in URL

• Persistent Uniform Resource Locator
• A URL which instead of pointing directly to a Web
  resource, points to an intermediate resolution
  service that redirects the browser to the
  resources current URL

154
PURLs

• Advantages
• There is a single URL which will always be
  associated with a particular Web resource, thus
• There is no need for catalog record maintenance
  as URL maintenance happens in the resolution
  table
• Disadvantages
• URL maintenance must still happen
• Only authorized entity can update resolution
  table

155
Columbia URL Resolver

• As part of cataloging any e-resource, the
  publisher's URL is submitted to the Library
  Systems Office (LSO) so that it can be added to
  tables within our URL Resolver.
• Simplifies maintenance. If domain name changes,
  it can be changed in the Resolver rather than
  record by record.
• In order to permit users to access these services
  from home or other locations when not connected
  to the Internet through Columbia, the Resolver
  provides links to redirect users to the proxy
  server.
• Unauthorized use of paid resources by individuals
  not affiliated with the University can be
  prevented.
• Enables us to gather usage statistics and
  redirect services during service outages.

156
ISSN for e-serials

• Current policy is separate ISSN for paper and
  online serials
• Publishers might be
• Printing multiple ISSN one labeled print ISSN
  and the other labeled online ISSN
• Printing a single ISSN not labeled as print or
  online
• These may or may not be the correct ISSN

157
Archiving Electronic Journals

• Whose responsibility?
• Individual libraries
• Library consortia
• Publishers
• National libraries
• Large utilities
• Vendors, other intermediaries

158
Whose Responsibility Individual Libraries

• Are long term institutions
• Have existed to house, care for, and provide
  perpetual intellectual and physical access to
  journal literature
• May not have the staff or financial resources to
  build and maintain the storage and delivery
  infrastructure
• Have a mission and institutional support to
  preserve the scholarly record
• Could unnecessarily duplicate each others
  efforts

159
Whose Responsibility Individual Libraries

• Would provide redundancy/availability at multiple
  sites
• Would have