StaffGuide: Serials Receiving & Processing

Serials Receiving & Processing StaffGuide Home Page

Analyzed Electronic Resources Overview: 

“Analyzed” in its broad sense means that all books in a series are cataloged individually – one bib record for each book.  A series may be “classed together,” which means that all the books have the same call number, or a series may be “classed separately,” which means the books are classified by individual subjects and all have different call numbers.  Analyzed titles require a series authority record.

The decision to analyze must be made by the Subject Specialist from the following options:

  1. Analyze - Class collectively
  2. Analyze - Class separately
  3. Do not analyze

During receiving, you may encounter Electronic Analyzed Resources that need to be checked in. 

This section of the guide will provide procedures for handling:

  1. Analyzed Electronic Resources Check In 
  2. Miscellaneous Procedures (That May Be Needed When Checking In Analyzed Resources)

Overview: Electronic Check In of Analyzed Resources

Electronic Check In of Analyzed Resources

Although this is the PRINT Serials Staff Guide, the receiving assistant will occasionally be tasked with checking in analyzed electronic resources.  

How does the receiving assistant know when to check in analyzed electronic resources?

  • The claims agent will produce a claims slip for the electronic resource that needs to be reviewed and deliver it to the receiving agent. Upon receipt of the claim slip, the receiving agent will review the resource to see if new material has been published and, if so, check it in. If new material has not been published add a public note: NYP (D/I) or there is not an adequate OCLC record to export, NA OCLC (D/I). In both cases you must also  change the expected date to t(=today) so that the title will come up for claiming again. When the material is checked in, the claim slip can be discarded. 
  • The receiving agent might be asked by eserials to help check in a batch of e-resources. When this occurs, follow eserials instructions. 

This page will provide you with the tools and procedures needed to complete that task. 

To complete this objective you will need: 

  • Access to Serials Solutions 
  • Access to OCLC and knowledge of the exporting bibliographic records procedure

Basic Checklist for Electronic Check In

Basic Checklist for Checking In Analyzed Electronic Resources:

This provides an overview of checking in Analyzed Electronic Resources. For more in-depth examples/procedures see the AIP Conference Proceedings Check-In guide. 


  • Search for and review the series authority record. (To search for authority records conduct a Title(t) search for the Series (830).  The authority records will contain basic information regarding what to add in each exported bibliographic record so that it conforms to our library standards. Resources can belong to more than one Series, so it is necessary to review each Series authority record to find out what information must be added. 

Electronic Check In Record

  • Notice that in the 667 fields, information regarding what to add into each analyzed bib is listed: Create “inter” item record, base URL information, location, genre headings, etc. 
  • Open the check in record for the resource you will be using and compare it to the authority the record—to investigate which Series 830s will be used.  

  •  It is often very helpful to open the bibliographic record of the last analyzed title that went through cataloging (found in the check in card). Since this record has been checked in and reviewed, it is good to use it as a template when checking in new titles. 

  • Once you know which Series you are working with: review the check-in card for the next title. This often involves using Public Display to access the publisher’s website and seeing what new volumes have been published online. 

  • If new materials (items that need to be checked-in) are online, click on the link to the resource to ensure that it is active. If active, then copy the publication title and paste it in the Public Note section of the correct check-in box of the check-in card. 

  • Search Sierra for the monographic title. A monographic title should not be found. If a record is found for that title, STOP and consult with eserials Supervisor before proceeding.

  • Search OCLC for monographic title and/or by series search with no.#
  • Identify the best OCLC record. **Remember you can only use online records for this procedure. To determine if an OCLC is for an electronic resource, examine the Form field, looking for o. 

    • If no suitable OCLC record can be found, return to the check in box of the check in card add the the following note: Could not locate in OCLC (D/I). 

  • Export OCLC Record.
  • Re-search Sierra by OCLC number. With the record exported, you should find the monograph in Sierra. 
  • Blank the Cat date and add an internet item record. Now you will delete/modify/add fields to the newly imported bib record from OCLC. This is where you take the information provided in the authority record (the genre fields, URL, Series [830s], etc) and insert into the bibliographic record.  Note: If the field already discussed exists in the imported OCLC record, you will need to delete the field and replace it with our field. 
    • Add v.947: Note the changes you’ve made to the record. Example: BIB XPO; 830, 856 added, inter 506, 655 (D/I)
    • Add v.993: SER PROC ANALYZED TITLE (D/I)
    • Add v.995: (SERIES/AUTH [insert Series identifier 830s] (D/I). 
  • Check Serials Solutions for monographic title.
    • If it is found, the bib will have a 994 SERIALS SOLUTIONS note with the name of the database.
      • Add v.994: SERIAL SOLUTIONS [insert name of database] (D/I)
    • If it does not appear under the title of the monograph, search for the title of the serial. If found, the bib will have a 994 SERIALS SOLUTIONS note the name of the database that the serial is profiled in, and a note that reads "profiled as a journal only, not profiling as a book".
      • Add v.994: SERIAL SOLUTIONS [insert name of database], profiled as a journal only, not profiling as a book (D/I)
    • If neither the monographic or serial title can be found in Serials Solutions, the bib will have a 944 SERIALS SOLUTIONS unable to profile note.
      • Add v.994 SERIALS SOLUTIONS unable to profile
  • Now, the record is readied to be sent to cataloging. If you are sending this directly to cataloging be sure to note that in the local note v995 by writing >> sent to RC (D/I). 

    • To send to cataloging: Print the record using the Email Printer function in Sierra. Forward the emailed record to Rose Cody (cataloging/rocody@uark.edu) with the subject: ANALYZED TITLE:[insert Series Identifier 830 and number you are working on]. . Add a CC recipient eserials. 

    • If you are checking in a group of titles, instead of sending each one individually to Cataloging, it is easier to use a Create List, add each title as you check it in, then email Rose when you’ve completed your “batch” for her to catalog. For more information on how to use the create list function to complete this task, see the create list procedure in this guide. 
  • Check in title. (to be continued)

AIP Conference Proceedings

AIP Conference Proceedings Procedure Guide 

The following procedure can be used to check-in the analyzed electronic resource: AIP Conference Proceedings. This guide will provide instructions for checking in AIP Conference online resources. Each conference proceeding serves as an analyzed title within a larger series (AIP Conference proceedings). This is a complex procedure that requires investigating Sierra, the publisher website, OCLC, and Serials Solutions. 


  • Begin by opening the AIP Conference Proceedings authority record in Sierra (title search: AIP Conference Proceedings).   
  • Also open up the AIP conference proceedings check-in record. (It might be helpful to title the windows onto one monitor, so that you can examine the records of each simultaneously). This investigation helps you determine which Series 830s you will be using. For AIP, you will use: AIP conference proceedings (Online) and AIP Online. 
  • Examine the check-in card to determine which volume is expected next. 

AIP Check-in Card

  • Review the publisher’s website via the public display link (or the URL in the bib record) to determine if the next volume has been published. Note: With the AIP website, it sometimes advantageous to set the title display to 100 items per page, then using ctrl+F search for the volume). 

Once you locate the title, click the link and review page, making sure it connects and links to the publication.  

AIP Website

  • Copy the publication title. In the Sierra check-in card, add a public box note with the monographic title this will serve as the check-in title for the publication).  

AIP Check-In

  • Check-in the title.
  • Search Sierra for the monographic title. A monographic title should not be found. If a monographic title already exists in a different monographic series:
    • In Sierra’s duplicate monographic bib record add: a Local Note (v993) SER PROC DUPLICATE access through [insert whichever series the monographic title already exists in]; please remove bib and SS profiling (D/I), then send the bib record to eserials. After sending it to eserials, add sent to eserials in the local note (v993) (D/I).  Note: For AIP many of the titles have been batch loaded. This means that a brief bib will already exist in Sierra when you search for the title. If you encounter a title where the brief bib is loaded, do not continue with the procedure. Checking-in those titles requires a different procedure, in which you overlay an OCLC record. 

Note: For AIP many of the titles have been batch loaded. This means that a brief bib will already exist in Sierra when you search for the title. If you encounter a title where the brief bib is loaded, do not continue with the procedure. Checking-in those titles requires a different procedure, in which you overlay an OCLC record. See overlaying batch loaded AIP record section.

  • Search OCLC for monographic title and/or by series search with no.#
  • Identify the best OCLC record. **Remember you can only use online records for this procedure. To determine if an OCLC is for an electronic resource, examine the Form field, looking for o. (For information on how to select and Export an OCLC record, see)

AIP Exporting Record

  • Export OCLC Record.
  • Re-search Sierra by OCLC number. With the record exported, you should find monograph in Sierra. 
  • Compare exported bib number in OCLC to Sierra record [what exactly is this step saying?]
  • Check Serials Solutions for monographic title. For AIP titles, the search should return the type as book with Status as Tracked. If it does not appear as a book, consult with your supervisor for further instruction.

Serials Solutions


  In Sierra’s new monographic bib record you must complete the following: 

  • Blank Cat Date.
  • Add internet location.

Blank Cat Date

  • Attach an internet item record. Follow the item record creation procedure. When prompted to select a template, chose: interi: Internet. No other work needs to be done on the internet item record. 

Return to the bib. Now you will delete/modify/add fields to the newly imported bib record from OCLC. Note: If the field already discussed exists in the imported OCLC record, you will need to delete the field and replace it with our field. 

  • Add note field: n506. Electronic access limited to UAF current students, faculty, and staff. 
  • Add genre field: j655: Electronic books.  

506 and 650 notes

  • Add in 830s Series: AIP conference proceedings (Online) ;|vno.[the number you are working on]
  • Add in a second 830s Series: AIP online
  • Delete/add/modify the 856 (URL) using the UARK base url. For AIP this will be: |uhttp://0-scitation.aip.org.library.uark.edu/content/aip/proceeding/aipcp/[number you working on]

830s and 856s

Finally, you will add a series of Local Notes to provide information about the title and what you have modified. 

  • Add v.947: Note the changes you’ve made to the record. Example: BIB XPO; 830, 856 added, inter 506, 655 (D/I)
  • Add v.993: SER PROC ANALYZED TITLE (D/I)
  • Add v.994: SERIALS SOLUTIONS note. Check the title in Serials Solutions. 
    • If it is found, the bib will have a 994 SERIALS SOLUTIONS note with the name of the database.
      • Add v.994: SERIAL SOLUTIONS [insert name of database] and say if profiled as a book or journal.(D/I)
    • If it does not appear under the title of the monograph, search for the title of the serial. If found, the bib will have a 994 SERIALS SOLUTIONS note the name of the database that the serial is profiled in, and a note that reads "profiled as a journal only, not profiling as a book".
      • Add v.994: SERIAL SOLUTIONS [insert name of database], profiled as a journal only, not profiling as a book (D/I)
    • If neither the monographic or serial title can be found in Serials Solutions, the bib will have a 944 SERIALS SOLUTIONS unable to profile note.
    • If the title can be found in Serials Solutions, but not in a database that we currently have profiled, make a note v994 Serials Solutions Problem title. (D/I).
  • Add v.995: (SERIES/AUTH AIP conference proceedings (Online); AIP Online (D/I). 

AIP Bib Notes


With the record readied, you can now send it to cataloging. Print the record using the Email Printer function in Sierra. Forward the emailed record to Rose Cody (cataloging/rocody@uark.edu) with the subject: ANALYZED TITLE: AIP conference proceedings (Online);|vno.[number you are working on]. Add a CC recipient eserials. 

Finally, return to the AIP conference proceedings [electronic resource] check-in record. In the check-in box for the title you were working on add a staff note: BIB XPO (D/I). If you are finished checking in items for the session, update the expected dates for the next check-in box. 

Updating Check-In Record

Save and exit the record(s).

New Directions For

Analyzed Titles under the New Directions for designation include:

  1. New Directions for Adult and Continuing Education
  2. New Directions for Child and Adolescent Development 
  3. New Directions for Community Colleges
  4. New Directions for Evaluation 
  5. New Directions for Higher Education
  6. New Directions for Institutional Research 
  7. New Directions for Student Services
  8. New Directions for Teaching and Learning

Note: These are all quarterly publications. 

Adding Internet Item Records

Adding internet item records is a simple procedure. 

  • In the Item Record Summary screen select Attach New Item
  • In the New Item Options select Single Item>>OK
  • Select the interi:Internet template from the template options

Internet Item Record

  • Save

Bib Export from OCLC

Exporting a Bib from OCLC

You have found a Bib Record in OCLC that you want to export to Sierra.

  • In OCLC select the ActionExport button. This will export the record into Sierra. 

          OCLC Bib Export

  • Once the Bib has been exported, run an OCLC number search in Sierra for the record you have just imported to verify that it has exported properly into Sierra.

Clean up the Bib record by doing the following:

  •  Blank out the catalog date. 
  •  Change location to Inter (often it is good to save the record at this point and add the internet item record). 

           OCLC Cat Date

  •  Add a local 947 note (v) that reads: BIB XPO (D/I)
  • Finally, return the local 947 BIB XPO note that you created. Update the note to include any changes that you have made to the Bib record. For example, if you deleted an 856 field or 082 field, indicate BIB XPO (D/I); 856 deleted, 082 deleted (D/I); or if you added a 222 indicate: BIB XPO (D/I) 222 added (D/I)

The Bib has now been exported and readied for the procedure. 


Bib Export for OCLC Overlay:

Sometimes batches of brief bibs from vendors will be loaded into our catalog. When this occurs, it may be necessary to overlay more thorough OCLC records onto these brief bibs. This is so that we don't end up with two records for the same title (one brief bib and another, more thorough, OCLC record). If you believe that the overlay procedure needs to be done for a series, consult with eserials for discussion and instruction. 

Create List

Create Lists

When checking in batches of analyzed electronic resources, instead of sending each individual title to Cataloging, it is easier to use the Create List function to add records to a list then, then notify cataloging that list x needs to be cataloged. 


  • Access the create lists using Function: Create Lists

Create List Function

  • Select an empty list. Choose one that contains a max record amount roughly equal to the number you will check in. 

Create Lists empty Lists

  • Select the list >>Search Records. For Review File Name, use the naming convention your initials then the Series you are working on and needs cataloging

Create List Naming

  • For the search range, have the record number correspond to the first title you check in. If you check in b3210008 then the search would read Start: b3210008 and Stop b3210008. >>Search

  • The search should pull up only that record. Now, you have your create list list started. With each analyzed title you check in, go to the create list window (it should stay open) and select the Add icon. 

  • Run a search for the title you just added (copy and pasting works well). 

  • When the bib comes up >>click on it>>Use Bib 

Create list add bib

  • The bib should now be added to your create list file. 

Note: To remove a bib added to the create list record, select the bib you wish to remove then the Remove icon.