StaffGuide: Serials Receiving & Processing

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Duplicate Copies

Duplicate Copies

So a duplicate copy of an issue arrives after all needed copies are checked in based on looking at the check-in record or an item record has been created for it already based on reviewing the item record summary.

Now what? Ask yourself these 3 questions: Is it a definite or non-definite duplicate? Is the title bound or unbound? Is it in the Library Annex or not?


Defining definite duplicates and non-definite duplicates: 

There are two types of duplicates: definite duplicates and non-definite duplicates.

  • A definite duplicate is when you physically have two or more copies of the same issue that arrive in Serials at the same time. (Make sure to closely compare the copies to make sure the copies are identical).
  • A non-definite duplicate is when you receive a copy of an issue that, per the check-in card of the check-in record or the item record summary, has already been checked in or an item record was created, but requires someone to physically go to its location on the shelf or cabinet to verify that what we just received is actually a duplicate.

Also, is this title bound or unbound?

After figuring out if this is a definite duplicate or a non-definite duplicate, it is important to figure out if we bind this title or not because we have different workflows for the treatment of bound and unbound duplicate copies.

Examine the check-in record to see if the title is bound or unbound. Binding information will be displayed at the bottom of the check-in record. There are various types of fields that will make it clear as to whether or not a title is bound or unbound. Two strong indicators that the title is bound are "bind info" notes pertaining to the bindery information and a "bind title" note.

Bindery info:

bindery note

Bind title note (states the title to be printed on the spine of the bound volume):

bind title note

Discard notes, on the other hand, clearly indicate that the title is limited retention (retained for a period of time then discarded) and therefore not bound:

limited retention binding discard notes

Occasionally a title will have both types of notes because it switched from limited retention to bound or vice versa at some point. Look for a note in the check-in record stating this change, clarifying the current status, such as this:

limited retention to bound


Definite Bound Duplicates

  • Write a staff note in the check-in box that reads "def bnd dup recd" (D/I)".
  • Print out new labels for the issue and write "def bnd dup recd (D/I)" on the receipt label before labeling the issue.
  • Note: The copy used as a duplicate sent to Binding should be the one in best condition out of the two. However, if one of the copies has any form of damage, even minor tears that would normally be taped, discard the duplicate.
  • Note: Per Binding and Serials Acquisitions: If the Serials mailing address and account information is on a separate sheet or packaging from the duplicate issue, cut it out and stick it in the piece before placing the issue in the binding basket and/or on the Serials Compact Storage shelf. This additional information helps Binding and Serials Acquisitions if for some reason they need it in the future. 
  • Place definite bound duplicates in the Binding basket.

Definite bound dup staff note Definite bound dup waxy label


Non-definite Bound Duplicates 

  • Write a staff note in the check-in box that reads "bnd dup recd (d/i)".  
  • Print out a new label for the issue and write "bnd dup recd (D/I)" on the receipt label before labeling the issue.
  • Note: If the duplicate copy has any form of damage, even minor tears that would normally be taped, discard the duplicate.
  • Note: Per Binding and Serials Acquisitions: If the Serials mailing address and account information is on a separate sheet or packaging from the duplicate issue, cut it out and stick it in the piece before placing the issue in the binding basket and/or on the Serials Compact Storage shelf. If a duplicate check needs to be done, remember to keep the mailing address and account information in the issue during and after the check, and then place it in the binding basket and/or on the Serials compact storage shelf. This additional information helps Binding and Serials Acquisitions if for some reason they need it in the future. 
  • Generally, we do not need to verify that we have the original, checked-in copy on the shelves. For most non-definite bound duplicates, we can simply label the issue and place it in the binding basket after seeing that the check-in card for the issue says "arrived" and/or that an item record has been created. However, if there is a need to check, review the procedures for the "non-definite bound duplicate check workflow" explained in the next section.

Bound dup received staff note 


Definite and non-definite Unbound Duplicates

  • Write a staff note in the check-in box that reads "def unbnd dup recd (d/i)" or "unbnd dup recd (d/i)," depending on whether or not you have both copies in hand. 
  • Definite unbound duplicates do not need labels.
  • Unbound duplicates, both definite AND non-definite, are either placed on the "Issues to Offer" cart or in the recycle bin, depending on the type of item it is.

Definite unbound dup staff note


Boxed Duplicates

***As of August 2018, we will no longer send duplicates of boxed titles to Binding. National/popular titles such as Poultry Times can be placed on the issues to offer cart. Any Arkansas publication can be discarded.***​

Some titles are not bound and not limited retention, but are placed in a box for preservation reasons. Boxed titles can be identified by looking in the binding info for notes about box height, when they are boxed, saying that they're boxed, etc.

For instance:

Box note

Box info


What if I can tell we already have a copy in the Libraries or it is in the Library Annex based on the item record summary and the library holdings field in the bibliographic record?


Duplicate checks

Note that this procedure will be primarily used for hardcover and/or monograph continuations going to MAIN or other locations, especially standing orders

Generally, you will not need to verify duplicates for individual issues of journals, magazines, etc. in PER and other locations. However, in some cases this may be desired; for example, to determine if the newly received item might be a reprint that is in some way different from the original.

  • Note: Per Binding and Serials Acquisitions: If the Serials mailing address and account information is on a separate sheet or packaging from the duplicate issue, cut it out and stick it in the piece before placing the issue in the binding basket and/or on the Serials Compact Storage shelf. If a duplicate check needs to be done, remember to keep the mailing address and account information in the issue during and after the check, and then place it in the binding basket and/or on the Serials compact storage shelf. This additional information helps Binding and Serials Acquisitions if for some reason they need it in the future. 
  • If the previously checked-in serial for which you have a duplicate required an item record to be created, make note of the item’s call number and location.
    • Note: If the item is located in the Library Annex (STORM, STORC, STORA, etc), see the "Items in the Library Annex" section below.
  • With the duplicate issue in hand, go to the location/call number. The location/call number will be found on the labels (call number & receipt labels). 
  • When you have both the original and the possible duplicate, examine them:
    • Watch for:
      • Look for the same enumeration (volume and/or issue numbering) and cover date (month, season, day, year, etc). 
      • Closely examine the front and back covers to verify they are the same. Sometimes we receive different printings of the same issue, so the cover/contents may look similar but be different. If this is the case, bring both copies to your supervisor or the Serials Processing Specialist for further review.
      • Examine the title and table of contents pages in both copies to ensure they are identical.
      • If they both have an index section, make sure the index sections are identical in both copies.
      • Examine a couple of random pages in the middle in both copies. 
  • If you do not have a definite duplicate, you will need to forward both issues to your supervisor or the Serials Processing Specialist for further investigation.
  • If the issue verified is a definite bound duplicate, write and circle "def" on the receipt label and place the definite bound duplicate in the Binding basket.

Labels for checked and verified bound duplicate

  • If the two items appear to be identical and the title is a STANDING ORDER, notify the Serials Acquisitions Manager that a duplicate of a standing order was received. The Serials Acquisitions Manager will contact the publisher for further instructions. Follow further instructions from the Serials Acquisitions Manager pertaining to duplicate copies of Standing Orders. The publisher might want the volume returned, we might have to keep if it is a lease agreement title (means if we cancel this title, all volumes have to be returned to the publisher), or we might add it to the collection whether or not we have to pay for it. 
  • If it is NOT a standing order and the two items appear to be identical, you can discard the duplicate.
    • Keep in mind: We do not keep continuation duplicates and these can be discarded.
    • Keep in mind: Do not readily discard serials media duplicates (mfilm, mfiche, CD-ROM, DVD-ROM, DVD, etc). Send serials media duplicates to the Serials Processing Specialist for review. 

What if the item record indicates that the item is located in the Library Annex (LOCATION CODES FOR ITEM RECORDS=STORM, STORC, STORA, ETC)?


Items in the Library Annex:

If you receive a duplicate of an item located in the Library Annex, also known as LINX, you DO NOT have to physically verify it, as the Library Annex is in a different building several blocks away from campus. However, there are ways to verify that it is in the Library Annex. Also you can send a S-H-I-P request for the item to be sent to you for review.


Checking the item record, the bibliographic record, check-in record, and shelflist card: 

  • Check the status field in the item record. If the status says anything other than “Request this item=5”, please let Ashley or your supervisor know so this can be reviewed. For example, if the status says “On Search=s” or any of the missing statuses (i.e.: Missing=3), this needs to be reviewed further.
  • Next, examine the item record for any note fields (known as x note fields) that mention that the volume is incomplete and lacking issue(s) or part(s). These kind of notes tend to look like this “Bound incomplete: Lacking v.10 no.4 (2007)”.
  • If there are no such notes, double check the library holdings field (860) in the bibliographic record to see if a gap has been indicated for the issue you have received.
  • Possible duplicates dated before 1993:  If for some reason the item record summary and the 860 are inconclusive in figuring out if we already have the item or not and the BCODE3 field (in the bibliographic record) is coded "SULOP LOAD=s", you will need to search for the shelflist card for the title in the shelflist card catalog located in Technical Services to hopefully verify the holdings dated before 1993. The shelflist card might have information about the library holdings dated before 1993. If the shelflist card doesn't have any information about the past holdings and you are still unsure if we have this item, send to Ashley to review.
    • Now if you see a local note field (947) saying that the MAIN volumes were converted, it is possible that the Main / Library Annex library holdings field (860) in the bibliographic record is up to date. However, always review and ask questions if you are still unsure. 
  • If a check-in record exists, check the check-in record for any notes mentioning if this item was "not published" or it was "unavailable".
  • If we lack the issue but have received it, send the issue to Ashley or your supervisor for further review.
  • However, if you do NOT see any indication of our library lacking this item due to it being not published or it being unavailable by reviewing the item record, the 860, the check-in record (if available), and the shelflist card; you can assume our library has it already. In this case, you can move on to the next step, checking Caiasoft.

Caia what?


Caiasoft:

After verifying in Sierra that we might have this issue already, now it is time to check Caiasoft. In order to do this, you or someone in your department needs a Caiasoft account in order to login and check to see if the item was accessioned in Caiasoft (barcode scanned into the Caiasoft system) or not.

If you do not have a Caiasoft account: Let Ashley or Lisa in Serials know that you need help verifying if an item was accessioned or not in Caiasoft. If you want your own account so you can check yourself, you can send your Caiasoft account request to User Services.

If you have a Caiasoft account:

1. Login.

2. Click on the Storage Management link through the left-side navigation. 

3. Copy the barcode number from the item record barcode field from Sierra and paste it into the "Item by Barcode" search engine in Caiasoft. This search engine is located at the top of the web page.

  • Now click on "locate". 

4. If the web page reloads and you see an "address" box, a "container" box, and "item" box, then you can tell that the item was accessioned into LINX and it is there. 

5. However, if you try to search for the barcode and you see a red box that says "Item 35129XXXXXXXXX does not exist", then you can tell that this item has NOT been accessioned in LINX. If this happens, please notify Ashley or your supervisor so this can be further reviewed. ​

6.  After confirming that the item is in Caiasoft, you can proceed to discard the duplicate.


If for some reason you want the item in LINX to be sent to you so you can review it, you can send a S-H-I-P Request through Caiasoft


 S-H-I-P Request through Caiasoft:

  • A S-H-I-P (Special Handling, Internal & Preservation) request is a type of Caiasoft job type that is a special circulation type for items retrieved for non-patron use, such as for preservation work, exhibits, faculty holds, etc. Items retrieved on SH-I-P Jobs are listed separately on Items Outstanding and Circulation Metrics and Frequency reports, as to not skew any counts regarding patron use. So this type of request allows us to request for items to be pulled from the Library Annex (LINX) and then sent to Serials so it can be reviewed by us and possibly worked on before going back to LINX.
  • You can watch the video Kathleen created that explains how to make a S-H-I-P Request. It is located in the local network drive called Serials--->LINX folder---->S-H-I-P Request folder or follow the written instructions here:
    • S-H-I-P Request procedures:
      • Click on “Circulation”.

      • Click on “S-H-I-P: Special Handling, Internal & Preservation”.

      • Click on “Add Items”. Note: Once you click on this, it automatically creates a “job” in real time. If you decide that you need to delete your “job," click on "Delete Job". 

        1. Designate a “Stop/Location”: So if you want it to come to you in Serials, select “MULN : main”.
        2. Details field: ATTN: “Your First name” “(reminder note of why you created this job).
        3. Item field: This is where the Sierra item record barcode number is going to go.
          1. Click on “Save”.
          2. After saving the item, you can continue to add items to the request.
            1. Every item added is added to the “Items” list at the bottom of the web page.
      • Remember that this is saved in real time. Please add items to your S-H-I-P request in a timely manner because the Library Annex staff can see your S-H-I-P request in real time and might already be working on your request. Try to complete your request within 2 minutes of adding it to the queue.
      • You can see your job in the “Circulation Jobs in Queue” if you click on “Circulation” under the left-side navigation. The queue will be located at the top of the web page.
      • After receiving the item from LINX and verifying the duplicate, then you can proceed to discard the duplicate. 
        • Before sending the item back to LINX, make sure to change the item record status to "t" (In Transit) and the sticky status to "5" (Request This Item).
        • Then proceed to hand the item to User Services Staff. User Services Staff will make sure the status is “t” and sticky status “5”, print a receipt, flag the item with the receipt, then place the item in the LINX return bin (green bin). This procedure is only for items already accessioned. Do not use this procedure for items awaiting to be accessioned.