New Workflows for
Electronic Journals
Joint Presentation of:
Digital Acquisitions, OIS
Catalogers Discussion Group
Standing Subcommittee on Serials, Series and
Continuations
March 16, 2006
Agenda
 Overview of E-Journal access at Harvard
and how it will change-- SFX,
MARCit!, MetaLib, and HOLLIS
 E-journal workflow from acquisition to
cataloging and access
 MARCit! process and workflow in detail
 CONSER Cataloging standards, policies
and the ISSN workflow
What is an e-journal?
FOR THIS DISCUSSION:
 AACR2 definition of a serial: continuing resource
issued in a succession of discrete parts, usually
bearing numbering, that has no predetermined
conclusion
 An e-journal is an electronic form of a journal,
serial, magazine, newspaper, newsletter,
continuing directory, annual report and some
monographic series if classed together
 A journal-like electronic publication with no print
counterpart made available via the Web
 An e-journal is NOT a database, website,
collection of e-book or e-journal titles
E-Journal Access at Harvard Aleph
 Harvard has access to over 16,000
e-journals (over 38,000 variations)
 Approximately 6,500 cataloged in Aleph
 No access in Aleph to titles/holdings in
aggregated collections
 Titles in collections are volatile – holdings
change frequently
 We do not own many of these collections
E-Journal Access at Harvard –
E-Research @ Harvard Libraries
 Patrons have access to most
e-journals through E-Research @
Harvard Libraries (MetaLib)
 “Find E-Journals” function
 Brief bibliographic information and
no subject access
 These titles are loaded daily from our
SFX database
SFX and Find It @ Harvard Service
 Ex Libris provides a central database of SFX
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titles and collections
This central database is updated on a regular
basis
Harvard maintains a local copy of the central
database with our titles activated
Harvard also maintains holdings/coverage if
different from central database
Our SFX database is the foundation for the
Find It @ Harvard service as well as the “Find
E-Journals” module of E-Research and the
Citation Linker
E-Journal Record Loading Project
 ULC-approved project to load vendor
MARC records for e-journal titles in
aggregated collections
 Task force formed:
Amira Aaron, OIS
 Mary Beth Clack, Widener Library
 Ruth Haas, HCL Technical Services
 Allison Powers, OIS
 Noelle Ryan, Countway Library
With great help from Patricia Hatch, Amber
Meryman and Paul Aloisio
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Project Objectives
 Maintain holdings/availability information for
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e-journals in one database only.
Reduce the workload involved with processing,
naming and cataloging e-journals, both for serials
cataloging and for OIS staff.
Preserve locally-created bibliographic
information for e-journals in Aleph whenever it
exists.
Provide comprehensive, consistent access to
e-journal holdings in the OPAC and E-Research
(MetaLib).
Ensure that holdings/availability information for
e-journals is kept current in the OPAC.
Provide stable, manageable URN's for e-journals
both in the OPAC and in E-Research.
Project Objectives (cont.)
 Ensure that links for e-journals both in the OPAC
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and E-Research are accurate and up-to-date.
Ensure that links for e-journals could be globally
changed if we switch our link resolver.
Provide one URL for multiple versions/providers
of a journal, both on the results set and on the full
record in the OPAC.
Ensure that users see all versions of a journal on
one record.
Provide more complete bibliographic information
for e-journals in E-Research and the potential for
searching e-journals by subject.
Recommended Process
 Maintain all e-journal holdings data in the SFX
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database - required for Find it!@Harvard and for
“Find E-Journals” module of E-Research
Expand project to include records for all ejournals – not just those in aggregated
collections
Purchase an ongoing subscription to the MARCit!
MARC records service from Ex Libris, which is
based on our e-journal holdings - title and
coverage - in our SFX database
Load records into both Aleph and MetaLib
Add, maintain and delete e-journal holdings via
automated batch loads into both Aleph and EResearch
MARCit! Service from Ex Libris
 Provides MARC records for e-journal
holdings in SFX database- can be loaded
into both Aleph and E-Research.
 Currently only for those titles with ISSN’s
 Includes e-journals available to the entire
Harvard library community.
 Pulls records from CONSER database
 If no CONSER record – creates a brief
record
 Provides updates & deletions
 Supplies OpenURL in 856 field
MARCit! Record Loads-Summary
 Load the MARCit! records following the single
record approach for all e-journal holdings in the
SFX database.
 Load the holdings record with a NET location and
MRCIT collection code.
 Load an 856 field containing a URN which has
been batch-assigned and which resolves to the
openURL.
 The openURL will lead directly to the full-text if
there is only one full-text option in SFX;
otherwise it will lead to an SFX menu.
MARCit! Record Loads-Summary
(continued)
 Use the SFX number as the unique identifier for
the holdings record (load in the 035 holdings
field).
 Load the availability information (866) which will
be updated in the regular loads from MARCit! via
SFX.
 Process updates, deletes and additions on a
regular basis (to be determined), matching on the
SFX number.
 Load records also into E-Research using XML
load format from MARCit!
NEW E-JOURNALS
WORKFLOW
http://hul.harvard.edu/digacq/forms.html
DETAILED MARCit!
CATALOGING
INFORMATION AND
WORKFLOW
MARCit! Records Loaded into
Aleph
 Initial load expected end of March 2006
 @16,000 Records will be added
 Records will be updated on a regular basis (to be
determined)
The initial batch of records loaded into Aleph from
the MARCit! Service can be described in three
categories:
 New records (not currently part of Aleph
database)
 Match on existing records in Aleph
 Multiple matches in the Aleph database
New Records-Bibliographic Data
 Title added to Aleph
 Bibliographic record will be either CONSER
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record or brief bibliographic record
Brief bibliographic records are very brief-most
contain LDR, 008, 022, 035, and 245 fields only
035 field will contain (Mrcit) record number
information
Brief bibs represent less than @6% of the total
load
Brief bibs will be reported out to CONSER office
but will most likely not be upgraded.
New Records-Holdings
 Holdings record added will contain
852 $$b NET $$c MRCIT
 If call number appears in bib in 050 or 090 field,
this will be added to the 852 field.
Holdings record will also include:
 035 field-unique identifier that will be used for
updating records.
 506 field containing restriction data.
 One 856 field with the URN that will link to the
journal or to a mediated page in Find it! service
 866 field with coverage data.
 007 field
Match on Existing Records
 Currently approximately 6,500 records in Aleph
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for e-journals containing URN’s which have been
widely distributed.
If record loaded matches existing title in
database, the holdings record containing 852 $$b
NET and $$c GEN is suppressed
Only NET GEN holdings with URNs will be
suppressed.
New holdings record with 852 $$b NET and $$c
MRCIT added.
The old URN’s will resolve to the openURL as well
so they will still work.
Match on Existing Records – Record
Updates
 Bibliographic records that match on existing
titles in Aleph will be rejected and not loaded in
favor of the existing record.
 This means that no 035 field will be added to the
bibliographic record, so the bibs will not be
automatically updated in future loads.
 Holdings records with NET MRCIT Holdings WILL
be updated, as they will contain a 035 field.
 OIS will investigate the possibility of updating
existing bibliographic records at some future
date. Analysis will be needed to ensure that
protected fields are not adversely affected in an
update process.
Multiple Matches
 MARCit! Records that match multiple
titles in the database will be added as
new records
 These titles will be reported to the
CONSER office.
 CONSER will work with libraries to
resolve duplicates.
Circumstances where multiple
records may appear
 Brief bib contains misspelled words
 Title loaded with Electronic ISSN vs.
Print ISSN
 Title is a work that contains multiple
parts (e.g. Brain Research)
 Holdings in Aleph includes a URL, but
not an URN.
How libraries should handled titles
with misspelled words
 Search Aleph to see if correct title exists.
 If yes, check to see if NET MRCIT holding exists
 Access the OIS Digital Acquisitions page at:
http://hul.harvard.edu/digacq/forms.html
 Fill in the E-Journal Update form. Include Aleph
record number and explanation of misspelled
title.
 If the correct record exists, OIS will investigate
further and contact Ex Libris.
 Changes will be reflected in next MARCit! Load.
Handling titles with Electronic ISSN
when Print ISSN exists
 Search Aleph to locate print title.
 Access the OIS Digital Acquisitions page at:
http://hul.harvard.edu/digacq/forms.html
 Fill in the E-Journal Update form. Include Aleph
record number and explanation of electronic
ISSN vs. Print ISSN.
 OIS will investigate further and contact Ex
Libris.
 Changes will be reflected in next MARCit!
Load.
What to do if record contains E-ISSN and
Library Wants to Subscribe to print
version
 Libraries can upgrade the electronic
ISSN record with the print information.
 Library adds holdings record for print.
 Library contacts CONSER office for
cataloging and/or authentication.
 MRCIT holding will still be updated
based on 035 field.
How to Handle Multiple Parts
 Records will be reported to CONSER
office.
 CONSER will work with appropriate
libraries to clean up the records.
How to Handle Titles
Containing URLs in Holdings
 Holdings records containing an URL, not an
URN, will not be suppressed when MRCIT
record is added.
 If you wish to keep your URL, do nothing.
Library will be responsible for keeping record
up to date.
 Not recommended-will create duplicate entries
and will not be automatically updated.
 If you wish to use the MRCIT record, delete
your NET GEN holdings record.
Updates to MARCit! Records
 MARCit! sends updates based on SFX changes or
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changes to CONSER records
MARCit! record with update status and revised
866 availability field(s).
Updated record is loaded into Aleph; old
holdings field is deleted; new holdings field is
created.
A report of updated MARCit! records will be sent
to the CONSER staff for review, as some of these
may be the result of new or updated CONSER
records.
Updated information will also be added to EResearch.
Deletes Workflow Summary
 Title is deactivated in SFX database (central staff
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or monthly update).
MARC record with status of delete is part of next
MARCit! load.
Delete record causes the URN to be redirected to
a message instructing users to look elsewhere or
ask for help.
Delete record causes the Aleph holdings to be
deleted.
If this is the only holdings on the Aleph record,
the bib record is also suppressed.
The E-Research record is also deleted.
Advantages of New Workflow
Currently in the OPAC, holdings and availability
information for e-journal titles is often out of date and
it is difficult for serials cataloging to maintain or even
be notified about changes. This approach will ensure:
 Maintenance of e-journal holdings and availability
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information in one database (SFX) for all e-journal
titles.
All e-journal titles treated consistently.
Up-to-date and consistent information displayed to
the user in both the OPAC and E-Research.
Reduced workload on the part of OIS staff for
individual e-journal titles.
Reduced workload on the part of serials cataloging
staff in adding/maintaining holdings for e-journals.
Electronic Resources NOT Part of
MARCit! Loads
Titles that will not be included in MARCit! loads are:
 Electronic Journals that do not have ISSNs
 Databases
 Websites
 Electronic books
 Resources that are restricted to a certain school
or faculty only
Workflows for other types of electronic resources
will be covered in a future presentation.
Electronic Journals Without ISSNs
If you wish to add an E-journal title that does
not have an ISSN:
 Contact CONSER office with ISSN inquiry
 CONSER has access to ISSN database
 If CONSER finds an ISSN, contacts library.
 Follow E-Journal registration process for
titles with ISSN.
Electronic Journals Without ISSNs
If CONSER office does not find ISSN:
 Add and/or export bibliographic record
 Create holdings record with 852 field $$b
NET $$c GEN
 Add H09 field with $$k identifying your
sublibrary (e.g. netwid)
 Add 506 with restriction note
 Add 866 field with coverage information
 Add 007 to holdings record
Electronic Journals Without ISSNsCONSER Report to ISSN Office
 If CONSER does not find ISSN, CONSER will
CONSERize record and send record to US ISSN
Office (if US publication) or to appropriate foreign
entity requesting an ISSN.
 ISSN office will add ISSN and contacts CONSER
office.
 CONSER notifies OIS and this record will
ultimately be added to the SFX database.
 Record will match on future load and NET MRCIT
holdings will be created, NET GEN holdings will
be suppressed.
Electronic Journals Without ISSNsReport to OIS
 Fill out an E-Journal Submission Form
(JIT) form available from the DigAcq
Forms page at:
http://hul.harvard.edu/digacq/forms.html
 Please report free (i.e. no charge) ejournals as well, using the FREE E-Journal
Submission Form at the site.
 OIS reports URN back to unit—unit adds
this to 856 field.
 OIS adds record to SFX.
Electronic Journals—Title changesIf New Title has an ISSN
 Many libraries will receive notice of a title
change before SFX database is updated.
If new title has an ISSN:
 Add 785 field to previous title record.
 Fill out Fill out an E-Journal Submission
Form (JIT) form available from the DigAcq
Forms page at:
http://hul.harvard.edu/digacq/forms.html
 The new title record will be brought in on
future batch load.
E-journals—Title changes-If New
Title does not have an ISSN
If new title does not have an ISSN:
 Add 785 field to previous title record.
 Create and/or export new bibliographic
record-add 780 field if needed.
 Contact CONSER Office
 Fill out an E-Journal Submission Form
(JIT) form available from the DigAcq
Forms page at:
http://hul.harvard.edu/digacq/forms.html
so that OIS can add the title to SFX.
CATALOGING
STANDARDS,
POLICIES AND THE
ISSN WORKFLOW
Standards and Policies
 National standards and responsibilities
Harvard involvement in the CONSER
program which includes our commitment
when creating new records as well as
maintaining records in the CONSER
database on OCLC
 Local practices established by Bib
Standards and the SSSSC
CONSER and Harvard’s
bibliographic standards
 Harvard University Library. Bibliographic
Standards (rev. June 2004)
 9.1 CONSER. Original bibliographic
description of current serials must
conform to the specifications of the
CONSER Program’s standards and follows
the CONSER Editing Guide.
Harvard’s CONSER commitment
 CONSER Task Force Report available on the
SSSSC homepage:
http://hul.harvard.edu/cmtes/haac/ssssc/index.htm
 Task Force chaired by Jane Ouderkirk, Widener
Library, and approved by the University Library
Committee
 Recommendation: “the long-standing policy
requiring CONSER level cataloging of all current
serial receipts be reaffirmed.”
Questions about CONSER?
 Consult staff in the HUL/CONSER Office on serials, serials
holdings and/or CONSER related issues:
 Ruth Haas (6-5981)
rshaas@fas.harvard.edu
 Michelle Williams (5-5684)
mwilliams@hulmail.harvard.edu
 Dawn Piscitello (5-5684)
dawn@hulmail.harvard.edu
HUL/CONSER Office
HCL TS
625 Massachusetts Ave.
Single Record approach
 Policy set out in the Bibliographic Standards
states:
 3.1 “Harvard libraries generally follow a single
record approach for multiple versions. Under this
policy, information describing various kinds of
reproductions and electronic versions of a work
is included in holdings records that are attached
to the … original (usually print) title.”
 Complete Standards available from:
http://hul.harvard.edu/cmtes/haac/bsp.html
Cautionary Note: change of format
 A serial ceasing in one physical format
and continuing in another (e.g., print
continued in an electronic format only)
requires a new bibliographic record (LCRI
21.3B example 2)
 The two records are linked by earlier/later
title fields (780/785)
Local Cataloging Practices—Fields
not longer used
 When cataloging electronic resources,
Harvard-specific practices no longer
required include:
655 field
740 field
Aleph cataloging (655 field)
 655 field for electronic media
 But note that Bib Standards continues to
require for other media. Consult the
standards at:
http://hul.harvard.edu/cmtes/haac/Form_G
enre.htm
Aleph Cataloging (740 field)
 740 field with the qualifier (Online)
Example:740 0 |a Journal of the Academy
of Marketing Science (Online) |5 hul
 Future plans include:
1. URNs to appear along with the titles in
the results list
2. Appropriate 740 fields may be identified
and deleted by program
Local Cataloging Practices— Field
use modified
 H09 field
 Locally defined for use on the
holdings record
Example: H09 |k netksg
 Identifies the unit taking responsibility for
maintaining the URL given in the holding
record
Aleph cataloging (H09 field)
 MUST continue to be included in all
holdings records for electronic resources
that are not |b NET |c MRCIT
 Will not be included in |b NET |c MRCIT
holdings records
ISSN workflow
 Includes all types of publications falling into the
definition of a serial, i.e., print or non-print
publications issued in parts, usually bearing
issue numbers and/or dates, and expected to
continue indefinitely
 In order for us to submit a title to the US ISSN
Center a resource must be published in the
United States
 International bodies headquartered in the US are
the responsibility of the ISSN Center in Paris
ISSN workflow (cont.)
 Includes magazine, newspapers, annuals
(such as report, yearbooks, and
directories), journals, memoirs,
proceedings, transactions of societies and
monographic series
 Can include ceased titles, if considered
important
 Can include government publications and
newsletters, if considered important
ISSN workflow (cont.)
 For non-US publications, CONSER Office
staff will search titles in the ISDS Register
and, if found, ISSN information will be
added to the CONSER record
 Possibility of expanding access to the
Register to other Harvard libraries is being
investigated
ISSN workflow (cont.)
 No need to send surrogates to the
HUL/CONSER Office; the CONSER record
is considered to be enough for verification
 Be sure that the bibliographic record has
information about a recent issue
consulted either in the 362 field or in a 500
“Latest issue consulted” note.
ISSN workflow (cont.)
 To receive an ISSN assignment send
bibliographic titles and OCLC record numbers to:
Ruth Haas
rshaas@fas.harvard.edu
HUL/CONSER Office
HCLTS
625 Massachusetts Ave.
Cambridge, Mass.
Questions?