RETROSPECTIVE CONVERSION OF CHECKIN RECORDS                             Revised: February 1996

1. INTRODUCTION

   Since retrospective conversion involves pulling together checkin, claiming, binding and holdings information, this section of the Berkeley Processing Manual is intended to be used in conjunction with other appropriate sections of the Manual. The following sections are the ones most frequently consulted when doing retrospective conversion or when setting up your initial local profile:

   BPM SERIALS MANUAL. CHECKIN: APPENDICES
   BPM SERIALS MANUAL. BINDING: Section II.
   

   If claiming is necessary on a title you are converting:

   see BPM SERIALS MANUAL. CLAIMING
   Do NOT attempt to perform the claiming procedures until you have received training and authorization in that function.

   This procedure is intended to be a brief step-by-step guide to the most common situations you will be encountering during record conversion. For general maintenance guidelines see BPM SERIALS MANUAL. RECORDS MAINTENANCE. When in doubt, consult with your trainer or appropriate contact person for advice on how to proceed.

   There are certain instances where branches have local options:

   1. label types;
   2. use of certain note fields;
   3. in process binding information ("To Bind"); and,
   4. summary holdings standard.

   Be sure to incorporate these local decisions into your retrospective conversion and current operational procedures.

   REMEMBER: Once you begin the retrospective conversion process your unit officially becomes an "INNOPAC BRANCH" and must perform its current operational procedures accordingly.

2. RECEIVED DIRECT TITLES

   Most active titles received directly in the branch already have brief checkin records in the INNOPAC system. Most of these records were created via tape-load from the Datapoint in February 1988; other records were individually keyed as new orders were placed. The branch "converts" these titles by attaching a checkin card; adding local data to the checkin record (e.g., shelving, routing, binding); and performing miscellaneous editing of the record to bring it up to current coding standards.

   Follow the following procedures.

   NOTE: If there is no record in INNOPAC for the title, refer to Collection Core Services Division for creation of bibliographic and order records. After this work is completed, the branch will create a checkin record using the "Attach record" feature and complete the conversion process.

   RETROSPECTIVE CONVERSION OF RECEIVED DIRECT TITLES

   1. LOGON

      V	<INNOPAC> [return]
      O	<ORDERING and receiving subsystem>
      U	<UPDATE records>
      Initials <return>
      Password <return>
      C	<CHECKIN record>
      Search by one of the following:
      Checkin # (.c)	Title (t)
      Datapoint # (l)	Author (a)

   2. EDIT THE BIBLIOGRAPHIC RECORD (Key E to move to Bib record)

      FREQ	(03)	update as necessary
      ISSN	(i)	insert as necessary; key with or without hyphen

      (Most other fields in the bibliographic record download from GLADIS and must be maintained by Serials Cataloging.)

   3. EDIT THE CHECKIN RECORD (Key E or S to return to Checkin record)
      1. FIXED FIELDS

         01   LABEL TYPE	update as necessary
         02   ACQTYPE	p=purchase g=gift x=exchange i=comes on
         03   UPLOAD	leave as is (blank or hyphen OK)
         04   COPIES	always 1
         05   CLAIMON	leave as is (system-supplied)
         06   LOCATION	your shelving location
         07   RLOC	your receiving location code
         08   VENDOR	If coded, leave as is. Exception: "bhb"
         	If subscription: bhbp
         	If standing order: bhb
         	If blank, change to "none" and verify there is also a properly formatted VEN. ADDR field

      2. VARIABLE FIELDS
         1. Re-format CALL # as necessary, e.g.:

            PJ 2 A6	JK 1974 .7 M5
            QK 1 A414 J6	fAP 63 G21

         2. Insert local shelving and routing information

            CHECK NOTE (N)	LABEL NOTE (E)	SHELVING (S)
            (see BPM VIII. CHECKIN: Appendix D)

         3. Insert binding information and binding title

            BINDINFO (W)	BINDTITLE (B)
            (see BPM SERIALS MANUAL. BINDING: Section II)

         4. Re-format or insert VEN.ADDR. (Q) as necessary

            If VENDOR field = [coded vendor]: there should never be a VEN. ADDR. field If VENDOR field = "NONE": there should always be a VEN.ADDR. field, formatted as follows: maximum 5 lines; 28 characters per line use $ to indicate line break; e.g.: PUBLICATION DIVISION$NATIONAL CENSUS AND$STATISTICS OFFICE$P O BOX 779$MANILA  PHILIPPINES

         5. If LIB. HAS is incorrect or is being upgraded to enhanced standard, update the summary holdings (SUM) field in GLADIS.

         6. PUBL. ADDR. leave as is

         7. VEN. NOTE leave as is

         8. UCB/OLD ORD leave as is

   4. CREATE THE CHECKIN CARD
      1. Key C to begin the card creation process.

         (If there is already a dummy card attached that was used for claiming, key X to delete card; then C to create).

      2. Decide which issue to use as the starting issue for your card:

         If title is received unbound:
         The only issues that you will transfer to the INNOPAC checkin card are those that are still unbound. If you have many unbound issues, you may want to represent the older ones in the form of "collapsed boxes" rather than setting up separate boxes for each issue.

         The issue used as the "starting issue" for the card creation process will be the first issue of the unbound run that you do not intend to represent in the form of a collapsed box. If all issues have been bound, use the next expected issue as the starting issue.

         If title "comes bound":
         You will usually use the most recently received volume as your starting issue.

      3. Code these first 4 fields based on the above "starting issue":

         STARTING COVER DATE
           If title is irregular, leave blank by hitting space bar twice.

         FIRST EXPECTED DATE
           Key the receipt date of your starting issue.

         STARTING VOLUME NUMBER
         STARTING ISSUE NUMBER

      4. You will then be prompted for the following additional fields:

         ISSUES PER VOLUME	key as appropriate
         DAYS BETWEEN ISSUES	key per chart in
         	BPM VIII. CHECKIN: Appendix C
         DAYS BEFORE CLAIM	[Same as above]
         UNIT OF BINDING	key per
         	BPM SERIALS MANUAL. BINDING: Section II
         BINDING DELAY	[Same as above]
         NUMBER OF BOXES ON CARD	usually leave as is (but can have up to 56)

         The system now displays the card parameter screen for editing purposes. This screen contains 5 additional fields that you were not prompted for during the card creation process. In most cases, you will keep the default values, but they can be edited as necessary.

         STATUS OF CARD	leave as "Current"
         RESET ISSUES	leave as "Yes" (except for certain double numbering situations)
         DEFAULT DISPLAY MODE	usually leave as "Card"
         VOLUME DISPLAY MODE	leave as N
         ISSUE DISPLAY MODE	leave as N

         If no corrections are necessary, key Y in response to the question "Default parameters as you want them?"

         If corrections are necessary:
         

         Key	N
         Hit	<return> until you get to the field(s) that need correction.

         Once you have completed the editing and responded Y, the checkin card will display on the screen.

      Note that 5 of the fields that you were prompted for during the card creation process do not display on this screen (starting cover date; first expected date; starting volume number; starting issue number; number of boxes on card). If these fields require editing, either:
      • delete the card and start the card creation process over,
        or
      • update ranges of boxes in card maintenance.

   5. CHECK IN "ARRIVED" ISSUES

      Check in all the "arrived" issues that you decided in step D above to transfer to the INNOPAC card as individual boxes.

      (Issues to be represented in the form of collapsed boxes are covered in step F below.)

      If the issue to be checked in is the same as the one being prompted for, key:
      

      C     CHECKIN in _____

      Otherwise, key:

      O    Check in some OTHER issue
      <Which box to checkin?> Key appropriate box number

      The system will always ask the following questions:
      

      <date received?>	Key the received date of the issue
      <note?>	Hit <return> if no note is needed

      The system will ask additional questions in the following situations:

      If the LABEL TYPE field has a value other than N.

      If the volume/issue or cover date fields are blank.

   6. INSERT COLLAPSED BOXES FOR EARLIER UNBOUND ISSUES

      If you have decided to represent older issues in the form of collapsed boxes, insert your box as follows. You will usually create 1 box per year or bindable unit.

      Key m to get into maintenance mode; then i to insert boxes.

      STATUS	A
      COPIES	1
      COVER DATE	key as appropriate (omit months in collapsed boxes if you have the complete year)
      VOLUME	key as appropriate
      ISSUE	key range of issues (even if you have complete volume)
      TRANS.DATE	blank
      INCREMENT TRANS.DATE?	N
      NOTE?	usually blank (but may sometimes need to use for complicated volume/date information)

   7. FORMAT CLAIMING INFORMATION
      Set up boxes for the following:
      1. Recent claim responses and referrals

         See BPM SERIALS MANUAL. CLAIMING for guidelines as to how to code various types of responses and referrals.

      2. Outstanding claims

         Code box as follows:
         STATUS	Expected
         TRANSACTION DATE	Date of most recent claim
         # of CLAIMS	Number of claims that have already been generated

      3. Issues needing to be claimed or referred for follow-up

         If issue has been previously claimed, be sure to code the the number of claims field before generating the claim.

         Claim or refer to central processing unit according to procedures in BPM SERIALS MANUAL. CLAIMING

   8. EDIT THE PUBLICATION PATTERN

      Many publication patterns are too complex to be set up accurately merely by keying the digits in the card parameters. In these cases, go into maintenance mode and edit the boxes. See BPM SERIALS MANUAL. CHECKIN: APPENDIX C for guidelines on setting up various types of publication patterns.

   9. EDIT EXPECTED TRANSACTION DATES

      Review your expected transaction dates and do "update range of boxes" to adjust as necessary.

   10. RESET CURRENT BOX

       If the issue that is flashing "Expected" is not the one you want set as your "Current box" for checkin, key "R" in Maintenance Mode to reset current box.

   11. EXIT THE RECORD

       Q	QUIT
       Q	QUIT
       M	Make changes permanent

3. CENTRALLY RECEIVED TITLES

   Most of these titles have already been converted by the central receiving unit from its manual records. Much of the editing of the checkin record and parameters will already have been done, and a checkin card attached. The branch will enhance this record by adding local information (e.g., shelving, routing, binding, holdings) and by performing miscellaneous editing to upgrade the record to current coding standards.

   However, if there is no INNOPAC checkin card or only a dummy "claiming" card attached to the checkin record:

   Before doing any updating, refer the record to the checkin supervisor of the receiving unit. When central conversion has been completed, you will be notified and will complete your conversion.

   Follow the following procedures.

   RETROSPECTIVE CONVERSION OF CENTRALLY RECEIVED TITLES

   1. LOGON

      V	<INNOPAC> [return]
      O	<ORDERING and receiving subsystem>
      U	<UPDATE records>
      Initials [return]
      Password [return]
      C	<CHECKIN record>
      Search by one of the following:
      Checkin # (.c)	Title (t)
      Datapoint # (l)	Author (a)

   2. If FREQ is incorrect:

      Key E to move to Bibliographic record to update

   3. EDIT THE CHECKIN RECORD
      1. Update LABEL TYPE as necessary (watch for comes bounds, seps, bind on receipt, titles marked by date)

      2. Re-format CALL # as necessary, e.g.:

         PJ 2 A6	JK 1974 .7 M5
         QK 1 A414 J6	fAP 63 G21

      3. Insert local shelving/routing information

         LOCAL NOTE (M)	LABEL NOTE (E)	SHELVING (S)
         (See BPM VIII. CHECKIN: Appendix D)

      4. Do NOT update CHECK NOTE fields without first consulting with Checkin Supervisor of the receiving unit

      5. Insert BINDINFO (W) and BINDTITLE (B)
         (See BPM SERIALS MANUAL. BINDING: Section II)

      6. If LIB HAS is incorrect or is being upgraded to enhanced standard, update the summary holdings (SUM) field in GLADIS.

      7. If VENDOR or VEN. ADDR is incorrect refer to Collection Core Services Division to update.

   4. EDIT THE CHECKIN CARD

      Key C to move to the Checkin Card. Key M to get into Card Maintenance Mode.

      1. Delete boxes for issues that are already bound
         (Exception: if title comes bound, leave boxes)

      2. Delete boxes for issues that have recently been sent to be bound. (Optionally, you may change the status to "TO BIND" instead of deleting boxes.)

      3. Insert checkin boxes for any unbound issues not already on card. If issues are being held in a special shelving area add a box-specific note, e.g., Bind Hold.

      4. Retain boxes for outstanding claims, issues needing to be claimed or replaced, as well as recent claim responses or referrals.

      5. If expected transaction dates are inaccurate, "Update range of boxes" to correct

      6. If frequency change has occurred:
         • update cover dates and/or volume/issue fields as appropriate
         • adjust card parameters and FREQ as necessary

      7. Do NOT make major changes to the established checkin pattern for titles with complicated publication patterns (e.g., dual numbering systems). Consult with the Checkin Workleader of the Serials Check-in Division.

      8. Do NOT add or delete box-specific notes in existing checkin boxes without first consulting with the Checkin Workleader of the Serials Check-in Division.

   5. EDIT THE CARD PARAMETERS

      From within Card Maintenance Mode, key A to edit Parameters:

      1. Update the UNIT OF BINDING and BINDING DELAY fields
      2. Update other fields as necessary

   6. CLAIM AS APPROPRIATE

      See BPM SERIALS MANUAL. CLAIMING for guidelines.

   7. When updating of record is complete:

      Q	QUIT
      Q	QUIT
      M	MAKE CHANGES PERMANENT

4. TITLES SWITCHING TO DIRECT RECEIPT

   1. CONVERSION PRIOR TO THE ADDRESS CHANGE

      If the branch decides to convert its manual data prior to an address change taking effect:

      1. Convert the record according to procedures in section III above for "CENTRALLY RECEIVED TITLES" (since the RLOC code of the checkin record will still be that of the central receiving unit).

      2. If claiming is necessary to a title with an address change in process, send a memo to the Collection Core Services Division instead of following the usual claiming procedures.

      3. At the point the address change takes effect, edit the checkin record as in B below.

   2. CONVERSION AT THE POINT OF THE ADDRESS CHANGE

      At the point that the first issue is received with the new mailing address, the branch does the following updating:

      1. Edit the checkin record to reflect the address change:
         1. Change the RLOC code to the branch code
         2. Delete the CHECK NOTE regarding the address change

            No updating of the order record should be necessary. The Collection Core Services Division would already have changed the RLOC at the point of mailing the address change request. The VEN. NOTE regarding the address change should be retained in the order record to facilitate future snag processing.

      2. Convert or edit other checkin data as follows:
         1. If branch manual checkin record has not yet been converted to INNOPAC:
            1. Add local shelving and routing instructions following procedures for RECEIVED DIRECT TITLES (see BPM SERIALS MANUAL. CHECKIN. APPENDIX D ). The following fields may need to be input or updated:
               LABEL TYPE, LABEL NOTE, CHECK NOTE, SHELVING.

            2. The rest of the conversion is parallel to that described in section III for CENTRALLY RECEIVED titles (adding binding information; deleting checkin boxes for bound volumes, etc.).

         2. If branch manual checkin record has already been converted to INNOPAC:
            1. Switch data from the LOCAL NOTE field to the CHECK NOTE field to be consistent with your other received direct titles and will display prominently on the checkin card screen.

            2. Evaluate the LABEL TYPE and LABEL NOTE fields:
               If record was previously coded for the central unit to produce labels, but your branch has decided NOT to do local label production for received direct titles:
               1. Change LABEL TYPE to N

               2. Switch data from the LABEL NOTE field to the CHECK NOTE field.

      3. Checkin the new issues according to standard procedures for received direct titles.

      4. Claim if appropriate.
         When judging whether it is appropriate to claim, take into account possible backlogs in the central receiving unit.

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Last updated Thursday, 04-Aug-2005 12:21:39 PDT Contact