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Technical Services Procedures

TS Procedure 1 : Policy on Barcoding/Accessioning

University of Missouri Libraries

Technical Services Procedure No. 1

Procedures for Barcoding/Accessioning

  • Scope
    • This policy applies to all materials processed through the Technical Services Division of Ellis Library.
  • Definitions
    • Barcoding/accessioning is the assignment and physical application of a unique number to each volume in or added to the collections.
    • A volume is defined, for statistical purposes, as a physical unit of any printed, typewritten, handwritten, mimeographed, or processed work contained in one binding or portfolio, hardbound or paperbound, which has been cataloged, classified, and made ready to use. (ALA Library Statistics.)
  • Purposes
    • The main purpose of barcoding/accessioning is to enable MERLIN to identify each volume uniquely and to circulate each volume. This purpose is fullfilled by assigning a barcode/accession number to each volume, applying a barcode bearing this number, inputting this number in the 949 field in OCLC, and having this number attached to the correct piece record in the UM LIBRARIES CATALOG.
    • The secondary, but certainly not less important, purpose of barcoding/accessioning is to enable the Libraries to count each volume added to its collection for statistical reporting and management information purposes. This purpose is fulfilled by controlling barcode/accession numbers, signing them out in recorded sequences, and, at the end of a reporting period, ascertaining how many barcode/accession numbers have been used.
  • General Policy
    • Each physically separate volume will be assigned a barcode/accession number and will have a barcode attached as it is added to the collection and prepared for use, whether it is hardbound or paperbound. The full linkage is from physical piece to bibliographic record in the UM LIBRARIES CATALOG to summary holdings record in the UM LIBRARIES CATALOG to piece holdings record in the UM LIBRARIES CATALOG to circulation record in the UM LIBRARIES CATALOG. In general, all parts of the linkage must be present. Therefore, all items to be circulated, generally, must be cataloged, classified, barcoded/accessioned, and have the requisite records in the UM LIBRARIES CATALOG.
    • Generally, all piece records in the UM LIBRARIES CATALOG must contain a barcode/accession number so that the volume described by the linkage can be circulated. No circulation can take place without a barcode/circulation number, and so, generally, items not designed for circulation because they are in an intermediate stage of addition to the collections (e.g., a single issue of a periodical), should not have piece records in the UM LIBRARIES CATALOG.
  • Specifics
    • Monographs, including individual items in monographic series. These volumes are meant to be circulated and/or must be counted as volumes added to the collection. Each volume is to receive a barcode. The barcode/accession number is to be recorded in the 949 field in OCLC and is then to be put into the piece number field in the piece record in the UM LIBRARIES CATALOG. These volumes can then be circulated.
    • Serials
      • Periodicals.
        • Unbound issues are not barcoded. They receive no barcode/accession numbers. They receive no piece records in the UM LIBRARIES CATALOG. When the issues are bound, they are barcoded/accessioned, added to MERLIN, and are then circulatable.
        • Hardbound issues are barcoded and their piece records are added to MERLIN so that they can circulate.
      • Non-periodical Serials
        • If hardbound, they are barcoded/accessioned and their piece records are added to MERLIN so that they can circulate.
        • If paper bound and
          • 2 inches thick or larger: the pieces are barcoded/accessioned and their piece records are added to MERLIN so that they can circulate. (Note: whether they are bound is a separate matter.)
          • Less than 2 inches thick and published 2 or more times annually: the pieces are not barcoded/accessioned and no piece record is created.
          • Less than 2 inches thick and published annually or less frequently: the pieces are barcoded/accessioned and piece records are created so that they can be circulated. (Note: whether they are bound is a separate matter.)
    • Microforms will not be barcoded/accessioned and will not receive piece records in the UM LIBRARIES CATALOG.
    • Non-book materials can be cataloged, can be barcoded/accessioned, can receive piece records in the UM LIBRARIES CATALOG, and can circulate. Decisions for these should be made on a case by case basis until practice allows us to develop more general policies.
  • Exceptions
    • Volumes going to Special Collections and to Reference areas, while not designed to circulate, will be barcoded/accessioned and piece records will be created in the UM LIBRARIES CATALOG. (Note: barcodes will not be applied to RARE books, but will be applied to the RARE streamers in them.)
    • Even though uncataloged materials cannot have piece records and are therefore not barcoded/accessioned, they may be circulated via unlinked circulation. This is not the preferred method. Should some uncataloged titles be circulated several times, they should be cataloged so that normal circulation can occur.
    • Exceptions to section 5.2 can be made on a case by case basis after consultation of units involved.
    • Volumes held in libraries not officially in the “Libraries” (e.g., Physics, Gaylord, Delta) have been purchased by the Libraries, are added to the collections of the Libraries, and are displayed in the UM LIBRARIES CATALOG so that users of the Libraries have access to these titles. In order to bind these titles, we will barcode/accession these volumes and create piece records in the UM LIBRARIES CATALOG. Since we do not have control over the volumes in these titles, we will be leaving these piece records in the UM LIBRARIES CATALOG unmaintained.
    • Cataloging, classifying, barcoding/accessioning, and entry into and maintenance of records in the UM LIBRARIES CATALOG for government documents will be treated separately.
  • Retrospective Barcoding
    • If a cataloged and classified volume must circulate by means of an unlinked circulation transaction due to a lack of the required records in the UM LIBRARIES CATALOG, a paper record should be sent to Catalog Management so that records can be added to MERLIN to permit normal circulation.
    • In the case of retrospective conversion, either in-house or by vendor, we will rely on the Library Systems Office to identify appropriate piece records without barcodes in the UM LIBRARIES CATALOG, to assign barcode numbers to the piece records automatically, and to send a tape to a barcode vendor to have “smart” barcodes printed. We will then apply these barcodes to the appropriate volumes.
  • Implementation
    • This policy will be implemented as soon as all factors (barcodes, procedures, OCLC profile, MERLIN programming, etc.) are ready.

Approved by Library Council: August 28, 1987
Approved by Director of Libraries: August 31, 1987