College and Research Libraries


By J A M E S E. S K I P P E R 

Organising Serial Records at the 
Ohio State University Libraries 

Mr. Skipper is assistant acquisition li-
brarian, Ohio State University Libraries. 

TH E H I S T O R Y of administrative records development at the Ohio State Univer-
sity Libraries is, perhaps, typical of many 
institutions. Growth was slow, the necessity 
for administrative efficiency of records was 
not compelling, and as a consequence, the 
design and maintenance of serial records was 
a matter of small importance. T w o factors 
conspired to turn this relatively pleasant 
situation into a problem of unmanageable 
proportions. T h e first was the law of ex-
ponential growth of libraries which has been 
effectively suggested by Fremont Rider.1 A 
collection growing by geometric rather than 
arithmetic proportions doe§ not allow time 
for unorganized, evolutionary adjustment in 
records keeping. The" second factor was the 
lean years of the depression which, of neces-
sity, caused the library to break its serial 
records down into units small enough to be 
mastered by clerical personnel and student 
assistants. Attempts to integrate and cen-
tralize serial records were postponed by 
equipment and personnel shortage incident 
to W o r l d W a r I I . 

At the time that Ohio State found it 
possible to remedy the situation, the library 
maintained the following serial records: 

1. Public dictionary catalog (recorded 
editors, titles, cross references. Re-
ferred to the public periodical catalog 
for holdings) 

2. Public periodical catalog (recorded 
1 Rider, Fremont. The Scholar and the Future of the 

Research Library. New York, Hadham Press, 1944. 

titles, cross references and holdings of 
cataloged serials) 

3. Shelf list (recorded bound and unbound 
classified holdings) 

4. Sheet shelf list (recorded accession num-
bers and supplementary notes which 
are too voluminous to go on the shelf 
list card) 

5. Accession book (recorded each bound 
serial with its accession number) 

6. Order card (recorded complete biblio-
graphic record, date of order and re-
ceipt, price, and dealer) 

7. Bookkeeping record (recorded payment 
of bills for subscriptions) 

8. Checking record (recorded current re-
ceipts, binding information, claims) 

9. Binding dummies (filed in circulation 
department file to designate volumes at 
the bindery) 

10. Unclassified file (divided into eight 
sections for U.S. documents, state docu-
ments, local documents, agricultural 
experiment station reports, etc. Re-
cords receipts and holdings) 

11. Travel catalog (maintained by the cata-
log department so that a temporary 
card could be placed in the public cata-
log when a card was withdrawn to 
record additional holdings) 

12. Continuation file (a file maintained by 
the purchase division to record annuals, 
yearbooks, etc.) 

During the time that this multiplying of 
records was taking place, the serial collec-
tion at Ohio State continued to grow until 
at the time of the survey we had 18,513 
classified titles of wThich 4,633 were being 
currently received. It is estimated that we 
receive 658 documents of a serial nature, 
and 725 unclassified serial titles come to us 
as gifts or through exchange. It is estimated 

JANUARY, 1953 39 



that we will add approximately 425 new 
titles annually for the next few years. 

It does not require a detailed study in 
cost accounting to show that these methods 
of keeping serial records, when applied to 
a serial collection of this size, cost the li-
brary a considerable sum of money for just 
routine maintenance. T h i s waste was 
multiplied because of the duplication and 
overlapping of records, and inaccuracy in 
bibliographic checking was the result of no 
one record giving complete information re-
garding a serial title. 

T h e solution, or at least the alleviation 
of this unhappy situation, presented itself 
in the form of an equipment budget which 
came with the new $2,500,000 addition to 
the library. T h e new building gave the 
staff adequate work space in departments 
which, for the first time, were located to 
facilitate the orderly and efficient processing 
of material and service to the patron. T h e 
technique or medium used for the consolida-
tion of serial records is known as the Central 
Serial Record. 

I 

Before discussing specific aspects of the 
Central Serial Record, there are two obser-
vations that should be made. T h e first 
is that it is impossible to plan intelligently 
the centralization of serial records for the 
purpose of increasing efficiency without 
balancing the administrative advantages 
against the possible inconveniences to the li-
brary patron. If the holding record, for 
example, were incorporated into a central 
record housed in the Serial Division, a some-
times needed record would be withdrawn 
from the borrower's direct use. It must be 
decided whether the borrower will be too 
seriously handicapped by not having a list 
of holdings available at a public service 
point, e.g., the public catalog. If it is de-
cided to remove this record, then methods 
of efficient communication (telephone, 

pneumatic tube, telautograph, etc.) must be 
worked out to provide the necessary service 
required. 

If the problems incident to the centraliza-
tion of the serial records could be reduced 
to one word, that word would be communi-
cations. W h e n any record is withdrawn 
from a processing or service point, the in-
formation must be available either through 
mechanical means or personal service. T h i s 
assumes, of course, that the record is not 
duplicated in some other file. 

T h e second general observation is that it 
is highly improbable that any one depart-
ment can d r a f t a satisfactory plan for cen-
tralizing serial records without actively 
consulting and compromising with the other 
departments in the library. T h e Acquisi-
tion Department, for instance, may draw 
up plans highly satisfactory for their pur-
poses, but may neglect service and admin-
istrative problems concerning circulation, 
reference, documents, departmental libraries, 
bindery and cataloging. Any consolidation 
of records will affect an undetermined num-
ber of departments directly or indirectly, 
and only by consulting these departments 
can complications be avoided after a central 
serials program is in operation. It was to 
avoid this mistake that the Central Serial 
Records Committee at Ohio State repre-
sented all major departments of the li-
braries. 

I I 

T h e first step in approaching the estab-
lishment of a Central Serial Record is to 
decide what it will contain. T h i s is tanta-
mount to determining what the function of 
the record shall be. T h e decision also im-
plies a full recognition of financial con-
siderations and administrative problems. 
From the first, it is inescapable that it costs 
money to shift records. Visible filing equip-
ment to house the records is highly desirable 
for a Central Serial Record and it costs a 
considerable amount. 

40 COLLEGE AND RESEARCH LIBRARIES 



In deference to cost considerations alone, 
a library may be forced to consolidate only 
the records pertaining to the currently re-
ceived titles which generally constitute about 
one-third of the titles held. T h e more 
money a library has available for personnel 
and equipment, the more categories of serials 
may be included in a Central Serial Record, 
e.g., inactive serials, unclassified serials, 
documents of a serial nature, and serials 
received as a gift or on exchange. 

T h e location of departments in the li-
brary building may prevent the inclusion of 
certain records. 

T h e s administrative organization and de-
sirability for the status quo in certain de-
partments might eliminate the possibility of 
including such items as serial documents, if 
documents were handled by a strong and 
well-organized division. T h e r e are many 
other variables which are peculiar to indi-
vidual libraries. T h e y must all be examined 
and measured before the scope of inclusion 
in a Central Serial Record can be wisely 
determined. 

It should be noted that the creation of 
a comprehensive Central Serial Record 
logically precludes a "weak" serials division. 
It is obvious that if all the records are cen-
tralized, the functions incident to the main-
tenance of these records will tend to be 
centralized. 

I l l 
Inclusion 

T o eliminate the cost and errors resulting 
from having to maintain and to check a 
variety of files to determine serial holdings, 
it was decided that all serials, including 
documents, subscriptions, receipts from gift 
or exchange, current or discontinued, clas-
sified or unclassified material, and serials 
classified as separates, should be included 
in the Central Serial Record at Ohio State. 
T h e definition for "serial" was taken from 
the American Library Association Catalog-
ing Rules: "A serial is a publication issued 

at more or less frequent intervals in numeri-
cal or chronological sequence, which is in-
tended to be continued indefinitely." A 
patron or bibliographer will no longer have 
to search the Public Periodical Catalog for 
bound classified holdings, the checking file 
for bound and unbound classified holdings, 
the unclassified file for unclassified material, 
two different files for unclassified state and 
local documents, and the miscellaneous file 
for serials received as gifts or on exchange. 

T h e only list of holdings is to be recorded 
in the Record. There will be no holdings 
record directly accessible to the library 
patron. T h i s decision was the result of 
balancing the equities concerning public 
service and library administration. It is 
based on the premise that the great majority 
of borrowers simply want a particular issue 
of a serial—they are not interested in hold-
ings per se. For the marginal few that do 
research which requires knowledge of our 
holdings, there is available for the first time 
a comprehensive record which may be used 
by arrangement with the Serial Division. 
For all questions concerning holdings which 
arise at the circulation desk, provision is 
made for communication to the Central 
Serial Record either by telephone or by 
pneumatic tube. Telephone communication 
is available for the periodical service desk 
on the second floor. 

Of the twelve records which were for-
merly maintained, four were abolished so 
far as serials records are concerned : I ) Shelf 
list, 2) Sheet shelf list, 3) Accession book, 
4) Travel catalog. Five serial records were 
consolidated into the Central Serial Record : 
1) Public periodical catalog, 2) Bookkeep-
ing record, 3) Checking record, 4) Unclas-
sified file, 5) Continuation file. T h r e e of the 
former serial records were maintained as 
they were: 1) public dictionary catalog, 2) 
order card record, 3) binding dummies in 
the circulation file. Of the three records 
which were retained, only the binding 
dummy record is active. It was retained to 

JANUARY, 1953 41 



assist the circulation staff in servicing re-
quests for serials which may be at the 
bindery. After a test period it may be 
found that service questions involving this 
problem will be sufficiently negligible and 
will allow us to discontinue the binding 
dummy record and rely on mechanical com-
munications with the Central Serial Record. 

Equipment 

As the serial checking record has been 
maintained on regular size catalog cards in 
conventional catalog trays, the Serial Di-
vision has never been able to solve satisfac-
torily the problem of checking for missing 
numbers and claiming them. It was evi-
dent that a progressive signal system was 
needed that would give notice when issues 
of a title had not been received and would 
also indicate claims which had been made 
but not answered. T h e use of metal signal 
clips was considered too clumsy, bulky, and 
time-consuming. 

Studies have indicated that "visible" 
filing equipment, which makes each entry 
immediately visible, is an important saver 
when the records are constantly used for 
checking receipts and for general biblio-
graphic reference. T h i s consideration di-
rected the Committee to make a thorough 
study of the various types and makes of 
visible filing equipment. It should be noted 
that decisions regarding equipment should 
be based on the type of record that an insti-
tution is creating. T h e most suitable type 
of equipment depends on the anticipated 
function of the record. 

Before deciding on the type of equipment 
that would be desirable, it is necessary to 
examine how the files will be used and by 
whom. T h e number of titles to be recorded 
also plays an important part in this decision. 
In a library with approximately 5,000 cur-
rently received titles, it is probable that the 
person checking serials and recording their 
receipt will be using the file more con-

stantly than those seeking bibliographic 
information. T h i s dictates that the files 
concerning the checking clerk must be easily 
accessible for posting from rather bulky 
media—the serials themselves. Obtaining 
bibliographic information and reporting 
holdings constitute the second largest de-
mand that would be made on the file. T h i s 
means that the record must be accessible to 
a number of different people at the same 
time, and, so far as possible, they should not 
interrupt each other in their use of the 
file. 

As a Central Serial Record is a permanent 
record, an over-all consideration is the prob-
lem of card depreciation. T h r o u g h the 
years a serial record becomes a rather com-
plex affair. For this reason, the filing equip-
ment must provide adequate protection for 
the record so that the library will not be 
faced with the possibility of having to trans-
pose records from cards which tear or wear 
out through constant use. 

A f t e r examining several types of equip-
ment, the Committee and the Directors' 
Office decided on the Acme visible file. It 
seemed to offer advantages not found in 
competing equipment. T h e Acme cards are 
suspended by metal hangers from wires 
which are mounted in the tray. T h i s means 
that both sides of the card can be used. In 
other types of equipment the cards are 
mounted on flaps or pockets which preclude 
the use of both sides of the card. W i t h the 
wire hanger arrangement, it is possible to 
suspend two cards from the same wire. If 
one card becomes filled, but it is desirable 
to retain it in the file, a second card can be 
hung along writh it. It is also possible to 
place a "rider" over the card for temporary 
notes. This consists of regular bond paper 
which is cut the same size as the card except 
for a flap which folds over the top of the 
card to keep it in place. 

T h e Acme cards can be punched so that 
a celluloid footing can be attached which 

42 COLLEGE AND RESEARCH LIBRARIES 



will protect the exposed portion of the card 
when it is in the file. T h e footing provides 
for the use of the sliding bar signal tab 
which can be calibrated and used to show the 
progressive receipt of a title. If a title is 
in arrears the tab will not be forwarded to 
the next position. As a result, it will be 
easy to spot when the files are examined for 
claims. 

At this juncture the question of the type 
or size of cabinet must be examined. Re-
membering that the Record would be most 
actively used for checking in material, it was 
necessary to restrict the cabinet to a size 
that would be convenient for the constant 
posting of some 5,000 active titles. It was 
also necessary to house approximately 15,000 
titles, which, for one reason or another, 
have been discontinued. 

T h e r e seemed to be three alternatives: 

1. Purchase several of the largest cabinets, 
each with a capacity of 12,690 cards. 
These cabinets could provide compact 
housing, but they would have the attend-
ing disadvantage to the checking clerk of 
having to reach below her posting table 
for the bottom trays and having to stand 
up to reach the top ones. Compactness 
also meant that the number of people us-
ing the file at one time would be limited. 

2. Purchase enough cabinets of "posting 
height" to contain the record and string 
them around the room. This would 
take 20 feet of space, cost more than two 
large units, and make the record more 
difficult to work with because of the 
space problem. 

3. Purchase a combination of "posting 
height" (16 inches high) cabinets for 
the checking record and two of the large 
units for the permanent record. 

T h e third alternative seemed to kill quite 
a few birds with one combination. It is 
largely supported by deciding that an effec-
tive Central Serial Record should have 
checking cards as well as permanent cards. 
It was felt that it would not be satisfactory 
to compose the permanent record of serial 

holdings by just interfiling completed check-
ing cards. T h e third method allows for 
greater flexibility and more efficiency. T h e 
checking clerk would seldom be interrupted 
at her work. Permanent holdings would be 
sufficiently compact so that a bibliographer 
or research worker could easily reach the 
title in which he or she was interested. 
T h e most active use, i.e., checking, would 
be restricted to files containing temporary 
checking cards and would not cause depre-
ciation of the permanent cards. 

Quite early in the study the Committee 
realized that the library patron who knew 
the serial title he wanted, but needed the 
call number, would be at a disadvantage in 
having to use the public dictionary catalog 
to ascertain the call number and location. 
T h e public periodical catalog would no 
longer be there to serve such a purpose. It 
was decided that an even more satisfactory 
method of listing call numbers could be 
provided by means of Flexoline files, which 
are vertically hinged panels into which 
strips of cardboard can be interfiled. Flexo-
line files, each with a capacity of 7000 
titles, will be located in the periodical service 
area on the second floor and in the Public 
Catalog area on the first floor. Each entry 
will give call number and title. Location 
will be indicated if the serial is shelved in 
a location other than the Main Library. 
Different colored strips will be used to indi-
cate documents, cross reference, and serials 
received on subscription. Only classified 
serials enjoying the most general use will be 
entered in the Flexoline file. Call numbers 
for the balance of the serial titles which are 
only occasionally requested will have to be 
found in the Public Dictionary Catalog. 

Cards 

Designing the cards for a Central Serial 
Record can present some of the most chal-
lenging problems in the entire planning 
operation. Once the design is " f r o z e n " 

JANUARY, 1953 43 



and the cards printed, it is necessary to live 
with them until the supply is exhausted 
unless the library is willing to throw several 
hundred dollars' worth of stock in the waste 
basket and start over. For this reason the 

C H E C K I N G CARD 

Committee made a thorough study of cards 
used by other institutions before proceeding 
to draft cards for our own purposes. 

T h e original decision as to which records 
to incorporate into the Central Serial Rec-
ord determined the function that the cards 
should perform. 

T h e real problem is to transpose these 
functions into terms of space which is 
limited by the size of the card. It was de-
cided that a 4 x 6 inch card would be ade-
quate for our purposes. 

T h e cards in the permanent file contain 
the same information on the front as those 
for the checking file, except that no ruled 
spaces are provided for recording holdings. 
T h e space is left blank. Nothing is printed 

on the back of the card. T h e general design 
of all cards was kept as uniform as possible, 
as visible alignment is a factor to be con-
sidered in designing cards for efficient use. 

I t was necessary to design eight types of 
cards to meet the requirements of both the 
checking and permanent files. 

Cards for checking file: 
1. Daily 
2. Weekly 
3. Monthly 
4. Annual 
5. Numerical 
6. Cross reference (blank cards) 
7. Irregular 

Cards for permanent file: 
1. Permanent card 
2. Cross reference—same as in the checking 

file 

T h e irregular card was designed to record 
call numbers for monographic serials which 
are classified as separates. 

Four pastel colors of card stock were 
selected to stand for serials received 
through: 1) Subscription, 2) G i f t or ex-
change, 3) Document deposit and document 
subscription, and 4) Cross references. T h e 
use of different colors will be a visual aid 
for the G i f t & Exchange librarian and the 
Documents librarian in allowing them to 
find or survey their titles more easily. 

Processing 
T h e Purchase Division of the Acquisition 

Department orders all serials which are to 
be placed on subscription. At the time that 
the order is sent, the checking card and 
work slip are typed. T h e checking card 
goes to the Serial Division where it is filed 
in the Central Serial Record. T h e work 
slip, which is printed on a bond paper 
"rider" is placed over the card. W h e n the 
first issue of the serial is received it is 
checked in and sent, along with the work 
slip, to the serials cataloger. T h e serials 
cataloger decides whether the entry as estab-

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44 COLLEGE AND RESEARCH LIBRARIES 



lished is correct, whether the serial shall 
be analyzed, and whether it shall be classi-
fied. If it is to be classified, the call number 
is entered on the work slip. T h e work slip, 
with notes referring to the decisions men-
tioned above, is then returned to the Central 
Serial Record where the information is 
transcribed to the checking card. Flexoline 
strips are then typed for each of the two 
Flexoline files and are forwarded to the 
Reference librarian and the Periodical 
Service librarian. They may, or may not, 
interfile the new title in their Flexoline files, 
depending upon their estimate as to how 
much demand will be made for that particu-
lar title. It should be remembered that 
these files are selective and are designed 
primarily as a location guide and an easy 
method for locating call numbers. 

Summary 

Centralizing serial records is nothing new 
to serials librarianship, but the concept of 
a Central Serial Record seems to be a prod-
uct of the past decade. It is a development 
which has been largely forced on larger 

libraries by the growing complexity and 
increased administrative costs connected 
with maintaining records for their serial 
holdings. It has been made possible by 
critically examining the actual use made of 
records which have been kept for the sake 
of the custom. Duplicate records, and rec-
ords whose use did not warrant their main-
tenance, have been eliminated. Records 
which were found to be necessary to the 
efficient management of the Serials Division 
have been consolidated into filing equip-
ment that performs far greater service than 
the conventional catalog tray. Mechanical 
methods of communication have come to 
play an increasingly important part, as it 
has been realized that the installation of a 
telephone or the extension of a pneumatic 
tube system would be quickly paid for by 
the savings resulting from record consolida-
tion. Despite some slight delay for the 
marginal patron who has to know the hold-
ings of a particular title, it is felt that patron 
service on the research level has taken a great 
step forward by the provision of a compre-
hensive serial record. 

Defrosting a Frozen Asset 
(Continued from page 38) 

access to dissertation materials will become 
immensely easier than before and the heavy 
burden of interlibrary loan will be corres-
pondingly eased by the elimination of dis-
sertations from the loan code. T h e ma-
chinery of interlibrary loan is already creaky 
and showing signs of distress and any relief 
will be most welcome. It may mean more-
over that the costly binding of dissertations 
may in the future be eliminated. 

T o the extent that degree granting in-

stitutions cooperate and participate in the 
plan, it will succeed. It should be a prime 
obligation of every librarian interested in 
the future of advanced scholarship to bring 
the plan before the Graduate School at as 
early a date as possible and to support it 
vigorously. Organized regular listing of 
dissertations coupled with availability of 
abstracts and facilities for gaining prompt 
access to the complete texts will defrost this 
frozen asset of American scholarship. 

JANUARY, 1953 45