Unit 6
Unit 6
Unit 6
OPERATIONS PART 2
Structure
6.0 Objectives
6.1 Introduction
6.2 Processing Work
6.2.1 Need for Processing
6.2.2 Organisational Structure of Processing Work
6.2.3 Personnel for Processing Work
6.2.4 Physical Processing
6.2.5 Technical Processing
6.3 Circulation
6.3.1 Scope of Circulation Work
6.3.2 Users/Members Registration
6.3.3 Charging and Discharging
6.3.4 Control Methods for Circulation System
6.3.5 Records and Statistics
6.4 Serials Control
6.5 Summary
6.6 Answers to Self Check Exercises
6.7 Keywords
6.8 References and Further Reading
6.0 OBJECTIVES
After reading this Unit, you will be able to:
• explain the need for processing of documents collected by library;
• discuss the areas of physical and technical processing;
• describe the procedures to be followed in classification and cataloguing of
documents;
• explain the meaning and scope of circulation work;
• discuss the methods and processes of charging and discharging; and
• describe the serials control process in libraries.
6.1 INTRODUCTION
This Unit deals with three important aspects of libraries i.e., processing, circulation
and serials control. Libraries acquire materials in different categories for the use
of library members. These materials need an arrangement for easy access. The
materials also need preservation and protection from manmade and natural causes
of deterioration. The materials are therefore first organised into various sequences,
some of which are openly accessible while others are accessed under supervision.
Materials in each sequence are further arranged in classified order in their
respective shelves. 35
Library Functions and But before the materials are arranged as above, these have to be prepared for
Operations
issue or consultation in the library. Preparation requires stamping of books with
library stamp to give them a symbol of library ownership. Further these are
provided with certain special stationary to facilitate their circulation.
Serials absorb a major portion of the library budget. Once subscribed, a title
becomes annual commitment until such time as decision is taken for cancelling
its order. Receipt of serials is a job of much alertness. Any delay in reminding
the supplier for replacement may result into loss of the issue until it is purchased
from a bookseller selling second hand books. There has been a tradition of
organising receipt and maintenance of serials by a separate section. A select
number of serials are put up for display on specially designed display racks.
Usually the loose issues of the titles on display are kept along with the current
issues till the volume is complete. Serials’ binding requires carrying out certain
preliminary steps before sending them for binding.
Once the processing work is completed a list of newly added books, called list of
addition is prepared and books are released and sent to the maintenance section.
Thus, it requires carrying out the following jobs in physical processing:
• Dust cover strengthening
• Stamping with library name stamp
• Pasting various labels, tags, book pockets, bar code, etc.
• Putting call number at various places in the book and in catalogue cards
• Filing of catalogue cards
• Writing call number, author and title on the Book Card.
• Preparing list of addition at fixed interval for display and for circulation
among faculty members
• Releasing books processed during the week or month for addition to the
collection.
Note: Automation of circulation routines has dispensed with need for book pocket
and book card.
i) Dust cover strengthening
Publisher in order to enhance the physical get up of books put dustcover
around the book. Very often dustcovers carry information which is not
37
Library Functions and available in the text of the book. To protect the aesthetics of the books these
Operations
covers are protected by putting around them cellophane covers.
ii) Stamping
Books received for processing are first stamped with library stamp to display
the ownership status of the book. These stamps are pat designated places in
each book such as the verso of the title page, across the two sides of the
closed book, library secret page and at the last page of the book.
iii) Pasting
To further strengthen the ownership position, each book has a library label
or book plate which is pasted at upper left corner inside the first book
cover. Tags for writing call number are pasted on the spine of the book at a
place 1” above from the bottom of the book. If the book has dustcover an
additional tag is pasted on it at the same place. In books with thin spine, tag
is placed at left side of front cover at the same height. Providing protective
tape to the tag has now become a common practice. It ensures it from loss
and defacement. In libraries where book cards are in use, a book pocket is
pasted on inside the front cover at left hand bottom corner. Care should be
taken to keep the open side of the book pocket on the right side direction of
the cover. Date slip is pasted inside the book on a page facing the first
cover. Some libraries use the last page of the book inside the cover.
Information about accession number and call number on secret page is helpful in
ascertaining information about authorship, etc., when books badly damaged, have
no title page and are to be sent for binding.
39
Library Functions and Classification is an essential function of a library. In the present age of tremendous
Operations
growth in the world of knowledge and information unless resources are organised
in some rational order access to the needed document is just not possible. The
work of classification is carried out through the following distinct jobs:
• Checking duplication
• Deciding the basic class
• Detailed class number
• Working out book number
• Working out subject headings
• Checking class number by the chief classifier
The basic class is normally identified by looking at the title, preface to the book,
introduction by the author and by going through the content pages. Occasionally
help of subject expert is also sought. The classification unit also maintains an
authority file for recording local deviation in construction of class number.
Libraries also buy many old publications which are already available in the Library
of Congress catalogue with class number and can be adapted by the library. Subject
Heading lists are used to provide for subject headings which shall be used by the
cataloguer for making added entries. However these list are not required if the
library is following Colon Classification for classifying books as this scheme
uses chain procedure for deriving subject headings.
Classification Procedure
The job of processing is carried out according to a set routine for the same. The
routines include:
• Checking with the existing collection,
• Determining specific subject.
• Assigning Class number,
• Assigning book number,
• Recording needed subject headings for the cataloguer,
• Review of call number by chief classifier.
Before beginning to assign class number you must know the policy about the
extent of depth of classification in the library. Some libraries such as public
library follow broad class number policy, while others such as university or
research libraries, follow depth or close classification.
41
Library Functions and Checking of Books
Operations
The books are arranged alphabetically by authors’ name and are taken to the
author catalogue for checking. The purpose of checking is to find out if the
library already has copies of some of the books in its collection. If copies with
the same edition are already available, the words “add” are written on fly leaf of
each of the identified book. The call numbers for these books are copied from
the catalogue card and written on the verso of the title pages of the books being
checked. The words Main and Shelf are written on fly leaf if library has earlier
editions of these books.
The LC Cataloguing- in–print policy has now solved, to a great extent, the problem
of class number construction for books published from the English speaking
countries. Even subject headings for added entries are also available in the books.
Book Number
Assigning of book number, in case of enumerative classification schemes is
achieved with the help of one of the various Authors Tables developed for the
purpose. In practice libraries are generally using the first three letters of the title
of the books or of the names of authors.
42
Self Check Exercise Basic Housekeeping
Operations Part-2
Note: i) Write your answers in the space given below.
ii) Check your answers with the answers given at the end of this Unit.
3) Write in brief the need for processing work.
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4) Write in brief the need for classification of documents.
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5) Explain the routines of classification.
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B) Cataloguing of Books
Cataloguing is the next technical job done by the technical unit. Cataloguing is
done with the help of code for cataloguing. The AACR-2R is the one code which
has worldwide acceptance It is a dictionary code according to which the main
entry begins with the author’s name. The Classified Catalogue Code of Dr. S. R.
Ranganathan is used in many libraries in India. In CCC the main entry begins
with class number. The CCC uses chain procedure to derive class index entries,
but in AACR one has to use one or other list of subject headings. LC List and the
Sears list are used for this purpose.
In cataloguing a book the following jobs are carried out:
• Preparation of the main entry
• Preparation of shelf list
• Preparation of added and reference entries
43
Library Functions and The essential bibliographical details for monographic document, for serials and
Operations
for non-book materials that make a document distinct were approved in 1971
and adopted in1974.The bibliographical details fall under the following areas:
1) The title and statement of authorship area,
2) The edition area,
3) Imprint area,
4) Collation area,
5) Series area,
6) Notes area,
7) International Standard Book Number, Binding and price area.
Need for Cataloguing
• Catalogue helps choosing a specific title among the books on a subject,
through bibliographic information about book, in the catalogue card.
• The multiple entries for a book help user in locating in the catalogue desired
book about whose author s/he was not sure but knew other bibliographical
detail.
• The classified part or subject catalogue in dictionary catalogue, gives an
idea of amount of material in a library on a given subject and its subdivisions.
• The date of publication in the catalogue helps reader know that how up-to-
date is the material in a book.
Note: Much of the problem of cataloguing foreign language books is solved due
the cataloguing-in-publication policy being followed by publishers in foreign
countries. But libraries should not copy the class number blindly and must check
with the contents of the book for possible misinterpretation of the subject.
Tools
• Catalogue Code
• List of subject headings( if AACR is in use )
• Dictionary of Indian names
• Language dictionaries
Cataloguing Process
The jobs of the cataloguing depend upon the code of cataloguing adopted for
cataloguing work and the scheme of classification selected for classification.
The placing and extent of details provided in added entries vary in the two codes.
If the library is following the unit card policy, the job of preparing added entries
is reduced. If the classified cataloguing code is in use the back of the main card
shall need provision for tracing.
• Preparation of the Main entry
• Preparation of shelf card
• Preparation of Added and Cross Reference entries
• Checking of the main card and added entries
44
Self Check Exercise Basic Housekeeping
Operations Part-2
Note: i) Write your answers in the space given below.
ii) Check your answers with the answers given at the end of this Unit.
6) Describe the areas of Bibliographical details of a book.
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7) Discuss the need for cataloguing.
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6.3 CIRCULATION
Circulation of documents or circulation service and reference service are the
two services which are considered to be the public face of a library. The efficiency
and the manner of their performance determine the prestige and rating of any
library in the eyes of its user community. Circulation service refers to facility
provided by a library to its members to have one or more documents for study
outside the library premises for a specific period. Such a facility is extended
against guarantee in the form of a membership card given to members once they
take up membership on fulfilling the requirements for the same or get membership
by virtue of their position in an institution or organisation, the parent body of
library.
The basic aim of the circulation section is to maximise the utilisation of the
library resources and the major concern of circulation service is to perform this
task with economy and efficiency.
In this Unit, you will learn the scope of work of the circulation section, circulation
systems, and policy regarding borrowing privileges and the records and statistics
maintained by the section.
Although there are various improvised systems for charging and discharging of
documents, the two most widely practiced systems based on combination of
book card and membership card are the Browne circulation system and the Newark
circulation system.
Normally books acquired by libraries are transferred to the stack area after they
have been made up with necessary stationary items such as library label, due
date slip, book pocket for book card and book cards complete with information
about the book, etc. Issue counters are now designed with built in charging tray
and enough space for storing books returned by members and for storage of
various records and a set of printed stationary items required for use at the counter.
Charging Process
Browne System
The system is named after Nina E. Browne librarian of the Library Bureau, Boston
who developed the system towards the close of the Nineteenth Century. Under
the system each member is given as many pocket type membership cards as the
number of documents s/he is entitled to borrow from a library. The card bears
name, address and membership number of borrower. The borrower presents book
for borrowing along with library card. Counter staff takes out book card from
the book and puts it into the pocket of the library card, stamps the due /issue date
on the date slip in the book and gives to the borrower. The book card along with
borrower’s card is filed behind the date guide in the charging tray. When the
book is presented for discharging, the staff with the help of due date in the book,
takes out from the charging tray the relevant book card along with borrower’s
library card. The book is put on the trolley for shelving and the borrower gets
back library card.
47
Library Functions and
Sample of material used in Browne system
Operations
CALL. NO. ............................................. ACC. NO. .................................
The following books were issued/are due on the date stamped below:
Book Pocket----------------------------
Acc.No.---------------------------------
48
Basic Housekeeping
Operations Part-2
CALL NO. ........................
Author: ---------------------
Title: ------------------------
10.25 × 5 cm
Fig.6.3: Book Card
ID.NO
NAME
ADDRESS
SIGNATURE OF
THE BORROWER
Size 5"×3"
Fig. 6.5: Date slip
OPEN FLAP
NAME OF THE LIBRARY
BRIEF LIBRARY RULES
1
2
3
4
5
Size 5"×3"
50 Fig.6.6: Book Pocket
NAME OF THE LIBRARY Basic Housekeeping
Operations Part-2
CALL NO.
ACC NO.
AUTHOR
TITLE
This Book was issued / is due for return on date stamped or marked below:
Size 4"×2"
Fig.6.7: BookCard
NON-TRANSFERABLE
The following books were issued to me.
Signature
Date of issue Date of return Date of issue Date of return
i) Reservation
When new collection of books is released for circulation, often more than
one reader are interested in borrowing some books. In such situation the
first person who expressed desire for a particular book is issued the book
and the book is reserved for others to get the book in turn. Each one of the
subsequent member is intimated about the availability of the book as and
when his turn comes. Sometimes a reader wants a book which is already
out on loan. In that case the book is reserved by putting a slip bearing reader’s
detail in the issue record of the book and the member is intimated about its
availability when it is retuned by the earlier reader.
ii) Recall
When for one reason or other, the library is in need of a book already out on
loan, and still not due for return, the circulation section may ask the borrower
to return the book to the library. Such practice is called recall of book by
library.
iii) Renewal
Members who want to keep book beyond due date may get the due date
extended either by presenting the book to the counter or by telephone.
Renewal is allowed only if the book is not reserved by some other member.
iv) Reminder
Sometimes members forget to return books due for return, or deliberately
hold the book as they are afraid that they may not get it again. This happens
when books are in heavy demand and in short supply. In such cases the
circulation counter sends reminders to the concerned members for early
return of the books.
v) Overdue charges
In order to deter members from holding the books beyond the due date
libraries follow a system of levying fine for the period the book has been
held up beyond the due date. Such payments must be received against receipt.
There have been cases when audit party has asked the library to produce
record of such income. The overdue charges are deposited with the central
office of the library.
• Membership record
The membership record helps library learn about the type of library users
and how the library should build up its resources to meet their information
needs. It also helps in organising library’s orientation programme.
• Circulation statistics
Circulation statistics is maintained at the counter to serve as guide for
increasing the number of copies for books in heavy demand. It also helps in
changing the staff strength at the circulation counter.
Despite these peculiarities, which call for more vigilance by the clerical staff,
there is little that calls for a separate management unit to deal with their various
routines. W.G. Potter has succinctly explained this point by saying that “… serials
processing should not have been divorced from other processing functions to
begin with… separate procedure and units for the processing of serials are only
called for in a few areas(which) are largely clerical and can be supervised by
professional staff responsible for broader functions…”.
Once the selection of titles has been finalised, the management routines of serials
begin with order then passes through receipt, recoding, technical processing,
and providing service and culminate in preservation. Thus, acquisition control is
said to involve four routines: ordering, recording or check in, claiming issues
not received and dealing with invoices. Order routines deal with three types of
order: new subscription, renewals and order for back issues.
55
Library Functions and Self Check Exercise
Operations
Note: i) Write your answer in the space given below.
ii) Check your answer with the answers given at the end of this Unit.
14) State the peculiarities of serials that call for separate department for serials
management.
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i) New Subscription
The first step in placing order is selection of the supplier. We have discussed
the advantages and disadvantages of ordering materials through publishers
and agents in Unit 5 of this block. Generally orders for subscription are
routed through agents. Libraries in India and perhaps most of the non-western
countries, subscribe greater number of serials which are published abroad.
The libraries have to incur heavy expenditure on postage more so if the
subscription is through air. Before preparing order form it is necessary that
bibliographical details of each title have been checked for accuracy and
completeness of information. For this purpose titles should be checked with
reliable authorities such Ulrich’s International Periodical Directory, the
Press in India and Directory of Indian Periodicals. One may also consult
Union Catalogue of Scientific Serials (NISCAIR) and Union Catalogue of
Social Science Periodicals (NASSDOC).
Some libraries, as a safety measure, enter into a written agreement about the
payment and claim refund of the amount paid if supply of serials fails to
materialise. The following steps are taken to pass the invoices for payment:
1) The suppliers’ invoices are checked against correctness of each title, their
supply position, subscription rates and, in case of foreign currency, their
conversion rates.
2) Invoices details are recorded on the receipt record of each title for future
reference in case of any dispute.
3) Invoices are finally entered in a bill register.
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Library Functions and 4) One copy of the invoice is filed vendor wise, the second copy is filed date
Operations
wise and the Third copy, which is actually the first copy of the set, is sent to
the finance office along with a copy of the order, for payment.
5) Credit note sent by the supplier for cancelled subscription should also be
enclosed with the invoice.
A permanent ledger system may also be used for recording purpose. The register
with a few pages assigned to each alphabet may be used for recording titles with
a specific alphabet. In case of entering titles is in numerical order it should be
supported by an alphabetic index at the beginning pages. Each of the two register
system will require some sort of check in device for identifying in time non-
receipt of a particular issue.
Card systems
The two card systems which are popular in India are known Three Card System
and Kardex system. The Three card system was developed by S.R. Ranganathan
while working in the Madras University Library. The system functions with three
cards, Register card, check card and classified index card.
• Check Card
Each registration card has a corresponding check card. The check card
contains the following information: Title, periodicity, volume and issue
number, date of reminder, initials of the dealing staff.
Check cards are kept in a tray. The tray has four guide cards for each month
to represent four weeks in a month. The check card corresponding to a
particular serial is placed behind the expected week of the expected month
of receipt of the serial. Once a serial is received and registered, the
corresponding check card is moved behind the next expected week of the
next expected month. If receipt position of serials is regular all cards behind
a particular week would have moved out to behind the next week guide
cards. If still one or more cards have not moved out it means issues of these
serials have not arrived on due date and a reminder is due. After reminder
the check card is moved for placing it behind the next expected week guide.
B) Kardex
It is the other card system for recoding receipt of serials in libraries. The system
was supplied by Remington Rand Co. It comprises two cards, bottom card and
top card. The cards are kept in a steel cabinet. Each unit consists of 10 trays,
holding 504 card holders possessing sliding dust cover and locking device. For
each serial publication there are two cards, namely bottom card and top card.
• Bottom card
It contains the following information:
Name of the library, frequency; year, volume and issue number, title, index
reminder, volume per year, location, nature of binding, volumes in binding,
vol. library has, vol. library lacks, months from Jan. to Dec.
Its function is to inform:
i) holdings of the library,
ii) latest issue received in the library,
iii) gaps in the holdings,
iv) location of the volumes and issues,
v) Information of need for reminder.
The card is fixed in the punched holes of the card holder and plastic tab is
put at the month when next issue is due. Bottom Card fulfills the following
purposes:
i) Holding of the library,
ii) The latest issue received in the library,
iii) Gaps in the holdings,
iv) Location of the volumes and issues,
v) The plastic tab indicates when the reminder is due for overdue issues.
Bottom cards are arranged alphabetically by title. Printed on both sides the
card provides space for recording 20 volumes.
• Top Card
It is fitted opposite to the bottom card and lies on the verso of the next card
holder such that when any card holder for a given title is lifted, both cards
come face to face with each other. The top card serves the purpose of keeping
record of payments made to the supplier. These cards are printed both sides
covering information for 20 volumes.
The top card contains the following information: Volume number; date of
publication; date of receipt of bill; voucher number; amount of subscription
along with date of payment; name of supplier.
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Registration method Basic Housekeeping
Operations Part-2
When an issue is to be recorded the requisite tray of the bottom card is taken out
from the cabinet and the date of receipt is noted in the appropriate column, the
coloured tab is pushed towards the right side. If the issue is not received the tab
remains in its earlier place and after the due date a reminder is issued and a note
is given in the appropriate column of the Top Card.
Serial are ready for binding once all issues of a volume have been received.
Before the volumes are sent for binding it must be ensured that:
• All issues of a volume are in the bundle.
• Issues are arranged in correct order.
• Papers in the issues with advertisements have been removed from each
issue. 61
Library Functions and • Title, content and index of the volume are placed before the first issue.
Operations
• Only section stitching should be done.
• Indication on thick volume that these are to be bound in two parts.
viii)Technical Processing
Technical processing of serials which includes both cataloguing and
classification are no different from that of monographs. Once the volume is
complete and put in the form of a single unit through binding or bundling
these are to be classified like a book. The AACR-2 and MARC format have
provided guidelines which should be adhered to for cataloguing.
We have also seen how the charging methods evolved, and the pros and
cons of the two most widely used methods. To facilitate smooth and efficient
functioning of the section, the section provides various other services such
as reservation, renewal recall, etc. Circulation section also maintains various
records and statistics which are helpful in planning library activities.
6.5 SUMMARY
Resources acquired by a library need certain processing before these are released
for use and are suitable for access by library users. The processing work is carried
out in two parts, physical processing and technical processing. Technical
processing is concerned with bringing some organisation in the resources to
facilitate easy access to the require materials. After organisation need arises to
develop tools which shall help in confirming what is available in the library and
where to find them. The technical processing includes classification and
cataloguing of the materials. Both these functions are carried out according to
certain codes (classification and cataloguing) selected by a library for the purpose.
Both the jobs require personnel of high caliber who have understanding of the
universe of knowledge as well as the psychology of users in searching materials
in libraries. The diligence is not only needed in using the two codes but also in
recording the call number at various places in the book but also in filling the
cards as per approved filing policy of the library.
The Unit describes the scope and functions of the circulation section. The major
function of the circulation section has been charging and discharging of materials
available for circulation. To regulate the system for smooth and equitable service
the section has developed certain control system. Reservation, renewal and recall
are some checks, operated by circulation section. The section also maintains
records of books borrowed and returned on daily basis.
Serials are an important part of library collection. But their acquisition and control
requires special administrative steps and much alertness. Due to certain
peculiarities in their publication their control and preservation is assigned to a
separate section. Unlike books there are three different types of serial orders for
serials, order, renewal and cancellation. Normally serial suppliers require advance
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payment. Libraries generally make an agreement about terms and condition of Basic Housekeeping
Operations Part-2
supply. Receipt and recording of individual issues are done either in register or
on cards. Depending upon the number of serials receive by a library. The two
popular card methods of receipt are Three card system developed by Dr.
Ranganathan and Kardex system of the Remington Rand co. Serials are bound
in volume after all the issues of a title have been received by library.
Illustration 1
Sample page in the Ledger System
Periodicals Register
Title : ....................................................... Periodicity : ........................
Publisher : ....................................................... Subscription : ........................
paid
Sponsor : .......................................................
Supplier : ....................................................... Period covered : ........................
Volume Number Date of publication year Date of Remarks
month date Receipt
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Library Functions and Illustration 2
Operations Card used in the One Card System
(Recto) (Verso)
Title: Periodicity: Title:
Publisher: Supplier:
Vol Subscr Bill No Vou Remin Bound Remarks
Vol Jan Feb Mar Apr May Jun July Aug Sept Oct Nov Dec & Amo- & Date cher ders upto
& year unt No. sent
year date
Illustration 3
Cards in the Three Card System
The Register Card The Check Card
Title Payment
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The Classified Index Card Basic Housekeeping
Operations Part-2
Cl No. Ann Subs Per in weeks
Title
Vendor
Publisher
Vol Available
Indexes, etc.
Supplements, etc.
Illustration 4
Cards used in the Kardex System
Title Department
Publisher Country of Orgin
and his
Address
} Volumes per year
Nos. per Volume
Agent Subscription Rate
and his
Address
} Periodicity
Day SUE Gift/Exchange
Year Valume From To Vol Nos. Sent Year No. of Issues Sent on Recd on Accession
Sent No
From To
Graph-A – Matic Signal received Title which period 1/4" Kardex Periodicals Control
Crimped Signals:
}
KARDEX Supplied by
Red – When Subscription to be Renewed Systems Division
SIGNAL Blue – Foreign Language other than English REMINGTON RAND OF INDIA LTD.
CODEG Pink – Journals Received on Exchange
Green – As free copies
Illustration 5
Binding Pecullarities Slip
Title
Volume Number Year Class Number
Covering Material
Clubbing or Splitting
peculiarities, if any
Assembling peculiarities,
66 if any
Basic Housekeeping
6.6 ANSWERS TO SELF CHECK EXERCISES Operations Part-2
Back Issues : Serial issues not supplied and not available for
replacement; issue supplied but found lost issues not
covered under subscription.
Check Card : Second card in Three Card System used for ensuring
regular supply of serials.
Check in : Record for keeping an eye on supply of serials.
Registration : Recording receipt of issues received in the library.
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