SERIES TRAINING FOR LC TECHNICIANS Series Statements and Authority Records Judy Kuhagen Cataloging Policy & Support Office 2004

SERIES TRAININGFOR LC TECHNICIANS

Series Statements

and Authority Records

Judy Kuhagen

Cataloging Policy & Support Office

2004

Series: LC Technicians 2004

2

Purpose of training

To train LC technicians to Record/review/update series data in bibliographic

records Find and interpret series authority records in the

National Authority File


3

Learning objectives

Trainees will be able to Identify in a bibliographic resource those series

elements to be included in the bibliographic record Find series authority records in the National

Authority File Input or review/update data for the series field(s)

or quoted note in a bibliographic record Interpret the data in series authority records to

identify the appropriate record and determine LC’s treatment decisions


4

Documentation

Handout #1 has documentation list for series authority records


5

Word “series” in rules, etc.

The word “series” is used in AACR2, in LCRIs, in the MARC 21 formats to mean any comprehensive bibliographic resource whose title is given in the 4XX field (series statement): Monographic series Other type of serial Multipart item Integrating resource


6

Definitions

Monographic series: A group of separate items related to one another by the fact that each item bears in addition to its own title proper, a collective title applying to the group as a whole. The individual items may or may not be numbered.” (AACR2)

Serial: “A continuing resource issued in a succession of discrete parts, usually bearing numbering, that has no predetermined conclusion. Examples … and monographic series.” (AACR2)


7

More definitions

Multipart item: A monograph complete, or intended to be completed, in a finite number of separate parts. The separate parts may or may not be numbered.” (AACR2)

Integrating resource: “A bibliographic resource that is added to or changed by means of updates that do not remain discrete and are integrated into the whole … Examples … updating loose-leafs and updating Web sites.” (AACR2)


8

And more definitions

Subseries: “A series within a series (i.e., a series that always appears in conjunction with another, usually more comprehensive, series of which it forms a section).” (AACR2)

Series-like phrase: “A character string (words, letters, combination of letters and numerals) not considered to be a series.”


9

And even more …

Analytic record: The bibliographic record for a volume of a monographic series or a part of a multipart item. The analytic record may be for a single-part monograph, a

multipart item, an integrating resource, or a serial.

Collected set record: The bibliographic record for the monographic series (serial) or multipart item (monograph) as a whole. The collected set record may also be for an integrating

resource if that resource is analyzed [not covered in this training.]


10

Final definition

Preliminaries: “The title page(s) of an item, the verso of the title page(s), any pages preceding the title page(s), and the cover.” (AACR2).

Per LCRI: “cover” = p. 1-4 of the cover, both flaps, and the spine.


11

Sources of series data

Prescribed sources of information in each chapter

Those sources in a priority order: Important when series title in more than one form Important in a shared database so that can use

other library’s record created on same basis Important when library classes as a collection

because choice of title in 4XX field matches choice of title in 245 field


12

Sources: Chapter 2

2.0B2: Series title page, monograph title page, cover, rest of the publication (based on principle in 12.0B1)

Series title page (LCRI 1.6A2) = Page physically opposite the monograph title

page if series title found there (may or may not have more information) or

“Half t.p.” if series title given there Not a general term for source of series title


13

Sources: Chapter 2

If no series title page, look for series title elsewhere in resource

If more than one form of series title found in other sources, select the source based on the priority order: Form on monograph title page before form on

cover (p. 1-4, flaps, and spine) Form on cover before form elsewhere (publisher’s

listing, contents page, etc.)


14

Selecting priority source

Series t.p. Monograph t.p.

Research ReportVolume 1

[analytic title]

Chemistry Department’sResearch Report

v. 1


15


Cover p. 1 Monograph t.p.

Archaeology forAmateurs

No. 3

[analytic title]

Amateur ArchaeologySeriesNo. 3


16


Cover p. 4 Publisher’s listing

Series on LinguisticsNumber 8

Linguistics series

No. 1 …

No. 2 …

No. 3…

No. 4…

No. 5 …

No. 6 …

No. 7 …

No. 8 …


17

Restriction: sources for series title(chapters 2, 5, 12)

Series title must be found: As a formal presentation (not embedded in text) in

preliminaries, colophon, or publisher’s listing Embedded in text in the preliminaries, colophon,

or publisher’s listing

Why? Because in some libraries some series are represented only by a bibliographic record with the series title in the 245 field


18

Embedded in text: valid

Valid source (e.g., monograph t.p. verso):“This book is volume 23 in the series

Building Better Bridges published in …”

Action?Give in bibliographic record 4XX field

4XX $a Building better bridges ;$v v. 23


19

Embedded in text: not valid

Not a valid source (e.g., p. 4 of text)“This book, the first volume in the series

MATHEMATICAL CONCEPTS, is based on research …”

Action?

Don’t give in bibliographic record 4XX field! (may give in 500 quoted note)

500 $a “The first volume in the series

Mathematical concepts”—P. 4.


20

Other locations? (LCRI 1.6)

Only on jacket? Yes! Enclose in brackets because outside the resource

4XX $a [Famous detectives in history]

Only in CIP data in published book? No, ignore! If the 670 field in SAR is for the book in hand, refer the SAR to

a descriptive cataloger Exception: if series is classed as a collection in LC; give source

in a 500 note


21

Priority order & embedded informtion

Principle of priority order of sources applies in all chapters In some chapters where the whole resource is the

priority order source, other sources of information (e.g., accompanying brochure) may also have series data

Principle of valid and invalid sources for embedded series data applies to resources covered in other chapters


22

Sources: Chapters 3, 5-6, 9, 11-12

Chapter 3: Atlases: same as Chapter 2 Other cartographic materials: entire resource

Chapter 5 Series title page, monograph title page,

cover, rest of the publication

Chapter 6 Recording, label, text, container


23

Sources: Chapters 3, 5-6, 9, 11-12

Chapter 9: Entire resource

Chapter 11 Title frame, rest of resource, container

Chapter 12 Printed resources: generally same as Chapter 2 Nonprint resources: consult other chapters


24

Series “clues” but not a series - #1

Publisher refers to a series but no series title

Titles in this series:

Case Presentations in Arterial Disease

Case Presentations in General Surgery

Case Presentations in Neurology

Case Presentations in Renal Medicine

Case Presentations in Urology

Action:

No 4XX field

No 500 note


25


Numbering but no series title anywhere on resource

No 4XX field

Give number in quoted note

spine: No. 6

500 $a “No. 6” – Spine.


26


Words that could be series titles but are really subject words for retail purposes: to shelve in proper location, e.g.,

On back cover of book: BiographyBiography

On box for computer software: Desktop Publishing $22.95

Action? Ignore them !


27


If there is a statement “Also published as v. ___ of [journal title],” don’t consider the book to be in a series (LCRI 1.6) No 4XX field Instead: 500 note with that statement and a

730 added entry for the related bibliographic resource

500 $a “Also published as v. 3 of History today.”730 $a History today. $n v. 3.


28

Warning for copy cataloging

Series may appear/disappear between editions and even between printings

Another library’s copy Library of Congress copy

The McFarlane Legacy The McFarlane Legacy

The Twentieth Century Series


29

Warning: CIP/NSDP prepub records

Series data may appear/disappear/change by time of published book/serial

published book:

Holidays in the U.S.

Volume 1

The Fourth of

July

CIP record:440 0 $a U.S. holidays


30

Correct the 4XX fields in copy/CIP

Bibl. record before: 245 04 $a The McFarlane legacy4XX $a The twentieth century series

Bibl. record after: 245 04 $a The McFarlane legacy4XX $a The twentieth century series

Bibl. record before: 245 04 $a The Fourth of July4XX $a U.S. holidays

Bibl. record after: 245 04 $a The Fourth of July4XX $a Holidays in the U.S. ; $v v.

1


31

Determining series title

Remember priority order of sources: use form of series title on the priority order source

Decide where title begins and ends Consider typography and spacing Include grammatical connections Consider if body on separate line is part of title

(other presentations of series title on resource may help you determine intention)


32

Special title situations #1

Numbering with form of body’s name and no other title, give name as title

Cover: Institute of Legal Research Volume 6

4XX $a Institute of Legal Research ; $v v. 6

Title page: Society for Urban DevelopmentCover p. 4: SUD No. 18

4XX $a SUD ; $v no. 18


33

Special title situations #2 If the title appears in a full form and as an

acronym or initialism on the same source (12.1B2) in a monographic series Either form may be the series statement – can

give other form as other title information Full form must be the added entry

Series t.p.: GGRGrowing Great

Roses


34

4XX for initialism/full form

490 1 $a GRR830 0 $a Growing great roses.

Or: 440 0 $a Growing great roses

Or: 490 1 $a Growing great roses : GRR830 0 $a Growing great roses.

Or: 490 1 $a GRR : growing great roses830 0 $a Growing great roses.


35

Exercise #1: What is series title?

On the next five slides, draw a circle or box around the words you would record as the series title in the bibliographic record 4XX field


36

What is the series title?

Report

of the Center

for Research in Psychiatry

Volume 2

Report

Institute for Documentation

Number 3


37


Theoretical Studies

In Sociology

Publication 22Iowa Genealogical Society

P.O. Box 515, Ames, Iowa

Publication #15

Publication 14 of the New England Tourist Agency


38


The Institute of Biology’sStudies in BiologyNo. 7

THE SOUTHWESTERNSERIES IN FINANCE

GEORGETOWN UNIVERSITY PRESSSTUDIES IN ETHICS Series


39


Collection Histoire et Tradition

Collection

Histoire et Tradition

M&MRMaterials and Minerals

Research


40


SpringerProceedings in Physics[in another source: Springer Proceedings in Physics is

published …]

BUCKINGHAMSHIRE RECORD SOCIETY

No. 21


41

Series statement: 4XX

Field must have title proper of series

Field can also include: Parallel title(s) of series Other title information for series Statement of responsibility for series ISSN of series Numbering of series


42

Finding information for 4XX field

Same source as series title: parallel titles

Usually same source as series title but be sure it applies to series: other title information, statement of responsibility

Numbering and ISSN often don’t appear with title of series

Because entire resource is source for 4XX field, don’t bracket any information unless from outside the resource


43

Title proper in 4XX field

Based on 245 transcription (1.6B1 refers to 1.1B) Cannot change: wording, order, or spelling Can change: capitalization and punctuation

Capitalization: Don’t capitalize word after initial article:

4XX $a The bulletin of the ABC Society

Capitalize first word after introductory noun (e.g., Serie, Collection):

4XX $a Serie Literatura

Otherwise, use regular capitalization for that language


44

Series title in other languages

Separate sources in different languages or scripts (not common for series)

Use source in same language/script as 245 Give series title from that source Don’t give a parallel series title in 4XX field (it should be a

reference in the series authority record)

Example: two sources with series title: one in English & one in French245 in bibl. record has title in EnglishGive series title in English in 4XX; don’t include series title in French


45

Series title in other languages

Same source with series title in more than one language or script (common for series)

Title proper: title in the language matching the language of what is being cataloged

First parallel title: first title on the source not already recorded (in another $a)

Second parallel title: if there is an English series title and it hasn’t been given in 4XX yet (in another $a)

Separate the titles with ISBD space-equals sign-space


46

Rules for parallel series titles

Rules/LCRIs: 1.6B1 1.1B8 1.6C1 LCRI 1.6C 1.1D2 LCRI 1.1D2

4XX field can never be a 440

Heading in SAR/8XX may not be same language as title proper in 4XX because issue used to establish SAR was in different language


47

Giving parallel series titles

Single source: French series title

German series titleEnglish series title

Language of resource being cataloged: German

Action?4XX $a German series title = $a French series title

= $a English series title


48


Text doesn’t have predominant language? Language of text not represented by a series title? Or resource being cataloged doesn’t have text?

Title proper: first series title seen (in $a) First parallel title: next series title seen (in another

$a) Second parallel title: if there is an English series title

and it hasn’t been given in 4XX yet (in another $a)


49


Single source: Spanish series title

English series titleFrench series title

Language of resource being cataloged: German

Action?4XX $a Spanish series title = $a English

series

title


50


If series title proper and first parallel title are in nonroman alphabet languages and there is no English title: Give as second parallel title the series title that is

in (this preferred order) French, German, Spanish, Latin, any other roman alphabet language

Example: series titles in Chinese, Korean, Spanish, French; text in Chinese4XX $a Chinese title proper = $a Korean parallel title = $a French parallel title


51

Exercise #2: Parallel titles

On the next five slides, transcribe the title proper and parallel title(s) for the 4XX field in the bibliographic record


52

Parallel title exercise

Text in English Series titles: Spanish

French

English

Action?4XX $a


53


Text in Spanish Series titles: Spanish

French

English Action?

4XX $a


54


Text in French Series titles: English

Spanish

French

Action?4XX $a


55


Text in English Series titles: Latin

Spanish

French

Action?4XX $a


56


Resource has no printed text Series titles: English

RussianGerman

Action?4XX $a


57

Other title information: 4XX field

Rule 1.6D: Optional: Generally not given (only if needed for

identification) but keep if in copy from another library Be sure information belongs to series, not analytic Guidelines for transcription in 1.1E Part of subfield $a – no subfield $b Preceded by ISBD space-colon-space

4XX $a Words : their origin, use, and spelling


58

Statement of responsibility: 4XX field

Rule 1.6E: Optional: Generally not given (only if needed for

identification) but keep if in copy from another library Be sure information belongs to series, not analytic Guidelines for transcription in 1.1F Part of subfield $a – no subfield $c Preceded by ISBD space-slash-space

4XX $a Research monographs / Institute

of Economic Affairs


59

ISSN: 4XX field

Rule 1.6F: ISSN = International Standard Serial Number In subfield $x preceded by ISBD comma-space Don’t include letters “ISSN”

4XX $a Western Canada series report, $x 0317-3127


60

Numbering: 4XX field

Rule 1.6G: Numbering can be numerals, letters, dates, or a

combination with or without term Give in subfield $v preceded by ISBD space-

semicolon-space

4XX $a … ; $v 42

4XX $a … ; $v no. 1

4XX $a … ; $v Jan. 2001

4XX $a … ; $v v. GH1

4XX $a … ; $v A


61

Numbering for a multipart item

If resource being cataloged is a multipart item, give series numbers of the parts in the 4XX $v

300 $a 5 v.

4XX $a … ; $v no. 17-21

300 $a <v. 1-3>

4XX $a …; $v v. 14, 23, 35


62

Common numbering questions

Is series numbered?

When is numbering recorded as part of title?

Where is numbering recorded when there are parallel titles?

How are two numbering systems recorded?

Which abbreviations are used?

Are roman and ordinal numbers used?


63

Numbering: Is series numbered?cover p. 4 = Serie Historia

spine = 13

p. 227: 1 … Serie Politica 6 … Serie Historia

2 … Serie Periodismo 7 … Serie Sociologia

3 … Serie Ciencia 8 … Serie Politica

4 … Serie Politica 9 … Serie Literatura

5 … Serie Ciencia etc.

4XX $a Serie Historia

500 $a “13” – Spine.

Series isn’t numbered by itself (the publisher is using one numbering system for all its different series)


64

Numbering: Is series numbered?

If numbering is present only in the CIP data in the published book, the series isn’t numbered

4XX/8XX should not have $v If SAR has a 642 field, refer it to descriptive

cataloger Exception: If series is classed as a collection in

LC, give number in $v and add a note giving source


65

Numbering: Which series is numbered?Title page: Lecture Notes in Economics

and Mathematical Systems Managing Editor: M. Beckmann

Experimental Economics

213

---------------------------------------------------------------------

Aspiration Levels in Bargaining

Series title page: Lecture Notes in Economics and Mathematical Systems

vol. 213 Aspiration Levels in Bargaining


66

Numbering: Is series numbered?

When there is a main series and subseries and only one number Check carefully to see which title has that number (if three

digits, number probably belongs to main series) Also can check SARs (series authority records) to see

which one has 642 field

Action?4XX $a Lecture notes in economics and mathematical systems ; $v 213. $a Experimental economics


67

Numbering: part of title?

If embedded (“inside”) the title (1.6B1), include numbering as part of title Heading will have ellipsis (…) in place of numbering

Publication 14 of the New England Tourist Agency

Action?

490 1 $a Publication 14 of the New England Tourist Agency

830 0 $a Publication ... of the New England Tourist Agency ; $v

14.


68

Numbering: title vs. designation?

If at end or beginning of title, don’t include as part of title

American History Series Volume 7Number 5 of Music Education for Children

30th Biological Research

Action? 4XX $a American history series ; $v v. 7

4XX $a Music education for children ; $v no. 5

4XX $a Biological research ; $v 30th


69

Numbering: year and number

Year may be given with number on resource:

Follow style of 642 in SAR: Year ignored

4XX $a Medical discoveries ; $v 1

Year recorded before numeral 4XX $a Medical discoveries ; $v 2002/1

Medical discoveries 1/2002


70

Designation for numbering? Or title?

Reminder: Some words used as title for one series may be term given with numbering for other series

Changing Africanfamily project seriesMonograph no. 7

Monograph no. 3Institute of Genealogy Research

4XX $a Changing African family project series ; $v monograph no. 7

4XX $a Monograph ; $v no. 3


71

Numbering: parallel titles

Match up language of numbering term with language of title

490 $a Linguistics ; $v v. 12 = $a Linguistik ; $v Bd. 12

If no term with numbering, give number at end of 4XX field

490 $a Topics in current chemistry = $a Fortschritte der chemischen

Forschung ; $v 24


72

Numbering: two systems

If resource being cataloged has two numbering systems, record both separated by space-equals sign-space

Advances in Childhood Advances in Childhood DevelopmentDevelopment

2002, no. 2 volume 10, no. 2

Action?4XX $a Advances in childhood development ; $v 2002, no. 2 = v. 10, no. 2


73

Numbering: two systems

Sometimes the two systems represent continuation of earlier title’s numbering and the new title’s numbering

Studies in Folklore(formerly Research in Folklore)

1 (81)

Action?

4XX $a Studies in folklore ; $v 1 = 81


74

Abbreviations in $v (Appendix B.9)

If term given as word, use the prescribed abbreviation in App. B.9 If no abbreviation there, give full word in $v

If term given in abbreviated form, check if that is prescribed abbreviation in App. B.9 If “yes,” give that abbreviated form If “no,” replace the found abbreviation with the form

in App. B.9 If no abbreviation is in App. B.9, give the found

abbreviation


75

Abbreviations: prescribed?

Full word found with numbering Prescribed abbreviation

“volume 3” becomes $v v. 3“number 15” becomes$v no. 15“tome 6” becomes $v t. 6

No prescribed abbreviation“study 9” stays $v study 9“paper 11” stays $v paper 11


76

Abbreviations: prescribed?

Abbreviated word found with numbering

Prescribed abbreviation in App. B.9“v. 47” stays $v v. 47

“vol. 3” becomes $v v. 3

“numb. 15” becomes $v no. 15

No prescribed abbreviation in App. B.9“mono. 9” stays $v mono. 9

“pap. 11” stays $v pap. 11


77

Roman numerals (Appendix C.2)

Convert roman numerals to arabic numerals unless meaning is not clear

“v. XVII” becomes $v v. 17“vol. V, no. 3 becomes $v v. 5, no. 3“IV, 8” stays $v IV, 8*

*If roman “IV” is converted to arabic numeral, the numbering would look like no. 4 and 8 instead of no. 8 in v. 4


78

Ordinal numerals (Appendix C.8 and LCRI) Ordinal given in full in numbering on resource:

English? Give as 1st, 2nd, 3rd, etc. Chinese, Japanese, or Korean? Give arabic

numeral and character indicating it is ordinal Other languages? Give as 1., 2., 3., etc.

Ordinal given in abbreviated form in numbering on resource: give that abbreviated form

“40a. v.” stays as $v 40a. v.


79

Exercise #3: Series statement

Look at the six surrogates

On the next slide or on the separate answer sheet, give a series statement for each: a 490 field with $a, $x, and $v as needed


80

Exercise #3: Answers

490 $a

490 $a

490 $a

490 $a

490 $a

490 $a


81

Series authority record (SAR)

For information about the fields in a series authority record, see Handout #2 at the end of this manual


82

Series added entry (LCRI 21.30L)

Also known as series access point Is given if decision is to “trace” the series Why? So records can be found using the

form of heading in the series authority record (SAR)

LC’s policy: trace all series established since May 1989 Still cataloging some pre-1989 untraced series


83

Is series traced?

Information is in the 645 field in SAR

Retrieve the SAR in Voyager: Have bibliographic record open Click on “Record” * Click on “Retrieve authorities” * Highlight and click line for the series

* Or, use function key F10


84


85


86


87


88

645 = Tracing decision

Two possible codes: t = traced n = not traced

645 must show one of LC’s codes in $5 $5 is subfield for library’s code LC’s codes = “DLC” or “DLC” with suffix:

$5 DLC, $5 DLC-S, $5 DLC-R, $5 DLC-ON, etc.

If no code for LC, refer to descriptive cataloger

645 may also have “$5 DPCC” or code of other PCC library “DPCC” = Program for Cooperative Cataloging (NACO)


89

642 = Series numbering example

642 field shows the style of numbering to be included in the added entry (either 440 or 8XX)

If series is traced, a 642 field will be in SAR Check if same style of numbering is still being used

on current resource If same style isn’t being used:

Give 4XX as 490 1 with style of numbering from what is being processed now in $v

Give 8XX to use style of numbering from 642 field in $v


90

Series is not traced

If not traced, 4XX field in bibliographic record should be 490 0 Some SARs created before 1989 Some MLC records

SAR 130 = $a Music guidesSAR 645 = $a n $5 DLC

Bibl. record: 490 0 $a Music guides; $v 4


91

Series is traced: what field?

Series added entry is given in either a 440 field or an 8XX field

Compare 4XX in bibliographic record with 1XX and 642 fields in SAR but ignore: Initial article Quotation marks around one or more words in title ISSN Brackets around part or all of series statement


92


If 4XX is same as SAR 1XX and $v style is same as SAR 642 style, 4XX should be 440

SAR 130 = $a Biological study guidesSAR 645 = $a t $5 DPCC $5 DLCSAR 642 = $a v. 1 $5 DPCC $5 DLC

Bibl. record:440 4 $a The biological study

guides, $x 8787-1515 ;

$v v. 14


93


If 4XX is not same as SAR 1XX or $v style is not same as SAR 642 style, 4XX should be 490 1 and 8XX is needed

SAR 130 = $a Chemistry (Boston, Mass.)SAR 645 = $a t $5 DLC-SSAR 642 = $a no. 3 $5 DLC-S

Bibl. record: 490 1 $a Chemistry ; $v no. 9 830 0 $a Chemistry (Boston,

Mass.) ; $v no. 9


94



SAR 130 = $a Linguistik

SAR 645 = $a t $5 DLC

SAR 642 = $a Bd. 2 $5 DLC

Bibl. record:

490 1 $a Linguistics ; $v v. 12 = $a Linguistik ; $v Bd. 12

830 0 $a Linguistik ; $v Bd. 12


95



SAR 130 = $a Hansson lectures

SAR 645 = $a t $5 DLC-R $5 CoU

SAR 642 = $a no. 3 $5 DLC-R $5 CoU

Bibl. record: 490 1 $a Hansson lectures ; $v v. 7 830 0 $a Hansson lectures ; $v no.

7


96

Incorrect series added entries

Be careful about records being used as copy:

Some libraries always code the 4XX field as 440

Some libraries put SAR heading including parenthetical qualifiers in 440 instead of giving data elements as found on resource

Other libraries don’t always check the style of the 642 field in SAR


97

Incorrect series added entries

Be careful about LC’s ibc records:

4XX field always given as 440 to allow use of filing indicators for initial articles

May have to change 440 to 490 1 (and add 8XX)

May even have to change 440 to 490 0


98

Series added entry: see reference instead

If the “Retrieve authorities” command (or the F10 key) doesn’t give you access to the SAR for series in 440 or 8XX field, click on the “boat” icon (save the record)

That action invokes authority validation and may show you that the 440/8XX form is a reference rather than a heading in an SAR


99

Series added entry: see reference instead

If added entry is a reference, click on the “Retrieve auth.” button to see the SAR If form in 440 is the reference, change 440 to 490

1 and add an 8XX field for the heading in the SAR If form in 8XX is the reference, change the form in

the 8XX to the form in the SAR heading

If added entry isn’t the heading or a reference, refer to descriptive cataloger


100


101


102


103


104


105


106

Searching for SARs in Voyager

Information about searching for series authority records in Voyager (if not handling an analytic in that series) is in Bibliographic Workflow Training Document 2 That document and other BWTDs are available on

the Cataloging Directorate staff Web site: http://www.loc.gov/staff/ils/bwtd/bwtd.html

If you work in OCLC or RLIN, follow the utility guidelines for searching for SARs


107

Two titles on resource in addition to title in 245 field = two 4XX fields

Two separate monographic series: Equal subject specificity Different responsible bodies

Two multipart items

Multipart item and a monographic series


108

Or: two “extra” titles may be main series and subseries (1.6H)

“Subseries” = “A series within a series (i.e., a series that always appears in conjunction with another, usually more comprehensive, series of which it forms a section).”

Two extra titles must be related, one being “larger”

General topic vs. specific topic Larger number vs. smaller number


109

How subseries are published

Main series:

#1 #2 #3 #4 #5 #6 #7 #8

Subseries A:

#9

Subseries B: Subseries C:

1

2

3

1

2

3

2

3

1= #1

= #4

= #5

= #2

= #6

= #8

= #3

= #7

= #9


110

General vs. specific topic: one model

Main series has generic term and no subject (e.g., Bulletin, Publication, Report) Subseries titles represent subject subdivisions

University publications series } main series

Chemistry studies }

Linguistics studies } subseries

Philosophy studies, etc. }


111

General vs. specific topic: another model

Main series is general topic Subseries titles represent subdivisions of that topic

Historic research today } main series

African history }American history }Asian history } subseries

European history, etc. }


112

Title proper has more than one part

Give in prescribed order even if data elements not in that order on resource (1.6H1, 12.1B4) Main series title Subseries designation preceded by ISBD period-

space Subseries title preceded by ISBD comma-space if

subseries designation present (otherwise by period-space)

Can have sub-subseries titles and designations


113

Examples of title proper

Subseries designations underlined below:

Scientific investigations. Part A, Physics

Music education. Series IV

University research studies. Contributions in anthropology

Economics papers. Macroeconomics today. B, International trade


114

Finding main series and subseries titles

Sources (LCRI 1.6A2, LCRI 1.6H)

Generally, exception to priority order Two titles in same source (for ch. 2, 5, 12: in preliminaries,

publisher’s listing, colophon) Don’t need to be “next to each other” in that source

But, if two sources have both titles and titles aren’t the same, apply priority order


115

Recording main series and subseries titles

Transcription:

Remember the prescribed order of data elements

Don’t abbreviate words (e.g., Series 2 doesn’t become “Ser. 2”)

Don’t change roman numerals to arabic numerals


116

Remainder of series statement: 1.6H3-1.6H8

Parallel titles: follow same guidelines as for simple series

Other title information and statement of responsibility: generally ignore

ISSN of subseries: give if present; otherwise, give ISSN of main series if present

Numbering of main series and of subseries: give when present


117

MARC coding for added entry (440 or 8XX)

$n = subseries designation (repeatable)$p = subseries title (repeatable)

$a Scientific investigations. $n Part A, $p Physics

$a Music education. $n Series IV

$a University research studies. $p Contributions in anthropology

$a Economics papers. $p Macroeconomics today. $n B, $p International trade


118

If 4XX is 490 0 or 490 1: no $n or $p

490 $a Papers and documents. C, Bibliography = $a Travaux et documents. C, Bibliographie

490 $a American literature. Poetry, $x 9753-8642

490 $a Biblioteca de arte ; $v no. 8. $a Artesaplicadas ; $v 2

490 $a Topics in mathematics ; $v v. 58. $a Series4, Calculus

490 $a Crafts for beginners. Wood carving ; $v 12


119

Series statements & added entries for main series and subseries?

“Formula” depends upon numbering of main series:

Main series unnumbered:bibl. series statement (4XX) = 1bibl. series added entry (8XX) = 1 unless 4XX is

440SAR = 1

Main series numbered:bibl. series statement (4XX) = 1bibl. series added entries (8XX)

= 2SAR = 2


120

Unnumbered main series

Uppsala Studies in MedicinePediatrics No. 32

440 $a Uppsala studies in medicine. $p Pediatrics ; $v no. 32

SAR 130: $a Uppsala studies in medicine. $p Pediatrics

SAR 642: $a no. 14 $5 DLC


121

Unnumbered main series

AAC study Etude CAAHistory no. 11 Histoire no 11

SAR 130: $a AAC study. $p HistorySAR 642: $a no. 4 $5 DLC

490 1 $a AAC study. History ; $v no. 11 = Etude CAA. Histoire ; $v no 11

830 0 $a AAC study. $p History ; $v no. 11.


122

Numbered main series

Monographs in Psychology No. 32Rehabilitation Psychology Vol. 6

SAR 130: $a Monographs in psychologySAR 642: $a no. 1 $5 DLC

SAR 130: $a Monographs in psychology. $p Rehabilitation psychology

SAR 642: $a v. 2 $5 DPCC $5 DLC


123


4XX is always 490 with two 8XX fields[remember: no subfields $n and

$p in 490]

490 1 $a Monographs in psychology ; $v no. 32. $a Rehabilitation psychology ; $v v. 6

830 0 $a Monographs in psychology ; $v no. 32.830 0 $a Monographs in psychology. $p

Rehabilitation psychology ; $v v. 6.


124


Augustana College

PublicationVolume 67Series VI, Library Monograph no. 18

SAR 130: $a Publication (Augustana College) SAR 642: $a v. 2 $5 DLC

SAR 130: $a Publication (Augustana College). $n Series VI, $p Library monograph

SAR 642: $a no. 1 $5 DLC


125


4XX is always 490 with two 8XX fields[remember: no subfields $n and

$p in 490]

490 1 $a Publication ; $v v. 67. $a Series VI, Library monograph ; $v no. 18

830 0 $a Publication (Augustana College) ; $v v. 67.

830 0 $a Publication (Augustana College). $n Series VI, $p Library monograph ; $v no.

18.


126

Main series and subseries: MARC 21 coding and ISBD punctuation

Which subfield codes ???

What ISBD punctuation ???

Consult Handout #3 at end of manual !!


127

Exercise #4: Main series/subseries

Look at three surrogates

Decide which “formula” applies to each and then fill out separate answer sheet or use next slides: Give series statement for each surrogate Give appropriate number of series added entries

[assume that headings don’t have qualifiers] Give correct MARC 21 coding


128

Exercise #4: Answer

For: Tom Stoppard

4__

8__

8__


129

Exercise #4: Answer

For: Electrostatic hazards …

4__

8__

8__


130

Exercise #4: Answer

For: Using computers …

4__

8__

8__


131

Other subseries situations

Main series and subseries not on the same source

Main series not present

“New series” or “second series” without numbering


132

Main series and subseries not on the same source

If main series and subseries are not on the same source, handle as two separate series

bibl. series statements (4XX) = 2

bibl. series added entries (8XX) = 2 unless one or both

4XX = 440

SAR = 2


133

Not on same source: example

Series t.p.: Monographs in Psychology No. 44

Cover: Rehabilitation Psychology Vol. 13

SAR 130: $a Monographs in psychologySAR 642: $a no. 1 $5 DLC

SAR 130: $a Rehabilitation psychologySAR 642: $a v. 9 $5 DPCC $5 DLC

440 0 $a Monographs in psychology ; $v no. 44440 0 $a Rehabilitation psychology ; $v v. 13


134

Main series not present with subseries designation and title (LCRI 1.6B2)

If subseries designation and subseries title are present but main series title isn’t present: Don’t use subfields $n and $p: use only $a Don’t use ISBD punctuation: use hyphen-hyphen

Cover: Series VI, Library Monograph No. 21

440 0 $a Series VI--Library monograph ; $v no. 21


135

“New series” or “second series” with numbering

When such a phrase is present, numbering usually also appears somewhere on the resource: Give as numbering in subfield $v

“Second Series” and “Volume 4” on the resource:

4XX $a ... $v 2nd ser., v. 4


136

“New series” or “second series” without numbering

If such a phrase appears and there is no numbering anywhere on the resource: Give as subseries designation ($n) and don’t

abbreviate any of the words or give substitutes for numerals

On resource: only “Second Series”

4XX $a ... $n Second series


137

“Special numbers”and supplements

Special numbers: never as series

Supplements: Decision depends upon presence of numbering Unnumbered – do not handle as series Numbered – handle as series


138

Unnumbered supplements

Do not handle unnumbered supplements as series Give supplement information in a quoted note Give 730 field for the parent resource (AACR2 form)

Verso of t.p.: Supplement to the Journal of financial planning

500 $a “Supplement to the Journal of financial planning”—T.p. verso.

730 $a Journal of financial planning (Denver, Colo.)


139

Numbered supplements

Handle numbered supplements as series

Determine if supplement title is grammatically connected to title of parent resource

Check SAR for treatment


140

Numbered supplements: grammatically connected?

Yes:

4th Supplement to Journal of Iowa history

No:Supplement No. 8Journal of Crosscountry Skiing


141

Numbered supplement grammatically connected

Record title through any grammatical connection and give all in subfield $a of 4XX

SAR 130 $a Supplement to Journal of Iowa historySAR 642 $a 1st $5 DLC

Bibl. record:

440 0 $a Supplement to Journal of Iowa history ; $v 4th


142

Numbered supplement not grammatically connected

Give title of parent resource first; then give title of supplement preceded by period-space and subfield $p

SAR 130 $a Journal of crosscountry skiing. $p SupplementSAR 642 $a no. 3 $5 DLC

Bibl. record:440 0 $a Journal of crosscountry skiing.

$p Supplement ; $v no. 3


143

Series authority records (SARs)

Three functions:

#1: Identification – national information

#2: Authoritativeness – national information

#3: Treatment – local information


144

SARs: Identification function

So many publications with the same title

Must be using the SAR that matches what is being cataloged because treatment decisions are not always the same

Most important information for this function: 1XX/4XX: form(s) of title in heading and in references 643: place and publisher 670: time period of publication from imprint date in $a 642: numbering usually is of the issue/part given in first 670


145

Confirming the identification

Bibl. record: 260 $a Boston : $b ASK Pub., $c 2002. 440 0 $a Classic photography ; $v no. 3

SAR from “Retrieve authorities” (or F10) in Voyager:

130 $a Classic photography642 $a no. 6 $5 DLC643 $a Denver : $b Colorado College670 $a ... 1992 ...

Does SAR match? No ! Give to descriptive cataloger


146

SARs: Authoritativeness function

To promote consistency in any database: retrieve all analytics in a predictable display order

Two fields are authoritative:1XX: form of heading given in subfields $a, $n, $p in field 440 or 8XX

642: style of numbering given in subfield $v of field 440 or 8XX


147

SARs: Treatment function

“Treatment” = local decisions for analysis, classification, and tracing

Fields*:644 = analysis decision

645 = tracing decision

646 = classification decision

050 = call number if decision is to class as collection* More information in the “shelflisting of analytics” class


148

Local treatment decisions

Subfield $5 identifies whose local decision is recorded in fields 644-646

If LC’s treatment (a “DLC” code in $5) is not in SAR, refer to descriptive cataloger

Local decision can change Fields are repeatable to give earlier and current decisions Subfield $d will have cut-off information to indicate which

decision applies to which issues/parts of the monographic series or of the multipart item


149

SAR 644 = Analysis decision

Three possible decisions: Code “f” = analyzed in full $a f $5

DLC Code “p” = analyzed in part $a p $5 DLC Code “n” = not analyzed $a n $5 DLC

LC’s usual decision for monographic series: analyzed in full ($a = f) Impact: separate bibliographic records for all

issues/parts of monographic series/multipart item


150

“Analyzed in part” at LC ($a = p)

Two categories: Some older U.S. federal and state documents Older monographic series identified as “technical

reports”

Impact of this decision: Selection officers make one-by-one decisions for

the U.S. documents Most issues of a technical report don’t have

bibliographic records


151

“Not analyzed” at LC ($a = n)

Two categories: Some monographic series & multipart items identified by

catalogers or selection officers as not needing to be analyzed Current monographic series identified as technical reports

Impact of this decision: Only collected set bibliographic records (series title in 245 field)

for monographic series (serial) and multipart items (monograph) with general call number and general subject headings

Only “local serial records” for the technical reports series


152

Identifying “technical report” SAR

SAR will have: “644 $a n” or “644 $a p” and 667 note about Asian Division or ST&B:

Send issues to division named in 667 field


153

SAR 645 = Tracing decision

Two possible decisions: Code “t” = traced $a t $5 DLC Code “n” = not traced $a n $5 DLC

LC’s usual decision for all new resources: traced Impact: 4XX must be either 490 1 (with 8XX) or 440


154

Tracing reminder

Remember to fix incorrect series added entries in bibliographic records

Especially records from other libraries being used as copy

Especially LC’s ibc records Check other records, too


155

Non-LC tracing decisions, too

National tracing decision “$5 DPCC” and decision of other PCC library may also be in 645: look for LC’s decision

645 $a t $5 DPCC $5 DLC $5 DGPO

645 $a t $5 DPCC645 $a n $5 DLC

645 $a t $5 NNC645 $a n $5 DLC


156

SAR 646 = Classification decision

Three possible decisions: Code “s” = classed separately $a s $5 DLC Code “c” = classed as a collection $a c $5 DLC Code “m” = classed with main series $a m $5 DLC

LC’s usual decision for monographic series: classified separately Impact:

Class number in each bibliographic record is a specific number matching the subject of what is being cataloged

Cutter number is based on main entry in that record


157

Classing as a collection

All issues/parts have same class/cutter number Add numbering from 4XX $v to cutter number to

create unique call number for each single-part analytic

SAR: 050 0 $a Z5063.A2 $b G7646 $a c $5 DLC-S

Bibl. record for a monograph:050 00 $a Z5063.A2 $b G7 no. 124XX $a ... ; $v no. 12


158

Classing as a collection: serial

Numbering in series usually is different for each issue of the serial analytic Series numbering not given in 4XX $v “subser.” in 050: series numbering from issue is

given in Item record “Enum” to create unique call number label for each issue

Bibl. record for a serial:050 00 $a Z5063.A2 $b G7 subser.4XX $a ...


159

Classing with main series

If main series SAR has code “c” in 646, the subseries SAR 646 code is “m” Add number from $v for main series to cutter number

SAR for subseries: 050 0 $a QC100 $b .U57 subser.646 $a m $5 DLC

Bibl. record for a monograph in a subseries:

050 00 $a QC100 $b .U57 no. 35490 1 $a ... ; $v no. 35. $a ... ; $v v. 3


160

050 in SARs: for LC 050 = Library of Congress Call Number

If assigned by LC: 2nd indicator of “0” (no 2nd indicator if pre-1999 SAR not yet

updated)

050 0 $a HN932 $b .A48

$d if call number doesn’t apply to all issues/parts050 0 $a K23 $b .W37 $d Nr. 1-52

May have call numbers that aren’t from LCC schedule050 0 $a LAW050 0 $a WMLC L 82/1234


161

050 in SARs: other library

050 = Library of Congress Call Number

If assigned by another library: 2nd indicator of 4 $5 with that library’s code

050 4 $a QH198.H3 $b C66 $5 DI


162

Change of decision: subfield $d

LC may change treatment decisions: follow appropriate decision given in subfield $d

If $d cut-off is a cataloging/processing date, follow the most current decision

If $d cut-off is span of series numbering, follow the decision applying to number of series on issue/part


163

Actions based on $d information

644 $a n $d items processed after May 28, 2003 $5 DLC644 $a f $d items processed before May 29, 2003 $5 DLC

Action: analyze or not analyze v. 14? Don’t analyze !

645 $a t $d items cataloged after Dec. 31, 1980 $5 DLC645 $a n $d items cataloged before Jan. 1, 1981 $5 DLC

Action: trace or not trace no. 45? Trace !


164

Actions based on $d information

050 0 $a K23 $b .W37 $d Nr. 1-52646 $a s $d Nr. 53- $5 DLC646 $a c $d Nr. 1-52 $5 DLC

Action for Nr. 49: classify separately or collected? Classify collected !

Action for Nr. 56: classify separately or collected?Classify separately !


165

Republications: 8XX but no 4XX

Original series statement in 500 field; added entry in 8XX field even though there is no 4XX for that series

260 $a Arlington, VA : Robin Pub. Co., 2002.500 $a Originally published: Seattle : LM

Press, 1969. (Dissertations in sociology ;

v. 2)830 0 $a Dissertations in sociology ; $v v. 2.


166

Republications: SAR information

One SAR for original and any republications Treatment information in $5 for the type of

republication

130 0 $a Dissertations in sociology

644 $a f $5 DLC $5 DLC photo-offset reprint

645 $a t $5 DLC $5 DLC photo-offset reprint

646 $a c $5 DLC

646 $a s $5 DLC photo-offset reprint


167

Series-like phrase

“A character string (words, letters, combination of letters and numerals) not considered to be a series Not recorded in 4XX/8XX fields Some categories represented by an SAR If LC changed decision from series-to-phrase or

phrase-to-series, cut-off date information in SAR 667 field:

667 $a Considered a series in LC

previous to Mar. 10, 2003


168

Common phrase situation #1

Unnumbered restatement of issuing body’s name often with indefinite article

260 $a Stanton, Iowa : $b Rydquist Research Foundation, $c 2000.

On cover: A Rydquist Research Foundation Report

4XX field? No !


169


Generic term and either name of publisher or name of publishing subsidiary

260 $a San Diego : $b Rosa Press, $c c2001.

On t.p.: A Williamson publication (a division of Rosa Press)

260 $a Milwaukee : $b Badger Pub. Co., $c 1999.On cover: A Badger Book

4XX for either? No !


170


Combination of letters and numbers used as inventory or order number: Letters can’t be identified as initialism of corporate

body or as abbreviation of a title Numbers usually more than two digits

HXS 2587-A

177-JJ

T 22/1134XX for any? No !


171

What to do with phrase?

Not all words rejected as series title are represented by SARs (some require SARs but others don’t)

When SAR exists: 008/12 = “Type of series” code “c” No 644-646 fields Decision on how to handle phrase is given in 667

field


172


173


174

More examples of “treatment” for phrases

667 $a Give as a quoted note.

667 $a Give as common title in $a of the title and statement of responsibility area

667 $a Give as other title information in the 245 field.

667 $a Ignore these words.


175

Exercise #5: Treatment

Indicate on answer sheet what you would do for each situation


176

Exercise #5: Answers

1.

2.

3.


177

Exercise #5: More answers

4.

5.

6.


178

Stop working –refer to descriptive cataloger

If the series in the 440 or 8XX field: Doesn’t have a listing in the “headings list” window

in Voyager Isn’t a “see reference” in the authority validation

window when the bibliographic record is saved


179


If the SAR with heading matching the 440 or 8XX field doesn’t seem to be the correct SAR: 643 information in SAR doesn’t match the 260

information in the bibliographic record Numbering in 642 and publication date in 670 aren’t

“in synch” with numbering/date on resource


180


If you had to change the title in the 4XX field because a form not from the priority order source had been given there and there isn’t an SAR with that form as the heading

Series t.p. Great Scientists Today

Cover: Today’s Great ScientistsBibl. 4XX before: $a Today’s great scientists

Bibl. 4XX after: $a Great scientists today

No SAR for Great scientists today!


181


If the SAR lacks LC treatment decisions for any of the 642, 644-646 fields (some of those fields may be missing, too)

If the series is given only in the CIP data in published book and the SAR was made for the issue/part in hand


182


If the SAR needs to be updated because “something” about the series has changed, e.g.: Publisher has changed Variant form of series title from other than the priority

order source not in a 4XX see reference 410 name/title reference is missing Numbering has “new series” or “second series” and

there isn’t a 642 field for that style of numbering


183

Series: may the way be clear … and the future bright!

Series

Documents

SERIES TRAINING FOR LC TECHNICIANS Series Statements and Authority Records Judy Kuhagen Cataloging Policy & Support Office 2004