Series authorities and series tracing

Summary: Obsolete practices regarding series authorities and series tracing. This page combines content from several old pages of documentation. For current series authority and tracing practices, visit this page.

Policies

New series authority records (SARS) will be created or existing series authority records revised, according to PCC (Program for Cooperative Cataloging) and CONSER (Cooperative Online Serials Program) guidelines, and contributed to the national series authority database, as necessary.  In particular, we will create SARS for numbered series and series for which cross references are needed. 

Per Team Mangers minutes of July 9, 2008, we will follow the PCC Guidelines for Field 440 (implemented Oct. 24, 2008). See http://www.loc.gov/catdir/pcc/Field440.pdf   This policy states:

PCC Guidelines for Field 440
Field 440 has been made obsolete, but it may still exist in bibliographic records.

Practice for existing records: PCC members are not required to change 440 to 490 1, but may do so if they wish.

Coding for 490 first indicator definitions:
The definition of "0" will not change. The following new definition for "1" is now valid:
1st indicator--Series tracing policy - The series has no corresponding added entry (not traced) or has a corresponding 800-830 series added entry field (traced differently).
0 - Series not traced
No series added entry is desired for the series.
1 - Series traced in 8XX field

New Definition:
When value "1" is used, the appropriate field 800-830 is included in the bibliographic record to provide the series added entry

In general, this policy means while we may continue to accept the 440 field in our local catalog, any records contributed to SkyRiver should not contain a 440 field.

Specifically:

Copy catalogers may continue to accept copy containing a field 440. The MARC format permits the presence of obsolete fields in records, and our local catalog will continue to index this field as a series added entry.

Copy catalogers creating new records derived from copy should change any 440 field to a 490_1 / 830_0 combination before adding the new record to SkyRiver.

Original catalogers creating new records may decide whether or not a series title needs to be traced. If a series is not traced, the series title should be transcribed in a 490_0 field. If the series is traced, the series title should be transcribed in a 490_1 field and the series added entry should be given in the 830_0 field. It is good practice to create a Series Authority Record for numbered series and series titles that need cross-references. However, cataloger’s judgment applies in all cases.

Original serials catalogers creating CONSER records will follow the CONSER Standard Record Guidelines. For CONSER records, the 490 field may be omitted if an 830 field is present, provided there is a Series Authority Record for the title found in that 830 field. When no series added entry is being made (no 830 field), transcribe the series statement using the 490_0 field.

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Series and Series Authorities (General Information)

There are a number of different ways that the individual monographs that comprise the series can be handled:

• treatment of individual volumes (analysis practice)
• pulling all volumes together by series title (tracing practice)
• pulling all volumes together by call number (classification practice)

Series authority records (SAR's) record the local decisions that have been made by an institution ("the Library") regarding these three sets of practices for any specific series.

Coded in the fixed fields at the top of each series authority record is information relating to whether the series is numbered or unnumbered, whether or not the "series" is truly a series or not, etc. Some of the fixed fields determine how the series authority record will index, i.e., in a series title only search that some systems have programmed.

The 130 field (usually) gives the proper form of the series to be used in bibliographic records. It records the authoritative form of the series title.

The 4XX fields give different, alternative forms of the series that might be found in other sources or in less-authoritative sources on any particular volume in the series. Some series will have short forms, or abbreviated forms that they will use in different places (the spine, etc.), and these will be recorded in 430 fields. Cross-references for any personal authors or corporate bodies will be recorded as 400 or 410 fields, respectively. The 4XX fields generate "see" references in the catalog, referring catalog users from the form of the series they've chosen to search to the "correct" form of the series (i.e., the series as it has been established) so that they can then search the established form of the series and retrieve ALL of the monographic volumes in the series that are held by the Library.

The 5XX fields give earlier or later series titles that are related to the series given in the 130. Series will sometimes change their titles over time, like any serial, and this information is recorded in the 5XX field/s. The |w subfield tells you whether the series in the 5XX is an earlier or a later title. If the |w is coded "a", then the series was an earlier title; if "b", then a later title. The 5XX fields generate "see also" references in the catalog, referring catalog users from the series they've chosen to earlier or later series that are also held by the Library.

The 641-643 fields provide information concerning numbering and publisher information about the series.

• 641 field: If some items in a numbered series are unnumbered, there should be a 641 field in the local series authority record with the note "Some items unnumbered".
• 642 field: Records the series numbering used on the pieces. If the volumes of the series are numbered and the series is traced, there should be a 642 field, giving an example of the volume numbering to be used in the series tracing locally. (If the series is unnumbered, there should not be a 642 field in the SAR.)
• 643 field: Records the place of publication (in the |a), the publisher (in the |b), and sometimes the dates to which the particular place and publisher apply (in the |d)

The 644-646 fields give information concerning the local processing decisions made by the Library about the series.

• 644 field: records our local analysis practice (i.e., whether or not, or to what extent, the Library provides access to individual monographs in the series)
  • "f (fully analyzed)":
    Each volume in the series gets "analyzed", i.e., has its own bibliographic description/catalog record made, gets its own subject headings based on the content of the book, and may or may not have a specific classification number assigned based on the subject analysis
  • "p (partially analyzed)":
    Not all volumes that are analyzable are actually analyzed; this decision can be made for a variety of local reasons, but requires that a selector examine each volume and make an analysis decision independent of the decisions for other volumes in the series. We avoid this treatment practice these days, if at all possible.
  • "n (not analyzed)":
    The volumes in the series are not analyzed
• 645 field: records our local series tracing practice (i.e., whether or not the library provides access to each monograph in the series by means of the series statement {series as "title"})
  • "t (traced)":
    Volumes can be retrieved by searching the series title
  • "n (not traced)":
    Volumes cannot (generally) be retrieved by searching the series title. Locally, however, volumes in series that are not traced CAN be retrieved by means of a KEYWORD search in the catalog public mode.
• 646 field: records our local classification treatment practice (i.e., whether or not all of the volumes in the series will be found together on the shelves under one call number)
  • "c (classed set)":
    Volumes will be found together as a set under one call number
  • "s (classed sep)":
    Volumes will not be found together, generally, but are assigned whatever classification number reflects best the subject of the particular volume. This tends to disperse the volumes throughout the collection (depending upon the broadness (or narrowness) of the scope of the series)
  • "m (open entry analytic)":
    Some volumes in the series are also issues of a larger serial, and will be found dispersed throughout that larger serial in accord with the volume of the serial in which they were issued
• 667 field: Records additional information about the series that does not fit into any of the specific fixed or variable fields mentioned so far. Examples of this additional information might be:
  • additional local processing information
  • the fact that the series should not be treated as a series, but as "quoted note" information
  • series subtitle and/or series editor information
  • the fact that the series is a document series and how to handle document numbers found on the piece
  • any other vagaries of the series that exist
• 670 field: Records the specific monograph or serial item(s) used to justify and generate the series authority record, and the specific sources in the publication where the information was found, the form of that information, etc.

The combination of the following decisions:

• 644 n (not analyzed)
• 645 n (not traced)
• 646 c (classed set)

results in the series being treated as a SERIAL. A serial, therefore, is similar to a very circumscribed series. If volumes in a series do not have unique authors/titles but designations, then they are basically serials.

Unusual 1XX Situations:

Sometimes when searching series and retrieiving what appears to be an appropriate SAR, you'll note that the 1XX is NOT a 130. There are a number of instances when the 1XX will be something other than a 130:

1. 100:
   • The series is a PERSONAL AUTHOR SERIES. All of the volumes in the series are authored by the same person, or are composed of works authored by the same person, so the series is established under personal author main entry.
2. 110:
   • The series is established under CORPORATE BODY main entry. This will usually occur only with catalogs from art galleries, or sale/auction catalogs, for instance. If the series is numbered, however, it will be processed by Serials Cataloging, like any other numbered series.
     Refer to AACR2r 21.1B2 for the appropriate situations to establish a heading by corporate body main entry.

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Updating Series Authority Records Exported from the National Authority File (NAF) into Sierra

There are 5 steps to updating classed sep series in Sierra for previously established series authority records:

Retrieve the authority record.

• Choose the Title index. Type the series title as printed on the volume or as established on the printout of the series authority record.
• Compare the fields in the authority record with the corresponding information on the source. Compare what appears in the 130 and 643 fields of the SAR with the series title and place and publisher of the series as it appears on the piece. Check that the "Num Sers" fixed field entry reflects the numbering type on the piece. Change if necessary.

Check the form of corporate body names or geographic qualifiers in Millennium's authority file.

• If there is a corporate body name or corporate body name qualifier for a uniform title in the 130 field, or if there is a 410 field, check the form of that corporate body name in the corresponding name authority record (NAR) on Millennium. The form of the corporate body name in the SAR 130 for a uniform title qualifier or the 410 should be identical to that in the NAR 110 field.
• If there is no NAR on Millennium, check for the NAR on OCLC (or the OCLC printout). If the OCLC NAR has 410 or 510 fields or other useful notes, export the OCLC NAR into Millennium.
• If the 130 uniform title has a geographic qualifier, check the NAR in Millennium for the correct form of that qualifier. If there is no NAR on Millennium, unless the geographic name is frequently used in Millennium or is a political jurisdiction, the subject authority record does not need to be exported unless bibliographic records have used it.

Update the fixed fields.

• The following are valid values for coding the the fixed fields in the SAR. Some fields should already contain downloaded valid values. Those values that may need to be changed are underlined.

Update the variable fields.

• If the "Num Sers fixed field is "c", add a 641 field with a note "Some items unnumbered"
• Fill out the series treatment fields:
  • 644 Series analysis practice:
    • 644:: f |5 MiEM644:: p |5 MiEM
    • 644:: n |5 MiEM (Only use if LoM or MSU-CoL has indicated they will analyze and we do not)
  • 645 Series tracing practice:
    • 645:: t |5 MiEM
    • 645:: n |5 MiEM (Only use if LoM or MSU-CoL has indicated they will analyze and we do not)
  • 646 Series classification practice:
    • 646:: s |5 MiEM646:: c |5 MiEM
    • 646:: m|5 MiEM (for series within analyzed series)
  • Add a 690 field with your initials

Add tracings.

• Examine the piece for variations in the series title, subtitle, acronyms, or any other access points and add additional access points not on the piece if you believe they may aid retrieval. Input each in a new 430 field. Remember to change the fixed field "Ref Eval" or "Ref Status" value from "n" to "a" if you add any 4XX or 5XX fields and there previously had not been any.
• If there is a 530 field in the SAR, check the SAR on Millennium for this earlier or later title and make a "see also" reference from that SAR to the present series title.

• If the 530 value in the present record is "| w a |", locate the SAR for the earlier title, and if a 530 linking the earlier title to the later title is not present on that record, add a 530 field to that record with "| w b |" and the present title.

• If the 530 value in the present record is "| w b |", find the SAR for the later title, and if a 530 linking the later titles to the earlier title is not present on that record, add a 530 field to that record with "| w a |" and the present title.
• If there is a 510 field in the NAR for a corporate body used in the SAR, check Millennium for this earlier or later form of the corporate body name and make a "see also" reference from that NAR to the present NAR.
• If the 510 value in the present record is "| w a |", find the NAR for this earlier form of the name, and if not already on that record, add a 510 field with "| w b |" and the present form of the name.
• If the 510 value in the present record is "| w b |", locate the NAR for this later form of the name, and if not already on that record, add a 510 field with "| w a |" and the present form of the name.

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Sierra/SkyRiver Series Authority Fixed Field Comparison Chart

* LC does not use; refer to NACO training materials provided by LC for clarification of which fixed-field elements LC uses and which elements NACO participants may use, etc.

See also: Library of Congress Format for Authority Data

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