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.

This procedure is archived and no longer reviewed or updated. The information below is retained for historic value.

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)

Series are a special type of serial publication: Each volume in a series has its own unique monograph title in addition to the series title, and often, each volume will also have a different author(s) or editor(s). Series can be considered to be collections of monographs. Each volume in a series has its own unique author/title information, as well as having one or more series titles that are common to all of the volumes in that particular series.

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:

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.
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

MAGIC	Mnemonic LC-MARC Position	Codes	Name	Comments
001	ARN		Authority Record Number	System-supplied
003	N/A		Control Number Identifier	The MARC code for the organization whose control number is contained in field 001 (Control Number). See Organization Code Sources for a listing of sources used in MARC 21 records
005	N/A		Date and Time of Latest Transaction (NR)	Sixteen characters that indicate the date and time of the latest record transaction and serve as a version identifier for the record. The data and time are recorded according to Representation of Dates and Times (ISO 8601) in the pattern yyyymmdd.
MARC leader: REC STAT	Rec stat: Leader/05	a*	Record status	Indicates relationship of record to a file for file maintenance purposes
		c	Corrected or revised
		n	New
MARC leader: REC TYPE	Type: Leader/06		Type of record	Indicates the characteristics of and defines the components of the record.
		z	Authority data
MARC leader: ENC LEVL	Enc lvl: Leader/17		Encoding level	Indicates whether the authority record is complete
		n	Complete authority record
		o	Incomplete authority record
Date Ent	Entered: 008/00-05		Date entered on file	Date record was created
		yyyymmdd	Year, month, day
Geo Subd	Geo subd: 008/06		Direct/indirect geographic subdivision code	Indicates whether the 1xx heading can be subdivided geographically
		#	Not subdivided geographically
		d*	Subdivided geographically—direct
		i	Subdivided geographically—indirect
		n	Not applicable
		\|	No attempt to code
Romanizn	Roman: 008/07		Romanization scheme	Indicates the Romanization scheme used in formulating the heading in the 1xx field. LC uses only the fill character to code this position.
		a	International standard
		b	National standard
		c	National library association standard
		d	National library or bibliographic agency standard
		e	Local standard
		f	Standard of unknown origin
		g	Conventional romanization or conventional form of name in language of cataloging agency
		n	not applicable--the 1XX heading is not romanized
		\|	No attempt to code
Lang Cat	N/A 008/08		Language of catalog	Indicates whether the heading in the 1XX field and its associated reference structure are valid according to the rules used in establishing headings for English-language catalogs, French-language catalogs, or both.
		#	No information provided
		b	English and French
		e	English
		f	French
		\|	No attempt to code
Kind Rec	Auth/Ref: 008/09		Kind of record code	Indicates whether the record is an authority record (1xx is an established heading) or a reference record (1xx is not an established heading)
		a	Established heading--The 100-15X field contains an established name, name/title, uniform title, topical term, or one of these used in an extended subject heading
		b	Untraced reference--The 100-15X field contains an unestablished heading that is not traced as a 4XX field in any established heading record. The reference record contains a 260 or 666 field.
		c	Traced reference--The 100-15X field contains an unestablished heading that is traced as a 4XX field in the record for each established heading referred to in fields 260 or 664.
		d	Subdivision--The 18X field contains an unestablished heading that may be used as a subject subdivision with an established heading
		e*	Node label--The 15X field contains an unestablished term that may be used in the systematic section of a thesaurus to indicate the logical basis on which a category is divided.
		f*	Established heading and subdivision--The 15X field contains an established heading that may be used as a main term and as a subject subdivision.
		g*	Reference and subdivision--The 15X field contains an unestablished heading that may be used as a reference term and as a subject subdivision.
Desc Cat	Rules: 008/10		Descriptive cataloging rules code	Represents the cataloging rules used for establishing the name, name/title, or uniform title heading in the 1xx field. LC does not currently use a, b, or z. Records on file witha or b are changed to c or d when modified for any other reason
		a	Earlier rules--The 1XX heading conforms to descriptive cataloging conventions used prior to the 1967 publication of Anglo-American Cataloging Rules (AACR 1)
		b	AACR 1--The 1XX heading conforms to the 1967 Anglo-American Cataloging Rules
		c	AACR 2--The 1XX heading conforms to the second edition of Anglo-American Cataloguing Rules
		d	AACR 2 compatible heading--The 1XX heading does not follow but is considered compatible with AACR 2.
		n	Not applicable--The 1XX heading is not a name, name/title, or uniform title formulated according to descriptive cataloging conventions and is not appropriate for use as a main or added entry in bibliographic records.
		z	Other--The 1XX heading conforms to a set of descriptive cataloging conventions other than those specified by the other defined codes.
		\|	No attempt to code
Sub Head	Subj: 008/11		Subject heading system/thesaurus code	Identifies the subject heading system/thesaurus building conventions used to formulate the 1XX heading in established heading, reference, subdivision, or node label records. Code a routinely appears not only for special subject headings but also for names and uniform title headings valid for use in subject work as LC-established forms
		a	Library of Congress Subject Headings--The 1XX heading conforms to Library of Congress Subject Headings (LCSH).
		b	LC subject headings for children's literature--The 1XX heading conforms to the "AC Subject Headings" section of LCSH.
		c	Medical Subject Headings--The 1XX heading conforms to Medical Subject Headings (MeSH).
		d	National Agricultural Library subject authority file--The 1XX heading conforms to the NAL subject authority file.
		k	Canadian Subject Headings--The 1XX heading conforms to Canadian Subject Headings.
		r	Art and Architecture Thesaurus--The 1XX heading conforms to Art and Architecture Thesaurus.
		s	Sears List of Subject Headings--The 1XX heading conforms to Sears List of Subject Headings.
		v	Répertoire de vedettes-matière--The 1XX heading conforms to Répertoire de vedettes-matière.
		z	Other--The 1XX heading conforms to a set of subject heading system/thesaurus conventions other than those specified by the other defined codes. A MARC code for the conventions used may be contained in field 040$f.
		n	Not applicable
		\|	No attempt to code
Type Ser	Series: 008/12		Type of series code	Indicates which type of series the heading in the 1xx field represents, if any
		a	Monographic series--The 1XX field contains a collective series heading that applies to a group of separate publications and/or subseries
		b	Multipart item--The 1XX field contains a collective heading that applies to a multipart monographic publication
		c	Series-like phrase--The 1XX field contains a phrase that is not being used as a series in a bibliographic record
		n	Not applicable--Indicates that the 1XX field does not represent a series or a series-like phrase and is not appropriate for use as a series added entry in bibliographic records
		z	Other--The 1XX field contains a heading for a publication that does not fit any of the other defined codes but for which series-type treatment is required.
		\|	No attempt to code
Num Sers	Ser num:008/13		Numbered/unnumbered series code	Indicates whether a series is numbered, unnumbered, or varies between the two. The code used reflects the series as a whole; if numbering varies, variations are explained in field 640 and/or 641
		a	Numbered
		b	Unnumbered
		c	Numbering varies
		n	Not applicable
		\|	No attempt to code
Main	Name use: 008/14		Heading use code—main or added entry	Represents the author aspect of the heading
		a	Heading appropriate for main or added entry
		b	Heading not appropriate for main or added entry
		c	Heading used as main or added entry (OCLC defined)
		\|	No attempt to code
Hdg-Subj	Subj use: 008/15		Heading use code—subject added entry	Indicates whether the 1XX heading is appropriate for use as a subject added entry in bibliographic records.
		a	Appropriate--The 1XX heading in an established heading record conforms to subject heading system/thesaurus conventions.
		b	Not appropriate--The 1XX heading in an established heading record does not conform to subject heading system/thesaurus conventions or the 1XX field contains an unestablished heading in a reference, subdivision, or node label record.
		c	Heading used as subject added entry (OCLC defined)
		\|	No attempt to code
Hdg-Sers	Ser use: 008/16		Heading use code—series added entry	Represents the series aspect of the heading
		a	Appropriate--The 1XX heading in an established heading record represents one of the types of series coded in 008/12 (code a, b, c, or z).
		b	Not appropriate--The 1XX heading in an established heading record does not represent one of the types of series coded in 008/12 (code n) or the 1XX field contains an unestablished heading in a reference, subdivision, or node label record.
		c	Heading is used as a series added entry (OCLC defined)
		\|	No attempt to code
Type Sub	Subd type: 008/17		Type of subject subdivision	Indicates the type of subject subdivision heading contained in the 1XX field of a subdivision record, an established heading and subdivision record, or a reference and subdivision record; LC uses only n to code this position
		a	Topical
		b	Form
		c	Chronological
		d	Geographic
		e	Language
		n	Not applicable
		\|	No attempt to code
Undefine	n/a 008/18-27		Undefined character positions	Each contains a blank (#) or a fill character (\|)
Type Gov	Govt agn: 008/28		Type of government agency code	If the heading is the name of a body created or controlled by a government, a one-character code denotes the jurisdictional level of the body. LC does not use this character position. LC always uses a fill character
		#	Not a government agency
		a	Autonomous or semi-autonomous component
		c	Multilocal
		f	Federal/national
		i	International intergovernmental
		l	Local
		m	Multistate
		o	Government agency--type undetermined
		s	State, provincial, territorial, dependent, etc.
		u	Unknown if heading is government agency
		z	Other
		\|	No attempt to code
Ref Eval	Ref status: 008/29		Reference evaluation code	Indicates whether references have been evaluated and whether those references are consistent with the heading. Code b is used when the AACR2 form appears as the established heading (1xx) but the references may not have been re-evaluated in their relationships to the new heading
		a	Tracings are consistent with heading
		b	Tracings are not necessarily consistent with heading
		n	Not applicable
Undefine	N/A 008/30		Undefined character position	Contains a blank (#) or a fill character (\|)
Rec Updt	Updstatus: 008/31		Record update in process code	Indicates whether a change in any field of the record is underway
		a	Record can be used
		b	Record is being updated--Alerts users to a potential change in a record and that it may not be advisable to use the 1XX heading in a bibliographic record.
		\|	No attempt to code
Und PNam	Name: 008/32		Undifferentiated personal name code	Indicates whether, because neither date nor distinguishing terms are available, the same heading is used for more than one person
		a	Differentiated personal name
		b	Undifferentiated personal name
		n	Not applicable
Level Est	Auth status: 008/33		Level of establishment code	Indicates the status of a heading in an authority record
		a	Fully established heading
		b	Memorandum (established but not yet used)
		c	Provisional
		d	Preliminary
		n	Not applicable (not an established heading)
Undefine	N/A 008/34-37		Undefined character position	Contains a blank (#) or a fill character (\|)
Mod Recd	Mod rec: 008/38		Modified record code	Shows whether the machine-readable authority record differs from the manual authority record
		#	Record not modified
		x*	Record is missing characters
		s*	Record is shortened
Cat Srce	Source: 008/39		Cataloging source code	Indicates the creator of an authority record. If the cataloging source is known, it is identified in subfield $a of field 040 (Cataloging Source). The parties responsible for the MARC authority records are determined by the code in 008/39 and the MARC code(s) or names(s) in field 040. Codec is used in records contributed through NACO to LC.
		#	National bibliographic agency
		c	Cooperative cataloging program--The creator of the authority data is a participant (other than a national bibliographic agency) in a cooperative cataloging program, i.e. PCC
		d*	Other--An organization that is other than a national bibliographic agency or a participant in a cooperative cataloging program.
		u*	Unknown--The creator of the authority data is unknown. This code is used when an organization transcribes manual authority data from an unknown source
		\|*	No attempt to code

* 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.

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Contact	Autumn Faulkner
Team	CMS
Updated	June 2018
Created	June 2018

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