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Series Procedures

Cataloging the Item

Checking the Printouts

Handling Analyzed Serials and Analyzed Sets

Appendix I: Guidelines for Establishing Series

Appendix II: Making Notes and Added Entries for Serials

Appendix III: Series Authority Input Data Sheets

Appendix IV: Series Input Forms

Appendix V: LC Rule Interpretation 21.30G

I. Cataloging the Item

If a series statement is present on the item and/or the record, the following procedures will apply:

If a series statement appears on or in the book, a corresponding 440 or 490 should appear on the printout; underline the 440 or 490 in pencil, along with any 8xx present. If not, add the series statement and underline it in pencil, but do not number it 440 or 490 yet.

If a series statement appears on the printout, but is nowhere to be found on or in the item, delete the 440 or 490 as well as any corresponding 8xx present.

If a series statement appears only on the dust jacket, refer the item and all paperwork to a supervisor, or see Appendix I for advanced procedures.

Note the following unusual charactistics that may occur with series statements:

Series statements may appear anywhere on the inside or outside front or back covers, preliminary pages through the preface or introduction, or at the very end of the volume.

Any 440 or 490 should match the book exactly in wording (though generally with subtitles omitted). Voluming should use the abbreviation found on/in the item, if any, or use standard AACR2 abbreviations if designations (such as "volume," "part," etc.) appear in full. If no designation appears, the 440 or 490 should reflect this. Punctuation will of course differ from the item as standard ISBD punctuation is used (see the "MARC tag/field 'cheat sheet'" for more information). If necessary, alter any 440 or 490 to match the item.

More than one series statement may apply to the item, and therefore there may be more than one 4xx and/or 8xx.

II. Checking the Printouts

Check the underlined series in the appropriate series files as follows:

A. Online Series Authority Records

• Log into the INNOPAC database update module.
• Check any series fields (4xx and 8xx) in the PAC by doing a title search and looking for any matching authority records.
• If an authority record is found, check the last 688 field for catalogers initials and a date (indicating the record has been "validated").
• If an authority record is found but is not validated, refer the matter to the Serials Cataloger or the Classified Series Specialist assigned to the retro authority project.
• If you have reason to believe that the item is part of a set or serial, analyzed or not, see "Handling analyzed serials and analyzed sets" before proceeding. Clues to watch for include:
• A volume or part designator in the call number
• An INNOPAC record with a "Library Has" 949 but does not include separate item records for each piece listed
• An INNOPAC serial record
• If a validated authority record is found:
• If a call number (050) is present in the authority record, proceed according to the instructions in the series authority record.
• Check the 645 field in the authority record for traced/not traced information:
• A "t" indicates the series is traced. If a 4xx on the printout matches the authority record's 1xx exactly and the form of numbering matches the record's 645, the 4xx should be a 440 and any corresponding 8xx should be deleted if present. If either the 1xx or the 645 does not match the printout, the 4xx should be a 490 with first indicator of "1", and an 8xx present to correspond exactly to the wording or numbering in the authority record. Do not change the 4xx, as this should always match the item.
• An "n" indicates the series is not traced.
• If no 645 is present, a 667 note should be present in the authority record indicating the series is to be given as a quoted note. If the 645 contains "n" the 4xx should be a 490 with a first indicator of "0", and no corresponding 8xx should be present; if the record indicates "give as a quoted note" the 490 should be changed to a 500 and quotation marks and a period added (and any corresponding 8xx deleted if present). Note that a 490 or quoted note does not have to match the authority record's 1xx exactly (such as in form of numbering), since the series is not traced.
• You may also find a 667 note instead of a 645 note if the heading is given as an added entry. Such a note may read "Do not treat as series; give as 730 added entry." In such a case change the 4xx to a 730 with indicators "01"; do not use initial articles. See Appendix II, Making notes and added entries for serials for more information. You may on occasion find other instructions in a 667; consult a supervisor for assistance.
• Write a "3" (traced) or "4" (not traced) next to the line number of the field in question in pencil so that it is clear to you and anyone else that the series has been checked and what treatment it requires (for a quoted note use a checkmark).
• Continue with the next printout.

Note that the indicators and subfield codes are different between 440, 490 and the various 8xx fields. Carefully consult the appropriate bibliographic standards when changing or adding a field to avoid entering illegal subfields. In particular, note that the second indicator of a 440 is a filing indicator ("The"=4, "An"=3, etc.), which is important for proper filing in the PAC (the first indicator is blank).

Remember:

• 490 must match the item exactly.
• 8xx must match the series authority record exactly.
• 440 must match both the item and the series authority record exactly.

If no authority record is found, proceed to Part B, OCLC Series Authority File.

B. OCLC Series Authority File

• Log onto OCLC. Be sure the export printer is on.
• Check any underlined series fields (4xx and 8xx) in OCLC by doing a title search (or author search if necessary) and looking for any matching authority records.
• If a call number (050) is present in the OCLC authority record, see "Handling analyzed serials and analyzed sets".
• If an authority record is found, check the 645 field in the authority record for traced/not traced information.
• A "t" indicates the series is traced (equivalent to a "3").
• If a 4xx on the printout matches the authority record's 1xx exactly and the form of numbering matches the record's 645, the 4xx should be a 440 and any corresponding 8xx should be deleted if present.
• If either the 1xx or the 645 does not match the printout, the 4xx should be a 490 with first indicator of "1", and an 8xx present to correspond exactly to the wording or numbering in the record. Do not change the 4xx, as this should always match the item.

Exceptions

There are two special cases in which we do not accept LC's choice of series entry. These are:

• If the heading is in a foreign language and includes a subfield l English we use the English language form of the heading as the 1xx and make the heading with the subfield l English a cross reference (4xx).
• If an authority record is:
• based on a CIP cataloging record;
• the CIP record is for the item in hand; and
• the form of entry or numbering on the item in hand does not match that of the record,
we would use the form on the book if it follows AACR2 standards. If in doubt, consult a supervisor.

In either of the above cases, export the record as described below, but first make a printout. When validating the record after exporting, make the above changes in our copy of the authority record as described in Part E, Editing authority records.

• An "n" indicates the series is not traced (equivalent to a "4").
• If no 645 is present a 667 note should be present in the record indicating the series is to be given as a quoted note.
• If the 645 equals "n" the 4xx should be a 490 with a first indicator of "0", and no corresponding 8xx should be present.
• If the record indicates "give as a quoted note" the 490 should be changed to a 500 and quotation marks and a period added (and any corresponding 8xx deleted if present).
• Note that a 490 or quoted note does not have to match the record's 1xx exactly (such as in form of numbering), since the series is not traced.
• Write a "3" (traced) or "4" (not traced) next to the line number of the field in question in pencil so that it is clear to you and anyone else that the series has been checked and what treatment it requires (for a quoted note you can use a "4" or a checkmark).
• Export the record into the INNOPAC database by typing xpo (function key F11).
• If no authority record was found, proceed to Part D, Preparing series input forms.
• Continue with the next printout.
• Record the number of authority records exported on your statistics sheet under the heading, "Authority Records/Added to Database."
• Do not discard the export printer report. When all records have been exported, proceed to Part C, Validating authority records.
• If a non-validated authority record is found, refer it as mentioned above.
• If no authority record is found, proceed to Part D, Preparing series input forms.

C. Validating Authority Records

When all authority exporting is completed, the exported records must be immediately validated as follows:

• Log onto an INNOPAC terminal in database update mode.
• Using the export printer report, call up each authority record newly exported, and add a separate 952 (NOTE) field with your initials and the date.
• This should be the last field in the authority record. Your initials should be in capital letters; please be consistent about whether you use 2 or 3 letters.
• The date should be in the format month dash day dash year.
Example:
952    LD 12-8-93


• If a printout was made of an authority record requiring changes, make the changes at this point. See Part E, Editing authority records.

Validation must be performed immediatley after exporting.

It is very important that validation be done as quickly as possible in case other catalogers encounter items with the same series statement.

D. Preparing Series Input Forms

If a series statement on a printout has no corresponding PAC authority record or OCLC authority record, check for other items in the PAC with that heading.

• If items are found with the heading in question, check the Series Authority Card file for a series authority card.
• If a series authority card is found, follow the tracing decision, etc. on the card. Give the card to the Classified Series Specialist for input of a new authority record into the PAC.
• If no series authority card is found, fill out a Series Input Form as described below.
• If no items are found with the heading in question, fill out a Series Input Form (see Appendix IV for a sample form) and place in the "Series Authority Input Box".
• See Appendix I: Guidelines for establishing series, for more information on form of series, when to trace, etc.
• Give the completed form to the Classified Series Specialist for input of the new authority record into the PAC.

E. Editing Authority Records

If it is necessary to modify an authority record, follow these guidelines:

• If you modify a 642 (form of numbering) or 645 (tracing decision), also change the subfield 5 from DLC to NvLN.
• If you change the main series entry (for example, what was a 430 becomes a 130), add "NvLN-M" at the end of the note 952 (the one with your initials and the date). Also add a 670 note indicating which field LC used as the main entry.
Examples:
670     ***UNLV*** 400 is legitimate LC entry.
670     ***UNLV*** 3rd 430 is legitimate LC entry


• The easiest way to change a 1xx to a 4xx and vice versa is to go into full-screen editing mode (by pressing "f") and overtype the new tag over the old. The INNOPAC tag will be automatically changed when you exit full screen mode (by pressing "Control e").
  
  (WARNING: This will only work if you are in full-screen edit mode!)
  
  Use full-screen editing only for this purpose in authority records; use the normal editing screen to modify and add new fields.
  The INNOPAC tags are inconsistent between edited and exported authority records, and you may inadvertantly change a NOTE field to a MARC field, etc., if you use full-screen editing.

Practice for adding "UNLV" 670 notes:

We add "UNLV" notes to indicate a local practice that differs from LC's practice in a major way, such as:

• Cataloging separately an item that LC treats as a collection or a serial
• Selecting a different form of series entry than LC
• Numbering variations such as "Some unnumbered"

We do not add a "UNLV" note if

• We add local see or see also references
• We simply choose not to trace and LC does, or vice versa
• We add an additional publisher

"UNLV" notes should be added as 670 fields, with "UNLV" surrounded by three asterisks on each side and followed by a space, then the note.

Example:
670     ***UNLV*** LC uses several numbering systems for this series; we number as above

After entering a "UNLV" note, reposition it with the "Z" command so it is the first 670 in the record.

III. Handling Analyzed Serials and Analyzed Sets

Series authority records will not be created for unanalyzed serials or unanalyzed sets.

If the authority record includes an 050 field, a decision must be made whether the series will be cataloged collectively or separately.

• Search the Series Authority Card File for a continuation, series or serials card.
• If the data on the card is consistent with the data in the authority record found, catalog the item in accordance with the decisions on the card and give the card to the Classified Series Specialist for input.
• If the data on the card conflicts with the data in the authority record found, refer the item to a supervisor.
• If no series authority card was found, proceed as below.
• If the call number does not contain a date, most likely the item is an analyzed serial which should be referred to the Serials Cataloger.
• If the decision is made to catalog the item collectively, i.e., as an analyzed monographic set,
• Add a second indicator of "0" to the 050 if the LC call as found in the authority record is used.
• Correct the format of the call number if necessary.
• If you are creating an original series authority record and/or having to establish the call number, or if we are using a different call number than that provided by Library of Congress, place our call number in the 050, and add a second indicator of "4" to the 050.
• In all cases, add a |5NvLN to the end of the 050.
• Add a 670 note: ***UNLV*** ANALYZED SET
• Reposition the "UNLV" note with the "Z" command so it becomes the 1st 670 in the record.
• Validate the record as usual.

If the authority record includes an 050 field and the decision is made to catalog the item separately,

• Change the "c" in the 646 to "s".
• Create a 670 note detailing the decision made.
Some possible notes include:
670     ***UNLV*** Local decision to catalog separately; LC catalogs as an analyzed set, held together at: SF761 .N513 1973
670     ***UNLV*** Local decision to catalog separately; LC treats as an unanalyzed serial at: KF85 .S745

• Once the call number is included in the 670 delete the 050.
• After entering the "UNLV" note, reposition it with the "Z" command so it is the first 670 in the record.
• Validate the record as usual.

General Information:

If an item is being treated as an analyzed monographic set, create a cover record for the set. The cover record must include a holdings statement subfield g and should include in a subfield w information such as labeling, analytic and updating instructions.

For example, a subfield w might read: v. on label; ANALS; update contents note.

When adding volumes to a record already covered by a series authority record with an 050, always remember to update the cover record.

The series entry must match the main entry of the set.

For example, if the series entry is: 100 10 James, William,|d1842-1910.|tWorks.|f1975

then the set record should be:

100   1 James, William,|d1842-1910.
240 10 Works.|f1975

If a series is entered under personal author, then all records with that series should have that author as the main entry.

Notes for Analyzed Serials:

A 670 UNLV note will be added to all analyzed serials to emphasize that the item is cataloged as an analyzed serial.

Titles that were previously cataloged as analyzed serials and are now cataloged separately will detail this information in a 670 as well as through the 646 field.

Titles that are currently cataloged as analyzed serials but were previously cataloged separately will also have detailed information in a 670 as well as in the 646.

050   0 GN851|b.A84|5NvLN
646      c|5DLC
670      ***UNLV*** ANALYZED SERIAL

050   0 QE1|b.C15|dv. 29-124|5NvLN
646      s|dv. 125-|5NvLN
646      c|dv. 29-124|5NvLN
670      ***UNLV*** Beginning with v. 125 cataloged separately; prior to v. 125 treated as an ANALYZED SERIAL at QE1 .C15

050   0 LB2328|b.N473|dno. 46-|5NvLN
646      c|dno. 46-|5NvLN
646      s|dno. 1-45|5NvLN
670      ***UNLV*** Beginning with no. 46 treated as an ANALYZED SERIAL at: LB2328 .N473; prior to no. 46 cataloged separately

Forward to Appendix I-II