University of Arkansas Libraries, Fayetteville Series Authority Procedures for Copy Cataloging I. Introduction Anglo-American Cataloging Rules (Second Edition), or AACR2, defines series as: 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. There are two important series authority work concepts: series statement and series tracing. The series statement is an exact transcription of the series title and numbering as they appear on the book in hand. Series tracing refers to the form of series heading and numbering used to provide a title added entry in InfoLinks. Because the form of title or numbering can vary from book to book, one form is established for use, and this form, along with other information about the series, is documented in a series authority record. Most series are established directly under title in field 130. For example: 130 0 Palgrave literary dictionaries When two or more series have the same title, a qualifier (usually publisher or place of publication) is added to distinguish between the headings. For example: 130 0 Computer science series (Artech House, Inc.) A few series are set up under personal author (100 t), corporate author (110 t), or conference name (111 t). This occurs only when a single author or body is the main entry (1xx field in the bib record) for all books in the series. For example: 100 1 Shakespeare, William, d 1564-1616. t Works. f 1982 In such instances, the series title on the book is often very different from the established heading. The publisher s title for the above series is Oxford Shakespeare. For examples of series authority records, see Appendix B. II. Series Fields in InfoLinks Records Series titles should be found two places in an InfoLinks bib record 490 fields and 8xx fields. A. 490 fields. The 490 field is always used for recording the series title and numbering as it appears on the book (i.e., the series statement). 1. 490 with 1st indicator 0. This field contains a series title that was not intended to be traced. However, we decided to index this field in InfoLinks, so in effect these series are traced. When found, 490 0 fields should be converted to 490 1/8xx combinations according to the instructions below.
2. 490 with 1st indicator 1. This field is used for all traced series, which means there is a corresponding title added entry for the series in an 8xx field. In cases where the form of title and numbering on the piece exactly match the series authority record, the two fields will be identical. The 440 field is obsolete now, so if you should come across one in an existing InfoLinks or OCLC record, convert it to a 490 1/8xx combination according to the instructions below. You may also encounter obsolete 400, 410, or 411 fields; if you do, just circle the series statement and pass the book on to your supervisor. B. 8xx fields. These are used to provide a title added entry for the established heading in the series authority record (i.e., the series tracing). The 8xx fields containing series-related information are: 1. 800, used for series entered under a personal name (e.g., Shakespeare, William, d1564-1616. t Works) 2. 810, for series entered under a corporate name (e.g., United States. b Dept. of the Army. t Field manual) 3. 811, for series entered under a conference or meeting name (e.g., Conference of Latin Americanist Geographers. t Publication series) 4. 830, for series entered under uniform title. Most series fall into this category. III. Series Analysis and Classification Analyzed in its broad sense means that all books in a series are cataloged individually one bib record for each book. Conversely, not analyzed means that the books in a series are cataloged as a set with one record describing all volumes. Analysis practice is recorded in the 644 field of a series authority record, with code f standing for fully analyzed and code n for not analyzed. A series may be classed together, which means that all the books have the same call number, or a series may be classed separately. Classification practice is recorded in the 646 field of an authority record, with code c meaning classed together, and code s meaning separately classed. However, we use the term analyzed in a very specific way at the University of Arkansas Libraries. Foremost, it means that the series is classed together. Furthermore, each book in the series is cataloged individually, but there is also a record to describe the entire set (often a serial record), with volumes checked in as they are received. In a further twist, some older series are analyzed in part (644 field coded p ), which means that only some books receive separate bib records. However, no currently-received series should be analyzed in part. Not analyzed, as used here, means primarily that the books in the series are classed separately. However, this does not necessarily mean that the books are cataloged as a set. In fact, most series not analyzed are cataloged individually. 2
The easiest way to tell if a series is analyzed (as we mean it here) is to look at the series authority record. Analyzed series will have an 050 field with the call number, and the 646 field will be coded c for classed together. If the series is not analyzed, it will lack an 050 field, and the 646 field will be coded s. However, if the series has not yet been cleaned up in InfoLinks, the information in the authority may be incorrect. It is always best to examine InfoLinks bib records for other volumes in the series to check analysis and classification practice. Occasionally, when analysis or classification practice has differed over time, a series authority record will contain multiple 644 or 646 fields. For example, we might stop analyzing a series after a certain date or volume received. These sorts of decisions, along with exceptions to the regular rule, are documented in d of 644 or 646 fields and in 667 notes. IV. Series Authority Procedures A. First, check to see if a 440 or 490 (with or without 8xx) is present in the bib record, and correct as needed. 1. No 440 or 490/8xx. Was the book ordered on a multi-volume set record? These can be identified by the presence of v. in the 300 field and a full or partial contents note in a 505 field. They may also bear such titles as Collected works, Selected works, or Writings in English or another language. The following are some equivalents for commonly-encountered languages. Language German French Italian Spanish Terms for Works Sämtliche Werke, Gesammelte Werke, Ausgewählte Werke, Schriften Oeuvres complètes, Oeuvres choisies, Ecrits Opere complete, Opere scelte, Scritti Obras completas, Obras escogidas, Obra selecta, Escritos There will usually be volume information on the piece as well, and enumeration terms in various languages can be found in Appendix C. 3
If a multi-volume set record is involved, give to the Database Maintenance unit head for resolution. If not, you are finished with series authority work for that book. 2. 440 or 490/8xx present. Check and correct the 4xx field, which must be set to 490 with a first indicator of 1. Then compare the text of the 490 against the book itself, and make changes as needed. The series title should reflect exactly what is on the book, including initial articles as found. If there is numbering associated with the series, the number itself should be recorded exactly as it appears. But for the designation (words such as volume or number or abbreviations for these words that appear in conjunction with the number), cataloging practice is to substitute a standard abbreviation. The standard abbreviation for volume is v. and the abbreviation for number is no. For a list of other abbreviations, see Appendix C. However, the following may not be substituted: a. an abbreviation for one word with the abbreviation for another (e.g., the book has designation "no.," but the 642 pattern in the series authority record says to use "v.") b. the abbreviation of one word for the word's symbol (e.g., the book has "#" and the 642 pattern is no., because "#" is a symbol, not a word or abbreviation) c. the abbreviation for a word in one language with the abbreviation for a word in another language (e.g., the book has "Nr.", the abbreviation for Nummer, and the 642 pattern is "no.") The 490 field might also include the following elements:! a statement of responsibility, which follows the title in a and is preceded by a /. For example: 490 1 American statesmen / edited by J.T. Morse, Jr. ; v v.9! an ISSN in x, which should follow a and be preceded by a comma. For example: 490 1 Mémoire du BRGM, x 0071-8246 ; v no 123! a designation of the volumes or dates to which the series statement applies when not all are part of the series. For example: 490 1 3 1985- a S. prt B. Search the InfoLinks authority file. Search the 490 heading (or 8xx if present) in the InfoLinks title index. The verify headings function will not work for series, as you will not be able to see analyzing, tracing, or numbering decisions. Depending on the results of your search, follow either step C or D below. 4
C. No series authority in InfoLinks. Search the series in the OCLC authority file. If you find one or more authority records for the title, compare the publisher field in 260 b of the bib record with 643 b of the authority record(s) to determine the correct match. Publishers sometimes issue different series with similar titles, so you might need to search variant titles found on the cover, title page, or series title page of the book to locate the correct series authority record. An existing 8xx field might actually represent the wrong series. 1. No matching OCLC authority record. If you cannot find an authority, or you are not certain it s a match, finish cataloging and green flag for the Database Maintenance unit head. 2. Matching OCLC authority found. If you find a match: a. Export the authority to InfoLinks. b. Check to see if there is a c in the 646 field. Also check whether there are existing InfoLinks records that do not conform to the analysis or classification decisions in the 644 and 646 fields of the newly exported authority. (That is, perform a series title search to determine whether one or multiple records are used, and how the volumes are classed.) If InfoLinks analysis or classification practices differ, give to the Database Maintenance unit head for a decision. Otherwise, continue with Step D 4 below. D. Series authority found in InfoLinks. If you find one or more series authority records matching the title: 1. Compare the publisher in 260 b of the bib record with 643 b in the authority record(s) to make certain that you have a match. Publishers sometimes issue different series with similar titles, so you might need to search variant titles found on the cover, title page, or series title page of the book to locate the correct series authority record. An existing 8xx field might actually represent the wrong series. If you cannot find an authority, back up to step C. If you have a match, continue below. 2. Look at the authority record to see if there is an 050 field present, or if the 644-646 fields read as follows: 644 f or p 645 t 646 c If so, this is an analyzed series. Give to Rose Cody in Database Maintenance. 3. Do the 644-646 fields read as follows? 644 n 645 n 646 c 5
If so, the series is cataloged as a set on one bib record, and there should be no separate records for the individual titles. If there are (look for separate entries on the title browse screen), ask your supervisor. Otherwise, simply add the volume and title information for the book in hand to the contents note of the set record. 4. If the series is not analyzed or cataloged as a set, next check to see if the authority record represents a series-like phrase, and not a true series. Such titles are not recorded as series statements or traced, but rather are given as notes in the bibliographic record. The authority record for a series-like phrase generally lacks 644-646 fields, and 008 field byte 14 ( Type Ser ) will be coded c. Often there will be a 667 note instructing to give as a quoted note. If this applies, change the tag of the 490 field to 500, and if a corresponding 8xx field is present, delete it. Enter the title information, in quotation marks, exactly as it appears on the item. Add the source to the note if the information is taken from any source other than the title page. For example, a title located on the dust jacket that is to be given as a quoted note might look like this: 500 A golden book Dust jacket. 5. If the title is a true series, check the 645 field a in the authority record to see if it is coded n for series not traced. If so, make a printout, write a t, and give authority printout to Database Maintenance. If the authority record contains two 645 fields, one with a t and one with an n, make a printout, cross out the 645 with n, and give to Database Maintenance. E. Insert or edit an 8xx field to match the series authority record. (The InfoLinks tag for a series is s. ) 1. Series title a. The tag in the bib record must correspond with the series authority record, as must all subfields for author, title, etc. found in the 1xx field. Authority Record Bibliographic Record 100 a t (etc.) 800 a t (etc.) 110 a t (etc.) 810 a t (etc.) 111 a t (etc.) 811 a t (etc.) 130 830 6
b. Filing indicator and initial article in 830 fields. Initial articles are not used in 830 fields (although they may be present in 490s). Set the second filing indicator to zero. For example: 490 1 The Random House library of knowledge 830 0 Random House library of knowledge The following are commonly encountered foreign-language articles: Language German French Italian Spanish Initial Articles die, das, der, ein, eine le, la, les, un, une, l' lo, l', il, la, gli, le, gl', i el, la, lo, los, las Note that initial articles are not treated as such when they are an integral part of a name (e.g., Los Angeles). You do not need to check or edit indicators for the 800, 810, or 811 fields. c. Qualifier in 830 fields. Sometimes the series authority record will contain a qualifier (e.g., (New York, N.Y.) or (Series) ) in the 130 field. This qualifier must be present in the 830 field, although it will not be present in the 490. d. Do not include the following elements in the 8xx field, even though they might be present in the 490: i. subfield x with ISSN. ii. iii. iv. quotation marks around one or more words (unless also found in the series authority) brackets enclosing all or part of the series statement a slash (/) followed by statement of responsibility v. subfield 3 with designation of the volumes or dates to which the series statement applies (used when not all are part of the series). For example: 490 1 American statesmen / edited by J.T. Morse, Jr. ; v v.9 830 0 American statesmen ; v v.9 490 1 Mémoire du BRGM, x 0071-8246 ; v no 123 830 0 Mémoire du BRGM ; v no 123 7
490 1 3 1985- a S. prt 830 0 S. prt 2. Series numbering Determine whether or not the series is numbered. Specifically, is v present in the 490/8xx fields of the bib record, or does the authority record have 641-642 fields? If not, then you are finished with series authority work for this book. If the series is numbered, follow the appropriate step below. a. Bib record has v, but there is no 642 in the authority. Finish cataloging and green flag for the Database Maintenance unit head. b. Authority record has 642, but there is no v in the bib record. Check to see if there is a 641 field with note NUMBERED/UNNUMBERED. If so, you are finished with authority work for the book. If not, finish cataloging and green flag for the Database Maintenance unit head. c. Bib record has v and authority record has 642. Remember that previously (Step IV A 2), you verified and corrected the form of numbering in the 490 field so that it matched the book. However, in this step you need to verify whether the form of numbering in v of the 8xx field matches the form of numbering in the authority record. If they match, you are finished with series authority work for this book. If not, correct v, and then you are finished. If you are uncertain, finish cataloging and green flag for the Database Maintenance unit head. msk/jrk/dek 961220/rev. 040513/rev. 070315/rev. 090501/rev. 091214 8
Appendix A Common Fields in a Series Authority Record For complete information, see the OCLC Authorities User Guide. InfoLinks Fixed Field ACODE1 Not used at this time. ACODE2 Not used unless the series is a locally-created one, usually for electronic resources. In this case, the field will be coded s. ASUPPRESS Only used when the authority record is to be suppressed (code n ) InfoLinks 008/OCLC Fixed Field Type Ser/Series a Monographic series b Multipart item c Series-like phrase Num Sers/Ser Num a Numbered b Unnumbered c Numbered/Unnumbered Hdg-Sers/Ser Use a Appropriate added entry b Not appropriate added entry n Not applicable Variable Fields Innovative tag follows MARC tag (e.g., 100 (a)) 001 (y) OCLC authority record number (ARN); searchable in OCLC 010 (y) Library of Congress Control Number (LCCN); searchable in OCLC 040 (y) Cataloging source; will contain AFU if established or edited locally 050 (y) Call number; used only for series classed together 1xx Established form of the series heading. Possible tags are: 100 (a) t Series entered under personal name 110 (a) t Series entered under corporate name 111 (a) t Series entered under conference name 130 (t) Series uniform title 9
Variable Fields, continued 4xx See references (invalid headings) from variant forms of the title. Possible tags are: 400 (b) t Reference from personal name/variant title 410 (b) t Reference from corporate name/variant title 411 (b) t Reference from conference name/variant title 430 (u) Reference from variant title 5xx See also references (valid headings) from related titles. Possible tags are: 500 (c) t Reference from personal name/related title 510 (c) t Reference from corporate name/related title 511 (c) t Reference from conference name/related title 530 (v) Reference from related title 641 (y) NUMBERED/UNNUMBERED or other numbering note 642 (y) Series numbering example; specifies the form to be used in series tracings 643 (y) Place of publication and publisher; may contain more than one a and b, or there may be multiple 643 fields 644 (y) Series analysis practice f p n analyzed in full (each book gets a separate bib record) analyzed in part (only some books get separate bib records) not analyzed (cataloged as a set or serial) 645 (y) t traced n not traced (only valid if cataloged as a set or serial) 646 (y) c classed together (all books have the same call number) s classed separately (each book has a different call number) 667 (n) Notes about the history and usage of the series heading 670 (n) Source(s) of series heading 945 (y) Initials of person who established or edited the authority record 990 (y) Local field added whenever the series is established or edited locally; contains the single letter l 10
Appendix B Sample Series Authority Records Example 1 Analyzed, Classed Separately (Entry under Title) Example 2 Analyzed, Classed Separately (Entry under Personal Name) 11
Example 3 Analyzed, Classed Together Example 4 Not Analyzed, Classed Together (Cataloged as a Set) 12
Appendix C Standard Abbreviations for Series Enumeration TERM ABBREVIATION Abteilung, Abtheilung Band band Bändchen Bände book bulletin neue Folge new series number, numbers numéro (French) Abt. Bd. bd. Bdchn. Bde. bk. bull. n.f. new ser. no. no numero (Italian) n. número (Spanish) Nummer nummer no. Nr. nr. page, pages p. part, parts parte partie, parties report second série series supplement pt., pts. pt. ptie, pties rept. sec. sér. ser. suppl. Teil, Theil T. tome t. tomo t. volume, volumes v. 13