Pre-Cataloging Searching (by Cataloging Assistants)
I. Overviews
Serials basics (written primarily for verifiers but useful for cataloging assistants)
II. Procedures
Searching & Overlaying Guidelines
SERIALS BASICS
CONTENTS:
- OVERVIEW
- SEARCH TIPS
- SERIAL RECORD CHEATSHEET: READING THE FIELDS
- TITLE CHANGES
- MULTIPLE VERSIONS
- SUPPLEMENTS
OVERVIEW
Definition:
A publication issued in successive parts bearing numerical or chronological (date) designations and intended to be continued indefinitely.
Types:
newspapers, magazines, yearbooks, annual reports, some conference proceedings, some directories in regularly revised editions. A series is a special type of serial in which each volume has, in addition to its own title, a title that is common to all of the volumes in the series.
Why use serial record:
Economy & efficiency
How to recognize serials:
Title word stating frequency or implying ongoing status :
Annual report, Yearbook of..., Monthly bulletin, Bimonthly journal, Advances in..., Trends in..., etc.
Number or date in the title
The publisher states intention to publish future vols . : "In the next edition..."
The subject matter is ongoing : statistics, reports of activities of organizations, etc.
Title is stable over several issues.
Monographs may be recataloged as serials, or
serials may revert to monographic treatment if title is unstable. (cat sep)
Exceptions to serials treatment:
Conference proceedings, each of which has a different "thematic" title
Conference proceedings published as parts of numbered series, unless already cataloged as a serial by us or LC/CONSER
Publications revised infrequently (less often than 5 years) or irregularly
Orders for single thematic issues of periodicals or serials that have distinctive titles (most often for Special Collections)
Characteristics of serial record:
Cataloger starts by describing a single issue, then notes changes on the record.
Record covers entire run of publication over time and may reflect many changes. Changes to subtitle, publisher, and place do not justify a new record.
Record leaves out issue specific information, such as a date in the title; the focus is on common elements. (Implication -- search for title without dates or numbers)
SERIALS CHANGE!!!
title
publisher and place
frequency
numbering scheme
merge/split/cease/reborn/
supplements & special issues
change format: print to microform, print to electronic, etc.
Role of CONSER (Cooperative Online Serials Program) : maintain high quality serials database. Catalogers need to be alerted to make changes to serial records to keep them up to date and useful
Formulate your search without dates or numbers, which vary from issue to issue. For example search the title, Annual directory 1999, as just Annual directory.
In SmartPort, if you know in advance that the title is a serial, fill in the title field and use ser in the Format field to cut down on the number of hits. If you are not sure whether the title is a serial or a monograph, search without the format qualifier. Since SmartPort sorts records in chronological order, serial records will be found at the end of the hit list, since they have the earliest dates or incomplete dates.
Prefer serial over monographic copy if found. If multiple serial records found, prefer copy with authentication codes in the 042 field. In case of doubt, ask a serials cataloger for assistance.
SERIAL RECORD CHEATSHEET: READING THE FIELDS
FIXED FIELDS:
Rec_Typ:a Bib_Lvl:s Enc_Lvl: Desc: TypeCtrl:
Entrd:751101 Dat_Tp:c Date1:1923 Date2:9999 Ctry:nyu
Lang:eng Mod_Rec: Source: Frequn:w Regulr:r
ISDS:1 Ser_Type:p Phys_Me: Repr: Pub_Type:
Cont: GovtPub: ConfPub:0 Alphabt:a S/L_Ent:0
Rec_Typ:
a=language material, i.e. serial is textual and meant to be read
problem of materials with multiple characteristics: map serials cataloged as maps, video serials as videos, with "seriality" in 006 field
computer file serials: formerly "m", now "a" with computer file characteristics in 006/007 fields
Bib_Lvl: s
Ser_Type:
n = newspaper
p = periodical
blank = serial (issued annually or less frequently)
m = monographic series
Desc:
a = current rules
blank = older rules
Older records abbreviated information to fit on cards:
Annual report of Vanderbilt University = Report.
Some dates represented by 2 digits instead of all 4: 1930-32
Main entry was usually corporate body.
Now we describe fully what is on the piece; main entry usually title. What you see is what you get.
S/L_Ent: Successive/Latest Entry
Rules for cataloging serials have changed over time.
0=successive entry (new record made for each title changes)
1=latest entry (all titles changes on one record, with latest in 245 field;
earlier titles appear in 247 fields) DO NOT USE THESE RECORDS.
Ctry: Place of Publication
based on most recent place of publication if there has been a change
Dat_Tp: Publication status
c=current
u=unknown
d=dead
Date1: Beginning Date
If chronology present (Vol. 1 (1998), etc.) , based on chronology rather than publication date (annuals, directories, periodicals, conferences)
If combined date, i.e, 1990/1991, based on later date
If unknown: 19uu, 198u, 1uuu, etc.
Date2: Ending DateIf serial is current, 9999
If pub. status is unknown, uuuu
If ceased, as many digits as known, i.e. 1993, 199u, etc.
Frequn: / Regulr: Frequency/Regularity
Matches most recent frequency statement in variable fields
a=annual
m=monthly, etc.
r=regular
x=irregular, etc.
n=normalized irregular (i.e., monthly except for summer months)
Repr:
a=microfilm
b=microfiche
r=regular print reproduction
blank = print
VARIABLE FIELDS:
022: ISSN (International Standard Serial Number)
|a = valid ISSN (title change requires new one)
|y = incorrect ISSN (publisher misprint or carry-over from previous title)
|z = cancelled ISSN
042: Authentication code
lc nsdp, etc.
xlc -- LC NOT treating as a serial ; DO NOT USE THESE RECORDS
050/090: Call No.
Usually shorter and more general than monographic call nos.
Call no. usually carries over to new record when title changes unless subject matter changes drastically
110, 111: Corporate/Conference author:
Main entry used for annual reports, conferences. Most other serials entered under title.
130: Uniform Title:
Used to distinguish publications with same title, like Bulletin. Place of publication or publisher usually added as identifier in parentheses after the title
240: Uniform Title:
Used to distinguish publications with same author/title combination (seen most often on annual reports)
245: Title
use filing indicators
|a Issue specific information on piece in hand omitted:
1996 Directory of bed and breakfasts becomes:
Directory of bed and breakfasts
Proceedings of the 1996 Conference on Plasma Physics becomes:
Proceedings of the ... Conference on Plasma Physics
|b subtitle : may or not be used on the record ; can change
|c statement of responsibility
246: Variant titles
from different places on same issue, such as cover, spine, t.p. verso, etc. from different issues
variants to aid retrieval, such as spelling out numbers, using "and" in place of "&"
260: Imprint
|a Place
|b Publisher
|c Date
310: Current Frequency
matches code in fixed field -- Alert cataloger to changes!
321: Former Frequency
362:0b : Beginning (or ending) issue; cataloger has piece in hand
Vol. 1, no. 1 (Jan. 1997)-v. 2, no. 3 (Mar. 1998).
362:1b : Beginning (or ending) issue ; cataloger does not have piece in hand
Began with v. 1, no. 1 (Jan. 1997); ceased with v. 2, no. 3 in 1998.
5XX: Notes
Lots to explain changes
Numbering or publication peculiarities -- some no. combined; change of numbering scheme; issued out of sequence, etc.
Description based on: {issue that cataloger was working from}
Source of the title if not from title page.
Supplements (some get their own record)
Changes to place and publisher (most recent place used in fixed field Ctry code -- Alert cataloger to changes!)
Notes describing relationships to other serials: Continues/Continued by, etc.
7XX: Linking Fields
Show relationships; can function as notes with first indicator set to 0
770: Has supplement
772: Supplement to
780 Earlier title
785 Later title
856: Electronic Access
web address for electronic serials
936: Note for other catalogers (on OCLC only)
1999 LIC : indication of what piece was in hand when the record was last updated
For further information about fields , refer to OCLC's Bibliographic Formats and Standards
The future ????
Entire definition of serials being re-examined with introduction of electronic resources
Any time the title of an issue that you are searching/receiving does not match exactly the Acorn record, there is a possibility that you have a title change.
MINOR TITLE CHANGES
Some changes are considered relatively insignificant and don't count as title changes--but the serials catalogers still want to know about them to modify the records. (Note however that changes to the subtitle do not count) Send examples like this to your cataloging liaison:
1. A word is added after the first five words that doesn't really change the meaning of the serial.
2. An article, preposition, or conjunction (small words such as of, on, and in) is added, deleted, or changed somewhere in the title.
3. A singular word changes to a plural word or vice versa
( Report becomes Reports )
4. The only change is in the representation of a word or words.
( Report and papers vs. Report & papers ; Year book vs. Yearbook )
5. The name of an issuing body is added or deleted from the end of the title. ( Proceedings vs. Proceedings of the Academy)
MAJOR TITLE CHANGES
Other changes are considered important enough to be require a new record . (The catalogers don't expect you to decide whether or not a title has changed--but just to be on the lookout for such situations and ask). It's also not necessary to find a record for the new title on OCLC; if there isn't one, we'll create one. Some examples are:
1. A word (other than a small word such as an article, preposition, or conjunction) is added, changed or dropped within the first five words of the title.
Mining review, becomes:
Mining and industry review
2. The order of the first 5 words changes.
Mining and industry review , becomes:
Industry and mining review
3. A word is changed, added, or deleted in a section title (#n or #p).
IEE proceedings. #n A, #p Physical science, becomes:
IEE proceedings. #n A, #p Science, measurement and instrumentation
4. The name of an issuing body included in a title changes.
Reports of the Institute of Mechanics, becomes:
Reports of the Institute of Applied Mechanics
5. The name of a corporate body is added or dropped from the very beginning of the title.
Vanderbilt Register, becomes:
Register
6. The name of a issuing body or conference in a 110 or 111 field changes. (Notice that the actual title doesn't change at all!)
110 Garth Brooks Fan Club.
245 Annual report
becomes:
110 Garth Brooks Adoration Society.
245 Annual report
111 Symposium on Serials Receiving.
245 Proceedings
becomes:
111 Conference on Serials Receiving.
245 Proceedings
7. The name of a corporate body used as a qualifier (the part in parenthesis) in a 130 field changes.
130 Bulletin (Resources Services. Acquisitions Dept.)
245 Bulletin
becomes:
130 Bulletin (Resource Services. Order ServicesTeam)
245 Bulletin
8. The format of a serial changes:
Datamation (print version) now available online only
MULTIPLE VERSIONS/FORMATSLocal policy: Use print record for microforms or reprints ordered to fill in gaps in print holdings or as archival copy.
Electronic journals are ordered on separate records. Those that are included in the SFX Knowledgebase have the order transferred to the MARCIt record once a separate record is delivered. Many serials that are not in the SFX KnowledgeBase have electronic access added to the print record.
-
Otherwise use record for specific version. For Internet only e-serials, all processing units share the same record. See the LMC approved guidelines .
SUPPLEMENTS3 kinds of supplements/ways to handle:
1). Miscellaneous
a. Not very substantive in content.
b. Usually numbered in relation to a particular number of the serial (e.g., v. 33, suppl. 1); does not have independent numbering scheme.What to do: Check in on SCR for the main serial. This type generally gets only a generic note in the 525 field on the bib record: Has occasional supplements, or: Some issues accompanied by supplements.
2). Gets its own serial record:
a. Has to have its own title; title may be completely different or only include the addition of the word "supplement" after the title.
b. Has to have its own independent numbering scheme (or dates) to check it in and have some indication that it's ongoing.
c. May (or may not) have it's own ISSN.Example: Psychological science v. 11, no. 3 (May 2000)
accompanied by:
Psychological science in the public interest, v. 1, no. 1 (May 2000); cover says: "a supplement to Psychological Science"Example: Optics and photonics news, v. 12, no. 3 (Mar. 2001)
accompanied by:
OPN trends, v. 1, no. 1 (Mar. 2001); on cover: "Supplement to Optics & photonics news"What to do: send to serials cataloger, who will usually create separate bib record. (Sometimes Society newsletters that are not very substantial get miscellaneous mail treatment, rather than regular cataloging). New SCR for checkin. Records are "linked" with notes on each record referring to the other by means of 770 (Has supplement) / 772 fields (Parent title).
3). Gets its own record as a single piece:
a. Has to have it's own title.
b. Has to be substantive in terms of content.
c. May be numbered in relation to a particular number of a serial (e.g. v. 33, suppl. 1) but may not carry any number at all.
d. Sometimes a different size/format from regular periodical and looks different.What to do: Do not receive on SCR or post in holdings, as this type will get its own record and its own call no. Send to serials cataloger to confirm treatment. (Cataloger sometimes consults with the bibliographer to make a decision). Serials cataloger will forward to monograph cataloger with a note that it came on serial standing order. Book record refers back to the serial record with a note and a 730 field on the book record that gives the name of the serial.
In case of doubt about whether a piece should check in on the main record or not, please ask. Some libraries actually like to treat the same type of situation differently. An example of this is annual Buyer's guides or directories that constitute one issue every year of some periodicals, which can either get separate record treatment or check in on the main title. We'd rather see them than not see them, and need to make appropriate notes on records whichever way we decide to treat them. There are few hard and fast rules; treatment is dependent on cataloger judgement and how the bibliographer/library wishes to handle.5/07/98;rev.5/04/2000;rev.2/20/2001 AE
Searching & Overlaying Guidelines
[General note: If you are doing pre-catalog searching for a cataloger, ask the cataloger if you are expected to do anything beyond finding the record(s) and making print-outs or putting the record(s) in save. Some catalogers may want you to check and correct the physical description and/or check all access points in the authority file.]
- Start by searching items with member copy or provisional records on Acorn for duplication (sometimes missed) or earlier/different editions, which may be useful in cataloging. Prefer an item search (browse title search won't show shadowed records and some records are mistakenly shadowed), but with more generic items an author search may be more efficient. Compare barcodes to make sure item is correctly linked, but it's best to search by barcode only when all else fails. The same goes for ISBN searching. Before searching on Connexion check the 951 field for the date the item was re-searched in Order Services. If that date is very recent you may choose not to do another search on Connexion.
- Find record on Connexion, again by using an appropriate search (see Indexes & Searching ). Preferred searches are author/title (4,4), title (3,2,2,1) or author (4,3,1). If you know you have a new ed. of a previously published work, try to find that as well if it doesn't turn up in the normal process of searching. Sometimes the title differs enough to make a second round of searching necessary.
- If there is no copy for an item and you have searched every way reasonable or possible, write “NC” on the printout, or on a flag in the book. It also helps to date the search for future reference. Give the book to the appropriate cataloger.
- When you find a record or records that match, first compare with the record currently on Acorn. [Match with item may not be perfect. A good example is UKM records that have different paging. If title, author, date, publisher, ISBN and series (if present) match, consider it a match.]
- If there is only 1 record that matches your item and it is exactly the same as the Acorn record, save it in the OCLC online save file without making a new printout, and write the save number on the printout or flag.
- If you find a newer bib record that would qualify for speed or copy cataloging, overlay the older record (see Exporting & overlaying using Connexion ), or edit to match, and finish the cataloging.
- If you find more than one match and one is clearly a better record (use criteria in Selecting among Member Copy records on OCLC .) print out that record, overlay the one in Acorn, save record to the online save file and write the save file number on the new printout. Besides considering source, 040, encoding level, etc. evaluate also in terms of access points (are there 6XX's? authors/editors traced in 100/700's? series? usable call number in the 090/050?). Remember that in general works of fiction and poetry do not require 6XX's, but these are a must for nonfiction works!
- If you find more than one match for the same edition and there are few reasons to prefer one to another, or if they differ a great deal but have call numbers or subject headings that are legitimate and reasonable, print out and save each record, writing save numbers on printouts. Let the cataloger decide which to use.
(Revised 1/17/2006)