Serials Cataloguing Policies and Local Context

Most periodicals and many serials are on subscription or standing order. Hence, communication with Acquisitions is key to insuring correct processing of these.

• General policy

  • To the extent possible, SUL follows national standards, conforming to CONSER conventions and judgment concerning serial treatment, title variation, and form of description. SUL does not attempt to bring all serial records into current record formats, but obvious errors should be corrected.

  • Whenever possible, we eliminate records from SUMMIT catalogued under “latest title” conventions (records are recognizable through the presence of value S/L 1 in the fixed field and the presence of fields 247 and/or 547 among the variable fields). In cases where the only record in OCLC in latest title and SUL does not own any volumes of the earlier title, we will use that record. We will create a new master record on OCLC for the earlier title if we own volumes of it.

• Special considerations (Periodicals):

  • If a new title appears to be somehow "ephemeral", in the nature of a brief newsletter or a title whose content seems of current interest only, the area bibliographer should be queried to see if the title is a candidate for limited retention. Such titles are fully catalogued, but not classified.

  • Call numbers and locations: If the call number would shelve the title and its current issues in a location in a branch other than that which submitted the order, verify with the bibliographer that this is appropriate. For example, if science submits and order for a title classified in a Bird call number, we need to make sure this will meet service needs, since the call number determines where both the current issues and bound volumes are shelved.

Periodicals received via firm orders or as gifts:

•  

  • Firm orders:

    • Occasionally, the Library orders periodical backsets or a run of a dead title via firm order. These are processed (catalogued and/or added) in Cataloguing in order to update the LHR.

    • Backruns and/or entire titles may be ordered on microfilm or microfiche. Film and fiche are catalogued on the same record as print.

  • Gifts

    • The Library also receives gifts of periodical runs, which also need to be added and/or catalogued. The Library does not add scattered, individual issues of periodicals, but will add complete volume(s).

• Special considerations (serials)

  • Firm orders and/or gifts:

    • Serials are often ordered as firm orders either because the subject bibliographer does not want a standing order, or because they were unaware that the title is a serial. Titles are catalogued as OPEN serials when the situation warrants—-CONSER or other authenticated record. SUL does not treat these as monographs simply because they are not on standing order. If the title was ordered on a monographic record, change the OCLC number to reflect the serial and overlay the record.

    • Reference titles: In order to better track titles, SUL prefers serial treatment to monographic. If conflicting treatment is found, refer title to your supervisor. In this case, we will use a non-CONSER serial record in preference to DLC monographic records.

• Local holdings records (LHRs)

  •  

    • Generally we add all serial gift volumes even if it is the only volume we have.

  • Only titles on ssbuscription or standing order are considered currently received when creating LHRs. Serials received on firms orders or as gifts are coded “not currently received” on the LHR. In addition, on SUMMIT, a non-public 866-field is created on the MARC holdings record indicating the title is not on standing order and informing the cataloger that the LHR must be updated each time a volume is added:

    • 866 … |x NOT ON STANDING ORDER; revise LHR when new volume added.

• Determining choice of treatment

There is rarely any ambiguity about periodicals (fixed field SrTp p) and newspapers (SrTp n). SUL defines a periodical as having a frequency of 2 or more issues per year.

Serials, however, can represent more of a challenge in terms of selecting the appropriate cataloguing treatment. Serials encompass true serials (similar to periodicals except in terms of frequency--annual or less), monographic series, and titles whose nature shifts over time.

In the past, SUL catalogued a number of monographic series as serials creating a number of retrospective projects to add the appropirate title-level access to SUMMIT. Today, we endeavor to get it right from the start.

• New titles: Display the SUMMIT record. If SUMMIT has a local record, search OCLC, for both collective (and individual titles, if present).

  • Titles having serial records:

    • SrTp : [blank] indicates the record describes a serial (OPEN decision on MFHD). If the record is CONSER or otherwise authenticated in field 042, see serials cataloguing procedures and catalogue the title. Be aware of any distinctive titles, however. The publication may have changed over time. If in doubt, verify OPEN decision you’re your supervisor.

    • SrTp : m indicates that the record describes a monographic series. (MFHD cataloguing decisions for monographic series are: NOT TRACED, SERIES, COLLECTED, or OPEN/COLLECTED)

      • If the volume has a distinctive title in addition to the series title, refer to your supervisor. The title will be be set up as a monographic series based on the authority file.

      • If the volume lacks a distinctive title, refer to your supervisor. The title may be catalogued as an OPEN serial or as an OPEN/COLLECTED if there is evidence that some volumes do indeed have distinctive titles. If catalogued as an OPEN, the SrTp m will be changed to [blank] on the bibliographic record to bring the coding into line with the cataloguing decision.

      • Titles catalogued as NOT TRACED, SERIES, COLLECTED, or OPEN/COLLECTED monographic series have authority records on SUMMIT and on OCLC that give the proper form of entry and indicate the cataloguing decision to be followed. The SUMMIT record used for receiving may need to be revised to match the authorized form of entry in field 245, 130, or a combination of 1xx/240.

  • Titles with only monographic records:

    • See: Procedures for cataloguing continuations/multi-volume sets. NOTE: If there is a distinctive author and/or title in addition to the set title, search OCLC for a piece record and the authority file. Verify what is found with you supervisor and establish a cataloguing decision. Multi-volume monographs may be catalogued either as continuations (CONT), or, less frequently as SERIES or COLLECTED titles.

  • Inconsistencies in cataloguing treatment:

    • Both OCLC and SUMMIT have titles with both serial records and monograph records for individual volumes or editions. Most of the time, we will resolve the conflict by examining the records, bibliogrpahic and authority.

    • MIXED TREATMENT: A few titles on SUMMIT have the annotation, "MIXED TREATMENT" on the MFHD, meaning that over time, the title has been treated as both a monographic series and as a serial. Some of these have been recatalogued and made consistent; others will remain mixed because the nature of the title has changed.

The CORE-level serial record (AACR 2 record format)

OVERVIEW of serial record formats: Most serial records on OCLC and in SUMMIT are follow the AACR 2 record format, described below, or the pre-AACR format, identifiable through punctuation and other conventions (such as no dates in field 260). SUL does not routinely upgrade records in earlier formats to match current conventions.

In 2007, a the CONSER standard record format was adopted (few records as of early 2008 conform to this standard. For details, see:[1]

The AACR 2 CORE serial record

Fixed field: Pay especial attention to:

Lang (language) Ctry (country of publication) SrTp (type of serial)

• p - periodical

• n - newspaper

• m - monographic series

• [blank] – other serial (none of the above; used for OPEN serials)

Freq (frequency)

• a - annual

• q - quarterly

• m - monthly

See online listing for others: http://www.oclc.org/bibformats/en/fixedfield/freq.shtm

DtSt (publication status [for serials])

• c – current (currently being published)

• d - dead (not being published)

• u – unknown (publication status unknown)

Dates (beginning and ending date of publication, if known; matches dates in 362; use u for unknown digits

Variable fields

022 : ISSN (required if available)

$a Current ISSN: Transcribe from piece if not in OCLC record.

$y Incorrect ISSN: If ISSN printed on piece matches that assigned, enter it in sub-field y

040 : Cataloguing source: DLC (LC cataloguing) or other CONSER library is preferred if there are multiple records for a title. For a complete list of CONSER libraries, see: http://www.loc.gov/acq/conser/conmembs.html

042 : authentication code (lcd=LC cataloguing; nsdp=National Serial Data Project--source of ISSNs)

050 or 090 : call number (all permanently-retained titles are classified)

1xx : Main entry (required if applicable)

• 100 (personal name): rarely used; see journal title What color is your parachute for an example.

• 110 (corporate name): limited usage, for titles, such as annual reports of organizations, “emanating” from the body.

• 111 (conference name): proceedings entered under the name of the conference.

• 130 (uniform title): If the title proper is generic (i.e., Journal, Newsletter, or Bulletin alone), a uniform title main entry is created in a 130 field. Depending on the type of publication, a place name or corporate body name is used as the qualifier (authorized forms of name are used); dates used if further distinction needed:

  • Examples:

    • Qualify by place:

      • 130 0 Journal (Syracuse, N.Y. : 2001)

      • 245 00 Journal

    • Qualify by corporate body:

      • 130 0 Bulletin (Syracuse University. Dept. of History)

      • 245 00 Bulletin / |c Dept. of History, Syracuse University.

245 : Title proper

The title proper always includes $a and may also include:

• $n number of part/section

• $p title of part/section

Changes to the title proper must be accounted for either by the creation of a new record and closing out the old (major changes), or notes and titles entries in field 246 (minor changes)

Other relevant sub-fields:

• $h general material designation (medium – used in serials primarily for non-print titles)

• $b remainder of title: includes parallel titles, subtitles, etc.

• $c statement of responsibility/remainder of title page transcription.

Subtitles are transcribed only when they add to the meaning of the title proper and help identify it. Subtitles may also be given as quoted notes. Changes in subtitle do not constitute title changes or variations and need not be mentioned, except through a generic "Subtitle varies" note.

Example using some of the above:

245 00 |a Journal of serials cataloguing |h [microform]. |n Part B, |p Cataloguing computer files / |c edited by the staff of Syracuse University Library.

246 : variant titles (required if applicable)

These include:

• Alternate forms of words in the title made up for machine indexing, such as spelling out numbers and symbols or omitting the hyphen in a hyphenated title:

  • 245 00 Journal of history & politics.

  • 246 3 Journal of history and politics

• Access to portions of title:

  • 245 00 Journal of physics. |n D, |p Applied physics.

  • 246 30 Applied physics

• Other titles on the piece such as spine titles, cover titles, added title page titles, running titles, etc.

  • Cover title:

    • 245 00 Journal of academic librarianship.

    • 246 14 Academic librarianship

  • Title variations to which access is desired, but which do not constitute a title change:

    • 245 00 Journal of chemistry.

    • 246 1 |i Issues for June 1998- have title: |a Journal on chemistry

General reminders about the 246

• 1. The indicators and subfield |i provide justification for this field. No other note field is made on the record.

• 2. All initial articles are omitted from field 246

• 3. No end of field punctuation mark is used

The second indicator defines the type of variant title:

• [blank] –- no information provided (used with subfield i)

• 0 [zero] –- used for access to portion of the title.

• 1 -- Parallel title (title appears in more than 1 language:

  • 245 00 Japan report = |b Nihon.

  • 246 31 Nihon

(change from 246 11 found on older records)

• 2 -- Distinctive title

Used to provide access to occasional serial issues that have a distinctive title in additional to the generic title. (If every issue has a distinctive title, the serial will likely be catalogued as a monographic series (SERIES, COLLECTED, UNTRACED--to use local vocabulary).

•  

  • 245 00 Annual report of the Syracuse Water Department.

  • 246 12 Fresh water for the masses : |b fifty years of the Syracuse Water Department |f 1995

• 3 -- Other title

Used when access to another form of title is needed, such as a variant form of a variant title. It may be used instead of |i when the cataloguer does not consider it important to record the source of the variant form. Examples include titles on editorial or contents pages.

• 4 -- Cover title (cover title differs from that in 245)

Most frequently used when the cover title of a serial differs from what is on the title page, the chief source of title for book serials. Many periodicals use the cover title as the chief source for the title.

• 5 -- Added Title Page Title

Used when there is a subsidiary title page; title may be in a different language.

• 6 -- Caption Title

Used when the title printed at the top of the first page of text differs from that in 245

• 7 -- Running Title

Used when the title repeated at top or bottom of every page of an issue differs from that in 245

• 8 -- Spine Title

Quick Reference List

• Added title page title: 246 15

• Alternate form of title: 246 3

• Alternate title (245 |b): 246 30

• At head of title: 246 1 |i At head of title: |a

• Caption title: 246 16

• Colophon title: 246 1 |i Colophon title: |a

• Cover title: 246 14

• Distinctive title: 246 12

• Initialisms (245): 246 30

• Other title: 246 13

• Other title info.(245 |b): 246 30

• Parallel title (245 |b): 246 31

• Part access title (245 |p): 246 30

• Portion of title (245): 246 30

• Running title: 246 17

• Spelled out forms: 246 3

• Spine title: 246 18

• Variant access (was 212): 246 2

Subfield delimiter: |i Its purpose is to allow the cataloguer to specify the source of a variant title when no second indicator value has the appropriate meaning. (Formerly done using 500-note and 246 10 for title entry; this is still found in many older records on both SUMMIT and OCLC).

• Example of current practice:

  • 245 00 Chicago telegraph.

  • 246 1 |i Alternate issues published with title: |a Chicago daily telegraph |f Jan. 1996-

NOTE: On SUMMIT, all titles in 246 fields display following a generic "Other title:" note. All are indexed (i.e., they can be searched with a journal title search in SUMMIT. Specific notes (cover title, added title page title, etc.) do not display as such in public SUMMIT. However, we should try to be as specific as possible in coding the notes in case the SUMMIT OPAC display changes or the Library moves to a new system.

260 : publication, distribution, etc. (imprint)

• Must include: $a place : $b publisher

• May include: $c dates (when 1st and/or last issue is in hand)

• Changes in publisher:

•  

  • One 260 (1st indicator blank): base information on the first issue published, or, the earliest issue available at time of cataloguing.

    • Include subsequent publishers (if deemed important) in a 500-note:

    • Subsequent publishers: William M. Swain & Co., 1857-64; George W. Childs, 1864.

•  

  • Multiple 260 fields:

    • 1st indicator blank: earliest publisher

    • 1st indicator 2: intervening publisher(s)

    • 1st indicator 3: current publisher.

    • Use ‡3 Materials specified for information to differentiate the multiple statements of the described materials to which the field applies.

      • 260 Paris : ‡a New York :‡b Vogue ‡c 1964-

      • 260 2 ‡3 1980-May 1993 ‡a London :‡b Vogue

      • 260 3 ‡3 June 1993- ‡a London :‡b Elle

300 : physical description (collation)

• Field is optional for CORE and for CONSER Standard Record, but required for SULn (because of oversize considerations)

• Records for remote access serials (those available via the Internet) do not contain field 300. SUL requires the field for print serials because of oversize considerations

Includes:

• $a extent item (no. of v.)

• $b other physical details (presence of illustrations, etc.; almost always use ill. alone)

• $c size (height in cm.)

  • Example:

300 v. : |b ill. ; |c 36 cm.

310: Frequency

Optional for both CORE and for SUL; must be coded in fixed field, however.

321: Former frequency

Optional for both CORE and for SUL

362 : dates of publication and volume designation

Publication date (260) and issue date may be different; fixed field dates always match those in 362.

• 1st indicator:

  • 0 formatted style

  • 1 unformatted style

Use formatted style when 1st (and/or last) issue is in hand at time of cataloguing (Revise 362 if SUL has 1st or last issue not available when OCLC record created):

First issue present:

• 362 0 Vol. 1, no. 1 (Jan. 1994)-

Last issue present:

• 362 0 -v. 24, no. 3 (Mar. 1994).

Both first and last issues present:

• 362 0 Vol. 1, no. 1 (Jan. 1920)-v. 2, no. 3 (Apr. 1921).

Use unformatted style when 1st (or last) issue is not in hand at the time of cataloguing (use a question mark at the end of the field if the information is an educated guess); use one 362 1 if neither the 1st or last issue is present; use question mark if unformatted data in 362 is an educated guess:

• 362 1 Began in 1969; ceased in 1982?

Use separate 362 fields when only the 1st or last issue is present and the beginning or ending date is an educated guess:

• 362 1 Began with 1990.

• 362 0 -1994.

If the 1st issue is not in hand at the time of cataloguing, there must be a 500-note stating what issue the description is based on:

• 500 Description based on: Vol. 1, no. 2 (Feb. 1994).

• 500 Description based on: 1989.

EXCEPTION: when doing retrospective conversion and working with pre-AACR2 records, there will not be a Description based on: note; if the record is full-level, CONSER or other member, it can be accepted without the note.

The designations in this field (or in the 500-note) determine how issues are checked in and how they are added to the mhld.

4xx or 490 1 / 8xx series title

SUL series treatment policy generally follows the national authority files. Series authority records will be revised with local information in those cases where current practice deviates from these.

5xx : note fields

Some of the more important include:

• 500 : general note (includes "Description based on ...” notes, latest issue consulted, source of title notes, personal editor and contributor notes—names must be traced in the appropriate 7xx fields)

  • General collections policy: SUL generally mentions and traces personal editors and contributors ONLY if they are affiliated with SU. For SCRC policies, see

• 500 : source of title note (required if applicable)

Used when item being cataloged lacks a formal title page. Most periodicals are cataloged from the first issue in hand with the title taken from the cover. The 500-note will read: Title from cover. Bound serials generally have a formal title page; there will not be a source of title note for these.

• 500 : Description based on: (required if applicable)

When the cataloging description is based on an issue other than the first, the source of title note is combined with the Description based on note: 500 Description based on: Vol. 1, no. 2 (Feb. 2002); title from cover.

• 515 : numbering or issuing peculiarities (includes numbering errors, skipped issues/volumes, volumes issued in more than one physical piece, changes in number schemes)

• 520 : summary note (provides a summary overview of the contents of a serial)

• 525 : supplements (those catalogued as part of the serial and bound with volumes)

• 533 : reproduction note (used for microforms)

• 538 : systems details note (used for computer files)

• 539 : fixed length data elements of reproductions (basically the fixed field for the microformat; the main fixed field is based on the paper version)

• 550 : issuing body (used for current and past sponsoring agencies; notes that denote a title as an official organ of a society, etc.; other bodies involved in production of the title—names must be traced in the appropriate 7xx field.

• 580 : linking entry complexity (used when the relationship between titles is too complicated to be expressed using the text defined by the 780 and 785 fields; see 780/785 fields below)

6xx : subject headings

• 600 : personal name

• 610 : corporate name

• 611 : conference name

• 630 : uniform title

• 650 : topical subject

• 651 : geographic area

Except for periodicals classed in AP and newspapers, all serials have at least one subject heading.

Most titles that are entered under a corporate body and representing the annual report of that body will have the corporate body as a subject heading followed by subfield v Periodicals.

Most serial subject headings end with a Topical subdivision, which means they will not validate on SUMMIT. The most common is |v Periodicals which is used for any publication issued annually or more frequently. It is not used for titles published less than annually, or for titles without a regular publication schedule. Others include: Congresses (for all conference proceedings) and Directories (for lists of names, addresses, etc.) When validating subject headings on SUMMIT, search the heading without the subdivision.

Older records, both on OCLC, in SUMMIT, and on our local catalogue cards may contain subdivisions no longer used. These include: Yearbooks, Collected works, and Collections.

Generally, yearbooks may be replaced with periodicals, since that subdivision is appropriate for any publication issued on a regular schedule annually or more frequently.

In most cases, Collected works and Collections may be simply removed.

7xx : name entries associated with the publication

Names mentioned in $c of field 245 (statement of responsbility); as publisher in field 260 (other than commercial publishers), or in 5xx notes, must have corresponding 7xx entries. Under CORE standards, names may be added without corresponding 5xx-notes.

Title added entries

Fields 730 and 740 provide access both to related titles and to analytical titles (those published within as as part of another title:

730 : Uniform title added entry. For details, see: http://www.oclc.org/bibformats/en/7xx/730.shtm

Use the 730 when a separate bibliographic record or an authority record exists for the publication being cited. The 730-field will match 245 unless a 130 uniform title is present.

740 : Uncontrolled/analytical added title entry. For details, see: http://www.oclc.org/bibformats/en/7xx/740.shtm

Use the 740 to cite analytical titles or related titles which are not established in catalog entry form.

Linking entry fields

For an overview of possibilities, see: http://www.oclc.org/bibformats/en/7xx/76x-78x.shtm

There may linking entries for series statements, supplements/parent records, alternative editions and formats, as well as for title changes (outlined below).

• 780 : preceding entry (earlier title)

  • 1st indicator:

    • 0 print a note (i.e., creates note in OPAC directly from 780; title is hyperlinked in the OPAC detailed view)

    • 1 does not print a note (i.e., does not create note in OPAC; used if 580 has been used to explain a complicated title change)

  • 2nd indicator:

    • 0 Continues …

    • 1 Continues in part …

    • 2 Supersedes (not currently used)

    • 3 Supersedes in part (not currently used)

    • 4 Formed by the union of ... and ...

    • 5 Absorbed …

    • 6 Absorbed in part …

    • 7 Separated from …

For 780 examples, see: http://www.oclc.org/bibformats/en/7xx/780.shtm

• 785 : succeeding entry (later title)

  • 1st indicator:

    • 0 print a note

    • 1 do not print a note (used if 580 is present)

  • 2nd indicator:

    • 0 Continued by

    • 1 Continued in part by

    • 2 Superseded by (not currently used)

    • 3 Superseded in part by (not used)

    • 4 Absorbed by

    • 5 Absorbed in part by

    • 6 Split into ... and ...

    • 7 Merged with ... to form ...

    • 8 Changed back to (not currently used)

For 785 examples, see: http://www.oclc.org/bibformats/en/7xx/785.shtm

856 : Electronic location and access

SUL does not connect to online serials from the print record. Therefore we delete fields 530 (Also available online) and 856 from the print version's record.

Checklist for Cataloging Periodicals and Serials

Rev. 25f08

Some basics:

• Cataloguing is done from the first issue or volume received. First-time receipts of issues and volumes, together with a printout of the note box, is placed in the "New titles ... " bin.

• Most periodicals are catalogued, classified, and retained permanently.

• All serials are catalogued and classified; most are retained permanently.

• Possible title changes and other questions from Acquisitions, Serials receiving are also placed in the bin.

• Cessations and cancellations are also placed in the bin.

• Supplements, special issues, and other non-standard receipts are also placed in the bin.

Editing the Bibliographic Record

Refer to the CONSER Standard page on the WIKI for an overview of the MARC serials record and for the model to follow if a master record must be created on OCLC.

• Examine the bibliographic record on SUMMIT. It should be bib lvl s If this record is a full-level CONSER record (ELvL [blank] or I), cataloguing may be completed on SUMMIT.

• OCLC should be searched again for all titles whose SUMMIT records are:

  • not CONSER

  • locally-input (lack the 035 with the OCLC number)

• Proceed with cataloguing if the OCLC record has been revised by CONSER or updated to full level by a member library. Overlay the SUMMIT record with the updated OCLC record.

  • If OCLC now has a full record for a title ordered on a local SUMMIT record, add OCLC number to that SUMMIT record before export. Add OCLC number in field 035; use leading zeroes for numbers less than eight (8) digits long: 035 … (OCoLC)01234567

  • If the OCLC record is still not full level, or if OCLC still has no record for the title, create a workform on OCLC and refer to your supervisor for revision. Do NOT send current periodicals or newspapers to the in process backlog, or wait more than a few days before creating a workform.

  • To insure that the call number is not already in use:

    • Do a SUMMIT call number search; select library of congress as call no. type. Type call number including all periods: E185.53.A45 J4 (space must be left before 2nd Cutter number)

    • Check what remains of the union shelflist for duplication (as of early 2008 only Q-T remain)

  • If the SUMMIT search or the union shelflist search yields an exact match to the call number in the record, the call number in the record must be changed slightly to make it unique. (Two different and unrelated titles should NOT have the same call number.) Generally we make a call number unique by adding a digit (other than 1) to the last (or only) Cutter number. If questions arise, ask your supervisor.

Cataloguing checklist:

• Editing the bibliographic record prior to exporting from OCLC or saving to Voyager:

  • The fixed field: verify the information in the following elements of the fixed field: Blvl, Ctry, SrTp, Freq, Lang, DtSt, Dates

  • The variable fields

    • Delete 012

    • Delete any 035 fields that are not OCLC numbers or the SU NOTIS record number.

    • Delete all 650 fields with second indicator values other than zero.

    • Delete 653, 655, and 690

    • Delete all 850, 890, and all 9xx fields.

    • Add appropriate 948 field (print serials are format value b)

• Additional bibliographic record editing:

  • Delete all initial articles in subfield t in fields: 4xx, 6xx, 7xx, 8xx.

  • Omit initial articles in titles entered in field 246

  • Correct any MARC validation errors.

  • Follow authority control procedures, making necessary corrections and referring questions to your supervisor.

A note about subject headings: Most subjects headings will have a $v free-floating subdivision (Periodicals is the most common, used for most periodicals as well as annual serials; other include Congresses, Directories, etc.) These will usually not validate on SUMMIT, but can be controlled on OCLC.

MARC holdings record (MFHD)

The Basics

• Leader values for periodicals, serials, and newspapers (NOTE: The serial holdings template has been set up with the correct values):

  • Type: y

  • Enc/l: 4

• Variable fields:

• 852 field contains: call number type, shelving order, location, call number, public and non-public notes.

  • Indicators:

    • 1st indicator: shelving scheme (call number type)