Cataloging Procedures Manual

Appendix 4: Series Authority Control

Contents:

1. Series Authority Work for Fast Processing

2. Series Authority Work for Copy Cataloging

3. Series Authority Work for Original Cataloging

4. Series Establishment Guidelines

5. Series Maintenance

1. Series Authority Work For Fast-Processed DLC Items
   1. Do not check series authority file for items with DLC copy, unless series falls outside fast- processing guidelines (i.e. presence of classed together call number in 050); in this case, follow instructions in II., below. Otherwise, accept Library of Congress' series treatment.

   2. Verify that the series recorded on the bibliographic record appears on the item being processed. Significant discrepancies and/or omissions in series information should be referred to the Series Authority Library Assistant for evaluation.

2. Series Authority Work for Copy Cataloging of Items (Non-Fast - Processed DLC, CIP, Member Copy and Classifies)
   1. Perform series authority work for all series on item. If series has been established in VIRGO (i.e. series authority record (SAR) is present in VIRGO with VA@ symbol in 040), proceed with cataloging.

   2. Series that have not been established in VIRGO should be routed to Series Authority Library Assistant with a note to establish.

      Follow these steps when checking series:

      1. Descriptive cataloging of series

         Record each series in the series area (4xx) of the bibliographic record in the exact form in which it appears on the chief source of the book being cataloged.

         1. Examine book being cataloged for presence of series that appear in the series statement (4xx) or series notes (500) on the bibliographic record. Verify that form in 4xx or 500 matches form on chief source of book (select chief source for series in the following order: Series t.p., analytic t.p., cover, colophon, etc.).

         2. Edit 4xx on bibliographic record as necessary to match book. Note any possible additional series statements for checking in series authority file.

      2. Find a matching series authority record by using the browse authority command and calling up the series authority record from the index.

         Use the icon on the control pad or the menu to select the browse authority search. Type in the series name and select LCNAME from the index.

         Example:

         BROWSE AUTHORITY

         heading==>APERTURE

         index-->LCNAME

         Click on GO or press [Enter]. Select the appropriate heading from the thesaurus list, click on GO or press [Enter].

         1. Series on bibliographic record should match the 1XX or a 4XX on the series authority record. Imprint of book should be mentioned in publication area (643) of series authority record.

         2. If the series on the bibliographic record matches a 5xx on the series authority record, search for the series authority record corresponding to the heading in the 5xx.

         3. If matching series authority record cannot be found, or if unsure of match, return to Series Authority Library Assistant for review.

         Series analysis practice

         1. Examine 644 field on series authority record. 644 should read f (fully analyzed) or p (partially analyzed). (If 644 field is repeated, use 644 field with VA@ at end).

         2. If 644 field reads n and book has a distinctive title, return to the Series Authority Library Assistant for review.

         3. If the 644 field on the series authority record reads n and book does not have a distinctive title, route to the appropriate serials cataloger. (Volumes of unanalyzed series will normally be routed directly to added volume staff).

         Series tracing practice

         To determine whether series is traced locally, check the 645 field; t indicates traced, n indicates not traced. (If 645 is repeated, read field that has VA@ at the end).

         1. If series is not traced, tag series statement as 490 0 and delete any corresponding series tracing (8XX) if present. Proceed to section 5., below.

         2. If series is traced, check field 642 for the established form of numbering. (If 642 is repeated, use field followed by VA@.)

            Use this form as a pattern of the subfield v in the 440/8xx of the bibliographic record.

         3. Compare series on bibliographic record with established heading in 1xx of series authority record.
            1. If series statement (4xx) matches established heading exactly, series should be tagged440 0 . Delete any 8xx present for same series.

            2. If series statement does not match established form, and an 8xx field is present, series should be tagged 490 1 . Check that tagging for the 8xx field for the corresponding series is correct (830 for title series, 800 for author series,810 for corporate name/title series, 811 for conference series). If 8xx on bibliographic record varies slightly from the established form on series authority record, 8xx may be edited to match.

            3. If series statement does not match established form, and there is no 8xx, tag series statement as 490 10 and then add an 8xx to match established form. Refer complex changes to the Series Authority Library Assistant for review.

         Series classification.

         Books in a series may be classed together in the same basic call number or classed separately. To determine series classification practice, examine the 646 field. (If 646 is repeated, use field followed by VA@).

         1. If s, series is classed separately. Check that call number in bibliographic record is an appropriate, unique call number.

         2. If c, series is classed together. Check 050 field (090 if present) for class together call number and input in new call number field and bibliographic record (if not already present). If no volume designator appears in 050/090 of series authority record, check the call number index for the series to find the correct form (may not match volume designator in 642). Also, follow instructions in Appendix 19.

Series Authority Workflow for Original Cataloging IN PROCESS
1. Series is checked by the original cataloger.
   1. If found, form and treatment decisions are noted.

   2. If not found, the original cataloger establishes series following guidelines below. After establishment, the Series Authority Library Assistant is notified (with an OCLC authority printout or with a new series form) to update the Series Authority File.

2. Series statement and tracing (4xx/8xx) are added to the original VIRGO record by the cataloger. When an item classed together has multiple series statements, the series that is the classed together series should be the first in sequence on the bibliographic record.

3. If series is classed together, the 090 field is added, and heldtogether call number is added to the Copy Holdings record by original cataloger.

Series Establishment Guidelines IN PROCESS
1. General instructions: follow AACR2 rev. and the Library of Congress rule interpretations (LCRI's) for establishing new series; use the OCLC online authority file and Library of Congress (LC) copy as primary resources for establishing individual series.

2. When establishing the form of a series, follow AACR2 rev. and the LCRI's.

3. Trace all newly established series. Disregard any preexisting decision by LC not to trace.

4. For all newly established series that LC classes together, follow LC decision to class together and use the call number assigned by LC.

5. For more detailed information on specific types of series, consult with the Series Authority Library Assistant.

Series Maintenance IN PROCESS

Existing series decisions may be changed from do-not-trace to trace at the discretion of the Series Authority Library Assistant. Catalogers may recommend series to be re-evaluated. When a decision is changed, old bibliographic records will be corrected to reflect the new decision, if there are 10 or fewer. If there are more then 10 bibliographic records (or it is difficult to determine how many through a simple keyword search), these will be corrected by global change. As time allows, all series decisions will be changed to traced and corrections will be made on any old bibliographic records.

Table of Contents

Appendix 5 - under construction

Appendix 6