# Presentation: 224090

##  Session 2 What is a Serial?

**What is the definition of a serial?**
**What are the common characteristics of serials? **
**What types of publications are or are not typically cataloged as serials?**
**How do serial MARC records differ from monographic or integrating resource MARC records?**

**Notes:**
References
The trainer may want to review the following sources:
	AACR2 definition of serial in glossary
	CONSER Cataloging Manual, Modules 2, 31
	LCRI 1.0
The bulleted material under each header below contains the main points that 
 should be made for each tick item in the slides.  All examples have been 
 included in the slides.
Warm Up Exercises
Select two or three examples from the pre-workshop exercises and ask the  
participants whether they considered them to be serials or not and why.  See 
 also Appendix G for other suggestions.
Questions for the Session:
The objectives of this session are to help the participants define and identify 
 serials based on information from the piece(s) in hand.  To that end, the 
 material in the session is focused on answering these questions (see above).

## Definition of a Serial

**A continuing resource **
**issued in a ****succession of discrete parts**
**usually bearing ****numbering**
**that has ****no predetermined conclusion**.**  **

**Notes:**
Definition and Characteristics
Definition
	- AACR2 definition of a serial:.  
		A continuing resource issued in a succession of discrete parts,
		usually bearing numbering, that has no predetermined 	conclusion.

	- Examples of serials include: 
		journals, magazines, electronic journals, continuing directories, 	annual reports, newspapers, and monographic series.

## Important Elements of the Definition:

**Succession of discrete parts**
- Usually issues, could be numbered articles
** ****Numbering (usually)**
- Needed to distinguish issues
-  “Usually” refers primarily to unnumbered series
** ****No predetermined conclusion**

_**Important Elements of the Definition:**_

**Notes:**
Important Elements of the Definition
a. Succession of discrete parts:
	- Individual parts are usually called issues
	- But a part might also be a numbered article in an e-journal
	- They may stand alone like annual publications such as directories (.e.g., 1998 ed., 1999 ed.) or may eventually be collected  together for binding as a volume, as with journals.
	- Note that issues may also be published in more than one part (e.g., 1995, vol. 1; 1995, vol. 2; 1995, vol. 3, etc.)
b. Numbering:
	- Numbering can include numeric and/or chronological designations 
	- Numbering is needed in order to distinguish one issue from another.
	- Numbering serves check-in, claiming, shelving, marking and retrieval functions.
	- The term “usually” refers to unnumbered series and the occasional serial that lacks a designation on the first issue.
c. No predetermined conclusion:
	- This means that there is nothing in the serial that indicates that the publisher intends to complete the publication and that the resource will be finite.
	- A serial may absorb other serials, cease publication, merge with other serials, or split into several serials.
	- A serial that ceases even after only a single issue is still a serial since the publisher intended to publish a continuing resource.

## Also treat as serials: (12.0A)

- Publications of limited duration
**Have similar characteristics and functions of serials but have a predetermined conclusion**
** ****Examples: Newsletters from conferences, quarterly reports of projects, etc.**

**Notes:**
AACR2 12.0A lists three categories of finite resources that are to be cataloged according to the rules in Chapter 12. These are publications of limited duration, reprints of serials (covered later in this session), and finite integrating resources (not covered by this session).

Publications of limited duration
Publications of limited duration that bear the characteristics of a serial, such as frequency, numbering, and type of report (newsletter, annual report, etc.), but cover a limited time frame, can now be cataloged as serials.  Prior to 2002 these were treated as multi-part monographs. Examples include newsletters of an event, annual or quarterly progress reports of a project, reports of a limited term commission. 

Judgment will be needed to decide whether a resource should be treated as a serial or as a multi-part.  Consider the function of the resource.  If it serves the type of function that a serial would—covering events that occur over time—treat as a serial.  If it is to be issued in multiple volumes over time because of the scope of the material, treat it as a multi-part.

## Identifying Characteristics:

**1096-6919**
**      ****0895-495X**
** ****frequency in title:**
**AB Bookman’s weekly**
**Annual report of the Academy of Sciences of Estonia**
**Yachting monthly**

_**Identifying Characteristics:**_

**Notes:**
Identifying Characteristics
a. Presence of an ISSN (International Standard Serial Number)
	examples: 1096-6919
                                          0895-495X
 ISSN are also assigned to series and care must be taken to determine if the ISSN is really for any series within which the title may appear.
- ISSN may also be assigned by the International Standard Data System to materials that would not be cataloged as serials such as unnumbered series, loose-leaf publications, some conference and exhibition publications, etc.
- ISBN may also be assigned to individual volumes of a serial – this is not uncommon for annuals and less frequent publications.  In these cases the ISSN identifies the overall serial or series while the ISBN identifies the particular year or monograph in the ongoing serial or series.

b. Words in the title indicating frequency
	examples: AB Bookman’s weekly
                                          Annual  report of the Academy of Sciences

## Identifying Characteristics (cont’d):

** ****Volume 28**
** ****Vol. 32, No. 10 September 1997 **
** ****Spring 1997**
** ****1998-1**
-  **year(s) of coverage:**
** ****1997 (item published in 1998)**
**  ****...for the fiscal year 1995**
**  ****...covering the period July 1978 through June 1979**

_**Identifying Characteristics (cont’d):**_

**Notes:**
c. Presence of enumeration/chronology
- Note that sometimes items acquire a designation (numeric and/or chronological) after the first issue(s), thereby becoming bona fide serials
	examples: Volume 28
                                          Vol. 32, No. 10 September 1997
                                           spring 1997
 - Note also that some monographic sets also may bear volume numbering and need to be distinguished from true serials.

d. Year(s) of coverage
- The mere presence of a date does not indicate seriality
- Generally, the publication must be frequently issued, e.g., annually, biennially, etc.
- Distinguish coverage dates from imprint dates (e.g., annual reports for a given fiscal year versus the year they are published).
- Coverage dates are usually prominently placed on the title page or cover
	examples: 1997 (item published in 1998)
                              ...for the fiscal year 1995

## Identifying Characteristics (cont’d):

**Preface:**
***The inaugural issue of Advances in the Theory of Computation and Computational Mathematics ... Future volumes of ATCCM ...****** ***
-  **certain titles:**
**Advances in ...**
**Developments in ...**
**Progress in ...**
**Trends in ...**

_**Identifying Characteristics (cont’d):**_

**Notes:**
e. Statement indicating intent to continue publishing
- Check title page verso, preface, introduction, colophon, etc., for this information.  Example:
	The inaugural issues of Advances in the Theory of 
                        Computation and Computational Mathematics                                  	Future volumes of ATCCM ...

f. Titles that imply continuing publication
Examples: 
	Advances in ...
                        Progress in ...
                        Trends in ...

## Non-serials: monographs (print)

** ****cartographic materials **
** ****encyclopedias **
** ****hearings **
** ****five-year plans, etc.**
** ****books issued in parts**

_**Non-serials: monographs (print)**_

**Notes:**
Monographs
- The following printed resources are typically not cataloged as serials:
	censuses
	dictionaries
	encyclopedias
	hearings
	publications of five-year plans and other similar programs

## Non-serials: integrating resources

- Updating Web sites
- Updating online databases
- Updating loose-leafs

**Notes:**
Integrating resources are added to or changed over time by updates that do not remain discrete.  In the case of a loose-leaf, the update is interfiled into the loose-leaf binder and old pages are discarded.  In the case of Web sites and databases, the only evidence of the update may be a revision date.  These resources are cataloged according to Chapter 12 and are considered to be continuing resources.  But they are not serials because there is only one part at any one time.

## Special Types of Resources

** ****frequently issued editions **
- Catalog as a serial only when published every year or two; otherwise treat as monograph

**Notes:**
 Special Types of Publications (Optional)
Some publications may be cataloged either as monographs, serials, or integrating resources  and practice has varied over time (see LCRI 1.0).  Current LC and general  practices are noted below.

Frequently issued editions (LCRI 1.0)
Generally, catalog as serials publications that bear designations  
 	(e.g., dates, edition numbers, etc.) when they are issued  frequently (.e.g, annually or biennially)
- 	Editions that appear only every three years or less frequently are  
	usually cataloged as monographs

## Special types of resources:

- conference publications
- Catalog as serial if it fits the definition
**The 48th Annual Meeting of the National Athletic Trainer's Association**
**Conference Proceedings**
**Animal Transportation Association**
**17th International Conference**
**September 29-October 2, 1991**
-  Do not catalog as a serial if there are distinctive titles or conference is in a numbered series

**Notes:**

2. Conference publications (LCRI 1.0)
These publications are typically cataloged as serials if they meet the definition of a serial (parts carry designations indicating that they are ongoing and publication has no predetermined conclusion)
-	Conferences with special titles (other than theme titles) or that are included in a numbered monographic series are cataloged as monographs to provide appropriate access.

## Conference Publications (cont’d):

-  **split treatment:**
**500 -- #a Issues for 1993-1995 conferences cataloged separately.  #5 [NUC symbol]**
**500 -- #a Beginning with the 5th conference, issues are cataloged separately.  #5 [NUC symbol]**
**or,**
**590 --  #a Issues for 1993-1995 conferences cataloged separately. **
**590 --  #a Beginning with the 5th conference, issues are cataloged separately.**

**Notes:**
- When there is a change in the main entry for a conference publication cataloged as a serial, the publication may be considered to be new and the decision whether to catalog it as a monograph or as a serial may be remade according to the above criteria.  Do not recatalog the  earlier issues.

- Cataloger’s judgment is called for to avoid unnecessarily re-cataloging many monographs to include them in a serial set.  Consider the use of notes to indicate a change in treatment decision:

	500 -- #a Issues for 1993-1995 conferences cataloged 
	separately   #5 [NUC symbol]
	500 -- #a Beginning with the 5th conference, issues
	are cataloged separately  #5 [NUC symbol]

- Alternatively, a local note (e.g., OCLC or RLIN 590 field) could be used to record this information.

## Resources issued in loose-leaf format

**  ****resource is a serial whose successive ****	****issues are stored in a binder**
**  ****Base volume is regularly issued (e.g., ****	****annual with updates during the year)**
** ****Catalog as an integrating resource if:**
** ****Updates are interfiled and base volume is ****	****irregularly revised**
** **

_**Resources issued in loose-leaf format**_

**Notes:**
Loose-leaf publications (LCRI 1.0)
- 	These are cataloged as serials if they meet the definition of a serial and are published in loose-leaf format just to allow issues to be stored in binders or if the base volume is issued regularly with updates in between.
-	Catalog as integrating resources:
		Loose-leaf publications updated by replacement pages
 		Loose-leaf updates, revised pages or supplements even though 	 they bear designation suggestive of serials publications.

## Supplements

**Opportunity magazine ****{Vol. 1, no. 1 **
**(Jan. 1923)-  }**** **
**The Annual Buyers' Guide of $uccess $ecrets ****{1997-}**
**Public Health Reports ****{Vol. 11, no. 1 (Jan. 3, 1896)-v. 85, no. 12 (Dec. 1970)}**
**Supplement ... to the Public Health Reports ****{No. 1-no. 213}**

- Supplements may be separately cataloged as serials when they have their own title and/or numbering

**Notes:**
Supplements (LCRI 1.0)
- Supplements to monographs are handled by means of a note added to the monographic cataloging record.  
- Supplements to serials are typically cataloged with the main journal unless they bear their own distinctive numbering in which case they may be cataloged separately.

## Reprints of serials

**serial:**** **_**Black Mountain review**_**.  Reprint, with an introduction added, of a publication issued**
** ****(quarterly 1954, annually 1955-1957)**
** ****in Black Mountain, N.C. by the Black**
** ****Mountain College and edited by Robert Creely**
**monograph:**** **_**Prague spring**_**. A collection of articles**
**from newspapers published**** in ****Czechoslovakia**
**during the years 1966-1968**

_**Reprints of serials**_

**Notes:**
Reprints of Serials (LCRI 1.0)
- 	Reprints of serials are cataloged as serials unless:
		The reprint is a single issue or limited number of issues
		The reprint is a collection of unrelated serials
- 	This is so that the reprint and the original will file together in the catalog, check-in files, etc. 
- 	When in doubt, catalog a reprint as a serial.  

## Monographic series

**Abraham Lincoln**
**The First American**
**By Gordon B. Baldwin**
**Historical Bulletin No. 42**
**Lincoln Fellowship of Wisconsin**

_**Monographic series**_

**Notes:**
Monographic series
These may be cataloged as serials or each title may be cataloged separately depending on local decisions and/or policies.
Under the revised rules, unnumbered series are also considered to be serials, but they are rarely cataloged as such.
-	For example, the title Abraham Lincoln could be cataloged and classed separately or the series could be cataloged under the series title only.  Or the individual titles could be separately cataloged but classed together so they will sit together on the shelves.  

## Summary

- Three criteria for serials: successive parts, numbering, no predetermined conclusion
- Certain resources require special considerations relating to access, control, etc.
- When unsure, review LCRI 1.0, search for records on databases, consider the needs of your library