# Presentation: 880668

## Session 3: Original Cataloging

_**Session 3: Original Cataloging**_

- How are fixed fields coded for serials?
- What is the chief source for a serial?
- How do I determine the main entry for serials?
- What title information should be included in the record?

**Notes:**
References
The trainers may want to review the following pages:
	CONSER Cataloging Manual, Modules 3-7
	CONSER Editing Guide, Section E,Fields 100-247

Warm Up Exercises
See Appendix G for suggestions.

Questions for the Session:
The objectives of this session are to help the participants create a record from scratch for a serial title and in the process explain the key points in cataloging serials originally.  To that end, the material in the session is focused on answering these questions:
	How do fixed fields work for serials?
	What is the chief source for a serial?
	How do I determine the main entry for serials?
	What  title information should be included in the record?

## Sample Serial:

- _Sample Serial_:

- Cover

**Vol. 14, No. 3         Dec., 1998**

**Notes:**
Sample issue
[Note to trainers: this slide contains animation. Designation flies in]

The next three slides show three pages found in an issue of Tennessee Ancestors which give different presentations of the title information.
We will examine these pages to determine which is the chief source of title information.

.

## Sample Serial (cont’d):

- Table of Contents
- Page 201 (first page)

- _Sample Serial (cont’d):_

**DECEMBER 1998    VOL. 14, NO. 3**

**Notes:**

[Note to trainers: this slide contains animation.]

First page (p. 201) is a table of contents for December 1998, Vol. 14, No. 3.  This page contains a masthead title.

## Sample Serial

- Verso of Table of Contents
-  Page ( P. 202)

- _Sample Serial_
- _(cont’d):_

**East Tennessee Historical Society**
**P.O.Box 1629, Knoxville, TN**

**Tennessee Ancestors (ISSN 0882-0635)**
** ****is published triannually by the East**
** ****Tennessee Historical Society ...**

**Notes:**
[Note to trainers: this slide contains animation]

Verso of page 201 is an editorial page.

At bottom: Tennessee Ancestors (ISSN 0882-0635) is published triannually by the East Tennessee Historical Society and is distributed to members of the Society.

## Fixed Field Differences from Monographs:

_**Fixed Field Differences from Monographs:**_

- Publication status
- Beginning/ending dates
- Frequency
- Regularity

- currently published, dead, or unknown.
- base this on the 362 dates; when combined dates, use the last (e.g., 1993/1994)
- how often the serial is published
- is the frequency regular or not

**Notes:**
Choosing the Format and Fixed Field Differences From Monographs
- The title in hand is a print periodical so the Bibliographic Level would be coded as “s” (serial) and the serial fixed fields would be used.

- The main differences between the serial fixed fields and the monographic version are the following pieces of coded information.  Appendix H gives common values for these fields.  Full instructions and values are found in the MARC21 manual.

Publication status code to indicate whether the title is currently
		published, dead or unknown
Beginning/ending dates	input the year(s)from 362; for multiple dates
		use the latest (e.g., 1998/1999) code to indicate
		how often the serial is published
Frequency		code to indicate how often the serial is published
Regularity		code to indicate if the frequency is regular 
		or not

## Fixed Field Differences (cont’d):

_**Fixed Field Differences (cont’d):**_

- ISSN
- Type of continuing resource
- Entry convention

- NSDP or ISSN Canada use only
- monographic series, newspaper, periodical, or none of the above.
- all current records are coded as "0" (successive entry)

**Notes:**

Note to trainers: Explain to class that names of some of the fixed field bytes have been changed to reflect the expansion of the serials format to cover all continuing resources.  Depending on when you are giving the class, the new names may or may not have appeared in the OCLC, RLIN, or local ILS fixed field displays.  The new names are given in the slides.

ISSN		NSDP or ISSN Canada use only
Type of continuing resource	code to indicate if the serial is a monographic
		series, a newspaper, a periodical, or none of the
		above {Note: this is the new name: Type of 			serial is the old name}
Entry convention	all current records are coded as  “0” (successive
		entry)
		{Note: this is the new name; Successive/latest 		entry (S/L ent. In OCLC) is the former name}

## Sample Record Fixed Field Coding:

_**Sample Record Fixed Field Coding:**_

**Publication status****	**
**Beginning/ending dates**
**Frequency****	****	**
**Regularity****	**
**Type of cont. resource****	**
**Entry convention**

**c ****(current)****	**
**19uu,9999 ****	**
**t ****(issued three times a year)**
**r ****(regular)****	**
**p ****(a periodical)****	**
**0 ****(successive entry)**

**Notes:**

In the case of Tennessee Ancestors, these would be coded as (from above)

## Basis of the Description (AACR2 12.0B1/LCRI): Which Issue?

_**Basis of the Description (AACR2 12.0B1/LCRI): Which Issue?**_

- Select the first (i.e., lowest numeric or earliest chronological designation)
**362 0- #a Vol. 1, no. 1 (May 2002)-**
- Or the earliest available
- Note the issue the serial is based on and the latest issue consulted, when appropriate
- 500 --  #a Description based on: Vol. 14, no. 3 (Dec. 1998).
- 500 --  #a Latest issue consulted: Vol. 16, no. 1 (Mar. 2000).

**Notes:**
Sources of information and AACR2 rules
Selecting sources of information for serials is a two-step.  The first step is deciding which issue will be used (12.0B1).  The second is deciding which source on that issue will be the chief source (12.0B2).  After that, use 12.0B3 to determine whether information taken from sources other than the chief source needs to be bracketed.

 Basis of the description: Which issue? (AACR2 12.0B1)
Select the earliest issue in hand, i.e., the one with the lowest numeric or earliest chronological designation – note that the chronological designation is not the imprint date (AACR2 12.0B1, LCRI 12.0B1)

- If the lowest or earliest designated issue in hand is not the first, then use it as the basis for your description and add a 500 “Description based on” note.
If there is more than one issue available at the time of initial cataloging, or if you are later changing the record, also make a separate “Latest issue consulted” note.  (Note: CONSER formerly gave this note in field 936.)

## Chief Source (AACR2 12.0B2): What Source Within the Issue?

_**Chief Source (AACR2 12.0B2): What Source Within the Issue?**_

- title page
- title page substitutes (preferred order):
**analytical title page (for series)****	**
**cover****	**
**caption****	**
**masthead****	**
**editorial pages****	**
**colophon****	**
**other pages****	**
- note when chief source is not the title page:
**500  --  #a Title from cover.**

**Notes:**
 Chief Source of Information: Which source within the issue?
AACR2 prescribes that the title be taken from the title page as the chief source of information (AACR2 12.0B1).  Note that many periodicals and serials lack title pages altogether.  A true title page does not contain text, tables of contents, editorial matter, etc.  If no source in a publication fits this definition, choose a title page substitute in the following order of preference and add a 500 field note which specifies the source of cataloging data:
Selection of a chief source of title information according to AACR2 rules provides for a fixed point of reference during the lifetime of a serial which can be specified, predicted and understood by any cataloger using the record.  It allows for recognition of a title change in the future
Trainers:most of the definitions for the sources are in the glossary in the appendices.		

## Main Entry (AACR2 21.1B2):

-  Decision process:
-  Does it fit one of the categories in AACR2 21.1B2?
-  If not, what is the title?
-  Is the title unique or does it need a uniform title?

**Notes:**

Determining Main Entry
The main entry is the primary access point under which the serial will be cited.  The main entry is used for single entry citations, such as in check-in files, or union lists.  For serials, the choice of main entry is important in that changes in the main entry may require a new record.

- Main entry for serials is almost always either title main entry or corporate body main entry.  A serial will rarely be entered under a personal name.

The Decision Process:
	-Does it fit in AACR2 21.1B2 category of administrative	 	report?
	- If not, what is the title?
	- Is the title unique or does it need a uniform title?
[Note: the next slide contains information on 21.1B]

## 21.1B2: Categories most often used for serials

- A.  Works of an administrative nature
**(e.g., annual reports, directories, etc.)**
- C. Works that reflect the collective thought of a body
**(.e.g. reports of commissions, etc.)**
- D. Collective activity of a body (e.g., conference proceedings)

**Notes:**
There are five categories given under rule 21.1B2. 
Note that it is the nature of the contents and not the nature of the title that determines the main entry.
Category a is the one that most often applies as it includes most annual reports, financial reports, directories, etc. of a body.  

Category c includes reports of commissions that are frequently serials, particularly reports that are mandated by a government.

Category d covers conference proceedings and the reports of annual meetings.

Other categories:

Category b applies to legal, religious and governmental works.  Many legal publications are serials, so this category will often be applied if one is working with legal materials.
Category e covers the works of performing groups and is rarely applicable.

## Main Entry (cont’d):

_**Main Entry (cont’d):**_

- entry under corporate body:
**110  2-  #a International Centre for Settlement of Investment Disputes.**
**245  10  #a Annual report / #c ICSID.**
- entry under title (most common):
**  ****00  #a Look Japan.**
**245  00  #a Adobe magazine.**

**Notes:**
Entry under corporate author:
Rule 21.1B2 categories most likely to apply to serials: 
Category a includes those of an administrative nature dealing with the body itself, its  policies, procedures, finances, operations  (e.g., annual reports).  This is the most commonly applied category for serials.
Category b deals with legal works, many of which are serials.
Category c includes works that record the collective thought of the body (e.g., reports of commissions or committees)
Category d covers conference proceedings, which are often serials.

Entry under title:
Entry under title is the most typical choice.  

## Main Entry (cont’d):

_**Main Entry (cont’d):**_

-   entry under uniform title: (LCRI 25.5B)
**130  0-  #a Network (Bristol, England)**
**130  0-  #a Network (Friends of Canadian  Broadcasting)**
**130  0-  #a Network (Garden City, N.Y.)**
-   entry under personal author (rare):
**100 10  #a Gresham, Don.**
**245 14  #a The country music newsletter**.

**Notes:**
Entry under uniform title:
Entry under uniform title is typical when two different serials are both entered under  title and the titles are identical.  The place of publication is usually added as a qualifier to distinguish the two serials, but a corporate body, frequency or physical format can also be used.  
This form of uniform title is governed by LCRI 25.5B and is used to distinguish different serials from one another.  This is different from uniform titles that are meant to bring together different versions of a work, such as musical recordings, versions of the Bible, or translations.
- See LCRI 25.5B and CONSER Cataloging Manual, Module 5, for further cases in which uniform titles are assigned to serial records.

Entry under personal author:
- Personal authorship is extremely rare for serials and is used only when the publication is so closely identified with one person that it is doubtful it would continue without them
- In the example of Tennessee Ancestors, there is no other publication with this title so no uniform title is needed.  The articles in the table of contents make it clear that this publication is not about the East Tennessee Historical Society but rather the history and genealogy of Tennessee families so entry is under title.

## Title Proper (AACR2 12.1B; 245 #a, #n, #p):

_**Title Proper**_** ****(AACR2 12.1B; 245 #a, #n, #p):**

- Title proper includes subfields #a (title), #n (numbering of section), and #p (name of section)
- Importance of the title proper:
**used to determine major changes**
**used in links**
**determines need for uniform title**
- examples:
**245  00  #a OAH newsletter.**
**245  04  #a The bookman. #n Part B. **
**245  00  #a Journal of physics. #n E, #p Scientific instruments.**
**245  00  #a Country profile. #p China, Mongolia**.

**Notes:**

Transcribing the Title Proper (AACR2 12.1B)
- The title proper is transcribed from the chief source (see AACR2 12.1 and LCRIs).
The title proper may include subfields #a, #n and #p when present.  
The choice of title proper is more important for serials than it is for monographs, because a change in the title proper may require a new record.  The title proper is also used in links to other records and is used to determine whether a uniform title is needed when entry is not under corporate body or personal name.

## Title Proper (cont’d):

-  omit variable data: (AACR2 12.1B7)
_**On piece**_**:                        **_**In record**_**:**
**5th Annual Report****	****   =  Annual report**
**The 1994 Directory   =  The ... directory**
**In our example:**
**	****245 00  #a Tennessee ancestors.**
**	****500 --   #a  Description based on: Vol. 14, no. ****	****	****3 (Dec. 1998); title from cover.**
**	****	**

**Notes:**
-Serial titles may contain variable data, such as the numbering that will only apply to that issue.  Because the serial record must represent the entire serial, variable data is omitted from the title.  Other data, such as prices or names of officials may also be omitted when they are likely to change on future issues. 
The punctuation and capitalization may be changed as necessary, according to Appendix A in AACR2. For example (see above)
- If the typography or layout of the words in the chief source causes doubt about what the publisher intends the title to be, consult other presentations of the title in the piece, such as the masthead or editorial page. (AACR2 12.1B3 and LCRI 12.1B3)

- In our example, the title would be transcribed as:
	245 00 #a Tennessee ancestors

- If the chief source is a title page substitute, add a note describing from where it is taken.  Combine such a note with the “Description based on” note, if any.

## Title transcription challenges

**How would you transcribe these titles?**

**MIT’s**
**Technology Report**

**Government of Canada**
**Publications**
**du Gouvernement du Canada**

**ARL**
**Newsletter**

**Notes:**
Trainer’s: Use these examples to explain that publishers often pose challenges for the serials cataloger in determining how to transcribe the title.  Explain that they often must look elsewhere in the piece to determine whether or not to transcribe the name of a corporate body in the title (rule 12.1B3) and the difference between names that are grammatically linked (as in the MIT example) or not.  

The Canadian example is one in which the word is meant to be read twice and thus is repeated according to 1.1B5.

You may substitute other examples if you like.

## Other Title Information (AACR2 12.1E):

_**Other Title Information (AACR2 12.1E):**_

- include if it is an initialism, or contains a statement of responsibility, or when title proper is just the name of the corporate body
_**on piece**_**:   ER   Economic Reform**
_**in record**_**:  245 00  #a Economic reform : #b ER**
**245  00  #a Tennessee ancestors : #b a tri-annual**
**publication of the East Tennessee Historical Society.**

**Notes:**
Other title information (AACR2 12.1E)
- Generally, other title information is not included in serial records unless it is an initialism or contains a statement of responsibility (AACR2, 1.1E6) or it is given to explain the title proper (LCRI 12.1E1).
If both the full form of the title proper and an initialism appear on the chief source,give the full form as the title proper and add the initialism in subfield b of the 245 field. 
In our example, the title information found at the bottom of the cover does contain a statement of responsibility so it would be transcribed (as above).

## Other title information (cont.)

**In other cases it can be given as a quoted note, included in 245, or omitted.**
- 245 00 #a Focus : #b a journal of legal studies.
**or**
- 245 00 #a Camera obscura.
-     500 --   #a “A journal of feminism and film history.”

**Notes:**
Subtitles are usually omitted because they change frequently.  However, they can be given when the title proper is very general.  Under the revised rule in AACR2, catalogers have a choice of giving such information as other title information, giving it in a note, or omitting it from the record.  

There is no preferred way to handle other title information. It should be determined by your OPAC displays and the value that you think the other title information will bring to the record.

## Statements of Responsibility (AACR2 12.1F):

_**Statements of Responsibility (AACR2 12.1F):**_

- For serials, a statement of responsibility is generally a prominently placed corporate body appearing on the chief source in conjunction with the title
**example:**
**	****245  00  #a News and events / #c Art Institute of Chicago.**
- Do not give editors as statements of responsibility

**Notes:**

Statements of Responsibility (AACR2, 12.1F)
Generally, only prominently placed corporate bodies appearing on the chief source are recorded as statements of responsibility in serial records. This is because they are more subject to change over time.   For example (as above)

Editors are not given as statements of responsibility.  If they are considered important for access, they may be given in a note and added entries may be made.

## Variant titles: field 246  (AACR2 12.7B4):

_**Variant titles: field 246  (AACR2 12.7B4):**_

- additional title access:
**245  00  #a Freeport daily journal.**
**246  1-   #i Alternate issues published with title: #a Chicago daily telegraph**
**245  04  #a The miner & workman's advocate.**
**246  3-   #a Miner and workman's advocate**
**245  00  #a Japan report = #b Nihon.**
**246  31  #a Nihon**

**Notes:**
Variant Titles (AACR2, 12.7B4)
- Title added entries are generally made for other titles that the publication might bear (cover title, fluctuating titles, parallel titles, running titles, etc.) or for portions of titles (dependent titles) or for variations of titles (initialisms, titles with ampersands,etc.) when these might reasonably be taken by a user as the true title.  Variant titles also include minor title changes.

Appendix H in your manuals contains the list of indicator values for field 246. The first indicator value determines whether or not an added entry and/or note will be generated from this field.  The second governs the display wording for the note, such as “Cover title” or “spine title”.  When the terms included in MARC are not sufficient, subfield $i may be used to supply your own wording.  

## Variant titles (cont’d):

_**Variant titles (cont’d):**_

**245  00  #a Children's health care.**
**246  17  #a JACCH**
**245 00  #a Daily report. #p Western Europe.**
**246 30  #a Western Europe**
-  titles that do not appear on any pieces
**246  1-  #i Popularly known as: #a TennAn**

**Notes:**

- Title added entries may also be made for works commonly known by titles that do not appear on any pieces (LCRI 12.7B4).

- If our example were popularly known as Tenn An, for example, a 246 field note could be added to the record.

## Sample Record:

_**Sample Record:**_

**Type: a****   ****Elvl:       Srce:       Gpub:       Ctrl:        Lang: eng**
**Blvl:s****	****     Form:    Conf: 0****	****   ****Freq: t ****      Mrec:     Ctry: **
**S/L: 0****	****     Orig:      EntW: ****	****   ****Regl: r ****      ISSN:     Alph: **
**Desc: a   SrTp: p  ****Cont:       ****DtSt: c      Dates: 19uu,9999**
**245  00  #a Tennessee ancestors : #b a tri-annual publication of the East Tennessee Historical Society.**
**500   --  #a Description based on: Vol. 14, no. 3 (Dec. 1998); title from cover.**

**Notes:**
Thus far, our sample record would look like this.

## Summary

-  Base the description on the chief source of the first or earliest available issue in hand
- The chief source is the title page or its substitute (cover, caption, etc.)
- Most serials are entered under title.
- Uniform titles are used to distinguish different serials with the same title.
- Record the title proper as it appears on the chief source, except for capitalization, punctuation and omissions
- Record other title information when called for or when considered useful

## Session 3: Exercises

**Notes:**
Instructions for exercises:
Use the workforms provided in Appendix D to record the cataloging data from the information provided in the following pages.
Select the chief source.
Transcribe and tag the title proper.
Select and tag a main entry, if any.
Make any title added entries thought useful.
Indicate any other title related  notes thought appropriate (i.e., source of title, DBO).
Examples 1-3 are easy.  Example 4 is more difficult.

## Answers for Exercises:

- Example 1
- Chief  Source: cover
- Type:  a     ELvl:         Srce:  d      GPub:        Ctrl:            Lang:
- BLvl:  s      Form:        Conf:         Freq:          MRec:        Ctry:
- S/L:    0      Orig:         EntW:        Regl:         ISSN:          Alph:
- Desc:  a      SrTp:        Cont:          DtSt:         Dates:    ,
**245  00  #a Bells and bellringing.  **
**500  --  #a Title from cover.**

**Notes:**
 Answers are highlighted in slide.

## Exercises (cont’d):

- Example 2
- Chief source: caption at the top of page [1]
- Type:  a     ELvl:         Srce:  d      GPub:        Ctrl:            Lang:
- BLvl:  s      Form:        Conf:         Freq:          MRec:        Ctry:
- S/L:    0      Orig:         EntW:        Regl:         ISSN:          Alph:
- Desc:  a      SrTp:        Cont:          DtSt:         Dates:    ,
**110  2-  #a Illinois State Genealogical Society.**
**245  10  #a Newsletter / #c Illinois State Genealogical Society.  **
**246  17  #a ISGS**
**500  --  #a Description based on: Vol. 20, no. 1 (Jan./Feb. 1999); title from caption.**

**Notes:**

Suggestion to trainers: talk through how to decide whether is corporate entry.  Publication contains financial statements, meeting schedule and is about the organization.

## Exercises (cont’d):

- Example 3
- Chief source: cover
- Type:  a     ELvl:         Srce:  d      GPub:        Ctrl:            Lang:
- BLvl:  s      Form:        Conf:         Freq:          MRec:        Ctry:
- S/L:    0      Orig:         EntW:        Regl:         ISSN:          Alph:
- Desc:  a      SrTp:        Cont:          DtSt:         Dates:    ,
**110  2-  #a Art Institute of Chicago.**
**245  14  #a The Art Institute of Chicago annual report.**
**  ****--  #a Description based on: 1981/82; title from cover.**
**500  --  #a Latest issue consulted: 2001/02.**

## Exercises (cont’d):

- Example 4
- Chief Source: cover of 1966 edition
- Type:  a     ELvl:         Srce:   d    GPub:        Ctrl:            Lang:
- BLvl:  s      Form:        Conf:        Freq:         MRec:        Ctry:
- S/L:    0      Orig:         EntW:       Regl:         ISSN:         Alph:
- Desc:  a      SrTp:        Cont:        DtSt:         Dates:     ,
**245  00  #a California information almanac.  **
**500  --  #a Description based on: 1966 ed.; title from cover.**