# Presentation: 301558

##  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?
- What MARC tags are most commonly used for serials?

- Session 2

**Notes:**
References
	AACR2 definition of serial in glossary
	CONSER Cataloging Manual, Modules 2, 31
	LCRI 1.0
The objectives of this session are to help the participants define and identify serials based on information from the piece(s) in hand.  

Examples from the pre-workshop exercises can be reviewed here to determine if they are considered serials or not and why.

## Dictionary Definition of Serial

- A publication issued as one of a consecutively numbered and indefinitely continued series.

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**Notes:**
Webster’s defines a serial as: a publication issued as one of a consecutively numbered and indefinitely continued series. 

This definition describes what a serial is. In cataloging practice, AACR2 offers catalogers a more operational definition. 

## Definition of a Serial

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

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**Notes:**
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

-  Numbering (usually)
-  No predetermined conclusion (necessary)

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**Notes:**
There are three primary characteristics that distinguish a serial from other types of publications 
A serial consists of 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.).
A serial usually has 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.
A serial has 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 because the publisher intended to publish a continuing resource.

## Also Treat as Serials:

- Publications of limited duration (AACR2 12.0A)
- Have similar characteristics and functions of serials but have a predetermined conclusion
- Examples: Newsletters from conferences,
-        quarterly reports of projects, etc.

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**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 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

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**Notes:**
Now that we’ve reviewed the formal definition of a serial, let’s consider the clues used to distinguish serial issues from other types of publications.

The presence of an ISSN (International Standard Serial Number) is a strong indicator of a serial. But be careful.
	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 Serials Data System to materials that would not be cataloged as serials such as loose-leaf publications, ongoing online databases, and Web sites (i.e., integrating resources); 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.

Words in the title indicating frequency are also a strong indication of a serial. “Weekly,” “annual,” and “monthly” are three examples of frequency terms.

## Identifying Characteristics

-  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

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**Notes:**
Another characteristic of a serial is the 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.

In some cases, year(s) of coverage appear prominently on a publication. Keep in mind:
- 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

- Preface:
*The inaugural issue of Advances in the Theory of Computation and Computational Mathematics ... Future volumes of ATCCM ... *
-   Certain titles:
**Advances in** accounting
**Developments in** aging
**Progress in** theoretical organic chemistry
**Trends in** African linguistics

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**Notes:**
Statements indicating the intent to continue publishing are sometimes elusive. But not always.
Check title page verso, preface, introduction, colophon, etc., for this information.  

In many cases, words in the titles imply continuing publication.
- Examples: 
Advances in ...
Developments in...
Progress in ...        
Trends in ...           

## Non-serials: Print Monographs (RI 1.0C)

- Cartographic materials (most)
- Censuses
- Encyclopedias
- Hearings
- Five-year plans

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**Notes:**
LCRI 1.0C lists certain categories that are typically not cataloged as serials. Among these are:
books "issued in parts" (fascicles) censuses 	encyclopedias hearings publications of five-year plans

## Non-serials: Integrating Resources

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

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**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. However, like serials, ongoing IRs are also eligible for ISSNs.

## Special Types of Resources

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

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**Notes:**
Special Types of Publications 
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 of a serial
-  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 if conference publication is published in a numbered series

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**Notes:**
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

- Split treatment:
- 500 -- $a Issues for 1993-1995 conferences cataloged separately. $5 [MARC21 inst. code]
- 500 -- $a Beginning with the 5th conference, issues are cataloged separately. $5 [MARC21 inst. code]
- 		or
- 590 --  $a Issues for 1993-1995 conferences cataloged separately.
- 590 --  $a Beginning with the 5th conference, issues are cataloged separately.

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**Notes:**
- When there is a change in the main entry for a conference publication cataloged as a serial, the publication is considered to be new and the decision whether to catalog it as a monograph or as a serial is remade according to the criteria on previous slide.  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 [MARC21 institution code]
	500 -- $a Beginning with the 5th conference, issues
	are cataloged separately $5 [MARC21 institution code]

- Alternatively, a local note (e.g., OCLC 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

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**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. 
- Example: CONSER Editing Guide has “update 17 (2006)” but these pages are intended to be interfiled with the volume

## 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

- Session 2

**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.

- Session 2

**Notes:**
Reprints of Serials (12.0A & LCRI 1.0)
Reprints of serials are cataloged as serials unless The reprint is a single issue or limited number of issues OR 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**

- Session 2

**Notes:**
Monographic series
- These may be cataloged as serials or each issue may be cataloged separately depending on local decisions and/or policies.
- Unnumbered series are also considered to be serials.

For example, the monograph title Abraham Lincoln could be cataloged and classed separately or the series Historical Bulletin could be cataloged under the series title only.  Even when the individual titles are separately cataloged, they may be classed together so they will sit together on the shelves.  

## Change of Issuance over Time

- What begins as a multipart monograph may become ...
- What begins as an integrating resource may become ...
- What begins as an serial may become ...

*Differences between, Changes within*. Chicago: ALCTS, 2007. http://www.ala.org/ala/alctscontent/alctspubsbucket/
- 		webpublications/cataloging/newrecord/differences.htm
- “Changes in a bibliographic resource’s mode of issuance” http://www.loc.gov/catdir/cpso/modeissu.html

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**Notes:**
The discussion up to now has focused on what a publication is at a specific point in time. Of course, particularly in the case of e-resources, publications may morph over time. This topic of change among types of issuance—serial to integrating resource, monograph to serial—is outside the scope of the Basic Serials Workshop. The main point of this slide is to alert you to one additional intriguing aspect of serials.

## MARC Tagging and Serials

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**Notes:**
So far, we have covered the formal definition for a serial and have reviewed characteristics that identify serials. Now, we’ll take a brief look at bibliographic records for serials as they could appear in a utility such as OCLC or in the staff module of a library’s catalog. The question is, how can one identify a bibliographic record for a serial?

## Serial MARC Record

- The serial fixed field includes:
- Type  a   ELvl        Srce  d    GPub       Ctrl        Lang  eng
**BLvl  s**   Form      Conf   ■    **Freq  ****■**   MRec      Ctry   enk
**S/L     0**   Orig   ■   EntW       **Regl  ****■**   Alph
- Desc  a   **SrTp  p**   Cont        **DtSt  c**    Dates 1920,9999

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**Notes:**
The example in the slide, based on an OCLC record, illustrates the main elements in the fixed field of a bibliographic record that identify a serial record. [Only the differences in blue need to be pointed out during the presentation.]

In OCLC, serials use the Continuing Resources cataloging work form. A serial 008 fixed field contains coded bytes not found in other 008 fields:
1. Bibliographic Level (BLvl) “s”  for serial (periodical, newspaper, journal, etc.) 
2. Frequency and Regularity codes (which are optional for the CONSER standard record)
3. Date Status: A code to indicate the current publication status (current, dead or unknown)
4. S/L: A code to indicate whether the record uses successive or latest entry cataloging conventions. The default value in OCLC is “0”; this indicates a successive entry record. In brief, “successive entry” means that major changes are reflected in a succession of separate records. Most AACR2 serials are coded “0.” (Trainers note: Session 3 and 5 cover the concepts of “successive” and “latest entry” cataloging in greater detail)
5. SrTp: A code to indicate the type of serial being cataloged (periodical being the most common code)

## Serial MARC Record

- 0XX Variable Fields:
- 010  --  $a 98659124 $z sc83001761
- 022  --  $a 0043-9983
- 037  --  $b IPC Magazines Ltd., King’s Beach
-             Tower, Stamford Street, London SE1 9LS
- 042  --  $a lc $a nsdp**  **
- 050  00  $a GV771 $b .Y3

- Session 2

**Notes:**
The 0XX variable fields are used in the same way as in other formats, except:
  The 022 field contains the ISSN
  The 037 field (replaced the 265 field) contains the name and address of the publisher or distributor
  The 042 field indicates that LC or a CONSER member has authenticated the record
[Note: The slide also displays a Library of Congress Control Number (010) and a Library of Congress call number (050). The first indicator of the 050 shows that the resource is in LC’s collection; the second, that the call number was assigned by Library of Congress.]

## Serial MARC Record

- Title Fields::
- 210  0 -  $a Yacht. mon.
- 222  - 4  $a The Yachting monthly
- 245  04  $a The yachting monthly.
- 246  13  $a Yachting
** **
- Publication Information:
-     260  --  $a [London : $b Yachting Monthly], $c 1920-
- 300  --  $a v. : $b ill. ; $c 28 cm. [CSR: optional]

- Session 2

**Notes:**
Many serial records also have an abbreviated key title (210) and a key title field (222) in addition to the 245 title proper. These are assigned only by members of the ISSN network.
Many serial records will also contain variant titles, coded in the 246 field.

For records coded according to the CONSER standard record guidelines, the date (subfield $c) of the publication area (260) is not required. However, in records cataloged according to AACR2, with the first and last issues in hand, the 260 subfield $c will typically contain an open date (if the title is currently active) or closed dates (if the title is dead). 

## Serial MARC Record

- Frequency:
**	**310  --  $a Monthly
- Designation:
- 362  1-  $a Began with v. 29, no. 166 (Feb. 1920).
- Notes:
- 500 --  $a Published: IPC Magazines Ltd., 1991-500 --  $a Description based on: Vol. 29, no. 166             (Feb. 1920); title from cover.
- 500 --  $a Latest issue consulted: Vol. 160, no. 2             (May 1998).

- Session 2

**Notes:**
An eye-readable field (310 ) is added to the record that displays to the public. (NOTE: The 310 field has a counterpart in Fixed Field elements “Frequency” and “Regularity.” Catalogers following the CONSER standard record guidelines are not required to code these elements of the fixed field.)
Individual issues of serials are typically designated by various patterns of enumeration and/or chronology. The beginning and ending designations, when known, are input into the 362 field.
Notes are made about the source of title, as well as variations found in later issues such as publication information. When changes are made to reflect later issues, a latest issue consulted note is also added.
Other note fields commonly found include: 515, 550 and 580.

## Serial MARC Record

- Subject Headings:
- 650  -0  $a Yachting $v Periodicals.
- Links:
- 780  00  $t Yachting monthly and magazine of
-               the R.N.V.R. $w (OCoLC)13484999
-               $w (DLC)sn 86032453
- 776 08  $i Online version: $t Yachting monthly
-              online $x ... $w ...

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**Notes:**
Subject added entries typically have a form designation in subfield $v.
Linking entries relate the title to earlier and later titles as well as other related publications.

[Note to trainers: Review Pre-Workshop Exercises, Part A
This would be a good point to review any of the examples from the pre-workshop exercises from section A that were not discussed in the warm-up exercise. The participants can also raise unresolved questions.]

## 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
- MARC tags for serials include special note fields and linking fields

- Session 2

## Exercises

- Session 2

## Exercise 1

| Cover: | Volume 18, Number 1 | Winter 2007 |
| --- | --- |
|  | 
Adobe Magazine

Publishing, Design, and Digital Media |
|  |  |
| 
Page 3: | 
Adobe Magazine (ISSN 1081-4477) is published four times a year in January, April, July, and October ... |

- Session 2

**Notes:**
Clues:
ISSN
Enumeration and chronology
Statement of frequency indicates continuing publication
The word ‘magazine.’

## Exercise 2

| First page: | World Stock Exchange Fact Book |
| --- | --- |
| Cover: | World Stock Exchange Fact Book 2000 |
| Verso page 1: | The World Stock Exchange Fact Book is published annually in one volume.
ISBN 0-9648930-1-0
ISSN 1087-500X |

- Session 2

**Notes:**
Clues:
ISSN
There is a coverage date on the cover, 2000.
There is a stated frequency.

## Exercise 3

| First page: | ISSN 1058-1626 |
| --- | --- |
|  |  |
|  |  |
|  | SERVICE INDUSTRIES USA |
|  |  |
|  | Third Edition |

- Session 2

**Notes:**
Clues
ISSN
3rd ed. can serve as enumeration since we know it is issued frequently.

## Exercise 4

|  Issue 1 title page: | Issue 2 title page: | Issue 3 title page: |
| --- | --- | --- |
|  |  |  |
| Academic Freedom | Academic Freedom | Academic Freedom  3 |
| 1990 | 2 |  |
| A Human Rights Report | A Human Rights Report |   Education and Human Rights |

- Session 2

**Notes:**
The numbering changes from chronological to numeric, but there is clear numbering on each issue. 

## Exercise 5

|  | Issue 1 | Issue 2 |
| --- | --- | --- |
|  |  |  |
| Cover: | Tokyo Stock Exchange | Tokyo Stock Exchange |
|  | 2003 | 2004 |
|  | FACT BOOK | FACT BOOK |
|  |  |  |
| Spine: | TSE 03 Fact Book | TSE 04 Fact Book |

- Session 2

**Notes:**
From the two pieces it is clear that the title is issued annually and that the dates are years of coverage.

## Exercise 6

| Page [vii]: | 
The Frank C. Brown Collection of
North Carolina
Folklore
Volume One |
| --- | --- |
|  | Games and Rhymes  Beliefs
And Customs  Riddles 
Proverbs  Speech 
Tales and Legends
Durham, North Carolina
Duke University Press
1952 |
| Vol. t.p.: | The Frank C. Brown Collection of
North Carolina
Folklore
IN FIVE VOLUMES
Durham, North Carolina
Duke University Press |

- Session 2

**Notes:**
This is a multi-part monograph complete in five volumes and not a serial. 

## Exercise 7

- UNITED NATIONS LITERACY DECADE
- 2003-2012
- Annual Report
- For
- 2008

- Session 2

**Notes:**
This is a publication of limited duration that has a stated frequency and numbering and can be treated as a serial according to 12.0A.

## Exercise 8

| First page: | PROCEEDINGS OF
THE EIGHTH ANNUAL
ACM-SIAM SYMPOSIUM
ON DISCRETE ALGORITHMS

Association for Computing Machinery                                      New York
Society for industrial and Applied Mathematics                    Philadelphia |
| --- | --- |
| Verso: | Proceedings of the Eighth Annual ACM-SIAM Symposium on Discrete Algorithms, New Orleans, Louisiana, January 5-7, 1997

ISBN 0-89871-390-0 |

- Session 2

**Notes:**
This can be cataloged as a serial since it is an ongoing symposium and has terms (8th) that can serve as enumeration.

## Exercise 9

| Cover: | BUILDING
THE
PUBLIC
CITY

The Politics, Governance,
And Finance of
Public Infrastructure
Edited by
David C. Perry

Urban Affairs Annual Review
43 |
| --- | --- |

- Session 2

**Notes:**
This is a monograph appearing in the numbered series: Urban Affairs Annual Review. It could be cataloged either as a serial under the series title or as a monograph with a series tracing.