# Presentation: 173614

## Session 6: Series

- What are series?
- Why are they important?
- What are the various treatment decisions?
- How do you use the national authority file?
- What are some of the more complicated aspects of working with series?

## What is a Series?

- A group of separate items related to one another by the fact that each item bears, in addition to its own title proper, a collective title applying to the group as a whole.  The individual items may or may not be numbered (AACR2)
- The individual items in a series may be a monograph, a serial, or an integrating resource
- The series title and number may be the only citation a user has to the desired resource

**Notes:**
Series are often considered the most challenging aspect of serials cataloging.  We will discuss series as a further aspect of cataloging a serial in this session.

## Monographic Series

- The focus of this session is on resources appearing in monographic series
- Monographic series, are a type of serial, and have analyzable titles
- In contrast with multipart monographs which are intended to be complete in a finite number of parts and may or may not have analyzable titles

**Notes:**

When using the word series in this session, we are referring to monographic series.

A monographic series is a type of serial; each part has its own title proper as well as the title applying to all the parts.  A monographic series may contain single-part monographs, multipart monographs, serials, and/or integrating resources. 

## Monographic Series

**Self help for idiots,**
**no. 1**

**Keep your husband from blowing the budget**
**Penny Pinchley**

**Self help for idiots, no. 2**

**Self help for idiots, no. 3**

**Exercise without exertion**

**Feng shui for the packrat**

**Ben Dover**

**Ura Mess**

## Series and Serials

- Why they’re problematic to catalogers and users
- A serial can be issued in one or more series during the time the serial is published
- Serials can have a main series and a subseries; they can have different numbering; or one can be numbered and one not
- Series can be cataloged as serials in themselves, i.e., collected together (whether analyzed or not)
- Treatment decision for a series may have a special impact on serials in the series that wouldn’t be as significant for the monographs in the series

**Notes:**
If a series is “analyzed,” the individual titles in the series are cataloged on their own bibliographic records, whether they’re monographs, serials or integrating resources.  All of the titles in the series may be cataloged (“analyzed in full”), or some of the issues may be cataloged (“analyzed in part”)

## Serial in a Series

**Self help for idiots**
**No. 4**
- Annual guide to macrobiotic dining
- 2000

**Self help for idiots**
**No. 10**
- Annual guide to macrobiotic dining
**2001**

**Self help for idiots**
**No. 21**

- Annual guide to macrobiotic dining
- 2002

**Notes:**
This is the same series as before but this is a serial in the series.  This is an annual guide and each guide is separately numbered within the series.  

## Serial in a Series

- As on piece:

- NATIONAL BUREAU OF STANDARDS
- HANDBOOK 44
- 1979
- SPECIFICATIONS, TOLERANCES, AND OTHER
- TECHNICAL REQUIREMENTS FOR WEIGHING
- AND MEASURING DEVICES

**Notes:**
The “Handbook” is the series, the “Specifications, tolerances ...” the serial that is issued as v. 44 in the series.

##  Series as a Serial

- Record for a monographic series as a serial:

- 022	1382-5364
- 245 00  Cultures, beliefs, and traditions.
- 260       New York : $b E.J. Brill, $c 1995-
- 362 0    Vol. 1-

- Record for an individual title in the series:

- 245 00  From Rome to eternity : $b Catholicism and the arts
- 		 in Italy, ca. 1550-1650 / $c edited by Pamela M. Jones
- 		and Thomas Worcester.
-   0   Cultures, beliefs, and traditions, $x 1382-5364 ;
- 	$v v. 14

**Notes:**
When cataloging a series as a serial, there is a catalog record for the series as a serial and, if the series is analyzed, for all of the individual titles in that series. For each of the individual titles that is analyzed, its catalog record has a series statement and added entry.  Each volume receives the same basic call number and the number of the series.

A library may want a brief serial record for acquisitions purposes even if the series is classed separately.

## Treatment Decisions

- Possibilities
- Catalog individual titles or not?
- Titles in the series given the same or different call numbers?  Are all of the individual titles on such a narrow subject that the same call number would be the logical choice?
- Series traced or untraced?
- Each library’s cataloging staff may make different decisions based on local needs

**Notes:**
“To encourage the contribution to shared databases of the greatest number of bibliographic records with the most specific classification, the LC/PCC national-level default treatment decisions will be “analyzed in full, traced, classified separately.” – Description Cataloging Manual, Z1 pages

Each institution has its own policies/practices on how to handle different titles in series – which may depend on such factors as the collection strengths and the subject matter of a particular series, costs of cataloging, requests from professors, etc.

Do you want to bring a series together on the shelf or let each issue be shelved with its specific subject area?  Is the series more important than the serial?  Analysis may not always be necessary.  

Whatever your treatment decision, it may be problematic for serials in series.  If your decision is to collect within one call number and analyze a series, the holdings for a serial title within that series will be scattered on the shelf among the other analytics.  If you pull out the serials and catalog them in individual call numbers, you have a broken run on the shelf for the series itself.  If a user misses the note to that effect in the OPAC, he/she may not realize that the serial titles are shelved elsewhere.

## Terms Used in Series Treatment

- Analysis – cataloging of the individual titles
- Analytic: An individual title in a series
- Analyze:  To catalog the individual titles
- Collected set – a series in which all titles are ‘collected’ under the same classification number based on the general subject of the series
- Classed separately – a series in which each title is given its own classification number based on the specific subject of the individual title

## Consulting the Authority File

- To determine
- If a word or phrase is a series or series-like phrase
- Correct form of entry and numbering
- LC/PCC decision
- Analyzed or not
- Collected set vs. cataloged separately
- Traced or untraced (current default decision for a newly established series is “trace”)
- When a series title changed entry

**Notes:**
The first step for a cataloger with a series on a serial title is to check the national and/or local authority files.  There is no separate authority file for SARs. You may need to also search the bibliographic file to determine LC treatment for a series.

In the authority file, determine:
 whether a word or phrase is a series or a quoted note -- and in your library, you may be treating some of those “quoted notes” titles as serials
 whether the series title is analyzed or not 
 the correct form of entry and numbering for the series
 whether the series title is collected in one call number or cataloged as separates.

If a series title has changed entry, you may need to rethink your decision on the new title in hand.  Do you still want to analyze it? Is this the appropriate time to change the classification decision? Although it is important to follow national practice on the form of entry (for consistency in the national database), treating a series title as (1) collected or not, and (2) analyzed or not, is really a matter of local needs.

## Interpreting the Series Authority Record

- Form of entry (field 1xx)
- See from references for variant forms of the series title including minor changes (4xx fields)
- See also from references for earlier/later names of the series title (5xx fields)
- Form of numbering (field 642)
- Analysis (field 644)
- Traced or untraced (field 645)
- Classification (field 646)
- Notes (fields 667-688)
- Citations to works in which the series was found (670 field)
- Citations to works in which the series was not found, including earlier/later names of the series title (675 field)

**Notes:**
The series authority record is important, because it enables catalogers to use the same choice and form of entry in the national database, even if we all choose different treatments based on the needs in our own libraries.  A series authority record and a serial bibliographic record describe the same title, but have different purposes. 

It includes the form of the series to be used (1xx), cross references (4xx and 5xx), the form of numbering (642), treatment decisions (644-646), and notes related to the series (667-688), including citations to works in which the series was found (670) or not found (675), including earlier/later names of the series title.  667 notes are sometimes helpful when they indicate that different issues of a series have title variations.

## Example of a Series Authority Record

- ARN:   31166
- Rec stat: c      	Entered:     19830602
- Type:        z	Upd status:  a     Enc lvl:     n	    Source:   c
- Roman:    ■     	Ref status:   a     Mod rec:           Name use: a
- Govt agn: ■    	Auth status: a     Subj:         a      Subj use: a
- Series:      a     	Auth/ref:      a     Geo subd: n      Ser use:  a
- Ser num:   a     	Name:         n     Subdiv tp: n      Rules:     c
- 1  010     n  42033258 $z n  84801426
- 2  040     DGPO/DLC $c DLC $d DLC $d DLC-S $d DGPO $d DLC
- 3  005     19980609085649.1
- 4  050     QC100 $b .U565 $d <113>-117
- 5  130  0  NBS handbook
- 6  410 1   United States. $b National Bureau of Standards. $t NBS handbook
- 7  430  0  National Bureau of Standards handbook (1974)
- 8  530  0  National Bureau of Standards handbook $w a
- 9  530  0  NIST handbook $w b

**Notes:**
The remainder of SAR is continued on the next slide.

<Instructors:  explain the various fields briefly>

## Example of SAR (cont.)

- 10  642     134 $5 DLC $5 ICU
- 11  643     Washington, D.C. $b Dept. of Commerce, National Bureau of
- Standards
- 12  644     f $5 DLC $5 ICU
- 13  645     t $5 DLC $5 ICU
- 14  646     s $d 118- $5 DLC $5 ICU
- 15  646     c $d <113>-117 $5 DLC $5 ICU
- 16  667     Document
- 17  670     Fire investigation handbook, 1980.
- 18  670     CODASYL data description language, 1974: $b cover (NBS handbook                       113)
- verso of t.p. (National Bureau of Standards handbook 113)
- 19  675      Radiation safety for x-ray diffraction ... 1972: t.p. (National Bureau of
- Standards handbook 111) cover (NBS handbook 111); $a Software user's guide for
- the ... 1989: t.p. (NIST handbook)

**Notes:**
<Instructors: explain the fields briefly>

## Choice and Form of Entryfor the Series Title

- Same decision process as for other serials
- Uniform title may be necessary (AACR2/LCRI 25.5B)
- If there is an SAR in the national authority file, use that heading for consistency of access points in the database
- If there isn’t an SAR in the national authority file, establish according to the rules for serials

**Notes:**
The choice and form of entry for a series should be determined from the national authority file, and if not available there, determined from following AACR2 for choice and form of entry for serials.  Does the title need a qualifier because it conflicts with another in the database? What is the most appropriate qualifier? Etc.

## Series Statement and Added Entry

- Series statement (440 or 490)
- As it appears on the issue
- Series added entry (4xx/8xx)
- Use form in authority record
- Can be in 440, if form on issue and form in authority record match
- Numbering or not? (LCRI 12.6B1)
- Is the numbering constant?
- Yes: use in added entry on serial record
- No: leave out of added entry on serial record

**Notes:**
When a series is given on a serial you’re cataloging, you need to provide a series statement as it appears on the piece in hand and you need to give an added entry in the same form as is given in the authority record.  This is not different than for series on monograph titles, except that the series numbering is not given in the series statement and added entry, because the series numbering usually changes from issue to issue of a serial.

According to LCRI 12.6B1, the number of the series is included in the series statement and added entry when:
A single issue of a serial is in a series
A known span of issues of a serial is in a span of consecutive numbers of a series
All issues of the serial in the series carry the same number of the series.  If part of the series number is the same on all issues of the serial, record only that part and include that part in the added entry for the series

## Series Statement and Added Entry

- Serial in an unnumbered series; series traced
- differently:

- 130 0   Communications (Statistics Canada)
- 245 10 Communications = $b Communications.
- 490 1    Service bulletin = $a Bulletin de service
- 830   0  Service bulletin (Statistics Canada)

**Notes:**
This is an example of a government document serial that is issued in an unnumbered series and is just one of many serials that are published in that series.  Since the unnumbered series contains many serials, analyzing fully and cataloging each serial in that series as a separate with its own call number, is the usual treatment.  Unnumbered series are generally classified separately unless a library wants to supply numbers in order to keep the volumes together on the shelf.

## Series Statement and Added Entry

- Serial in series; series traced the same; series numbering remains constant:

- 110 2    National Conference on Weights and Measures.
- 245 10  Specifications, tolerances, and other technical
- 	requirements for weighing and measuring devices.
- 362 0   1979-
- 440  0  National Bureau of Standards handbook ; $v 44

**Notes:**
This is an example of a serial issued in a series where the numbering for the volume of the series remains constant on every issue and is therefore included in the series statement and added entry.

## Series Statement and Added Entry

- Serial in series; series traced the same; series title has major change(s); series numbering remains constant:

- 110 2    National Conference on Weights and Measures.
- 245 10  Specifications, tolerances, and other technical requirements
- 	 for weighing and measuring devices.
- 362 0    1979-
- 490 1    1979- : National Bureau of Standards handbook ; $v 44
- 490 1    -1989: NBS handbook ; $v 44
- 490 1    1990- :  NIST handbook ; $v 44
- 830   0  National Bureau of Standards handbook ; $v 44.
- 830   0  NBS handbook ; $v 44.
- 830   0  NIST handbook ; $v 44.

**Notes:**
This is the same example of a serial in a series with constant numbering, but after the series title changes twice.

When the series title changes, the cataloger needs to:

Change the series field from a 440 to a 490 traced differently field, if the title had been traced in a 440 field.  (If a series title was traced in a different form, a 490/8xx combination would have already been used.)

Add dates for the years for which the serial is in the series before the title in the 490 field.

Give an added entry for the series in 830 field.

Follow the same practice for each new series title on the record.

## Series Statement and Added Entry

- Serial in series; series traced the same; series title has a major change; series numbering different on each issue:

- 245 00  Oil development and production in Indiana
- 			during ...
-  1    1954-1962: Mineral economics series
- 490 1    1963-<1974>: Geological Survey mineral
- 		economic series
-    0  Mineral economics series.
- 830   0  Geological Survey mineral economics series.

**Notes:**
This is an example where the series title has a major change.  Because the series numbering is different on each issue of the serial, the numbering is not included in the series statement or added entry.

## Series Statement and Added Entry

- Serial in numbered series for some volumes; series traced differently:

- 245 00 Immigration studies.
- 490 1   Vol. 1-3: Research in 20th century immigration
- 		; $v. no. 28-30
-    0  Research in 20th century immigration ; $v. no.
- 		28-30.

**Notes:**
This is an example of a serial where the first three volumes appear in a series. The numbering can only be added once it is known that the serial is no longer in the series or has ceased.  Most cataloging departments would not be likely to do such updating unless the series has been classed in the collection and the serial would have to be reclassed beginning with vol. 4. 

## Series Statement and Added Entry

- Microform serial in numbered microform series; series traced the same:

- 245 04  The monthly American journal of geology
- 		and natural science $h [microform].
-      Microfilm. $b Ann Arbor, Mich. : $c
- 	University Microfilms. $e microfilm reel ; 35 mm.
- 	$f (American periodical series, 1800-1850 ; 659)
- 830   0  American periodical series, 1800-1850 ;
- 	$v 659.

**Notes:**
This is an example of a microform version of a serial and the microform is published in a series.  The series statement is given in $f of the 533 field and traced in a 8xx field.

## Challenges of Series

- Serial published in multiple series
- Main series and subseries
- Unnumbered series

**Notes:**
We will discuss these common challenges of series next.

##  A Serial in Multiple Series

- A serial can be published in more than one series, with each series having a different treatment decision:
- Treated as a serial (collected, unanalyzed)
- Treated as analyzed serial (collected; analyzed)
- Cataloged as separates (with the serial title being one of the “separates”)

**Notes:**
The cataloger needs to determine for each of the series the serial is published in:
correct choice and form of entry
local treatment decision for each of the series. 

For the first treatment option (collected, unanalyzed), there would not be a bibliographic record for the serial in the series.

## A Serial in Multiple Series

- Serial issued in two different analyzed numbered
- series; both series traced differently:

- 245 00  Annual report for magnetic observatories and repeat
- 		stations = $b Rapport annual des observatoires
- 		magnétiques et des stations de répétition.
- 490 1   Paper / Geological Survey of Canada = $a Etude /
- 		Commission géologique du Canada
- 490 1   Geomagnetic series = $a Série géomagnetique
-   0  Paper (Geological Survey of Canada)
- 830  0  Geomagnetic series.

**Notes:**
This is an example of a serial published in two unrelated series at the same time.  Both series are traced differently because the headings don’t match the series statements.

## A Serial in a Main Series and Subseries

- A serial can be published in a main series and a subseries
- One or both may have numbering
- Tracing the main series and subseries can differ depending on whether or not the main series is numbered or unnumbered
- Main series unnumbered -- one series added entry
- Main series numbered -- two series added entries

**Notes:**
A main series and subseries is one category of a common title and section title, except that there is a third title on the piece – and that third title may be a monograph, serial, or integrating resource.

The cataloger needs to determine choice and form of entry and the local treatment decision for both the main series and subseries in order to complete the cataloging.

Tracing the main series and subseries will differ depending on whether or not the main series is numbered or unnumbered:  
When the main series is unnumbered, one series added entry is given.  
When the main series is numbered, a separate series added entry must be given for the main series alone, whether or not the subseries is numbered or unnumbered.

## A Serial in a Main Series (Unnumbered) and Subseries

- On piece: Act Universitatis Carolinae Philologica 43
- On record for the serial:

- 245 00  Prague studies in English.
- 440   0  Acta Universitatis Carolinae. $p Philologica

**Notes:**
The main series is unnumbered and the subseries has numbering in this example.  There is only one series added entry and it is given in the 440 field, since it is in the same form in the 4XX field as it is in the heading.

## A Serial in a Main Series (Numbered) and Subseries

- On record for the serial:

- 245 00  Surface research.
- 490 1    Acta Universitatis Wratislaviensis.
- 	       Matematyka, fizyka, astronomia, $x 0084-2966
-   0  Acta Universitatis Wratislaviensis.
- 830  0  Acta Universitatis Wratislaviensis. $p Matematyka,
- 	fizyka, astronomia.

**Notes:**
Because the main series has numbering, two 8xx fields are necessary.  Because it is a serial in a main series and subseries and the series numbering changes from issue to issue, the series numbering is not given in the series statement or added entries.

## Unnumbered Series

- Now included in definition of serial
- Primary reason is to be able to apply serial rules for title changes, entry, etc., to SARs
- May now catalog on a serial bibliographic record rather than as individual monographs (local decision)
- “Description based on/Latest issue consulted” notes based on the title information and date of publication of the first/latest issue in hand

- New!

**Notes:**
By definition, numbered series have always been considered serials.  What’s new is that unnumbered series are now serials also.  Cataloging an unnumbered series as a serial is feasible, but it is not common practice. 

The DBO and LIC notes were covered in Session 4.

## Unnumbered Series Cataloged as a Serial

- 245 00  Series in Chicana/Latina studies.
- 260        Berkeley : $b Third Woman Press
- 300        v. ; $c 22 cm.
- 500	     Description based on: Chicana critical
-                issues, 1993.
-        Latest issue consulted: Latinas on stage,
-     2000.

**Notes:**
When an unnumbered series is cataloged as a serial, no formatted 362 field is possible.  Instead, the DBO and, if necessary, the LIC notes include a brief citation to the first/last available issues.

## Summary

- The individual items in a series may be a monograph, a serial, or an integrating resource
- Series are one of the most challenging aspects of serials cataloging
- Choice and form of entry for a series is determined in the national authority file or by following AACR2 for correct choice and form of entry for serials

**Notes:**
The series statement is how it appears on the piece; the added entry needs to conform to the entry in the authority file.

## Summary (cont.)

- Treatment decisions should be based on local needs, but consider the treatment decision in the national authority file
- Unnumbered series are now included in the definition of a serial and may be cataloged on a serial bibliographic record

**Notes:**
It may be most cost-effective to follow the treatment decision in the national authority file, but that may not always be the best decision for your library.

Treatment decisions include:
Analyzed or not
Collected set vs. cataloged as separates
Traced or untraced

<Instructors: there are no exercises for this session>