# Presentation: 914997

## SCCTP Advanced Serials Cataloging Workshop

## Goals of the Advanced Serials Cataloging Workshop

- Outline the basic concepts and decision-making associated with cataloging serials, including an overview of all areas of the bibliographic description for serials
- Discuss some common problems in serials cataloging
- Give attendees practice in resolving problems encountered in serials cataloging

**Notes:**
Outline the basic concepts and decision-making:
	This will include discussing newer concepts associated with the major revision to chapter 12 of AACR2 in 2002.  Examples will be presented as they appear on serial titles or as in the MARC record, whichever is most helpful in a given situation.

Discuss some common problems:
	Serials present a variety of challenges that we all encounter in cataloging them (e.g., should a title be cataloged as a serial, monograph, or integrating resource; what is the title as it appears on the serial; what is the main entry; how do you account for numbering problems, etc.).

Give attendees practice:
	There are exercises in each session (with the exception of the session on series) for the attendees to do.  Discussion will enable everyone to benefit from other views on treatment of the same/similar problems.

## Goals for Participants

- Learn about the changes to Chapter 12 of AACR2
- Share your experience with cataloging  serials
- Discuss problems from home

**Notes:**
<Instructors:  ask the class if they have goals or particular interests other than what’s listed on the slide.  These can be listed on a flip chart to make sure they are covered or otherwise addressed during the workshop.>

## Session 1: What is a serial?

## What is a Serial?

- What are continuing resources? Integrating resources?
- What is included in chapter 12, Continuing Resources?
- What is the definition of a serial?
- What are the more difficult types of serials to catalog?

## Seriality

- Certain types of bibliographic resources are issued over time, regardless of whether they are finite (i.e., intended to be completed) or have no predetermined conclusion.
- The bibliographic data can change over time.
- Because the bibliographic record reflects the entire work, the level of specificity of some data may be affected by seriality.

**Notes:**
“Seriality” is an important concept for the appropriate cataloging of a resource, as well as for the acquisition and internal control of such resources. At the conference held in 1997 in Toronto to review the status of AACR2, Jean Hirons and Crystal Graham presented a paper: “Issues related to seriality.” This became the impetus for a major revision of AACR2 Chapter 12 that resulted in new definitions and the inclusion of rules for the cataloging of resources such as  updating loose-leafs and updating Web sites.

## * Some integrating resources are finite

- * Some integrating resources are finite

-  *

**Notes:**
This is the current model resulting from the seriality revision process begun at the Toronto Conference. Chapter 12 includes all continuing resources. 

Serials have issues or parts that remain discrete; integrating resources have updates that disappear or are “integrated” into the whole.

## Continuing Resources

- Characteristics
- Issued over time
- No predetermined conclusion
- Includes
- Successively issued resources, i.e., serials
- Integrating resources

**Notes:**
“Continuing resources” is a broad umbrella term that ties together those resources that exhibit a high degree of seriality: serials and integrating resources.  
ISSN will now be assigned to integrating resources, as well as serials. 

## Integrating Resources

- Added to or changed through updates
- Do not remain discrete
- Integrated into the whole
- Examples
- Updating loose-leafs
- Updating Web sites
- Updating databases

**Notes:**
Integrating resources will not be covered in this workshop, even though they are now covered in Chapter 12 and have similar characteristics.  There is a separate SCCTP workshop on Integrating Resources. Loose-leafs were not previously covered in AACR2, although they were addressed in Adele Hallam’s Cataloging Rules for the Description of Looseleaf Publications.  2nd ed. Washington, D.C. : Library of Congress, 1989.

##   Serials: a revised definition

- A continuing resource that is:
- Issued in a succession of **discrete** parts,
**Usually** bearing numbering, that has
**No predetermined conclusion**

**Notes:**
Former definition: A publication in any medium issued in successive parts bearing numeric or chronological designations and intended to be continued indefinitely.

“Discrete” was added to clarify the distinction in updating between serials and integrating resources. Parts can be called: numbers, Hefte, annual volumes, editions, etc. 

“Usually bearing numbering.”  This was changed to harmonize with ISSN, which doesn’t require numbering and to allow unnumbered series to be considered serials. When cataloging an unnumbered series, the description is based on the earliest title in the series and the author and title are given in the description based on note.  This facilitates cataloging as a collected set for issues that aren’t considered important enough to catalog each issue separately as a monograph.  Collected set records are not likely to be made for unnumbered series, other than for acquisitions purposes; however, having unnumbered series covered by the rules ensures consistency in the form of series heading and the number of series authority records for major changes.
The change in the last criteria is a softening of the former language, ‘intended to continue indefinitely,”  that may be easier to apply.

## Serials

- Examples
- Journals
- Magazines
- Newsletters
- Electronic journals
- Continuing directories
- Annual reports
- Newspapers
- Statistical publications
- Monographic series (numbered and **unnumbered**)

**Notes:**
The examples of “what a serial is” were changed to reflect the kinds of serials most commonly encountered, including electronic journals as a specific category.

## Expanded Scope of Chapter 12

- Finite resources having characteristics of serials, but with limited duration
- Newsletters of an event, i.e., a one-time conference
- Annual, quarterly, etc., reports of projects funded for a specific period of time
- Reprints of serials
- Finite integrating resources

**Notes:**
Chapter 12 also covers some finite resources that are to be cataloged using the rules for serials. These include newsletters of a one-time conference, a Web site for an individual conference, and reports of activities of limited duration.

Reprints of serials have been cataloged as serials according to CONSER practice because we want to keep them together with the originals, even though a reprint may be issued at one time. Reprints of serials are now covered by AACR2 12.0A1.

When considering whether a resource that is incomplete is a serial or a multipart, consider the following:
     Serials generally cover activities that occur over time (e.g., newsletters, reports, etc.) and thus, could not be issued all at once
      Multipart items generally have a defined scope but the resource couldn’t be issued all at once or was too big to fit in one volume.
The description of multiparts is NOT included in chapter 12 because they are a finite resource and different rules are applied to them. However, finite integrating resources are covered in Chapter 12 because there are no separate rules for them and their description is no different from that of continuing integrating resources.

## Finite Resources to be Cataloged as Serials

- Example:
- Report of activities of short duration:

- 245 00	Results of the Norwegian  Scientific 				Expedition to Tristan da Cunha, 1937-1938.
- 260       	Oslo : $b Det Norske videnskaps-akademi,
- 			$c 1946-1968.
- 362 0    	No. 1-no. 55.

**Notes:**
This is an example of the scientific results of an expedition that can now be cataloged as a serial, instead of as a multipart item.  The results were issued in 55 numbers over a period of years long after the expedition.  

## What is Not a Serial

- Resources that:
- Lack discrete parts
- Integrating resources
- Generally lack numbering
- Most unnumbered resources are not serials
- Have predetermined conclusions
- Irregularly revised editions (often several years apart)
- Multi-volume sets, i.e., multiparts
- Encyclopedias (A-Z)
- Dictionaries published in more than one volume
- Collected works of a literary author

**Notes:**
Multipart items have parts and can have numbering, but usually there’s a plan for completion, even if that plan takes several decades to complete.

## Finite Resources

**245 00****	****Flora of Australia / $c Bureau of ****	****	****Flora and Fauna, Canberra.**
**300      ****	**** v. : $b ill. (some col.) ; $c 26 cm.**
**(This title now has more than 50 volumes and has been published for more than 20 years)**

**245 00  Encyclopedia of Africa south of the Sahara / $c**
**	****        ****John Middleton, editor in chief.**
**300        4 v. : $b ill. ; $c 29 cm.**
**505 0     v. 1. Abeokuta - Ecosystems – v. 2 Edo - Literacy –**
**	****	****v. 3. Literature - Reunion – v. 4. Rhodes - Zulu. **
**	****      ****Index.**

**Notes:**
These are both examples of multipart items.  

The first example has a title that implies a limited scope, even though it has been published for over 20 years.

The word “encyclopedia” in the second example is a good clue that this is probably not a serial; the resource covers the topic from A-Z and is complete in 4 volumes.

## More Difficult Types of Serials

- Monograph vs. serial vs. integrating resource treatment considerations (LCRI 1.0)
- Editions
- Conference publications
- Serials in loose-leaf format

**Notes:**
We will now discuss more difficult types of serials and how to determine the appropriate cataloging treatment. 

Exhibition publications act in a similar way to conference publications and the LCRI covers them also.

Serials in loose-leaf format are print serials with holes punched in the pages for filing in a binder, as described in LCRI 1.0.

## Monograph vs. Serial Treatment Considerations at the Local Level

- Standing order or not? Check-in record?
- Only purchase occasional editions?
- Cost of creating check-in records and adding a volume vs. cataloging a new title
- Cost of recataloging as a serial (cancelling monograph records; remarking; reclassing)
- Access  wanted for editors, compilers of individual volumes?
- Access: same call number easier with serial

**Notes:**
Cataloging editions, conference publications, and exhibition publications as monographs or serials is often a local decision based on the needs of your library. 

Cataloging a resource as a serial allows a single bibliographic record to represent the resource over time.  If you have a standing order for the title, serial treatment may be most cost-effective.

If you only purchase occasional issues (e.g., one year of a conference publication), you may prefer to catalog each year as a monograph so that it’s clear in the catalog which year or edition(s) your library has.  If a faculty member has edited or compiled one or more volumes and wants personal name access, that may also be a good argument for monographic treatment.

The decision to recatalog monographs to a serial can be costly in processing time and may affect your decision on a change in treatment.

## Editions

- Frequently issued editions– catalog as a serial
- Directories, yearbooks
- Infrequent, often irregular, editions are better cataloged as monographs
- Textbooks, dictionaries, handbooks, manuals

**Notes:**
Many reference works, e.g. directories and yearbooks, are issued regularly to keep them up-to-date.  They are often identified by a number and the word “edition.”   Editions of reference works that are published regularly and often annually (e.g., LCSH, Ulrich’s) do benefit from serials treatment.  Sometimes titles are cataloged as serials for convenience, practicality and to save cataloging time, such as LCRI 1.0’s treatment of travel guides. 

In LCRI 1.0, publications that are revised on an irregular or infrequent basis are not to be treated as serials.  Most textbooks and dictionaries, as well as handbooks and manuals not published regularly, fall into this category.

##  Editions

- Determine which records are available
- Serial record available (especially a CONSER one)?
- Serial records available for earlier and/or later titles?
- May catalog as a serial

## Editions (cont.)

- Monograph record for same issue? No records for other issues?
- May catalog as a serial, if first issue in hand and it states it will continue to be published
- Monograph records found for multiple issues?
- May catalog as a serial if you can determine a regular pattern of publication and the title remains constant
- If titles change with each edition, however, cataloging as a monograph is preferable

## Editions

- If copy is not available and typical serials information is lacking (e.g., volume numbering, ISSN, frequency in title, subscription information)
- Check the introduction, preface or accompanying documentation
- Any plans to continue publication?

**Notes:**
Certain publishers are known for the practice of issuing the first edition of a serial without designation, e.g., Gale and Euromonitor for their directories.

## Editions (cont.)

- Check the publisher’s Web site
- Consider content and nature of the publication for likely serial treatment
- Statistics
- Directories
- Reports of activities or research

## Editions as Serials

- 245 00	Encyclopedia of associations.
- 260			Detroit : $b Gale Research Co., $c 			1961-
- 310			Annual, $b 1975-
- 321       	Irregular, $b 1961-1973
- 362 0    	3rd ed.-

**Notes:**
This is an example of a resource issued in editions that is appropriately cataloged as a serial because it has been annual since 1975.  Before then it was irregular: 3rd ed. (1961); 4th ed. (1964); 5th ed. (1967-68); 6th ed. (1970-71); 7th ed. (1972-73); 8th ed. (1973-74).

When the encyclopedia was irregular, LC cataloged the individual editions as monographs.  When it became annual, the encyclopedia was recataloged as a serial .

##   Conference Publications 

- Papers, proceedings or transactions of the meetings of the members of a society

**110 2    ****	****Indiana Horticultural Society. $b ****	****	****Meeting.**
**245 10  ****	****Annual report of the Indiana ****	****	****	****Horticultural Society : $b ****	****	****	****proceedings of the ... annual ****	****	****	****session.**

**Notes:**
Conference publications fall into two categories: (1) the proceedings of the members of a society; and (2) meetings on a particular topic <next slide>

## Conference Publications (cont.)

-  Meetings on a particular topic that may be sponsored by an institution or society

**111 2****	****	****International Bridge Conference.**
**245 14  ****	****The Conference on Bridges official ****	****	****	****proceedings / $c the International ****	****	****	****Bridge Conference ; sponsored by**
**	****  ****	****the Engineers’ Society of Western ****	****	****	****Pennsylvania.**

## Conference Publicationsas Monographs

- Monograph treatment (LCRI 1.0)
- If the conference publication has a unique title for each issue on the chief source
- Usually dedicated to a particular topic
- Vary from issue to issue and conference to conference
- And/or:
-  The conference publication is issued as part of a numbered monographic series

**Notes:**
Use judgment to determine whether thematic or slogan-like phrases constitute unique titles.

Once you’ve decided to catalog as a monograph or serial based on the first, or earliest held, issue of a conference publication, keep cataloging that way. When there is a main entry or major title change for one cataloged as a serial, consider the publication “new” and decide whether to catalog as a monograph or serial again. Use judgment when changing the cataloging decision and when deciding whether to recatalog earlier issues.

## Conference Publications as Monographs

- 111 2	International Ocean 					Symposium $n (5th : $d 1980 : 		$c Tokyo, Japan)
- 245 14  	The frontier of the seas : $b the 		problems of delimitation : 			proceedings of the 5th 				International Ocean 					Symposium : November 26-27, 		1980.

**Notes:**
This is an example of an ongoing conference for which each issue has a subject-related title for that conference and is cataloged as a monograph, according to LCRI 1.0.

## Conference Publications as Monographs

- 245 10	First IEE/IMechE International 			Conference on Power Station 			Maintenance : $b profitability 			through reliability : 30 March-1 April 		1998 : venue, Heriot-Watt 				University, Edinburgh, UK.
- 490 1    	Conference publication, $x 0537-			9989 ; $v no. 452
- 830  0  	Conference publication (Institution 		of Electrical Engineers) ; $v no. 452.

**Notes:**
This is an example of a conference publication that is more appropriately cataloged as a monograph, even though the next publication of the same conference came out two years later with the same name and with the name of the conference treated as the title of the publication. Because this conference publication is also issued in a numbered series, it is desirable to have access to the series and its numbering.  If this were cataloged as a serial, the series numbering would be “lost” to the user – whose only citation may be for that series and its number.
This year of the conference had the theme, “profitability through reliability.”  Depending upon typography and layout on the chief source for any similar publication, a cataloger might decide that the theme title is the title proper. 

## Conference Publications as Serials 

- Serial treatment (LCRI 1.0)
- Meets the criteria for a serial
- No predetermined conclusion
- Indication of frequency, etc.
- Test against the serial definition as you would any potential serial

**Notes:**
Note that CONSER/LC practice is to not recatalog issues already cataloged as either monographs or serials but to make a note or link to the earlier record(s).  

Exhibition catalogs are also treated similarly, as covered in LCRI 1.0.

## Conference Publications as Serials

- Named conference with a stable title

- 111 2		IEEE Conference on Visualization.
- 245 10 	Visualization : $b proceedings of the
-  		... IEEE Conference on Visualization.
- 362 0    	1st (’90)-

**Notes:**
This is an example of a named conference that occurs annually and has a stable title.

## Serials and Updating Loose-leafs

- AACR2 defines an “updating loose-leaf” as: an integrating resource that consists of one or more base volumes updated by separate pages that are inserted, removed and/or substituted

**245 00  CONSER editing guide.**
**250       1994 ed.**
**300       2 v. (loose-leaf) : $b ill. ; $c 28 cm.**
**500       Replaces all previous base text and updates**.

**Notes:**
Most updating loose-leafs are cataloged as integrating resources.  The primary distinction is the frequency in which the base volume is reissued.  The CONSER Editing Guide is clearly an updating looseleaf.  There has been one new edition in 1994. There are no current plans to issue a new edition (per the editor) and thus, the editions are truly irregular.

However, there are some resources that are updated or that are issued to be filed in a binder that are treated as serials.

Some loose-leaf services include traditional serials, such as a newsletter.  In these cases, however, the service itself is usually cataloged, rather than the individual parts, and the service is treated as an integrating resource.

## Serials in Loose-leaf Format(LCRI 1.0)

- Catalog as serials:
- Serials that are issued in loose-leaf format in order to allow for updating in between issues (e.g., an annual that has a new base volume each year and is updated in between issues)
- Serials that are issued for placement in a binder, where each issue remains discrete

**Notes:**
Some serials are issued in a loose-leaf format in order to allow for updating in between the regular issues of the serial.  Other serials are issued with holes or perforations to allow for filing in a binder.  In both cases, these resources are serials, not integrating resources, and should not be confused with updating loose-leafs where the base volume is not regularly reissued.

## Serials in Loose-leaf Format

- 245 00  	Board report for graphic artists.
- 300			v. : $b ill. ; $c 30 cm.
- 310			Monthly
- 500       	Each newsletter is issued with inserted 			sections called “designer compendium 			sheets”; intended for chronological filing 		in a binder.

**Notes:**
This is an example of a serial issued in loose-leaf format, where issues are filed chronologically.

##  Summary

- Definition of serial:
- Issued in discrete parts; usually has numbering; no predetermined conclusion
- Now includes unnumbered series
- Scope of chapter 12 has been expanded: serials; ongoing integrating resources; reprints of serials; finite integrating resources; publications of activities of limited duration
- Special types of resources require special practices and considerations

**Notes:**
The definition of serial has been slightly revised.

The scope of chapter 12 has been expanded to include all continuing resources, not just serials.  Rules for integrating resources appear in AACR2 for the first time.

Editions, conference publications, and serials in loose-leaf format may require a treatment decision before actual cataloging.

## 			Exercises

## Exercise 1

- Catalog this title as a serial, because it has numbering in the title.  Although an ISBN appears on the t.p. verso, this does not prohibit serials treatment.  Cataloging this almanac as a monograph is also a possibility, e.g., if a library has purchased only this year of the almanac

## Exercise 2

- Catalog entire publication as a serial.
- Or, catalog each volume as a serial with a part title, e.g., International directory of design. 6, Advertising, graphics & typographic design.
- Or, catalog each edition as a multipart item due to the irregularity of the editions.
- Or, catalog both the main serial and the subserial.

## Exercise 3

- The proceedings can be cataloged as a serial.  This is an ongoing meeting of an association, the numbering of the meeting is given in the title, and the issue lacks a distinctive title.  If a library received only one year of the proceedings, it could also be cataloged as monograph.

## Exercise 4

- Serial treatment is preferable for this conference, because of the vagueness of the theme title, “Finding profit in changing times.”  According to LCRI 1.0, monographic treatment is preferred: “if a title unique to each issue appears on the chief source.  Such unique titles are usually dedicated to a particular topic and vary from issue to issue and conference to conference.  Use judgment when determining whether thematic or slogan-like phrases constitute unique titles and, therefore, warrant monographic treatment

## Exercise 5

- Catalog this conference as a monograph.  It has a distinctive title (in fact, there are 4 different titles published for the 13th conference) and is issued in a series, WDK 28.

## Exercise 6

- Catalog each edition of the _Subject Cataloging Manual. Subject headings_  as an integrating resource, since the editions appear to be irregular.  In the past these were cataloged by LC as monographs, but they are now integrating resources.  If the editions were published on a regular basis they could be treated as serials, even though each edition is an updating loose-leaf