June 19, 1990
AGREEMENT FOR SHARING INNOPAC SERIES AUTHORITY RECORDS BETWEEN
PROCESSING UNITS
Compiled by Shirley Higgins with the help of Margaret Christean,
Priscilla Krasner, Karen Peters, Karyn Ritchie, Shelley Shaffer,
Peggy Trader, Betty Williams, and Betty Wilson.
Background
The processing units vary on the extent of series authority work
performed on Innopac:
CUL: Since October 1989, all new series have been either
downloaded or keyed into Innopac. Retrospective
conversion of the manual series authority records from
the NAF to Innopac is 30% completed. As of June 8, all
NAF series with LCNAF sources have been converted to
Innopac. In addition, 92 drawers out of 276 drawers
have been completely converted to Innopac. It is
estimated that the NAF series conversion will be
completed by fall 1990.
Docs: Series are not authority controlled at this time.
Sp Coll: Since October 1989, all new series have been either
downloaded or keyed into Innopac. There are no manual
files to be converted because Special Collections
catalogers share the NAF with CUL catalogers.
SIO: All straightforward new series have been downloaded or
keyed into Innopac. There are some problem key-ins to
be done. Retrospective conversion needs to be done.
Biomed: Has maintained a manual series authority file to date,
but is now ready to begin entering new series into
Innopac.
CUL procedures for new series and series conversion have been
distributed to all processing units. Each processing unit will
develop series verification procedures, or adapt the CUL
procedures, as necessary. All processing units have agreed to
share series authority records whenever possible, following the
attached guidelines.
GUIDELINES FOR SHARING SERIES AUTHORITY RECORDS ON INNOPAC
1. All series authority records must have a 910 field with
either a cataloger's initials or "con" to be considered
valid. Series authority records generated by UTLAS will not
have a 910 field, and cannot be accepted by catalogers
without further verification. Innopac series authority
records which contain 910 fields will be considered
"validated."
2. Innopac series authority records will not generally contain
coding to show that the record is valid for individual
branches unless there is a difference in either form or
treatment between branches. (See 3a-c for instructions for
handling differences in form or treatment) As a local
option, branches may add the branch after the cataloger's
initials in the 910 field to indicate that the series
authority record has been validated for use by that branch,
eg. 910 kp/SIO. CUL Catalog Department catalogers will NOT
indicate branch in the 910 field. Catalogers should assume
that series records which contain a 910 field with either
"con" or a cataloger's initials, and which do not indicate
branch, are CUL series records.
3. Catalogers will accept the form and treatment of series from
validated Innopac series authority records unless either the
form or treatment differs from a form or treatment that has
already been established for that processing unit. (Series
verification procedures for all processing units must
require searching in both Innopac and manual files until
retrospective conversion of series authority files is
complete.) If either the form or treatment on the validated
Innopac series authority record differs from what has
already been established for that processing unit,
catalogers will decide on a case by case basis whether to:
a) accept the existing Innopac series authority record (and
to correct all bib records on Innopac), or to b) create an
additional series authority record because a difference in
the form of the series heading must be maintained, or to c)
edit the existing Innopac series authority record to show
differences in treatment between branches. (See a-c below
for instructions for handling differences in form or
treatment.)
a) Catalogers may decide to accept the form and treatment
found on an existing validated Innopac series authority
record, even though it differs from the form or
treatment that has already been established for their
branch. This decision would be influenced by a variety
of factors: the number of items which have already been
cataloged for that branch and which would need to be
corrected, the number of items in that series that are
expected to be cataloged in the future, and whether a
different form or treatment was selected or must be
maintained for other reasons (SIO tech reports, etc.)
b) If a branch must maintain a difference in the form of a
series heading, then an additional series authority
record must be added to Innopac. The cataloger should
add a 667 field indicating branch name to both the
existing record and the new record.
c) Fields 644, 645, and 646 describe treatment in a series
authority record. They tell whether the series is
analyzed or not, traced or not, and whether the
individual titles are classed together or separately.
Subfield 5 is a valid MARC subfield for each of these
fields, and will be used to indicate branch. Multiple
644-646 fields with subfield 5's will be used to
indicate differences in treatment between branches. In
addition to the multiple 644-646 fields, a 667 note
which clearly explains treatment for each branch will
be added. (See example 1)
4. Occasionally, the only series difference between processing
units may be the volume numbering designator. If this is
the case, a single series authority record can be shared
with the use of multiple 642 fields with subfield 5's to
show differences between branches. (See example 2)
5. For series entered under personal name, CUL consistently
differs from LC practice by not using collective uniform
titles for non-voluminous authors. CUL catalogers take
advantage of existing LCNAF series authority records by
editing these records to reflect local practice, adding 667
notes to show that CUL has differed from LC, then
downloading them into Innopac. This results in a series
authority record which looks like a LC record, but which
differs from the LC form of the series. Since this is done
only for series entered under personal names which have a
collective uniform title, this is a very small number of
records. We do not predict any conflict with the branches
as the chance of overlap is small, however, this practice
will be re-evaluated if a conflict occurs.
6. All processing units have agreed that other processing units
may make corrections to series headings on bib records.
Care must be taken not to correct records which are
deliberately different, therefore, catalogers must always
check the series authority record(s) before making any
changes to bib records. If the number of bib records to be
corrected is large, catalogers are asked to print both the
authority record and the browse screen(s) of bib records,
and to mail the correction to the appropriate branch.
7. In order to maintain good inter-processing unit series
communication, a list of series contact people has been
developed. Series contact people:
CUL Peggy Trader x43537
Karyn Ritchie x42969
Margaret Christean x41280
SIO Karen Peters x41223
Biomed Sonja Biggs x41203
Docs Joanne Donovan x47758
Sp Coll Jackie Dooley x41273