Series Verification

Series Verification
Prepared by: Margaret Christean and Peggy Trader
Nov. 30, 1999
Approved Dec. 13, 1999 by: Cataloging Committee
Revised: Jan. 13, 2005

Series verification is checking to make sure there is an authority record in Innopac that matches the series appearing on the item being cataloged. It includes searching for an authority record and if found, checking the different elements on the authority record and accepting or changing these elements. Series verification is not the same activity as original series establishing. Series verification procedures are followed when the cataloger finds a series authority record on Innopac or LCAF; original series establishing refers to creating an original series authority record because one cannot be found.

Correctly performing series verification ensures that library users will find all the publications that are issued in a series under one authorized heading in the catalog and that items classed together will be shelved together. Correctly verifying series also helps the next cataloger who receives an item in the same series and needs to refer to the same authority record.

The rest of the document covers the steps involved in the series verification process, beginning with the most straightforward situations and then covering more complex series verification procedures.

For all series verification, the first step is searching to find if the series has already been established. Examine the item being cataloged. Look for the series title appearing on the chief source (for a printed book, this is the series title page or if lacking, the analytic t.p.). Also look for any variant series titles appearing elsewhere on the item. Check the spine, colophon, front and back covers, preliminary pages, and jacket. Also look for series embedded in the text of preliminary pages or on the colophon. Compare the series on the item being cataloged to the series appearing in fields 4xx or 8xx of the cataloging copy. Search Innopac first. Look up by series title and all variant forms until you find a matching Innopac entry. Search first by title because most series are established under title entry.

An item in a series could actually be an issue of an already-cataloged serial. If a matching serial record is found on Innopac, stop searching and bounce item to the Serials Cataloging Unit..

If a series authority record is found on Innopac and the record has an 008 field and a 910 field with "con" or cataloger's initials, and all the elements of the authority record (heading, references, imprint, treatment, numbering) match the item being cataloged and the cataloging copy, series verification is done. No further searching is required.

The initials or "con" in the 910 field mean the series authority record has received a "stamp of approval" from a cataloger. It means all the elements of the series authority record have been reviewed and can generally be accepted by catalogers.

If an existing Innopac series authority record matches in all ways but lacks an 008 field, insert the 008 by selecting "i" to insert, then "y" for MARC tag. When the 008 is displayed, hit enter. The system will display an expanded 008 field. Accept these system-supplied defaults and "quit" to add the 008 field to the authority record.

If a series authority record is found on Innopac without a 910 field, but all the elements match the item being cataloged, (and an 008 field is present), add the 910 with initials and date.

Series titles (like serials) may change over time. Some variations need to be treated as references, other variations need to be treated as true title changes with separate authority records for the earlier and later titles. If a series authority record is found on Innopac with a slightly different entry from series on item being cataloged, and it is not clear whether a title change, or title variant is involved, bounce to the original series establisher.

If an unnumbered series in French, Italian, Portuguese, Spanish, or the Slavic languages begins with a generic term (e.g., Series, Collection, Schriftenreihe, etc.), followed by a noun or noun phrase, and a subsequent volume in the series omits this first word, do not treat as a series title change. These series are not treated as title changes because the titles often fluctuate, either including or omitting the initial word. Instead, make a reference from the variant title.

If no matching series authority record is found on Innopac, the next step is to search LCAF. If a matching series authority record is found on LCAF, verify that the form of entry, imprint, references, numbering, and treatment are correct. If this is the case, no further searching is required. Do not export the LCAF record to our local catalog. Beginning in Jan. 2005, authority records will be added to our catalog by an authority control vendor. However, catalogers can export authority records if they need to make changes such as adding cross references, or additional 642 or 643 fields.

If not found on LCAF, and if the series appears on older cataloging copy, see section 7. Searching pre-AACR2 for examples showing differences between pre-AACR2 and AACR2 forms of entry. If a series authority record is still not found on LCAF, bounce to the original series establisher.

Series treatment refers to the decisions catalogers make regarding the analysis, classification, and tracing of series titles. The series authority record provides treatment instructions in the 64x fields, and in call number fields 050, 060, 090, 096 and 099, if items are classed together. In general, UCSD follows LC's series treatment but some exceptions to following LC are:

1. A variant treatment is requested by a bibliographer.
2. UCSD's existing treatment is "classed together", e.g., analyzed serial, analyzed set. LC classes separately. UCSD generally does not revise to match LC.
3. UCSD's existing treatment is SAE. LC classes together. UCSD generally does not revise to match LC.
4. Working papers cataloging (processed in OSM section)
5. LC treats as SNU; UCSD will treat as SAE.
6. If a series is numbered and unnumbered, LC creates two authority records, one qualified by "Unnumbered". UCSD uses only the record for the numbered series. Cataloger adds a 641 note "and unnumbered" to the authority record.

SAE is a UCSD term which stands for "series added entry." In series authority records, SAEs are identified by the fields: 644=f (fully analyzed), 645=t (traced), 646=s (classed separately). UCSD's "default" series treatment is to treat as SAE, i.e., to provide a series added entry and to class separately. This means if an LCAF record is found with SAE treatment, and the series is new to Innopac, this treatment can be followed without question. Example:

SNU stands for "series not used." It is a UCSD term from the card catalog era and refers to untraced series, or series phrases that were included in the cataloging description but were not catalog access points, i.e., series were not retrievable in library catalogs. In Innopac, SNUs are indexed and searchable. They are not considered traced because there is no authorized series heading used in the bibliographic records. In series authority records, SNUs are identified by the fields: 644=f (fully analyzed), 645=n (not traced), 646=s (classed separately).

If a SNU authority record is already on Innopac, change it to SAE. On bibliographic records, do not use 490 0_. UCSD's current policy is to trace all series. If a SNU authority record is found on LCAF, export it and change to SAE. Add 645=t|5CUS, 690, 642 (if series is numbered), and 910.

In the past, catalogers accepted SNU treatment for series already established on Innopac. As a result, many series have split treatment and do not display together; some volumes in the series are treated as SNU with bibliographic records only showing series statement in 490 0_ field, and other volumes in the series are treated as SAE, using the authorized form of heading. Beginning in Oct. 1999, catalogers are expected to change existing Innopac SNU authority records to SAE, and to clean up or initiate cleanup of the corresponding Innopac bibliographic records.

These phrases are not regarded as series. If an Innopac or LCAF record is found as a quoted note, use this treatment. Do not export the LCAF record to our local catalog. Beginning in Jan. 2005, authority records will be added to our catalog by an authority control vendor. Example of an LCAF quoted note record:

Prior to 1997, staff at SIO and BML established their own series. After a technical services consolidation in 1997, Catalog Dept. staff began establishing series for all branches except Special Collections. If a series authority record is on Innopac or LCAF as an SAE, and no variant instructions accompany item, assume this treatment applied to all branches. If an authority record on Innopac has instructions to classify together for one branch (050 or 090 is present), and an item is subsequently received for another branch, bounce to the Serials Cataloging Unit. If treatment differs between branches or collections, explain in a 690 note. Example:
690 Treat as analyzed serial for IR/PS; BML treats as SAE

Series not found on Innopac or LCAF: Bounce to the original series establisher.

Series found on Innopac or LCAF but have questions: Bounce to the original series establisher.

Personal series discrepancies
CCSU staff give to Ann, CJK staff to Shi or Nobuko

Serials
Occasionally, issues of serials are sent by mistake to monographic catalogers. Bounce to the Serials Cataloging Unit if any of the following apply:
1. Matching LCAF record is found with call number in 050 or 090 and record is new to Innopac
2."Series" title on item is found as a cataloged serial on Innopac
3. Series authority record is found on Innopac with call number in 050 or 090 but lacks 910 field
4. No series authority record is found on Innopac or LCAF, but an OCLC serial record is found
5. No series authority record is found on Innopac or LCAF, no OCLC serial record is found, but item is serial-like in nature, i.e., has date or numbering close to title, or has a frequency such as "annual" or "biennial" anywhere on chief source. Also suspect a serial if several monographic records are already in Innopac with the same title but have different dates of publication. Especially watch for OECD publications. They are often sent through the monographic workflow, but are actually serials.

To be considered a subseries, a series title must appear on the same source with another series title. If the main series is numbered, two authority records are needed, one for the main series by itself, and one for the main series with subseries. Two 830's are added to the bibliographic record, one for the main numbered series by itself, and one for the main series with subseries. If the main series is unnumbered, only one series authority record is needed. Example of numbered main series on a bibliographic record:

490 1_ AIP conference proceedings ;|vno. 114.|aSubseries on particles and fields ;|vno. 33
830_ 0 AIP conference proceedings ;|vno. 114
830_ 0 AIP conference proceedings.|pSubseries on particles and fields ;|vno. 33

Adding references If a variant series title is found on item being cataloged, add the variant in a 430 field. Example:

Imprint discrepancies Add publisher variations to 643 field. Be sure the authority record is for the same series, only the publisher differs. If unsure if the series matches the item being cataloged or if it could be a different series with the same title, bounce to the original series establisher. Example:

 A16423446             Last updated: 08-11-99 Created: 03-21-95 Revision: 3
 01 ACODE1:         02 ACODE2:         03 ASUPPRESS:
 04 005     19950321144217.0
 05 008     920303n| acaabaaa|          |a ana |||  cz n
 06 010     n  92023189
 07 040     DLC|cDLC|dDLC
 08 130   0 Macmillan physical science
 09 430   0 Macmillan physical science series
 10 643  _9 New York|bAmerican Institute of Physics|5CUS
 11 643     Basingstoke, Hampshire|bMacmillan|d1991
 12 644     f|5DLC
 13 645     t|5DLC
 14 646     s|5DLC
 15 670     Kent, T. Experimental low temperature physics,1992:|bCIP galley
            (MacMillan physical science series)
 16 670     Davidson, G. Group theory for chemists, 1991:|bser. t.p. (Macmillan
            physical science) t.p. (Macmillan physical science series)
 17 910     rc

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Numbering discrepancies--adding 642 field

If the volume designation on item being cataloged differs from the 642 field in the series authority record, add an additional 642 field.

Example:

 A17790463             Last updated: 09-17-99 Created: 09-17-99 Revision: 2
 01 ACODE1:         02 ACODE2:         03 ASUPPRESS: -
 04 001     oca01225361
 05 003     OCoLC
 06 005     19990917201114.0
 07 008     841018n| acaaaaaan          |a ana      cz n
 08 010     n  84738550
 09 040     DLC|cDLC|dDLC
 10 130   0 Braunschweiger geographische Studien
 11 410  2  Technische Universit{232}at Braunschweig.|bGeographisches
            Institut.|tBraunschweiger geographische Studien
 12 642     n.F., Heft 2|5DLC
 13 642 _9  Heft 4|5CUS
 14 643     Braunschweig|bIm Selbstverlag des Geoschen Instituts der TU
            Braunschweig
 15 644     f|5DLC
 16 645     t|5DLC
 17 646     s|5DLC

 18 670     Zimmermann, G.R. Die Wirtschaftsformationen im s{232}udlichen
            Sumatra (Lampung), 1980:|bt.p
 19 910     mc

Numbering discrepancies--numbered and unnumbered
If a series is numbered and unnumbered, LC generally creates two authority records, one for the numbered series and one for the unnumbered. The unnumbered series is qualified by "Unnumbered." At UCSD, catalogers use only the record for the numbered series, adding a 641 "and unnumbered" note. Example:

 A1781098x             Last updated: 10-21-99 Created: 10-21-99 Revision: 2
 01 ACODE1:         02 ACODE2:         03 ASUPPRESS: -
 04 001     oca04374354
 05 003     OCoLC
 06 005     19991021191848.0
 07 008     970610n| acaaaaaan          |a ana     ccz n
 08 010     nr 97021113
 09 022     1269-7516
 10 040     CSt|cCSt|dICU|dNcU
 11 130   0 Champs visuels
 12 430   0 Collection Champs visuels
 13 641  _9 And unnumbered|5CUS
 14 642     no 2|5CSt
 15 643     Paris|bHarmattan
 16 644     f|5CSt
 17 645     t|5CSt
 18 646     s|5SSH
 19 646     c|5CSt
 20 690     Treat as SAE for SSH
 21 667     LC uses entry: Champs visuels (Unnumbered) for unnumbered issues
 22 670     R{226}ealit{226}es de l'image, ... c1996:|bser. t.p. (Champs
            visuels, no 2, juin 96)
 23 670     Leblanc, G. Sc{226}enarios du r{226}eel, 1997:|bp. facing t.p.
            (Collection Champs visuels)
 24 910     mc

Adding 690 field
The 690 field contains notes of interest to other catalogers, including information about treatment, subtitles, additional references, and other problem-solving information that could help the next cataloger using the series authority record. Use clear and explicit instructions. Examples:
Treat as analyzed serial for IR/PS
Treat as analyzed serial for SSH Docs; treat as SAE for SSH
Has subtitle: Studies in geodata applications
Analyze only volumes with distinctive titles
Not same as serial with the same title published in same place, 1994-1998
For SSH, treat as numbered series within analyzed serial. Label with call no. and vol. no. of main serial, N386.U5|bS78

Fixing discrepancies on existing Innopac bibliographic record
If an incorrect series form or treatment is found on existing cataloged bibliographic records, the minimum expectation is that catalogers should correct them if there are three or fewer. Generally, if there are more than three records to correct, send corrections to the Database Management section to fix.

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7. Searching pre-AACR2 series

Series found on pre-AACR2, older DLC, or other member copy may require additional searching because they are transcribed following earlier cataloging rules. Extra steps may also be needed if corporate bodies are involved. Complete this additional searching and if a series authority record is still not found, bounce to original series establisher.

Pronouns in 4xx fields Under pre-AACR2 cataloging rules, if the series was entered under a corporate body or personal name that was also used as a main entry, the name in the series statement was abbreviated to "Its [title of series]", "His..." or "Her...". Always change these series statement to show the complete series as it appears on item in hand.

Example of abbreviated series on cataloging copy:
pre-AACR2:

AACR2 form: GSGS (Series)

Shortened titles Under pre-AACR2, corporate names were often omitted from series title
pre-AACR2: Africa Institute.|t Occasional papers
AACR2 form: Africa Institute occasional papers

Generic titles. Under some pre-AACR2 cataloging rules, generic titles such as "report", "memoir", "publication", or "research paper" were established under the name of issuing body. AACR2 entry is under title with qualifier.
pre-AACR2: International Geological Association.|t Research paper

AACR2 form: Research paper (International Geological Association)

pre-AACR2: Copenhagen. Nationalmuseet.|t Technical paper

AACR2 form: Technical paper (Nationalmuseet (Denmark))

400, 410, 411 fields may appear on earlier cataloging copy. These fields are not valid under AACR2R. Change to 440 or 490 1_ and 8xx.

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