Treatment decision guidelines for monographic sets and serials
Prepared by: Treatment Decisions Group
Author: Margaret Christean
Aug. 9, 2002
Approved by: Cataloging Committee, Sept. 16, 2002
Revised: Jan. 13, 2005
I. Introduction
II. Searching the set/serial title
III. Guidelines to follow in making treatment decisions
IV. Exceptions to following LC treatment
V. Changing serial treatment from "unanalyzed" to "analyzed"
VI. Music and Film and Video Library materials
VII. Examples of serial authority records
A. Fully analyzed
serial
B. Partially analyzed
serial
C. Single issue of
a serial analyzed at bibliographer's request
D. Numbered series
within analyzed serial
I. Introduction
Catalogers make treatment decisions for many different types of materials. These
decisions can determine the level of access provided to catalog users, the number
of access points in individual bibliographic records, and the classification
of the item. This document covers only one type of treatment decision. It covers
the policies and procedures to follow in deciding whether to analyze or not
to analyze individual issues of monographic sets and serials. It does not include
procedures for "verifying" monographic series titles. For these procedures,
which were created to help new monographic copy catalogers learn how to find
and interpret existing monographic series authority records, see the TPOT document
called Series
Verification.
CJK and music catalogers are responsible for making treatment decisions for the materials they catalog. Designated monograph catalogers determine treatment for monographic sets and monographic series. Catalogers in the Serials Cataloging Unit make treatment decisions for serials and solve treatment problems bounced from other catalogers.
II. Searching the set/serial title
If searching non-print Music or FVL materials, do not follow these instructions.
Go to section 6.
The following steps assume the item to be searched has both a collective serial/set
title and an individual analytic title and that the analytic title has already
been searched and is new to Pactech.
Catalogers' searching instructions
Search Pactech for an authority record. If a matching authority record is found
with cataloger's initials or "con" in the 910 field, verify that all
the elements of the authority record match the item in hand. If there are no
discrepancies, you are done searching. Use the form of entry, treatment, and
numbering instructions found on the authority record. If a matching Pactech
authority record is found with a 050 field but the record lacks a 910 field,
or if no authority record is found, check Pactech and OCLC to determine whether
the "series" is a monographic set or a serial. If the series is determined
to be a serial, bounce to the Serials Cataloging Unit. If the series is determined
to be a monographic set, bounce to the designated monographs cataloger to establish
the analyzed monographic set.
Establishers' searching instructions
Designated monographs catalogers establish treatment for monographic sets and
serials catalogers establish treatment for serials.
Search OCLC, looking both for set/serial copy and for the type of copy available for the analytic volumes. Make a note of the type of copy found (DLC, member, variant) or if no copy is found, as this will affect your treatment decision. Next, search LCAF.
Search LCAF. If a matching LC authority record is found with an 050 field,
and matching DLC monographic set copy exists, treat the series as an analyzed
monographic set. If a matching LC authority record is found, with an 050 field,
and a matching OCLC serial record exists, treat the series as an analyzed serial.
If a matching LCAF record is found, but it lacks an 050 field, verify that all
the elements of the authority record match the item in hand. If there are no
discrepancies, treat the series as "SAE," follow the LC form of entry,
and numbering, and export the record to Pactech.
If no matching LCAF record is found, but you have LC monographic set copy, treat the series as an unanalyzed monographic set. If only OCLC member set copy is found, follow the treatment guidelines below to determine whether to analyze the set. If no matching LCAF record is found, but you have OCLC serial copy, follow the treatment guidelines below to determine whether to analyze the serial.
If Serials Acquisitions staff request a treatment decision for a serial, and the serial cataloger decides not to analyze at all, the cataloger adds a check note to the checkin record: "Not analyzed" with cataloger's initials and date. Generally, serial catalogers do not create Pactech authority records for "do not analyze" serial titles. An authority record if added only if needed to clarify practices for problematic titles, for instance, a serial and a numbered monographic series are published simultaneously with identical titles. If an authority record is added to Pactech, code the 64x fields as: 644=n, 645=n, 646=c.
III. Guidelines to follow in making treatment decisions
If you have any doubt about whether to analyze individual issues of a set/serial,
check with the appropriate bibliographer. Also consider the impact on monographic
catalogers; do monographic records exist on OCLC, or will original records need
to be input?
Analyze if:
The issue is "book-like" in nature and could be cited as a monograph.
We are receiving unintentionally ordered duplicate monographs because the serial
is not currently
analyzed.
Subject is in an area important to UCSD programs.
One author (other than serial editor) is responsible for content of entire item.
Generally analyze issues of hardback serials called Advances in ... [or similar title] published by JAI Press.
Monographic analytic records provide additional subject access.
Do not analyze if:
Serial is already indexed in an A&I database.
Title of individual issue is not truly distinctive, but a theme title, such as: Issues for the new millennium. If solely a theme title, add a 500 field to serial bib record: Some issues have theme titles. Add check note to checkin record: Not analyzed. Some issues may have theme titles.
Serial is published frequently such as weekly or monthly.
Subject headings on the serial record already cover the topics of the individual issues, e.g, title of serial is: Studies in teleportation; title of individual issues are only on this topic.
IV. Exceptions to following LC treatment
In general, we follow LC treatment for sets and serials, but there are some
exceptions. Exceptions to following LC treatment:
1. A bibliographer requests a different treatment.
2. If our existing treatment is "classed together" as an analyzed
serial or analyzed set and LC classes separately, generally we will not revise
existing treatment to match LC.
3. LC generally does not catalog individual issues of serials, but for local
needs, we may analyze, following the treatment guidelines above.
4. Regardless of how LC treats working paper series, we follow local procedures.
5. UCSD treats all series as "SAE," even when LC treatment is "SNU."
If UCSD's existing treatment is "classed together" as an unanalyzed
monographic set and LC treatment is later found as an unanalyzed serial, we
will generally recatalog to treat as a serial.
[return to top of document]
V. Changing serial treatment from "unanalyzed"
to "analyzed"
Sometimes serial catalogers are asked by bibliographers to analyze a previously
unanalyzed serial so users can have catalog access to the individual volumes.
Requests to analyze also come from Acquisitions Dept. staff if they find duplicates
of unanalyzed serial volumes are unintentionally being ordered and paid for
as monographs because access in the catalog is provided only at the collective
serial level. In these cases, before creating the authority record, the serials
cataloger checks all the volumes of the serial in the stacks to find out if
there are other analyzable volumes. The treatment decision is for the entire
run, not just the issue in hand. If there are many volumes in the stacks that
need cataloging, consider the workload on the monographic catalogers; pull volumes
if less than 15 and give to CCSU staff for copy searching. If more than 15,
give the CCSU staff a copy of the checkin record, with a request to catalog
later. Indicate exactly which volumes need cataloging.
VI. Music and Film and Video Library materials
Print serials and sets for the Music Library generally follow the procedures
for materials in other locations. These musical materials may consist primarily
of either scores or textual matter. The main point of divergence is a local
policy to reclassify an individual volume of a set if a later revision of the
same volume is issued. The latest revision is added to the set, but the item
it replaces is reclassified so that it may circulate.
Non-print serials and sets for the Music and Film and Video collections within the Arts Libraries follow different practices in most cases. Almost everything is analyzed, and almost everything is treated as an SAE, with each item receiving a new accession number. This practice is followed even for volumes lacking distinctive titles. These libraries assign accession numbers to all their materials and pack their materials tightly, so that additions to existing accession numbers would usually necessitate shifting much of the collection.
Multi-volume works issued and received at one time may be placed under one accession number and cataloged together if sufficient analysis of the component parts is possible with one bibliographic record. Continuing resources, however, will be cataloged separately as they are received, and the presiding serials/sets will be treated as SAEs to collocate the material together. The only current exception to the above is for CDs accompanying the journal, Le Français dans le monde, which are classed together under one "MUD" accession number and processed as accompanying material by the Serials Cataloging Unit.
Sound recordings and videos accompanying serials, as with those issued with
scores and monographs, also may be cataloged separately where their individual
content would benefit from analysis. Check with the bibliographer whenever in
doubt.
Search printed Music Library materials as you would other serials. For non-print
Music and FVL items, search Innopac for corresponding SAE record. If present,
stop. If you find a serial authority record, bounce to Music SAE establisher
for converting into SAE. If nothing found, search OCLC. If found as SAE, export
to Innopac. If not found, or found as a serial, bounce to Music SAE establisher
for establishment or conversion.
VII. Examples of serial authority records
A16865145 Last updated: 05-21-02 Created: 08-08-96 Revision: 8
01 ACODE1: 02 ACODE2: 03 ASUPPRESS: -
04 090 _9 HC121|b.I49 v.
05 130 0 Desarrollo productivo
06 410 29 United Nations.|bEconomic Commission for Latin America and the
Caribbean.|bDivision of Production, Productivity, and Management. |tDesarrollo productivo
07 530 90 Industrializaci{226}on y desarrollo tecnol{226}ogico|wa
08 530 90 Serie Desarrollo productivo|wb
09 642 9 no. 20
10 643 9 Santiago de Chile|bUnited Nations, Division of Production,
Productivity and Management
11 644 9 f
12 645 9 t
13 646 9 c
14 690 Treat as analyzed serial for IR/PS
15 690 Some issues have phrases such as "Transnational corporations and
foreign investment" and "Restructuring and competitiveness" on
cover. These phrases are not part of series title
16 910 mc
B. Partially analyzed serial A16879569 Last updated: 08-24-96 Created: 08-24-96 Revision: 1 01 ACODE1: 02 ACODE2: 03 ASUPPRESS: - 04 090 _9 HF1009.5|b.A38 v. 05 130 0 Advances in international marketing 06 642 9 v. 6 07 643 9 Greenwich, CT|bJAI Press 08 644 9 f|danalyzable issues 09 645 9 t 10 646 9 c 11 690 Treat as analyzed serial for SSH 12 690 Analyze only vols. with distinctive titles 13 690 v.1-2,4 not analyzable 14 910 mc
For a partially analyzed serial, also make these changes to the existing serial,
checkin and item records:
Add these two fields to the serial bibliographic record:
500 Some volumes also have distinctive titles
590 FOR INDIVIDUAL VOLUMES, BROWSE ONLINE UNDER THIS CALL NUMBER OR TITLE
To the serial checkin record, add cataloging treatment coding and a check note:
CAT TRMNT: p
CHECK NOTE: Analyze only vols. with distinctive titles
To the serial base item record, add:
ICTRL CD: n
and
MESSAGE: DO NOT USE THIS RECORD FOR CHARGE OUT; USE INDIVIDUAL VOLUME RECORD
C. Single issue of a serial analyzed at bibliographer's request
A1821986x Last updated: 06-21-01 Created: 06-21-01 Revision: 2 01 ACODE1: 02 ACODE2: 03 ASUPPRESS: - 04 008 neacnnnaabn a aaa dnz n 05 090 _9 GN473|b.J68 v. no.|5CUS 06 130 0 Journal of ritual studies 07 410 29 University of Pittsburgh.|bDept. of Anthropology.|tJournal of ritual studies 08 642 9 v. 15, no. 2 09 643 9 Pittsburg|bUniversity of Pittsburgh, Dept. of Anthropology 10 644 9 n|bexcept v. 15, no. 2 11 645 9 n|bexcept v. 15, not. 2 12 646 9 c 13 690 Cataloged as an unanalyzed serial for SSH. Issues are analyzed only at request of bibliographer 14 690 Analyze v. 15, no. 2 per kc 15 910 mc
D. Numbered series within analyzed serial
A18154499 Last updated: 05-22-02 Created: 04-11-01 Revision: 5
01 ACODE1: 02 ACODE2: 03 ASUPPRESS: -
04 001 oca04477378
05 003 OCoLC
06 005 20010411105543.0
07 008 971021n| acaaaaaan |a ana cz n
08 010 n 97106178
09 040 DLC|cDLC|dDLC
10 130 0 Supplements to Vetus Testamentum.|pFormation and interpretation of
Old Testament literature
11 430 0 Formation and interpretation of Old Testament literature
12 642 v.1-2|5CUS
13 642 1|5DLC
14 643 Leiden|aNew York|bBrill
15 644 f|5DLC
16 645 t|5DLC
17 646 m|5DLC
18 690 For SSH, treat as numbered series within analyzed serial. Use call
number and volume number of main serial, BS410|b.V45s v., no.
19 690 Use two 830s, one for the numbered main series, and one with main
series/subseries with subseries numbering
20 670 Writing and reading the scroll of Isaiah, 1997:|bCIP ser. t.p.
(Supplements to Vetus Testamentum, Formation and interpretation of
Old Testament literature)
21 910 mc
[return to top of document]