Series Authority Control: What? Why? How? Judith A. Kuhagen Cataloging Policy & Support Office Library of Congress Washington, D.C., U.S.A. Hong Kong University

Series Authority Control:What? Why? How?

Judith A. KuhagenCataloging Policy & Support Office

Library of CongressWashington, D.C., U.S.A.

Hong Kong University of Science and Technology

February 21, 2005

Kuhagen - 2005 Series Authority Control 2

What is a series?

“A group of separate items related to one another by the fact that each 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.”

(1st definition in AACR2)


Word “series” in rules, etc.

The word “series” is used in AACR2, in LCRIs, in the MARC 21 formats to mean any comprehensive bibliographic resource whose title is given in the bibliographic 4XX field (series statement):

Monographic series Other type of serial Multipart monograph Integrating resource


Series is a series is a series …

Authority control can apply to series in any physical medium Differences are related to physical locations from

which series data elements transcribed (prescribed sources listed in each chapter of part I of AACR2)

Using words “volume” and “part” today to mean units of a monographic series or multipart monograph in any physical medium

Using word “publisher” today to mean “publisher, manufacturer, producer, etc.”


Not going to talk about:

As “fascinating” as they may be, we’re not going to discuss these topics today:

Sources for series information Transcribing series information in bibliographic

records Form of access points for series Major/minor title changes


Series authority control: What?


A series under authority control

Using a controlled access point for the collective title of the series (i.e., the larger bibliographic resource) in the analytic bibliographic records

Analytic record: The bibliographic record for a volume of a monographic series or a part of a multipart monograph The analytic record may be for a single-part

monograph, a multipart monograph, an integrating resource, or a serial.


MARC bibliographic series fields

4XX: always description; sometimes controlled access

490 0 = series statement for series not under authority control

440 = series statement and controlled access point for series under authority control


MARC bibliographic series fields

8XX: controlled access paired with description in 490 1

490 1 = series statement for series under authority control but this field doesn’t contain the controlled access point

8XX = controlled access point for series under authority control given in 490 1 statement

[


Under control?

100 ?? $a ______________245 10 $a ______________490 0 $a Reading development series ; $v no. 2

100 ?? $a ______________245 10 $a ______________440 0 $a Reading development series ; $v no. 2

No

Yes


Under control?

100 1 $a Mao, Zedong, $d 1893-1976.245 10 $a _____________________490 0 $a Works of Mao Zedong ; $v v. 1

100 1 $a Mao, Zedong, $d 1893-1976.245 10 $a ________________490 1 $a Works of Mao Zedong ; $v v. 1800 1 $a Mao, Zedong, $d 1893-1976. $t Works.

$f 2004 ; $v v. 1.

Yes

No

Importance of unique headings increases as library’s holdings increase!


Under control?

245 00 $a __________________490 0 $a Report / National Science Museum, Tokyo

245 00 $a ___________________490 1 $a Report / National Science Museum, Tokyo830 0 $a Report (Kokuritsu Kagaku Hakubutsukan (Japan))

No

Yes


Under control?

245 00 $a __________490 0 $a IMA reports on microbiology ; $v no. 7

245 00 $a ___________490 1 $a IMA reports on microbiology ; $v no. 7830 0 $a Microbiology reports of the IMA ; $v

no. 7.

Yes

No

Importance of collocation increases as minor title changes occur!


Authority control: more than that!

Thesis statement for today’s discussion:

Series authority records can be an effective“management” tool

for the bibliographic and

physical control of series in a library !


Series authority control: Why?


Same reasons as “name” control

A single form

to collocate records so that user can find all records related to resource

A unique form

to distinguish records for one resource from those for a different resource


Why is unique form important?

So many series have same or similar title proper

So many records related to a series: For the series as a whole (whether numbered or not) For parts of the series For related resources: earlier/later resources,

translations, subseries, etc.


“Resource-based” decision

Not just for the bibliographic resources a library acquires, processes, preserves, and serves to its users

But also related to the “resources” of staff: Time and energy to create/maintain access points But also the cost

Of handling -- or not handling -- so many parts of series consistently!

Of handling parts of many series unnecessarily!


Series authority control: How?


First decision: access point?

Make decision on single form to be used as access point (sometimes from among variant possible forms)

Record that decision: Implicitly via form of access point used in analytic

record A-Z listing of series in library Authority record

Card file Machine-readable record


Second decision: treatment?

Actually, the “larger” decision on how you will handle the parts of series received in your library

Aspects of decision: 1st = Analysis 2nd = Classification

Only then 3rd = Tracing: controlled access point?


Life is simple if …

You handle all parts of all series the same way:

Keep them all Analyze each part (i.e., create a bibliographic record

for each different title proper of a part or parts) Assign a class/call number specific to each part

If you can afford to do that, then your only decision is about a controlled access point for the series


Most libraries can’t do that!

Instead, decisions are made:

Not to acquire all series or all parts of series Not to analyze all parts of some series Not to assign specific call numbers to all analyzed

series

Such decisions made at time first part is received are usually followed for subsequent parts --- but can be reconsidered during lifetime of series


Making treatment decision

What is the “best” way to handle the parts of series? Importance of content to your users Language skills available on your staff Subject expertise available on your staff Other available methods of access to series Size of your cataloging backlog/arrearage !

It’s a balancing act!


After decisions made?

Who needs to know how the parts are handled?

If the collection is small and there aren’t many people handling the series, perhaps you and they can remember how each series is handled

Otherwise, treatment decisions need to be recorded so consistent actions are taken when parts arrive in future


If recording treatment, what else?

Information to identify which series has those treatment decisions So many with same or similar title

A form of series title unique to each series (a type of authoritative heading) To keep your information about different series

separate from the others Even if you’re not providing a controlled series

access point in bibliographic records !


Your series record

Must serve three functions: Show treatment Provide identification Gather treatment/identification under a heading

unique to each series

Type of record: Your decision: range of possibilities from paper/pencil

listing to machine-readable record


Consider a MARC 21 authority

Machine-readable: Can be consulted by anyone in library Can be updated at any stage in workflow

Based on standard: Can be included in file with authority records imported

from other libraries/databases Ready to be exchanged or contributed as part of a

cooperative program


MARC Series Authority Record

SAR has three functions:

Authoritativeness – applies to all libraries using SAR

Identification – applies to all libraries using SAR

Treatment – optional information in MARC 21 format because applies to local library


Context of SARs

SAR: Represents a specific bibliographic resource If resource is classified separately, it is a surrogate for

that resource in database (although acquisitions may need a skeleton collected set record for standing order, etc.)

It’s a practical record!

NAR: May be used in any bibliographic record where it is

appropriate It’s a theoretical record!


SARs not in AACR2

Decisions made based on analogies with collected set bibliographic records for serials and multipart monographs AACR2 Chapter 12 and rules in Chapter 1 Choice/form of entry and number of records from Part II

of AACR2

Practice over the years documented in LCRIs and Descriptive Cataloging Manual Z1

Part III in AACR3 to include authority control


SAR: Authoritativeness function

To promote consistency in any database and to retrieve all analytics in a predictable display order

Two SAR fields are authoritative:

1XX: form of heading given in field 440 or 8XX

642: style of numbering given in subfield $v of field 440 or 8XX


SARs: Identification function

To give enough bibliographic information to identify which resource with the title in the 1XX field

Most important information for this function:

1XX/4XX: form(s) of title in heading/references643: place and publisher670: time period of publication from imprint date in $a642: numbering usually is of the volume in first 670


Source of bibliographic information

Title portion of 1XX field = 4XX $a in analytic record

643 = 260 $a and $b in analytic record

670 $a = 245 $a and 260 $c in analytic record

670 $b = 4XX $a in analytic record; other usage added by cataloger

642 = 4XX $v in analytic record


Confirming the identification

Bibl. record:

260 $a New York : $b JEA Press, $c 2004.440 0 $a Early childhood education ; $v no. 2

SAR:

130 0 $a Early childhood education642 $a no. 6 $5 DLC643 $a Sydney $b University College670 $a ... , 1992 $b ...

Does SAR represent series in bibliographic record? No!


SAR: Treatment function

Local decisions for analysis, tracing, and classification Affect acquisitions, workflow, shelving, etc.

Optional fields in MARC 21644 = analysis decision645 = tracing decision646 = classification decision

050-090 = call number if not classing separately


Who makes treatment decision?

Default decision(s): always handle all series or certain categories of series the same way, or

Default decision(s) with series-by-series exceptions, or

Series-by-series decision made by Recommending official Faculty member, teacher, etc. Cataloger, reference librarian, etc.


First: analysis decision

Must decide analysis first because that decision can affect classification decision

Three possibilities: Analyzed in full: a bibliographic record for each part

with a separate title Analyzed in part: a bibliographic record for some but

not all parts Not analyzed: no bibliographic records for separate

parts


Analysis considerations

Consider:

Scope of the series Permanence of content Importance of content to users Connection to authors/bodies, etc. Abstracting/indexing access Digital versions available Level of analytic records


Scope of the series

Topic so narrow that subject headings would be same on all analytic records? Analytic subject heading same as subject heading on

collected set record?

Topic so broad that there wouldn’t be a subject heading on a collected set record?


Permanence of content

Preprints?

Pre-conference preparation materials?

Discussion papers to be reworked as journal articles?

Preliminary reports of research?


Importance of content to users

For academic/research libraries Covers degrees offered or areas of research? Issuing bodies are professional associations related to degrees

granted?

For school libraries Supports curriculum goals? Addresses concerns of teachers and parents? For fun!

For public libraries Continuing education Community concerns For leisure, travel, hobbies, etc.?


Connection to authors/bodies, etc.

Issued by your institution or related group?

Other connection to your institution, e.g., Faculty member is editor Author is current or former student

Connection to your community, e.g., Local authors Local organizations


Abstracting/indexing access

Can users get access some other way (often faster) than via analytic record?

Does series index itself? Professional or commercial abstracting and indexing

service? Publisher or issuing body Web site includes

abstracts? If not analyzing, put this abstracting/indexing

information in SAR and in collected set record


Digital versions available

Catalog digital versions rather than paper? No longer even acquire paper?

Not even catalog digital but just point to Web site in SAR or in collected set record? Can get users to content faster than analyzing Keyword searching often available


Level of analytic records

May not need full-level records for all analytics

Match amount of information to importance of content

Know what users need

Different levels of description in AACR2


Analyzed in full

Value “f” = 644 $a f

Classification possibilities: Classed separately Classed as a collection

Tracing possibilities: Controlled access point in analytic records No controlled access point in analytic records


A series analyzed in full

v. 1

v. 2

v. 3

v. 4

v. 5

Separate bibliographic records for:

v. 1v. 2v. 3v. 4v. 5etc.

etc.


Analyzed in part

Value “p” = 644 $a p Will need to decide for each volume unless have

categories

Classification possibilities: Can only be classed as a collection because not all

parts represented by analytic records

Tracing possibilities: Controlled access point in analytic records No controlled access point in analytic records


A series analyzed in part

v. 1

v. 2

v. 3

v. 4

v. 5

Separate bibliographic records for:

v. 1v. 2

v. 5

?

etc.

Collected bibliographic record for series

Local holdings include: v. 3-4


Not analyzed

Value “n” = 644 $a n

Classification possibilities: Can only be classed as a collection because parts are

not represented by analytic records

Tracing possibilities not available because there are no analytic records


A series not analyzed

Collected bibliographic record for series

Local holdings list the volumes received

No separate bibliographic records for individual volumes


Not analyzed in LC

Treaty series

Issues of a serial other than monographic series

Some monographic series not needing analysis

Some multipart monographs not needing analysis


LC mono series not analyzed

Consider several factors for a numbered monographic series:

Existence in collection of publication from a specific part of world or from a certain organization more important than the individual parts

Subject matter very limited (same class number and subject heading on analytics and collected set records)

Series is indexed Digital versions available Fewer than 50-60 pages


LC multipart monographs not analyzed

For otherwise analyzable multipart monographs, all four criteria below must be met if deciding not to analyze:

Multipart monograph is new to LC; and Cataloger has or knows about all/most of the volumes;

and Separate records for all volumes would have had same

main entry; and Scope of multipart monograph is not broad.


Classification possibilities

644 $a is “p” or “n” = classify as a collection

644 $a is “f” = make decision based on: Scope of the series Importance of content to users Open stacks, browsing opportunities Abstracting/indexing access Digital versions available Staff resources


Classed separately

Value “s” = 646 $a s

Class number in each analytic record matches the specific subject of that part

Cutter number is based on main entry of that analytic record

Acquisitions may still need a collected set record (suppressed from OPAC) for placing standing order, etc.


A classed separately series

Series: Historical dictionaries of cities of the world

Stockholmby … Gould no. 2

Guangzhouby … Johnson no. 6

Londonby … Panton

no. 11

050 = DL976.3 .G68 1997

050 = DS796.C2 J64 1999

050 = DA677 .P33 2001


Classed as a collection

Value “c” = 646 $a c

Call number is the same in all analytic records Class number is overall subject of the series as a

whole Cutter number is the main entry of the series as a

whole Series numbering may be added to that call number

to make a unique number for each part


A classed collected series

Series: AC history studies series

050 = D1 .A25 no. 3 if classed separately = HF3892.Z5 …

050 = D1 .A25 no. 4 if classed separately = DD257.25 …

050 = D1 .A25 no. 5 if classed separately = BR735 …

East Africa trade

[no. 3 in series]

Fall of Berlin Wall

[no. 4 in series]

Church and statein Europe

[no. 5 in series]


Classed with main or other series

Value “m” = 646 $a m

Applies to subseries or multipart monograph in a larger series already classed as a collection – doesn’t happen very often (thank goodness!)

Call number is the same in all analytic records Class number is overall subject of the larger series as a whole Cutter number is the main entry of the larger series as a whole Series numbering of the main or other series may be added to

that call number to make a unique number for each part


Classification considerations

If analyzing, consider:

Scope of the series Importance of content to users Open stacks/browsing opportunities


Scope of the series

Topic so narrow that class number would be same on all analytic records?

Topic so broad that the call number would not indicate any subject content (e.g., AC1 or AS2)?


Importance of content to users

If of specific interest, classing separately might be more helpful to users

If of general interest, classing as a collection might be acceptable Specific subject headings would be in records


Open stacks/browsing …

Important to have all resources (in and not in a series) on specific topic together on shelves for browsing?

Not as important if stacks are closed Will have specific subject headings even if classing as

a collection Can give specific class number in 2nd subfield $a of

050 in analytic record if classing as a collection


Collected call numbers

050: Library of Congress call number

060: National Library of Medicine call number

070: National Agricultural Library call number[used only by NAL]

082: Dewey Decimal call number

090: Local call number


LC’s classification decisions

If multipart monograph analyzed, following are classed as collections: Collected works of a literary author, composer, or an

author writing in one discipline A two-volume set Proceedings of a conference Resource meant to be treated as a set Narrow topic so that same or close LCC numbers if

classed separately Topic covered chronologically or geographically in

separate parts


LC’s classification decisions

If monographic series analyzed, default decision to classify separately (only possibility if series is unnumbered) unless specific request to class as collection

If monographic series or multipart monograph not analyzed, must class as collection

Danger of classing as a collection: retrieval of serial or multipart monograph analytics more complicated due to shelving of those volumes in number order of series (not of analytic)


Example: class collected analytic

1999 2000 2001 2002

Annual serial analytic

Series: no. 17 no. 26 no. 40 no. 57

If the series is classed as a collection, the serial volumes will bescattered among the other volumes of the series becausethey will be shelved by their series numbers -- not together withyears as volume numbering.


Workaround for such analytics

Local holdings record can indicate correspondencebetween serial/multipart monograph numbering andseries numbering for persons requesting and retrievingvolumes of the analytic:

1999 = [main ser.] no. 172000 = [main ser.] no. 262001 = [main ser.] no. 402002 = [main ser.] no. 57


Tracing decision: 645 field

Finally, will there be a controlled access point for the series in analytic records (default or case-by-case decision)?

Yes, there will be a tracing* = value “t” in $a

No, there will not = value “n” in $a

*terminology is carry-over from card catalog era


Tracing options

Not trace any series (easy to implement)

Trace all series (easy to implement)

Not trace well-defined categories, e.g., Not commercially-published series Not titles that indicate only genre Not unnumbered series


Treatment subfield $5

In a shared authority file: Use $5 to identify whose treatment has been

recorded Content of subfield = MARC 21 organization code

In a local authority file: Can omit $5 but may need to add later if decide to

contribute records to a shared file Can use $5 for different decisions for different branch

or department libraries


Examples of subfield $5

644 $a n $5 DLC644 $a f $5 HkUST

644 $a f $5 DLC $5 HkUST646 $a s $5 DLC646 $a c $5 HkUST


Treatment subfield $d

You may change treatment decision for a series: Because importance of series content changes Because users’ needs change Because staff resources change

Treatment fields are repeatable

Subfield $d gives information about duration of treatment decision Or can document an “exception” (intended or not) to

decision


Example of subfield $d

644 $a n $d vols. processed after Feb. 1, 2005 $5 ___644 $a f $d vols. processed before Feb. 2, 2005 $5 ___

What happens to a volume received today?

It shouldn’t be analyzed; instead, it wouldbe checked in and sent to the collection.


Another example of subfield $d

050 $a ___ $b ___ $d v. 16-

644 $a n $d v. 16- $5 ___644 $a f $d v. 1-15 $5 ___

646 $a c $d v.16- $5 ___646 $a s $d v. 1-15 $5 ___

What do you do with v. 19? Don’t analyze; check it in.

What do you do with v. 12? Analyze and class separately.


Another example of subfield $d

130 $a Guangdong wen shi zi liao

644 $a f $d vols. processed after Jan. 27, 2005 with analyzable titles at the provincial level or for major cities $5 DLC (see 667 field below)644 $a n $d all other volumes $5 DLC

667 $a LC analysis practice as of Jan. 28, 2005: create “enhanced MLC” records if Reference doesn’t request full-level records.


Other treatment subfield

644 subfield $b = exception(s) to analysis practice given in subfield $a

644 $a n $b except no. 5, 22 $5 ___

Decision: no. 5 and no. 22 are analyzed; others shouldn’t be analyzed.

644 $a n $b except serial analytics $5 ___

Decision: only serials in the series are analyzed.


Remember optionality in MARC

Treatment fields may be lacking in some SARs in the LC/NACO Authority File LC must include its treatment decisions (lacks local

authority file) Other libraries in Program for Cooperative Cataloging

may omit local decisions

Since late 1998, due to PCC emphasis on access points, two required fields for new SARs for new series:

645 $a t $5 DPCC

And, if series numbered: 642 $a [form of no.] $5 DPCC


SARs save your staff time

To identify as early as possible

in the workflow for appropriate routing:

Those series not being analyzed

but also: Those series not being cataloged Those series not being added to the collection


Those series not being cataloged?

“Grey literature” available in reading rooms

Staff office collections, e.g., Cataloger’s reference collection IT office technical library

Can also use authority record for non-analyzable serials to indicate temporary retention, e.g., Quarterly issues kept in reading room until annual

microfiche cumulation received


Example of not-cataloged series

130 $a Hydrological observations (Oslo, Norway)

644 $a n $5 DLC

667 $a Technical report. Generally, issues of this series are uncataloged in LC; they are in the Science, Technology and Business Division. If any volumes have been cataloged, the bibliographic records can be found by searching for the series heading above.

If a volume is cataloged, 644 $a is changed to “p” for “in part.”


Those series not kept

Non-selection decisions For series as a whole or for selected issues

Change in selection decision

For benefit of staff in your and other libraries: Recommending/selecting officials Faculty/students Reference/interlibrary loan


Examples of not kept

667 $a LC selection decision: Not acquired by LC. Send any volumes to National Library of Medicine.

667 $a LC selection decision: Not acquired in LC after Sept. 14, 2004. Volumes cataloged before Sept. 15, 2004 were analyzed in full, classed separately.

667 $a LC selection decision: Not acquired in LC after May 28, 1999. Volumes in the collection have been discarded.


One more type of SAR: phrase

Series-like phrase: “A character string (words, letters, combination of letters and numbers) not considered to be a series.”

SARs not always required to document the “not-a-series” conclusion

Creating such an SAR for questionable cases contributes to consistency in your OPAC or in shared databases


Some might think it’s a series

Some of common situations listed in LCRI 1.6, e.g.,

Unnumbered restatement of body’s name + generic term

Sub-imprint name or subsidiary name + generic term Some lecture series Slogan, motto, prize Unnumbered genre or characterizing words on

cover/flaps or container Looks like a series title but it is something else


Phrase SAR examples

130 $a D.O.T. (Series)667 $a Is part of sales number on spine; ignore

in bibliographic record.

130 $a Interscience publication643 $a New York, N.Y. $b Wiley667 $a Give as a quoted note if Interscience does not appear in the imprint.

130 $a Proceedings (Forest Products Research Society)667 $a Give as a quoted note, e.g., “Proceedings 7333.”

130 $a World Bank software667 $a Give as a quoted note if not in the body of the entry.


Important use of phrase SAR

A series-like phrase SAR can also be used as a “memo for staff” to convey specific information: so situation doesn’t need to be investigated and decided again – and again – and again …


To avoid re-investigation

130 $a Alfaguara (Series)667 $a Is an imprint, not a series. Give in publication, distribution, etc., area of the record.

130 $a Series (Standard map series designation system)667 $a The standard map series designation system … is an internationally coordinated system for identification and control of series mapping produced by participating civil and military organizations…667 $a Record the standard map series designation in a 246 field preceded by the phrase “Standard map series designation.” …


We’ve exhausted several topics

And perhaps ourselves, too !

Where are we?


We’re back to first question

Yes, it is providing a controlled series access point in analytic records.

But, even more, with use of a series authority record, it’s an efficient method for controlling all those series streaming into your library!

What is series authority control?


More about authorities … FRANAR, a conceptual model for authority data, to be

submitted by IFLA for worldwide review this year

Virtual International Authority File (VIAF)http://www.loc.gov/loc/ifla/imeicc/source/VIAFTillett_504.pdf

Work authorities: a consideration of SARs instead of bibliographic records for serials To be posted on: http://www.ala.org/ala/alctscontent/serialssection/

serialscomm/contresourcecata/contresourcescat.htm

IFLA 2005 conference in Oslo: Cataloguing Section programme on authorities


More about the PCC

Program for Cooperative Cataloging components NACO – name and series authorities SACO – subject authorities (headings/classification) BIBCO – bibliographic records for monographs CONSER – bibliographic records for serials

http://www.loc.gov/catdir/pcc/


Questions?

About today’s topics?

After today, can email me ([email protected]) about Today’s topics Other series topics

Documents

Series Authority Control: What? Why? How? Judith A. Kuhagen Cataloging Policy & Support Office Library of Congress Washington, D.C., U.S.A. Hong Kong University