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W.E.B.
Du Bois Library Cataloging Manual
SERIES AUTHORITY WORKFLOW
FOR CONTRIBUTED COPY CATALOGING, ORIGINAL CATALOGING AND RETROSPECTIVE
CONVERSION
CONTENTS
I. Control/uncontrol
series decision
A. Control
(authority record required)
B. Don't
control (authority record optional)
II. Authority record
creation
A. Authority
record required
B. Authority
record optional
C. Creation
and coding of original authority records
1. 1xx, 4xx, 5xx field creation
2. Controlled series
a. Classed separately
b. Analyzed series
3. Uncontrolled series
D. Downloading
and/or modifying existing authority records
1. Modifying a series authority record already in Innopac
a. Controlled or uncontrolled series
b. Analyzed series (ser anals or contin anals)
2. Downloading and modifying a series authority record
E. Special
considerations
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I. Control/Uncontrol Series Decision
Local decisions take precedence
over LC policy.
A. Control (authority record required)
If you control a series, tag it
440 or 8xx as the case may be.
1. series that are classed together
2. series on standing order (Fill
out a Serial Information Form and return it to Serial Acquisitions, as
required.)
3. important series (i.e., scholarly)
- this is a matter of judgment.
B. Don't Control (authority record
optional - see II.B. below)
If you don't control a series, tag it
490 0n.
(We will not get authority records from BNA for series tagged this way.)
1. unimportant series (regardless of
LC practice)
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II. Authority Record Creation
A. Authority Record Required
Note: If a series authority record
exists in the LC authority file and it is not needed immediately, do nothing.
The authority record will be received from BNA. If an authority record
is needed immediately, download the record (refer to II.D.2.
below). Otherwise, create an original authority record.
1. controlled series
2. series needing xrefs or important
notes (controlled or uncontrolled)
3. monographic series that are treated
as ser adds
B. Authority Record Optional
1. unimportant, uncontrolled series
2. unimportant series having many entries
in OPAC (If authority record already in III, edit to show uncontrolled.)
3. uncontrolled numbered series not
traced by LC
C. Creation and Coding of Original
Authority Records
1. Create 1xx, 4xx, 5xx fields as necessary
for controlled, uncontrolled, and analyzed series. (4xx and 5xx may require
|w in the first position in the field, followed by |a.) Refer to the OCLC
Authorities User Guide for information on coding and tagging.
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2. Controlled Series
a. Classed Separately
(1) If the series is numbered,
add a 642 field. 642 field contains an example of the form of series numbering
that should be used in the |v field of a series tracing
example: 642 nn
no. 1
(2) Add 644, 645, 646 fields
644 field indicates the series analysis
practice. Code as "f" (analyzed in full, i.e., cataloged as a monograph)
645 field indicates the series tracing
practice. Code as "t" (traced as a series added entry)
646 field indicates the series classification
practice. Code as "s" (volumes are classed separately)
example: 644 nn
f
645 nn t
646
nn
s
(3) Add a 667 field (nonpublic
general note)
667 nn
LOCALLY CREATED [initials] [date]
(4) If deemed necessary (to resolve
a possible conflict), add a 670 field. (Citation source in which the information
about the heading was found).
example: 670 nn
Materials handling handbook, 1984: |b t.p.
(International
Material Management Society)
For further information see the NACO
Participants' Manual.
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b. Analyzed Series (ser anals or
contin anals)
(1) Add an 090 field (The 090 field
contains our local classed together classification number.)
example: 090 nn
BX1425.A1|bC64|kFolio
090 nn
Phys. Sci. QD 281.P6|bD48
Input locations into the 090 and
667 fields as follows:
| Coll. Dev. |
Music Compact Disc |
Perm. Reserve |
| Davis |
Music Record |
Phys. Sci. |
| Doc. |
Music Ref. |
Phys.Sci. Ref. |
| Judaic Alcove |
Music Tape |
Ref. |
| Juvenile |
Music Video |
Score |
| Media |
Near Eastern |
Spec. Coll. |
| Morrill |
East Asian |
Tech. Serv. |
| Morrill Ref. |
East Asian Ref. |
|
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(2) Add 642, 644, 645, 646 fields.
(a) 642 field contains an example of
the form of series numbering that should be used in the |v of a series
tracing.
example: 642 nn
no. 1
(b) 644 field indicates the series
analysis practice. Code as "f" (analyzed in full, i.e., cataloged as a
monograph)
(c) 645 field indicates the series tracing
practice. Code as "t" (traced as a series added entry). [Note: you may
find this field coded as "n" in old ser anal records, meaning we classed
the series together but did not trace it. Do not code "n" for new ser anals.]
(d) 646 field indicates the series classification
practice. Code as "c" (volumes are classed as a collection)
example: 644 nn
f
645 nn
t
646
nn
c
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page
(3) Add a 667 (nonpublic general
note).
667 nn
CLASSED TOGETHER IN
AND ANALYZED
example: 667 nn
CLASSED TOGETHER IN
BX1425.A1C64 Bd. Folio AND ANALYZED
667 nn
CLASSED TOGETHER IN Phys. Sci. QD281.P6D48 v.
AND ANALYZED
(4) Add another note:
667 nn
LOCALLY CREATED [initials] [date]
(5) If deemed necessary, add a
670 field. (Citation source in which information about the heading was
found.)
example: 670 nn
Materials handling handbook,
1984: |b t.p. (International Material
Management Society).
For further information see the NACO
Participants' Manual.
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3. Uncontrolled Series
a. Include a 645 field, coded "n",
recording our decision not to control the series.
example: 645 nn
n
b. If you have a 4xx field in the
authority record (i.e., a cross reference), code the ASUPPRESS: fixed field
"s". This will suppress the cross reference from public but not staff view.
c. Add a 667 field (general nonpublic
note)
667 nn
UNCONTROLLED SERIES
d. Add another 667 field: LOCALLY
CREATED [initials] [date]
e. If deemed necessary, add a 670 field.
(Citation source in which information about the heading was found.)
example: 670 nn
Materials handling handbook, 1984: |b t.p. (International
Material Management Society).
For further information see the NACO
Participants' Manual.
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D. Downloading and/or modifying existing
series authority records
1. Modifying a series authority
record already in Innopac
a. Controlled or Uncontrolled series
(1) Make necessary changes or additions
to 1xx, 4xx, 5xx fields.
(2) Note variations in our local
practices in 642, 644, 645, 646 fields by adding a separate field or modifying
an existing field and adding a |5AUM.
example: 644 nn
f|5AUM
644 nn
n|5DLC
(We analyze the series in full,
meaning we catalog as a monograph. LC does not analyze, meaning they catalog
as a serial)
or,
644 nn
n|5DLC f|5AUM
Choose whichever method makes the information
easiest to find and the record easiest to read.
(3) Add 667 field or modify an existing
667 field. Include information as to the field changed, added, or deleted
in parentheses immediately after the LOCALLY EDITED note and before the
initials and date. This will help other staff identify the local information
and retain it when a duplicate authority record is encountered. If there
is more than one field with the same tag, identify the second as xxx.2.
Be sure the phrase LOCALLY EDITED is entered correctly because this phrase
is used to create lists for duplicate authority record reconciliation.
example: 667 nn
LOCALLY CREATED cls 11/10/94;
LOCALLY EDITED (644 added) lml 1/11/95
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b. Analyzed series (ser anals or
contin anals)
(1) Add or make changes to 1xx,
4xx, 5xx fields
(2) Add 090 field, if not present
(Note: add an 090 field recording our
local classed together number even if an 050 field is already present in
the record. 050 fields are to be ignored in series authority records.)
(see II.C.2.b. for examples and list of input locations)
(3) Note variations in our local practices
in 642, 644, 645, 646 fields (see II.C.2 and II.D.1.a.
(2))
(4) Add the following 667 note, if not
present
667 nn
CLASSED TOGETHER IN
AND ANALYZED
(see II.C.2.b.
(3))
(5) Add 667 field or modify an
existing 667 field. Include information as to the field changed, added,
or deleted in parentheses immediately after the LOCALLY EDITED note and
before the initials and date. This will help other staff identify the local
information and retain it when a duplicate authority record is encountered.
If there is more than one field with the same tag, identify the second
as xxx.2. Be sure the phrase LOCALLY EDITED is entered correctly because
this phrase is used to create lists for duplicate authority record reconciliation.
example: 667 nn
LOCALLY EDITED (644, 645, 646, 667 added) cls 11/11/95; (667.2 added) lml
11/30/95
(6) Add 670 field, if deemed necessary.
(Citation source in which the information about the heading was found.)
example: 670 nn
Materials handling handbook, 1984: |b t.p. (International Material Management
Society).
For further information see the NACO
Participants' Manual.
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2. Downloading and modifying a series
authority record
a. There is no need to download series
authority records from OCLC's authority file unless a series authority
record is needed to create a ser anal or contin anal authority record or
if cross references are urgently needed. In this case, call up the correct
series authority record on OCLC and export it to Innopac [xpo <F11>].
Make a printout of the OCLC authority record and attach to it the export
record from the Whisper printer.
b. Once the appropriate series authority
record is downloaded, modify it according to the instructions in II.D.1.b.
Downloaded authority records should be modified the same day they are downloaded.
Make a printout of the locally edited Innopac series authority record,
attach the OCLC printout, and submit it to the Series Authority Unit.
c. Insert code "a" into ACode2. (This
will facilitate the identification of records in relation to file type
when accessing by LC control number or Innopac control number, which is
often the case when database maintenance routines are performed.)
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E. Special considerations
1. Special problems or series conflicts
in bibliographic records can always be referred to the Series Authority
Unit. Refer blind series authority records (i.e., a series authority record
with no corresponding bibliographic record) to the Series Authority Unit.
2. Consult OCLC
Authorities User Guide for further details on coding series authority
records.
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Copyright
2000 University of Massachusetts, Amherst
For corrections, comments
and suggestions contact the Cataloging
Manual Committee, W.E.B. DuBois Library
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