SERIES AUTHORITY RECORDS UPDATE

Sarah S. Elman, Columbia University

CEAL CTP RDA Workshop

Mar. 23, 2015

Scope and Disclaimer

• Covers selected outstanding policy issues mentioned in the Series Training for PCC Participants. Preliminary edition (May 2014) plus some comments by the Standing Committee on Standards (SCS)

• Incorporates relevant LC-PCC PS in the Feb. 2015 release.

• Not intended to be a comprehensive series authority training.

• Some knowledge of series authority work assumed.

Types of SARs (Review)• Monographic series (ca. 90%)

-- “A group of separate resources related to one another by the fact that each resource bears, in addition to its own title proper, a collective title applying to the group as a whole. The individual resources may or may not be numbered.” [Note: No predetermined ending.]

• Multipart monographs (ca. 8%)-- “A resource issues in two or more parts (either simultaneously or successively) that is complete or intended to be completed within a finite number of parts.”

-- May have analyzable titles.

[Note: Many SARs for multipart monographs are coded incorrectly because catalogers forgot to change the default setting in Connexion.]

• Series-like phrase (ca. 2.5%)-- A character string not considered to be a series.

• Other (e.g., other serials, integrating resource)

Choice of Series Numbering

• Choice of form of series numbering in series statement when resource offers multiple presentations.

• 6JSC/ALA/27/Sec final: Take the numbering within a series [and subseries] from the following sources (in order of preference):

a) the series titles page

b) another source within the resource itself (see 2.2.2)

c) one of the other sources of information specified at 2.2.4.

Series Numbering: Arabic Numerals vs. Transcription

• Substituting Arabic numerals for non-Arabic numerals in the series statement and AAP?

• Recommendation: 490 -- Transcribe numerals as found on the source of information.

8XX -- Substitute Arabic numerals for non-Arabic

[Note: for indexing/sorting purposes]

642 of SAR -- Substitute Arabic numerals for

non-Arabic

• SCS agrees.• LC practice/PCC practice (1.8.3; Feb. 15 release): For

rare serials, record numbers in the form in which they appear on the source of information

Numbering: Abbreviations of Captions

• Substitutions of prescribed abbreviations for different found abbreviations of captions, e.g., “v.” for “vol.”?

• Recommended LC-PCC PS 24.6.1.3: “Abbreviated terms used as part of the numbering as instructed in Appendix B. Substitute one form of abbreviation with the prescribed abbreviation.”

• English: always use “v.”• French: always use “vol.”

• SCS agrees.• No final decision has been made.

Series Numbering only in CIP• Series numbering appears only in CIP data, on publisher’s

website, etc.

• Recommendation: Maintain current policy:490 – Do not transcribe from CIP or outside resource

8XX – Data in CIP or external source can be recorded

• No decision has been made.

Recording Chronological Designation• Recording the chronological designation (490/8XX), if there

is one, with the numeric designation? [Note: Do not confuse chronological designation with the publication date.]

Example:

On piece: Volume 1 (2014)

490 1 … $v Volume 1 (2014)

830 0 … $v v. 1 (2014)

• Recommendation: Yes, follow RDA 2.12.9.4 & 24.6.1 as written and add an example in training materials.

• SCS agrees.

• No final decision has been made, but can do for new SARs.

Numbering for Analytics with Nonconsecutive numbering

• Analyzed bibliographic resources with more than one issue of a series and nonconsecutive numbering.

• Recommendation: • Do not use the “etc.” technique• List all the numbers, with non-consecutive sequences separated by commas for

490 and 8XX fields. Example: 490 & 830 ….$v v.1-3, 5, 8-9

• Alternatively for 8XX fields, give nonconsecutive numbers in separate 8XX fields instead of in a single 8XX field.Example: 830 ….$v v.1-3.

830 … $v v.5.

830 … $v v.8-9.

• SCS wants to see a suggested policy statement.

• No final decision has been made.

Numbered/Unnumbered Series• Should numbered and unnumbered versions of the same

series be consider as different series?

• Recommendation: Discontinue the practice of distinguishing between unnumbered and numbered versions of the same series… When different SARs are encountered and upgraded to RDA, existing authority records should be combined.

• No final decision has been made.

• For now, consider as different series.

Recording Date of Work & Expression

• Recording the dates of works and expressions?

• Recommendation: Record the Date of Work using the 046 field whenever it has been used as a qualifier to the AAP for either work or expression. Otherwise, record date of work whenever it is readily ascertainable.

• SCS: …the date of the work would be the date of publication of the component part that was published first, regardless of whether this part carried the lowest numbering or whether it carried a chronological designation that was earlier or later than its data of publication…

• No final decision has been made.

• OK to follow the recommendation.

Recording Form of Work• Recommendation: Record form of work in all work-level series authority

records using the 380 field.

380 $a Series (Publications) $2 lcsh

Recording form of work for the type of series is also strongly encouraged:

380 $a Series (Publications) $a Monographic series $2 lcsh

Or, for multipart monographs:

380 $a Series (Publications) $2 lcsh

380 $a Multipart monograph

(Multipart monograph series require two 380 fields because “Multipart monograph” is not currently in LCSH.)

Additional forms may also be recorded as appropriate (e.g., Plays, Poems, Novels).

Do not record “Series (Publications)” in records for series-like phrases. Instead record:380 $a Series-like phrase

• SCS agrees.• No final policy decision has been made.• OK to go ahead doing this.

ExamplesSeries: a -- Monographic series

130 0 "Zhongguo shen mi wen hua de bian xi he xing wu" xi lie cong shu

380 Series (Publications) ǂa Monographic series ǂ2 lcsh

430 0 "中国神秘文化的辨析和省悟 "系列丛书

Series: b -- Multipart item

100 1 Ito, Chuta, ǂd 1867-1954. ǂt Works. ǂk Selections

380 Series (Publications) ǂ2 lcsh

380 Multipart monograph

381 Selections

400 1 Ito, Chuta, ǂd 1867-1954. ǂt Kenchiku shiryoshu

430 0 Ito Chuta kenchiku shiryoshu

640 1 Complete in 7 volumes

Place of Origin of the Work

• Recording the Place of Origin of the Work?

• Recommendation: Record in the 370 field whenever it has been used as a qualifier to the authorized access point. Consider recording the 370 if it would be helpful in retrieving or identifying the work, is particularly closely associated with the series, or would be otherwise helpful to users of the record.

• SCS: … For now, generally limit it to when it is used as a qualifier and the place is actually the origin of the work, not merely the manifestation.

• No final decision has been made.

Publisher and Place

• Should fields 370 (Associated Place) and 373 (Associated Group) be used to record data that is currently recorded in field 643 , or should it be permissible to record it in all of these fields?

• Recommendation: Do not record any of the places in the 370 field unless one of the places has been used as a qualifier in the AAP, or is particularly closely associated with the series as a work.

• No final decision has been made.

Adding Language of Expression• If a series exists in a single expression, is it appropriate to add

language of expression to a series authority record for a work?

• Recommendation: Record language of expression in series authority records only if the record represents an expression, e.g., the translation of a series into another language. Do not record language of expression in series authority records that represent works.

• SCS: Reword as LC-PCC PS 6.11.1.3. PCC practice: Series Authority Records: Record language of expression in series authority records only if the record represents an expression other than the original language. Use field 377 for recording the language.

• No final decision has been made.

Usage of Qualifier “(Series)”• Should we continue to use the qualifier “(Series)” for

multipart monographs and series-like phrases?

• Recommendation: Continue to use the qualifier “(Series)” for multipart monographs, but not for series-like phrases.

• SCS agrees.

• No final decision has been made.

Bilingual/Multilingual Series• Series that exist in more than one language expression. • Recommendation:

• Create a work-level authority record for the series.• Create expression-level authority records for the language

expressions by appending the language (including the original language) to the work-level AAP for the series.

• Use the AAP for the language expression in bib recorded as appropriate.

• For bilingual series, add a 655 field (genre/form) in the bib record:

655 #0 Bilingual books.• SCS does not agree.• No final decision has been made.

Series vs. Name Authority Record• What to do when an existing name authority record would

otherwise duplicate a proposed series authority record?

• Recommendation: Revise PCC policy to allow a single authority record to authorize either “name” authorized access points (1XX/240 or 7XX) or series authorized access points (8XX). In case where an AAP might be needed either as a series or a "name" access point, the PG recommends not using the term "series" as a qualifier if a qualifier is needed.

• SCS agrees.

• No final decision has been made.

SAR for Classed Together Multipart Monographs

• Is a comprehensive (collected set) record required whenever a PCC library decides to class together a multipart monograph?

• Recommendation: It’s optional, though recommended, to create such a record.

[Note: Remember to change the 008/12 (Type of series) to "b".]

• SCS agrees.

• No final decision has been made.

SAR for Classed Together, Analyzed Multipart Monographs

• Is it necessary to create a series authority record when a multipart monograph is analyzed and classed as a collection?

• Recommendation: NACO catalogers should create series authority records if they trace a series (8XX) in a BIBCO record, if the series authority record does not already exist.

[Note: Remember to change the 008/12 (Type of series) to "b".]

• SCS agrees.

• No final decision has been made.

SAR for Multipart Monographs Classed Separately

• Is it necessary to create a series authority record in cases in which a multipart monograph is classed separately?

• Recommendation: NACO catalogers should create series authority records if they trace a series (8XX) in a BIBCO record, if the series authority record does not already exist.

[Note: Remember to change the 008/12 (Type of series) to "b".]

• SCS agrees.• No final decision has been made.

SAR for Series-like phrases• Should catalogers continue to create SARs for series-like

phrases under RDA?

• Recommendation: This practice should be continued.

[Note: Remember to change the 008/12 (Type of series) to "c".]

• No final decision has been made.

What Should You Do?• If something is given as PCC practice in the LC-PCC PS,

or clear instructions are given in the DCM Z1, follow them for now.

• If no guidelines are in these documents, you may either follow the Policy Group’s recommendations or not. E.g., adding 380 in work level SARs and the terms recommended in the Group’s recommendations.

Reminder: Catalogers who are not independent for SARs have to go through a formal training and review process before s/he can contribute SARs to the authority file. The PCC Training manual is being revised, but may be used now. Report problems encountered in the manual to George Prager at: pragerg@exchange.law.nyu.edu.

Latest Developments• The Series Policy Task Group is making a push to review

the remaining series LC-PCC PS and DCMZ1.

• Becky Culbertson, outgoing chair of the SCS, has joined the group.

• More recommendations will be sent to PoCo for inclusion as LC-PCC PSs.

• PCC Standing Committee on Training has just formed a new task group to review, revise, and create appropriate series documentation. Hopefully the revised series modules will be available by ALA Annual.

Additional Resources• Program for Cooperative Cataloging Standing Committee

on Training Series Policy Task Force. Interim Report (January 17, 2014) [Note: The Standing Committee on Standards (SCS)’s comments were added on May 29, 2014.]

• RDA Toolkit releases – April 2015 and beyond.

• PCC Training Materials and its future revisions.