4XX AND 8XX

SERIES IN THE BIBLIOGRAPHIC

AND AUTHORITY RECORDS

 

| Bibliographic Record |

| Traced Series | Traced Differently Series | Not Traced Series | Series with Subtitle  |

|  Series on Jacket Only  |  Series in CIP Only  |  Series in Publisher’s Listing  |

|  “New Series” Phrase  |  Supplements to Serials  |

 

|  Series Authority Record  |

| Search Voyager AF  |

| 1XX  |  4XX  |  5XX  |  64X  |  667  |  670  |

 

 

Purpose:  application of coding in the series authority record to the bibliographic record.

 

THE BIBLIOGRAPHIC RECORD

 

There are three categories of series:  traced, traced differently, and not traced.

TRACED SERIES:  TITLE

440 IN BIB RECORD (FORM OF SERIES IN BIB AND AUTHORITY RECORDS IS IDENTICAL)

When a series title is entered in the bib record and the individual titles of items in the series are searchable using a Voyager title or staff title search, the series title is said to be traced.  Traced series titles are entered in field 440 in bib records.

 

The 4xx field in the bib record is an element of the description and must therefore be entered in the bib record as it appears in the book—with the exception of other title information (subtitle), initial articles, and certain abbreviations in the series numbering.  The initial article may be absent in some bib records.  In order for a series title to be coded 440 in the bib record, the form appearing in the book must match the Voyager authority record exactly as to form (1xx) and numbering (642)—except for the initial article.  Refer to the following section of this procedure, 1XX Established Form of the Series, for additional information on initial articles.

 

Book:

Communication and Behavior

 

Bib record:

440:_0: |a Communication and behavior

 

Authority record:

130:_0: |a Communication and behavior

 

645:__: |a t |5 CU

 
      

Book:

The Prentice Hall Series in Computer Science

Bib record:

440:_4: |a The Prentice Hall series in computer science

 

OR

 

440:_0: |a Prentice Hall series in computer science

Authority record:

130:_0: |a Prentice Hall series in computer science
645:__: |a t |5 CU
       
Book: Twentieth-Century Japan: the Emergence of a World Power
Bib record: 440:_0: |a Twentieth-century Japan
Authority record: 130:_0: |a Twentieth-century Japan

645:__: |a t |5 CU

 

TRACED DIFFERENTLY SERIES:  TITLE OR NAME/TITLE

490/8XX IN BIB RECORD (FORM OF SERIES IN 490 IN BIB RECORD AND 1XX IN AUTHORITY RECORD IS DIFFERENT)

In many cases, the established form of the series (the form given in field 1xx of the authority record) will differ from the form in the book.  The difference may be in the title proper of the series or the series numbering.  In such cases, the series added entry in the bib record is said to be traced differently.  A Voyager staff title or staff name/title search of the series as given in the book should retrieve an authority record but no bib records.  Instead, Voyager lists these forms as “Reference” headings.

 

Traced differently series use two fields in the bib record, 490 and 8xx.  The 490 field contains the series as it appears in the book.  The first indicator is 1, indicating that the series is traced differently (than in the authority record).  The 8xx field contains the series as it appears in the 1xx of the authority record.

 

Book:

The Arden Shakespeare

Bib record:

490:1_: |a The Arden Shakespeare

 

800:1_: |a Shakespeare, William, |d 1564-1616. |t Works.

Authority record:

100:1_: |a Shakespeare, William, |d 1564-1616. |t Works.

 

430:_0: |a Arden Shakespeare

 

645:__: |a t |5 CU

 

Book:

College Entrance Examination Board Research Monograph

Bib record:

490:1_: |a Research monograph / College Entrance Examination Board

 

830:_0: |a Research monograph (College Entrance Examination Board)

Authority record:

130:_0: |a Research monograph (College Entrance Examination Board)

 

645:__: |a t |5 CU

 

Book:

Japanese Studies

Bib record:

490:1_: |a Japanese studies

 

830:_0: |a Japanese studies (Honolulu, Hawaii)

Authority record:

130:_0: |a Japanese studies (Honolulu, Hawaii)

 

430:_0: |a Japanese studies

 

645:__: |a t |5 CU

 

Book:

Mind and Medicine

Bib record:

490:1_: |a Mind and medicine

 

830:_0: |a Mind & medicine

Authority record:

130:_0: |a Mind & medicine

 

430:_0: |a Mind and medicine

 

645:__: |a t |5 CU

 

8XX Without 490 1

In general, field 8xx should not be entered in a bib record without a corresponding 490.  However, this field may be used alone when the series statement appears in a note (OCLC Bibliographic Formats and Standards manual, tag 830).  This occasionally occurs with reprint publications in which the series title of the original publication is given in a 500 note.

 

500:__: |a Reprint. Originally published:  New Haven : Yale University Press,

               1938.  (Yale University publications in anthropology ; no. 17)

830:_0: |a Yale University publications in anthropology ; |v no. 17.

 

NOT TRACED SERIES:  TITLE OR NAME/TITLE

490 IN BIB RECORD (FORM IN BIB RECORD MATCHES FORM IN THE BOOK)

When a series is entered in the bib record and the individual titles in the series are not searchable using a Voyager title, staff title, or staff name/title search, the series is said to be not traced.  A staff title or staff name/title search should retrieve an authority record but nobib records.  If bib records are retrieved andthey are CUL records, place the book on the series problem shelf with a note:  tracing conflict.  However, if the records are Law or Bridwell libraries’ records, ignore them.  Refer to the section of this procedure, Search the Series in the Voyager Authority File for further instructions on how to determine if CUL bib records are retrieved for not traced series.  Not traced series are entered in field 490 in the bib record.  The first indicator is zero, indicating a not traced series.

 

Book:

Bibliotheque europeenne

Bib record:

490:0_: |a Bibliotheque europeenne

Authority record:

130:_0: |a Bibliotheque europeenne

 

645:__: |a n |5 CU

 

 

SPECIAL SERIES SITUATIONS

SERIES WITH SUBTITLE

Transcribe the title proper of the series exactly as to wording, order, and spelling, but not necessarily as to punctuation and capitalization (AACR2, 1.6B1).  Do not give other title information unless it provides valuable information identifying the series (1.6D1).

 

Series title page:

Words their origin, use and spelling

Authority record:

130:_0: |a Words : their origin, use and spelling

Bib record:

440:_0: |a Words : their origin, use and spelling

 

BUT

Series title page:

Gender and society: feminist perspectives on the past and present

Authority record:

130:_0: |a Gender and society

 

667:__: |a Subtitle: Feminist perspectives on the past and present

Bib record

440:_0: |a Gender and society

 

 

SERIES APPEARING ONLY ON THE BOOK JACKET

Search for a series authority record in the Voyager Authority File.  If an authority record is found, apply the tracing practice stated below in fields 642, 643, 644, 645, 646, and 667.  If there is no Voyager authority record, search the OCLC authority file.  If an OCLC authority record is found, export and code fields 642, 644, 645 and 646 with |5 CU, DF or MS (see section 64X of this procedure).

 

Enter the series statement in the bib record in square brackets.  In addition, make a note indicating the location of the series

 

440:_0: |a [Culture and the regions]

500:__: |a Series statement from jacket.

 

If an OCLC authority record is not found, place the book on the series problem shelf.  The Series Cataloger will create an authority record and return the book to the copy cataloger.  The authority record will include the instructions:  give “phrase as a quoted note,” rather than a series (LCRI 1.6A2).

 

500:__: |a “Models in aggressive journalism, 5”--Jacket.

 

 

SERIES APPEARING ONLY IN THE CIP (cataloging in publication) DATA

If the series statement appears only in cataloging data (foreign or domestic) in the item or in a bibliography, do not transcribe this information in the series area.  Exception:  If the series appearing in the cataloging data is classified as a collection in LC, transcribe the series statement without brackets; record in a note the source of the series statement  (LCRI 1.6 Introduction).

 

500:__: |a Series statement from cataloging data on t.p. verso.

 

 

SERIES APPEARING IN PUBLISHER’S LISTING

Accept a publisher’s listing as the source of series information only if the listing is the sole source of series information in the item.  In all other cases, consider the publisher’s listing as the last choice (LCRI 1.6A2; CSB 51, p. 21).

 

 

“NEW SERIES” PHRASE

Treat such phrases as “new series”, “second series”, “series 77” as part of the series numbering and not as a subseries if the phrase indicates a new designation system (LCRI 1.6H; CSB 71, p. 12).  If such phrases do not appear in the 1xx or 642 field of the series authority record, place the book on the series problem shelf with a note:  new series phrase.  If a series authority record has to be created for such series, the Cataloger should follow LCRI 1.6H; CSB 71, p. 12.

 

 

SUPPLEMENTS TO SERIALS

Some supplements to serials are treated as series, others are not.  Supplements to one issue or volume of a serial are not usually treated as series.  Ongoing supplements to the serial as a whole are usually treated as series.  The following AACR2 rule and LCRI apply to supplements:

 

AACR 21.30G1 (Added entries for related works).  Make an added entry under the heading for a work to which the work being catalogued [in this case the supplement] is closely related [in this case the serial].

 

LCRI 21.30G  Catalogers should follow this LCRI when formulating the access point for supplements.

 

 

THE SERIES AUTHORITY RECORD

 

The authority record gives the established (approved, official) form of the series title or name/title and series numbering (if any) that is to appear in the series entry field in the bib record.  It also records the tracing practice that is to be applied in the bib record.

 

NOTE:  The instructions below will vary somewhat for Requisitions and Continuations Teams.  As written, they apply to the Requisitions Team.  Therefore, follow the instructions of the trainer in applying this procedure.

 

Search the Series in the Voyager Authority File

 

  1. Sources for the series.  The series statement (4xx field) is taken from the following sources (in this order):  series title page, monograph title page, cover, rest of the publication.
  2. Compare the book and the bib record.  If a 4xx is present in the bib record, verify that the series is actually in the book.
  3. If there is no series statement in the record, look for one in the book.  In addition to the sources listed above, series statements may also be found on the title page verso, front and back cover, spine, preliminary pages and publishers’ bibliographies at the front or back of the book.
  4. A book can also be published in more than one series.  Some records may include only one of the series.  Therefore, look in the places where series statements commonly appear and enter all series that appear in the book.
  5. Search and display the authority record.  Follow the procedure:  Retrieving and Searching for Series Authority Records.
  6. Look for the presence of subfield 5 “CU” (|5 CU) in the 642, 644, 645 and 646 fields of the authority record.
  7. If the |5 CU is not present, place the book on the series problem shelf with a note:  authority record not coded.  The Series Cataloger will code the record according to CUL practice.
  8. Look at field 644.  If this field is coded “p” or “n”, give the book to the Series Specialist.
  9. Look at field 646.

a.       If this field is coded:  |a c (SET) |5 CU, give the book to the Series Specialist.

b.      If it is coded:             |a c  |5 CU, give it to the Serials Specialist.  If the |5 CU is not present, give the book to the Series Cataloger.

  1. Look at field 645.  If this field is coded “n” and CUL bib records displayed under Heading Type non-series title, in the Voyager Headings List box, place the book on the series problem shelf with a note:  tracing conflict.
  2. If there is no 644, 645 or 646, look for field 667 and the instructions:  give phrase as quoted note.  If this note is present, the phrase is entered in field 500 rather than 4xx.  If none of these fields is present, place the book on the series problem shelf with a note:  missing 644, 645 and 646.

 

1XX   ESTABLISHED FORM OF THE SERIES

The 1xx in the authority record is entered in the 440 or 8xx field of the bib record; (see traced and traced differently series above).  Ignore initial articles appearing in the book and bib record in determining a match against the Voyager authority record.  Initial articles are not retained as part of the series title in the authority record but may be retained in the bib record.  The second indicator in the 440 and 830 of the bib record is coded for initial articles (nonfiling characters).  End of field punctuation in the authority record and the bib record may vary.  The 1xx field of the authority record frequently ends with a period.  The 4xx field of the bib record never ends with a period.  However, the 8xx field of the bib record does end with a period.

 

EXAMPLES OF FIELD 1XX

130:_0: |a Communication and behavior

100:1_: |a Shakespeare, William, |d 1564-1616. |t Sonnets.

130:_0: |a Bulletin (Geological Society of America)

 

 

4XX   CROSS REFERENCE (VARIANT/UNESTABLISHED FORMS OF THE SERIES)

The 4xx in authority records may appear in the book and in the 490 field of the bib record.  These are unestablished, unapproved forms of the series.  No bib records should be retrieved under this form; if they are, place the book on the series problem shelf with a note:  4xx used on bib.  If there is a variant form of the series in the book that does not appear in a 4xx in the authority record, place the book on the series problem shelf with a note:  needs 4xx.

 

EXAMPLES OF FIELD 4XX

130:_0: |a Communication and behavior

430:_0: |a Wiley series in communication and behavior

 

100:1_: |a Shakespeare, William, |d 1564-1616 |t Sonnets

430:_0: |a Sonnets of William Shakespeare

 

130:_0: |a Research monograph (College Entrance Examination Board)

410:2_: |a College Entrance Examination Board. |t Research monograph.

 

 

5XX   CROSS REFERENCE (RELATED/ESTABLISHED FORMS OF THE SERIES)

The 5xx in authority records is most often (but not always) later or earlier established forms of the series.  The form appearing in the 5xx also has a separate authority record with that form appearing in the 1xx field.  In many cases there is also a Voyager authority record and bib record(s) with that related form.  For example, a search of the 130 and 530 in the example below, retrieves separate authority records for both.

 

EXAMPLE OF FIELD 5XX

130:_0: |a James Sprunt studies in history and political science

530:_0: |w a  |a James Sprunt historical studies

 

 

64X SERIES TREATMENT (FIELDS 642, 643, 644, 645 AND 646)

There may be multiple occurrences of each of these fields in the authority record because each is repeatable.  When CUL practice differs from the practice specified in the field, a separate field is entered for CUL practice.

If the field is repeated, look for the one with |5 CU to determine CUL practice.  (Note:  CUL does not add its symbol (CU) in subfield 5 of the 643).  If more than one of the repeated fields has |5 CU, look for |d to determine current practice.  Generally the current practice precedes the earlier practice.  The most common phrase found in subfield d in each of these fields is “for items cataloged after Dec. 31, 1980” (current practice) and “for items cataloged before Jan. 1, 1981” (earlier practice).

 

645:__: |a t |5 CU (separate field added for CUL because DLC practice is split)

645:__: |a t |d items cataloged after Dec. 31, 1980 |5 DLC

645:__: |a n |d items cataloged before Jan. 1, 1981 |5 DLC

 

Subfield 5 (|5) in fields 642, 644, 645 and 646 is coded:

|5 CU for Fondren, Science, Hamon, ISEM, Fort Burgwin

|5 DF for DeGolyer Library

|5 MS for CMIT

|5 BR for Bridwell Library

|5 UL for Underwood Law Library

 

 

642   SERIES NUMBERING EXAMPLE

This field contains the numbering example that is to be followed in the 440 and 8xx subfield v (“|v”) of the bib record.  It is not always present in the authority record because many series are not numbered.  The “|v” in the bib record signifies the presence of a numbering scheme.  Do not confuse “|v” with “v.” in the numbering scheme.  Many older bib records omit the MARC code “|v”.  It needs to be inserted in order for the computer to correctly search this field.  If it is not present, the computer views the numbering as part of the series title.

 

Standard abbreviations and Arabic numbers (AACR2 Appendices B9 and C.2B1) are used to record numbering in bib records (See Appendix:  AACR2 Abbreviations).  For example, if “volume XX” appears in the book it is entered in the 4xx as “v. 20”.  The presence and form of numbering in the bib record and the authority records must match exactly.  The 440 or 8xx |v should contain the caption (v., no., pt., Bd., etc.) used in the 642.  If the book carries a different form or caption than the 642, the series statement in the bib record is entered in the 490 1 instead of the 440.  For example, if the book has no caption and the 642 caption has v., use 490 1 and add an 8xx |v v.

 

Authority:

642:__: |a v. 1

Book and Bib record:

490:1_: |a 1

 

830:_0: |a v. 1

 

The following subfields apply.

|a = numbering example  (if the book you are cataloging and the series numbering example do not match, place the book on the series problem shelf with a note:  numbering conflict)

|d = vols./dates to which the numbering example applies

|5 = Library to which the field applies

 

008 Fixed Field “Numbered Series.”  The coding of this fixed field corresponds to the presence or absence of the 642 and concomitantly the presence or absence of subfield v in the bib record.  The codes below apply in field 008 “numbered series.”  There may be times when the book has a volume number but the authority record does not.  Likewise, the authority record may have a 642 field, but the book does not have a volume number.  When this happens, display the 008 field and look at the subfield “Numbered Series.”

 

a = numbered series.  There should be a 642 in the authority record and a |v in the bib record.

b = unnumbered series.  There should not be a 642 in the authority record or a |v in the bib record.

c = series numbering varies.  Certain books in the series have a volume number; others do not.  Therefore, the |v may be present or absent in the bib record.  However, there should be a 642 in the authority record showing the example for those volumes that are numbered.

 

If the code given in the Numbered Series field is “b” and the book gives a number - or - If the code is “a” and the book does not give a number, place the book on the series problem shelf with a note:  numbering conflict.  If the code is “c” and there is no 642 in the authority record, place the book on the series problem shelf with a note:  needs 642.

 

 

643   SERIES PLACE AND PUBLISHER

The place and publisher should match the 260 subfields a and b in the bib record.  There may be multiple 643 fields or multiple places/publishers in a single 643 field.  If |b does not match, place the book on the series problem shelf with a note:  publishers do not match.    Note:  Some authority records include a 643:  various places; various publishers.  Other records include a 667: published alternately by various publishers or Imprint varies.  If the 643 or 667 state that there are various publishers, accept the publisher(s) in the bib record.  Do not place the book on the problem shelf.  The following subfields apply.

 

|a = place

|b = publisher

|d = vols./dates to which place/publisher apply

 

Multiple Places and Publishers

643:__: |a London |a New York |b Chapman & Hall |d items cataloged after Dec. 31, 1980

643:__: |a Oxford |b Clarendon Press |a New York |b Oxford University Press |d items cataloged before Jan. 1, 1981

 

 

644   SERIES ANALYSIS PRACTICE

This field records whether a separate bibliographic record (analyzed series) is created for each volume of the series.  The following subfields apply.

 

|a = f   analyzed in full.  Each individual volume in the series has a separate bib record

|a = p   partially analyzed.  Some vols. have a separate bib record

|a = n   not analyzed.  None of the individual vols. have a separate bib record

|d =     vols./dates to which analysis practice applies

|5 =     Library to which the field applies

 

If this field is coded p or n, give the book to the Series Specialist.

 

 

645   SERIES TRACING PRACTICE

The decision to trace or not to trace to the series in the bib record is recorded in this field.  The following subfields apply.

 

|a = t   traced series  (440 in bib) or series traced differently (490/8xx in bib)

|a = n   not traced series  (490 0 in bib)

|d = vols./dates to which the tracing practice applies

|5 = Library to which the practice applies

 

 

646   SERIES CLASSIFICATION PRACTICE

Codes in this field determine how the series is classified.  The following subfields apply.

 

|a = s   vols. are classified separately according to the subject content of the vol.

|a = m  vols. are classified with main or other series.  Single call number for all vols.

|a = c   vols. are classified as a collection.

Code c indicates that the book is part of a classed together monographic set or a classed together serial.  The call number assigned to each vol. is included in the 050 or 090 field of the authority record

If the record is coded “c” or “c (SET)”, give the book to the Series Specialist.

646:__: |a c (SET) |5 CU  MONOGRAPHIC SET

646:__: |a c |5 CU  ANALYZED SERIAL

|d =   vols./dates to which classification practice applies

|5 =   Library to which the practice applies

 

 

667   GENERAL NOTE

This field functions similarly to the 500 note in the bib record.  One type of information that may be included here is the subtitle of the series--when that subtitle is not included as part of the title proper of the series.  Also, instructions to tag the phrase as a quoted note, instead of as a series, are included here.

 

 

670   SOURCE DATA FOUND

This field contains a citation for a published work or a description of any source or action that provided information about the heading (e.g., a telephone call to the publisher).

 

 

 

 

MSF 8/29/2001

 

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Last updated 01/22/2002