AACR2 2002 C&T Workflow

For: YUL Technical Services Support Staff
From: AACR2 Amendments 2002 Training Task Force (Joan Swanekamp, Steven Arakawa, Matthew Beacom, Manon Theroux, Marie Whited)
Date: ( 2/28/2003 creation date/ 04/28/2003 9:23 AM revision date)

KEY DEFINITIONS:

BIBLIOGRAPHIC RESOURCE: Forms the basis for a bibliographic description; may be tangible (a book) or intangible (a website)

CONTINUING RESOURCE: A bibliographic resource that is issued over time with no predetermined conclusion. Continuing resources include serials and ongoing integrating resources

FINITE RESOURCE: A bibliographic resource complete at the time of publication (a single part monograph) or having a predetermined conclusion (e.g. a multipart monograph).

SERIAL: A continuing resource issued in a succession of discrete parts, usually bearing numbering, that has no predetermined conclusion. Examples of serials include journals, magazines, electronic journals, continuing directories, annual reports, newspapers, and monographic series

INTEGRATING RESOURCE: A bibliographic resource that is added to or changed by means of updates that do not remain discrete and are integrated into the whole. Integrating resources can be finite or continuing. Examples of integrating resources include updating loose-leafs and updating Web sites.

UPDATING LOOSE-LEAF: An integrating resource that consists of one or more base volumes updated by separate pages that are inserted, removed, and/or substituted. On bibliographic records, identified by the qualifier "(loose-leaf)" in field 300 ‡a. Popular format in legal collections. See the example at the end of this document under "MARC 21 'New' Fields."

ITERATION: An instance of an integrating resource, either as first published or after it has been updated.


GENERAL EFFECT OF 2002 AMENDMENTS ON WORKFLOW:

AACR2 2002 [Anglo-American Cataloging Rules, 2nd ed., 2002 revision] and the related Library of Congress rule interpretations introduce new terms or revise certain definitions (see above) to emphasize "type of issuance." "Bibliographic resources" are what catalogers catalog, and bibliographic resources are classified by their type of issuance: continuing/finite, discrete/non-discrete. Type of issuance determines whether a bibliographic resource is cataloged as a monograph, a serial, or an integrating resource.

For both acquisitions and copy cataloging staff, knowing whether a bibliographic resource is a monograph, a serial, or an integrating resource will often have an impact on workflow. Serial ordering, receipt, and copy cataloging will often be performed by specialist staff and will require different Voyager templates for new orders. Updates to Integrating Resources will require special handling and may need to be flagged to determine special receipt processing. Multipart monographs are handled differently from serials, but because multiparts are issued in “parts,” they may be confused with serials. Conversely, special issues of serials are sometimes confused with monographs and sometimes get into the monograph cataloging workflow by mistake. The recent LCRI 1.0 [Library of Congress Rule Interpretation for AACR2 rule 1.0] will result in more conference papers collections being cataloged as serial issues; searchers will need to check with their supervisors when it appears that both monograph and serial source cataloging is found for the item in hand.


Experienced staff have come to recognize certain MARC [Machine-Readable Cataloging] fields or certain types of notes as denoting a “serial.” As a result of the recent revision to AACR2, staff will begin to see these “serial” MARC fields in records for monographs and integrating resources. For that reason, determining whether a bibliographic resource is a monograph, a serial, or an integrating resource will sometimes depend on the more abstract and complex categories of type of issuance: discrete/not discrete; finite/continuing. In addition, the information on the item in hand may not be that explicit. Consult with your supervisor when in doubt.

 


NEW AND AMENDED RULES IN AACR2 2002

INTRODUCTORY WORDS (AACR2 1.1B1)

AACR2 rule 1.1B1 has to do with titles proper and introductory words at the start of the title. It says: Do not transcribe the words that serve as an introduction that are not intended to be part of the title.

For most Acquisitions staff, this situation occurs most often with videos and popular journals. If you’re searching Voyager or another database, and you aren’t sure whether to include what may appear to be an introductory phrase, search both ways.

When creating a preliminary record, create an additional title access field 246 that includes the title phrase as part of the title for the benefit of other searchers.

EXAMPLES:

245 0 0 $a Sleeping Beauty
246 1 _ $i Title appears on item as: $a Disney presents Sleeping Beauty

245 0 0 $a Today's world
246 1 _ $i Title appears on item as: $a Welcome to today's world

TYPOGRAPHIC ERROR IN SERIAL 245 $a (AACR2 12.1B1)

Although the correction of typographic errors in serial titles is a new AACR2 rule, it has been standard serial cataloging practice for some time because of Library of Congress practice. Access to the incorrect form is provided through the 246 field. Note that 246 access is generally provided only if the typo was on the issue used as the basis for the description (i.e. issue #1). Typos on later issues are generally ignored.

EXAMPLE:

245 0 0 $a Ohio adventures
246 1 _ $i Title on no. 1: $a Ohioo adventures

WORKFLOW:

  • Serial/integrating resource preliminary records only: correct an obvious error when transcribing in 245 but check with supervisor. Do not enter a corrected title for the 245 of a monograph.
  • Receiving issues of previously cataloged serial: 246 is generally made only if the typo is on the first issue, not subsequent issues, but check with your supervisor
  • Receiving updates to previously cataloged integrating resource: 246 required; check with supervisor
  • Typo in series statement (490) of monograph: check with your supervisor; series authority record needs to be updated

INITIALISM/ACRONYM IN SERIAL/INTEGRATING RESOURCE (245 $a) OR SERIES (4XX/8XX $a)

If the full form and the initialism are both on the title page, use the fuller form as the title proper (245 $a or 4XX $a). A 246 field (on the serial record) or a 4xx (on the SAR) is made to provide access to the initialism. (The pre2002 rule had a complex exception which has now been dropped with the 2002 amendments)

EXAMPLE.

Title page:

RIB

Research in Biology

Transcribed as:

245 0 0 $a Research in biology : $b RIB
246 3 0 $a RIB

WORKFLOW:

  • Preliminary record for serial/integrating resource: follow the pattern used in the example above
  • Searching: especially when checking for duplicate orders, search under both fuller form and abbreviated form
  • Receiving issues of a previously cataloged serial: do not change existing records that have initialism in 245 $a, BUT: if there is no 246 for the fuller form, notify your supervisor
  • Monograph copy cataloging. The fuller form should have been transcribed in 4XX, but no attempt will be made to correct records retroactively. The SAR will determine established form.

NUMBERING AREA (serials and series)

In serials, numbering ("designation") is recorded either in field 362 or in the 500 "Description based on" note. Usually, those serials that are journals or periodicals use both enumerative (strictly numbers) and chronological (year, sometimes month/day) designations, e.g. "362 0_ ‡a no. 1 (May 1980)" or "500 __ Description based on: no. 2 (June 1999)." In some cases, the serial will only have a chronological designation, like an annual.

Monographic series are serials, but catalogers are usually working with monographic series analytics, which are books. On monographic series analytics, the numbering is recorded in 4XX/8XX ‡v. Monographic series generally have only enumerative designation, e.g. 440 __ Studies in Civil War history ; ‡v v. 1."

Cataloging records for integrating resources do not record numbering; 362 is used only for notes about the first iteration..

Prior to the 2002 amendments, if the numbering of the serial or series re-started (i.e. went from v.1-v.35, then started to number from v.1 again) a new record (cataloging record or series authority record) was created if the new numbering sequence lacked wording (e.g. "new series," "n.F.") indicating that a new numbering sequence had begun. Following the 2002 amendments, the cataloger does NOT create a new record if the "new series" wording is lacking. In those situations, the appropriate wording is inserted in square brackets.

EXAMPLE (Serial):

Successive designation is recorded in serial cataloging in two ways, depending on whether the first issue for the new designation is in hand.

If the first issue of the new designation is in hand, the designation is recorded in field 362 only:

362 0 _ $a No. 1 (May 1980)-No. 8 (Feb. 1988) ; [new ser.], no. 1 (Mar. 1988)-

If the first issue of the new designation is not in hand, the old designation is left as is in field 362 and the old designation is recorded in field 515:

362 0 _ $a No. 1 (May 1980)-
515 _ _ $a Issues for <Feb. 1989> called <[new ser.], no. 2 (Feb. 1989)>

EXAMPLE (monographic series):

Last volume of original numbering sequence:

440 _ 0 $a Civil war history ; $v v. 35

First volume of new numbering sequence:

440 _ 0 $a Civil war history ; $v [new ser.], v. 1

EXAMPLE (Series Authority Record)

642 _ _ $a [new ser.], v. 1 $d 2002- $5 DPCC $5 CtY
642 _ _ $a v. 1 $d 1989-2001 $5 DLC

Note that the current series numbering is the first 642; the previous numbering is the 2nd 642.

WORKFLOW:

  • Staff receiving issues of previously cataloged serial: if the numbering starts up again (v. 1-35, then the next issue you receive is v. 1), notify your supervisor
  • Monograph copy catalogers: if the series numbering starts up again but is not accounted for on the series statement & the Series Authority Record/SAR (i.e. no [new ser.] or equivalent in series statement or SAR 642), notify your supervisor. You aren't expected to check series numbering on every series; also, you can assume that the series numbering is OK on LC records. BUT: if you have a member record for a title published from 2003 on, check the series authority record if you have a v. 1 or v. 2 published recently but you notice previously published titles have a higher volume number, e.g. v. 25. If the authority record has only one 642 field, check with your supervisor.
  • Serial copy catalogers: if source copy followed the old rules and separate records were created when the numbering re-started, go ahead and use separate records for the new titles. If no records are found to account for the new numbering, refer to supervisor

LINKING NOTES

Serial catalogers have always used fields 780 and 785 to refer to the earlier and later title respectively on serial records. Now you may start to see these fields on monograph and integrating resource records. One case would be if papers from a conference for one year were cataloged as a monograph and the cataloger decided to catalog subsequent conference collections as serial issues. The last conference collection cataloged as a monograph would have a 785 field with the title of the serial; the serial record would have a reciprocal 780 linking field with the title of the monograph. If you receive a conference papers collection and you find a monograph record with an earlier publication date and with a 785 field, you need to search Voyager, LCDB, and the utilities for a serial record, or pass the volume to a serial specialist.

UPDATING LOOSE-LEAFS AND OTHER INTEGRATING RESOURCES

Latest iteration is the basis for description. Look for the qualifier "(loose-leaf)" in field 300 to identify an updating loose-leaf.

300 _ _ $a v. (loose-leaf) ; $c 25 cm.

Record is updated if the title changes on a later iteration (new record is not created). The title for the earlier iteration is recorded in field 247.

EXAMPLE:

Existing record for updating loose-leaf.

245 0 0 $a Scholarship opportunities for future math teachers
300 _ _ $a v. (loose-leaf) ; $c 25 cm.
500 _ _ $a Description based on: release 5, published 2001.

Same record after change in title proper with the later iteration:

245 0 0 $a Future math teachers' scholarship opportunities
247 1 0 $a Scholarship opportunities for future math teachers $f <release 5, published 1999>
300 _ _ $a v. (loose-leaf) ; $c 25 cm.
500 _ _ $a Description based on: release 9, published 2001.

CAUTION: serials cataloged under preAACR2 "latest entry" rules may have field 247; don't confuse with integrating resources records. (Serials won't have "300 __ $a v. (loose-leaf)")

WORKFLOW

  • Searching. The iteration in hand may not be the same as the one used on the source record; be sure to check both 245 and 247 when verifying. Consider the record a match whether the iteration is represented by 245 or 247, but check other match points like 260, 020, 4XX, etc. Don't create an unnecessary preliminary record if you have a different iteration from the source copy; remember that a different iteration does not warrant a separate record for an updating loose-leaf.
  • When receiving updates: even if the title hasn't changed, the Description based on: note is always updated. Hand off to a cataloging librarian.
  • Copy cataloging: if source copy is for the same iteration, catalog it. If the source copy is for an earlier/later iteration, hand off to a cataloging librarian

RULE 1.4F8 (Dates in 260 $c and first part is not in hand)

This rule applies to transcription of publication dates in 260 $c. It addresses the question of what to do when the first/last issue is not in hand at the time of cataloging.

1.4F8. Serials.

RULES:

  • If the first/last issue is not in hand, dates are NOT recorded in 260 $c
  • If information about the first/last issue is available from another source, it may be recorded in field 362 1, e.g. 362 1# $a Began in 2000.
  • If the first/last issue is not in hand, record must have a 500 "Description based on" note

WORKFLOW

  • Staff receiving issues of previously cataloged serial. If there is a Description based on note and the issue received is earlier than the issue cited in the note, check with your supervisor. This is especially important if the issue received is the first, since this requires update of the 260 field as well. If there is a "Description based on" note and the issue is later than the issue cited, add the issue assuming there are no major/minor differences to account for.
  • Serial copy catalogers. If there is a "Description based on" note in the source copy and the issue received is earlier than the issue cited, check with your supervisor. This is especially important if the issue received is the first, since this requires update of the 260 field as well. If there is a "Description based on" note and the issue is later than the issue cited, use the source copy as found assuming there are no major/minor differences to account for.

1.4F8. Integrating resources (updating loose-leafs)

This is a much simplied version of the rules:

  • If the first iteration isn't in hand, there may or may not be a date.
  • If information about the first/last iteration is available from another source, it may be recorded in field 362 1
  • If the first/last iteration is not in hand, record must have a 500 "Description based on" note

WORKFLOW

  • Staff receiving earlier/later iteration for a previously cataloged record. Hand off to a cataloging librarian.
  • Copy catalogers. If iteration is the same (check the Description based on note if there is one; otherwise compare version #, dates), go ahead and catalog. If iteration is earlier/later, hand off to a cataloging librarian.

1.4F8 Multipart monographs

As with integrating resources, the rules listed have been simplified:

  • If the first part isn't in hand, there may or may not be a date in 260 $c. If there is a date, the date will be in square brackets [date of first vol.] or angle brackets <date of earliest/latest available volumes>
  • If the first part isn't in hand, a 362 1 field will be used only if there is no square bracket date. Even in that case the 362 1 field is only entered if information is readily available, so in reality you won't see it very often on multipart records.
  • 500 "Description based on" note is always used

EXAMPLE:

260 _ _ $a _____ : $b ______ , $c <2003>
362 1 _ $a Began publication in 1999?
500 _ _ $a Description based on v. 3, published 2003.

WORKFLOW:

Monograph copy catalogers:

  • If set is complete at the time of cataloging and the source copy is for the complete set, or if the set is incomplete but the source copy is for the complete set, go ahead and catalog. CAUTION: If the set is part of a classed together series, check with your supervisor.
  • If the source copy is for an incomplete set, hand off to your supervisor or to your unit's multipart specialist.

FOR MAJOR/MINOR CHANGES (INCLUDING UNAMENDED RULES) SEE LINKS UNDER RELATED DOCUMENTS BELOW


MARC 21 "NEW" FIELDS

Variable fields, generally used in records for serials until now, also will be used in records for integrating resources:

022/222 – ISSN/Key title
247/547 – Change in title proper
310/321 – Frequency
362 1 – Beginning/ending date of publication*
550 – Earlier corporate body statement of responsibility
580 & 760-787 – Relationships with other resources

*Also for multipart items.

Some linking entry fields 760-787 may appear on monograph and integrating resource records as well as serial records.

Integrating resources will use Leader code m (monograph) for the time being. This is expected to change around mid-2003 to Leader code i (integrating resource). It hasn't been decided whether we will require use of the new code for preliminary records. If not, the code change will have no effect on Acquisitions processing.

EXAMPLE (integrating resource)

000 00888nam 2200277 a 450
001 6045533
005 20030227130845.0
008 030102m20029999mnu 001 0 eng
010 __ |a 2003615041
035 __ |a (DLC) 2003615041
035 __ |a 3643573
040 __ |a DLC |c DLC |d DLC
043 __ |a n-us---
050 00 |a KF3463 |b .A97
082 00 |a 343.73/0723 |a 347.303723 |2 19
100 1_ |a Aspelund, Donald J.
245 10 |a Employee noncompetition law / |c by Donald J. Aspelund, Robert B. Lytle.
260 __ |a [St. Paul, Minn.] : |b West Group, |c c2002-
300 __ |a v. (loose-leaf) ; |c 26 cm.
310 __ |a Updated annually
440 _0 |a Intellectual property library
500 __ |a Includes index.
500 __ |a Description based on: update 7 published in 2002.
650 _0 |a Covenants not to compete |z United States.
650 _0 |a Labor contract |z United States.
700 1_ |a Lytle, Robert B., |d 1964-
780 00 |a Aspelund, Donald J. |t Employee noncompetition law. |z 0876325444 |w (DLC) 87011759




RELATED DOCUMENTS:

MAJOR/MINOR CHANGES CHECKLIST

MAJOR/MINOR EXAMPLES

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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Copyright © 2003 Yale University Library
Contact: steven.arakawa@yale.edu
Last updated: 28-Apr-2003 9:23 AM
URL: http:///www.library.yale.edu/cataloging/Orbis2Manual/CNTA2check.htm