Major/Minor Changes on Serial Records and Series Statements
For: YUL Technical Services Staff
From: AACR2 Amendments 2002 Training Task Force (Joan Swanekamp, Steven Arakawa, Matthew Beacom, Manon Theroux, Marie Whited)
Date: (2/20/2003 creation date/ 04/28/2003 9:31 AM revision date)

MAJOR/MINOR CHANGES AND WORKFLOW

Staff responsible for adding serial issues to cataloged records. Check with your supervisor if you think the latest issue in hand falls into any of the major or minor changes categories discussed below. Cataloging staff will need to update the current bibliographic record or create a new record. Major/minor changes must be accounted for:

  • to ensure that users are able to retrieve the appropriate serial record based on a given citation
  • to ensure that Acquisitions is able to communicate with vendors using the correct citation

Cataloging staff. Update of the old record or creation of a new record due to major/minor changes should be considered high priority for the reasons cited above.

Serial copy catalogers. If there is a discrepancy between the serial issue to be cataloged and the existing bibliographic source record, decide whether the difference represents a major or minor change.

  • If the change appears to be minor, first check the resource file (LCDB) for an updated record and replace the Orbis record if an updated record is found that accounts for the discrepancy; otherwise, refer the issue and bib. record to a catalog librarian for updating. Avoid searching the utilities for a record updated for minor changes.
  • If the change appears to be major, first check the resource file for a new record; replace the in-process record or import a new record as appropriate. Search the utilities if no record is found in the resource file. If no record is found in the utilities, route to a catalog librarian.

Monograph copy catalogers. Do not spend time reviewing LC records for major/minor changes in the series statement; changes are expected to be reflected in national level authority records created by LC. However, when working with member (non-LC) source copy, look for changes to the series title as it appears in 4XX on the bibliographic record. The section MAJOR CHANGES THAT DO NOT INVOLVE THE TITLE PROPER generally does not apply to series statements; skip ahead and focus on CHANGES TO TITLE PROPER and the separate sections on Major and Minor changes that follow it. When working with member copy series statements:

  • A minor change should be accounted for on the series authority record with a reference (4XX on the series authority record); if it isn't, consult with a catalog librarian.
  • A major change will require a new SAR (Series Authority Record). If an SAR for the new series title is not found in either Orbis or LCDB, consult with a catalog librarian. When in doubt, consult with a catalog librarian.

Cataloging librarians. Use the checklist to verify whether to update the existing record or create a new record (bibliographic or SAR as appropriate). Note that it is Yale practice not to reclass (e.g. from Old Yale to LC) when a new serial record is created due to a title change. (Cataloging of Serials in the Yale University Library. Section 7A D.2a. Successive entry/rev. 9/14/76: "The new entry uses the same call number as the earlier entry.")

MAJOR CHANGES THAT DO NOT INVOLVE THE TITLE PROPER

New record required!

  • Main entry (110) changes (AACR2 [Anglo-American Cataloging Rules, 2nd ed. 2002 update]. 21.3B1, i-ii)
  • Translated serial undergoes a change in original title (LCRI [Library of Congress Rule Interpretations to AACR2] 21.3B)
  • Change in the corporate body used as a uniform title qualifier (AACR2 21.3B1, iii)
  • Change in physical format (paper to microfiche; paper to online) (LCRI 21.3B)
  • Change in edition statement where the change indicates a change in subject matter or a change in physical medium (LCRI 21.3B)

MINOR CHANGES THAT DO NOT INVOLVE THE TITLE PROPER

No new record required!

Change in numbering (e.g., 1-3, then re-starts again at 1)

CHANGES TO TITLE PROPER

The rules for serial (and monographic series) title changes are subdivided into "major" and "minor" changes. For serials, a major change requires a new bibliographic record. A minor change is generally handled by updating the existing record with a 246 field. For series statements, a major change requires a new series authority record; a minor change is generally handled with a reference (4XX) on the SAR.

AACR2 was revised in 2002 in order to reduce the number of situations that would require a new record. The key sources for information about major/minor title changes are AACR2 21.2A and the corresponding LC rule interpretation (LCRI).

Although integrating resources (updating loose-leafs and websites) are now included in what was once the "Serials" chapter in AACR2 (the chapter is now called "Continuing Resources"), the rules for major/minor title changes are not applied to them.

MAJOR CHANGES TO TITLE PROPER

Most changes requiring a new record involve the title proper (for serials, 245 $a and $p; for series 490 $a or 440 $a and $p). Per AACR2 21.2A1, a major change in the title proper is considered to be the addition, deletion, change, or reordering of any of the first five words (the first six words if the title beings with an article) unless the change belongs to one or more of the categories listed in AACR2 21.2A.

Also considered a major change is the addition, deletion, or change of any word after the first five words (the first six words if the title begins with an article) if it changes the meaning of the title or indicates a different subject matter.

Also considered a major change is a change in a corporate body name given anywhere in the title if the name represents a different corporate body (i.e. the corporate body name would have a separate authority record).

Per LCRI 21.2A1.

"General guidelines

"1) When determining if there has been a major change or a minor change on a subsequent issue or part, compare the title on that issue or part (a) to the title proper recorded in the title and statement of responsibility area in the serial bibliographic record, or (b) to the title proper recorded in the heading of the series authority record for a monographic series or other serial.

<i.e., a decision cannot be based on a difference between the title on the issue in hand and the title in a 246 field on the bibliographic record (or, for series, on the 4xx field of the SAR); the difference must be between the title on the issue in hand and the title as it appears in field 245 (or, for series, on the 130 field of the SAR>

"2) Multiple minor changes in the title do not equal a major change.

MINOR CHANGES TO TITLE PROPER

Per AACR2 21.2A2, minor changes to the title proper are:

a) a difference in the representation of a word or words anywhere in the title (e.g., one spelling vs. another; abbreviated word or sign or symbol vs. spelled-out form; arabic numeral(s) vs. roman numeral(s); numbers or dates vs. spelled-out form; hyphenated words vs. unhyphenated words; one-word compounds vs. two-word compounds, whether hyphenated or not; an acronym or initialism vs. full form; or a change in grammatical form (e.g., singular vs. plural))

LCRI 21.2A2: "In applying category a) of 21.2A2, consider that "one spelling vs. another" applies both in the case of ordinary orthographic variations and in the case of official orthographic changes. Consider that a "change in grammatical form" includes singular vs. plural, adjective vs. noun, and genitive vs. nominative."

b) the addition, deletion, or change of articles, prepositions, or conjunctions anywhere in the title

c) a difference involving the name of the same corporate body and elements of its hierarchy or their grammatical connection anywhere in the title (e.g., the addition, deletion, or rearrangement of the name of the same corporate body or the substitution of a variant form). [In case of doubt, consider the change to be a minor change]

LCRI: "In applying category c), if the change is in the name of a body that is part of the title proper and the change requires the creation of a new heading for the body (cf. 24.1C), consider such a change to be a major change. Consider the presence or absence of the name of the official of the body to be a minor change. Consider the presence or absence of the body to whom a publication is presented to be a minor change."

d) the addition, deletion, or change of punctuation, including initialisms and letters with separating punctuation vs. those without separating punctuation, anywhere in the title

e) a different order of titles when the title is given in more than one language in the chief source of information, provided that the title chosen as title proper still appears as a parallel title

LCRI: "For category e), also consider the situation to apply when the title is given in more than one script. Do not consider there to be a major change if the addition of the title in another language or script on a later issue would affect the choice of title proper if the description were based on that issue. [also see category g) below]"

f) the addition, deletion, or change of words anywhere in the title that link the title to the numbering

g) two or more titles proper used on different issues of a serial according to a regular pattern

LCRI: "For category g), also consider the situation to apply when the language of the title varies according to the language of the text.

"For categories e) and g), consider that there has been a major change if there is evidence that the publisher intentionally changed the title; such evidence may include, for example, a statement by the publisher or a new ISSN printed on the publication."

h) the addition to, deletion from, or change in the order of words in a list anywhere in a title, provided that there is no significant change in the subject matter [In case of doubt, consider the change to be a minor change]

LCRI: "In applying category h), consider that "a list" means at least three terms."

i) the addition or deletion [or rearrangement] anywhere in the title of words that indicate the type of resource such as "magazine," "journal," or "newsletter" or their equivalent in other languages. [In case of doubt, consider the change to be a minor change]
<[or rearrangement] is inserted from the LCRI>

Note that a change involving a term ("monthly") denoting frequency is a MAJOR change.

Note also that a change from one term denoting type of resource ("journal") to another resource term ("review") is a MAJOR change.

RELATED DOCUMENTS:

MAJOR/MINOR EXAMPLES

AACR2 2002 C&T CHECKLIST

 

 

 

 

 

 

 

 

 

 

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Contact: steven.arakawa@yale.edu
Last updated: April 28, 2003 9:31 AM
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