Authority Control at Yale

YALE POLICIES for NACO

SERIES AUTHORITY RECORDS

This document sets forth Yale University Library policies for creating, updating, and importing NACO series authority records (SARs) associated with monographic series and multipart monographs (MPMs). It is intended to supplement, not replace, standard documentation issued by the Library of Congress (LC) and the Program for Cooperative Cataloging (PCC).

Throughout these instructions, replace $5 CtY with your unit's specific code whenever applicable.

pointing handSee also: Yale Policies for NACO Name Authority Records

For documentation on creating associated bibliographic and holdings records, please see:

1. Creating New SARs

1A. Where to Create New SARs

Create all new SARs in the OCLC authority file according to Yale's NACO workflow.

Do not create new SARs in ORBIS.

1B. When to Create New SARs

As a general rule, create new SARs for analyzed monographic series and MPMs whenever one or more of the following criteria apply:

  • the series or MPM requires cross reference(s)
    Exception: If the only reference would be a name-title reference from the issuing body and the body has not yet been established (requiring that an additional authority record for the body be established), creating the series authority record is optional; use judgment.
  • the series or MPM requires a qualifier
    Exception: If the series requiring the qualifier is a non-academic series that has been issued by a commercial publisher, creating the series authority record is optional; use judgment.
  • the series or MPM is on standing order
  • the series or MPM will be classed together
  • the series or MPM will be traced in a BIBCO record
    Note: In a BIBCO record, the series may be tagged as untraced if it has not been established in a series authority record; only traced series need be established.
  • the series or MPM is represented by a local SAR
    Note: Local SARs lack an 010 field. These records were created in ORBIS, rather than contributed to NACO, in accordance with former Yale policy. The local SAR should be deleted from ORBIS after the NACO record is created.
  • a selector has identified the series or MPM as important and requested that a SAR be created

New SARs are not required for monographic series and MPMs whenever one or more of the following criteria apply:

  • the monographic series or MPM will not be analyzed
  • the monographic series or MPM is complete at the time of cataloging
    Exception: Unless it requires a cross reference or will be traced in a BIBCO record.
  • the monographic series or MPM will be untraced in a BIBCO record
    Note: In a BIBCO record, the series may be tagged as untraced if it has not been established in a series authority record; only traced series need be established.
  • the monographic series or MPM is judged to be trivial or exceedingly complicated
  • the monographic series or MPM was published prior to 1981

1C. 645 Decisions for New SARs

Always include the decision to "trace" in new SARs.

1D. 644 and 646 Decisions for New SARs

For monographic series, generally follow the PCC default decisions to analyze in full and class separately.

For MPMs, use judgment.

In the following cases, a decision may be made to class together:

  • auction and sales catalogs, microform sets, working papers, technical reports, etc.
  • large reprint series and MPMs for classical works, such as are typically received in the Near East Collection and the East Asia Library
  • complete editions of collected works of individual composers and authors
  • a monographic series or MPM with some or all parts lacking analyzable titles
  • a monographic series or MPM that is classed together on member copy
  • an MPM that is received as a set
  • any other MPM that the cataloger judges is best classed together; for guidance: http://www.library.yale.edu/cataloging/Orbis2Manual/multipartworkflow.htm#ctorcs

1E. Subfield $5 Codes for New SARs

Record Yale and PCC subfield $5 codes in the following fields:

050 [LC call number, if present] $5 CtY
642 [numbering, if present] $5 DPCC $5 CtY
644 [analysis decision] $5 CtY
645 [tracing decision] $5 DPCC $5 CtY
646 [classification decision] $5 CtY

pointing hand Exception: Do not add $5 DPCC for series or MPMs published prior to 1981 (per Judy Kuhagen, Library of Congress). Because $5DPCC codes are included in the blank series template in OCLC, you will have to remember to remove these fields manually from the SAR.

1F. ExportQ

pointing hand Do not flag your bibliographic records for export to MARS using ExportQ until the SAR has been produced. Otherwise MARS will not send us the SAR.

2. Updating Existing SARs

2A. Where to Update SARs

OCLC

Update a SAR in OCLC if making national-level changes.

National-level changes include such things as: changing fixed fields, headings, and cross references, adding new cross references, and adding new 640, 641, 642, 643, 645, 667, and 670 fields.

ORBIS

Update a SAR in ORBIS if making local changes.

Local changes include such things as: adding 090 fields, recording Yale analysis and classification decisions in 644 and 646 fields, and recording local notes in 690 fields. It might be necessary to import the SAR from LCDB or OCLC into ORBIS before making the update.

2B. 090 Field (update in ORBIS)

Classed Together

Add an 090 field to the ORBIS record to record the call number of a series or MPM that will be classed together, even if the number is exactly the same as the one recorded in the 050 field. Preface the call number with the Yale location to which it pertains. Example:

Before After
050   4 BX3201 $b .S78 $5 CtY-D 050   4 BX3201 $b .S78 $5 CtY-D
  090     DIV: BX3201 .S78

Before After
050   0 BX3301 $b .A52 050   0 BX3301 $b .A52
  090     SML: BX3301 .A52 (LC)

If you discover existing bib records in ORBIS (for the same location) that have been classed separately, use judgment in deciding whether to 1) reclass them, 2) add a note to the SAR specifying a change in practice after a certain date, or 3) continue to class separately. The third option is discouraged.

Encoding Level 7 Analytics

Add text in square brackets to the end of the call number in the 090 field to record a decision to create encoding level 7 analytics (EL7) for a monographic series or MPM. Example:

Before After
  090 SML: HB5 D58 (LC)+ Oversize [EL7 ANALYTICS ONLY]

Classed Separately

Decisions to class separately may be highlighted in 090 fields but the practice should generally be limited to the following situations:

  • changes in Yale classification practice (see example below)
  • complex situations involving especially voluminous numbered series
  • different practices for different Yale locations (especially locations that use the same MARC institutional code)
Before After
 

090 SML: 20- [CLASSED SEPARATELY]
090 SMLY: J525 St94 1-19 090 SMLY: J525 St94 1-19

Not Analyzed

Decisions not to analyze may be highlighted in 090 fields but the practice is not required. Example:

Before After
  090 DIV: DO NOT ANALYZE
644 f $5 DLC 644 f $5 DLC
  644 n $5 CtY-D

2C. 642 Field (update in OCLC)

Do not retrospectively add a $5DPCC code to an existing 642 field.

2D. 645 Field (update in OCLC)

If the existing SAR contains a DPCC or LC "traced" decision, follow it. If the existing SAR contains only an "untraced" decision, follow it.

Do not add new 645 fields or modify existing 645 fields.

Do not retrospectively add a $5DPCC code to an existing 645 field.

2E. 644 and 646 Fields (update in ORBIS)

For monographic series and MPMs that are new to Yale, generally follow analysis and classification decisions recorded by LC and other PCC libraries. If necessary, update SARs to record Yale decisions by adding new 644 and 646 fields or by modifying existing ones according to the guidelines below.

Adding New 644 and 646 Fields

Add Yale analysis and classification decisions in new 644 and 646 fields in the ORBIS record in the following situations:

Yale decisions differ from the decisions already recorded in the SAR. Example:

Before After
646 s $5 CoU 646 s $5 CoU
  646 c $5 CtY

SAR lacks 644 and 646 fields. Example:

Before After
  644 f $5 CtY-BR
645 t $5 DPCC 645 t $5 DPCC
  646 s $5 CtY-BR

Modifying Existing 644 and 646 Fields

Do not delete decisions already in the SAR for LC and other PCC institutions.

Modify existing 644 or 646 fields in the ORBIS record whenever a Yale decision of "do not analyze" or "class together" duplicates an existing decision. Example:

Before After
646 c $5 DLC 646 c $5 DLC $5 CtY-BA

Do not generally record a Yale decision to "analyze" or "class separately" when it duplicates an existing decision unless you want to differentiate it from a decision for another Yale location. Examples:

Before After
646 s $5 DLC 646 s $5 DLC

Before After
646 s $5 DLC 646 s $5 DLC $5 CtY-M
646 c $5 CtY 646 c $5 CtY

Recording Changes of Practice

Use $d to record a change in practice for a location, placing the $5 code at the end of the field:

Before After
646 s $5 CtY-D 646 s $d vols. cat. before Oct. 1, 2003 $5 CtY-D
  646 c $d vols. cat. after Sept. 30, 2003 $5 CtY-D

2F. 690 Field (update in ORBIS)

Use 690 fields to record lengthy explanations of local analysis and classification decisions, if necessary. Do not add 690 fields as a matter of course.

3. Importing SARs

3A. When to Import SARs

As a general rule, do not import SARs into ORBIS from LCDB or the utilities. MARS will send us the SARs as a result of weekly bib record processing.

Exceptions: You may import a SAR if:

  • you need to update the SAR in ORBIS with local information
  • you are cataloging the first volume of a standing order
  • the SAR is for a series-like phrase (008 Type of series=c)
    Note: MARS does not usually send us SARs for series-like phrases because the phrases tend to be recorded in bibliographic records in note fields, which are not examined during MARS processing.

3B. How to Import SARs

Authority records are imported from LCDB and the utilities in the same way that bib records are imported (although authority records will rarely need to be imported; see 3A).

Top of page

URL: http://www.library.yale.edu/cataloging/authorities/series_policy.htm
Document issued by the NACO Coordinating Committee.
Contact: Rick Sarcia
Last revised: 15 December 2008

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