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Series Authority Control: What? Why? How?

Series Authority Control: What? Why? How?. Judith A. Kuhagen Cataloging Policy & Support Office Library of Congress Washington, D.C., U.S.A. Hong Kong University of Science and Technology February 21, 2005. What is a series?.

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Series Authority Control: What? Why? How?

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  1. Series Authority Control:What? Why? How? Judith A. Kuhagen Cataloging Policy & Support Office Library of Congress Washington, D.C., U.S.A. Hong Kong University of Science and Technology February 21, 2005

  2. What is a series? • “A group of separate items related to one another by the fact that each bears, in addition to its own title proper, a collective title applying to the group as a whole. The individual items may or may not be numbered.” (1st definition in AACR2) Series Authority Control

  3. Word “series” in rules, etc. • The word “series” is used in AACR2, in LCRIs, in the MARC 21 formats to mean any comprehensive bibliographic resource whose title is given in the bibliographic 4XX field (series statement): • Monographic series • Other type of serial • Multipart monograph • Integrating resource Series Authority Control

  4. Series is a series is a series … • Authority control can apply to series in any physical medium • Differences are related to physical locations from which series data elements transcribed (prescribed sources listed in each chapter of part I of AACR2) • Using words “volume” and “part” today to mean units of a monographic series or multipart monograph in any physical medium • Using word “publisher” today to mean “publisher, manufacturer, producer, etc.” Series Authority Control

  5. Not going to talk about: • As “fascinating” as they may be, we’re not going to discuss these topics today: • Sources for series information • Transcribing series information in bibliographic records • Form of access points for series • Major/minor title changes Series Authority Control

  6. Series authority control: What? Series Authority Control

  7. A series under authority control • Using a controlled access point for the collective title of the series (i.e., the larger bibliographic resource) in the analytic bibliographic records • Analytic record: The bibliographic record for a volume of a monographic series or a part of a multipart monograph • The analytic record may be for a single-part monograph, a multipart monograph, an integrating resource, or a serial. Series Authority Control

  8. MARC bibliographic series fields • 4XX: always description; sometimes controlled access • 490 0 = series statement for series not under authority control • 440 = series statement and controlled access point for series under authority control Series Authority Control

  9. MARC bibliographic series fields • 8XX: controlled access paired with description in 490 1 • 490 1 = series statement for series under authority control but this field doesn’t contain the controlled access point • 8XX = controlled access point for series under authority control given in 490 1 statement [ Series Authority Control

  10. Under control? No 100 ?? $a ______________ 245 10 $a ______________ 490 0 $a Reading development series ; $v no. 2 100 ?? $a ______________ 245 10 $a ______________ 440 0 $a Reading development series ; $v no. 2 Yes Series Authority Control

  11. Under control? 100 1 $a Mao, Zedong, $d 1893-1976. 245 10 $a ________________ 490 1 $a Works of Mao Zedong ; $v v. 1 800 1 $a Mao, Zedong, $d 1893-1976. $t Works. $f 2004 ; $v v. 1. Yes 100 1 $a Mao, Zedong, $d 1893-1976. 245 10 $a _____________________ 490 0 $a Works of Mao Zedong ; $v v. 1 No Importance of unique headings increases as library’s holdings increase! Series Authority Control

  12. Under control? No 245 00 $a __________________ 490 0 $a Report / National Science Museum, Tokyo • 245 00 $a ___________________ • 490 1 $a Report / National Science Museum, Tokyo • 0 $a Report (Kokuritsu Kagaku Hakubutsukan • (Japan)) Yes Series Authority Control

  13. Under control? No 245 00 $a __________ 490 0 $a IMA reports on microbiology ; $v no. 7 245 00 $a ___________ 490 1 $a IMA reports on microbiology ; $v no. 7 830 0 $a Microbiology reports of the IMA ; $v no. 7. Yes Importance of collocation increases as minor title changes occur! Series Authority Control

  14. Authority control: more than that! • Thesis statement for today’s discussion: Series authority records can be an effective “management” tool for the bibliographic and physical control of series in a library ! Series Authority Control

  15. Series authority control: Why? Series Authority Control

  16. Same reasons as “name” control • A single form to collocate records so that user can find all records related to resource • A unique form to distinguish records for one resource from those for a different resource Series Authority Control

  17. Why is unique form important? • So many series have same or similar title proper • So many records related to a series: • For the series as a whole (whether numbered or not) • For parts of the series • For related resources: earlier/later resources, translations, subseries, etc. Series Authority Control

  18. “Resource-based” decision • Not just for the bibliographic resources a library acquires, processes, preserves, and serves to its users • But also related to the “resources” of staff: • Time and energy to create/maintain access points • But also the cost • Of handling -- or not handling -- so many parts of series consistently! • Of handling parts of many series unnecessarily! Series Authority Control

  19. Series authority control: How? Series Authority Control

  20. First decision: access point? • Make decision on single form to be used as access point (sometimes from among variant possible forms) • Record that decision: • Implicitly via form of access point used in analytic record • A-Z listing of series in library • Authority record • Card file • Machine-readable record Series Authority Control

  21. Second decision: treatment? • Actually, the “larger” decision on how you will handle the parts of series received in your library • Aspects of decision: • 1st = Analysis • 2nd = Classification • Only then 3rd = Tracing: controlled access point? Series Authority Control

  22. Life is simple if … • You handle all parts of all series the same way: • Keep them all • Analyze each part (i.e., create a bibliographic record for each different title proper of a part or parts) • Assign a class/call number specific to each part • If you can afford to do that, then your only decision is about a controlled access point for the series Series Authority Control

  23. Most libraries can’t do that! • Instead, decisions are made: • Not to acquire all series or all parts of series • Not to analyze all parts of some series • Not to assign specific call numbers to all analyzed series • Such decisions made at time first part is received are usually followed for subsequent parts --- but can be reconsidered during lifetime of series Series Authority Control

  24. Making treatment decision • What is the “best” way to handle the parts of series? • Importance of content to your users • Language skills available on your staff • Subject expertise available on your staff • Other available methods of access to series • Size of your cataloging backlog/arrearage ! • It’s a balancing act! Series Authority Control

  25. After decisions made? • Who needs to know how the parts are handled? • If the collection is small and there aren’t many people handling the series, perhaps you and they can remember how each series is handled • Otherwise, treatment decisions need to be recorded so consistent actions are taken when parts arrive in future Series Authority Control

  26. If recording treatment, what else? • Information to identify which series has those treatment decisions • So many with same or similar title • A form of series title unique to each series (a type of authoritative heading) • To keep your information about different series separate from the others • Even if you’re not providing a controlled series access point in bibliographic records ! Series Authority Control

  27. Your series record • Must serve three functions: • Show treatment • Provide identification • Gather treatment/identification under a heading unique to each series • Type of record: • Your decision: range of possibilities from paper/pencil listing to machine-readable record Series Authority Control

  28. Consider a MARC 21 authority • Machine-readable: • Can be consulted by anyone in library • Can be updated at any stage in workflow • Based on standard: • Can be included in file with authority records imported from other libraries/databases • Ready to be exchanged or contributed as part of a cooperative program Series Authority Control

  29. MARC Series Authority Record • SAR has three functions: • Authoritativeness – applies to all libraries using SAR • Identification – applies to all libraries using SAR • Treatment – optional information in MARC 21 format because applies to local library Series Authority Control

  30. Context of SARs • SAR: • Represents a specific bibliographic resource • If resource is classified separately, it is a surrogate for that resource in database (although acquisitions may need a skeleton collected set record for standing order, etc.) • It’s a practicalrecord! • NAR: • May be used in any bibliographic record where it is appropriate • It’s a theoreticalrecord! Series Authority Control

  31. SARs not in AACR2 • Decisions made based on analogies with collected set bibliographic records for serials and multipart monographs • AACR2 Chapter 12 and rules in Chapter 1 • Choice/form of entry and number of records from Part II of AACR2 • Practice over the years documented in LCRIs and Descriptive Cataloging Manual Z1 • Part III in AACR3 to include authority control Series Authority Control

  32. SAR: Authoritativeness function • To promote consistency in any database and to retrieve all analytics in a predictable display order • Two SAR fields are authoritative: 1XX: form of heading given in field 440 or 8XX 642: style of numbering given in subfield $v of field 440 or 8XX Series Authority Control

  33. SARs: Identification function • To give enough bibliographic information to identify which resource with the title in the 1XX field • Most important information for this function: 1XX/4XX: form(s) of title in heading/references 643: place and publisher 670: time period of publication from imprint date in $a 642: numbering usually is of the volume in first 670 Series Authority Control

  34. Source of bibliographic information • Title portion of 1XX field = 4XX $a in analytic record • 643 = 260 $a and $b in analytic record • 670 $a = 245 $a and 260 $c in analytic record • 670 $b = 4XX $a in analytic record; other usage added by cataloger • 642 = 4XX $v in analytic record Series Authority Control

  35. Confirming the identification Bibl. record: 260 $a New York : $b JEA Press, $c 2004. 440 0 $a Early childhood education ; $v no. 2 SAR: 130 0 $a Early childhood education 642 $a no. 6 $5 DLC 643 $a Sydney $b University College 670 $a ... , 1992 $b ... Does SAR represent series in bibliographic record? No! Series Authority Control

  36. SAR: Treatment function • Local decisions for analysis, tracing, and classification • Affect acquisitions, workflow, shelving, etc. • Optional fields in MARC 21 644 = analysis decision 645 = tracing decision 646 = classification decision 050-090 = call number if not classing separately Series Authority Control

  37. Who makes treatment decision? • Default decision(s): always handle all series or certain categories of series the same way, or • Default decision(s) with series-by-series exceptions, or • Series-by-series decision made by • Recommending official • Faculty member, teacher, etc. • Cataloger, reference librarian, etc. Series Authority Control

  38. First: analysis decision • Must decide analysis first because that decision can affect classification decision • Three possibilities: • Analyzed in full: a bibliographic record for each part with a separate title • Analyzed in part: a bibliographic record for some but not all parts • Not analyzed: no bibliographic records for separate parts Series Authority Control

  39. Analysis considerations • Consider: • Scope of the series • Permanence of content • Importance of content to users • Connection to authors/bodies, etc. • Abstracting/indexing access • Digital versions available • Level of analytic records Series Authority Control

  40. Scope of the series • Topic so narrow that subject headings would be same on all analytic records? • Analytic subject heading same as subject heading on collected set record? • Topic so broad that there wouldn’t be a subject heading on a collected set record? Series Authority Control

  41. Permanence of content • Preprints? • Pre-conference preparation materials? • Discussion papers to be reworked as journal articles? • Preliminary reports of research? Series Authority Control

  42. Importance of content to users • For academic/research libraries • Covers degrees offered or areas of research? • Issuing bodies are professional associations related to degrees granted? • For school libraries • Supports curriculum goals? • Addresses concerns of teachers and parents? • For fun! • For public libraries • Continuing education • Community concerns • For leisure, travel, hobbies, etc.? Series Authority Control

  43. Connection to authors/bodies, etc. • Issued by your institution or related group? • Other connection to your institution, e.g., • Faculty member is editor • Author is current or former student • Connection to your community, e.g., • Local authors • Local organizations Series Authority Control

  44. Abstracting/indexing access • Can users get access some other way (often faster) than via analytic record? • Does series index itself? • Professional or commercial abstracting and indexing service? • Publisher or issuing body Web site includes abstracts? • If not analyzing, put this abstracting/indexing information in SAR and in collected set record Series Authority Control

  45. Digital versions available • Catalog digital versions rather than paper? • No longer even acquire paper? • Not even catalog digital but just point to Web site in SAR or in collected set record? • Can get users to content faster than analyzing • Keyword searching often available Series Authority Control

  46. Level of analytic records • May not need full-level records for all analytics • Match amount of information to importance of content • Know what users need • Different levels of description in AACR2 Series Authority Control

  47. Analyzed in full • Value “f” = 644 $a f • Classification possibilities: • Classed separately • Classed as a collection • Tracing possibilities: • Controlled access point in analytic records • No controlled access point in analytic records Series Authority Control

  48. A series analyzed in full v. 1 Separate bibliographic records for: v. 1 v. 2 v. 3 v. 4 v. 5 etc. v. 2 v. 3 v. 4 v. 5 etc. Series Authority Control

  49. Analyzed in part • Value “p” = 644 $a p • Will need to decide for each volume unless have categories • Classification possibilities: • Can only be classed as a collection because not all parts represented by analytic records • Tracing possibilities: • Controlled access point in analytic records • No controlled access point in analytic records Series Authority Control

  50. A series analyzed in part v. 1 Collected bibliographic record for series Local holdings include: v. 3-4 v. 2 v. 3 Separate bibliographic records for: v. 1 v. 2 v. 5 ? v. 4 v. 5 etc. Series Authority Control

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