2.3 Creating and Revising Series Authority Records

I. Objective

This policy governs the establishment of series authority records for use in the online catalog and contribution to the NACO program. Authority records for series access points are created to ensure consistency in the use of these access points, as well as to provide increased access to library users through appropriate references in the catalog, and to document the library’s treatment practice for each series.

The policy is designed to identify the aims of series authority work. It does not prescribe specific procedures for accomplishing these aims but should be used as a guide for establishing procedure.

II. Establishing and Evaluating Access Points

Establishing New Access Points

An access point shall be considered to be established when it has a corresponding full-level NACO authority record.

All series access points used in the online catalog should be established in accordance with the rules outlined outlined in RDA, Descriptive Cataloging Manual Z1, and the NACO Participants' Manual. References should be created as prescribed by RDA. Library of Congress-PCC Policy Statements (LC-PCC PS) applicable to PCC should also be considered when applying RDA.

All series access points used in bibliographic records should be checked against the NACO authority file. Established series authority records found in this file should normally be accepted and used. If no existing series authority record is found, a new series authority record should be created.

Care should be taken at all times that no new authority record is established for a series that has already been established under a different form or that no new access point is identical to a access point already established for a different entity.

Catalogers should use judgment in deciding whether additional sources need to be checked before a new series is established. Encyclopedias and other reference sources may be necessary at times. The series should be checked against the Internet to see if the series or its publisher has a Web page. Exhaustive research, however, is not necessary and no more time should be spent than is needed to gather information to formulate the access point and its appropriate references.

Evaluating Previously Used Access Points

As they search the authority files to check new access points, catalogers should routinely be aware of access points already in the file and make quick evaluations based on their knowledge of cataloging rules. Sometimes additional information on items in hand can assist in this evaluation.

Access points that do not appear to be in compliance with RDA should be further researched and revised as new items are cataloged using these access points, even if the record has already been coded as RDA. Evaluation may result in additional references on the authority record, revision of the access point, or creation of a new authority record where one did not previously exist.

The Authorities Specialist may evaluate access points used in bibliographic records entered by copy catalogers against the NACO authority file. Access points not established in the file may be created by the Authorities Specialist.

III. Creating and Editing Authority Records

Creation of Original Authority Records

Original series authority records will be created as needed and should contain, in addition to the access point, references as prescribed by RDA, as well as a record of research done to establish the access point, including sources consulted and relevant information found. The records should be tagged correctly and completely using the appropriate fixed field codes and variable field tags, indicators, and delimiters.

Access Points Already Established

No series authority record needs to be created or revised for an access point that already exists in the NACO authority file in a form that appears to be correct and needs no cross references or additional RDA elements.

All authority records that are already established in the NACO authority file should be used as the established access point in the local authority file, regardless of how much or how little information they contain. These records should be SmartPorted through Z39.50. Once added to the local authority file, series authority records from the NACO authority file might need to be edited to ensure that the library’s treatment of the series is indicated in the appropriate 64x variable fields.

Access Points Not Found

Original authority records should be created for series access points not found in the NACO authority file. All access points require a corresponding full-level NACO authority record. All new records should be created and submitted though the NACO program for inclusion in the NACO authority file.

IV. Responsibility for Developing and Maintaining the Authority File

Establishing Access Points and Creating Authority Records

The work of establishing access points and creating series authority records requires a thorough understanding of RDA and the principles underlying the organization of an online catalog. It is thus a professional responsibility and should normally be done by a professional catalog librarian. Catalogers are responsible for establishing access points in all bibliographic records they create and for creating the authority records necessary to support these access points. Catalogers who choose to delegate this responsibility to staff members under their supervision remain responsible for the quality of the output and should regularly review this work before it is submitted to the NACO Coordinator.

Authority records for access points in bibliographic records cataloged by copy catalogers will be created by the Authorities Specialist. Copy catalogers should search all series access points used in their records in the local and if necessary the NACO authority file. This will ensure consistent treatment of the series, especially in terms of classification. Series authority records found in the NACO authority file that meet the default requirements (fully analyzed, traced, classified separately) may be SmartPorted to the local authority file by copy catalogers by Z39.50, but this is not required. Any series authority record found in the NACO authority file which does not represent the default series treatment should have the item-in-hand routed to the appropriate cataloger. If no authority record is found in either the local or NACO authority files, the item-in-hand should be forwarded to the appropriate cataloger.

Maintenance of the Online File

The inputting and online editing of authority records, as well as the reconciliation of access points in the bibliographic file with authority records, is the responsibility of the Authorities Specialist. Catalogers, if they wish, may assist with inputting their own work.

V. Training

Training in creating and maintaining full NACO series authority records is part of the initial training given to all new catalogers and will be offered periodically to all cataloging personnel.

2.3.1 Series Authority Training for Copy Catalogers

Bibliographic Records

Series Authority Records

644 Series analysis practice (i.e., how many bibliographic records)

645 Series tracing (indexing) practice

646 Series classification practice (The code specifies whether the volumes in the series are classified as a collection, with the main series, or separately)

643 Series place and publisher/issuing body

The 643 and the 264 of the bibliographic record should match with only minor variations

642 Series numbering

The form in subfield |v of the 8XX field in the bibliographic record and the pattern in the 642 field of the authority record should match exactly. Conversely, the form in the 490 field should record exactly what the item in hand says.

667 notes give more instructions or alternative practice. For example:

667 This title is checked in on a serial record, then titles are sent to cataloging where they should be treated as regular traced, analyzed, classed together series. These do not need to be sent to the serials cataloger.

667 Give as a quoted note if Penguin Books does not appear in the publication, etc. area.

Example #1

Book title page says: Lecture notes in computer science; 150

Series Authority Record

Questions

Is the form in the book and the 130 in the series authority record the same? Is the form in the book and the numbering example listed the same?
Yes

How many records?
f = one for each book in the series; this book should have its own record

Is the access point traced (indexed)?
Yes – then this series statement is transcribed in 490 1_

What is the call number?
The 646 field that is coded with ǂ5 UPB (meaning BYU’s practice) has “c” – this book should use the call number that is listed in the 050

So the bibliographic record would read:
490 1_ Lecture notes in computer science ;|v150
830 _0 Lecture notes in computer science ;|v150.

The call number would be: QA76|b.L42x no.150

Example #2

Book title page reads: Century psychology series; published in New York by Appleton-Century-Crofts

Series Authority Record

Questions

Are the series statement in the book and the 130 in the series authority record the same?
Yes

Are the book and the numbering example listed the same?
No numbering

How many records?
f = one for each, this book should have its own record

Is the access point traced (indexed)?
Yes – then this series statement is transcribed in 490 1_

What is the call number?
s – this series is not classified together; this book should use the 050 on the bibliographic record

So the bibliographic record would read:
490 1_ Century psychology series
830 _0 Century psychology series.

The call number would be: whatever appeared on the bibliographic record

Example #3

Back cover of book reads: A Henry Holt mystery.

Series Authority Record

Questions

Are the series statement in the book and the 130 in the series authority record the same?
Yes.
Note that the series authority record will not include an initial article.

Are the book and the numbering example listed the same?
No numbering

How many records?
f = one for each, this book should have its own record

Is the access point traced (indexed)?
No.
This series statement is transcribed in 490 0_, but there will be no 8XX field.

What is the call number?
s – this series is not classified together. This book should use the 050 on the bibliographic record

The bibliographic record would read:
490:0_ A Henry Holt mystery

Reminders

• Check all series access points, no matter what the tag, in all bibliographic records in WorkFlows and OCLC if necessary. Even if it doesn’t say UNAUTHORIZED every series access point should be checked for accuracy and the series record should be checked for a call number.
• Make sure that there is a series authority record for any series in any bibliographic record and the publisher in the book and on the authority record match.
• SmartPort any records that are not in WorkFlows. Make sure the treatment listed in the authority record is the treatment you apply to your bibliographic record.
• Make sure the tagging is correct.
• Make sure the indicators are correct.
• Make sure the numbering is correct and the |v in the bibliographic record 8XX field matches the pattern in the authority record 642. The pattern in the bibliographic 490 field should be transcribed exactly as it appears in the item.
• Make sure the punctuation is correct.
• Make sure the UNAUTHORIZED disappears if possible.

FAQ

Which call number should I use?
If the record has a c and an 050 call number, use that call number! The series authority record overrides call numbers listed on the bibliographic record.

Which fields in the bibliographic record should I use?
If the series is traced, use 490 1_ and 8XX. If it is untraced, use 490 0_ (with no 8XX).

What forms on the series authority record should I use?
Only authorized forms (meaning those that appear in the 1XX of series authority records) should be used in 8XX fields.

When should I send it on?

• If the series record says it is nnc – then the book is a serial and should be sent directly to the serial cataloger.
• If the special instructions in the 667 tell you to send it on to someone else.
• When you cannot find a series heading in WorkFlows or OCLC that matches the authorized form of the heading.
• When the 643 in an authority record and the 264 of a bibliographic record do not match.
• When you have any questions or are uncertain.

Searching the OCLC Authority File

1. Log on to OCLC as usual
2. Click the Authorities menu, click Browse. then click LC Names and Subjects.
3. Enter the text you want to search for in the Browse for field.
4. Select Titles from the drop-down list.
5. Click OK.
6. Scroll up and down the list as necessary. Use the Page Up and Page Down keys on your keyboard to access previous and next screens.