3.4.5f Treatment of Serials and Serial Analytics that Come in Whole Issues

I. Objective

This policy explains the Special Collections cataloging practice for treatment of serials and serial analytics. The objective of this policy is to better control serial holdings and acquisitions, particularly in cases where whole issues of serials have been acquired for the purpose of analysis. Recording issues as part of the appropriate overall serial record helps avoid duplicate purchases.

II. Instructions

Whole issues of serial items in Special Collections should be recorded in the serial record for their title(s), even though the issue was acquired for analysis of an individual article within the issue, and even though this might result in a Special Collections holding of only one issue. This includes instances where the issue is the only issue in the library (e.g., there is not another subscription in Lee). The purpose of this is twofold: to allow public access to the serial issue for items in it that have not been analyzed, and to avoid duplicate purchasing of the same issue (which might later be wanted for analysis of another author’s work).

The serial record

a. Title record

If a title record already exists for the serial for a copy elsewhere in the system, use it. If no copies already exist, and thus there is no title record, a title record must be created.

b. Call number

Normally, all issues of the serial should be in the same number and collection within Special Collections. The cataloger should determine the call number and collection on a case by case basis; however, normally these serials should be classified into a general collection, such as Rare or Americana, rather than a more specific collection. This is because we may later get another issue of the same serial collected for another reason (e.g., we have a few issues of a serial to be analyzed because of Kipling contents; later we may get other issues of the same serial because of stories by another author).

An exception to this might be where an author we collect donates his or her own publications. In this case it might be appropriate to keep those issues in the author’s number, even though there might be other issues of the same serial elsewhere in the collection. Exceptions are left to the cataloger’s judgment, keeping in mind that it would be best to keep issues of a single serial together rather than scattered throughout the collection. (Among other considerations, keeping issues in a single number will make for a much less confusing serial record.)

c. Housing

Bear in mind that individual issues in Special Collections are unlikely to be bound with other issues unless they arrived bound together. There are at least four possible situations for housing:

1. The issues arrive bound together. In this case, they can simply stand on the shelf as though they were a monograph.

2. Each issue of the serial is bound as a book. In this case, it can simply stand on the shelf as though it were a monograph.

3. Issues of the serial are limp, i.e., not bound as a book. We have one or only a few issues. In this case, either

a. A stiff board housing construction (e.g., LBS pamphlet binding) may be used for each issue. These are available in the Special Collections supplies. If we eventually collect enough to warrant it, these issues should be moved to box housing (situation 4).

b. House issues in folders within one of the pamphlet series. Keep all issues within a single pamphlet number

Example. Issues of the serial The Red Dawn are classified in Rare Quart0 AC 901 .A1a no. 1008. Individual issues have classification numbers

AC 901 .A1a no. 1008 vol.1 no. 4

AC 901 .A1a no. 1008 vol.1 no. 5

AC 901 .A1a no. 1008 vol.1 no. 6, etc.

If we eventually collect enough to warrant it, these issues should be moved to box housing (situation 4).

4. Issues of the serial are limp, i.e., not bound as a book. We have several issues (say, 4 inches or more). In this case, the issues can be housed in acid-free manila folders in a grey box or boxes. Classify as appropriate to the subject of the serial.

d. MARC holdings

The Special Collections cataloger should add a MARC holdings record for the special collections copy or copies.

1. At the top of the holdings record, add a 583 field containing at least “|k [your initials] |xNot an active subscription; no control record.” If you wish to add more details here, go ahead.

2. 852 is required as usual.

3. The holdings should be recorded in an 866 field in the normal manner (see NISO standards for recording serials holdings). Note: this policy does NOT apply to copies of serials in Special Collections that are currently “active”.

e. Barcoding (folder or binder)

Follow the current barcoding policy of Special Collections (see 3.4.5e). Bound volumes have a bookplate with a barcode. Folders have the barcode on the front of the folder. See also below, under Call numbers.

f. Call numbers

1. Former policy

a. A base call number (the call number without volume numbers) was added to the serial record. This contained a dummy barcode, and did not correspond to any individual issue.

b. In the case of barcoded items, a call number with the volume (and issue, etc.) number was added to the serial record for each barcoded item. These individual call number records contain the barcode number. Each of these was shadowed so the public view only showed the base call number.

2. Current policy (as of Summer 2013)

Add a call number, including volume and/or issue designation, to the serial record for each issue. These item records contain the barcode for each issue (see above under barcoding). Do not shadow the call number record or item record.

As they are encountered for other reasons, serial records following the old policy should be modified to follow the current policy.

The reason for the change: analytic records are linked to individual item records in the serial record. The call number from the serial record displays to the public when they view the analytic record, but only if the call number in the serial record is not shadowed. To solve this problem it was decided to stop shadowing individual call numbers in Special Collections serial records.

g. Notes in the serial record

If necessary, notes may be added to the serial title record with information about the special collections holdings.

The analytic record

a. Title record

A separate record should be made, as usual, for each analytic. This includes, as usual, full bibliographic information in the 773 field. Note: because 773 is now indexing in the title browse, the title recorded should be the authorized access point for the serial. Try to keep 773s for the same serial standard.

b. Call number

The call number record should be made with copies “NO”, and each analytic should be bound to the appropriate volume call number in the serial record using the bound with function. The parent call number is the call number in the serial record. The child call number should be the same as that of the parent with the addition of the page numbers (if appropriate).

c. Analytics covering multiple issues

If the analytic contains more than one issue (as in a literary work issued in parts), the analytic record should contain one call number for each part, each bound to the appropriate issue in the main serial record.

d. Application

This policy does not apply to analytics based on photocopies of individual articles. These are not linked to any serial record.

Maintained by: Bob Maxwell

Implemented: May 2003

Location / Hours

The Catalog Department is located on Level 6 of the Harold B. Lee Library. The Department is open from 8 a.m. to 5 p.m. Monday through Friday.