Serials Cataloguing Policies and Local Context

Most periodicals and many serials are on subscription or standing order. Hence, communication with Acquisitions is key to insuring correct processing of these.

General policy
- To the extent possible, SUL follows national standards, conforming to CONSER conventions and judgment concerning serial treatment, title variation, and form of description. SUL does not attempt to bring all serial records into current record formats, but obvious errors should be corrected.
- Whenever possible, we eliminate records from SUMMIT catalogued under “latest title” conventions (records are recognizable through the presence of value S/L 1 in the fixed field and the presence of fields 247 and/or 547 among the variable fields). In cases where the only record in OCLC in latest title and SUL does not own any volumes of the earlier title, we will use that record. We will create a new master record on OCLC for the earlier title if we own volumes of it.
Special considerations (Periodicals):
- If a new title appears to be somehow "ephemeral", in the nature of a brief newsletter or a title whose content seems of current interest only, the area bibliographer should be queried to see if the title is a candidate for limited retention. Such titles are fully catalogued, but not classified.
- Call numbers and locations: If the call number would shelve the title and its current issues in a location in a branch other than that which submitted the order, verify with the bibliographer that this is appropriate. For example, if science submits and order for a title classified in a Bird call number, we need to make sure this will meet service needs, since the call number determines where both the current issues and bound volumes are shelved.

Periodicals received via firm orders or as gifts:

- Firm orders:
  - Occasionally, the Library orders periodical backsets or a run of a dead title via firm order. These are processed (catalogued and/or added) in Cataloguing in order to update the LHR.
  - Backruns and/or entire titles may be ordered on microfilm or microfiche. Film and fiche are catalogued on the same record as print.
- Gifts
  - The Library also receives gifts of periodical runs, which also need to be added and/or catalogued. The Library does not add scattered, individual issues of periodicals, but will add complete volume(s).
Special considerations (serials)
- Firm orders and/or gifts:
  - Serials are often ordered as firm orders either because the subject bibliographer does not want a standing order, or because they were unaware that the title is a serial. Titles are catalogued as OPEN serials when the situation warrants—-CONSER or other authenticated record. SUL does not treat these as monographs simply because they are not on standing order. If the title was ordered on a monographic record, change the OCLC number to reflect the serial and overlay the record.
  - Reference titles: In order to better track titles, SUL prefers serial treatment to monographic. If conflicting treatment is found, refer title to your supervisor. In this case, we will use a non-CONSER serial record in preference to DLC monographic records.
Local holdings records (LHRs)
- - Generally we add all serial gift volumes even if it is the only volume we have.
- Only titles on ssbuscription or standing order are considered currently received when creating LHRs. Serials received on firms orders or as gifts are coded “not currently received” on the LHR. In addition, on SUMMIT, a non-public 866-field is created on the MARC holdings record indicating the title is not on standing order and informing the cataloger that the LHR must be updated each time a volume is added:
  - 866 … |x NOT ON STANDING ORDER; revise LHR when new volume added.
Determining choice of treatment

There is rarely any ambiguity about periodicals (fixed field SrTp p) and newspapers (SrTp n). SUL defines a periodical as having a frequency of 2 or more issues per year.

Serials, however, can represent more of a challenge in terms of selecting the appropriate cataloguing treatment. Serials encompass true serials (similar to periodicals except in terms of frequency--annual or less), monographic series, and titles whose nature shifts over time.

In the past, SUL catalogued a number of monographic series as serials creating a number of retrospective projects to add the appropirate title-level access to SUMMIT. Today, we endeavor to get it right from the start.

New titles: Display the SUMMIT record. If SUMMIT has a local record, search OCLC, for both collective (and individual titles, if present).
- Titles having serial records:
  - SrTp : [blank] indicates the record describes a serial (OPEN decision on MFHD). If the record is CONSER or otherwise authenticated in field 042, see serials cataloguing procedures and catalogue the title. Be aware of any distinctive titles, however. The publication may have changed over time. If in doubt, verify OPEN decision you’re your supervisor.
  - SrTp : m indicates that the record describes a monographic series. (MFHD cataloguing decisions for monographic series are: NOT TRACED, SERIES, COLLECTED, or OPEN/COLLECTED)
    - If the volume has a distinctive title in addition to the series title, refer to your supervisor. The title will be be set up as a monographic series based on the authority file.
    - If the volume lacks a distinctive title, refer to your supervisor. The title may be catalogued as an OPEN serial or as an OPEN/COLLECTED if there is evidence that some volumes do indeed have distinctive titles. If catalogued as an OPEN, the SrTp m will be changed to [blank] on the bibliographic record to bring the coding into line with the cataloguing decision.
    - Titles catalogued as NOT TRACED, SERIES, COLLECTED, or OPEN/COLLECTED monographic series have authority records on SUMMIT and on OCLC that give the proper form of entry and indicate the cataloguing decision to be followed. The SUMMIT record used for receiving may need to be revised to match the authorized form of entry in field 245, 130, or a combination of 1xx/240.
- Titles with only monographic records:
  - See: Procedures for cataloguing continuations/multi-volume sets. NOTE: If there is a distinctive author and/or title in addition to the set title, search OCLC for a piece record and the authority file. Verify what is found with you supervisor and establish a cataloguing decision. Multi-volume monographs may be catalogued either as continuations (CONT), or, less frequently as SERIES or COLLECTED titles.
- Inconsistencies in cataloguing treatment:
  - Both OCLC and SUMMIT have titles with both serial records and monograph records for individual volumes or editions. Most of the time, we will resolve the conflict by examining the records, bibliogrpahic and authority.
  - MIXED TREATMENT: A few titles on SUMMIT have the annotation, "MIXED TREATMENT" on the MFHD, meaning that over time, the title has been treated as both a monographic series and as a serial. Some of these have been recatalogued and made consistent; others will remain mixed because the nature of the title has changed.

The CORE-level serial record (AACR 2 record format)

OVERVIEW of serial record formats: Most serial records on OCLC and in SUMMIT are follow the AACR 2 record format, described below, or the pre-AACR format, identifiable through punctuation and other conventions (such as no dates in field 260). SUL does not routinely upgrade records in earlier formats to match current conventions.

In 2007, a the CONSER standard record format was adopted (few records as of early 2008 conform to this standard. For details, see:[1]

The AACR 2 CORE serial record

Fixed field: Pay especial attention to:

Lang (language) Ctry (country of publication) SrTp (type of serial)

Freq (frequency)

See online listing for others: http://www.oclc.org/bibformats/en/fixedfield/freq.shtm

DtSt (publication status [for serials])

c – current (currently being published)
d - dead (not being published)
u – unknown (publication status unknown)

Dates (beginning and ending date of publication, if known; matches dates in 362; use u for unknown digits

Variable fields

022 : ISSN (required if available)

$a Current ISSN: Transcribe from piece if not in OCLC record.

$y Incorrect ISSN: If ISSN printed on piece matches that assigned, enter it in sub-field y

040 : Cataloguing source: DLC (LC cataloguing) or other CONSER library is preferred if there are multiple records for a title. For a complete list of CONSER libraries, see: http://www.loc.gov/acq/conser/conmembs.html

042 : authentication code (lcd=LC cataloguing; nsdp=National Serial Data Project--source of ISSNs)

050 or 090 : call number (all permanently-retained titles are classified)

1xx : Main entry (required if applicable)

100 (personal name): rarely used; see journal title What color is your parachute for an example.
110 (corporate name): limited usage, for titles, such as annual reports of organizations, “emanating” from the body.
111 (conference name): proceedings entered under the name of the conference.
130 (uniform title): If the title proper is generic (i.e., Journal, Newsletter, or Bulletin alone), a uniform title main entry is created in a 130 field. Depending on the type of publication, a place name or corporate body name is used as the qualifier (authorized forms of name are used); dates used if further distinction needed:
- Examples:
  - Qualify by place:
    - 130 0 Journal (Syracuse, N.Y. : 2001)
    - 245 00 Journal
  - Qualify by corporate body:
    - 130 0 Bulletin (Syracuse University. Dept. of History)
    - 245 00 Bulletin / |c Dept. of History, Syracuse University.

245 : Title proper

The title proper always includes $a and may also include:

$n number of part/section
$p title of part/section

Changes to the title proper must be accounted for either by the creation of a new record and closing out the old (major changes), or notes and titles entries in field 246 (minor changes)

Other relevant sub-fields:

$h general material designation (medium – used in serials primarily for non-print titles)
$b remainder of title: includes parallel titles, subtitles, etc.
$c statement of responsibility/remainder of title page transcription.

Subtitles are transcribed only when they add to the meaning of the title proper and help identify it. Subtitles may also be given as quoted notes. Changes in subtitle do not constitute title changes or variations and need not be mentioned, except through a generic "Subtitle varies" note.

Example using some of the above:

246 : variant titles (required if applicable)

These include:

Alternate forms of words in the title made up for machine indexing, such as spelling out numbers and symbols or omitting the hyphen in a hyphenated title:
- 245 00 Journal of history & politics.
- 246 3 Journal of history and politics
Access to portions of title:
- 245 00 Journal of physics. |n D, |p Applied physics.
- 246 30 Applied physics
Other titles on the piece such as spine titles, cover titles, added title page titles, running titles, etc.
- Cover title:
  - 245 00 Journal of academic librarianship.
  - 246 14 Academic librarianship
- Title variations to which access is desired, but which do not constitute a title change:
  - 245 00 Journal of chemistry.
  - 246 1 |i Issues for June 1998- have title: |a Journal on chemistry

General reminders about the 246

1. The indicators and subfield |i provide justification for this field. No other note field is made on the record.
2. All initial articles are omitted from field 246
3. No end of field punctuation mark is used

The second indicator defines the type of variant title:

[blank] –- no information provided (used with subfield i)

0 [zero] –- used for access to portion of the title.

1 -- Parallel title (title appears in more than 1 language:
- 245 00 Japan report = |b Nihon.
- 246 31 Nihon

(change from 246 11 found on older records)

2 -- Distinctive title

Used to provide access to occasional serial issues that have a distinctive title in additional to the generic title. (If every issue has a distinctive title, the serial will likely be catalogued as a monographic series (SERIES, COLLECTED, UNTRACED--to use local vocabulary).

- 245 00 Annual report of the Syracuse Water Department.
- 246 12 Fresh water for the masses : |b fifty years of the Syracuse Water Department |f 1995

3 -- Other title

Used when access to another form of title is needed, such as a variant form of a variant title. It may be used instead of |i when the cataloguer does not consider it important to record the source of the variant form. Examples include titles on editorial or contents pages.

4 -- Cover title (cover title differs from that in 245)

Most frequently used when the cover title of a serial differs from what is on the title page, the chief source of title for book serials. Many periodicals use the cover title as the chief source for the title.

5 -- Added Title Page Title

Used when there is a subsidiary title page; title may be in a different language.

6 -- Caption Title

Used when the title printed at the top of the first page of text differs from that in 245

7 -- Running Title

Used when the title repeated at top or bottom of every page of an issue differs from that in 245

8 -- Spine Title

Quick Reference List

Added title page title: 246 15
Alternate form of title: 246 3
Alternate title (245 |b): 246 30
At head of title: 246 1 |i At head of title: |a
Caption title: 246 16
Colophon title: 246 1 |i Colophon title: |a
Cover title: 246 14
Distinctive title: 246 12
Initialisms (245): 246 30
Other title: 246 13
Other title info.(245 |b): 246 30
Parallel title (245 |b): 246 31
Part access title (245 |p): 246 30
Portion of title (245): 246 30
Running title: 246 17
Spelled out forms: 246 3
Spine title: 246 18
Variant access (was 212): 246 2

Subfield delimiter: |i Its purpose is to allow the cataloguer to specify the source of a variant title when no second indicator value has the appropriate meaning. (Formerly done using 500-note and 246 10 for title entry; this is still found in many older records on both SUMMIT and OCLC).

Example of current practice:
- 245 00 Chicago telegraph.
- 246 1 |i Alternate issues published with title: |a Chicago daily telegraph |f Jan. 1996-

NOTE: On SUMMIT, all titles in 246 fields display following a generic "Other title:" note. All are indexed (i.e., they can be searched with a journal title search in SUMMIT. Specific notes (cover title, added title page title, etc.) do not display as such in public SUMMIT. However, we should try to be as specific as possible in coding the notes in case the SUMMIT OPAC display changes or the Library moves to a new system.

260 : publication, distribution, etc. (imprint)

Must include: $a place : $b publisher
May include: $c dates (when 1st and/or last issue is in hand)

Changes in publisher:

- One 260 (1st indicator blank): base information on the first issue published, or, the earliest issue available at time of cataloguing.
  - Include subsequent publishers (if deemed important) in a 500-note:
  - Subsequent publishers: William M. Swain & Co., 1857-64; George W. Childs, 1864.

- Multiple 260 fields:
  - 1st indicator blank: earliest publisher
  - 1st indicator 2: intervening publisher(s)
  - 1st indicator 3: current publisher.
  - Use ‡3 Materials specified for information to differentiate the multiple statements of the described materials to which the field applies.
    - 260 Paris : ‡a New York :‡b Vogue ‡c 1964-
    - 260 2 ‡3 1980-May 1993 ‡a London :‡b Vogue
    - 260 3 ‡3 June 1993- ‡a London :‡b Elle

300 : physical description (collation)

Field is optional for CORE and for CONSER Standard Record, but required for SULn (because of oversize considerations)
Records for remote access serials (those available via the Internet) do not contain field 300. SUL requires the field for print serials because of oversize considerations

Includes:

$a extent item (no. of v.)
$b other physical details (presence of illustrations, etc.; almost always use ill. alone)
$c size (height in cm.)
- Example:

300 v. : |b ill. ; |c 36 cm.

310: Frequency

Optional for both CORE and for SUL; must be coded in fixed field, however.

321: Former frequency

Optional for both CORE and for SUL

362 : dates of publication and volume designation

Publication date (260) and issue date may be different; fixed field dates always match those in 362.

1st indicator:
- 0 formatted style
- 1 unformatted style

Use formatted style when 1st (and/or last) issue is in hand at time of cataloguing (Revise 362 if SUL has 1st or last issue not available when OCLC record created):

First issue present:

362 0 Vol. 1, no. 1 (Jan. 1994)-

Last issue present:

362 0 -v. 24, no. 3 (Mar. 1994).

Both first and last issues present:

362 0 Vol. 1, no. 1 (Jan. 1920)-v. 2, no. 3 (Apr. 1921).

Use unformatted style when 1st (or last) issue is not in hand at the time of cataloguing (use a question mark at the end of the field if the information is an educated guess); use one 362 1 if neither the 1st or last issue is present; use question mark if unformatted data in 362 is an educated guess:

362 1 Began in 1969; ceased in 1982?

Use separate 362 fields when only the 1st or last issue is present and the beginning or ending date is an educated guess:

362 1 Began with 1990.
362 0 -1994.

If the 1st issue is not in hand at the time of cataloguing, there must be a 500-note stating what issue the description is based on:

500 Description based on: Vol. 1, no. 2 (Feb. 1994).
500 Description based on: 1989.

EXCEPTION: when doing retrospective conversion and working with pre-AACR2 records, there will not be a Description based on: note; if the record is full-level, CONSER or other member, it can be accepted without the note.

The designations in this field (or in the 500-note) determine how issues are checked in and how they are added to the mhld.

4xx or 490 1 / 8xx series title

SUL series treatment policy generally follows the national authority files. Series authority records will be revised with local information in those cases where current practice deviates from these.

5xx : note fields

Some of the more important include:

500 : general note (includes "Description based on ...” notes, latest issue consulted, source of title notes, personal editor and contributor notes—names must be traced in the appropriate 7xx fields)
- General collections policy: SUL generally mentions and traces personal editors and contributors ONLY if they are affiliated with SU. For SCRC policies, see
500 : source of title note (required if applicable)

Used when item being cataloged lacks a formal title page. Most periodicals are cataloged from the first issue in hand with the title taken from the cover. The 500-note will read: Title from cover. Bound serials generally have a formal title page; there will not be a source of title note for these.

500 : Description based on: (required if applicable)

When the cataloging description is based on an issue other than the first, the source of title note is combined with the Description based on note: 500 Description based on: Vol. 1, no. 2 (Feb. 2002); title from cover.

515 : numbering or issuing peculiarities (includes numbering errors, skipped issues/volumes, volumes issued in more than one physical piece, changes in number schemes)
520 : summary note (provides a summary overview of the contents of a serial)
525 : supplements (those catalogued as part of the serial and bound with volumes)
533 : reproduction note (used for microforms)
538 : systems details note (used for computer files)
539 : fixed length data elements of reproductions (basically the fixed field for the microformat; the main fixed field is based on the paper version)
550 : issuing body (used for current and past sponsoring agencies; notes that denote a title as an official organ of a society, etc.; other bodies involved in production of the title—names must be traced in the appropriate 7xx field.
580 : linking entry complexity (used when the relationship between titles is too complicated to be expressed using the text defined by the 780 and 785 fields; see 780/785 fields below)

6xx : subject headings

600 : personal name
610 : corporate name
611 : conference name
630 : uniform title
650 : topical subject
651 : geographic area

Except for periodicals classed in AP and newspapers, all serials have at least one subject heading.

Most titles that are entered under a corporate body and representing the annual report of that body will have the corporate body as a subject heading followed by subfield v Periodicals.

Most serial subject headings end with a Topical subdivision, which means they will not validate on SUMMIT. The most common is |v Periodicals which is used for any publication issued annually or more frequently. It is not used for titles published less than annually, or for titles without a regular publication schedule. Others include: Congresses (for all conference proceedings) and Directories (for lists of names, addresses, etc.) When validating subject headings on SUMMIT, search the heading without the subdivision.

Older records, both on OCLC, in SUMMIT, and on our local catalogue cards may contain subdivisions no longer used. These include: Yearbooks, Collected works, and Collections.

Generally, yearbooks may be replaced with periodicals, since that subdivision is appropriate for any publication issued on a regular schedule annually or more frequently.

In most cases, Collected works and Collections may be simply removed.

7xx : name entries associated with the publication

Names mentioned in $c of field 245 (statement of responsbility); as publisher in field 260 (other than commercial publishers), or in 5xx notes, must have corresponding 7xx entries. Under CORE standards, names may be added without corresponding 5xx-notes.

Title added entries

Fields 730 and 740 provide access both to related titles and to analytical titles (those published within as as part of another title:

730 : Uniform title added entry. For details, see: http://www.oclc.org/bibformats/en/7xx/730.shtm

Use the 730 when a separate bibliographic record or an authority record exists for the publication being cited. The 730-field will match 245 unless a 130 uniform title is present.

740 : Uncontrolled/analytical added title entry. For details, see: http://www.oclc.org/bibformats/en/7xx/740.shtm

Use the 740 to cite analytical titles or related titles which are not established in catalog entry form.

Linking entry fields

For an overview of possibilities, see: http://www.oclc.org/bibformats/en/7xx/76x-78x.shtm

There may linking entries for series statements, supplements/parent records, alternative editions and formats, as well as for title changes (outlined below).

780 : preceding entry (earlier title)
- 1st indicator:
  - 0 print a note (i.e., creates note in OPAC directly from 780; title is hyperlinked in the OPAC detailed view)
  - 1 does not print a note (i.e., does not create note in OPAC; used if 580 has been used to explain a complicated title change)
- 2nd indicator:
  - 0 Continues …
  - 1 Continues in part …
  - 2 Supersedes (not currently used)
  - 3 Supersedes in part (not currently used)
  - 4 Formed by the union of ... and ...
  - 5 Absorbed …
  - 6 Absorbed in part …
  - 7 Separated from …

For 780 examples, see: http://www.oclc.org/bibformats/en/7xx/780.shtm

785 : succeeding entry (later title)
- 1st indicator:
  - 0 print a note
  - 1 do not print a note (used if 580 is present)
- 2nd indicator:
  - 0 Continued by
  - 1 Continued in part by
  - 2 Superseded by (not currently used)
  - 3 Superseded in part by (not used)
  - 4 Absorbed by
  - 5 Absorbed in part by
  - 6 Split into ... and ...
  - 7 Merged with ... to form ...
  - 8 Changed back to (not currently used)

For 785 examples, see: http://www.oclc.org/bibformats/en/7xx/785.shtm

856 : Electronic location and access

SUL does not connect to online serials from the print record. Therefore we delete fields 530 (Also available online) and 856 from the print version's record.

Checklist for Cataloging Periodicals and Serials

Rev. 25f08

Some basics:

Cataloguing is done from the first issue or volume received. First-time receipts of issues and volumes, together with a printout of the note box, is placed in the "New titles ... " bin.
Most periodicals are catalogued, classified, and retained permanently.
All serials are catalogued and classified; most are retained permanently.
Possible title changes and other questions from Acquisitions, Serials receiving are also placed in the bin.
Cessations and cancellations are also placed in the bin.
Supplements, special issues, and other non-standard receipts are also placed in the bin.

Editing the Bibliographic Record

Refer to the CONSER Standard page on the WIKI for an overview of the MARC serials record and for the model to follow if a master record must be created on OCLC.

Examine the bibliographic record on SUMMIT. It should be bib lvl s If this record is a full-level CONSER record (ELvL [blank] or I), cataloguing may be completed on SUMMIT.
OCLC should be searched again for all titles whose SUMMIT records are:
- not CONSER
- locally-input (lack the 035 with the OCLC number)

Proceed with cataloguing if the OCLC record has been revised by CONSER or updated to full level by a member library. Overlay the SUMMIT record with the updated OCLC record.
- If OCLC now has a full record for a title ordered on a local SUMMIT record, add OCLC number to that SUMMIT record before export. Add OCLC number in field 035; use leading zeroes for numbers less than eight (8) digits long: 035 … (OCoLC)01234567
- If the OCLC record is still not full level, or if OCLC still has no record for the title, create a workform on OCLC and refer to your supervisor for revision. Do NOT send current periodicals or newspapers to the in process backlog, or wait more than a few days before creating a workform.
- To insure that the call number is not already in use:
  - Do a SUMMIT call number search; select library of congress as call no. type. Type call number including all periods: E185.53.A45 J4 (space must be left before 2nd Cutter number)
  - Check what remains of the union shelflist for duplication (as of early 2008 only Q-T remain)
- If the SUMMIT search or the union shelflist search yields an exact match to the call number in the record, the call number in the record must be changed slightly to make it unique. (Two different and unrelated titles should NOT have the same call number.) Generally we make a call number unique by adding a digit (other than 1) to the last (or only) Cutter number. If questions arise, ask your supervisor.

Cataloguing checklist:

Editing the bibliographic record prior to exporting from OCLC or saving to Voyager:
- The fixed field: verify the information in the following elements of the fixed field: Blvl, Ctry, SrTp, Freq, Lang, DtSt, Dates
- The variable fields
  - Delete 012
  - Delete any 035 fields that are not OCLC numbers or the SU NOTIS record number.
  - Delete all 650 fields with second indicator values other than zero.
  - Delete 653, 655, and 690
  - Delete all 850, 890, and all 9xx fields.
  - Add appropriate 948 field (print serials are format value b)
Additional bibliographic record editing:
- Delete all initial articles in subfield t in fields: 4xx, 6xx, 7xx, 8xx.
- Omit initial articles in titles entered in field 246
- Correct any MARC validation errors.
- Follow authority control procedures, making necessary corrections and referring questions to your supervisor.

A note about subject headings: Most subjects headings will have a $v free-floating subdivision (Periodicals is the most common, used for most periodicals as well as annual serials; other include Congresses, Directories, etc.) These will usually not validate on SUMMIT, but can be controlled on OCLC.

MARC holdings record (MFHD)

The Basics

Leader values for periodicals, serials, and newspapers (NOTE: The serial holdings template has been set up with the correct values):
- Type: y
- Enc/l: 4
Variable fields:
852 field contains: call number type, shelving order, location, call number, public and non-public notes.
- Indicators:
  - 1st indicator: shelving scheme (call number type)
    - 0 : Library of Congress classification
    - 1 : Dewey Decimal classification
    - 3 : Documents classification (SuDocs)
    - 8 : Other scheme (Microfilm, AA, other accession nos.)
  - 2nd indicator: shelving order
    - 1 : primary enumeration (means title is shelved by volume numbers on shelf)
- Selected subfields:
  - b : location from list of Voyager locations. (Periodicals and serials have both different locations and different item types.)
  - k : call no. preface
    - use $k OVERSIZE generally for items 30 or more cm. (Check oversize document for details/exceptions)
    - use $k Microfiche and full LC call number for microfiche titles.
  - h : classification part of call number
  - i : item part (last Cutter no.)
  - m : call number suffix
    - use $m [Internet] for electronic titles
    - use $m [CD-ROM] for CD-ROM titles
  - x : non-public note (Information from the NOTIS OPR migrated to this field and may occasionally be encountered in some older records)
  - z : public note (locates current issues for periodicals, as well as retention and location information for reference serials). Notes may also be input as part of 866-868 fields.

Checklist

Enter the location, call number, and any public notes that may be needed to locate current issues or most recent volumes.
See Public notes used for serials. Enter text exactly as it appears using precise punctuation and capitalization to insure uniformity: [2]

Check the height of the issues in the 300 of the bibliographic record and account for oversize if appropriate.

Sample MARC Holdings Records: field 852

Current Periodicals:

Non-current Periodicals:

Newspapers:

Serials:

Reference Titles:

Sample MARC holdings record: Recording holdings and other information in fields 866-868

Use fields 866-868 fields to record holdings (basic bibliographic units, supplements, indexes) and for selected notes, public and non-public.

See General guidelines for recording issues and volumes for detailed instructions on recording holdings, including instructions on how to record incomplete volumes and serial units: [3]

Use the cataloguing macro to create 866 fields (Ctrl+ALt+H). Remember to change the field tag for supplements and indexes.

Fields 866-868 display holdings with the following OPAC labels:

On all templates, the first 866 has been coded for non public display, i.e., all information will be entered in subfield x.

Creating the item record

Periodicals: For new titles, close-outs, and recats, you will not be adding anything to the MFHD and will not need to create any item records.

For backsets, add volumes to the MFHD, bundle issues together by volume, affix barcode to front cover of the first issue, and create a periodical item type with a temp location of bird,pres Include the appropriate enumeration and/or chronology.

Serials: For all titles to which you are adding volumes, create items records with a serial item type, the In process status, and the appropriate enumeration and/or chronology.

Titles destined for a reference collection are given a Non-Circ item type.

Post-cataloguing procedures

browser. For details on creating the LHR, see: [4]

- Close-outs and Cancellations: Revise the LHR

Title changes and other reasons to recatalogue a serial

Because serials and periodicals are published over time, their bibliographic records need to be revised to account for changes in the publication. Serial receivers place suspected title changes in the new title bin.

Changes requiring that a bibiographic record be revised include:

Changes relating to titles--changes, additions, deletions--are the most important, since it needs to be determined if the change is major or minor. See below for details.

Whenever questions arise about a SUMMIT serial record, check OCLC to see if the record has been revised since we last worked on it. It's easier to overlay a record than to do multiple manual corrections on SUMMIT.

Statistics: All revisions, including closing out a title, count as Recat/bib record corrections.

Major and minor title changes

“Minor” changes include:

None of these require creating a new bibiographic record and closing out the former title.

If you do not find a CONSER record on OCLC for the new title, check the old title's OCLC record carefully to see if a CONSER library has revised the record in a way that handles the suspected "title change" as a variant that does not require a new record:

If the title change in question has been handled in this manner, overlay the SUMMIT record to add this information. Inform serials receiving that this is not a title change.

If the title change seems slight and you do not find reference to the title variant on OCLC, or a separate CONSER record for the new title variant, refer to your supervisor who will finalize the decision.

Title changes for titles with name or uniform title main entries

Titles entered under a name heading

For the most part, these are reports or other publications emanating from an organization or government agency, or conference proceedings emanating from a meeting. If the name of the corporate body or meeting changes, the title is considered to have changed. The old titles is closed out:

The new title is catalogued:

The above example shows an instance where only the conference name changed. The title may change while the conference name remains unchanged. If the change is major, close out the old title:

Catalogue the new title:

Titles entered under a uniform title main entry

Since the adoption of the CONSER standard record in the spring of 2007, uniform title main entries are used less frequently, primarily in the cases of generic titles indicating periodicity and when establishing series entries. Prior to this, uniform title main entries are used to distinguish between 2 or more serials with the same title proper, regardless of the title. Many records in OCLC and in SUMMIT follow these conventions. In most cases, place of publication was used to distinguish the titles from each other:

When the place of publication changes for title qualified by place, it is not a title change. A 500-note may be added to describe the change:

Some serials with a generic title such as Report, Bulletin, Newsletter and published by, but not emanating from, a corporate body are qualified by corporate body rather than by place:

If the corporate body changes, the title is considered to have changed:

In these cases, the title proper may changecan change as well. The nature of that change determines whether or not the new title will need a 130-entry.

Checklist for title changes

Recatalogue the old title

Closing out a title informs the user when the title ceased publication in terms of both date and last issue. It also adds a link to the new title (shown in the OPAC through a note beginning, Continued by ...)

If OCLC reflect the changes, close the old title through overlay; if not, the close out may be done directly on SUMMIT unless the OCLC record is fuller than SUMMIT's:
- Make sure the title is properly closed and that all relevant fixed and variable fields reflect this.
- Make sure the new title is listed in a 785-field or in a combination of 580 and 785-fields. (In more complicated title changes, involving splits, mergers, or other complex relationships, a 580-note is used to explain the changes and the 785-fields contain references to the related titles with a first indicator of "1.") The OCLC number should appear in the 785 field in subfield "w".

In simple title changes, the first indicator "0" [zero] causes a note to be created for the OPAC display from the 785-field. For more complicated title changes, a 580-field is used to express the relationship and the note for the public catalogue is created from that field. When a 580 is used, the first indicator of the 785-field(s) should be "1" [one] to prevent creating 2 notes in the OPAC.

Catalogue the new title

Changes in treatment and in the nature of the publication

Creating the Local holdings record (LHR) on OCLC

For details on creating the LHR, see: [5]

Enhancements for SCRC

Enhancements for SCRC serials fall into broad categories (the curators will add this information):

NOTE: There are no limits on how many 700s a record may have

500-note “Latest issued consulted” is always made for titles currently published or not closed out in field 362 (and is updated as later issues are added).
- Latest issue consulted: Vol. 5, no. 10 (Oct. 1953).

Cataloging titles with holdings only in microform

Most microform titles represent titles originally published in print; far fewer were originally published on film.

Most microforms are housed in Bird Library’s Media collection, but branch libraries also have collections.

Call numbers and classification practice: See MFHD section below for examples of how to enter call numbers. Microfilm have accession numbers (1-5928 as of 15Jl08). Microfiche have LC call numbers with $k MICROFICHE preceding $h portion of the class number. If the Library has holdings in both paper and fiche, the same LC call number is used for both. Do not use a call number for fiche that duplicates the call number of the paper version of a different title

Basic serials cataloguing procedures apply. Select the OCLC record for the microform; make sure the micropublisher in field 533 matches that on our cards. SUL has microfilmed a number of titles over the years and you may need to do a new OCLC master record for some of these.

Bibliographic record:

[NOTE: You may find records created by the National Library of Canada (NLC) which do not follow the guidelines below. NLC describes the micro-publication in fields 260 and 300 and inputs the imprint of the original in field 534. If you find only NLC copy for the micro-version you have, edit the record to conform to the model below:]

- 007 Physical description fixed field (microforms)
  - See: http://www.oclc.org/bibformats/en/0xx/007micro.shtm
- 245 title : always contains |h subfield [microform]
  - Subfield h follows directly after the title proper and precedes $b and $c:
  - 245 00 Journal of libraries. $p New York section $h [microform] : $b the publication of Library Union.
- 260 imprint
  - For publications originally issued in paper, the imprint reflects the paper version.
- 300 collation
  - For publications originally issued in paper, the collation reflects the paper version.
  - For publications issued only in microform, the collation reflects the microform:
    - for film: 300 microform reels ; |c 35 mm.
    - for fiche: 300 microfiches ; |c 11 x 15 cm.
- 362 statement of publication (for publications originally issued in paper, follow print pattern)
- 533 imprint and collation for the microform version of a title originally issued in paper (examples based on University Microfilms publications):
  - Microfilm:
  - 533 Microfilm. |b Ann Arbor, Mich. : |c University Microfilms International, |d [19--]- |e microfilm reels ; 35 mm. |f (American perio
  - Microfiche:
  - 533 Microfiche. |b Ann Arbor, Mich. : |c University Microfilms International, |d [19--]- |e microfiches ; 11 x 15 cm.
- 539 Optional Fixed-length data elements of reproduction note (i.e., coded information for the microformat); used in conjunction with the 533:
  - For coding details, see: http://www.oclc.org/bibformats/en/5xx/539.shtm
  - Examples:
    - Film:
    - 539 |a c |b 1980 |c 9999 |d miu |e u |f u |g a
    - Fiche:
    - 539 |a d |b 1980 |c 1998 |d miu |e u |f u |g b
- 830 series : If the 533-field contains a |f (series title), add an 830-field to provide access to the series title:
  - 830 0 American periodical series.
  - Many periodicals are issued in film as part of a larger series.

The Holdings Record (MFHD)

For microfilm (accession numbers):
- 852 81 |b med |h Microfilm |i 1234
For microfiche (LC call numbers + preface):
- 852 01 |b sci,mic |k Microfiche |h QA123 |i .A25
Holdings (866-868 fields)
- For titles originally issued as print: Follow the same conventions as the print. Add by volumes, dates and other designations indicated in field 362. As with print, collapse holdings to complete volumes (and years if present) whenever possible. For serials, reel numbers are nearly always ignored.
- Newspapers: SUL checks in current newspaper by date only; generally users want to know if we have a specific day's paper. Microfilm backsets are also added by date and collapsed to the year or month when possible. If not, include days as well.
  - Example: (showing an incomplete year
  - 866 ... 1900-1950
  - 866 ... 1951:Jan.-1951:Nov.
  - 866 ... 1951:Dec.15-1951:Dec.30
  - 866 ... 1952-2007

Cataloging titles with both print and microform holdings

SUL policy: There is one bibliographic record representing print and microform(s). There are separate MARC holdings records (MFHDs) to provide the location, call numbers, and holdings for each format, with appropriate notes concerning retention.

See SUMMIT record for Newsweek: 1 bibliographic record; 3 holdings records attached: one for paper; one for microfiche; one for microfilm).

Bibliographic record

If the print has already been catalogued, verify that the SUMMIT record is as complete as that on OCLC; overlay if necessary. Changes below may be made directly on SUMMIT:

Fixed field: no changes needed
Variable fields—Add the following:
- 007 add for the additional format(s) in hand. See: OCLC 007
- 533 for format in hand:
  - Microfilm copy: $b Ann Arbor, Mich. : $c University Microfilms International, $d [19--]- $e microfilm reels ; 35 mm. $f (American periodical series)
  - Microfiche copy: $b Ann Arbor, Mich. : $c University Microfilms International, $d [19--]- $e microfilm reels ; 35 mm. $f (American periodical series)
- 539 for format in hand. See:OCLC 539
- If present, delete 530- and 776-fields relating to the microform version.

MARC holdings record (MFHD)

Display mfhd for the paper version:
- Add two 866 fields after the last 866-field representing print holdings:
  - 866 … $a - [input a hyphen to retain a blank 866-field in OPAC display]
  - 866...$z [input a note referring to additional microform holdings]
    - See below for additional microfilm holdings.
    - See below for additional microfiche holdings.

This note will alert OPAC users to the presence of additional non-print holdings.

See:SUMMIT OPAC view for Newsweek

Create a mfhd for the microform copy:
- 852 81 $b med $h Microfilm $i 1234
- 852 01 $b sci,mic $k Microfiche $h QA456 $i .J68
- 866 Follow same conventions as with print: enter holdings at the volume level when possible, using issues only when volumes are incomplete.

Cataloguing titles whose issues are retained only until microform arrives

Follow procedures for cataloguing a title with holdings in both paper and microfilm.

MARC holdings records:

Create a mfhd for the paper copy:
- 852 bird,cpr (both indicators are blank; there is no call number)
  - Add $z Current issues in periodicals until microform copy received.

Paper holdings are not entered on the mfhd; the current issues display in the OPAC from the serials check/in in the Acquisitions module.

Create a mfhd for the microform copy:
- 852 81 $b med $h Microfilm $i 1234
- 852 01 $b sci,mic $k Microfiche $h QA456 $i .J68
- 866 Add holdings, following print conventions.

Change in the format of permanent retention

The Library has decided to no longer bind periodicals, but to retain back volumes in micro- or electronic format. In the late 1970s, the Library ceased binding most general interest popular magazines (Time, New Yorker, etc.), both to save space and because the print volumes were being vandalized. More recently, the Library has begun withdrawing print volumes for most titles available via JSTOR.

a. The only change to the 852 of the paper copy’s mfhd is made to the public note in subfield z which should read:

Current issues in periodicals until microform copy is received.

b. Additional 866-a fields are added to include a note about the change in format of retention:

866 ... |a v.1 (1920)-v.50 (1969) 866 ... |a - [input a field containing a hyphen only] 866 ... |a 1970- retained on microfilm. See below for holdings.

Or

866 ... |a 1970- retained on microfiche. See below for holdings.

c. The microform copy is catalogued following the procedures outlined above.

Retrospective conversion of microfilm newspapers, periodicals, and serials

To be used in conjunction with general microform serial procedures

Begin with SUMMIT:

1. Search SUMMIT to see if SUL owns a paper version of this title. This information may be noted on the shelflist card.

2. For cards stamped NOTIS, verify that the film is either catalogued on its own bibliographic record or that film holdings are attached to a paper record containing the appropriate 533-field.

3. If you find separate film and print records for the same title, they should be merged on to a single record, with a 533-field accounting for the Microfilm copy and two holdings records, one for print and a second for microfilm.

If nothing is found on SUMMIT:

1. Search OCLC for the microform version of the title. There may be several records for a title, each with a different microfilm publisher. Select the one that matches the cards. If in doubt, check with your supervisor or one of the serials-experienced librarians. They may be able to help with name and other changes, etc. associated with micropublishers.

2. If that record is less full than some others, you may need to add information from the fuller records, or even from the record for the print version. Pay special attention to the following fields:

Title and alternative titles (245, 246)Dates of publication (362)PublisherNotes about suspensions, title variations, sponsoring bodies which help identify the title and provide important access points.Subject headings:General interest periodicals (Time, etc.) do not require headings.If possible, add a heading for newspapers comprised of the city name and $v Newspapers.Eg. 651 0 Syracuse (N.Y.) $v Newspapers.Name added entries: if editors appear on the card, make sure they appear in the online record (700). We can add the entry without the supporting note.

3. Export the record and create holdings. See the WIKI for full details. If the holdings are not clear from the card, you may need to check the microfilm drawers in Media. For the microfilm ultimately destined for the 3rd floor, use the location: med,mic3

4. Item records: Barcodes will not be applied at this time to microfilm reels destined for the 3rd floor, nor will item records be created.

5. Create a local holdings record, using the OCLC browser version. For details on creating the LHR, see: [6]