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Serial Cataloguing

Serial Cataloguing Cheat Sheet

J. McRee (Mac) Elrod

6 June 2011

[SLC practices in brackets]

For comments on the CONSER guidelines, see at end.

Revised AACR2 Chapter 12, Continuing Resources, replaced the chapter on Serials, includes integrating resources, i.e., loose-leaf services, and websites.   For loose-leaf services and websites, see the Integrating Resource Cheat Sheet.

Arrange all available issues in order by number or date, with oldest on top.  Check through to be certain the title and the issuing body/publisher do not change.  If the title has changed in the first five words, or the issuing body has changed *and* is in the title, create a new pile with each change.  If the corporate body name has changed *and* it is the annual report of that corporate body (cf. 110 and AACR2 1998 21.1B2 for additional cases), each change of name is a new pile.  If the corporate body is not in the title, and it is not their annual report, ignore changes of publisher name in terms of separate piles. You will have a record for each pile.  (See also 130 for Corporate body as qualifier.)

Fixed fields:

LDR/06 (Type of record): a Language material

LDR/07 (Bibliographic level): s Serial

LDR/17 (Encoding level)
     blank = full record serial issue in hand
     1 = full record serial issue not in hand
     2 = less than full record
     8 = CIP record (upgrade)
     i = OCLC full record      }    Prefer MARC21
     k = OCLC less than full   }    codes

LDR/18 (Descriptive cataloguing form):
    a = AACR2
    i = ISBD (use for RDA)

008/06 (Type of publication date): c Continuation
                                   d Dead continuation

008/07-10 (Beginning year):

If you don't have the first year, AACR would have you guess the decade. [One way to do this is to subtract one less than the volume number (*if* one volume per year) from the year, e.g., you have v. 10, 1965; subtract 9 from 1965 and key 195u as beginning date.]
The "u" is for unknown, since you are not certain.  CONSER is more conservative and would have you use 19uu or even 1uuu or uuuu rather than doing any estimating.

008/11-14 (Ending year): 9999 if still being published

If you have an ending year, enter it, and change 008/06 to d.  You may use "u" for  unknown digits here as well.

008/15 (Place of publication)

Country (008/15-17)
     at  = Australia
     enk = England
     fr  = France
     gw  = Germany
     it  = Italy
    ja   = Japan

    States (U.S.):
      alu  aku  azu  aru  cau  cou  ctu  deu  dcu  flu  gau
      hiu  idu  ilu  inu  iau  ksu  kyu  lau  mau  mdu  meu
      miu  mnu  mou  msu  mtu  nbu  ncu  ndu  nhu  nju  nmu
      nvu  nyu  ohu  oku  oru  pau  riu  scu  sdu  tnu  txu
      utu  vau  vtu  wau  wiu  wvu wyu
      xxu = United States, state unknown

    Provinces (Canada):
      abc bcc mbc nfc nbc nsc ntc nuc onc pic quc snc ykc
      xxc = Canada, province unknown

008/18 (Frequency): a Annual
                    k Continuously
                    m Monthly
                    q Quarterly
                    w Weekly

008/21 (Type of serial: d Database
                        m Monographic series
                        n Newspaper
                        p Periodical

008/28 (Government publication): f Federal
                                 s State or provincial
                                 l Local
                                 i International

008/35-37 (Language): eng English
                      fre French

008/39 (Cataloguing source): d Original

Variable fields:

022 $aISSN (with hyphen)

040 Cataloguing agency

Field 040 says $a who catalogued; $b in which language (LAC records only); $c who made it machine readable; and $d who finished the record. Today originals are usually done in one operation online, but lie and use 040 $aCaBNVSL$cCaBNVSL$dCaBNVSL (substitute your
NUC code for SLC's).

RDA: Give language of cataloguing in 040$b, e.g., $beng, $bfre;
usually seen only in LAC AACR2 records.  Give 040$erda.

The order of subfields is 040$a$b$e$c$d.

050 2nd indicator 4 LCC

Example: 050  4 $aQD1$b.J67

Class newspapers in AN, divided like AP

[055 Canadian FC, KF, PS 8000]

082 2nd indicator 4 DDC number

Example: 082  4 $a540.5

[090 Local call number]

[Using the most recent* issue you have as source of information:

*AACR2 1998 specifies earliest issue.]

110 Name of corporate body *if* the serial is an annual report.  Use 1st indicator 1 if a government body with jurisdiction first, otherwise 2.

See AACR2* 1998 21.1B2 for a list of types of publications other than annual reports which may have corporate main entry.  When in doubt, enter under title.

130 0  $aUniform title (Qualifier)

*IF* the serial you are cataloguing has the same title proper as a serial already in your catalogue, AACR allows (CONSER** and LCRI**** require) you to enter the one now being catalogued under a 130, so that a qualifier will distinguish it.  Place published, or date publication began, are the best qualifiers; issuing body could change.  In the unfortunate situation where the publisher has already been used as a qualifier for a portion of the serial, and the publisher's name changes, a new successive entry is required. 1st indicator indicates spaces to skip in filing, but AACR says to omit initial article from uniform title.

  130 0  $aJournal of chemistry (Boston, Mass.)
  130 0  $aJournal of chemistry (1998-    )
  130 0  $aNewsletter (Society for Pacific Northwest Native Iris)

245 00 $aTitle proper =$bParallel title.

CONSER provides that the parallel title be given only as a 246 11, initialism as 246 13. [SLC follows AACR2 inproviding parallel title in both 245$b and 246, but removes from 245 on export if not wanted by client.]

Transcribe other title information as a note, since that information tends to change more often than title proper.

If an annual report or other generic title, add /$cName of Corporate Body.  Cf. note at 260 about spaces.

Use 1st indicator 1 if there is a 110, otherwise 0.***  Use 2nd indicator for spaces to skip in filling, e.g., 4 for "The".  The capitalizing of the first word after A, An or The is an old practice; don't do it.

246 30 $aPart of title
246 31 $aParallel title
246 32 $aDistinctive title
246 14 $aCover title
246 15 $aAdded title page title
246 16 $aCaption title
246 17 $aRunning title
246 18 $aSpine title
246 3  $iSource:$aTitle from somewhere else, e.g., At head of title:

247 10$aFormer title of an electronic journal when no issues still exist under that title; also used for loose-leaf services and websites, both of which are now considered monographs, but may soon be termed "integrating entities".

250 $aEdition statement.  Serials rarely have them, but you might have something like 250  $aEnglish ed.  RDA: English edition (if spelled out on item).

260 (AACR2) or 264 (RDA) $aPlace of publication :

Give City, Jurisdiction.  Abbreviate jurisdiction according to AACR B.14. If jurisdiction is lacking, use square brackets around the abbreviation. RDA: Transcribe as spelled on item, do not supply if lacking.  [SLC will supply.]



Field 264 is repeating, with first indicator for sequence (2 intervening, 3 current); second for function (0 production, 1 publication, 2 distribution,  3 manufacture, 4 copyright.

For the date one example above, this would be according to AACR ,$c[195-]- or ,$c[195-?]-    .  CONSER allows that no $c be given.  The trailing comma is no longer given.  SLC follows AACR2 unless client requests otherwise; the 260$c is removed on export, as opposed to being omitted.

Example: 260 $aBoston, Mass. :$bMcGraw,$c1998-
RDA: Boston, Massachusetts :$bMcGraw-Hill Publisherrs,$c1998-

ISBD (International Standard Bibliographic Description) requires that there be a space before and after certain marks of punctuation, such as 245 "/" and 260 ":".  In the MARC record there is no space before or after a subfield code because the system will substitute the space for the code.  OCLC, however, displays a space with the subfield code.

264 Detailed imprint.

264  1 $a$b$c replaces 260 $a$b$c

264 33 $a$b$c replaces 260 $e($f$g)

300 Collation.

For a serial this would normally begin with two spaces followed by "v." for volume.  RDA: "volumes".

According to AACR2, remote electronic resources may have no collation.

[SLC always supplies collation.]


300    $a  v. :$bill. ;$c28 cm.
RDA:   $a  volumes :$billustrations ;$c28 cm
300    $a  electronic documents :$bmaps ;$cdigital files
RDA    $a  digital files :$bmaps

336-338 Media terms

RDA/MARC fields 336-338 replace 245$h[general material designation]. [With the beginning of RDA, until client ILSs have been changed, [338 : 336] will be exported as a compound carrier : content 245$h, with the exception of [volume : text].]

Multiple terms may be entered in repeating fields, or repeating $a.

[SLC will use repeating $a.]                                                          17 March 2011

336 Content type

Follow each term with $2rdaontent, except "large print text" $2mricontent

For systems requiring 245$h, field 336 is exported as second half of
compound GMD, , truncated as shown, e.g., 245$h[online resource : text]

cartographic dataset                         }
cartographic image                           } [SLC exports "cartographic"*
cartographic moving image                    } unit name is specific term.]
cartographic tactile image                   }
cartographic tactile three-dimensional form  }
cartographic three-dimensional form          }
computer dataset
computer programl
large print text
notated movement
notated music
performed music
spoken word
still image   [unit name is more specific term, e.g., "engraving", "painting".]
tactile image                                }
tactile notated                              }    [SLC exports "tactile"*;
tactile notated movement                     }    unit name is specific term.]
tactile text                                 }
tactile three-dimensional form               }
three-dimensional form   [SLC exports "form".]
three-dimensional moving image   [SLC exports "moving image"*.]
two-dimensional moving image   [SLC exports "moving image"*.]

*Truncated for 245$h; exported in full for 336.

337 Media type

Follow each term except "electronic" with $2rdamedia; follow electronic with $2isbdmedia.

Change "computer" to "electronic$2isbcarea0" if present.

Not exported as part of 245$h.

Fields 338 336 not exported as 245$h if "[volume : text]

[electronic] [SLC uses ISBD Area 0 term. rather than RDA's "computer".]
unmediated  [SLC 338 336 not exported as 245$h]

338 Carrier type

Follow each term with $2rdacarrier, except equipment andf kit $2mricarrier,

For systems requiring 245$h, field 338 is exported as first half of
compound GMD, e.g., 245$h[online resource : text].

Notice  additions at Unmediated.

1) Audio carriers

audio cartridge
audio cylinder
audio disc
sound-track reel
audio roll
audiotape reel

2) Electronic carriers

computer card
computer chip cartridge
computer disc
computer disc cartridge
computer tape cartridge
computer tape cassette
computer tape reel
online resource

3) Microform carriers

aperture card
microfiche cassette
microfilm cartridge
microfilm cassette
microfilm reel
microfilm roll
microfilm slip

4) Microscopic carriers

microscope slide

5) Projected image carriers

film cartridge
film cassette
film reel
film roll
filmstrip cartridge
overhead transparency
slide [Use for photographic slides only]

5) Stereographic carriers

stereograph card
stereograph disc

6) Unmediated carriers

[equipment] [336 would be "form"]
volume  [Do not export; do not create 245$h if 338 is "volume" and 336
        is "text".]

7) Video carriers

video cartridge
videotape reel

340-384  Do not assign except for 362.  Accept if present May not display in ILS at present.   Data considered essential may be moved to 5XX.

Indicate large print by 250  $aLarge print version, in brackets if not on item, and in 300,  e.g.,  300  $a   volumes (large print) ... .

362  Volumes and dates published.

CONSER directs to always use "unformatted" form:

  362 1 $aBegan with vol. 1, no. 1, Jan. 1998.

[SLC follows this CONSER provision, since it creates less confusion
with a holdings statement.]

In the case of complicated numbering, use 515, e.g.:

362  1  $aBegan with Vol. 1 (1920); ceased with New ser. v. 50 (1971).
515     $aOriginal series ceased with v. 20 (1920); new series began
with vol. 1 (1921).

Serials are rarely part of a larger series, but if so:

440  Series as on item and traced (obsolete)

     Change to 490 1; cut and paste content into 830.

490 Series as on item.

Beginning June 1, 2006, the US Library of Congress is coding all series as 490 0.

It has been SLC policy since January of 1979 to have no 490 0 in bibliographic records.  (Some but not all SLC customers index 490 in their series and/or title indexes, making access uneven between customers.)  When you encounter a 490 0, and it contains no subject word, or a responsible corporate body or person, e.g., "Penguin books", change the 490 0 to a 500 quoted pseudo series statement.

If the 490 0 transcribed series statement contains a subject word, e.g., "Studies in chemistry", change the 490 0 to 490 1, and enter the series in 830  with 2nd filing indicator 0-4.  If the series title is generic, e.g., "Report" or "Works", and has been established in either the LC or LAC authority files, add the name of the responsible body or person in curves.

Provide ";$v" issue number or year as relevant.  Include ISSN in $x if available.

All series changed from 490 0 will be under title.  SLC will not create 800/810/811.  for current LC derived or original cataloguing. Those headings in legacy and Amicus records will be left unchanged, but 830 for the 8XX$t will be added for the benefit of customers who do not index 8XX$t.

500  General notes.

  500  $aDescription based on ...; title from ... .
  500  $aLatest issue consulted ...

  Use 588 is source is outside item.

515  Variations in numbering.

Example: 515 $aVol. 2, no. 1, Jan. 1999, issued in two parts.

In the case of complicated numbering, use 515 to simply 362, e.g.:

362  1  $aBegan with Vol. 1 (1920); ceased with New ser. v. 50 (1971).

515     $aOriginal series ceased with v. 20 (1920); new series began
with vol. 1 (1921).

546 Languages.

588 Source of description.
    For example, "Title from container.", "Last issue consulted: ...".

650 $aTopical subject heading.  Use $vPeriodicals as form subdivision.

Example: 650 0 $aChemistry$vPeriodicals.

710 $aIssuing body if not a commercial publisher, and not in 110.

Use same indicators as 110.

780  Former title when title changes (in record for new title).

785  New title when title changes (in record for old title.

    [If requested by customer, items in French with English forms
    established by LC 110/710, have LAC French forms in 910.]

*Anglo-American Cataloguing Rules.  1998.

**Cooperative Online Serials Program's CONSER Cataloging Manual 1993, a guide for cataloguing serials which departs in some ways from AACR2.

***Most libraries would not use 245 1st indicator 1 (trace title) after 130 because 130 is mapped to the title search in most OPACs, and the two would be the same until the qualifier.  LC does not use indicator 1 for "Annual report"; [SLC does].

****Library of Congress rule interpretations.

CONSER guidelines

AACR2 1.4F7 has no provision for a blank date of publication, as often seen in CONSER records.  Frequently we encounter CONSER records lacking class numbers and subject headings, without an encoding level 5 to warn us.

It is SLC practice to follow AACR2 (with the exception of 362), and remove unwanted information on export.