SECTION III

UM Libraries, College Park Procedures for Processing Series

• Check the bibliographic record for piece-in hand:
  • If it is on a serial bibliographic record (BLvl: s), print out the record, write "serial record" on the paperwork and refer it to the Team Leader. (The Team Leader will appropriately refer the record and piece into the proper workflow, e.g., Acquisitions (serial add) or Original Cataloging (new serial title))
  • Look for the 022, 4XX, and 8XX [always the official heading form] MARC tags; these are the tags for the International Standard Serial Number (ISSN) and series statements. Remember, the 4XX the tag that shows exactly how the series appears in the piece including the numbering. This table will help you interpret 4XX an 8XX tags found on the bibliographic records.

    490 0 series as seen in piece	Not traced
    490 1 series as seen in piece (always paired with an 8XX tag that has an official heading	Traced differently
    440 0 series as seen in piece	Official heading [& no., if any]
    An 8XX tag is always paired with a 490 1 tag
    830 0 series	Official heading [& no., if any]
    800 10 personal name $t [title]	Official heading [& no., if any]
    810 10 government corp. name $t [title]	Official heading [& no., if any]
    810 20 corp. name $t [title]	Official heading [& no., if any]
    811 20 meeting name $t [title]	Official heading [& no., if any]

• Check the book for a series statement and ISSN. For the series, follow the chief source preferred order for series when checking: Series title page, analytical title page, cover, caption, masthead, editorial pages, colophon, rest of the resource (AACR2 2002 Revision). Look for common series terms such as: series, reports, studies, bulletin, papers, etc. Look for the presence or absence of series numbers. (When found, some series numbers may have captions, e.g. v. 1, pt. 1, no. 1.)
  • If the series statement and caption with the number found on the bib. record match the book, proceed to Step 2.
  • If the series statement and caption with number on the bib. record (if series was numbered) and the book do not match, search the NAF and Master File immediately, and adjust official series entry if necessary, then go to Step 2.

Step 2. Search for the series in the College Park PAC to determine how we treat it.

• Search for the series statement in the College Park PAC both as a series and as a title.

• If it comes up in a series search, get to a screen that includes call numbers.
  • If the call numbers and/or cutters are different, titles in the series are individually cataloged and classed separately, i.e., not analyzed.
  • If the call numbers and/or cutters are the same, titles in the series are individually cataloged and classed together, i.e., analyzed. A main collective record should be found when you do the title search.

• If it comes up in a title search, it may be a:
  • Serial, which will have BLvl: s in tag 001. If the piece is a serial that is not analyzed and you found nothing in the series search, write “serial record only in PAC” on the paperwork, and refer it to the Team Leader.
  • Monograph series parent record, which will have a summary holdings note stating the series is analyzed; or if unanalyzed, no call no. will be in the summary holdings note. Another clue, if you already found the series with different call nos. and/or cutters by doing a series search, then it is classed separately, i.e., unanalyzed. Three things: (1) verify that the series statement and any caption with number, (e.g., Bd. 1) on the piece matches the series statement and caption used with the number in the College Park PAC (2) verify that the publisher of the piece is the same as the publisher for the records in the College Park PAC. NOTE: If conflicts are found in any of the above, check the NAF for a series decision. If answer is not found in the NAF, check the MF. If no series decision is found, document on bib. record your searches, date, initial and refer to a Cataloger or place in OCPG queue as appropriate. If these two things check out, then process the piece and (3) adjust the parent record’s summary holdings note when necessary, i.e. when there are gaps in the holdings.
  • Open monograph record. This is a record for an unanalyzed monographic set., which will have item records attached and may or may not have a 505 contents note for the distinct titles. If you found no results in the series search, then process as a monograph add.

• If the series seems to be treated inconsistently in the College Park PAC, then print some examples from the PAC and refer to the Team Leader.

• If the series is not in College Park PAC, then search first the National Authority File (NAF) and then the Master File. Please see: Step 3. Reading and Interpreting a Series Authority Record in the NAF file, and Step 4. Reading and Interpreting a Series Authority Record in the Master File.

Step 3. Reading and Interpreting a Series Authority Record (SAR) in the NAF.

A series authority record (SAR) can be accessed by performing a search for the series title in the OCLC authority file or the Library of Congress Authorities online file.



There are codes in the SAR that will help you to identify the treatment of the series you are working with. In the fixed field always examine the Ser num (numbered/unnumbered series code), and Series (type of series code). In the variable field always look at the 644 (series analysis practice), 645 (series tracing practice), and 646 (series classification practice).

To identify the series treatment quickly, use the cheat sheets entitled Series Treatment Decision Chart and Series Codes.

• If you find a matching SAR and the series is classed separately, then follow that decision.
• If you find a matching SAR and the series is classed together, then refer it to the NACO liaison.
• If you do not find a matching SAR, then search the Master File (Step 4, below).

Step 4. Reading and Interpreting a Series Authority Record in the Master file.

See the Appendix for representative samples of decisions filed in the Master File

As explained in Section II, University of Maryland’s policy is and has been, to follow LC's and DPCC’s heading and treatment whenever practicable. That does not mean that we can accept LC and DPCC copy without checking in the College Park PAC and/or our Master File. We have sometimes chosen to use differing analysis and/or classification practice, and we need to be consistent with previous University of Maryland decisions.

We use our Master File to:

• Document series that are not found in the NAF
• Document our analyzed series
• Document our treatment and classification practices when they differ from LC and DPCC decisions found on series authority records in the NAF
• Document how we treat supplements and special numbers to serial titles

The tracing, and classification decisions found on series cards are often combined: Catalog as separates [i.e., traced; classed separately] Not used [i.e., not traced; classed separately]; Catalog as an analyzed monograph [i.e. traced; classed together; monograph parent record with summary holdings in catalog]. Numbering is simply stated, i.e. Unnumbered; Numbered, e.g., 3; Numb./Unnumb.

• If you find a series treatment decision in the Master File, then follow that decision.
• If you do not find a decision in the Master File, then determine:
  • Has the piece been searched twice already?
  • Does the piece have an imprint date three years old or older?
• If the answer to either of these question is yes, then place the piece in the Original Cataloging queue.
• If the answer to both of these questions is no, then return the piece to Adaptive Cataloging’s Chronological Queue.

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