NACO > Yale Policies for NACO Series Authority Records (SARs)

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This document sets forth Yale University Library policies for creating, updating, and importing NACO series authority records (SARs) associated with monographic series and multipart monographs (MPMs). It is intended to supplement, not replace, standard documentation issued by the Library of Congress (LC) and the Program for Cooperative Cataloging (PCC).

Throughout these instructions, replace ‡5 CtY with your unit's specific code whenever applicable.

1.Creating New SARS

2.Updating New SARS

3.Importing New SARS

1. Creating New SARs

As a general rule, create new SARs for analyzed monographic series and MPMs whenever one or more of the following criteria apply:

  • the series or MPM requires cross reference(s) Exception: If the only reference would be a name-title reference from the issuing body and the body has not yet been established (requiring that an additional authority record for the body be established), creating the series authority record is optional.
  • the series or MPM requires a qualifier Exception: If the series requiring the qualifier is a non- academic series that has been issued by a commercial publisher, creating the series authority record is optional.
  • the series or MPM is on standing order the series or MPM will be classed together
  • the series or MPM will be traced in a BIBCO record. NOTE: In a BIBCO record, the series may be tagged as untraced if it has not been established in a series authority record; only traced series need be established.
  • the series or MPM is represented by a local SAR Note: Local SARs lack an 010 field. These records were created in Voyager, rather than contributed to NACO. The local SAR should be deleted from Voyager after the NACO record is created.
  • a selector has identified the series or MPM as important and requested that a SAR be created

New SARs are not required for monographic series and MPMs when one or more of the following criteria apply:

  • the monographic series or MPM will not be analyzed
  • the monographic series or MPM is complete at the time of cataloging  Exception: Unless it requires a cross reference or will be traced in a BIBCO record.
  • the monographic series or MPM will be untraced in a BIBCO record  Note: In a BIBCO record, the series may be tagged as untraced if it has not been established in a series authority record; only traced series need be established.
  • the monographic series or MPM is judged to be trivial or exceedingly complicated
  • the monographic series or MPM was published prior to 1981

2. Updating Existing SARs

2A. Where to Update SARs

OCLC

  • Updating a SAR in OCLC if making national-level changes.
  • National-level changes include such things as: changing fixed fields, headings, and cross references adding new cross references, and adding new 640, 641, 642, 643, 645, 667, and 670 fields.

Voyager

  • Update a SAR in Voyager if making local changes.
  • Local changes include such things as: adding 090 fields, recording Yale analysis and classification decisions in 644 and 646 fields, and recording local notes in 690 fields. It might be necessary to import the SAR from OCLC into ORBIS before making the update.

2B. 090 Field (update in Voyager)

Class together

Add an 090 field to the Voyager record to record the call number of a series or MPM that will be classed together, even if the number is exactly the same as the one recorded in the 050 field. Preface the call number with the Yale location to which it pertains. Example:

Before

After

050

4

BX3201 ‡b .S78 ‡5 CtY-D

050

4

BX3201 ‡b .S78 ‡5 CtY-D

090

DIV: BX3201 .S78

Before

After

050

0

BX3301 ‡b .A52

050

0

BX3301 ‡b .A52

090

SML: BX3301 .A52 (LC)

If you discover existing bib records in Voyager (for the same location) that have been classed separately, use catalogers’  judgment in deciding whether to 1) reclass them, 2) add a note to the SAR specifying a change in practice after a certain date, or 3) continue to class separately. The third option is discouraged.

Encoding Level 7 Analytics

Add text in square brackets to the end of the call number in the 090 field to record a decision to create encoding level 7 analytics (EL7) for a monographic series or MPM. Example:

Before

After

090 SML: HB5 D58 (LC)+ Oversize [EL7 ANALYTICS ONLY]

See the cataloging documentation on Classed-together Analyzed (EL7 Serial Analytics) for further instructions.

Classed Separately

The decision to class separately may be highlighted in 090 fields but the practice should generally be limited to the following situation:

  • changes in Yale classification practice (see example below)
  • complex situations involving especially voluminous numbered series
  • different practices for different Yale locations

Before

After

090 SML: 20- [CLASSED SEPARATELY]

090 SMLY: J525 St94 1-19

   090 SMLY: J525 St94 1-19

Not Analyzed

The decision not to analyze may be highlighted in 090 fields but the practice is not required. Example:

Before

After

090 DIV: DO NOT ANALYZE

644 f ‡5 DLC

644 f ‡5 DLC

644 n ‡5 CtY-D

2C. 642 Field (update in OCLC)

  • Do not retrospectively add a ‡5 DPCC code to an existing 642 field.

2D. 645 Field (update in OCLC)

  • If the existing SAR contains a DPCC or LC "traced" decision  or an "untraced" decision, follow it.
  • Do not add new 645 fields
  • Do not retrospectively add a ‡5 DPCC code to an existing 645 field.

2E. 644 and 646 Fields (update in Voyager)

For monographic series and MPMs that are new to Yale, generally follow analysis and classification decisions recorded by LC and other PCC libraries. If necessary, update SARs to record Yale decisions by adding new 644 and 646 fields or by modifying existing ones according to the guidelines below.

Adding New 644 and 646 Fields

Add Yale analysis and classification decisions in new 644 and 646 fields in the ORBIS record in the following situations:

Yale decisions differ from the decisions already recorded in the SAR. Example:

Before

After

646 s ‡5 CoU

646 s ‡5 CoU

646 c ‡5 CtY

SAR lacks 644 and 646 fields. Example:

Before

After

644 f ‡5 CtY-BR

645 t ‡5 DPCC

645 t ‡5 DPCC

646 s ‡5 CtY-BR

Modifying Existing 644 and 646 Fields

Do not delete decisions already in the SAR for LC and other PCC institutions.

Modify existing 644 or 646 fields in the Voyager record whenever a Yale decision of "do not analyze" or "class  together" duplicates an existing decision. Example:

Before

After

646 c ‡5 DLC

646 c ‡5 DLC ‡5 CtY-BA

Do not generally record a Yale decision to "analyze" or "class separately" when it duplicates an existing decision unless you want to differentiate it from a decision for another Yale location. Examples:

Before

After

646 s ‡5 DLC

646 s ‡5 DLC

Before

After

646 s ‡5 DLC

646 s ‡5 DLC ‡5 CtY-M

646 c ‡5 CtY

646 c ‡5 CtY

Recording Changes of Practice

Use ‡d to record a change in practice for a location, placing the ‡5 code at the end of the field:

Before

After

646 s ‡5 CtY-D

646 s ‡d vols. cat. before Oct. 1, 2003 ‡5 CtY-D

646 c ‡d vols. cat. after Sept. 30, 2003 ‡5 CtY-D

2F. 690 Field (update in ORBIS)

Use 690 fields to record lengthy explanations of local analysis and classification decisions, if necessary. Do not add 690 fields as a matter of course.

3. Importing SARs

When to Import SARs

As a general rule, do not import SARs into Voyager from OCLC. MARS will send us the SARs as a result of    weekly bib record processing.

Exceptions: You may import a SAR if:

  • you need to update the SAR in Voyager with local information
  • you are cataloging the first volume of a standing order
  • the SAR is for a series-like phrase (008 Type of series=c)

RELATED YALE DOCUMENTS:


Document originally created by the Authority Control Advisory Committee; revised and maintained by the Authorities & Identities Advisory Group.

Comments to:  Rowena Griem