Serials Cataloging Manual

     The standard for serials cataloging is the Anglo-American Cataloging Rules, 2nd ed., 2002 revision. All new serials are cataloged in accordance with these rules. Whenever an already-owned serial must be recataloged (usually as the result of a title change), records that had been originally cataloged under older rules are to be recataloged under current cataloging rules. [Exceptions will be allowed if recataloging into the new rules would be too difficult due to lack of information on the history of the particular serial, but these exceptions are to be kept to the absolute minimum.]

     It will sometimes be necessary for the Serials Cataloger to consult with the Head of the Monographic Cataloging Unit and the Department Head as to whether an item issued as part of a serial is to be cataloged as a serial or as a monograph. The determination will be made on a case-by-case basis. In general, it is advisable to catalog single issues as serials since the possibility exists that the library will obtain other issues of the serial in the future. In cases where the serial is a journal that is issued more than once a year, this is especially advisable.

     Serials are to be cataloged in OCLC. If no OCLC record can be found, an original record will be created for both our local database and OCLC.

     Serials holdings information is hotlinked from the main menu to the Northwestern University Libraries webpage. As for local policy, we will only note that it is our policy to use the appropriate abbreviation for the volume designation as given on the piece. For example, if "Band" is used on the piece, "Bd." is used in the volume holdings record.

     Serials come to the library either on a continuing basis as subscriptions and standing orders or as isolated single issues with no expectation that future issues will be received. The cataloging of these is the same. They differ on how they are handled once cataloging has been completed. (See Post Cataloging below.)
     The description of a serial is based on the issues in hand. According to AACR2 rules, when the first issue is missing, serial cataloging is to be based on the earliest issue available, with beginning dates (if known from other sources) to be recorded in an unformatted note. These notes have an indicator 1 in the 362 field and generally take the form: "Began with ... " or words to that effect. A subfield z, citing source of information, is added unless the source is the publication itself (e.g., a forward, discussing the history of the serial, mentioning when it started). In such cases the subfield z is unnecessary.
     Exceptions can be made if a CONSER authenticated record for the serial is available and it gives the beginning dates/numbering for the serial in a formatted note (362 field, indicator 0). Even if the library does not have the beginning issue, the CONSER information can be used in place of a first issue being in hand.

     All new serials are to be cataloged in AACR2 form. Some problems will be encountered in the cases of serials cataloged under earlier rules based on information from later issues of the publication. The biggest problem is with imprints having changes of places and/or publishers. In earlier cataloging the latest is given with the term "etc." to denote earlier unnamed places or publishers. In many cases the earlier places/publishers cannot be known. When this happens, use the imprint as found, deleting the "etc." Make a note that says: "Early imprint varies" or the equivalent. Note subsequent changes in imprint according to current cataloging rules.

     Some serials to be cataloged are already in NOTIS. Some examples: records for previous titles of serials with title changes; preliminary records downloaded by the Record Creation Unit.
     Search OCLC to find the best record for the serial. Make a printout of the OCLC record. Compare it with the record in NOTIS. Reconcile differences (if any) between the NOTIS record and the OCLC record. Also note if there are any differences between the latest issue of the serial and the NOTIS/OCLC records.
     In serials there are commonly changes in frequency, imprint, name of issuing body, and form of numbering, among others. Make changes as appropriate, directly onto the NOTIS record. Generally, if there are three or more changes in place of publication or publisher, input a general note, such as "Imprint varies," "Publisher varies," "Place of publication varies." Specific notations are to be made for changes of publishers or issuing bodies that would be traced. These changes and numbering changes are noted according to current cataloging rules.
     In a few cases the Record Creation Unit will add a monographic record to NOTIS instead of a serial record. If this happens, the monographic OCLC record will have to be overlaid by the serial OCLC record in NOTIS. To do this, delete the OCLC number on the NOTIS record. On the OCLC record add an 035 field in this form: 035 (NOTISFI)ABQ1234 [note that there is no space between the NOTISFI and the record number]. Edit the cataloging record on OCLC. Then update, export, and save the record until it can be verified that it has been successfully transferred to NOTIS.

     For subscriptions or standing order serials, a printed copy of the NOTIS record for newly added serials (whether coming as a title change or a new standing order) is attached to the volumes cataloged and sent to the library's Serials Unit. For non-subscription or non-standing order serials, volume holdings are added to NOTIS according to volume holding notation rules. The call number is written in pencil on the item according to the appropriate format and the item is forwarded to the labeling staff.

1. Titles which the library has in both print and microform are cataloged on the same record--no separate record for the microform will be made. Catalog using the print version of the bibliographic record. Add a note in a 530 field mentioning that library also has this title in microform. (E.g. "Also on 35 mm microfilm." "Also on 11 x 15 microfiche," etc.)
   
2. Titles which the library has only in microform are cataloged on a bibliographic record for the microform. If no record exists in OCLC for the particular microform that we own, an original cataloging record is created on OCLC and exported to our local NOTIS database. Records for microform serials will describe the print version with the following adjustments: a) fixed field codes; b) subfield h [microform] after subfield a in the 245 field; c) 533 note, which gives descriptive information for the microform; and d) 539 field, which gives fixed field information for the microform.
3. Early American Newspapers. There is a constant data record in OCLC for the titles in this series, under the name: READEX. Most OCLC records for these titles in their microform version will not be CONSER or LC validated records. However, most print versions will have validation. Compare the two records (the record for the microform and the validated record for the print), noting any differences in cataloging information. Add any information from the print record that is deemed appropriate. The call number for these works is AN2 [cutter number for city] [cutter number for title of newspaper].

     Generally no special note is made of special issues (issues with their own titles apart from the serial title). The exception occurs when the library has only one issue of a serial and that issue is a special issue. Whether a special issue is to be cataloged as a serial or as a monograph will be determined on a case-by-case basis. It is generally advisable to catalog these as serials since the possibility exists that the library will obtain other issues of the serial in the future.

     When given a URL for a work to be cataloged, check the URL to make sure it works by finding the entire text of an actual article of that work and verifying that the text is accessible. If unable to access a full text article, do not catalog until this access is assured.
     Serials appearing in electronic format are to be cataloged according to the same rules governing hardcopy serials.
     How electronic serials are to be treated depends on whether the library also has a hardcopy version or not. If the library has hardcopy, catalog the hardcopy, adding fields for the electronic version. These fields are the coded 006 and 007 fields; the 538 field, designating the system requirements for accessing the electronic version; the 776 field, describing the additional physical forms; and the 856 field (with indicators 41), containing the URL in subfield u.
     If possible and appropriate, begin the 856 field with a note in subfield z specifying what is being accessed through this URL and who the URL is linking to. E.g. "Full text via Project Muse," "Abstracts and contents via the title's home page."
     Electronic resources of a serial nature (e.g., journals, annuals, newsletters, proceedings), consisting of articles and consecutive, non-cumulative issues, are cataloged as serials. Continuously updated online databases, even if their print or CD-ROM versions have been cataloged as serials, may be considered "ongoing publications" and are thus cataloged under current standards for loose-leaf monographs or serials depending on the specific work being cataloged.
     Electronic versions of print resources are assigned a uniform title, with the qualifier "(Online)", to distinguish them from the print versions. Beginning in July 2003, if the titles are not the same, no uniform title is required.
     For electronic serials, an added entry for the publisher or vendor of the electronic version will be made.
     Do not add 856 fields for links to publisher's home pages or advertising material. Delete these links when they are already present in a record being edited. Keep 856 fields only for links that pertain to the publication itself, whether it be full text, abstracts, or tables of contents.
     When cataloging is finished, check the links in the 856 field in WebLuis.
     Catalog electronic versions according to current CONSER cataloging guidelines. These guidelines can be found in the CONSER Cataloging Manual, Module 31 or they can be found in the CONSER website at the following address: http://lcweb.loc.gov/acq/conser/module31.html
     Constant data records are kept in OCLC for various situations and types of electronic serials. Listd below are the OCLC constant data records for electronic journals:

a) OCLC constant data record for Association for Computing Machinery publications: Constant data name: ACM

b) OCLC constant data record for ASME International titles: Constant data name: ASME

c) OCLC constant data record for BioMed Central: Constant data name: BIOMED

d) Constant data record for OCLC Electronic Collections Online titles: Constant data name: ECOLINKS

e) OCLC constant data record for Elsevier titles: Constant data name: ELSEVIER

f) Constant data record for Emerald titles: Constant data name: EMERALD

g) OCLC constant data record for European Union's enlargement reports: Constant data name: ENLARGE and ENLARGE2

h) OCLC constant data record for Haworth Press titles: Constant data name HAWORTH

i) Constant data record for IEEE Xplore: Constant data name: IEEE

j) Constant data record for Infotrac material: Constant data name: INFOTRAC

k) Constant data record for Ingenta Select: Constant data name: INGENTA

l) OCLC constant data record for JSTOR titles: Constant data name: JSTOR

m) Constant data record for Kluwer Online titles: Constant data name: KLUWER

n) Constant data record for Project Muse titles: Constant data name: MUSE

o) Constant data record for the NUMDAM program: Constant data name: NUMDAM

p) OCLC constant data record for titles owned only in the electronic versions: Constant data name: ONLINE

q) Constant data record for Oxford Press titles: Constant data name: OXFORD

r) Constant data record for PubMed Central: Constant data name: PUBMED

s) Constant data record for Sage Full-Text Collections: Constant data name: SAGE

t) Constant data record for Blackwell Synergy titles: Constant data name: SYNERGY

u) Constant data record for Wiley Publications online titles: Constant data name: WILEY

    Occasionally the library will receive packages of online serials from publishers. Examples of such packages are Science Direct from Elsevier, Ingenta Select, Kl;uwer Online, and so on. These packages often include hundreds of titles. Due to the timeliness of these publications and their easy access it is preferable for them to be available to the library's public as soon as possible. Accordingly, these titles will be put into the NOTIS system before full cataloging is achieved. The records still must eventually be cataloged fully according to the cataloging procedures explained above. Below are the procedures for getting titles from electronic serials packages quickly into the FIU database. There are two sets, depending whether the library already has a cataloging record for a work or not. When the library already has a record for the journal all that needs to be added is the link to the new serials package. When the library does not have a record, it needs to be derived from OCLC.

PROCEDURES FOR ADDING NEW LINKS TO ALREADY EXISTING TITLES:

1) Add note to bibliographic record: "Also available online via the World Wide Web."

2) Follow link procedures:

    A) Get link from Excel file called "Paste file."

    B) Copy the correct link using the following method:

        a) Verify correct title.

        b) Position cursor over "http" in the URL area of that title.

        c) Click on copy button.

    C) Create NOTIS  856 field: e.g. 856:41: |z Full text via Ecolinks |u.

    D) Paste link following the |u (and space) using the following method:

        a) Position cursor after first space following |u.

        b) Call up CLAAR.

        c) On bottom line of toolkit go to third window from left (it's a picture of a clipboard with another page superimposed on it at the bottom right) and click.

        d) Press "enter."

3) Add new location to copy holdings screen: ELCJ.

4) Add subject classification number following the ELCJ.

5) Check link through WebLuis.

PROCEDURES FOR DERIVING TITLES FROM OCLC

1.    Check NOTIS for title.

2.    If no NOTIS get from OCLC the record for title.

3.    Export and ONI.

4.    Check NOTIS copy holdings screen.

5.    Status should be "h".

6.    1st line should be 2X elcj. Delete everything in call number from delimiter c on (including the delimiter c).

7.    Add um=Cataloging incomplete. For linking only.

8.    Go into Biblio screen and delete all 856 fields that are not accessible to FIU.

9.    Add NOTIS number next to title on printout.