University of Missouri Libraries
Technical Services Procedure No. 3
Cataloging and Classification of Monographic Series
- Scope of Policy
- This policy outlines the analysis, classification, and series authority practices for works published in monographic series, both in hard copy and microform, that are followed in Ellis Library and its branches, excluding the Health Sciences Library and the Veterinary Medicine Library.
- Purpose
- The purpose of this policy is to standardize and codify UMC Libraries' treatment of series information so that library users can accurately determine UMC Libraries' holdings for series and works in series.
- Definitions
- A monograph is defined as a non-serial item; that is, an item either complete in one part or intended to be complete in a finite number of separate parts.
- A serial is a publication in any medium issued in successive parts, usually bearing alphabetic, numeric, or chronological designations, and intended to be continued indefinitely.
- A monographic series is a group of separate items related to each other by the fact that each item bears, in addition to its own unique title, a collective title which applies to the group as a whole. Individual items in a series may be numbered or unnumbered; individual items may also be serial or monographic in nature.
- A comprehensive record for a monographic series is a bibliographic record which is created for the series using the collective title as the title proper.
- An analytic record for a work published as part of a monographic series is a bibliographic record which is created using the unique title on the individual piece or pieces as the title proper.
- A series authority record is a record in the LUMIN authority file which identifies the correct choice and form of entry for a series and to which all bibliographic records using the series as a heading are linked by the LUMIN software. Series authority records may also contain references which lead users to related headings, and notes which may explain how a heading is used, its scope, etc.
- The series authority file is that part of the LUMIN Authority File in which series authority data is stored and from which it is retrieved and displayed using online inquiry commands. If access to the series is desired through the LUMIN authority file, the series heading is stripped from the bibliographic record and stored in the authority file rather than remaining in the bibliographic record. Series authority records may also be added and upgraded directly from a LUMIN terminal.
- Comprehensive versus Analytic Entry
- When separate bibliographic records are created for each unique title in a monographic series, the series is said to be an analyzed series; when only a comprehensive record is made for a monographic series, the series is said to be unanalyzed.
- In general, UMC analyzes a series if the Library of Congress analyzes the series.
- Series are generally analyzed because it is desirable to provide access to the author, title, and subjects of each unique work in a series. Whether the series is numbered or unnumbered, or on standing order or not, does not effect analysis practice.
- If a series is analyzed and the analyzed series is on standing order at UMC Libraries, a comprehensive entry is also entered into the LUMIN database, in the absence of a serials control system. "Last volume received" notes are added to the summary holdings records on such comprehensive bibliographic records for series on standing order. The information in these notes is updated whenever a new volume is received in the series. However, an unnumbered series which is analyzed and on standing order contains only a note, identifying the series as unnumbered, in the summary holdings record for the comprehensive entry.
- If Library of Congress practice regarding analysis of a specific series is unknown, all series will be analyzed, except for the following:
- If a series consists of articles or papers for which the series citation is more important then the individual title, the series is not analyzed. Often leaflet or pamphlet material such as extension service or agricultural experiment station publications fall into this category.
- If cataloging copy for the individual items is not readily available on OCLC, analyzing the series is decided on a case by case basis (see also section 8.0).
- When a monographic work that is likely to be well-known and cited by its individual author and title is published in a monographic series that is not analyzed, area and branch librarians can request that a specific title in the series be analyzed.
- Such a request should be submitted in writing to the Head of Bibliographic Control who will consult with the Serials Cataloging Team Leader.
- The individual title will be cataloged separately with the series traced using the authorized form of entry for the series.
- The individual title will be classified in the classed-together number also used for the unanalyzed series.
- Series Authority Records
- Once a decision is made to analyze a work published in a monographic series, another decision must be made regarding the usefulness of providing access to the analytical record from the collective title through the LUMIN series authority file. Series information appears in a bibliographic record for two reasons: to record the collective title as it appears on the piece being described and to provide access to the item by means of the collective title. In all cases, the collective title is recorded for identification purposes; when the collective title is also considered a useful access point, a link is made between the collective title and the analytic record through the LUMIN series authority file.
- Again, because of our dependence on Library of Congress cataloging, if LC considers a particular series a useful access point, UMC Libraries consider the series a useful access point.
- If Library of congress practice regarding access for a particular series is unknown, a local decision is made based upon AACR2 rule 21.30L. As modified by Library of Congress official rule interpretations.
- If UMC Libraries has provided access for a series that LC does not, we will continue to do so, if the series fits the criteria as an access point under current cataloging rules.
- If LC changes its practice with regard to a specific series, UMC Libraries will attempt to follow LC practice when such a change is discovered.
- Classification Practice
- Series that are not analyzed are classified in one call number with a comprehensive record for the series.
- In general, monographic series that are analyzed are classified separately; a unique call number is created to match the subject of each individual title within the series.
- A monographic series will be analyzed and classed together only under one of the following circumstances:
- the series represents the selected or collected works of a literary author or musical composer.
- The range of the subject matter covered by the items in the series is very narrow in scope.
- The series is also a multi-volume monograph. 6.3.4 If none of the above conditions apply, and the series is, or has been, classed together by the Library of Congress without alternate call numbers on Library of Congress cataloging copy for the analytics, UMC Libraries will also analyze the series and class it together.
- Multi-Part Works in Analyzed Series
- Multi-part works in established classed-together analyzed series present a particular problem. Some monographic sets and serials are published as part of monographic series which UMC Libraries have analyzed, but classed-together. The individual pieces of the set or serial have two numberings; for example, v. 1 of a set may be v. 17 of the series while vol. 2 of the set may be vol. 23 of the series. To avoid scattering the holdings of a multi-part item published in a monographic series which UMC has analyzed and classed together:
- All new monographic sets and serials within established classed-together analyzed series will not be classified with the series, but classified using a number appropriate to the set or serial title.
- Information that the series is classed together, and that exceptions exist for classification of some of the analytic(s) within the series, is recorded in the appropriate series authority record in the LUMIN Authority file.
- For volumes of a multi-part item published in an established classed-together analyzed series which were cataloged prior to implementation of this policy and which were not classified separately and are, therefore, scattered throughout the classed-together series numbering, a general note (GEN), explaining the situation, is included in the item's summary holdings record. We will not attempt to reclassify and remark such items.
- To provide adequate access to multi-part items within numbered monographic series, a single series access point will be made for multiple series numbers:
- (a) For multi-part items with two or more consecutive series number, the first and last numbers in the span of numbers will be given the $v subfield of the series added entry, separated by a hyphen; e.g., v.1-49.
- (b) For multi-part items with non-consecutive numbers, the individual series numbers will be given in the $v subfield of the series added entry, separated by comma; e.g., v. 23, 28, 45, 51.
- A combination of (a) and (b) above will be used in the $v subfield of the series added entry for multi-part items having both consecutive and non-consecutive series numbers; e.g., v. 1-4, 6, 9, 11-30.
- If the field length for the series added entry exceeds the maximum number of characters allowed, a second, third, etc., series added entry will be created to list all the series numbers.
- Responsibility for Series Decisions
- Decisions concerning classification and analysis of monographic series are the responsibility of the team leaders of the cataloging teams, in consultation with the Serials Cataloging Team Leader.
- Once a series treatment decision is made, it is followed for all new volumes of that series unless one of the following occurs:
- It is discovered that the Library of Congress has decided to provide access to a series for which access has not been provided in the past. UMC will then provide access to the series.
- It is discovered that the Library of Congress has chosen a different form of entry for a series from that used by UMC Libraries. UMC will then change the form of entry to conform with that established by LC.
- The series title changes. UMC will then create a new series authority record. (A new serial record for a series on standing order will also be created; the serial record for the earlier title will be deleted).
- Reference and branch librarians may request that a specific title be analyzed and/or access provided through the LUMIN series authority file.
- For new titles, such a request should be submitted on the BPR.
- For titles which are already cataloged, such requests should be made in writing to the head of the Bibliographic Control Department. Since analysis and/or providing access by means of the collective title is considerably more time-consuming once an item is cataloged, such recataloging must be considered in the context of the entire department's priorities and available resources.
Approved by Library Council: December 17, 1987
Revised and Approved by Library Council: October 20, 1988
