Procedure
vetted by: Technical Services Council; 10/2009
document owner: Catalog Department
Analytic Cataloging Procedures
These procedures are for use by catalogers in all OskiCat libraries:
- Doe/Moffitt Catalog Department (CD)
- Self Cataloging Units (SCU), including Affiliated Libraries
- Subject Specialty Libraries (SSL)
However, they are written using MAIN and SSLs as contextual examples.
Introduction
These procedures detail how to create and link analytic records for individual volumes of a monographic series or multi-volume monograph. AACR2 defines a monographic series as “a group of separate items related to one another by the fact that each item bears, in addition to its own title proper, a collective title applying to the group as a whole.”, i.e. a series title. A multi-volume monograph (MVM) is similar to a monographic series, except that it is itself coded as a monograph (not a serial) and is intended to be finite, i.e. as defined by AACR2, “complete, or intended to be complete, in a finite number of separate parts. The separate parts may or may not be numbered and volumes may be issued over time or all at once.”
For both monographic series and MVM’s the decision may have been made to catalog individual parts separately, with a series added entry as the only link between them. In cases where a monographic series or MVM has been cataloged as a whole, however, with all parts sharing a common LC class and cutter number, it may also have been decided to analyze the series or MVM, which means that each part should also be represented in the catalog by its own individual bibliographic record. For parts added to an analyzed monographic series or MVM basically four things will need to be done: (1) the holdings record on the bib record for the series or MVM–the “set record”–must be updated; (2) an item record for the newly received part must be created and linked to the set record; (3) a bib record for the new part (the analytic record) must be found or created; and (4) the item record for the part must be linked from the set record to the monographic (analytic) record. The details of this vary slightly between processing additions to monographic series and MVM’s, so each is treated separately below:
Monographic Series
1. Definitions & Terminology
2. Updating the Set Record for a Monographic Series Classified Together
2.1 Locate Set Record & Confirm Title
Search for the set call number in the Millennium cataloging client. In the bibliographic record, verify that the series title information on the piece in hand (the monograph to be analyzed) matches the title 245 in the set record.
If there are any discrepancies between the two titles: refer the book to your Serials Check-in staff.
2.2 Review Set Holdings Record
2.2.1 Confirm Holdings Statement
CD & SCU: Verify that the summary holdings field (tag 866) includes the piece in hand. If it does not, refer it to your Serials Check-In staff.
e.g. if you have vol. 20 in hand, this 866 is correct
866 _0 BOUND 1(1989)-20(2008)-
SSL: No need to confirm holdings for SSLs as each unit updates their own summary holdings field.
2.2.2 Confirm Binding Designation (UPI *b)
CD: Verify that the binding designation in holdings field UPI *b matches the numbering on the piece in hand. If there is a discrepancy, refer the piece to Serials Check-In.
SCU: If the UPI field is used for the title, verify that the binding designation in UPI *b matches the numbering on the piece; resolve any discrepancy in accordance with local practice.
Refer to this chart to determine valid UPI *b (binding designation) values:
| UPI *b code | Definition |
|---|---|
| v | volume |
| n | number |
| y | year (or any date except split year) |
| b | split year (e.g. 2007/08) |
| s | series |
| u | other |
2.2.3 Verify Series Treatment Decision (UPI *s)
CD: Verify that the series treatment decision in UPI *s indicates each volume in the set is to receive analysis. If the UPI *s readsna (not analyzed) refer the piece to Serials Cataloging.
SCU: If UPI *s is used for the title, verify that the series treatment decision in indicates that volumes of the set receive analysis. If the value is na, resolve this discrepancy in accordance with local practice.
Refer to this chart to determine current, valid UPI *s (series treatment decision) values:
| UPI *s code | Definition |
|---|---|
| na | not analyzed |
| fa | fully analyzed (all volumes) |
| ma | analytics for monographic volumes only (not all vols. are analyzable; but those that can be, should be) |
| ca | analytics for conference proceedings only |
| sa | analytics for supplements only |
2.2.4 Verify and, Update /Add a Check Note
Verify the presence of a Check Note with text corresponding to the series treatment decision in UPI *s and update the old Check Note text to the Millennium text, as follows:
| UPI *s | (old) Innopac Check Note | (update to) Millennium Check Note |
|---|---|---|
| fa | ANAL | SERIAL ANALYZED FULL |
| ma | MONANAL | SERIAL ANALYZED MONO |
| ca | CONANAL | SERIAL ANALYZED CONF |
| sa | SUPANAL | SERIAL ANALYZED SUPP |
If there is not a Check Note stating analytic treatment, add a Check Note (n) into the set Holdings Record, and make it the first one if there are any other existing Check Notes.
If there is a Check Note regarding analytic treatment, but it conflicts with the value of UPI *s:
CD: refer the piece to Serials Cataloging
SCU: resolve this discrepancy in accordance with local practice.
2.3 Update or Create Item Record
2.3.1 Check to see whether an item record has already been created for the piece in hand. If there is a barcode on the piece, search on it.
2.3.2 If you get one item record as a search result:
- Make sure the Item Type (fixed field) value is 1 Monograph – regular loan (or, for non-book analytic material, whichever is the appropriate monographic Item Type value – e.g., 4 for a CD?ROM, not 14)
- If the Call No. field 090 (field tag “c”) has a second indicator of 0 (zero), change it to blank (space)
- Confirm or edit if necessary, the Volume field (field tag “v”). The numbering designation (e.g. volume, number, year, etc.) used in the item record’s volume field should be the same as indicated in the UPI in the holdings record. The designation for item record volume fields is always an English term, and not the corresponding term in the language of the piece (e.g. not band, tomo, etc.). If you have any questions about formatting, consult a serials cataloger.
- Make sure the Label Location field (field tag “l”) is present and correct; add one if necessary (e.g. if Location is ma then Label Location is MAIN)
- Affix a barcode to the piece (if it doesn’t already have one) and add it in a Barcode field (field tag “b”)
- Confirm there is or add if necessary, an Internal Note (field tag “x”) with the text “analytic” which indicates that this item, in addition to being attached to the set record, is also linked to analytic record.
e.g. Internal Note analytic - Save the Item Record.
Attach the Item Record to the Holdings Record:
- To attach the item to the set: from the Edit menu select Link Item to Holdings Record and attach the item to the correct holdings record.
- Note: When creating items they should be attached first to the set holdings record, before being linked to the analytic record. If maintenance is being performed, for example, an existing item record is attached to the analytic record but not to the set, it is permissable to merely link the item to the set, rather than unattaching it from the analytic, then attaching it to the set, and then linking it back to the item.
2.3.3 If you get multiple item records as a search result:
CD: refer the problem to BadCat.
SCU: resolve in accordance with local practice.
2.3.4 If you get no search result on the barcode or if there is no barcode on the piece, look at the set record and see whether there is already an item record attached to it matching the piece in hand. If there is already an item record for this piece:
CD: refer the problem to BadCat.
SCU: resolve in accordance with local practice.
If there is no item record for the piece in hand, attach one to the set record, and link it to the holdings record.
- Make sure the Item Type fixed field value is 1 Monograph – regular loan (or, for nonbook materials, whichever is the appropriate monographic Item Type value – e.g., 4 for a CD-ROM, not 14)
- Use call no. field 090 _ _ (not 090 _ 0)
- Insert a Volume field to match the piece in hand.
- Add a Label Location field and populate it with the correct GLADIS-era 4 letter location code
- Affix a barcode to the piece (if it doesn’t already have one) and add it in a Barcode field
- Add an Internal Note (x) as follows: analytic
- Save the record
Link the Item Record to the Holdings Record:
- To attach the item to the set: from the Edit menu select Link Item to Holdings Record and attach the item to the correct holdings record.
- Note: When creating items they should be attached first to the set holdings record, before being linked to the analytic record. If maintenance is being performed, for example, an existing item record is attached to the analytic record but not to the set, it is permissable to merely link the item to the set, rather than unattaching it from the analytic, then attaching it to the set, and then linking it back to the item.
3. Creating the Analytic Record for a Volume of a Monographic Series
3.1 Search Millennium for an Existing Bibliographic Record
Use both the analytic title as well as the parent set title (i.e., search for a series added-entry) to look for a match.
3.2 If you find the analytic title and …
- It is a fully cataloged serial record:CD: refer the piece to Serials CatalogingNote: as of 02/2010 procedures for sets within sets (aka serials within sets, or serial analytics) have not been written.
- The record is for an MVM, whether or not it is fully cataloged:CD: return the piece to the analytics shelving area with a note reading “MVM analytic.”Note: as of 2/2010 procedures for MVM analytics have not been written.
- If you find only a brief bib record (usually with an order record attached), use this record for overlay and proceed to “Catalog the Analytic Title” (see below)
- If you find no record at all for the analytic title, proceed to “Catalog the Analytic Title” (see below)
- If you find a fully cataloged single-volume monograph bib record matching the piece in hand:
- If the piece in hand is for a different location than the item already in OskiCat, link the item record in the Set record also to the Analytic bibliographic record.
- If the piece in hand is for the same location as the item already in OskiCat: CD: return the piece to the analytics shelving area with a note reading “MVM analytic.”
3.3 Catalog the Analytic Title
If you did not find a fully cataloged bib record for the analytic title in OskiCat, proceed as you normally would for any new cataloging:
EXCEPT: If you have already created the item record within the set record, do NOT use 949 _1 in the OCLC record to create a new item record upon export, because the item record already exists within the set record.
Verify that the form of the series title in the 8XX field exactly matches the heading in the OCLC authority record if there is one. If there is no OCLC series authority record, match main entry in the set record and enter into MARC field 490 0 _ .
Be sure the numbering in 8XX subfield v conforms to the 642 field in the authority record
If you are overlaying a brief bib record, don’t forget to include field 907.
3.4 Link Item Record from the Set Bib to the Analytic Bib
Verify the item record already exists within the set record before following these steps; if it does not, go back to section 2.3.4.
3.4.1 Link the existing item record for the piece to the analytic bib record
- Search for the set record, open it and from the summary view open the item record for the piece in hand
- From the Edit menu choose Link to additional bib record, then choose Find Bib
- Search for the analytic record
- If necessary, click on the Select button for the analytic bib to open it
- From the summary view, click on the Use Bib button
3.4.2 Confirm Item Record is attached to the set record and linked to the analytic record
You’ll know everything is correct if, when you open the item record from within the set record again, in the lower left-hand corner under “Also linked to record(s):” there are two bib record numbers, first the one for the set record and then the one for the analytic record.
3.5 Post?cataloging steps
- CD: & SCU: Indicate that the analytic cataloging is complete by writing on the t.p. verso of the piece “Cat”, date, and initials, e.g. Cat 10/15/2009 mm
- CD: Remove the ANALYZE flag if the piece is for MAIN; leave the flag in for branch.
- CD: If the piece is already correctly marked, put it on the Outgoing truck for either MAIN or branch; if the piece needs to be marked/remarked, put it on the marking truck for either MAIN or branch.
If at any point in these procedures a cataloger encounters a problem with the treatment of pieces in a set other than the one in hand, please submit a BadCat ticket regarding the problem (http://footprints.lib.berkeley.edu/cgi-bin/BadCat/form.cgi). Problems or questions about interpreting these procedures may also be referred to Serials Cataloging, or the Catalog Department’s Principal Cataloger.
Series Authority Records
Local treatment decisions for monographic series have, until recently, been noted and maintained in series authority record fields 644, 645, and 646. For ease of use by the Serials Check-in staff, information from the 644 (whether and what kind of analytics should be made for individual volumes) was also stored in the UPI field in GLADIS and now in the Millennium holdings record. Series title variants and series title changes were also maintained in series authority records.
In some cases it may be of use to refer to a series authority record. For a series new to the UCB collection, the OCLC authority file may be consulted and local treatment may follow the established decisions found therein. However, for older series, it may be more helpful to consult the series authority records which contain local treatment decisions and notes.
In the Millennium migration only the most recent and up-to-date series authority records were transferred from GLADIS to Millennium. As a result, many of the series authority records with local notes were not migrated. However a flat text file of these older, locally edited series authority records may be found and searched on the Catalog Dept. website.
Local (UCB) Cataloging Practice for Series Authorities
As of June 1, 2006 UCB follows Library of Congress guidelines with regard to series practice. UCB no longer establishes nor maintains series authority records for new or changed series titles. Such titles will be recorded as found in tag 490 0_ .
However, for existing series, UCB will continue to follow the ongoing tracing practice as indicated in previously established authority records for series found in the UCB and OCLC authority files. These will be recorded in catalog records with tag 490 1 _ and 830 _0 combinations.
Legacy Data
Author: Jim Lake
Approval Group: Cataloging and Metadata Council
Update Group: Cataloging & Metadata Council
Last updated date: 01/13/15
Archived Comments
Minor edits
Tue, 03/25/2014 – 12:28 — Michael Meacham
Corrected a few typos and fixed links to BadCat form and to unmigrated series authority file.
Updated per 2/2011 ILSSC decision
Thu, 05/05/2011 – 16:31 — Randal Brandt
RSB: I updated these procedures in the following ways in order to bring them into compliance with the 2/17/2011 decision regarding order of linking item records in analytic cataloging:
1. Definitions: Added final paragraph beginning “Best practices…”
2.3.2, last bullet: Changed “must” to “should”
2.3.4, last bullet: Changed “must” to “should”
3.3: Edited “EXCEPT” statement
Item linking updates
Thu, 03/17/2011 – 12:07 — Randal Brandt
Updates needed for revised policy regarding order of linking item records (2/17/2011):
1. Definitions (under “Broadly speaking…”)
2.3.2 last bullet
2.3.4 last bullet
3.4 “EXCEPT: Do NOT use 949 …”
Perhaps change mention of DCU
Thu, 01/20/2011 – 12:44 — Lisa Weber
Perhaps change mention of DCU to Catalog Record Maintenance Help Desk. I don’t think DCU exists anymore, at least it’s not mention as a Cat Dept. unit in the Staff Directory.