Step 3.5

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Step 3.5: Series Processing

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MARS 2.0 provides a variety of different processing options for series headings. Local library cataloging practices and local system indexing of series headings are central factors in determining which MARS 2.0 series processing option would be most effective for any particular catalog.

Traced vs untraced

A series added entry 8XX is made on the record for each work in a series if it is judged to be a useful access point. When an added entry for a series is made, we say that the series is traced. The traced record can be found by performing a search for the series as a title search in the OPAC.

If a series is untraced there is no added entry made for the title of the series on the records of works in that series. Those records cannot be found by performing a search for the series as a title search in the OPAC.

If custom series processing is required, describe the processing and outcome for each of the 4 types of series heading fields: 400/410/411, 440, 490/8XX, and 490-0.

Series are treated as traced if:

  • LC authority record has field 645 $a t
    • OR
  • 008[12] = a or b or z

Series are treated as untraced if:

  • LC authority match does not have field 645 $a t
    • AND
  • 008[12] = c

Current Library of Congress policy

MARS 2.0 follows current Library of Congress policy, which treats unmatched series headings in the same manner as untraced series headings. So, in the case where a series heading has no authority match, the series will be handled as if it was untraced:

 
 bib series headings:
 490 1 $a Press release
 810 0 $a Press release (United States. Mission to the United Nations) ;$v no. 4353.
 
 no authority match is available:
 490 0 $a Press release
 810 0 removed from record
 
 or, available authority match is untraced:
 490 0 $a Press release
 810 0 removed from record

MARS 2.0 programs can also retain unmatched 8XX fields if desired.

Current standard series processing: post July 2008

MARS 2.0 adheres to the June 2008 MARBI announcment regarding series processing:

June 6th 2008, MARC Proposal No. 2008-07 presented by MARBI Committee will make field 440 obsolete and will redefine the first indicator value 1 of the 490 field to mean series traced in 8XX field.

Thus, standard MARS 2.0 series processing is to convert all 4XX/8XX pairs to either traced 490-1/8XX or untraced 490-0.

MARS 2.0 processing also allows many varied forms of series processing. As long as you can describe what you would expect to see returned for your series headings, our MARS 2.0 staff will work with you to make that happen.

400/410/411 series statements

The pre-AACR2 400/410/411 fields serve as both descriptive notes (Series Statements) and access points (Series Added Entries). Each 400/410/411 heading is converted to the AACR2 form of a separate Series Statement 490-1 Series traced differently and 8XX Series Added Entry.

MARS 2.0 generates a parallel 800/810/811 for each 400/410/411 heading. The tag of the 4XX series statement is changed to 490 with 1st indicator value 1 (series traced differently).

Data from the original series note is retained in field 490, while the heading in the 8XX series added entry is changed to the established form of the heading:

 
 original headings:
 100 1 $a Strong, Anna Louise, $d 1885-1970.
 400 11 $a Her. $t Letters from China, $v v. 2
 
 updated headings:
 100 1 $a Strong, Anna Louise, $d 1885-1970.
 490 1 $a Letters from China, $v v. 2
 800 1 $a Strong, Anna Louise, $d 1885-1970 $t Letters from China ;$v v. 2.
 
 original headings:
 490 1 $a Emma Lord mystery
 800 1 $a Daheim, Mary. $t Emma Lord mystery.
 
 updated heading:
 490 0 $a Emma Lord mystery

Since the authority record for the above example is untraced (lacks 645 $a t), the 800 field is removed and the 490-1 is changed to 490-0. MARS 2.0 series processing can retain untraced 8XX fields if desired.

Main Entry Represented by Pronoun

Special pronoun processing routines are used whenever field 8XX is generated. There are two phases of the MARS 2.0 series note processing.

4XX series note processing

If a 400/410/411 field contains a 2nd indicator with a value of 1 (main entry represented by pronoun), the 4XX $a data is replaced by the 1XX main entry in fields 800/810/811. The pronoun remains in resulting field 490:

 
 original headings:
 110 11 $a Wisconsin. $b Legislature. $b Legislative Reference Bureau.
 410 11 $a Its. $t Research bulletin, $v 78-RB-3
 
 updated headings:
 110 11 $a Wisconsin. $b Legislature. $b Legislative Reference Bureau.
 490 1  $a Its Research bulletin, $v 78-RB-3
 810 1  $a Wisconsin. $b Legislature. $b Legislative Reference Bureau. $t Research bulletin ;$v 78-RB-3.

Pronoun series processing

In fields 400/410/411 with a 2nd indicator of 0 (main entry not represented by a pronoun), MARS 2.0 checks the first 6 characters for any of the following words: Its, His, Her, or Their.

If one of those words is found, it is replaced by the 1XX main entry in the 800/810/811 field. The pronoun remains in the resulting 490 field. Pronoun processing is not appropriate for 440 fields, as some established series titles begin with a pronoun (e.g., His master's voice).

Collapsed 490/830 to 440 series statements: pre July 2008

The 440 field served the dual purposes of a series statement and a series added entry. MARS 2.0 did not change field 440 if a related series authority record was not found (i.e., the heading was unmatched).

Field 440 was also not changed if the series heading was not changed during the authority control process (i.e., the heading matched the established heading form as recorded in field 1XX of an authority record and the punctuation in the heading remained unchanged).

If the LC authority record indicated the established form of a series heading was different than the form recorded in field 440:

  • The field was retagged as 490 series statement with 1st indicator 1 series traced differently
  • Field 8XX series added entry was added containing the established form of the heading
 
 original heading:
 440 4 $a Department of the Army pamphlet ;$v 27-50
 
 updated headings:
 490 1 $a Department of the Army pamphlet ;$v 27-50
 830 0 $a DA pam ;$v 27-50

Initial article series note processing: pre July 2008

The established form of series headings in LC authority records contains initial articles. To accommodate this practice, MARS 2.0 ignores initial articles A and An when matching a 440 series heading, regardless of the value in the filing indicator.

If the 440 field, for example, contains the heading A Barna report, the matching software automatically checks for an authority record matching the form Barna report. Additional initial articles are ignored if the filing indicator is set.

In the following example, the system ignores The during matching based on the filing indicator. MARS 2.0 checks the following languages during this step: English, French, German, Italian, Spanish.

 
 original heading:
 440 4 $a The Rare book tapes. $n Series 1 ;$v 5
 
 updated headings:
 490 1 $a The Rare book tapes. Series 1 ;$v 5
 830 0 $a Rare book tapes. $n Series 1 ;$v 5.
 
 original headings:
 490 1 $a Bulletin/Maine Agricultural Experiment Station : 1975-1977
 810 2 $a Life Sciences and Agricultural Experiment Station. $t Bulletin.
 
 authority record:
 130 0 $a Bulletin (Life Sciences and Agriculture Experiment)
 410 2 $a Life Sciences and Agricultural Experiment Station. $t Bulletin.
 
 updated headings:
 490 1 $a Bulletin/Maine Agricultural Experiment Station : 1975-1977
 810 0 $a Bulletin (Life Sciences and Agriculture Experiment)

Summary of 490/830 fields not reverted: post July 2008

  1. Expand 440 to 490-1/830 pairs
  2. Match 830 during authority control
  3. If the 830 matches an untraced authority record (645 $a n), the 490-1/830 pair converts to a 490-0
  4. If the 830 does not match an authority record, the 490-1/830 remains in the record
  5. If a match is found, the 490-1/830 pair remains in the record

Summary of 490/830 fields reverted to 440: pre July 2008

  1. Expand 440 to 490-1/830 pairs
  2. Match 830 during authority control
  3. If the 830 does not match or if it matches untraced authority record (645 $a n), the 490-1/830 pair reverts to a 490-0
  4. After matching, if the 490-1 and 830 are identical, they are reverted back to a 440
  5. If they differ, the 490-1/830 pair remains

490-0 Series Statements (Series Not Traced)

Series statements for untraced series (490 fields with 1st indicator 0) function as descriptive statements only and are not normally subject to Authority Control. Series tracing practice, however, has changed significantly over the years. LC had previously traced few series, so many series titles were recorded in a 490 series statement and coded as series not traced (1st indicator 0). Current practice is to trace most series. Standard MARS 2.0 series processing brings many bibliographic series statements in line with current practice.

In standard MARS 2.0 series processing, a 490-0 series not traced field is not changed if a related series authority record could not be found (i.e., the heading is unmatched).

Field 490-0 also remains unchanged if the heading matches the established heading in field 1XX of an authority record, and the authority record indicates the series should not be traced (645 $a n):

 
 original heading:
 490 0 $a American Paper Institute instrumentation program report
 
 authority record:
 130 0 $a American Paper Institute instrumentation program report
 645   $a n
 
 updated heading (no change):
 490 0 $a American Paper Institute instrumentation program report

Field 490-0 is changed to field 490/8XX if the heading matches a heading in an authority record that indicates the series should be traced (645 $a t):

 
 original heading:
 490 0 $a Campbell County history and genealogy
 
 authority record:
 100 1 $a Hartman, Margaret Stregel. $t Campbell County history & genealogy
 430 0 $a Campbell County history and genealogy
 645   $a t
 
 updated headings:
 490 1 $a Campbell County history and genealogy
 800 1 $a Hartman, Margaret Stregel. $t Campbell County history & genealogy.

Copy All Series Processing

A special MARS 2.0 series processing option is provided for libraries that need to have all series headings recorded in 8XX fields, often due to local system indexing requirements. In the MARS 2.0 Copy All series processing option:

  • Field 800/810/811 series added entry is created for each pre-AACR2 field 400/410/411 series statement/added entry
  • Field 830 series added entry is created for each field 440 series statement/added entry
  • Field 830 series added entry is created for each field 490-0 series statement, series not traced
  • Field 830 series added entry is created for each field 490-1 series statement, series traced differently when the bibliographic record does not contain field 8XX series added entry

After field 8XX series added entry has been created for each series heading, the 8XX fields are subjected to normal MARS 2.0 Authority Control. Since the goal of MARS 2.0 Copy All series processing is to provide an indexable 8XX field for every series heading, an 8XX series added entry is created for every series heading regardless of the tracing practice or match status of the headings. The 4XX field is not altered in any way.

Note: Please check with your local system vendor before selecting the Copy All option.

Custom Series Processing

MARS 2.0 Authority Control supports additional options for processing series headings. If the series processing options described do not meet your requirements, please discuss your requirements with your MARS project manager.

Series-like phrases

There are occasions when an authority record for a "series" states that the statement that currently exists in our 490/8XX is actually a "series like phrase" and should be entered as a 500 note. MARS 2.0 has the ability to follow the authority record for these instances.

You may opt to turn on the "series-like phrase" option which will default to the following:

 The 1XX of the authority record will be added as a quoted 500 note.
 The 490/8XX will be removed
 The authority record will be added to your authmaster

We can retain the 490/8XX if desired as well as NOT add the authority record to the authmaster if that is preferred.

To select the "series-like phrase" option, please make mention in section 3-14 of the online Authority Control profile.

Volume information

Backstage's default practice is to copy the $v from the 490 field into the paired 8XX field. However, you may opt to OMIT the $v from the paired 8XX whenever the authority record does not contain a 642 field.

To select the this option, please make mention in section 3-14 of the online Authority Control profile.

Publisher verification

Sometimes there are identical series headings for very different series and multiple authority records may present. In order to ensure we're selecting the best possible Authority Record, MARS 2.0 Series processing will attempt to verify the publisher within the Bib record against the publisher within the authority record. If no verification can be made, the heading will be left as-is and no authority record will be selected. The heading will appear on the R10 Heading Matches Multiple Authority Records report.

Most of the time, however, your series titles will only match a single authority record. Default processing will accept any single authority record that matches. However, as a NEW option, you may choose to limit the matches to only those where the publisher matches. To select the this option, please make mention in section 3-14 of the online Authority Control profile.

To make this improved matching work as best we can we’ve taken a few things into consideration. First, sometimes publishers don’t use their full names and use only a single word; we’ve included a protocol to catch some of these these. Second, many publishers vary with whether they are using words such as “Inc”, Pub”, “Books”, “Press”; we are removing these terms from the matching parameters. Third, we normalize “&” and “Dept” to catch forms of publisher that may use “and” or “Department”.

It must be said, however, that sometimes the publishers vary too much in the way that they’re transcribed that we cannot determine from an automatic algorithm if the publisher is indeed the same. So, if you choose to only accept authority records where publisher must match, there may be some that are considered non-matches but with manual review could be identified as matches. They will appear on the R07 Unmatched Primary Headings Report and may also appear on the R00 Near Match Headings report depending on how close they are to matching.


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