Serials Cataloging and Newspaper Processing (LTS Procedure #32)

Contact: Sarah Ross

Unit:Cataloging

Date last updated: 08/08/19

Date of next review: August 2020

Pre-Cataloging
Cataloging a Serial
             Choice of entry  
             System tab  
             Variable fields  
             Websites
             Bibliographic Records for CONSER    
             MARC Holdings    
                     Tips  
            Item Record    
Post-Cataloging  
             RMC Exception  
Special cases
             Serials for Music
Title Changes    
Newspaper Processing
            Asia Newspaper-Format Retrospective Exception

A. Pre-Cataloging

All serials should have an accompanying printout of a preliminary record, containing searching information, what issue(s) are in hand, and the searcher's initials. If there is no preliminary record, or if the title has been sent to LTS catalogers on a monograph record, send it to the problem shelf in the Serials Receiving shelves in LTS Olin.

B. Cataloging a Serial

Choice of Entry:

CUL catalogers are expected to follow national standards as found in the CONSER Editing Guide, the CONSER Cataloging Manual, and the latest CONSER standard record, found at http://www.loc.gov/aba/pcc/conser/issues/CSR.html. 

Original cataloging should be done in RDA. Follow the CONSER RDA Bridge Training at http://www.loc.gov/aba/pcc/conser/scctp/rda-materials.html.

System tab:

Check to make sure that the record is not suppressed from the OPAC.

Variable Fields:

        040:   Always add |d NIC to another institution's record, even if you make no changes.

Do original cataloging in our local database. Place a printout of the bibliographic record in the CONSER bin in CMS.

No electronic resource records of any kind are being submitted to CONSER. In other circumstances, a cataloger may decide not to contribute a Cornell original record to CONSER; for example, when a title that is "really" a monographic series is cataloged as a serial. The cataloger should consult with Laura Wright if there is any doubt about a particular item's suitability for CONSER.

MARC Holdings:

After filling in the 852 | h call number, make sure the 852 second indicator is "1." Check the Receipt Status and Completeness of the MFHD fixed fields. The information in the bibliographic record and the information in the holdings record must be consistent. If the bibliographic record states that the serial is of uncertain status or dead, the holdings record should not be coded "4", Currently received. If CUL does not have the complete run to date of the serial (with reasonable allowance for shipping time), Completeness should be coded "2", Incomplete, not "1."

From the MFHD screen, use the drop-down menu under Record, select "View Line Items in Acquisitions" to see if there is a record in the Acquisitions module. If the Receipt Status in the fixed fields is 4, it is most likely that there will be a record in the Acquisitions module. If the message "This title does not appear on any purchase order" comes up, then a purchase order and check-in record have not been made. There may be reasons for this, such as a title cataloged as a serial but not going to be received in future. Check the Receipt Status on the MFHD record's 008. If it is 5, Not currently received, then the check-in record is not needed. But if the receipt status is 4, Currently received, and there is no check-in record, ask ERSM staff to check on it.

If there is a record in the Voyager Acquisitions module, current issues will be checked in there. Using the "View Line Items in Acquisitions" link from the Cataloging module is just a quick check; once you know that a record exists in the Acquisitions module, it is best to access it by starting over in the Serials Check-in mode. Review the current issues to make sure everything looks correct by searching the title in the Serials Check-in-search mode and clicking on the History button. Past issues of the serial are recorded in the MFHD of the Cataloging module. [Exception: ALL issues of annuals or greater appear in the MFHD of the Cataloging module. The issues are checked in in the Acquisitions module but suppressed from public view.] The cataloger is responsible for making sure that coverage is coherent between the Acquisitions module, the Cataloging module, and the issues-in-hand.

Once you have accessed the record in the Acquisitions module, put the call number in the Check-in note area. Get to this note by clicking on the check-in icon and searching the title as above. Although the note pops up, it cannot be edited from there. Click on "note" under the "Issue(s) in Hand" box. Now the note can be edited. Remove IN PROCESS and replace with the call number. Also, notes like ci:pr and "Latest issue in Reference" need to be in the check-in note as well as things the receivers should look out for, e.g. "Watch for combined issues." After editing the note, click OK. If the "In Process" note is not removed from this box, the check-in staff will place issues received on the wrong shelf; they will not be sent on to the Library/Stacks where they could be used.

On the MFHD record in the Cataloging module, the note CHECK-IN RECORD CREATED should be the first element of 852 |x. Before a new serial leaves Cataloging, if a check-in record has been created in the Acquisitions module, the note, in caps, must be in place.

When a new receipt is cataloged differently from the existing check-in record, a new check-in record must be created. Please return these items to the ERSM Unit supervisor for the creation of a new purchase order and check-in record and for the closing-out of the existing check-in record.

TIPS: Below are a few (only a few) tips for correctly recording MARC Holdings: 

MARC Holdings information must be punctuated in a very particular way. Please review the punctuation standards for holdings statements. See the Punctation Table for MHLD Records.

The caption used in the item record must match the caption used on the item. Captions should be in the language of the publication and abbreviated accordingly.

If both enumeration and chronology exist, put the chronology in parentheses. If there is no enumeration, use no parentheses around the chronology.

Do not leave a space between year no. and issue designation (Example: ano 5:no.2-5 (1995:apr.-sept.))

Use lower case (Example: issue 1-2).

Fiscal years: For items involving a fiscal year, especially government documents, the two-year designation is put in the MFHD, for example 1979/1980-1996/1997. In these cases the 362 field will still reflect what is on the piece (such as FY 1980- or Fiscal year 1997- ). If the fiscal year cannot be determined, use the designation on the piece for holdings as well as the 362 field.

Finally, it's always a good idea to check the OPAC to see that things appear as you intend!

Item Record:

When creating an item record for a hardcover annual or less frequent issue, add the date to the enum/chron. using the following format:

C. Post-Cataloging Information

For the most part, follow instructions in Physical Marking of Periodicals and Serial Publications, LTS Procedure #54. Please note the following exceptions:

Take all completed serials--hard- and softcover, disks, microfilm--(except Asia vernacular materials originating in Kroch) to the designated shelf between the CMS and Acquisitions areas.

Always include the printout of the record. If you have made substantial changes to the record, especially if you have changed the main entry or title proper (245 |a, |n or |p), make a clean printout to send along.  Also send back the original printout that has the searching information.

Rush items or items for Reference collections should go directly to the End Processing workstation.

Any new issues received while the serial is in process are kept on an in-process shelf in the Serials Receiving shelves in LTS Olin. If you notice additional issues in the Voyager Acquisitions module that you don't have in hand, check that shelf to see if the new issues will help with cataloging. You may take them and return all issues to the post-cataloging shelf after cataloging is completed.

New serials resulting from a title change: In addition to the above, return the title change flyer to the post-cataloging shelf with the issues and printout.

Serials formerly cataloged or received as monographs: In addition to the above, make sure that item records have been relinked to the serial record and that monograph records have been suppressed and marked for deletion.

RMC Exception: After being cataloged in RMC, serials are sent to the RMC Technical Services Specialist for housing. The RMC Technical Services Specialist boxes them and labels each box with the collection (Human Sexuality or Rare), serial's title, call number, and (if it takes up more than one box) the date range of the issues in that box. Serials having fewer than five issues are housed together in "Condensed shelving" boxes.

D. Special cases

Serials for Music

• Periodicals (008: Type of Continuing Resource=p) for Music have a subfield m at the end of the call number: |m Periodical Room.
• Dance serials classed in GV for Music have a subfield m: |m Dance Periodical

Current phone books for Olin,Ref. are not cataloged. If one comes to your desk, send it to Reference.

E. Title Changes

Title changes come with a status change report flyer, a printout of the record for the old title, and a preliminary record for the new title. If available, the last issue of the old title will accompany issue(s) of the new title. Otherwise, there should be a surrogate of the title page (and other preliminaries if needed) of the old title. When cataloging copy is found for old title that has been updated with the title change information, and/or LC cataloged record is found for the new title, surrogates are generally not requested from unit libraries by the serials searchers unless the searcher suspects a problem. If no surrogate is provided, the cataloger may request one from the serials searchers or directly from a unit library.

Follow CONSER guidelines as to what constitutes a title change (CCM 16.2.2), what is not a title change (CCM 16.2.3), and how to apply linking fields (CCM Module 14; CEG under Linking Entry Fields and fields 76X to 78X).

1.  Review the status change flyer carefully. Sometimes changes need to be made. It is returned after cataloging with the new title issue(s).

2.  Old title:

• • Bibliographic record: Close the fixed field dates.
  • Close the dates in 362 field (use RDA, AACR2 or pre-AACR2 format, depending on presence or absence of DCF: a or i). Examples: AACR2:  Vol. 1, no. 1 (Jan. 1961)-v. 36, no. 12 (Dec. 1996). Pre-AACR2:  v. 1-36; 1961-1996.
  • Review bib. record and make additional changes only if necessary for clarity.
  • Add linking field (usually 785) for new title.
  • Add 948 field to record your activity ("b" for recataloging).
  • MARC holdings record: Make sure MFHD is complete.
  • Change the Receipt Status field in the MARC holdings 008 to 2 or 5, and the Completeness to 1 or 2.

3.  New title:

• • Bibliographic record: Catalog as you would any other new title, adding link (usually 780) to earlier title.
  • Use the subject headings from the old title if appropriate.
  • MFHD: If numbering continues with the new title, assign the same call number as on the old title unless the scope has altered drastically.  If numbering starts over, assign a new cutter appropriate to the new title.  If size changes, keep the size designation of the old title unless you are changing the call number.

4.  Final steps: Follow the post-cataloging steps for new serials.  Return the status change flyer (all copies) with issue(s) along with a printout of the new title containing its call number.  If the call number has changed, put the new call number on the status change flyer as well as on the printout. 

F. Newspaper Processing

The vast majority of new titles that come to LTS Olin looking like newspapers are cataloged as regular periodicals, with the fixed field Original item: e indicating that they are in the "newspaper format." LTS catalogers treat a title as a newspaper only when the selector or library specifically requests this treatment.

Read CONSER Cataloging Manual, Module 33, before cataloging a newspaper. This document mentions only the most prominent highlights of the newspaper bib.

Fixed Fields:
Type of serial: n
Regularity: n (normalized irregular) and other exotic codes are more frequently appropriate in newspapers than in periodicals.
Original item: e

Variable Fields :
500:  Do not give a source of title note when the title is from the masthead, since that is the norm.
651:  See CCM Module 33.17 and SCM H1920. Expect to use a subject heading of Place |v Newspapers to give access to the newspaper's area of coverage.
655: 7:  Old records gave access to the newspaper's area of coverage with this field. It is now seldom used.
710:  Before tracing a body responsible for issuing a newspaper, read CCM 33.13.1. Newspapers rarely require a corporate body added entry.
752:  Use this field to give access to the newspaper's place of publication. The usual form outside the United States is |a [Country] |d [City].

MARC holdings records:
The location will be olin [or ech or was] |k Newspaper. For any other location or library, do not use a sublocation.
Always use No call number in subfield h of the 852 field.
Do not make an 866 or holdings notations of any kind on the MARC holdings.

Annex Exception: At the discretion of the Annex staff, explicit holdings for newspapers may be captured and added to Annex MFHDs.  This work is done by Annex staff, not LTS, for titles that are already held at the Annex, not for new titles.

Voyager Acquisitions module:
Do not add anything to the check-in record; do not create a check-in pattern. If "In process" has been noted in the Check-in note box, remove it.

Post-Cataloging:
Mrk nsp on the upper left corner of the front page. Place them on the usual serial shelf in Acquisitions Services with the word "DONE" written on the accompanying printout.

Do not add a printout to the pile of printouts to be sent to CONSER.

Newspapers get no title change fliers.

       Asia Newspaper-Format Retrospective Exception:

Newly-received periodicals in newspaper format and newly-received genuine newspapers for the Asia collections are cataloged according to the above procedures.  A finite number of Asian periodicals in newspaper format, however, have been retrospectively identified for expeditious handling.

When first cataloged, the newspaper-format periodical’s MFHD looked like this:

852:01:ech |k Oversize |h AP95.V6 |i T5518 |m ++

866:41:|8 0 |a 2009:so 1-53

The MFHD is now “frozen” and its related holdings sent to the Annex:

852:01:ech,anx |k Oversize |h AP95.V6 |i T5518 |m ++ |x DO NOT CHK-IN HERE, SEND TO NEWSPAPER

866:41:|8 0 |a 2009:so 1-53

Create a new, extra MFHD without a call number, as if the title were a genuine newspaper:

852:81:ech |k Newspapers |h No call number                                                    

NO 866!