Department Manual
Series Verification for Copy Catalogers

• Series in a 440, 800, or 830 field
• Series in a 490 field with a first indicator of 0 (zero)
• Series in a 400, 410, or 810 field
• Series on piece, but not in bib record

This document outlines the procedures for series verification for copy catalogers. It applies to all non-DLC cataloging. For more information about the specific fields in series authority records, see Series Authority Records.

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Verification for items with a series in a 440, 800, or 830 field

Series may be traced using either a 440 field or a 490/830 combination. The 440 field is used when the authorized form of the series matches the form of the series statement found on the piece. The 490 1_/830 combination is used when the series on the piece differs from the authorized form of the series. In some rare cases (generally with series that are collected works of literary authors, music composers, etc.) the authorized form of the series may be in an 800 field rather than a 830 field.

Authority validation for titles (series) and name/title should be turned on. This will validate each heading in a 440, 800, or 830 field in the bibliographic record. As each record with a series is saved to the database, check the validation for the series.

The validation message can be one of five messages:

• Heading validated
• Nonexistent heading
• See reference
• Partial heading validation
• Heading validated - cosmetic differences

1. Series validation says Heading validated

   1. Item is not a numbered series -- continue cataloging. Do no further series work.

   2. Item is from a numbered series:

      1. Click on "Retrieve authority" button to view the authority record.

      2. Check the series analysis practice in the 644 field.

         f - analyzed in full (each title in the series has an individual bib record)
         p - analyzed in part (some titles in the series have an individual bib record)
         n - not analyzed (no titles are cataloged individually)
         

         If the series practice is n (not analyzed), return the item to the Serials Copy Cataloger

      3. Check the series classification practice in the 646 field (catalog separately or analyze)*

         s - catalog separately
         c - collect and analyze

         NOTE: In some cases, Kansas State University (KKS) practice will differ from DLC practice. In this case, there will be more than one 646 field in the authority record. Follow the decision in the 646 field that has a |5 KKS at the end of the field.

         Example from an authority record that has two 646 fields:

         646 |a s |5 DLC
         646 |a c |5 KKS -- Follow this decision and treat as analyzed

      
      

      4. Items with numbered series usually have a series flyer in the piece (Catalog Separately or Analyze). If there is a series flyer in the piece, check to make sure the flyer matches the authority record. If there is a discrepancy, route the item (with initialed printout) to the Serials Copy Cataloger.
         
         If the series is collected and analyzed and there is no series flyer in the piece, route the item (with initialed printout) to the Serials Copy Cataloger.

      5. If the series is one that is collected and analyzed, compare the call number for the series in the authority record with the call number written in the book. (The call number for the series may be found in the 050, 050 with second indicator 4 and |5 KKS, or 090 field of the authority record.) If more than one call number field appears, pick the call number with |5 KKS. If the call number written in the book does not match the call number in the series authority record, route the item (with initialed printout) to the Serials Copy Cataloger.

      6. Verify the form of the series numbering, found in the 642 field of the series authority record. This should match the form of numbering in the |v of the 440, 800 or 830. Correct if necessary.

      7. If the piece should be cataloged separately and the bibliographic record has an analytic call number, route the piece to the problem copy shelves.

2. Series validation says Nonexistent heading

   1. Item is not a numbered series

      1. If the form of the series in the 440 or 490 1_/830 field matches exactly with the series as it appears on the piece, continue cataloging. Do no further series work. NOTE: Check carefully for typographical errors in the series statement; this could cause a series to not validate. If typographical errors are found, correct them and try validation again.

   2. Item is a numbered series

      1. Check the series statement carefully for typographical errors. Correct any that are found and try validation again.

      2. If the series validation still says Nonexistent heading, give the item and a printout (initialed) to the Serials Copy Cataloger. The Serials Copy Cataloger will set up the appropriate series authority record and return the item to the cataloger.

3. Series validation says See reference

   1. Click on "Retrieve auth" box.

   2. The authorized form of the series will appear in the 130 field of the series authority record.

   3. If the form of the series as it appears on the piece varies from the authorized form of the series, enter the series as it appears on the piece in a 490 field (with a first indicator of 1) and enter the authorized form of the series in an 830 field. Validate record again.

4. Series validation says Partial heading validation

   1. This generally occurs when there is a main series and a subseries. This usually means that there is an authority record for the main series, but not for the main series with the subseries.

      1. If the series is not a numbered series, check the form of the series in the 440 or 490/830 field. If the field matches exactly with the series as it appears on the piece, continue cataloging. Do no further series work. NOTE: Check carefully for typographical errors in the series statement; this could cause a series to not validate. If typographical errors are found, correct them and try validation again.

      2. If the series is a numbered series, check the series statement carefully for typographical errors. Correct any that are found and try validation again. Make sure the |v is present for numbered series; lack of a |v for a numbered series will cause a validation error. If the series validation still says Partial heading validation, give the item and a printout (initialed) to the Serials Copy Cataloger. The Serials Copy Cataloger will set up the appropriate series authority record and return the item to the cataloger.

5. Series validation says Heading validated - cosmetic differences

   1. This means that the form of the heading is correct, but it does not match the series authority record exactly. This may occur due to varying situations, including:

      1. The series statement in the record has an initial article (a, an, the, etc.) that does not appear in the series authority record. Check the filing indicator to make sure it is correct, and accept the series statement as it is on the record. Continue series verification routine for series that have Heading validated .

      2. The capitalization or punctuation of the series statement in the bib record does not match the series authority record. Correct the series statement to match the series form in the authority record. Continue series verification routine for series that have Heading validated.

      3. There is a problem with a subfield delimiter, especially for series which have subseries. Check all subfields and subfield delimiters against the series authority record; correct as necessary and try validation again. Continue series verification routine for series that have Heading validated .

   2. For other situations not listed above, consult the Copy Cataloging team leader or the Serials Copy Cataloger.

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Verification for items with untraced series in a 490 field with a first indicator of 0 (zero)

Authority validation does not validate series in a 490 field with a first indicator of 0. This must be done manually.

1. Search on Voyager for a series authority record using a Staff Title Headings search.

2. If authority record is found:

   1. Follow the tracing decisions found in the 645 field of the series authority record.

      t - traced as a series added entry
      n - not traced as a series added entry
      

   2. If the series is supposed to be traced, check the form of the series name in the 490 field.

   3. If the form of the series name matches the 130 field of the series authority record:

      1. Change the 490 field to a 440 field
      2. Change the first indicator of the 440 to a blank
      3. Change the second indicator as need for filing purposes

   4. If the form of the series found in the 490 field does NOT match the 130 field of the series authority record:

      1. Change the first indicator in the 490 field to a 1
      2. Add an 830 field to the bib record and add the authorized form of the series name to the field.

   5. If the series is NOT supposed to be traced, leave the series statement as is and continue cataloging.

3. If authority record is NOT found, continue cataloging the piece.Place printout of record (initialed) in the appropriate basket, so follow-up series work can be done at a later date.

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Verification for items with a series in a 400, 410, or 810 field

These fields are generally no longer used in current cataloging, but may be found on older cataloging records. Route all these items to the Copy Cataloging team leader.

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Series appears on the piece, but is not in the bib record

If a series statement appears on the piece, but has not been included in any field on the bib record:

1. Search for a series authority record in Voyager doing a Staff Title Headings search.

2. If an authority record is found:

   1. If the series on the piece matches the 130 field of the series authority record, input the series in a 440 field.

   2. If the series on the piece does not match the 130 field of the series authority record, input the series as it appears on the piece in a 490 field (with a first indicator of 1), and input the authorized form of the series name in a 830 field.

3. If an authority record is NOT found:

   1. If the series is not numbered, input the series as it appears on the piece in a 440 field. If it is unclear from the piece what the form of the series is, put the piece and a printout of the bib record (initialed) on the "Series check" shelf.

   2. If the series is numbered, put the piece and a printout of the bib record (initialed) on the "Series Check" shelf.

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*Definition of KSU series flyers:

Catalog Separately = Classified separately

Analyze = Classified together

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