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Guidelines for Negative Decision Records Created by MDU Unit

Scope:

Negative decision records created by MDU Unit original catalogers are intended only for titles which can be cataloged as a serial but which, for various reasons, are not cataloged as a serial at SUL. The majority of titles falling into this category will be ongoing conference proceedings. Negative decision records will be created for both non-Slavic and Slavic titles, and for both print and electronic serials.

What is not covered:

Titles that are not, by definition, a serial, even though they may "look" like one (census publications, unnumbered monographic series, titles published less frequently than every 5 years, large monographic terminal sets, conference proceedings for a conference held only once or held less frequently than every 5 years, etc.). Rationale for exclusion: These items are not serials, so "negative decision" process does not apply. They would never be cataloged as a serial under any circumstances.

Workflow:

1. Acquisitions/Serials Dept. prepares volume as usual to send to the serials catalogers in the MDU Unit: print-outs supporting request to catalog as a serial, any other relevant documentation, and piece in hand.
2. Serials cataloger examines documentation and piece, and takes into consideration the "environment" of the title when considering whether to catalog as a serial or not. "Environmental" factors are: amount of title changes, inconsistency of title, inconsistency of conference name, frequency of combined conferences, presence or absence of numbering, amount of recataloging, amount of maintenance work, knowledge of branch library's preference regarding handling of such titles, loss of unique information present in existing monographic records.
3. If the serials cataloger decides that the title should not be cataloged as a serial at this time, the serials cataloger will create a negative decision record. The piece will be returned to Acquisitions/Serials Dept. with a print-out of the negative decision record.

Record content:

Format = SERIAL
Library = SUL
Date Cataloged = NEVER
Call number/class scheme = AUTO
Home and Current location = SHADOW
Item Cat1 = CATEVAL
Fixed fields = accept default values
1XX Conference name/main entry (if applicable) as it appears on the piece
245 Title (only $a and, if applicable, $b)
246 Title variants, especially any that would aid searching (repeatable field)
7XX Conference name/corporate body variants as found on the piece(s)
940 Reason for negative decision. Give in standard format: "Not cataloged as a serial. Reason: <state reason, can be free text here>
      (For example, if the reason is because the title changes so frequently that creating serial records would not significantly reduce the number of bib records, the reason cited can be: "Many title changes.") If a selector or branch librarian was consulted in order to make the decision, include this information in this field. (e.g., "CRD consulted," "CRD okayed")
940 Handling notes for Acquisitons/Serials Dept. staff, if applicable
      (For example, if the title is not to be cataloged as a serial now, but the cataloger wants to see the next volume when it comes in to re-evaluate the decision.)
910 Cataloger's initials and date (in format: MDUUnit/yyyy/mm/dd/cataloger's initials)

Using existing records:

1. Make sure the Date Cataloged = NEVER.
2. Change Library, Class Scheme, ItemCat1, and Home Location to the appropriate values as given above.
3. Change Current Location to WITHDRAWN, so that the record will be deleted from Socrates I.
4. On the next working day, change the Current Location to SHADOW.
5. Fixed fields: Accept values as is.
6. Variable fields: Delete 001 if it contains an OCLC or RLIN ID number. Delete 0XX tags except the 022 (ISSN). Retain other variable fields. Add 246s for variant titles if necessary. The 246 is a repeatable tag.

Searching:

1. Limit search to Item Cat1 = CATEVAL
2. Do not do a Browse search. Negative decision records will not be found using a Browse search.
3. For conference proceedings, type the complete name of the conference as a General (Full Record) or Author (Per/Corp/Conf au) Search.

EXAMPLE (control, MDU, and vol/copy displays):

title control #:a4499985
no. of volumes:1
record format:SERIAL
created by:CAT-STAFF
date created:3/1/2001
date cataloged:NEVER
last modified by:CAT-STAFF
date modified:3/1/2001

Rec_Type:a    Bib_Lvl:s    Enc_Lvl:   Desc: TypeCtrl:
Entrd:000000    Dat_Tp:n    Date1:   Date2:   Ctry:
Lang:eng    Mod_Rec:    Source:u   Frequn:   Regulr:
ISDS:   Ser_Type:   Phys_Me:   Repr:   Pub_Type:
Cont:   GovtPub:   ConfPub:   Alphabt:   S/L:   Ent:

111 2 IEEE Intelligent Vehicles Symposium.|?UNAUTHORIZED
245 10 Proceedings of the IEEE Intelligent Vehicles Symposium.
246 13 Proceedings of the Intelligent Vehicles Symposium
246 30 IV
711 2 Intelligent Vehicles Symposium.
940 Not cataloged as a serial. Reason: Conf. name changed in 1996. We do not have yet 3 pieces in a row with same conf. name and same title. (3/2001)
940 Monograph records: a3423558, AQD2637, APK6723.
910 MDUUnit/2001/3/1/KRT

call number:XX(4499985.1)
class scheme:AUTO
library:SUL
shelving key:XX(4499985.000001)
barcode:4499985-1001    type:STKS
copy number:1    home location:SHADOW
price:$.00     Item Cat1: CATEVAL
Tax Rate:
permanent:Y current location:SHADOW
circulate:Y number of pieces:1
media desk:
total charges:0

EXAMPLE (Symphony labelled display):

Leader:as
Fixed field data:000000n eng u
Conference:IEEE Intelligent Vehicles Symposium.
Title:Proceedings of the IEEE Intelligent Vehicles Symposium.
Other title:Proceedings of the Intelligent Vehicles Symposium
Portion of title:IV
Conference:Intelligent Vehicles Symposium.
Acquisitions note:Not cataloged as a serial. Reason: Conf. name changed in 1996. We do not have yet 3 pieces in a row with same conf. name and same title. (3/2001)
Acquisitions note:Monograph records: a3423558, AQD2637, APK6723.

Last modified: November 17, 2008