NASIG 2012What’s Up With

Docs?!?

The Peculiarities of Cataloging Federal Government Serial Publications

A Presentation at the 2012 NASIG Conference by

Stephanie A. Braunstein, Louisiana State UniversityFang H. Gao, Government Printing Office

Joseph R. Nicholson, Louisiana State University

What’s Up With Docs?

I. Basic Overview of Cataloging of Gov Docs Serials from Access Point-of-View

Back to the Basics: Why Do We Catalog, Anyway?

Library School, Day One, the Holy Mantra:◦What’s it all about? Access to information!

Unpacking the Mantra: The Big Names—◦S. R. Ranganathan◦Melvil Dewey◦Adelaide R. Hasse

Who is this Hasse person?!?!?◦Ever heard of the SuDoc Classification System?◦That’s the 1895 brain child of Ms. Hasse◦Using originating agency as the basis for her system,

she organized and classified nearly 300,000 documents in 6 weeks!

Frustration—but Determination

“You know those GovDoc serials that were only published once or twice, or maybe for one year back in the 70s? I'm trying to do a serials/periodicals inventory for GovDocs, and those 1-off titles are getting on my nerves. Is it possible to determine which are still officially being published, or do those stay open-ended forever? Is there a library that updates those MARC 008/06 fields; should I be poking around in OCLC? Or am I SOL?”

Quoted, with permission, from a recent post to GOVDOC-L, the listserv for federal depository librarians and other librarians working with government documents.

Basic Legal Requirements for FDLs as Found in Current FDL

Handbook

Make government publications available for free use by the general public

Properly maintain government publications and make them accessible to the public

Slightly More Detailed Info on Cataloging “Requirements”—Emphasis

on Access

Cataloging greatly enhances accessibility and patron usage and is strongly recommended for the depository collection, including online publications. Your depository may wish to include its depository holdings in OCLC to enhance access and facilitate resource sharing.

Arrangement of depository materials should conform with professionally accepted library standards and this Handbook. The arrangement should facilitate the practical use of the depository collection.

There are many advantages to using the SuDocs classification system. Librarians have found the SuDocs class numbers to be a practical and economical method for organizing Federal Government documents, and most depositories arrange the majority of their documents holdings in SuDocs classification number order. However, Federal Government publications can easily be made an integral part of library collections under any other arrangement.

Publications may be arranged according to the SuDoc classification system, other classification systems, or a combination of systems. Arrangement of depository material in your parent library should facilitate the practical use of the collection. However, the catalog record should also include the SuDoc number when your library uses a different classification system.

GPO is recognized as the national authority for cataloging of U.S. Government publications and creates cataloging records for government publications in all formats. These cataloging records are then made available for use by the public and libraries through the Catalog of U.S. Government Publications (CGP). More information about GPO cataloging rules and procedures is available in the GPO Cataloging Guidelines and through the Cataloging Web page.

What’s Up With Docs?

II. Basic Overview of Government Printing Office’s Mandates & Responsibilities

Mission of GPO: “Keeping America Informed”

◦Expert publishing and printing services for all three branches of the Federal Government

◦Perpetual, free and ready public access to printed and electronic Federal Government information in partnership with over 1,200 Federal Depository Libraries since 1813

◦Mandated by: 44 USC 1710-1711, 1901-1916

Not Your Traditional Library!

National-level program with no library collection!

◦ Our collection is the materials in the 1200+ depository libraries

Technical services work for all libraries, acquisitions, classification, cataloging

Tools and services for FDL’s and the public

De Facto national cataloging authority for U.S. Government Documents

◦ Title 44 requirement for the Cataloging and Indexing Program Historic Monthly Catalog

and the online catalog, “CGP”

Participate in national forums and initiatives related to our mission

◦ Cataloging policy

◦ Digitization standards,

metadata policy, etc.

Programs and Mandates

Library Services & Content Management (LSCM) under GPO is responsible for the current and future access to published U.S. Government information and partially operates under an appropriation providing funds for 4 major programs.◦ Federal Depository Library Program◦ Cataloging & Indexing Program◦ International Exchange Service Program◦ By-Law Program

Participant in Program for Cooperative Cataloging (PCC) – BIBCO, CONSER, NACO, & SACO

Current Situation

At this time, approximately 97% of all new U.S. Government documents are made available digitally, published to the Web

Metrics:◦ Number of serials in CGP (live and ceased): 46,999 (as of

11:00 a.m. May 17, 2012)◦ Number of live serials: 32,494 (as of 11:00 a.m. May 17,

2012)◦ Number of online serials: 15,726◦ Number of tangible serials: 31,273 (Print and other

tangible formats such as microform, CD-ROM, DVD )

Dynamic Nature of Government Serials

Government serials in different formats: online, print, microfiche, CD-rom, DVD-rom

Different types of resources demonstrating seriality: blogs, mobile apps, video

Tendency to change frequency, titles, responsible issuing agencies, etc, with great frequency

Dynamic Nature of Government Serials

What’s Up With Docs?

III. Louisiana State University’s (LSU)Local Processing/Concerns

Government Documents Technical Services at LSU Libraries

Three Full-Time Staff

• One staff member focuses mainly on cataloging recon

• Another staff member processes incoming shipments of paper, microfiche, and CD-ROM documents

• Senior staff member in department handles batch loads of records from GPO via MARCIVE

LSU Libraries: Local GPO Serials Processing

MARCIVE Enhanced GPO Database Service

• Provides monthly files of GPO records using our GPO profile—some new, some revised or changed

• Makes small adjustments to bibliographic records prior to batch loading

Following MARCIVE batch load, reports are run on new records in local database to catch possible problems

• Minimal editing of bib records that arrive through • MARCIVE load. Most technical processing work involves holdings, check-in, etc.

LSU Libraries – Local Issues and Concerns

Separate record cataloging approach◦ Consequences for access and local processing◦ Retrospective cataloging using separate record approach◦ Continued use of single record approach for some serials

“Undead serials” – GPO serials’ disinclination to die

Recataloging of monographs as serials

Inconsistent analysis of monographic series; check-in problems

Preparing for RDA

SEPARATE RECORD CATALOGING POLICY

• In the past (1995-2008), GPO used single record approach for cataloging serials

• Adoption of SRCP in late 2008 = separate records for print, microform, and electronic manifestations

Electronic

Print/fiche

Title change

Title change

Consequences for Local Access: Complex Search Results, Patron Confusion

Separate Record Approach: Local Coping Strategies at LSU

Single Record Cataloging Approach• Choose single record for all manifestations

(generally print); attach holdings to it• Can request MARCIVE not to send GPO records

for other manifestations – OR delete records for other manifestations

• AT LSU, single record approach used for heavily used serials

Single Record Cataloging Approach: Public View

Separate Record Approach: Other Issues

• GPO recataloging older serials using separate record approach

• GPO still seems to use single record approach for certain serials

= MIXED PRACTICES

Retrospective Cataloging of Older Serials Using Separate Record

Approach: Local Issues

Requires us to:• Delete old record• Reattach holdings to new record

Rationale for recataloging not always clear

In our catalog: Single record covering print and

microfiche;Instead of 533 note for microfiche

reproduction, 530 note:

New separate record(s) arrive

Undead Serials: Local Issues

GPO serials often remain “open” years after last issue received; no clear end

Local Practice: Changing “AcqStat” Value to “5” in Holdings Record; Adding Notes to

Holdings Records, 856

Often notes will indicate that serial is no longer distributed in a physical form, but serial record still remains open

Monographs Recataloged as Serials: Local Issues

Issue: GPO Suddenly Recatalogs Group of Monographs as a Serial

For local depositories, requires:

• Tracking down & deleting monograph records• Creating new holdings record/transferring items• Setting up serial control for new serial record

If monograph record(s) in local database not found and deleted, result is duplicate records in database

Monographs Recataloged as Serials: Local Issues

Example:

• Serial record: OCLC # 276932163 (created 12/2008); date range 2004- • Serial record for previous title: OCLC # 276932155 (also created

12/2008); date range 1996-2003

Also:• Monograph records for 2005 (created in 2005) and 2004 (created in

2004)

Semiannual serial; part of Statistical Brief series

~ Serial and monograph records exist ~

Serial & Monograph Records for Same Resources in Catalog

Serial

Monograph

Result: multiple records for same resource; confusing displays

Our Coping Strategy: Local SIRSI Reports

Procedure: We run Symphony reports for new serial records to check for

situations that may require additional attention

e.g., monographs recataloged as serials,

title changes, etc.

LSU Libraries: Local Issues and Concerns: Miscellaneous

• GPO is not always consistent about analyzing monographicseries. Sometimes they do, sometimes they don’t

• Changes in agencies responsible for serials result in stemchanges, requiring shifting and changes to holdings/check-in records

• Irregularity with which GPO serials are issued makes creating receiving patterns for check-in difficult

LSU Libraries: Local Issues and Concerns: RDA Preparation

At LSU:• Local documentation/training in preparation, largely based

on LC Core + elements and LCPS• New tags added to ILS in both authority and bibliographic

formats

Concerns:• Will GPO’s RDA practices (element set, capitalization options, etc.) differ significantly from those of LC and other major libraries?• What other changes can we expect in bibliographic records

from GPO?

LSU Libraries: Coping Strategies & Technical Services Philosophy

Serial records in catalog increasingly reflect a range of practices, as records for other types of resources do; hence perfectly consistent GPO serials management approach impossible for us

Balanced yet flexible cataloging/technical processing philosophy we strive for coherence but accept a certain level of cognitive dissonance

Needs of patrons dictate choices about single vs. composite records & record displays

What’s Up With Docs?

IV. GPO Policies and Procedures Specific to Serials

Government Serials: Single vs. Separate Record Approach

Separate Record Cataloging Policy (implemented Oct. 2008) can be found at http://fdlp.gov./cataloging/121-separaterecordcataloging

Meeting the requirements of FDsys (GPO’s Federal Digital System)

GPO’s adoption of the Integrated Library System

FRBR friendly

Government Serials: Main Entry Changes

Other Changes for Government Serials: Frequency Change, Format Change

Changes are announced in WEBTech Notes: ◦ New SuDocs and item nos. for agency, bureau, publications ◦ Ceased classes and item numbers◦ Frequency and title changes ◦ Format changes

Any change requests for WTNs can be submitted through askGPO

WEBTech Notes Records

Serials vs. Monographs: Cataloging

Difficulty in properly identifying Federal government serials

Lack of ISSNsStaff turnover in Federal agenciesBudget constraints

Manual of Patent Examining Procedure: recataloged from monographs to a serial

Cataloging Older Serials

Title 44: responsibilities to create and maintain records for U.S. Federal publications from all three branches of Government in all formats via Cataloging and Indexing (C & I) Program

Historic Shelflist: GPO’s historic card catalog covering U.S. Government documents from the 1870s to October 1992; resulting in a comprehensive catalog of U.S. government publications

Future Opportunities and Challenges

Reality: catalog contains records cataloged according to multiple cataloging codes

Getting Ready for RDA: training

Bibliographic Records: e.g., 336, 337, 338 fields to replace GMD264 field for Production, Publication, Distribution, Manufacture, and

Copyright Notice (R)Authority Records: 37X fields: e.g., 370 - Associated Place (R)

Sample RDA records in CGP: OCLC # 728302331; OCLC # 728234001

Establish our own policies based on PCC recommendations: e.g., GPO finalized a local practice option for capitalization of title information in the 245 MARC field

askGPO at http://www.gpo.gov/askgpo/

The technology tool used by GPO to respond to questions about GPO products, services, and programs

askGPO is the main point of contact between GPO, its depository library partners, its customers, and the public

-------------------Acknowledgement: I would like to give special thanks to

Laurie Hall, Jennifer Davis, Marty Bokow, Liselle Drake, and An Liu for their valuable input.