NASIG  2012What’s Up With Docs?!? The Peculiarities of Cataloging Federal Government                  Serial Publications...
What’s Up With Docs?I. Basic Overview of Cataloging of Gov Docs     Serials from Access Point-of-View
   Library School, Day One, the Holy Mantra:    ◦ What’s it all about? Access to information!   Unpacking the Mantra: Th...
“You know those GovDoc serials that were onlypublished once or twice, or maybe for one year backin the 70s? Im trying to d...
 Make   government publications  available for free use by the general  public Properly maintain government  publication...
   Cataloging greatly enhances accessibility and patron usage and is strongly    recommended for the depository collectio...
What’s Up With Docs? II. Basic Overview of Government Printing     Office’s Mandates & Responsibilities
◦ Expert publishing and printing services for all  three branches of the Federal Government◦ Perpetual, free and ready pub...
   National-level program            De Facto national cataloging    with no library collection!        authority for U....
   Library Services & Content Management    (LSCM) under GPO is responsible for the    current and future access to publi...
   At this time, approximately 97% of all new    U.S. Government documents are made    available digitally, published to ...
   Government serials    in different formats:    online, print, microfi    che, CD-rom, DVD-    rom   Different types o...
Dynamic Nature of Government           Serials
What’s Up With Docs? III. Louisiana State University’s (LSU)Local             Processing/Concerns
Three Full-Time Staff•   One staff member focuses    mainly on cataloging recon•   Another staff member processes incoming...
MARCIVE Enhanced GPO Database Service•   Provides monthly files of GPO records using our GPO    profile—some new, some rev...
   Separate record cataloging approach    ◦ Consequences for access and local processing    ◦ Retrospective cataloging us...
SEPARATE RECORD CATALOGING                POLICY•   In the past (1995-2008), GPO used single record    approach for catalo...
Electronic                   Title change                                                      Print/fiche                ...
Single Record Cataloging Approach•   Choose single record for all manifestations    (generally print); attach holdings to ...
Single Record Cataloging Approach: Public                  View
•   GPO recataloging older serials using    separate record approach•   GPO still seems to use single record    approach f...
In our catalog: Single record covering print and            microfiche;                                      New separateI...
GPO serials often remain ―open‖ yearsafter last issue received; no clear endUndead Serials: Local Issues
Often notes will indicate that serial is nolonger distributed in a physical form, butserial record still remains openLocal...
Issue: GPO Suddenly    Recatalogs Group of    Monographs as a SerialFor local depositories, requires:•   Tracking down & d...
Example:                               Semiannual serial; part of                                         Statistical Brie...
Serial                                      Monograph                        Result: multiple records                     ...
Procedure: We run Symphony reports              for new serial records to check for              situations that may requi...
• GPO is not always consistent about analyzing monographicseries. Sometimes they do, sometimes they don’t• Changes in agen...
At LSU:• Local documentation/training in preparation, largely based  on LC Core + elements and LCPS• New tags added to ILS...
   Serial records in catalog increasingly reflect a range of    practices, as records for other types of resources do; he...
What’s Up With Docs? IV. GPO Policies and Procedures Specific to                   Serials
Separate Record Cataloging Policy (implemented Oct. 2008) can be found at http://fdlp.gov./cataloging/121- separaterecordc...
Government Serials: Main Entry         Changes
Changes are announced in WEBTech Notes:  ◦   New SuDocs and item nos. for agency, bureau, publications  ◦   Ceased classes...
WEBTech Notes Records
 Difficulty in properly identifying Federal  government serials Lack of ISSNs Staff turnover in Federal agencies Budge...
Manual of Patent Examining Procedure:recataloged from monographs to a serial
Title 44: responsibilities to create andmaintain records for U.S. Federal publicationsfrom all three branches of Governmen...
   Reality: catalog contains records cataloged    according to multiple cataloging codes   Getting Ready for RDA:    tr...
   The technology tool used by GPO to respond to    questions about GPO products, services, and    programs   askGPO is ...
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What's Up with Docs?!?: The Peculiarities of Cataloging Federal Government Serial Publications

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As capricious and prone to unpredictable changes as serials in general library collections, government documents serials possess special features that make them particularly difficult to catalog and manage, from government documents-specific MARC fields and coding to SuDoc numbers and distinctive enumeration that can complicate holdings statements. Electronic government documents serials present another set of complex cataloging challenges involving GPO's use of the single-record approach in serial records. Ensuring that cataloging records reflect the unique characteristics of government documents serials and yet "play well" with other serial records in the library ILS can be tricky, particularly if the cataloging of government documents serials is performed by staff outside the department. Each of the three presenters brings a specific perspective on these peculiarities: Fang Gao describes the cataloging of government document serials from the perspective of a cataloger working at the Government Printing Office's Library Technical Information Services Department--providing a voice from the source. Joseph Nicholson offers the point of view of the local cataloger who must make government documents' records conform to the guidelines of the individual library's online catalog. Stephanie Braunstein will moderate and share her frustrations, mostly having to do with providing logical and uncomplicated access to government information, as a Government Documents Department Head in a Regional Federal Depository Library that also happens to be a library in a major research library.

Stephanie Braunstein and Joseph R. Nicholson, Louisiana State University; Fang Huang Gao, Government Printing Office

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  • POSSIBLE SOLUTION: ADD NOTES TO HOLDINGS RECORD THAT SAY NO LONGER RECEIVED IN PRINT?
  • =
  • What's Up with Docs?!?: The Peculiarities of Cataloging Federal Government Serial Publications

    1. 1. 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 University Fang H. Gao, Government Printing Office Joseph R. Nicholson, Louisiana State University
    2. 2. What’s Up With Docs?I. Basic Overview of Cataloging of Gov Docs Serials from Access Point-of-View
    3. 3.  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! Back to the Basics: Why Do We Catalog, Anyway?
    4. 4. “You know those GovDoc serials that were onlypublished once or twice, or maybe for one year backin the 70s? Im trying to do a serials/periodicalsinventory for GovDocs, and those 1-off titles aregetting on my nerves. Is it possible to determinewhich are still officially being published, or do thosestay open-ended forever? Is there a library thatupdates those MARC 008/06 fields; should I be pokingaround 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. Frustration—but Determination
    5. 5.  Make government publications available for free use by the general public Properly maintain government publications and make them accessible to the publicBasic Legal Requirements forFDLs as Found in Current FDL Handbook
    6. 6.  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. Slightly More Detailed Info onCataloging ―Requirements‖—Emphasis on Access
    7. 7. What’s Up With Docs? II. Basic Overview of Government Printing Office’s Mandates & Responsibilities
    8. 8. ◦ 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, 1901-1916Mission of GPO: ―Keeping America Informed‖
    9. 9.  National-level program  De Facto national cataloging with no library collection! authority for U.S. Government Documents ◦ Our collection is the ◦ Title 44 requirement for the materials in the 1200+ Cataloging and Indexing depository libraries Program  Historic Monthly Catalog Technical services work and the online for all catalog, ―CGP‖ libraries, acquisitions, cla  Participate in national forums ssification, cataloging and initiatives related to our mission ◦ Cataloging policy Tools and services for ◦ Digitization FDL’s and the public standards, metadata policy, etc. Not Your Traditional Library!
    10. 10.  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 Programs and Mandates
    11. 11.  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 ) Current Situation
    12. 12.  Government serials in different formats: online, print, microfi che, CD-rom, DVD- rom Different types of  Tendency to resources change demonstrating frequency, titles, re seriality: sponsible issuing blogs, mobile agencies, etc, with apps, video great frequency Dynamic Nature of Government Serials
    13. 13. Dynamic Nature of Government Serials
    14. 14. What’s Up With Docs? III. Louisiana State University’s (LSU)Local Processing/Concerns
    15. 15. 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 MARCIVEGovernment Documents Technical Services at LSU Libraries
    16. 16. 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 loadingFollowing MARCIVE batch load, reports are run on newrecords 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 GPO Serials Processing
    17. 17.  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 LSU Libraries – Local Issues and Concerns
    18. 18. 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
    19. 19. Electronic Title change Print/fiche Title changeConsequences for Local Access: Complex Search Results, Patron Confusion
    20. 20. 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 Separate Record Approach: Local Coping Strategies at LSU
    21. 21. Single Record Cataloging Approach: Public View
    22. 22. • GPO recataloging older serials using separate record approach• GPO still seems to use single record approach for certain serials= MIXED PRACTICES Separate Record Approach: Other Issues
    23. 23. In our catalog: Single record covering print and microfiche; New separateInstead of 533 note for microfiche record(s) arrive reproduction, 530 note:Requires us to:• Delete old record• Reattach holdings to new recordRationale for recataloging not always clear Retrospective Cataloging of Older Serials Using Separate Record Approach: Local Issues
    24. 24. GPO serials often remain ―open‖ yearsafter last issue received; no clear endUndead Serials: Local Issues
    25. 25. Often notes will indicate that serial is nolonger distributed in a physical form, butserial record still remains openLocal Practice: Changing ―AcqStat‖ Value to ―5‖ in Holdings Record; Adding Notes to Holdings Records, 856
    26. 26. Issue: GPO Suddenly Recatalogs Group of Monographs as a SerialFor local depositories, requires:• Tracking down & deleting monograph records• Creating new holdings record/transferring items• Setting up serial control for new serial recordIf monograph record(s) in local database not found anddeleted, result is duplicate records in database Monographs Recataloged as Serials: Local Issues
    27. 27. Example: Semiannual serial; part of Statistical Brief series ~ Serial and monograph records exist ~• Serial record: OCLC # 276932163 (created 12/2008); date range 2004-• Serial record for previous title: OCLC # 276932155 (also created 12/2008); date range 1996-2003Also:• Monograph records for 2005 (created in 2005) and 2004 (created in 2004) Monographs Recataloged as Serials: Local Issues
    28. 28. Serial Monograph Result: multiple records for same resource; confusing displaysSerial & Monograph Records for Same Resources in Catalog
    29. 29. 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.Our Coping Strategy: Local SIRSI Reports
    30. 30. • 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-inrecords• Irregularity with which GPO serialsare issued makes creating receivingpatterns for check-in difficult LSU Libraries: Local Issues and Concerns: Miscellaneous
    31. 31. 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 formatsConcerns:• 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: Local Issues and Concerns: RDA Preparation
    32. 32.  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 displaysLSU Libraries: Coping Strategies & Technical Services Philosophy
    33. 33. What’s Up With Docs? IV. GPO Policies and Procedures Specific to Serials
    34. 34. 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: Single vs. Separate Record Approach
    35. 35. Government Serials: Main Entry Changes
    36. 36. 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 changesAny change requests for WTNs can be submitted through askGPO Other Changes for Government Serials: Frequency Change, Format Change
    37. 37. WEBTech Notes Records
    38. 38.  Difficulty in properly identifying Federal government serials Lack of ISSNs Staff turnover in Federal agencies Budget constraints Serials vs. Monographs: Cataloging
    39. 39. Manual of Patent Examining Procedure:recataloged from monographs to a serial
    40. 40. Title 44: responsibilities to create andmaintain records for U.S. Federal publicationsfrom all three branches of Government in allformats via Cataloging and Indexing (C & I)ProgramHistoric Shelflist: GPO’s historic card catalogcovering U.S. Government documents fromthe 1870s to October 1992; resulting in acomprehensive catalog of U.S. governmentpublications Cataloging Older Serials
    41. 41.  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 GMD 264 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 Future Opportunities and Challenges
    42. 42.  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. askGPO at http://www.gpo.gov/askgpo/

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