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LC-PCC
Policy Statements for Chapter 0: Introduction
LC-PCC PS for 0.0
PURPOSE AND SCOPE
This Policy Statement, covering several areas of pre-cataloging decisions, represents LC practice/PCC practice except where a statement is noted only as LC practice.
Determining Mode of Issuance
Mode of Issuance: Integrating Resource?
LC practice/PCC practice: In case of doubt about mode of issuance, apply the following guidelines:
1.
If the decision has been narrowed down to “serial vs. integrating resource” and the resource has wording that refers to “edition,” determine if that wording represents a numeric designation or an edition statement. If it is a numeric designation, catalog the resource as a serial; if it is an edition statement, catalog it as an integrating resource.
2.
If the decision has been narrowed down to “monograph vs. integrating resource,” catalog the resource as an integrating resource if there is a likelihood the resource will be updated (i.e., assume the updates will not be discrete); catalog as a monograph if there is no indication that the resource will ever be updated.
Mode of Issuance: Monograph vs. Serial
LC practice/PCC practice: If the resource to be cataloged and/or other bibliographic records in the database indicate that the resource has been or will be published in more than one part that will remain discrete or be published more than once, consider the combination of characteristics below in deciding whether to catalog the resource as a single-part/multipart monograph or as a serial. Note the application of RDA serial instructions for publications of limited-duration activities stated in RDA 1.1.3.
1.
Frequency of publication
a)
If the resource has a stated frequency of publication (in the title proper, in the preface, etc.), catalog as a serial.
b)
If the resource is published in new editions, catalog as a serial if the frequency of the editions is one to two years; give greater consideration to continuing to catalog as monographs if the editions are published three or more years apart.
2.
Presence and type of numbering. Although the presence of numbering is no longer part of the definition of a serial, most serials except for unnumbered monographic series will have numeric, alphabetic, and/or chronological designations.
a)
If the resource has a numeric/alphabetic (e.g., volume 1; tome 3; Heft A) or chronological designation (e.g., 2001; June 2002; 2002-1) in the title proper or elsewhere in the resource and it is likely that the resource doesn't have a predetermined conclusion, catalog as a serial.
b)
If the resource has acquired a numeric, alphabetic, or chronological designation after the first issue, recatalog as a serial.
c)
If the resource is published in frequent editions, it must have a designation (e.g., date, numeric edition statement) that could be used as numbering in order to be cataloged as a serial.
3.
Likelihood of no predetermined conclusion. If the resource indicates that there is no predetermined conclusion, catalog as a serial. If the resource doesn't have such information, assume that a resource that has either of the following characteristics is a serial if it also meets the criteria given above for frequency and numbering.
a)
The title proper implies continuing publication. If the title proper includes words that imply continuing publication (e.g., “Advances in …;” “Developments in …;” “Progress in …” ), catalog as a serial. If the issues also have analyzable titles, analyze the issues.
b)
A subscription can be placed for the resource.
Situations Requiring Further Consideration
A. LC practice/PCC practice: Electronic resources. If the resource was/is published in print, make the decision to catalog the electronic resource as a serial, integrating resource, or monograph based on the electronic resource itself, not on how it was issued in print. Information about the planned type of issuance may be given in the resource’s “read me” files, etc.
1.
Catalog as a serial:
a)
Remote access resource: a resource having material added as discrete, usually numbered issues (an “issue” can consist of a single article). The resource might contain a listing of back volumes, back issues, images of journal covers for sequential issues; only current issue may be available as a separate issue.
b)
Direct access resource: a resource whose carrier is issued successively (this situation is analogous to a print serial whose latest volume supersedes any earlier volumes). Note that such resources can be mounted on networks such that the successive issuance of the carrier is not observable to the cataloger or end user; when contributing cataloging in a shared environment (e.g., bibliographic utility), the record should reflect the carrier and mode of issuance as published.
2.
Catalog as an integrating resource:
a)
Remote access resource: a resource having material added, changed, or deleted via updates that do not remain discrete (e.g., might contain articles from more than one journal).
b)
Direct access resource: no direct access resource can be issued as an integrating resource (assumption that would be changed if proven incorrect).
3.
Catalog as a monograph: Remote or direct access resource: a resource complete in one part or intended to be complete in a finite number of parts, including those resources that are corrected via “errata” information.
B. LC practice/PCC practice: Resources issued in loose-leaf format. When deciding to catalog a bibliographic resource issued in loose-leaf format as a serial, an integrating resource, or a monograph, make the decision based on the mode of issuance of the primary component. If there is a stated frequency, determine if the frequency applies to the primary component or to any updates.
1.
Catalog as a serial:
a)
Resource otherwise meeting definition of serial whose issues remain discrete even though they are to be stored in a binder (as successive sections in the binder or subdivided/filed into separate sections in the binder).
b)
Resource whose binders are issued successively even though the contents filed into each binder may be updated in integrating fashion until the next binder is issued.
2.
Catalog as an integrating resource: Resource consisting of a binder or binders in which pages are added, removed, or replaced until the next edition of the resource is published or until complete.
3.
Catalog as a monograph: Resource complete as issued or intended to be complete in a finite number of parts.
C. LC practice: Conference publications. Conference publications typically consist of the minutes, proceedings, etc., of a regularly-held meeting of one or more corporate bodies or are publications that contain the proceedings, etc., of ongoing topical conferences, symposia, or colloquia.
1.
Catalog as serials ongoing conference publications that are being cataloged for the first time, unless they are covered by the exclusions listed in the next paragraph. Consider a conference publication to be “ongoing” if words such as “first” or “annual” appear in conjunction with the name of the conference or the title of the publication or if multiple successive issues show that the publication is continuing in nature.
2.
Catalog as monographs those conference publications that are not ongoing or that:
a)
have a title unique to each issue appearing on the preferred source of information (such unique titles are usually dedicated to a particular topic and vary from issue to issue and conference to conference; use judgment when determining if thematic or slogan-like phrases constitute unique titles and, therefore, warrant monographic treatment) and/or
b)
are issued as part of a numbered monographic series.
Once the decision to catalog as a monograph or as a serial is determined (based on the first or earliest issue of a conference publication), prefer to retain that decision. When there is a change in the authorized access point for a conference publication cataloged as a serial, consider the publication to be “new” and decide whether to catalog it as a monograph or as a serial according to the above criteria.
When CONSER serial records exist for conferences represented by LC monograph records, LC serial catalogers will give “xlc” in the MARC 042 field and will not de-authenticate the records.
D. LC practice/PCC practice: Supplements. If the supplement can be used independently from the main resource, create a separate bibliographic record for it based on its type of issuance. For other situations, give a note about the material on the record for the main resource.
 
 
 
EXAMPLE
 
525 ##$a Kept up-to-date by supplements.
 
 
 
Do not catalog a dependent supplement as a serial just because it has a stated frequency (e.g., an annual supplement to a monograph).
E. LC practice/PCC practice: Republications
1.
Republication of a serial: Generally, catalog a republication of a serial as a serial. However, catalog the following as a monograph:
a)
a republication of a single issue or a limited number of issues.
b)
a collection of bibliographically unrelated serials or articles.
2.
Republication of a monograph: Catalog as a monograph.
3.
Republication of an integrating resource: Catalog as a monograph or as an integrating resource based on the type of issuance of the republication.
F. LC practice: Printed travel guides. When deciding whether to catalog a printed travel guide as a serial or as a monograph and there is no information about the likelihood that it will be continued indefinitely, apply the following guidelines:
1.
Generally, catalog a travel guide as a serial if it is general in scope because such guides usually are continued indefinitely. “General in scope” means the guide contains a variety of current information, e.g., about where to go, where to stay, and what to do. Apply this policy to state, region, or country guides for the United States, to region or country guides for other countries, and to guides for major cities. If a numeric or chronological designation is not available, supply a chronological designation based on the publishing or copyright date.
2.
In case of doubt, catalog as a monograph.
G. LC practice: Certain other printed resources. After determining that the printed bibliographic resource is published in successive parts, and there is no information that the resource will be complete in a finite number of parts, and it isn't one of the resources noted in A–F above, generally follow the decision to catalog as a monograph or as a serial for the specific categories in the two lists below. If the printed resource isn’t represented by one of the categories below, catalog as a serial.
1.
Catalog as monographs:
books “issued in parts” (fascicles)
cartographic materials
censuses
encyclopedias
hearings
publications of five-year plans
2.
Catalog as serials:
alumni directories
college catalogs
court reports
sales/auction catalogs
session laws
Change in Cataloging Decision: Monograph/Serial
LC practice/PCC practice: If there are one or more monograph bibliographic records in the catalog for editions of a resource and another edition is received, determine if the resource should be cataloged as a serial to save the time of continuing to prepare separate monograph records. If the resource is a conference publication, see paragraph C. in the section “Situations Requiring Further Consideration” above. Otherwise, consider the following aspects when making the decision to recatalog as a serial:
1.
the resource should have a designation (e.g., date, numeric edition statement) that could be used as numbering;
2.
the frequency of the editions is one to two years (give greater consideration to continuing to catalog as monographs if the editions are published three or more years apart).
LC practice: LC no longer routinely cancels completed records for monographs. Notes are added to the serial and monograph records to assist users and staff to locate all holdings for the resource in the library. The serial bibliographic record describes the entire serial.
 
 
 
EXAMPLE
Note added to monograph record
500 ##$a Issues for 1996- cataloged as a serial in LC. $5 DLC
Note added to serial record
500 ##$a Earlier issues, 1993-1995, cataloged as monographs in LC. $5 DLC
Note added to monograph record
500 ##$a Editions for 1-2, 4, 6, 8- cataloged as a serial in LC. $5 DLC
Note added to serial record
500 ##$a Editions for 3, 5, 7, cataloged as monographs in LC. $5 DLC
 
 
 
Determining Number of Records
Edition or Copy of Book
LC practice/PCC practice: When a book is received, the question can arise as to whether it is a copy of an earlier edition or it is a separate edition needing its own bibliographic record.
Consider that a new edition is involved whenever
1.
there is an explicit indication of changes (including corrections) of content; or,
2.
anything in the MARC 245 field, 250 field, 300 subfield $a, or 4XX field differs from one bibliographic record to another. (For an exception relating to CIP items, see below.)
When the difference relates to a publication, distribution, etc., statement or to ISBNs, consider that the book is a copy if the only variation is one or more of the following:
1.
a difference in the printing or copyright date when there is also a publication date;
2.
a minor variation in an entity’s name when a publisher uses multiple forms concurrently (e.g., “Duckworth” and “G. Duckworth” and “St. Martin’s” and “St. Martin’s Press” have been used at the same time by these publishers). A genuine name change, even if minor, should not be considered a variation;
3.
the addition, deletion, or change of an ISBN;
4.
a difference in binding; or,
5.
a difference in the edition statement or the series whenever the item is a CIP book issued by the publisher in both a hardbound and a softbound version.
Supplementary Materials
LC practice: Create separate records for a main work and a supplementary work if the supplementary work is not issued at the same time as the main work, or if it shows important differences in titles or statements of responsibility from those appearing in the main work.
Also, catalog separately all supplements, etc., to serials except for:
1.
Indexes, and
2.
Supplements, etc., that have titles that are more like descriptions than true titles, or because the supplement, etc., is usable only in conjunction with the main work.
Relate separately cataloged supplements, etc., to the main work following the guidelines in Chapter 25 (Related works).
Serial Supplements to Other Serials
LC practice/PCC practice: Create a separate bibliographic record for a serial supplement to another serial if the supplement does not update that related serial and carries its own designation system that is distinct and independent from that used by the related serial. Give a MARC 772 field for the related serial. In addition, provide an authorized access point for the related serial unless the supplement has a common title that is identical to the title proper of the related serial. On the bibliographic record for the related serial, give a MARC 770 field for the supplement.
Other serial supplements should be noted on the bibliographic records for the related serials. Provide access points for the supplement whenever the titles are distinctive.
Indexes to Serials
LC practice/PCC practice: Generally indicate the presence of an index to a serial on the bibliographic record for the serial being indexed. If, however, the index is published separately and is not issued by the entity responsible for the serial being indexed, create a separate bibliographic record (monograph or serial as appropriate) for the index. Create a separate bibliographic record also whenever the index covers two or more different serials. (A serial represented by one or more descriptions (see RDA 1.6.2) is regarded as one serial.)
Serial Cumulations
LC practice/PCC practice: Some serial cumulations are created by rearranging, correcting, and perhaps expanding the individual issues for a certain period; the cumulation may or may not have the same title as the individual issues. The contents of the individual issues and the cumulation are basically the same. Do not confuse these cumulations with other serials that are publications with different frequencies and entirely different contents although the titles may be the same, e.g., an annual publication that gives the total figures for the year but does not include the monthly figures that appeared in the individual monthly issues. Separate records are generally made for these latter publications unless the numbering system ties them together.
Follow the guidelines below when determining if separate records should be made for cumulations.
1.
Make separate records if
a)
the individual and the cumulation have the same title but have different numbering systems, e.g., the individual issues have numeric designations but the cumulation has only a chronological designation.
 
 
 
EXAMPLE
 
245 00$a Law book guide.
362 0#$a Vol. 1, no. 1 (Jan. 1973)–
Monthly except July and August
 
245 00$a Law book guide.
362 0#$a 1973–
Annual
 
 
 
b)
the individual issues and the cumulation have different titles and separate numbering systems.
 
 
 
EXAMPLE
 
245 00$a Index medicus.
362 1#$a Began with new series, volume 1, number 1 (January 1960).
Monthly
 
245 00$a Cumulated Index medicus.
362 1#$a Began with volume 1 (1960).
Annual
 
 
 
2.
Generally do not make separate records if
a)
the individual issues and the cumulation have a continuous numbering system; the cumulation may or may not have a different title. Include an access point if the cumulation has a different title.
 
 
 
EXAMPLE
 
245 00$a International nursing index.
362 1#$a Began with Vol. 1, no. 1 (Jan. 1966).
Quarterly; the first three issues called v. 1, no. 1–3; the fourth issue, an annual cumulation, called v. 1, no. 4
 
245 00$a Quarterly economic review / $c European Bank for Reconstruction and Development.
246 1#$i Year-end issue replaced by: $a Annual economic review
310 ##$a Quarterly
362 1#$a Began with June 1992 issue.
 
 
 
b)
the individual issues and the cumulation have the same title, have only chronological designations, and the cumulation is published in lieu of the last individual issue.
 
 
 
EXAMPLE
 
110 2#$a Library of Congress.
245 10$a Library of Congress name headings with references.
362 1#$a Began with the Jan./Mar. 1974 issue.
Quarterly; the first three issues called Jan./Mar. 1974–July/Sept. 1974; the fourth issue, an annual cumulation, called 1974
 
 
 
3.
When in doubt, prefer separate records.
Serials Issued in Parts
LC practice/PCC practice: Follow the guidelines below when determining if separate records should be made for serials issued in parts.
1.
Generally make separate records if
a)
the individual parts are unnumbered or otherwise undesignated as parts of one serial.
 
 
 
EXAMPLE
 
110 2#$a Singapore Airlines.
245 10$a Annual report. $p Operating review.
 
110 2#$a Singapore Airlines.
245 10$a Annual report. $p Financial report.
The operating review and the financial report are two parts that make up the airline’s annual report
 
 
 
b)
the individual parts have their own numbering system.
 
 
 
EXAMPLE
 
245 00$a Chemical abstracts. $p Chemical substance index.
362 1#$a Began with 101 CS1 (Jan.–June 1984).
 
245 00$a Chemical abstracts. $p Formula index.
362 0#$a 101 F1 (July–Dec. 1994)–
 
245 00$a Journal of polymer science. $n Part A, $p General papers.
362 1#$a Began with volume 1, number 1 (January 1963); ceased with v. 3 in 1965.
 
245 00$a Journal of polymer science. $n Part B, $p Polymer letters.
362 1#$a Began with volume 1, number 1 (Jan. 1963); ceased with v. 10 in 1972.
 
 
 
c)
the parts can be purchased separately.
2.
Generally, do not make separate records if
a)
the individual parts do not have a numbering system that relates to the serial as a whole.
 
 
 
EXAMPLE
 
245 00$a U.S. physicians reference listing.
362 1#$a Began with 1973.
Each directory is published in ten volumes and a reference volume and numbered v. 1–11
 
245 00$a Who’s who in computers and data processing.
362 1#$a Began with 1971.
Issued in three volumes: v. 1, Systems analysts and programmers; v. 2, Data processing managers and directors; v. 3, Other computer professionals
 
 
 
b)
the parts have a continuous pagination or enumeration.
 
 
 
EXAMPLE
 
245 00$a Journal of the Indian Institute of Science.
Issued in three sections: Section A: Vol. 59, no. 1, 3, 5, 7, 9; Section B: Vol. 59, no. 2, 6, 10; Section C: Vol. 59, no. 4, 8, 12
 
245 00$a Inorganica chimica acta.
Issued in three sections: Articles and letters: Vols. 96–105; Bioinorganic chemistry articles and letters: Vols. 106–108; F-block elements articles and letters: Vols. 109–110
 
 
 
c)
the parts cannot be purchased separately.
d)
the parts appear to be designed to be used together (e.g., many law publications).
3.
When in doubt, prefer separate records.
Reprinted Issues of Non-Newspaper Serials
LC practice/PCC practice: Separate records are generally made for reprinted serials if the reprinted issues are published by a publisher not responsible for the original.
Separate records are generally not made for reprinted serials if the serial issues are reprinted by the publisher of the original. If these issues carry a different or an additional title, add a note on the record for the original and provide an added entry.
 
 
 
EXAMPLE
 
246 1#$i Some issues reprinted with title: $a Geography research forum
 
246 1#$i Some volumes reissued with cover title: $a Amica news bulletins, $f 〈1971–1983〉
 
 
 
LC practice: When the Library of Congress acquires reprinted issues of a serial title to fill in gaps in its holdings of the original, a separate bibliographic record for the reprinted issue(s) will not be created.
See the “Determining Mode of Issuance” section of this Policy Statement for guidelines about cataloging a reprint of serial issues as a serial or as a monograph.
Newspapers
LC practice: LC’s records for U.S. newspapers in microform follow the guidelines of the United States Newspaper Program (USNP). USNP is not required to follow the CONSER practice of creating separate records for U.S. titles in microform, but generally uses the “master record convention” to account for the various physical forms in which a newspaper is held. The bibliographic record describes the newspaper as it was originally published. The physical format, whether original newsprint, microform, or reprint, is described in the Copy Field of the OCLC local data record.
Loose-Leaf Services
LC practice/PCC practice: A loose-leaf service is a publication issued in several component parts, often in a combination of updating loose-leaf and bound volumes containing both primary and secondary source material. Sometimes a loose-leaf service is called a reporter.
Generally, create only one bibliographic record for the service as a whole; consider the service as a whole to be an integrating resource. In a note, list the component parts in enough detail to identify them. Give any volume designation that is found on a part. Optionally, include numeric or chronological designations of newsletters, bulletins, etc., within the service.
 
 
 
EXAMPLE
 
500 ##$a The reporter contains binders: Current developments; Monographs; State solid waste--Land use; Federal laws; Federal regulations; State water laws; State air laws; Mining; Decisions (later published in bound volumes as Environment Reporter. Cases).
 
500 ##$a The service is divided into five parts: Treaties / by Jacob Mertens, Jr., and others (volume, loose-leaf); Code, current volume (loose-leaf) and bound volumes, 1954–1958–; Code commentary (volumes, loose-leaf); Regulations, current volume (loose-leaf) and bound volumes, 1954–1960–; Rulings, current volume (loose-leaf) and bound volumes, 1954–1957–
 
 
 
If a component is lacking, give such information in a note.
 
 
 
EXAMPLE
 
500 ##$a Library of Congress lacks section: Mining. $5 DLC
 
 
 
If, by exception, separate records are being created for the component parts, identify each part as an updating loose-leaf, multipart monograph, etc., and catalog it accordingly. In a note, indicate the relationship to the parent loose-leaf service and give an authorized access point for the loose-leaf service.
1.
Pamphlets/paperbacks
LC practice/PCC practice: Current information of temporary or permanent value may be published also in pamphlet or paperback form and be distributed to subscribers of a loose-leaf service as part of the subscription. Such publications are keyed to a section or a service or to several services. In addition to individual, distinctive titles, they carry also the title of the service and the numbering of a section of the service (usually a supplementary bulletin, to which is added a further distinguishing characteristic such as the words “Extra,” “Section 2,” etc. (e.g., “Bulletin 35, Extra” or “Report bulletin 24, Volume LIII (Section 2)” ).
Although these publications are often indexed in the service, they are unsuitable for filing into the service. If such a publication is considered of permanent value, create a separate record. Apply cataloger judgment about including a note in the bibliographic record indicating a relationship to the loose-leaf service and about giving an authorized access point for the service.
At first, these publications may appear to be volumes in a monographic series because there is a comprehensive title (the title of the loose-leaf service), a type of numbering, and a volume title. PCC practice: To avoid confusion, create a series-like phrase series authority record; use the titles of the service and of the section of the service in the 1XX field and give instructions for handling the materials in a note.
 
 
 
EXAMPLE
Series authority record
130 #0$a Tax ideas. $p Bulletin
667 ##$a A separately numbered section of the loose-leaf service “Tax ideas.” Bulletins issued in loose-leaf format are filed as a section of the parent loose-leaf. Catalog separately any material published in pamphlet or paperback form that carries the additional designation “Section 2;” apply cataloger judgment about giving a note in the bibliographic record indicating a relationship to the parent loose-leaf and about giving an authorized access point for the parent loose-leaf.
 
 
 
2.
Sections with independent numeric or chronological designations: bulletins, newsletters, etc.
LC practice/PCC practice: Latest developments in a particular field are often reported and analyzed in special sections of a loose-leaf. These sections are typically called Bulletin, Newsletter, Report bulletin, Report, etc., and are for the most part indexed in the loose-leaf. They carry a numeric or chronological designation of their own. Information of permanent value from these sections is often later included in the main text and old issues can be periodically discarded or transferred.
Do not create a separate record for such a section. Instead, on the bibliographic record for the updating loose-leaf, give a note explaining the inclusion of any separately numbered and separately titled section. Give an appropriate access point for the section.
 
 
 
EXAMPLE
 
500 ##$a Includes separately numbered section: Report bulletin.
740 02$a Report bulletin.
 
500 ##$a Includes separately numbered bulletin: Criminal law advocacy reporter.
740 02$a Criminal law advocacy reporter.
 
 
 
3.
Transfer volumes
LC practice/PCC practice: A transfer volume is a bibliographic unit containing material of a permanent nature originally issued as a section or binder of a loose-leaf service. The material is transferred from the loose-leaf mode by one of the following methods: the material is reissued by the publisher in bound form and sent to the subscriber as part of a subscription or made available for separate purchase; the material is transferred from the original loose-leaf mode to permanent binders (sometimes supplied by the publisher) or bound separately by the subscriber.
Generally, do not create a separate bibliographic record for the transfer material. Instead, on the bibliographic record for the updating loose-leaf, give a note explaining the inclusion of transfer material of permanent value. If the transfer section has a title of its own or acquires a title of its own in its transferred/bound stage, cite the title in the note and give an access point.
 
 
 
EXAMPLE
 
500 ##$a Material of permanent value is removed periodically and bound in separate volume.
 
500 ##$a Prebound, separately numbered volumes with title Administrative law decisions, containing reports of decisions of the Administrative Appeals Tribunal, periodically replace the reports and decisions in the section entitled Administrative law decisions.
740 02$a Administrative law decisions.
 
 
 
If a separate bibliographic record is created for the transfer material, include a note explaining the relationship to the updating loose-leaf.
 
 
 
EXAMPLE
 
245 00$a Environment reporter. $p Cases.
500 ##$a These volumes replace the opinions published in loose-leaf format in the “Decisions” binder of Environment reporter.
 
 
 
[2015-01]