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

1. NASIG  2012
What’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. What’s Up With Docs?
I. Basic Overview of Cataloging of Gov Docs
Serials from Access Point-of-View

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. “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.
Frustration—but Determination

5.  Make government publications
available for free use by the general
public
 Properly maintain government
publications and make them
accessible to the public
Basic Legal Requirements for
FDLs as Found in Current FDL
Handbook

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 on
Cataloging ―Requirements‖—Emphasis
on Access

7. What’s Up With Docs?
II. Basic Overview of Government Printing
Office’s Mandates & Responsibilities

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, 1901-1916
Mission of GPO: ―Keeping
America Informed‖

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.  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.  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.  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. Dynamic Nature of Government
Serials

14. What’s Up With Docs?
III. Louisiana State University’s (LSU)Local
Processing/Concerns

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 MARCIVE
Government Documents Technical
Services at LSU Libraries

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 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 GPO Serials
Processing

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. 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. Electronic
Title change
Print/fiche
Title change
Consequences for Local Access: Complex Search Results, Patron
Confusion

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. Single Record Cataloging Approach: Public
View

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. In our catalog:
Single record covering print and
microfiche;
New separate
Instead of 533 note for microfiche
record(s) arrive
reproduction, 530 note:
Requires us to:
• Delete old record
• Reattach holdings to new record
Rationale for recataloging not always clear
Retrospective Cataloging of Older
Serials Using Separate Record
Approach: Local Issues

24. GPO serials often remain ―open‖ years
after last issue received; no clear end
Undead Serials: Local Issues

25. Often notes will indicate that serial is no
longer distributed in a physical form, but
serial record still remains open
Local Practice: Changing ―AcqStat‖ Value to
―5‖ in Holdings Record; Adding Notes to
Holdings Records, 856

26. 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

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 1996-2003
Also:
• Monograph records for 2005 (created in 2005) and 2004 (created
in 2004)
Monographs Recataloged as Serials:
Local Issues

28. Serial
Monograph
Result: multiple records
for same resource;
confusing displays
Serial & Monograph Records for Same
Resources in Catalog

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. • GPO is not always consistent about analyzing monographic
series. Sometimes they do, sometimes they don’t
• Changes in agencies responsible for serials result in stem
changes, 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: Miscellaneous

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
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: Local Issues and
Concerns: RDA Preparation

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 displays
LSU Libraries: Coping Strategies &
Technical Services Philosophy

33. What’s Up With Docs?
IV. GPO Policies and Procedures Specific to
Serials

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. Government Serials: Main Entry
Changes

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 changes
Any change requests for WTNs can be submitted
through askGPO
Other Changes for Government Serials:
Frequency Change, Format Change

37. WEBTech Notes Records

38.  Difficulty in properly identifying Federal
government serials
 Lack of ISSNs
 Staff turnover in Federal agencies
 Budget constraints
Serials vs. Monographs:
Cataloging

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

40. 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
Cataloging Older Serials

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.  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/