Frequently Asked Questions about Series

1. What is LC's policy for series in bibliographic records as of June 1, 2006?

   LC’s policy for series is to analyze in full, to classify separately, and not to trace. Exceptions to this policy are listed below (see question #15).

   Newly-created bibliographic records for LC original cataloging (040 $a is solely "DLC"): series will be given as 490 0#.

   Newly-created bibliographic records for CIP-partnered cataloging (040 $a is XXX/DLC; XXX = partner’s code): existing series statements/access points will be accepted as is and "passed through."

   LC CIP record (040 $a is solely "DLC") upgraded in OCLC with series work added or modified is subsequently imported to LC for use as LC upgraded CIP record: existing series statements/access points will be accepted as is and "passed through."

   PCC member copy used by LC (040 $a is a single code other than "DLC"; 042 contains "pcc" for monographs/integrating resources and various possible codes for serials): existing series statements/access points will be accepted as is and "passed through."

   Non-PCC copy cataloging (040 $a is a single code other than "DLC"; 042 contains "lccopycat"): existing series statements/access points will be accepted as is and "passed through."

   LC has modified slightly the definition of its 042 code "lccopycat" to indicate that not all series access points have been validated against the authority file. (Definition is found in MARC Code Lists for Relators, Sources, Description Conventions.)

   If the other library’s call number is a "collected set" call number (i.e., series numbering included at end of subfield $b), that library’s call number will be retained as a 050 14 field.

   [Also see questions #3 and #4 below.]

2. Will LC's bibliographic records with 490 0 series statements overlay other libraries' records with 440 or 490 1/8XX fields?

   LC's revised decision to "pass through" series access points when found on records used for copy cataloging will significantly reduce the number of situations when this overlay will occur. However, OCLC is still investigating the issue of how to protect controlled series information in the following situations: (1) when LC distributes a new version of an LC record with a 490 0 series statement and the OCLC version has been enhanced, or (2) when there may be an existing WorldCat record with controlled series information for the same title for which LC has done original cataloging.

   For more information, please see: OCLC's Response to the Library of Congress Decision

3. What will be the coding of LC's newly-created bibliographic records for monographs and integrating resources as of June 1, 2006?

   The coding in Ldr/17 (Encoding level) will not change, i.e., it will continue to be appropriate to the level of the cataloging.

   The code "pcc" in field 042 will no longer be used in LC original core cataloging (040 $a is solely "DLC" and Enc/lvl is "4"); such records in a CIP state (Enc/lvl is "8") are assumed to be done at core level, the default cataloging level at LC.

   The code "pcc" will continue to be used in CIP-partnered core cataloging (040 $a is XXX/DLC; XXX = partner’s code) for those partners who choose to continue to provide controlled series access.

4. What will be the coding of LC’s serial records as of June 1, 2006?

   The coding of LC's bibliographic records for serials not in series remains unchanged.

   The coding in Ldr/17 (Encoding level) will not change, i.e., it will continue to be appropriate to the level of the cataloging.

   The code "lc" in field 042 will be used in LC original records to reflect the authoritativeness of headings.

   The 042 field will be retained in records authenticated by a CONSER participant when those records are used by LC; if "lcd" or "msc" is not already present, the appropriate code will be added.

   The code "lccopycat" in field 042 will be used in LC records based on OCLC member copy.

5. What will be the coding of already-existing records for monographs, integrating resources, and serials as of June 1, 2006?

   The existing coding will be retained.

6. What is LC's policy for bibliographic file maintenance related to series as of June 1, 2006?

   Series statements (490 0#): LC will add or correct series statements.

   Series access points (440/8XX): LC will not add or correct series access points.

7. What is LC’s policy for series authority records as of June 1, 2006?

   LC catalogers will not consult, create, or modify series authority records. The Cooperative Cataloging Team and the Cataloging Policy and Support Office will update the series authority records only in connection with deleting duplicate records or resolving conflicts with older headings..

8. What is the PCC policy for series in bibliographic records as of June 1, 2006?

   The PCC Policy Committee has announced that the PCC series policy remains unchanged.

9. What is the PCC policy for series authority records as of June 1, 2006?

   The PCC Policy Committee has announced that the PCC series policy remains unchanged.

10. Can PCC participants and other libraries report duplicate series authority records to LC as of June 1, 2006?

    YES. PCC participants should report such duplicates to their NACO liaisons. Other libraries should report such duplicates to the Cataloging Policy and Support Office (cpso@loc.gov)

11. Will the Cooperative Cataloging Team and LC catalogers acting as NACO liaisons continue to answer questions from PCC participants about creating and updating SARs?

    YES.

12. Will there be any changes in the distribution of series authority records as of June 1, 2006?

    NO.

13. Will LC continue to coordinate and conduct series training for PCC participants?

    LC is prepared to continue to coordinate and conduct series training; LC and the PCC Steering Committee will be discussing this topic.

14. What is the schedule for updating of the Library of Congress Rule Interpretations (LCRIs) and Descriptive Cataloging Manual (DCM) section Z1?

    The four basic LCRIs (1.6, 13.3, 21.30L, and 26.5A) have been updated and are posted at Series at the Library of Congress: June 1, 2006. Other LCRIs on specific topics and DCM Z1 will be revised and posted there in June 2006. All revisions will appear in the November update of Cataloger's Desktop, etc.

15. What are the exceptions to LC's policy decision for series?

    Exceptions to the LC series policy to analyze in full and classify separately:

    1. The following categories will not be analyzed and will be classed as a collection; series authority records will not be consulted, created, or updated:
       1. Numbered multipart monographs with all parts lacking analyzable titles
       2. Unnumbered multipart monographs cataloged per "2A cataloging" guidelines ("2A cataloging" is a local LC practice to create a made-up collected set record for an unnumbered multipart monograph, assigning numbers to parts as received)
       3. Auction and sales catalogs
       4. Legal multipart monographs identified by LC’s Law Library
       5. Numbered monographic series already assigned these treatment decisions prior to June 1, 2006 (issues identified by presence of check-in records in acquisitions units)

    2. The following category will not be analyzed and will not be classified; series authority records will not be consulted, created, or updated:
       1. Technical report series identified by LC’s Science, Technology, and Business Division or LC's Asian Division and shelved in those divisions
    3. The following categories will be analyzed in full but will be classed as a collection; series authority records will not be consulted, created, or updated:
       1. Scholarly collections of music historical sources eligible to be classed together in M2
       2. "Web access to monographic series" project in LC's Social Sciences Cataloging Division
       3. Microform sets
       4. Proceedings of a single conference published in more than one volume with analyzable volume titles
       5. Legal monographic series and multipart monographs identified by LC's Law Library

    4. The following category will be analyzed in full: applies to analyzable parts and will be classed as a collection; series authority records will not be consulted, created, or updated.

    1. Complete editions of collected works of individual composers (classed as M3)

    Prepare separate bibliographic records only* for parts that meet one of the following criteria (applying the definition of musical work in 25.25A, footnote 9):

    1. A single part (in one or more physical volumes) contains a single musical work or a single excerpt from a work.
    2. A single part (in one or more physical volumes) contains two musical works or two excerpts from one or two works.

    [* The purpose of this restriction is to avoid analytic bibliographic records for parts of such sets that would themselves receive collective uniform titles under 25.34B or 25.34C.]

    5. Existing LC shelflist records missing in LC's database now being input to the database: the records will reflect the existing series decisions (i.e., presence or absence of controlled series access point: a classed-separately or a classed-as-a collection call number) at the time the resource was cataloged originally.

    [exceptions approved by Beacher Wiggins, 30may2006; 13june2006]