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LC-PCC
Policy Statements for Chapter 2: Identifying Manifestations and Items
LC-PCC PS for 2.1
BASIS FOR IDENTIFICATION OF THE MANIFESTATION
This Policy Statement represents LC practice/PCC practice except where a statement is noted only as LC practice.
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 Policy Statement APolicy Statement 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
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. If the two items are known to be two different editions, create separate records for each.
Also, 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.)
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.
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 "Conference publications" 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
 
 
 
[2017-01]
LC-PCC PS for 2.1.2.3
MANIFESTATION ISSUED IN MORE THAN ONE PART
First Issue
LC practice/PCC practice: Serials may be issued with terms such as "premier," "sample," or "preview." The term "premier" generally implies the first true issue. Do not, however, base the description on an issue that bears only wording such as "Sample," "Preview," or "Introductory issue." Such wording generally indicates that the publisher is testing the potential audience for the serial and it is possible that the serial may never be published. Such issues generally do not have numbering. An issue that bears numbering that precedes "1," such as "Vol. 1, no. 0," "Number 0," or "Volume 0," may be treated as the first issue, provided that there is clear evidence that the issue is not merely serving as a sample or introductory issue.
LC practice: The U.S. ISSN Center creates records for preview issues in order to assign the ISSN. If LC later catalogs the serial, the description is based on the first actual issue and a note is given to explain the preview issue.
Electronic Serials That Don't Retain Earlier Titles/Creators
LC practice/PCC practice: If an electronic serial is reformatted so that all evidence of the earlier title or earlier creator is removed, base the description on the current presentation.
Update the existing record if there is one; otherwise, make a new record that covers the earlier and current presentations. Give a note that explains the change in the serial. Give notes and access points for the earlier title proper and/or creator; give information about other changes if considered to be important.
Follow these same guidelines if an aggregator presents a range of issues and does not retain the earlier titles or creators.
[2017-01]
LC-PCC PS for 2.1.3
ANALYTICAL DESCRIPTION
LC practice: LC analyzes and classifies separately all parts of monographic series and of multipart monographs with the exception of those categories listed in Descriptive Cataloging Manual M5.
Monographic Series/Multipart Monograph: Title Lacking or Dependent Title
LC practice/PCC practice: When a publication in an analyzed-in-full monographic series or a part of a classified-separately multipart monograph lacks a title other than that of the comprehensive title or has a title that is dependent on the comprehensive title, prepare a separate bibliographic record for that publication or part, regardless of whether it is numbered or not. See Policy Statement 2.3.1.7 for instructions on transcribing the title in MARC field 245.
[2015-03]