FDLP

GPO Cataloging Guidelines

Introduction

Cataloging/Metadata Policy-making Process

Cataloging Policy and Documentation Committee (CPDC)

The Cataloging Policy and Documentation Committee (CPDC) is the group in LTS that determines new and modified cataloging/metadata policies and procedures, such as additions, revisions, and supersessions, to current GPO Cataloging Guidelines (CGs). The CPDC documents and records those decisions and communicates those changes to LTS staff members and the Federal Depository Library Program community. LSCM management and the CPDC collaborate closely to chart the direction of GPO’s cataloging/metadata policies and to maintain the currency of the CGs. The charter of the CPDC delineates its mission and governance.

The CPDC chair collects and solicits proposals for new policies and revisions to existing policies. The chair schedules the committee meetings, compiles the meeting agendas from the submitted proposals, and manages the meetings.

The CPDC meets bi-weekly. The agenda is sent to all staff, who are asked for their comments and input. At the meetings, the CPDC discusses each item and tries to reach a consensus or majority decision. The Chief of LTS informs LTS staff of the revisions and/or additions by email and internal SharePoint announcements. As needed, the CPDC chair updates the List of Major Revisions on the internal SharePoint site and requests the Web Team to post the new version of the spreadsheet on the public Cataloging Guidelines website.

GPO Cataloging Guidelines Review and Revision Processes

This section describes the procedures by which the GPO creates and updates cataloging/metadata policies and procedures and documents those decisions in the GPO Cataloging Guidelines (CGs). This section also describes how the CPDC considers additions and revisions to the GPO Cataloging Guidelines (CGs), records decisions, and communicates new and changed policies to LTS staff and the FDLP community.

  • Proposals for new sections, chapters, and text or revisions to existing CGs
    • Proposals are submitted to the CPDC chair.
    • Examples include:
      • New/modified national standards instructions and how they accord with GPO policies and practices
      • Initiatives from LSCM management
      • Recommendations and innovations contributed by staff
      • Suggestions and observations from Federal depository library staff
      • Developments in the world of government information products, information science sphere, and the library and archival professions
      • Technological advances and transitions
  • Meetings
    • The CPDC will endeavor to review and decide on proposals in up to three meetings. The committee may reach consensus in less than three meetings.
      • When a major revision or policy issue is on the agenda, the CPDC will hold additional meetings, generally not to exceed a total of five meetings.
    • The submitter of a proposal is responsible for all stages of the review process:
      • Submission of the draft proposal to the chair
      • Preparation of a draft proposal and accompanying materials before the meeting if at all possible
      • Presentation at the meetings and leading the discussion
      • Revision of the draft proposal based on the recommendations and suggestions of the CPDC members and LTS staff members
      • Completion of the new text for the CGs site on FDLP.gov
      • Capturing the current section(s) to be replaced by the new text in a Word document and saving the document on the internal SharePoint site
      • Submission of the request to the Web Team to update the CGs site
      • Drafting the text of an LSCM news alert if needed
    • Agendas
      • The agenda is sent to all LTS staff members and comments and recommendations are invited.
      • The meetings are open to all LSCM staff.
    • First Meeting
      • Introduction of the proposal and initial discussion
      • Recommendations and suggestions for further research and/or consideration of the proposal and changes to the text
    • Second Meeting
      • Circulation of the revised proposal before the second meeting if at all possible
      • Presentation of the revised proposal
      • Continuation of the discussion
    • Third Meeting
      • Circulation of the final proposal before the third meeting if at all possible
      • Presentation and discussion of the final proposal
    • Final Decision
      • The CPDC will strive to reach a consensus decision.
      • When the CPDC cannot reach a consensus, the chair consults with the Chief of LTS and requests a decision from the Chief.
      • When the Chief does not make a decision, the chair tables the proposal.
      • The chair may include the proposal on the agenda of a future meeting.
      • Decisions with significant impact on LTS operations and policies are enumerated in the List of Major Revisions, which is updated and posted on FDLP.gov.
        • In the cases of very significant revisions, LSCM may issue news alerts to solicit recommendations and feedback from the FDLP community or to announce the implementation of the revised guidelines.
      • Minutes are posted on the internal SharePoint site.

GPO Cataloging Guidelines: Organization and Structure

The general organization of the GPO Cataloging Guidelines are organized in chapters based on several criteria:

  • Areas of cataloging
    • Bibliographic cataloging
    • Name authorities
    • Subject cataloging
  • Modes of issuance
    • Monographs
    • Continuing resources
  • Specific formats of publications
    • Audiovisual
    • Cartographic
    • Computer files
    • Microfiche
  • Types of the resources
    • Congressional publications
    • Public and private laws
    • Technical reports
    • Treaties

The Overview chapter lays out the overarching principles of GPO’s cataloging/metadata creation and maintenance procedures and practices.The main organizational scheme of the other chapters follows the structure of the MARC 21 Format for Bibliographic Data and the MARC 21 Format for Authority Data. The chapters based on the MARC fields structure are sometimes introduced by an overview section and are usually subdivided into sections on the fixed fields and variable fields.

The Cataloging Guidelines are designed to proceed from general to specific guidance. When consulting and searching the Guidelines, make certain to view all relevant sections. For example, when reviewing guidance in the General MARC Field Policies chapter, also check the pertinent specific mode of issuance chapter and format chapter. As often as possible, linked references are provided to direct users to related chapters and sections of the guidelines and other cataloging/metadata standards and documentation.

Examples

The examples are intended to illustrate the guidelines. They are not meant to act as actual instructions. Please do not create or update bibliographic records solely based on the content of examples.

LTS attempts to update the examples as often as possible so that they reflect the current state of the guidelines. Please note that some examples or parts of examples may not comply with the current guidelines.

List of Standards

When creating metadata records, GPO follows national standards unless stated otherwise in these guidelines. Below is a listing of the standards followed by GPO.

Bibliographic

Anglo-American Cataloguing Committee for Cartographic Materials. Cartographic Materials: A Manual of Interpretation for AACR2, 2002 Revision. Chicago: American Library Association,2003, with updates.

Anglo-American Cataloging Rules. 2nd ed., 2002 revision, 2005 update. Prepared under the direction of the Joint Steering Committee for the Revision of AACR2.Chicago: American Library Association, 2005.

BIBCO Participants' Manual. Washington, DC: Library of Congress, 2008. http://www.loc.gov/aba/pcc/bibco/documents/bpm.pdf

Canadian Library Association, Chartered Institute of Library and Information Professionals (Great Britain), Joint Steering Committee for Development of RDA. RDA: Resource Description and Access. Chicago: American Library Association, 2011.

CONSER Cataloging Manual. Washington, DC: Library of Congress, 2006.

CONSER Editing Guide. 2003 cumulation with updates. Washington: Library of Congress: Distributed by the Library of Congress, Cataloging Distribution Service.

CONSER Standard Record (CSR) Guidelines. Washington, DC: Library of Congress, 2010. http://www.loc.gov/catdir/cpso/conserdoc.pdf

Integrating Resources: A Cataloging Manual. 2011 revision. Washington, DC: Program for Cooperative Cataloging, 2011. http://www.loc.gov/aba/pcc/bibco/documents/irman.pdf

Library of Congress. Office for Descriptive Cataloging Policy. Cataloging Rules for the Description of Looseleaf Publications. 2nd ed. Washington, DC: Cataloging Distribution Service, Library of Congress, 1989. http://www.itsmarc.com/crs/mergedProjects/looself/looself/contents.htm

Library of Congress. Policy and Standards Division. Descriptive Cataloging Manual Z1: Name and Series Authority Records. Washington, DC: Cataloging Service, Library of Congress, 2013. http://www.loc.gov/catdir/cpso/dcmz1.pdf

---. Library of Congress Rule Interpretations. Washington, DC: Cataloging Distribution Service, Library of Congress.

---. Subject Headings Manual. 2008 edition with updates. Washington, DC: Cataloging Distribution Service, Library of Congress.

Library of Congress. Network Development and MARC Standards Office. MARC 21 Format for Authority Data. 1999 ed. With updates. Washington, DC: Library of Congress, Cataloging Distribution Service.

---. MARC 21 Format for Bibliographic Data. 1999 ed., with updates. Washington, DC: Library of Congress, Cataloging Distribution Service.

NACO Participants' Manual. 3rd ed. Washington, DC: Library of Congress, 2005. http://www.loc.gov/aba/pcc/naco/documents/npm3rd.pdf

OCLC. Bibliographic Formats and Standards. 4th ed. Last modified October 2011. http://www.oclc.org/bibformats/en.html

---. Enhanced Training Outline. Rev. Jay Weitz. Rev. March 2004.http://www.oclc.org/support/services/worldcat/training/enhanceoutline.en.html

---. Guidelines for National Level Enhance Participants. Rev. Jay Weitz. May 2000. http://www.oclc.org/support/services/worldcat/documentation/records/enhanceguidelines.en.html

SACO Participants' Manual. 2nd ed. Washington, DC: Library of Congress, 2007. http://www.loc.gov/aba/pcc/saco/documents/SACOManual2007.pdf

Classification

Library of Congress. Classification Web. Washington, DC: Library of Congress, Cataloging Distribution Service.

United States Government Printing Office. GPO Classification Manual: A Practical Guide to the Superintendent of Documents Classification System. Ed. Marian MacGilvray. Washington, DC: Library Programs Service, Superintendent of Documents, U.S. Government Printing Office, 1993. https://www.fdlp.gov/file-repository/gpo-cataloging/1172-gpo-classification-manual

---. List of Classes of United States Government Publications Available for Selection by Depository Libraries. Washington, DC: U.S. Government Publishing Office. https://www.fdlp.gov/requirements-guidance/instructions/281-list-of-classes

Other Metadata Schemes

Dublin Core Metadata Element Set, Version 1.1. Dublin Core Metadata Initiative, June 2012. http://dublincore.org/documents/dces/

ONIX for books 2.1 specification. ONIX International Steering Committee, February 2005. http://www.editeur.org/15/Previous-Releases/

Other

Chicago Manual of Style: the Essential Guide for Writers, Editors, and Publishers. 16th ed. Chicago: University of Chicago Press, 2010.

United States Government Printing Office. United States Government Printing Office Style Manual. Washington, DC: U.S. Government Printing Office, 2008. http://www.gpo.gov/fdsys/pkg/GPO-STYLEMANUAL-2008/pdf/GPO-STYLEMANUAL-2008.pdf

Cooperative Associations

GPO continues to be heavily involved in cooperative cataloging and metadata activities with members of the Federal Depository Library Program (FDLP) library community and the library community at large. GPO is an active participant in all components of the Program for Cooperative Cataloging (PCC) which is managed by the Library of Congress, including BIBCO, CONSER (Cooperative Online Serials), NACO (Name Authority Cooperative) and SACO (Subject Authority Cooperative). GPO has been a member of OCLC since 1976 and contributes bibliographic records for U.S. Government information to the international database on a daily basis. Since 2010, GPO has formed cooperative cataloging partnerships with Federal depository libraries to exchange metadata for fugitive material as well as for digitized collections on historic publications.

Questions

Questions on the GPO-specific practices outlined in the guidelines should be submitted via askGPO. Please indicate "Cataloging: Policies & Practices" in the subject area.

 

 

 

 

 

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GPO Cataloging Guidelines

Introduction
Cataloging/Metadata Policy-making Process
Cataloging Policy and Documentation Committee (CPDC)
GPO Cataloging Guidelines Review and Revision
GPO Cataloging Guidelines: Organization and Structure
Examples
List of Standards
Bibliographic
Classification
Other Metadata Schemes
Other
Cooperative Associations
Questions
Bibliographic Cataloging
Overview
Authoritative Status of the Catalog of U.S. Government Publications
GPO Records in OCLC and Record Maintenance
Sources
What LSCM Catalogs
Cataloging/Metadata Encoding Levels Policies
1.0 Purpose
2.0 Background and Related Documents
3.0 Guidelines and Standards Consulted
4.0 Coordination with Collection Development Procedures
5.0 General Principles
5.1 General Cataloging/Metadata Workflows - Individual Records
5.2 Project and Retrospective Cataloging
5.3 Batch Processing of Record Sets
5.4 Categories of Federal Information Products
5.5 922 Codes
6.0 Cataloging Levels Chart
Treatment Decisions for Collections and Analytics
Factors to Consider for the Treatment Decision
Separate Record Policy
Background
Procedures
Exceptions
Original Cataloging
Copy Cataloging
Adapting PCC Pre-RDA Records
Adapting Non-PCC Pre-RDA Records
Authenticating Non-PCC Pre-RDA Records as PCC
Replacing and Exporting Records
Cataloging Non-distributed Formats (for C&I)
Authority Records
General MARC Field Policy 490 – Series Statement Field
General MARC Field Policy 856 – Historic URLs
074 GPO Item Number
Multiparts
Item Number Corrections
086 SuDoc Number
Sources to Consult
Background and General Instructions
Multiparts
Serials and Integrating Resources
Microfiche
Current RDA Policies and MARC Fields (February 2015- )
MARC Fields
Overview of Previous Microfiche Policies
Re-Cataloging Microfiche
Congressional Publications
Fixed Fields
Leader/17- Encoding Level
Leader/18 - Descriptive Cataloging Form
008/39 - Cataloging Source
Variable Fields
037 - GPO Sales Stock Number
042 - Authentication Code
050 - LC Call Number
086 - SuDoc Classification Number
088 - Report Number
1xx - Principal Creator
130/240 - Unique Title for Work
245 - Title Statement
250 - Edition Statement
264 - Publication Statement
264 - Distribution Statement
300 - Physical Description
500 - General Notes
504 - Bibliography, etc. Note
505 - Contents Note
Technical Reports
Identification of Technical Reports
Monograph or Serial
Sources of Information
Cataloging Instructions
Fixed Fields
Variable Fields
General Guidance on Special Technical Report Fields
027 – Standard Technical Report Number
513 – Type of Report and Period Covered Note
536 – Funding Information Note
Public and Private Laws
Public Laws
Private Laws
Instructions
Treaties
074 - Item Number
086 - SuDoc Number
490 and 830 - Series
546 and 041- Language
Senate Treaty Document Series (Y 1.1/4:)
Cartographic Materials
Background and Sources Consulted
Brochures and Visitor Guides Treated as Maps
BLM Surface/Mineral Management Maps
Serial Treatment
Encoding Level
086 - SuDoc Number
1XX - Principal Creator
130/240 - Unique Title for Work
245 - Title Statement
255 - Cartographic Math Data
300 - Physical Description
500 - Notes
655 - Genre Term
Audiovisual Resources
Scope of the Format Visual Resources
Definitions of Types of Visual Resources
Bibliographic Treatment in the CGP
Analytics of Videos
Collections of Videos
Analytics of Still Images
Collections of Still Images
MARC Fields for Visual Resources
245
300 - Physical Description
655 - Genre/Form Terms
Continuing Resources
Selective Registration for ISSN Assignments
GPO’s automated submission of continuing resources for ISSN assignments
GPO’s selective registration of continuing resources for ISSN assignments
Inclusion criteria
Exclusion criteria
Serials
Sources to Consult
Policies, Procedures, Practices
Definition of Serial
Monograph vs. Serial and Frequency of Issuance
When Mode of Issuance Is Ambiguous
Replacement of Monograph Records with a Serial Record
Ceased Serials Cataloged for the First Time GPO
Numbering–Exceptions to RDA Principle of Transcription
Notification of Cataloging Updates via WebTech Notes
Notification of OAM for Serials Harvesting
Updating Collections of Serials
MARC Fields
Leader /17 (Encoding Lvl) & 042
010 - LC Control Number
022 - ISSN
050 – LC Call Number
060 – NLM Call Number
070 – NAL Call Number
074 - Item Number
082 - Dewey Decimal Classification Number
086 - SuDoc Number
246- Varying Form of Title
264 - Production, Publication
300 - Physical Description (300|a )
362, 588, and Any Field Where Designation Is Represented
500 - Distribution Note
515 - Numbering Peculiarities
538 - System Details Note
588 - DBO/Source of Title Proper Note
Verbiage for “Description Based on” Note
Print Version Record Used As Basis of Description for Online Version
76X--78X– Linking Entry Fields
776 – Additional Physical Form
Cessation of print version, continuation online version
Cessation of serial due to format and title change
Microform serials and GPO practices for linkages
Former, discontinued practice for linking microform serials to other manifestations
Current practice for linking microform serials to other manifestations
Other Considerations for Linking Entry Fields
Parallel formats
Works linked but not described in bibliographic records
856 – Electronic Location & Access
Single- vs. Separate-Record Approach and PURLs
Appendix A: Bibliographic File Maintenance: Deletion of Records from the CONSER Database
Appendix B: Where to Find Certain CONSER Procedures
Integrating Resources
086 - SuDoc Number
130 - Authorized Access Point for Work
245 - Title
Other Title Information ($b)
Statement of Responsibility ($c)
300 - Physical Description
5XX - Notes
Order of 5xx Notes
588 - DBO/Source of title proper note
580/760-787 - Linking Relationships
Computer Files
Procedures to Convert Type "M" to Type "A" Records
Name Authorities
Background
Instructions to Consult
Policy Overview
Personal Names
Congressional Publications
Other Publications
Corporate/Conference Names
Variant Names
Conference Authority Records
Programs and Projects
Corporate Names for Parks, Forests, Preserves, etc.
Works and Expressions
Multipart (Collective) Titles
Series
Series-Like Phrases
Places (Jurisdictional Geographic Names)
General Procedures
Optional Fields
Research in OCLC
How Much Research Should Be Performed . . . ?
When to Consult Additional Sources
Tips for Contacting Agencies
General Field Specific Guidelines
043 - Geographic Area Code
1xx and 4xx
4XX - See from Tracing
5XX - See Also from Tracing
670 - Source Data Found
678 - Biographical or Historical Data
781 - Subdivision Linking Entry - Geographic Subdivision
RDA
General Policies
Hybrid Records in RDA Name Authority Records
When to Recode an Existing NAR to RDA
How to Recode an Existing NAR from AACR2 to RDA
Field Specific Guidelines
$u and $v in the 046 and 3XX Optional Fields
Source of Information: 670 vs. $v in the 046 and 3XX Optional Fields
046 – Special Coded Dates
$2 – Source of Term
$s (start date or period) $t (end date or period)
336 - Content Type
368 - Other Attributes of Person or Corporate Body
370 - Associated Place
371 – Address
372 – Field of Activity
373 – Association Group
377 – Associated Language
4XX – See from Tracing
5XX – See Also from Tracings
670 – Source Data Found
678 – Biographical or Historical Data
Personal Names
Procedure for ECIP
Procedure for CRS Reports
General Instructions
046 – Special Coded Dates (RDA 9.3)
$s and $t in the 046 and 3XX Optional Fields
100 – Authorized Access Point
$q – Fuller Form of Name
$d – Birth and/or Death Date
$c – Titles and Other Words (Professions) Associated with a Name
368 - Other Attributes of Person or Corporate Body
370 - Associated Place (RDA 9.8-9.11)
371 - Address (RDA 9.12)
372 – Field of Activity (RDA 9.15)
373 – Associated Group (RDA 9.13: Affiliation)
374 – Profession or Occupation (RDA 9.16)
375 - Gender (RDA 9.7)
377 - Language (RDA 9.14)
378 – Fuller Form of Name (RDA 9.5)
400 - See from Tracing-Personal Name
510 - Related Corporate Body
678 - Biographical or Historical Data (RDA 9.17)
Corporate Names
Notes
Sources to Consult
Before You Begin
MARC Fields
110 - Corporate Name
Places Associated with the Corporate Body
Associated Institution
Names Containing the Word "Services"
111- Meeting Names
368 - Other Attributes of Corporate Body, $a Type of Corporate Body
370 - Associated Place
372 - Field of Activity
373 - Associated Group (11.5)
410/411 - See from Tracing
Initialism or Acronyms in Capital Letters
Variants for Names Containing Ampersands
410 - See from Tracing - Corporate Name
Variant Names Entered Subordinately
Place Names As Jurisdictions vs. Locations
Variant Names Entered Directly
Variants for Names Containing the Term “Inc.” or “Incorporated”
411 - See from Tracing - Meeting Name
Additional Identifying Element(s) for Initialisms/Acronyms in Variants for Meeting Names
510/511 – See Also from Tracing
Relationships and Relationship Designators
Mergers
510 - See Also from Tracing - Corporate Name
Hierarchical Superior Relationship
667 - Nonpublic Gen Note
678 - Biographical or Historical Data (11.11)
Works and Expressions
046 – Special Coded Dates (RDA 6.4 and 6.10)
130 – Authorized Access Point
336 – Content Type (RDA 6.9)
370 – Associated Place (RDA 6.5)
377 – Associated Language (RDA 6.11)
380 – Form of Work (RDA 6.3)
410/430 – Variant Authorized Access Points
667 – Nonpublic General Note
670 – Source Data Found
EXEMPLARS
Places
043 - Geographic Area Code
451 - See From Tracing
670 - Source Data Found
781 - Subdivision Linking Entry-Geographic Subdivision
AACR2
General Policies
Hybrid Records in RDA NARs
When to Recode an Existing NAR to RDA
How to Recode an Existing NAR from AACR2 to RDA
Field Specific Guidelines
5XX - See Also from Tracings
Personal Names
100 – Authorized Access Point
$q - Fuller Form of Name
400 – See from Tracing-Personal Name
678 – Biographical or Historical Data (RDA 9.17)
Corporate Bodies
Auth Status - 008/33
110 - Corporate Name
111 – Meeting Name
410/411 – Variant Name
5XX – See Also from Tracings
670 - Source Data Found
Places
043 - Geographic Area Code
451 - See from Tracing
670 – Source Data Found
781 - Subdivision Linking Entry-Geographic Subdivision
Subject Cataloging
General Policies
LC Subject Headings
NASA Thesaurus Terms As Subject Headings
MESH, NAL, and Other Non-LC Subject Headings
LC Genre/Form Terms for Library and Archival Materials
Adding General LCGFT to Bibliographic Records
Background Resources for LCGFT
Adding LCGFT to Cartographic Records
Adding LCGFT to Audiovisual Records
Subject Heading Proposals, Background, and Tips
Tips and Instructions
Internet Research
Subject Headings Manual
Searching Minaret
Add'l Minaret (Class Web) Tips
Scope Notes
Use of the Dictionary
Use of Wikipedia
Use of LSCH As a Thesaurus
References
Class Web or Minaret
SACO Resources
Subject Headings Manual
Print Resources
Resources for Geographic Proposals
Geographic Print Resources
Examples of GPO Subject Proposals
Subject Heading Proposals, Workflow
Submitting SACO Proposals for Internal Review
Producing Associated Bib Records; Exporting Subject Authority Records
Submitting SACO Proposals to the Library of Congress
Updating Aleph Authority File
Name vs Subject Authority File
Overview
Instructions
Name Headings As Subjects
Special Topics, Materials, Subdivisions, Etc.
Environmental Impact Statements
Legal Topics
Research
Other Metadata Schemes
Dublin Core
ONIX
Glossary
Initialisms and Acronyms
List of Major Changes to the Cataloging Guidelines

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Please Note: The online guidelines are updated frequently. Superseded text is replaced by new text or deleted. The PDF version is published semiannually.

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Questions on the GPO-specific practices outlined in the guidelines should be submitted via askGPO. Please indicate "Cataloging: Policies & Practices" in the subject area.