DCM Z1:  64X  Series Treatment - General Information

LC series practice:  As of June 1, 2006, LC does not create or update SARs.

PCC series practice:  Transcription of the series statement is mandatory if applicable.  Searching for series authority records, tracing the series, and the creation and maintenance of series authority records are optional.

This 64X section covers the following topics:

National-level PCC default decisions for newly-established SARs for monographic series and multipart items

---   General policy

---   Recording PCC local treatment decisions in new SARs

---   Recording PCC local treatment decisions in existing SARs

---   Existing SARs and non-LC analytic records

---   SARs for serials other than monographic series

---   History of LC/PCC treatment decisions recorded in SARs

Republications

Document series in general

U.S. federal document series

United Nations documents

PCC tracing practice

Also see specific 64X DCM pages.

National-level PCC default decisions for newly-established SARs for monographic series and multipart items:

General policy

To encourage the contribution to shared databases of the greatest number of bibliographic records with the most specific classification, the PCC national-level default treatment decisions will be "analyzed in full, traced, classified separately."

A PCC library can vary from the default analysis or classification practice for reasons of local needs/preferences/resources.  If a PCC library varies from the national default classification practice, any resulting analytic record may be a PCC record without a "class separately" number also being supplied.  If an analytic record is created, the default tracing practice is mandatory.

(NOTE:  PCC libraries may opt not to create an SAR for an unestablished series when cataloging a bibliographic record at the core level; see the separate topic "PCC tracing practice" at the end of this 64X section for the handling of established/non-established series in PCC full and core records.)

The national level tracing decision information is given in two fields in the SAR:  field 645 (tracing) and, when appropriate, field 642 (form of number in added entry) to ensure consistent access points.  The use of the MARC 21 organization code "DPCC" (for the Program for Cooperative Cataloging) in subfield $5 of those two fields indicates that the information applies at the national level.  See the DCM pages for the 642 and 645 fields for specific information.

The "DPCC" code will not be given in subfield $5 in either field 644 (analysis) or field 646 (classification).

Recording PCC local treatment decisions in new SARs

A PCC participant has the option to include its local treatment decisions in any SAR it creates.

Recording PCC local treatment decisions in existing SARs

A PCC participant has the option to add its local treatment decisions to any SAR created by another PCC participant if another PCC participant's treatment decisions are not already in the SAR.

Existing SARs and non-LC analytic records

SARs with an LC decision not to analyze and, therefore, not to trace represent only LC's pre-June 1, 2006 local decision.  Such an LC decision does not prohibit another library from analyzing and tracing.  It is not necessary to modify such SARs to add PCC tracing policy if it is not present.  Analytic records (either full or core) may be coded as PCC records if the series are traced.

SARs created before Sept. 1, 1989, with an LC decision to analyze in full but not to trace may also be modified by PCC participants to include PCC tracing policy.

SARs created between September 1989 and mid-November 1998 (when "DPCC" code began to be added to new SARs) may be modified to add PCC tracing policy.  Add a new 645 field with the value "t."  Do not change the original 645 field.

SARs for serials other than monographic series

NOTE:  The national-level default treatment decisions for analysis and classification do not apply to SARs for serials other than monographic series (008/12 = z).  The decision to analyze an issue or issues of such a serial is a local decision.  The presence of a participant's code in such an SAR does not mean that another library must follow the analysis or classification decision recorded.  However, if an analytic record is created, the default tracing practice is mandatory.

History of LC/PCC treatment decisions recorded in SARs

Before August 1995, PCC participants could omit treatment fields, give treatment only for the PCC library or only for LC, or give treatment for both the PCC library and LC.  At point of contribution, SARs created by PCC participants from August 1995-March 1998 lacked LC treatment decisions.  From April to mid-November 1998, PCC participants included an LC tracing practice to serve as the national-level tracing decision for the tracing of series in PCC records.  The use by LC staff and PCC participants of the MARC 21 organization code "DPCC" in subfield $5 of the 642 and 645 fields to indicate national-level tracing decisions began in mid-November 1998.  As of June 1, 2006, LC does not create or update SARs; LC's treatment decisions are summarized in LC-PCC PS 6.27.

Republications:

Do not consider a republication to be in the original series if the original series statement has been omitted.  The information can be given in a note on the bibliographic record.  (See also LC-PCC PS 2.12.)

Photoreproduction, microform, and other republications are represented on the SAR for the original.  If the 642, 644-646 treatment decisions for the republication are the same as for the original, add a second subfield $5 to each of those fields.  If the treatment decision for the republication is not the same as for the original, use separate treatment fields with each having its specific subfield $5.  Use "___ photo-offset reprint" in the subfield $5 for a photoreproduction.  For other republications, use a term appropriate to the republication in hand, preceding the term with the appropriate MARC 21 organization code in subfield $5.  If the treatment fields for the republication are not the same as for the original, give the treatment field for the original before the treatment field for the republication.  Always use a separate field for the republication if the same field for the original shows a change of decision.

646  ##  $a s $5 ___ $5 ___ photo-offset reprint

050  ##  $a ___ $b ___

646  ##  $a c $5 ___

646  ##  $a s $5 ___ microfiche

050  ##  $a ___ $b ___

646  ##  $a s $d no. 78- $5 ___

646  ##  $a c $d no. 1-77 $5 ___

646  ##  $a s $5 ___ large print edition

If only a republication is in hand and no SAR exists for the original even though the original is in the collection, either create an SAR for both the original and the republication or create a series authority record only for the republication.  If the original is not in the collection, create an SAR only for the republication.

The inclusion of 643 and 670 fields for the republication is dependent on whether the SAR is for one or more republications or is for the original and one or more republications.  (Until April 1998, 643 and 670 fields were required for each type of republication and for each publisher/manufacturer of republications on all SARs; do not delete any 643 and 670 fields for republications on SARs for the original and republication(s) created before April 1998.)

1.   Creating a new SAR for only a republication:

a.   In the 643 field, indicate in subfield $d the type of republication of the item for which the SAR is being made.

b.   Begin the 670 field with the term for the type of republication and a slash.

642  ##  $a no. 1 $5 DPCC photo-offset reprint $5 ___ photo-offset reprint

643  ##  $a [Place of republication] $b [Publisher/Manufacturer of republication] $d photo-offset reprint

644  ##  $a f $5 ___ photo-offset reprint

645  ##  $a t $5 DPCC photo-offset reprint $5 ___ photo-offset reprint

646  ##  $a s $5 ___ photo-offset reprint

670  ##  $a Photo-offset reprint/[Title], [date]: $b [source] ([usage])

2.   Creating a new SAR for both the original and a republication:

a.   Do not include a 643 field for the publisher/manufacturer of the republication.

b.   Do not include a 670 field for the republished item.

050  ##  $a ___ $b ___

642  ##  $a no. 23 $5 DPCC $5 ___ $5 DPCC photo-offset reprint $5 ___ photo-offset reprint

643  ##  $a [Place of original] $b [Publisher of original]

644  ##  $a f $5 ___ $5 ___ photo-offset reprint

645  ##  $a t $5 DPCC $5 ___ $5 DPCC photo-offset reprint $5 ___ photo-offset reprint

646  ##  $a c $5 DLC

646  ##  $a s $5 ___ photo-offset reprint

670  ##  $a [Title of original], [date]: $b [source] ([usage])

3.   Adding a republication to an existing SAR:

a.   Add treatment decisions for the republication.

b.   Do not add 643 and 670 fields for the republication.

c.   Do not delete any existing 643 and 670 fields for any republication(s).

Example showing addition of photoreproduction to existing SAR for original:

642  ##  $a no. 1 $5 ___ $5 ___ photo-offset reprint

643  ##  $a [Place of original] $b [Publisher of original]

644  ##  $a f $5 ___ $5 ___ photo-offset reprint

645  ##  $a t $5 ___ $5 ___ photo-offset reprint

646  ##  $a s $5 ___ $5 ___ photo-offset reprint

670  ##  $a [Title of original], [date]: $b [source] ([usage])

Example showing addition of large print edition republication to existing SAR for photoreproduction:

642  ##  $a no. 1 $5 ___ photo-offset reprint $5 ___ large print edition

643  ##  $a [Place of reproduction] $b [Publisher of reproduction] $d photo-offset reprint

644  ##  $a f $5 ___ photo-offset reprint $5 ___ large print edition

645  ##  $a t $5 ___ photo-offset reprint $5 ___ large print edition

646  ##  $a s $5 ___ photo-offset reprint $5 ___ large print edition

670  ##  $a Photo-offset reprint/[Title], [date]: $b [source] ([usage])

Example showing addition of microfilm republication to existing SAR for original and photoreproduction created before April 1998 (when 643 and 670 fields were still required for any republication added to SAR for original):

642  ##  $a no. 1 $5 ___ $5 ___ photo-offset reprint $5 ___ microfilm

643  ##  $a [Place of original] $b [Publisher of original]

643  ##  $a [Place of reproduction] $b [Publisher of reproduction] $d photo-offset reprint

644  ##  $a f $5 ___ $5 ___ photo-offset reprint $5 ___ microfilm

645  ##  $a t $5 ___ $5 ___ photo-offset reprint $5 ___ microfilm

646  ##  $a s $5 ___ $5 ___ photo-offset reprint $5 ___ microfilm

670  ##  $a [Title of original], [date]: $b [source] ([usage])

670  ##  $a Photo-offset reprint/[Title], [date]: $b [source] ([usage])

Document series in general:

Definition of "document" = "Any publication bearing a government imprint or a statement that it has been published at government expense."  This definition is to be interpreted to include international organizations consisting of national governments, e.g., United Nations, World Health Organization, International Labour Office, etc.  Note that publications of institutions created or controlled by a government (universities, colleges, museums, observatories, hospitals, libraries, institutes, etc.) are not to be considered documents.  However, publications of agricultural experiment stations are to be considered documents.  When in doubt, consider an item to be a document.

The above criteria are applicable only when establishing or reestablishing series headings; they are not to be used in any other context.

U.S. federal document series:

PCC participants may create SARs for U.S. federal document series without contacting the Government Printing Office (GPO) Library.  GPO will change any heading as needed and will add its symbol in an 040 $d when it uses an SAR for the first time.

United Nations documents:

Establish new UN document series according to normal procedures for document series.  Give the UN document number as a quoted note on the analytic record.

PCC tracing practice:

SAR already exists in the national authority file

If the SAR

---   has 645 value "t" with any subfield $5, trace the series and code the bibliographic record (either full or core) as a PCC record.  Optionally, add the "DPCC" 642/645 fields to an existing SAR;

---   has only LC's 644 of "n" and LC's 645 of "n," trace the series and code the bibliographic record (either full or core) as a PCC record.  Optionally, add the "DPCC" 642/645 fields to an existing SAR;

---   lacks a 645 field, trace the series and code the bibliographic record (either full or core) as a PCC record.  Optionally, add the "DPCC" 642/645 fields to an existing SAR.

SAR doesn't exist in the national authority file

For a full-level bibliographic record:

contribute an SAR* to the national authority file, and

trace the series in the analytic record.

For a core-level bibliographic record,

either:

contribute an SAR* to the national authority file, and

trace the series in the analytic record;

or:

don't contribute an SAR to the national authority file, and

don't trace the series in the analytic record.

* New SAR would have "$5 DPCC" in 642 and 645 fields.

If a PCC participant chooses not to follow the guidelines stated above, do not code the resulting analytic records as PCC records.

For more information on DCM Z1 Instructions, select:

DCM Z1:  Introduction

DCM Z1