Action for Libraries
OCLC, Others React to LC Decision
to Stop Controlling Series Access
By Linda Gonzalez
On April 20, the Library of Congress (LC) announced its intention to stop controlling series access in its bibliographic records and only record the series title "not traced" (a 490 with first indicator '0') in a bibliographic record for a resource issued within a series.
Its stated reasons for this change are twofold: that keyword access to the series title in the 490 is sufficient, and that any negative ramifications of the loss of standardized, unique, controlled series headings are offset by the time saved in not formulating them and not creating or maintaining the series authority records necessary to support controlled series added entries in bibliographic records. This new practice was to begin on May 1, 2006. Details of LC's new practice and the workflow created for LC's cataloging staff are given in several documents available at LC's Acquisitions and Bibliographic Access Directorate Web site at www.loc.gov/catdir/. Revisions required by this change to applicable Library of Congress Rule Interpretations (LCRIs) are linked from the document, "Series at the Library of Congress: June 1, 2006," which is also posted at this site, or by pointing your browser to www.loc.gov/catdir/cpso/series.html.
A storm of criticism followed the announcement on various cataloging-related electronic lists, not just of the decision but of the lack of more advanced notice of it. Statements of support for LC's decision also appeared. On May 4, LC announced it would delay implementation until June 1, but that implementation would indeed proceed. In LC bibliographic records prepared after June 1, 2006, no 440, or 490 with first indicator '1' combined with a series 8XX field (800, 810, 811 or 830), should appear. In LC's copy cataloging, however, it has decided to "pass through" controlled series access points in copy input by other libraries.
Since LC's announcement, individual libraries and library organizations have been struggling to decide on local policies and develop workflow around controlling series information bibliographically in the absence of LC provided series authority records. Libraries with staff who do believe in providing controlled series added entries will be faced with more work in the future. The announcement also sparked a perhaps even larger debate over the value of keyword searching in a descriptive area of the bibliographic record versus searching a controlled access point, whose structure is the standardized, authorized form of entry as dictated by the Anglo-American Cataloging Rules, Second Edition (AACR2). Such access points are, necessarily, more time consuming to include in a bibliographic record. Additional points in the discussion were the validity of cost-benefit analyses in this context and the differing viewpoints held by catalogers and library administrators of what is best for catalog users with regard to retrieval.
The Program for Cooperative Cataloging (PCC) was expected by many to address its concerns for the future of controlled series access points in PCC member records. Since PCC policy has always been to allow its member libraries flexibility in deciding how much of their cataloging to conform to PCC standards, the PCC Policy Committee affirmed LC's right to make its decision, but did not alter its own policies with regard to controlled series headings. Any PCC member is free to decide to continue (or not) to provide such added entries. The PCC Series Statement and an FAQ are available from www.loc.gov/catdir/pcc/.
OCLC member libraries also looked to OCLC to address their need for controlling series title access. Since OCLC has historically given preference to LC bibliographic records over non-LC records within WorldCat, overlaying such records with matching LC bibliographic records, there was understandable concern that LC's series practice would predominate by default.
However, on June 5, OCLC announced several changes to its policies to protect controlled series access points in bibliographic records in WorldCat, to assist its members in maintaining the practice of controlling series headings. Among the changes:
- OCLC will alter the software used to load LC records into WorldCat so that, if an existing WorldCat record contains controlled series access (either a 440 or a 490, first indicator '1,' with an 8XX field) and an incoming, matching LC record contains only a series statement (490, first indicator '0'), the controlled series access will be retained. This is scheduled to be implemented July 10.
- Since LC has ceased to use the 042 code 'pcc' in records for monographs and integrating resources (these records no longer meet PCC standards, considering LC's new approach to series access), OCLC adjusted the hierarchy governing which record takes precedence when incoming records are compared with existing WorldCat records to ensure that a PCC record is not bumped by a record not meeting PCC standards. This was implemented June 11.
- In the next few months OCLC will change existing Database Enrichment capabilities (www.oclc.org/support/tips/worldcat/tip7.htm) so that fields 440, 490 and 8XX can be added, changed or deleted by any user with a full-level cataloging authorization. This will allow cataloging users to change series treatment in LC records to match existing authority records. Watch for a future announcement of this implementation.
- OCLC Quality Control staff will continue to make changes to series treatment in WorldCat master records in response to reports from libraries. Staff in this unit are NACO (Name Authority Cooperative) participants and can, as needed, create and maintain series authority records related to bibliographic records they are upgrading.
- OCLC staff are reviewing any statements about the LCRIs and LC practices in Bibliographic Formats and Standards, Third Edition (BFAS), to clarify that OCLC member libraries are not required to follow LC's decisions on controlled series access. OCLC will update the Web version of BFAS once this review has been completed.
- OCLC staff in the CIP (Cataloging-In-Publication) Upgrade Unit will continue to verify series information as part of the CIP upgrading process and will, as necessary, change LC records to control series access points. Staff in this unit are also NACO participants and will, as needed, create and maintain series authority records related to the records they are upgrading.
- OCLC has also asked external suppliers of upgraded CIP records to continue verifying series access points against the authority file and edit those records as necessary to provide appropriate controlled series access.
It's hoped that these actions by OCLC will ease some of the extra work of controlling series headings in this new "post-LC series authority work" era.