Author Symbols
The first letter or letters in the classification number
represent the department or independent agency
issuing the publication. Each department or independent agency
has a unique letter or combination
of letters assigned to it.
Originally, when the classification system was first established,
the executive departments were
assigned a single letter (Example: A for Agriculture Department),
and other agencies were assigned
two letters (Example: GP for Government Printing Office).
This practice was changed, however, as more departments were
established, sometimes resulting in
conflicts. For example T was assigned to Treasury Department;
therefore, T could not be used alone
for the Transportation Department when it was established later.
The TD designation was assigned
to the Transportation Department.
.A. Choice of Letter Designations
Generally, the letter or letters chosen as the author symbols
correspond to the letter beginning a
significant subject word or words in the name of the agency.
For example:
A Agriculture
C Commerce
D Defense
E Energy
Exceptions to this principle are the X and
Y designations used
for publications of the United States Congress. The boards,
commissions, and committees
established by Act of Congress or under authority of an Act of
Congress, not specifically designated
in the Executive Branch of the Government, are grouped under
Y 3., one of the
symbols assigned to Congressional publications. Series
designations are handled differently in the
X and Y classes and are covered in Chapter 5 of this manual.
1. New Agency Classes
It is important to determine the enabling authority
when a new agency or
department is established, so that the agency can
be assigned to its correct place
in the classification system. The enabling authority may be
a public law, an executive order of
the President, or a departmental directive. It may be
necessary to phone the new agency to
locate this information.
. 2. Determining the Identity of the Issuing
Office
Occasionally a publication will appear without an issuing
office name printed on the cover,
resulting in classification difficulties. Usually,
somewhere inside the publication is a letter of
transmittal, preface, or foreword which gives information or
at least an agency contact, where
more information may be obtained to help identify the
publication. At the Government Printing
Office, jacket number identification is another source for
determining the issuing agency.
B. Joint Publications
A publication may be issued jointly by two or more agencies. If
this is the case, all of the agency
names will be listed on the publication with more or less equal
treatment. Classify the publication
under the first agency listed.
1. Revised Editions
A revised edition of a joint publication
should be classified with the
original if both agencies are issuing the revision,
regardless of the order in which the agencies
are listed on the publication.
However, if only one of the agencies issued the revision, it
should be classified under the
revising agency regardless of where it was classified
originally.
. 2. Publications Prepared by One Agency for
Another
Publications prepared by one agency for another pose a
somewhat different problem. First,
determine which agency is the actual publisher of the
publication in question, and classify
under that agency.
In most cases, the agency for which the publication was
prepared is the issuing agency;
however, on occasion the preparing agency will publish it.
Usually this can be determined by
the title page or cover format.
For example, a publication may be prepared by the Department
of Interior's U.S. Geological
Survey for the Commerce Department. If the Commerce
Department issued the publication, that
is where it should be classified, even though a U.S.
Geological Survey open-
file report number may appear on the publication.
If the U.S. Geological Survey is
determined to be the issuing office, use the series printed
on the publication to determine the
class.
. 3. Serial and Series Treatment
a) Serial
If the publication is a serial and the printed order of
the agencies changes with later issues,
retain the original class if the first agency is still
listed as a publisher.
b) Series
The publication may carry one or more series. The
presence of a series does not necessarily
determine the class number of a joint publication. Do
not conclude immediately that the
series class is where the publication belongs.
First, decide the issuing agency to be used in the
class. After the proper issuing agency has
been determined, classify in the series appropriate to
that agency. It may be the first or
second series listed, but it must agree with the issuing
office.
For example, the National Institute of Standards and
Technology (NIST), Commerce
Department, and the National Institute for Occupational
Safety and Health, Health and
Human Services Department, issues a booklet in the
NISTIR/NIOSH
Publication series. The publication carries a
NIOSH number
as well as the series NISTIR 90-3945.
The National Institute of
Standards and Technology is the first agency listed, so
the class number is: C 13.58:90-3945.
If a double series is issued routinely by two agencies,
and the publications are not consistent
in presenting the agency and series in uniform order,
classify the publications in one class
consistently.
. A joint publication may carry only one series. If the
agency listed first is not the agency
associated with the series, then the series is not used
in the class. The publication should
be classified in a general class under the agency
selected as the issuing agency.
C. Sources of Information
A publication should be classified under the subordinate office
printed on the title page, the verso
of the title page, pages 1, 2, 3 and 4 of the cover, or the
spine. Under ordinary circumstances, use
the source that provides the most complete information. However,
in cases of conflict, prefer the
information found on the title page.
Pages 1-4 of cover are both sides of the front and back cover.
In general, a subordinate office from
a letter of transmittal, preface, or foreword should not be used
as the issuing office. Also, the bureau
or office listed with a personal author, in most cases, should
not be used as a determining factor.
.Section 2
Subordinate Offices
A. First and Second Levels
A number designating a subordinate office follows the letter
designation of the parent issuing body.
The numbers, followed by a period, are used to identify
subordinate offices one level below the
parent agency.
The parent agency, always designated by the number
1, is the first-level office.
The number 1 is always used for the office of
the secretary of a department or
the administrator of an independent agency. The
1 class also should be used for
any publication carrying only the department or agency name with
no subordinate bureau listed.
The numbers 2 through 99 are
used for subordinate bureaus,
administrations, offices, etc., immediately below the level of
the head of the agency. The
classification number does not generally include designations for
offices below the second level.
For example:
A 1. Agriculture Department (including Secretary's
Office)
A 13. Forest Service
A 68. Rural Electrification Administration
A 88. Agricultural Marketing Service
In some classes, notably Defense, 3 digits are used before the
period to designate second-level
subordinate bodies. The use of 3 digits is exceptional, however,
and was necessary with Defense
because of the vast number of subordinate issuing agencies.
For example:
D 1. Defense Department
D 101. Army Department
D 201. Navy Department
D 301. Air Force Department
1. Arrangement of Classes
When the classification system was established, the
subordinate offices were arranged
alphabetically with numbers assigned sequentially. It is
rarely possible to obtain enough
information on new departments and their plans for
organization to continue following this
practice. Also, new departments and agencies frequently
reorganize and change the names of
the subordinate offices.
New classes are therefore arranged in chronological order,
determined by the order in which
publications are received.
2. New Classes for Subordinate (Level 2)
Offices
New level 2 classes should be assigned as offices are
established and issue publications. The
next higher number should be assigned beginning with number
2 after the author symbol.
B. Third and Fourth Levels
On occasion, classes are created for third and fourth level
offices, to provide a finer organization of
the agency's publications. An office immediately subordinate to
a second-level office is a third-level
office. Fourth-level offices are immediately subordinate to
third-level offices.
Classes are broken down to the third and fourth levels by using
100 and
1000 numbers after the parent agency's assigned
number, after the period. The
decision on how far to go in the breakdown depends upon how small
a breakdown is necessary
for clarity.
For example:
C 1. Commerce Department (level 1)
C 55. National Ocean and Atmospheric
Administration (level 2)
C 55
.100's National Weather Service (level 3)
.200's Environmental Data & Information
Service (level 3)
.300's National Marine Fisheries Service
(level 3)
.400's National Ocean Service (level 3)
HE 1. Health and Human Services
Department (level 1)
HE 20. Public Health Service (level 2)
HE 20
.3000's National Institutes of Health (level 3)
.3150's National Cancer Institute (level 4)
.3200
to.3249 National Heart, Lung, and Blood
Institute (level 4)
.3250's National Institute of Allergy &
Infectious Diseases (level 4)
.3600's National Library of Medicine
(level 3)
In the case of the Public Health Service, National Institutes of
Health, there are so many separate
institutes that the 3000 numbers are broken by
50's to have
a number for each of the institutes. Currently, the Health and
Human Services Department classes
are the only ones using 1000 numbers.
. 1. Slash Numbers Added
Third and fourth level offices not expected to issue many
publications may be treated the same
as series or category classes. In these cases, a slash and a
number are added after the number
for the subordinate office.
A 13.40 has been reserved for publications of
the Southern Forest Experiment
Station. Each of the Forest Service experiment stations has a
number reserved for it. As new
classes are established, new slash numbers are used as
necessary.
2. New Classes for Third and Fourth Level
Organizations
When a new subordinate office is established, determine the
name of its parent organization and
how the office fits into the agency organization.
Determine how many levels there are between the new
organization and the departmental
secretary or independent agency administrator. Use the letter
of the agency, the number for the
first level breakdown followed by a period, then a
100, 200,
or 300 class as appropriate, followed by a
colon.
If not many publications are expected, consider assigning a
series class rather than a subordinate
agency class.
If the agency is expected to issue many publications and has
many smaller offices, all of which
will produce many publications, you may use
1000 numbers to differentiate
between offices. There are very few cases where this will be
necessary. If it does become
necessary, the Public Health Service classes under HE 20. will
serve as a guide.
Each of the subordinate offices in the Public Health Service
issues many publications, and the
finer breakdown is necessary to keep the publications of each
institute together.
C. Joint Publications
When a joint publication, not in a numbered series, carries two
equally subordinate bureaus under
the same department, classify the publication under the bureau
which is listed first on the document.
If three or more equally subordinate offices are named, ignore
them and classify the publication
under the parent agency. The United States Government
Manual and the
Federal Executive Directory should be consulted
when making this decision.
To determine which is the parent agency, and whether subordinate
offices are equally subordinate,
consult: 1) the issuing agency; 2) a cataloger; or 3) an on-line
database.
.D. Name Changes, Reorganizations, etc.
1. Name Changes
Certain agencies in their infancy have been very inconsistent
and changeable in naming their
subordinate offices. Frequent name changes
present many problems.
Sometimes, because organizational information was unclear,
certain classes which should have
been treated as level 3 or 4 offices have been established
under the parent agency. An example
of this problem is found in the publications of the
Environmental Protection Agency. The
subordinate office names changed frequently during the first
years of its existence.
A name change does not necessarily demand a class number
change. If the agency's function and
position within the parent organization remain the same, the
class number will remain the same.
When it appears that a name has changed, the agency should be
contacted to verify the nature
of the change.
. 2. Reorganizations
Reorganizations within an agency present
other problems. Sometimes
offices and functions are moved from one subordinate office to
another. It is important to note
the issuing office on each publication in order to determine
whether a reorganization has taken
place that will affect the class. The class number must be
changed when an agency is moved
from one parent agency with one author symbol to a second
parent agency with a separate
author symbol.
Reorganization is a particular problem in serials when the
name of the serial remains the same,
the publication looks the same, and the numbering follows
along logically; but the issuing office
has been transferred to another bureau or office.
For example:
ED 1.116/2:
Institutions of higher education index, by state and
congressional district.
Previously classed: HE 19.322:
The publisher, the National Center for Education Statistics,
at one time was a subordinate office
of the Department of Health, Education, and Welfare, and was
moved in 1980 to the U.S.
Department of Education.
The class number must be changed when the issuing body is
moved to another agency.
. It is important to change the class with the first issue
carrying the name of the new department
or bureau. Always glance at the parent agency of any
publication being classified
to be sure that the subordinate office class is still
correct. By checking constantly,
the necessity for changing class numbers retroactively can be
avoided.
5. Changes within classes
The use of adequate references will eliminate many errors.
Notes should be placed in appropriate
places when classes are changed, or when the method of
classifying within the class is changed.
This may involve changing from Cutters to numbers, from the
2-figure to the 3-figure Cutter table,
changing the Cutter word of a particular title for one reason
or another, etc.
.
[ Back to the Table of Contents
]
Chapter 2
Category
Classes
and
Special Types of
Publications
Section 1. Standard Reserved and
Category Classes
A. Structure
1. Related Publications
B. Category Classes
1. Annual Reports
2. General Publications
3. Bulletins
4. Circulars
5. Laws
6. Regulations, Rules, and Instructions
a) Decisions and Orders
7. Press Releases
8. Handbooks, Manuals, and Guides
a) Basic Manuals and Transmittals
9. Bibliographies and Lists of Publications
10. Directories
11. Maps and Charts
12. Posters
13. Forms
14. Addresses
Section 2. Special Types of
Publications
A. Basic Manuals and Their Changes
1. Basic Manuals
2. Changes, Transmittal Sheets, etc., for Basic
Manuals
. B. Amendments, Changes, Correction Sheets, Errata,
Revised Pages, etc., for
All Other Publications
1. Amendments
2. Changes
3. Corrections and Correction Sheets
4. Errata
5. Revised Pages and Transmittals
C. Preliminary and Final Reports
D. Reprints
E. Preprints and Separates
F. Special Issues of Serials
G. Supplements
H. Summaries, Executive Summaries, etc.
I. Indexes
1. Date
2. Numbers
3. Volume Numbers and Numbers
J. Electronic Products
K. Sets Including Different Types of
Material
L. Final Determinations
.Chapter 2
Category Classes and Special Types of Publications
Category groups of publications without a common title printed on
them have been assigned titles
such as General publications and
Handbooks, manuals, and
guides. Each category class has its own number,
following the period in the class stem.
Other special types of publications are not assigned a specific
number, but are treated consistently
according to the principles discussed in Section 2.
.Section 1
Standard Reserved and Category Classes
A. Structure
The following numbers are reserved for categories of publications
commonly issued by most
Government offices:
.1 Annual report
.2 General publications
.3 Bulletins
.4 Circulars
.5 Laws
.6 Regulations, rules, and instructions
.7 Press releases
.8 Handbooks, manuals, and guides
.9 Bibliographies and lists of publications
.10 Directories
.11 Maps and charts
.12 Posters
.13 Forms
.14 Addresses
Numbers .1 through .4 were
assigned when the
Superintendent of Documents classification system was first
established; numbers
.5 through .8 were assigned in
the 1950's as the system
developed; .9 through .14 were
designated in the latter part
of 1985.
Use these numbers when establishing new classes. In many cases
these numbers have already been
used for other purposes, so a category class may have to be given
a different number. When
classifying documents from older agencies, bear in mind that
older category classes may have
different numbers than those specified above. When searching for
laws, regulations, handbooks,
etc., do not assume that the class has not been established if
you do not find it in .5 through .8
classes. Search further.
.Under the pre-1985 .100 breakdown, the standard
classes are:
.101: for annual reports;
.102: for general publications;
.103: for bulletins, etc.
For example:
C 55.300's National Marine Fisheries
Service
C 55.301: Annual report
C 55.302: General publications
C 55.304: Circulars
C 55.305: Laws
C 55.306: Regulations, rules, and
instructions
C 55.308: Handbooks, manuals, guides
C 55.308/2: Handbooks (numbered)
Individual series classes begin with 109,
209,
309, etc., and with 115,
215,
315, etc., after the latter part of 1985, unless
the series is related to the standard
category numbers.
With the exception of annual reports, bulletins, and circulars,
and certain numbered laws and
regulations classes, these category classes are assigned
according to the type of material included
in the publications. The contents of a publication, as well as
its title, must be examined before it
may be classified in one of the category classes.
. 1. Related Publications
Publications issued in a series related to an established
category class are given the next highest
available numbers or attached to established classes by use
of slash-letters or numbers. See
Chapter 3 for a detailed discussion of classification by
series.
Subject related series are attached to
established classes by use of a slash
and numbers.
B. Category Classes
1. Annual Reports
The Annual Reports category (.1) is
reserved for the annual report of the
department, bureau, or office as a whole. Do not include
annual reports on projects or on
specific subjects; these should have separate classes
elsewhere.
Annual reports may be issued by subordinate offices for
which classification numbers have not
been assigned. In that case, a new class should be
established and attached to the class for the
annual report of the parent agency.
.
Information on the title page, cover, or preface will
usually show which department, bureau,
or office is generating the annual report. However, a
telephone call to the department, bureau,
or office may occasionally be the only way to obtain the
necessary information.
2. General Publications
The General Publications category (.2)
includes unnumbered publications
of a miscellaneous nature. This is a "last resort" class.
The publications are one-time
publications: monographs, as opposed to serials. They do
not fit into any established series,
or into any of the other categories. There is no indication
that the publications will be issued
on a regular basis. The General Publications category
should be the last consideration for a
publication, rather than the starting point for determining
a class number.
3. Bulletins
Bulletins (.3) are usually named and
numbered by the offices issuing them.
Assign this class only if the word "Bulletin" appears on the
title page, cover, etc.
4. Circulars
Circulars (.4) are usually numbered by the
offices issuing them. Assign this
class only if the word "Circular" appears on the title page,
cover, etc.
5. Laws
The Laws category (.5) is reserved for
publications which contain the text
of Federal law administered by the agencies issuing the
publications.
A publication which explains only parts of law or discusses
the contents of laws should not be
included in the Laws class. Possibly such
publications may be classified
as regulations under the law (Regulations, rules,
and instructions class)
or as guides to understanding a law (Handbooks,
manuals, and guides
class). An overall description of a law may be classified
under General
publications.
Laws have been treated differently in different classes as
the Superintendent of Documents
classification system evolved. When classifying new law
publications, follow the practice
already established in individual Laws
classes.
State laws on any subject should not be included in
the Laws classes.
State laws are not administered by agencies of the United
States Government, and if they are
published by the Federal Government, it is for
informational, not statutory purposes.
6. Regulations, Rules, and Instructions
The Regulations, Rules, and Instructions
category (.6) contains
information on agency requirements which have the force of
law. The information may pertain
to the operation of an agency or to outside activities under
an agency's jurisdiction.
a) Decisions and Orders
A separate category class will not be established for
Decisions and
Orders. They should be assigned their own
separate classes. Some decisions and
orders were previously classed with Regulations,
rules, and
instructions, and with Laws.
7. Press Releases
The Press Releases category (.7) includes
agency announcements issued for
the news media. The publications may or may not have the
word release
or news on them. Press interviews,
statements to the press, and news
conferences with reporters should be included in the
Press release classes,
together with the usual releases on various subjects.
Speeches, remarks, and addresses given before audiences are
often issued as news releases.
These should be classified individually in the Addresses
class for the agencies releasing the
information.
8. Handbooks, Manuals, and Guides
Handbooks, Manuals, and Guides (.8) differ from regulations,
rules, and instructions in that
they do not have the force of law. They may include helpful
information on any subject. In
early years these publications were included in the
Regulations, rules, and instructions
classes. Beginning in the 1950's, new classes were
established and handbooks, manuals, and
guides were no longer included in the Regulations classes.
To qualify for the Handbooks, Manuals, and Guides category,
the words "handbook",
"manual", "guide", or "how to", must be part of the
document title.
For example:
T 70.8:F 51/3/988-989
Your guide to federal firearms
regulations
L 38.8:T 68
How to tailor off-the-shelf training
materials
For a short time in 1984-1985, publications that were by
nature handbooks, manuals, or guides
were classed in this category, even though the words
"handbook", "manual", "guide" or "how
to" did not appear on the publications. Revised editions of
these publications should be kept
in the category class, following the pattern established
earlier.
a) Basic Manuals and Transmittals
A basic manual or other publication may be issued
infrequently, but if it has continuing
transmittals, revised plates, or frequent change sheets,
the manual should have a separate
class. This class should be established when a new
edition of such a publication is received
for classifying. When the issuing agency changes before
a new basic is issued, do not reclass
the changes.
See Section 2 of this chapter for more information on
classifying Handbooks, Manuals, and
Guides.
9. Bibliographies and Lists of Publications
The Bibliographies and Lists of Publications category (.9)
includes any bibliographies, whether
they are limited to specific subjects, or include all
publications issued by an agency or bureau.
Annual or other periodic lists of publications with
consistent titles should be classed in separate
classes, and not be included in a category class.
10. Directories
The Directories category (.10) is
restricted to those publications that include
the word "directory" in the title.
11. Maps and Charts
The Maps and Charts category (.11) is for
cartographic materials, e.g. those
that represent a planetary surface in a two-dimensional
form.
A chart can be defined in two ways:
1) a map designed primarily for navigation, either
nautical or aeronautical;
2) a sheet exhibiting information in a tabular or
graphic form.
Only charts falling under definition 1 should be classified
as cartographic material.
Tabular or graphic charts, often statistical in nature,
should be classified as series documents,
posters, or general publications.
Publications which consist of a mixture of cartographic,
textual, and other illustrative content,
and whose primary purpose is to acquaint visitors with
parks, historical sites, etc., should not
be classified as maps. These publications often have their
own classes, such as the National
Park Service Information Circulars. If individual class
stems have not been established, these
"tour guides" should be treated under the general rules for
classification.
If a map's class must be modified by the addition of a date,
use the date of publication. In many
cases this will not be the date associated with the title.
Examine the map closely for the
presence of a GPO or other printing date and use that to
qualify the class number.
In order to be consistent with past practice, maps issued in
numbered series should continue
to be classed in that series. Maps issued as U.S.
Geological Survey open-file reports (I 19.76:)
are an example of this type of material. However, new
bureaus, offices, departments, etc., will
have separate category classes for maps and charts.
For more details on classifying maps, see Chapters 4 and 6.
. 12. Posters
A poster (.12) is a single sheet with
material printed on one side only. It
may include photographs and announcements and is usually
intended to be hung for display.
13. Forms
The Forms category (.13) is reserved for
publications that contain forms
and/or instructions on how to fill them in. If the
publications include other textual material
also, they should be classed somewhere else, most likely in
General
publications.
Do not use the Forms class when the
publication includes other textual
material, even if a form number is printed on the title
page.
Before this category class was established in the latter
part of 1985, forms were treated
differently. The department and bureau letters and numbers
were assigned in the regular
manner, and were followed by the word form,
a colon, the identification
numbers and/or letters printed on the form.
. When classifying revisions or new editions of these forms,
follow current practice.
14. Addresses
The Addresses category (.14) includes
addresses, lectures, speeches,
remarks, statements, papers, etc., which were delivered
before groups of people. This category
may have different titles in classes for different agencies,
but the content of the category is the
same, regardless of the title.
Though addresses may be issued as news releases, they are
classified as
Addresses, not as press releases. However,
do not include statements to the
press, or press conferences or interviews, in the
Addresses class..Section 2
Special Types of Publications
A. Basic Manuals and Their Changes
1. Basic Manuals
Basic manuals are publications issued in looseleaf format
which are updated by transmittal or
change sheets issued periodically. After a number of
changes have been issued, a consolidated
reprint may be issued incorporating the basic manual and all
changes to date.
A consolidated reprint constitutes a new edition for
classification purposes. In many cases
another new edition will be issued after the consolidated
reprint.
This is the standard pattern, but government publishers of
basic manuals frequently do not
follow the standard pattern. Decisions on classifying will
need to be made on a case-by-case
basis.
Basic manuals with frequent changes should preferably be
given separate classes, rather than
included in the category class Handbooks, Manuals, and
Guides. This principle should be
applied only when a new basic is received, so that the new
class begins with a basic edition.
A new basic may be a completely revised edition, or a
reprint of an earlier edition incorporating
all changes to date.
When classing a basic manual, always include the date of
issuance in the class. This date will
be used for all future transmittals, etc., until a new basic
edition is issued.
For example:
A 103.8/3:983
TD 4.308:AE 8/991
Occasionally the publisher will designate a new basic
edition as installment
1 or transmittal 1. Do not use
these designations in the class
number for a new basic edition.
2. Change Sheets, Transmittal Sheets, etc.,
for Basic Manuals
Most change sheets will bear a numerical or chronological
designation which is included in the
class along with the date of the basic edition. In general
use the designation given; do not
create numbers.
Unfortunately, there is little consistency in the way
agencies number change sheets. Ideally,
when a new edition is published, the numbering should revert
to number one. This does not
always happen. The classifier must be aware of new editions
so that the appropriate date can
be added to the change sheet numbers.
Do not use the change sheet's date of issuance as the date
in the class. Use the date of the
basic edition..B. Amendments, Changes, Correction Sheets,
Errata, Revised Pages, etc., for All Other
Publications
Amendments, changes, corrections, errata, revised pages, etc.,
are issued frequently to modify
publications which have been printed.
To classify these changes, use the class for the original
publication followed by a slash (/) and the
appropriate abbreviation to identify the amending publication.
1. Amendments
Use the class of the original publication and add
/AMDT. The publication
may read amendment,
amendments, or
amendment sheet but the class should use
the abbreviation for the singular
form. No other letters are necessary.
If another amendment to the same publication is issued and
does not carry a number, use a
dash and the number 2. Continue adding
numbers to each successive
amendment so that each publication has a distinctive number.
If the amendment number is
printed on the publication, use that number in the class
without a dash.
For example:
/AMDT.1
/AMDT.91-1
A dash between AMDT. and the number
indicates that the amendment itself
did not have a number printed on it. The absence of a dash
in the class indicates that the
amendment number was printed on the publication.
. 2. Change Sheets
Change sheets are handled in the same way as the amendments,
using the abbreviation
CH., and the dash if the change numbers are
not printed on the publication.
For example:
/CH. Number not printed on the publication (1st
change issued)
/CH.-3 Number not printed on the publication (3rd
change issued)
/CH.5 Number is printed on the publication
(Change 5)
3. Corrections and correction sheets
A corrected copy of a whole publication is given the class
of the original publication with a
slash and "CORR." added at the end:
/CORR.
A list of corrections is given the class of the publication
it corrects with a slash and the
abbreviation for "correction sheet" added at the
end:
/CORR.SH.
Frequently the only word in the title or heading will be
Corrections.
Research to identify the parent publication is required in
these cases.
. 4. Errata
Classification of errata sheets for publications may be
handled in several ways depending on
how they were issued by the agency or received in the
Library Programs Service.
a) An errata sheet that is a bound page
in a document requires no action.
b) A separately issued errata sheet is
classified the same as the parent
document with the addition of /ERRATA.
For example:
HE 20.3152:C 48
(parent document)
HE 20.3152:C 48/ERRATA
(separately issued errata)
c) Errata sheets that are inserted in a
publication at the time of
receipt should be classified the same as the
parent document with addition of
/ERRATA. This class is for
identification purposes only, in the event that
the parts become separated during handling.
d) A separately issued errata whose parent
publication has not been
received should not be classified.
5. Revised Pages and Transmittals
Revised pages are given the class of their parent
publication, with
/REV.PAGES added at the end. It is
important to include the word
pages in the class, to distinguish from a
revised edition of the complete
publication. Sometimes it is helpful to include the page
numbers in the class, particularly if
many revised pages are issued at different times.
Often revised pages are issued to looseleaf publications,
and the agency numbers the
transmittals. Use the words and numbers that the agency
assigns whenever possible. This may
result in /REV.PAGES 2 or
/TRANS.2 in the class. Study
previous examples in the overall class and follow that
practice.
C. Preliminary and Final Reports
When a preliminary or draft report is classified, use
/PRELIM. or
/DRAFT at the end of the class. When the final
edition is received, use the same
class without the /prelim. or /draft. In most cases it is not
necessary to use
/FINAL in the class for the final report.
.D. Reprints
A reprint is a new printing of an item made from the original
type image. The printing may
reproduce the original exactly, or it may contain slight
variations, such as changes in names of
officials, or in date of printing.
Reprints are not classified if the original has already been
classified. However, if the original has not
been received in the Library Programs Service but a reprint is,
the latter will be classed using the
regular methods of classification. Never add /REP.
E. Preprints and Separates
Classes for preprints and separates include reprints and
preprints from U.S. Government publications
only.
Reprints from non-Government publications issued by Government
agencies are classified in the
General Publications or other appropriate
classes, and are not treated as
separates.
.Classes for separates or preprints are attached to the classes
for the publications from which the
separates are reprinted by use of a slash and a letter.
F. Special Issues of Serials
All special issues of a serial should be carefully scrutinized
for content and publication pattern. If
issued on a regular basis, they should be given
a separate class and cataloged
separately.
Special issues published irregularly or on a
one-time basis will be assigned the
same classification stem as the parent publication. A slash and
"SPEC.ISS." or a
similar designation will be added at the end. The publication
will be cataloged separately.
.G. Supplements
Supplements are usually issued to serial publications only. They
should be classed according to their
issuing agencies. If the issuing agencies of the supplements are
not the same as the issuing agencies
of the serials, the classes will vary.
A slash and the abbreviation "SUPP." is added to
the end of the classification
number of the publication being supplemented, if the issuing
agency is the same.
For example:
A 105.23:3/5/SUPP.
If the supplement is not for a particular issue, use the date or
volume number followed by a slash
and the supplement number.
Serial supplements with their own frequencies will have separate
classes. In these cases,
/SUPP. is not added.
H. Summaries, Executive Summaries,
etc.
Summaries of various kinds, executive or otherwise, for
monographic
publications are classified by adding an appropriate
abbreviation, such as /SUM.,
/EXEC.SUM, etc., at the end of the class.
If a summary is connected by numbering to a
serial, such as no. 13 of
a monthly, or no. 5 of a quarterly, etc., then assign it the same
classification number as the serial,
and treat it as part of the serial.
For example:
C 3.158:M 28 (80) -13
I. Indexes
An index should be given the same classification number as the
publication it indexes, followed by
/IND.
In the past, some indexes were given separate classification
numbers. Revised editions of these will
keep that class.
1. Date
If there is only one index per year, add the year, a slash,
and the abbreviation
IND. at the end of the class.
For example:
993/IND.
If there is more than one index, then indicate which months
are covered.
For example:
989/1-6/IND.
semiannual index, Jan.-June
989/1-12/IND.
annual index, if cumulative
2. Numbers
Use the numbers which are assigned to the index, followed by
/IND.
For example:
E 43.12:1-53/IND.
3. Volume numbers & numbers
If the index covers a complete volume, add the volume
number, a slash and the abbreviation
IND. at the end of the class.
For example:
E 3.27:4/IND.
If the index covers parts of volumes, include numbers as
follows:
E 3.27:4/1-6/IND.
E 3.27:4/7-12/IND. (semiannual, not
cumulative)
E 3.27:4/1-12/IND. (2nd, cumulative
issue)
J. Electronic Products
"Electronic Products" is a generic term which includes Compact
Disc-Read Only Memory (CD-ROM)
discs, floppy diskettes, accompanying printed technical
documentation, etc.
Add a slash and a designation to show the format of related
materials in classes that contain a variety
of materials and titles. The designations are
/CD for a CD-ROM,
/FLOPPY for a floppy diskette, and
/DOC. for paper
documentation.
K. Sets Including Different Types of Material
Publications with a common title making up a set may be made up
of different types of material.
There may be a report with an accompanying map, for example.
Another set with a common title
but no volume numbers may include a bibliography, a manual, a
report, and a chart.
In all these cases, first decide which publication is the main
publication, and classify it in the
appropriate class. Assign the class for the main publication to
the other publications, adding a slash
and a different word or abbreviation for each of them at the end
of the class.
Each piece will have a separate class number written on it. In
the case of a report accompanied by
a map, classify the report in its appropriate class. Use the
same number as assigned to the report
for the map and add /MAP at the end of the
class. Do not classify a map in a
Maps and charts class if it is part of a set, or
is to be used with another
publication.
If the publications have similar titles but are not issued as a
set, classify the publications separately,
each in its appropriate class.
L. Final Determinations
Ask yourself these questions when classifying a
publication:
Is it a serial or otherwise recurring publication which has, or
should have, a separate class? The
preface may indicate that it is the first in a series of annual,
quarterly, monthly, etc., publications for
which a class has not yet been established. It may be the annual
report of an office. If a series
number is printed on the publication, use it as part of the
classification number if it is not a serial
publication. Refer to Chapter 3.
If a series designation does not appear on the publication, and
the title does not have its own class,
is it:
1. a bibliography?
2. an address or lecture given before a group? (Press
interviews do not fall into this category,
but are treated as press releases.)
3. regulations, rules, or instructions? (Usually this
can be determined from the title,
introduction, etc.)
4. a Federal law, or an act, which belongs in a
Laws class?
5. a map, chart, or poster?
6. a reprint or preprint from another publication?
7. a directory?
8. a form?
If the publication does not fit into any of these categories, it
may be classed in the General
publications class. The General
publications class is a "last resort"
class for any publication which is not the first of a series, and
does not fit into any other established
class...
[ Back to the Table of Contents
]
Chapter
3
Serials and
Series
Section 1. Identifying Serials and
Series
A. Serials
B. Series
1. Departmental vs. Bureau Series
C. Numbering
1. Complicated Series Numbering
D. Publications Which Are Not Serials or
Series
1. Publications of Short Duration
2. Multipart Works
3. Monographs Which Later Become
Serials
4. Miscellaneous Monographs
Section 2. Assigning New
Classes
A. Titles Related to Existing Classes by
Subject
B. New Classes for Existing Serials
C. Serials within Series
1. Cuttering
2. Series Numbering
D. Item Number Designations for States
.Section 3. Book Numbers
A. Serials
1. Volume and Number
2. Date
a) Annual Publications
b) Semiannual Publications
c) Publications Issued Three of More
Times a Year
d) Release vs. Coverage Date
B. Series
1. General Series Designations and
Specific Book Number
2. Volume, Parts or Sections
3. Revised Editions
.Chapter 3
Serials and Series
This chapter addresses a wide variety of issues related to the
establishment and structure of the
Superintendent of Documents class number for series and serial
titles.
Users are reminded of the complex nature of government
publications, which makes it impossible
to formulate "hard and fast" rules to cover all possible problems
as they arise. Study the
publications, consider past practices and future possibilities,
and establish new classes or adapt old
classes as necessary.
When classifying serials and series, refer also to pertinent
sections of other chapters in this manual.
The general rules apply to serials and series, and rules for
special types of material may also be
applicable.
.Section 1.
Identifying Serials and Series
At first glance serials and series appear to be much the same.
Both series and serials are intended
to be published indefinitely. The main difference between a
serial and a series is that individual
issues of a series have both a common title and their own unique
title proper which can only be
found on one particular issue of a series. Serials may have an
occasional issue which has a unique
or distinctive title, but in general each issue has the same
title from issue to issue.
It may be necessary to call the issuing agency to determine if a
particular publication is a serial or
part of a series. Unfortunately, the agencies themselves may not
know what will be published in
the future. Future plans may depend on the reception of the
initial publication, or on available
funds.
Base classification decisions on the information that can be
discerned from the publications and that
can be obtained from the issuing offices. The agency's expressed
intent for the publication should
also be assessed as a determining factor in establishing a class
for a new series or serial.
.A. Serials
A serial is any publication which is issued on a
continuing basis, has a title that
does not change frequently, and has some means of uniquely
identifying individual issues, such as
volume number, issue number, or coverage date. The frequency may
be annual, daily or three or
more times a year, but some serials may be issued irregularly.
In most cases, a serial title is represented in the
Superintendent of Documents classification system
by a unique class that identifies the serial title.
Serials can often be identified by titles that include the words
"annual report, " "advances in" or
"accomplishments for" followed by dates or designations such as
fiscal year. Look for wording that
indicates that the title will be published indefinitely.
If a publication appears to have the qualities of a serial, but
the title is not clearly a serial title,
review the preliminary pages and introduction to see if the
publication is intended to be issued on
a regular basis.
B. Series
A series can be identified by a common title
that is assigned continually to a
group of publications. Each publication also has a unique title
which often covers a single issue or
topic.
In the formulation of the class number, the series designation is
the number assigned after the
department and subordinate bureau number. The number that
represents the series is followed by
a colon.
For example:
E 1.68/2:
DOE/RW, Radioactive waste series
A 17.18/4:
Quick bibliography series
Sometimes the physical makeup of a publication indicates that the
issuing agency intends to publish
additional titles in a series. Perhaps the publication has a
stylized heading which will appear on
future publications. Usually a "one-time" publication will not
have a large heading which includes
the issuing office and date, with an individual title further
down on the publication.
Preservation Tech Notes, I 29.84/3-7:, is a good example of a
series where typography will help the
user identify the agency's intention of creating a series of
publications about preservation techniques.
1. Departmental Series vs. Bureau Series
Series or other numbering may be assigned by a subordinate
bureau or by the parent
department. It is difficult to determine whether a series
is issued by a bureau or by the parent
department until several publications have been received. A
phone call to the agency may be
required.
In a departmental series, many subordinate offices may
contribute to the series.
All of these publications belong to one consecutively
numbered series. They should be kept
together under the class stem for the Agriculture Department
as a whole (A 1.) and not scattered
under several subordinate office classes.
.C. Numbering
For the purposes of Superintendent of Documents classification,
numbering includes letters, symbols
(such as "&"), and punctuation, as well as numbers.
Classification policy is to use the agency-
provided numbering as it is printed on the document. Do not
adjust or modify the numbering simply
for the sake of consistency of style.
For example:
D 101.11:11-5835-241-13 & P
However, agency-provided numbering may be changed as necessary to
eliminate conflicts or correct
printing errors. Spacing should conform to the GPO spacing
conventions described in the Overview.
1. Complicated Series Numbering
Sometimes numbers and letters on a new series are
complicated and undecipherable at first
glance. If possible, gather a few of the publications
together and compare the numbers.
What is the same on each one, and what is different?
Are some of the letters in the series an abbreviation of the
series title?
Is part of the number different on each publication so that
it can be used as part of the class?
Is part of the number the same on several publications but
not on others?
What do the publications have in common that the other
publications do not have?
Does the number perhaps stand for a state name or for a
field of study?
If no logical numbering system can be discerned from a group
of the publications, or if only
one publication is available, call the agency for an
explanation of the numbering system. Take
the time to decipher the number, and use it as part of the
class. Prefer the numbering found on
the publication to Cutter numbers when establishing classes.
D. Publications Which Are Not Serials or Series
1. Publications of Short Duration
There are publications which appear in newspaper,
newsletter, magazine or some other serial-
like forms which are not serials or series. These are known
as publications of short duration.
The publications are planned by the issuing agency to be
published only for a short time. They
are usually associated with a national celebration, such as
a centennial or bicentennial, long-
running exhibition, special project, convention or
conference. They cease publication as soon
as the event is over.
Separate series and serial classes should not be established
for publications of short duration.
Class these items in appropriate category classes.
For example:
I 29.2:H 23/NEWS.1
Harpers Ferry National Historical
Park special boundary study
newsletter
2. Multipart Works
Multipart works are another kind of
publication that has many of the
characteristics of publications in a series. These
publications have a common title that is the
same on all volumes and may have unique titles for each
volume.
Multipart works are not series, however, because the agency
intends to issue only a limited
number of volumes. There may be as few as three volumes or
as many as fifty volumes, one
for each state, or even more.
For example:
D 114.7: U.S. Army in World War II
D 207.12: Naval Documents of the American
Revolution
Separate classes were established for these titles because,
though not true serials, they are on-
going publications, in spite of having a theoretical ending
point.
. 3. Monographs Which Later Become
Serials
An agency may issue a monograph, i.e. a one-time
publication, with no plans to continue to
issue it in the future. Later, however, the agency may
decide to issue the publication annually.
In that case, establish a new class beginning with the
second publication issued. The
classification record should include a reference to the
earlier class.
When new class numbers are assigned, the Library Programs
Service general policy is not to
change class numbers assigned to earlier publications.
4. Miscellaneous Monographs
There are a few other publications which look like serials
or series, but should not be treated
as such. These include:
Censuses
Dictionaries
Encyclopedias
Congressional hearings
Publications which are updated from time to time in
irregular, infrequent, and unplanned
editions
Publications which change their titles frequently (more
than once every three issues)
Serial-like publications which lack a distinguishing
volume or coverage date
..Section 2.
Assigning New Classes
If a title has been identified as a serial or if the first
publication in a series has been identified and
a class number does not already exist for it, a unique class
should be established. As a general rule,
serial and series titles should not be included in category
classes.
If the publication being classified is unrelated to the
publications in classes already established, find
the highest number at the end of the issuing agency's classes and
assign the next available number.
Occasionally classes will be so tightly grouped that there is no
number available in the best spot for
the new series or serial title. Additional classes may be
assigned using a dash-number to solve this
problem. If a dash-number can be assigned which enables similar
publications to remain together
in the classification system, it is advisable to use this method
rather than using the next available
class number.
.A. Titles Related to Existing Classes by Subject
A new title may be related to other publications by its subject
matter, or be issued by the same
subordinate office or agency. When assigning a new class for a
series or serial title, see if the new
publication is related by subject to previously established
classes. For the convenience of library
users, these materials should be kept together on library
shelves.
Grouping by subject can be accomplished by using dash numbers
after slash numbers. This
treatment avoids scattering publications on similar subjects.
For example:
C 55.309/2:
Current Fisheries Statistics
C 55.309/2-2:
Fisheries of the United States (annual)
C 55.309/2-3:
Marine Recreational Fisheries Statistics Survey,
Atlantic and Gulf Coasts (biennial)
C 55.309/2-4:
Frozen Fishery Products, Annual Summary
.
The dash-number should be used only after a
slash number. This means that
a new series or serial is not always classified in the best
possible place. Giving the new title a new
slash-number may be unavoidable.
For example:
E 3.11: Natural gas monthly
E 3.11/2: Natural gas liquids
E 3.11/2-2: Natural gas (annual)
All of the E 3.11/2 classes cover serials
related to the
subject of natural gas.
B. New Classes for Existing Serials
New class numbers for previously classified serials should be
established when:
1) two or more serials merge to form a new
publication
2) the issuing agency, as reflected in the class
stem, changes.
If the title of a serial changes, the class number will remain
the same unless one of the two
exceptions listed above applies.
.C. Serials within Series
Certain agencies publish numbered series which include serial
titles. The same series number
sometimes is assigned to every issue of the serial. It is more
common for each issue of the serial
to carry a unique series number. When each issue has a unique
number, the individual issues of
a serial title are scattered throughout the series, and may be
difficult for the user to find.
Separate classes should be established for a serial title within
a series if the serial issues have unique
series numbers.
Congressional reports, documents and committee prints that use
the Senate numbering system are
the exception to the rule.
If possible, attach the new class to the existing numbered series
class by using a dash or a slash;
otherwise use the next available number. The series number will
not be used after the colon of the
new class designation; dates will be used instead.
. 1. Cuttering
It is not always necessary to establish individual classes
for each unique serial title. When a
different series number is used on every issue of a serial
title, a Cutter number may be used to
identify the serial.
The Foreign Labor Trends series is a good example of this
practice. Each title in the series is
a serial, and most titles are issued annually. There are
over fifty serial titles in the series, each
representing a particular country or jurisdiction.
An individual class could be established for each serial
title. However, the decision was made
to use the series class stem, L 29.16: and the Cutter number
for each geographic area to identify
each title.
For example:
L 29.16:M 82/990-91 Morocco
Consider the projected number of serial titles in a series
before determining whether a unique
class should be established for each title. If voluminous
new classes would result, prefer a
method, such as Cuttering, that would result in fewer
classes.
. 2. Series Numbering
When a serial belonging to a numbered series is uniquely
identified by a number that remains
constant within the series from issue to issue, a new class
need not be established. However,
the number that remains constant cannot contain a variable
number such as a date.
.D. Item Number Designations for States
If separate classes are needed for serial titles that are
repeated for every state in the United States,
then the item number designations for states should be
incorporated in the classification
.
numbers. If the publication covers more than one state, use the
first one named when establishing
the class. When using item numbers 01-09 in the class numbers,
omit the leading zeroes.
Item Number Designations for
States
Alabama. . . . . . . .01 Maine . . . . . . . . .19
Oregon. . . . . . . . 37
Alaska . . . . . . . .02 Maryland. . . . . . . .20
Pennsylvania. . . . . 38
Arizona. . . . . . . .03 Massachusetts . . . . .21
Rhode Island. . . . . 39
Arkansas . . . . . . .04 Michigan. . . . . . . .22
South Carolina. . . . 40
California . . . . . .05 Minnesota . . . . . . .23
South Dakota. . . . . 41
Colorado . . . . . . .06 Mississippi . . . . . .24
Tennessee . . . . . . 42
Connecticut. . . . . .07 Missouri. . . . . . . .25
Texas . . . . . . . . 43
Delaware . . . . . . .08 Montana . . . . . . . .26
Utah. . . . . . . . . 44
Florida. . . . . . . .09 Nebraska. . . . . . . .27
Vermont . . . . . . . 45
Georgia. . . . . . . .10 Nevada. . . . . . . . .28
Virginia. . . . . . . 46
Hawaii . . . . . . . .11 New Hampshire . . . . .29
Washington. . . . . . 47
Idaho. . . . . . . . .12 New Jersey. . . . . . .30
West Virginia . . . . 48
Illinois . . . . . . .13 New Mexico. . . . . . .31
Wisconsin . . . . . . 49
Indiana. . . . . . . .14 New York. . . . . . . .32
Wyoming . . . . . . . 50
Iowa . . . . . . . . .15 North Carolina. . . . .33
District of
Kansas . . . . . . . .16 North Dakota. . . . . .34
Columbia. . . . . . . 51
Kentucky . . . . . . .17 Ohio. . . . . . . . . .35
U.S. Summary. . . . . 52
Louisiana. . . . . . .18 Oklahoma. . . . . . . .36
Outlying areas. . . . 53
For example:
L 2.121/1: Area wage survey, Alabama
L 2.121/2: Area wage survey, Alaska
L 2.121/3: Area wage survey, Arizona
.
However, if the series number uniquely identifies each state,
then the series number rather than
the item number designation is used.
For example:
C 3.204/3-34:989
County business patterns, New York, CBP-89-34
.Section 3.
Book Numbers
A. Serials
The book number for serial titles consists of the date or volume
and number.
Consecutive numbering from year to year
If a publication has consecutive numbering which continues from
year to year, then the numbering
alone is sufficient.
For example:
LC 1.32:159
FLICC Newsletter, January 1992,
no. 159
Number 1 repeats each year
For some serial titles, the first issue of the year always begins
with number 1. Rather than add the
date after the number, the date is used first to keep the year's
publications together.
For example:
D 5.315:990/16
Notice to Mariners, no. 16, April 17, 1990
If the date were not used before the issue number, identically
numbered issues for different years
would be filed next to each other and not be in useful order.
Date incorporated in series number
For many serial titles, agencies will often incorporate the date
of the publication in the series number
that is assigned to the publication. In that case, treat the
publication as a numbered series and use
the date as it is incorporated in the series numbering system and
printed on the publication.
For example:
LC 33.10:90-1 LC science tracer bullet 90-1, Jan.
1990
Sometimes the agency will place the year designation after the
issue number: 1-90.
In these cases, ignore the agency designation and use the date, a
slash, and the issue number: 990/1.
However, this has not been done in many cases in the past when it
would have been advisable.
1. Volume and Number
When a serial title is identified by a volume number and issue
or part number, the book number
consists of the volume number, a slash, and the issue or part
number.
For example:
L 2.41/2:38/10
Employment and earnings, volume 38, number 10,
October 1991
. 2. Date
a) Annual Publications
For annual and less frequent publications, use the last
three digits of the date after the colon.
For example:
D 1.1:990
Annual report to the President and Congress
For reports of publications covering more than one year,
the range of dates is used.
For example:
D 208.107:990-91
Annual register of the United States Naval
Academy, 1990-1991
The number of digits used in the second number depends
on how many are needed for
clarity. Always use at least two digits in the second
date. A publication covering a century
or more would require 3 digits in the second number.
For example:
895-995 1895 - 1995
. An adjustment to the method of using dates will be
required when the year
2000 arrives. The best solution is to
use four digits rather than three.
For example:
895-2000 1895 - 2000
b) Semiannual Publications
Semiannual publications are treated in much the same way
as annuals. The first publication
uses the three-digit date. The publication for the
second half of the year uses the same date
followed by a dash and the number 2.
For example:
S 1.69/2:991
S 1.69/2:991-2
Foreign Consular Offices in the United
States (semiannual)
TD 4.810:983-2
Semiannual report to Congress on the
effectiveness of the Civil Aviation Security
Program, July 1-Dec. 31, 1983
A -1 is not used on the first issue of
a semiannual publication.
. c) Publications Issued Three or More Times
a Year
Quarterly, monthly, weekly, etc., publications are
classified with a 3-digit date, a slash, and
a number.
For example:
EP 1.21/17:990/1
Jan.-Mar. 1990
EP 1.21/17:990/2
Apr.-June 1990
Monthly publications not issued in
August
If a publication is monthly, but is not issued in
August, then make the September issue
number 9, and make a note for the shipping list and on
the classification record.
Combined issues in same year
If two issues are combined within the same year, use the
date, a slash, and both numbers
separated by a dash.
For example:
989/3-4
Combined issues in different years
If two issues for two different years are combined, use
dates and separate each by a dash.
For example:
989/4-990/1
d) Release vs. Coverage Date
Some serial publications carry both a release date and a
coverage date. A decision on which
date to use in the class number should be made when
establishing the class and should be
followed consistently thereafter.
On a monthly publication, the statistics may cover
January 1991, but the most visible date
is a February 1991 release date. Do not decide
immediately that the class should be 991/2
for the February issue.
Alternatively, an annual report may carry only a release
date on the cover, but further
examination indicates that the publication is the annual
report for the previous year.
If a publication is issued weekly and does not contain a
volume number or number, use the
coverage date in the class.
. Look closely at classes assigned to earlier issues to
determine which date is being used for
classification purposes. Special caution is necessary
at the beginning of a new year.
In general, it is better to use the coverage date rather
than the release date when there is a
choice. If the coverage date is not readily
discernible, however, use the release date. This
decision should be made when the class is first
established, then followed consistently
throughout the class.
B. Series
A series may be numbered or unnumbered. An unnumbered series is
Cuttered (see Chapter 4).
The series number appearing on a publication is preferred over
any other designation in formulating
the book number in almost all cases. The series number should be
used as printed, with the
exception of spacing. It may be necessary to adjust the spacing
to conform to the standard GPO
classification spacing conventions described in the Overview.
.Numbering system changes
Sometimes agencies change a series numbering system as the series
is developed. An agency may
first use dates to identify individual issues in a series, and
later change to a numbering system. The
classification number should incorporate whatever changes the
agency initiates. Changes in the
numbering system do not require a new class stem.
Two series on one publication
A publication may have two series printed on it. If both series
have established classes, use the class
for the series appearing first on the title page or cover.
If only one series is established, use that class even if the
other series is presented first on the title
page or cover.
For example:
I 72.12/2:90-0081
On cover: OCS study
MMS 90-0081
Technical report no. 146
.Departmental control number
Do not confuse a departmental series number with
a departmental
control or identification number. The publication
offices of some agencies assign
numbers to their publications for identification of each specific
publication, but this should not be
considered a numbered series for classification purposes.
For example:
S 1.123:L 97/990
Background notes, Luxembourg. (Department of State
publication 9543)
The class S 1.123: is for the unnumbered
Background notes
series. The 9543 is the identification
number that the State Department
has assigned to the publication.
HE 3.19/2:109
Economic forecasting ... (Actuarial note 109, SSA
pub. no. 11-11500
The class HE 3.19/2: is for Actuarial
notes. The SSA number
is the Social Security Administration's identification or control
number.
HE 23.3008:N 95/v.1
Nutrition service provider's guide. DHHS
publication no. (OHDS) 81-70671
The class HE 23.3008: is the category class for
Handbooks, manuals,
and guides of the Administration on Aging. The DHHS
publication number is the
number assigned by the Department of Health and Human Services to
identify this particular
publication.
1. General Series Designations and Specific
Book Number
The numbers printed on the publications may include letters
and numbers identifying the series
as well as individual publication numbers. When establishing
a new class, use the letters or
numbers that are common to the series as a whole as part of
the series title. The book number
will then consist of the number that identifies the specific
title. How much of the number to use
should be decided when a new class is established, and
continued consistently throughout the
class.
For example:
D 101.25:MED 250
Department of the Army technical bulletin TB MED
250
The TB is not used in the book number because
it stands for part of the series
title for this class.
A series may be divided into several subseries, but have only
one class stem established for the
series as a whole. In this case the book number must include
whatever designation the issuing
agency has used to differentiate the various subseries.
For example:
HE 20.3173/2:
Cancergrams: Series CT
HE 20.3173/2:
Cancergrams: Series CB
Complete class numbers:
HE 20.3173/2:CT 01/991/1
HE 20.3173/2:CB 19/991/1
If separate classes had been established for the CB 19 series
and the CT 10 series, only the
numbering unique to the specific titles would be required in
the class.
As a general principle, follow the practice established in
each class. In some classes the complete
series designation has been used in the book number, although
the class stem already identifies
the series.
For example:
C 3.215/3:
Construction reports, Value of new construction
put in place, C 30-(series)
C 3.215/3:C 30-91-8
Construction reports, Value of new construction
put in place, August 1991, C 30-91-8
The book number in this example would have been complete
without the C
30, but at the time the class was established, it was
decided to use the complete
number for this series. Since the designations should be
consistent within a class, continue to
use the complete number for publications in this and similar
series.
. 2. Volumes, Parts or Sections
Series publications may carry volume numbers alone, or volume
numbers and issue numbers.
They may carry numbers only and have individual titles: the
Farmers bulletins, A
1.9:(nos.). They may carry both dates and volume
numbers: Foreign
relations of the United States, S 1.1:(date). Or
they may carry no numbers and
have individual titles: Background notes, S
1.123:(CT).
A multipart set may have the same series number assigned to
all its parts or volumes but not
include the part or volume numbers in the series number.
If the series number printed on the publication does not
reflect the part or volume number, the
part or volume number should be added to the class.
For example:
E 1.35/2:0063/V.2
Cost guide, DOE/MA-0063
volume 2
If the series numbering does include individual part numbers,
use the number as printed, with
no further addition.
For example:
A 1.76:529-47
A catalog of the Coleoptera of America north of
Mexico, Family: Heteroceridae.
Agriculture Handbook 529-47
A 1.76:529-49
A catalog of the Coleoptera of America north of
Mexico, Family: Dryopidae. Agriculture
handbook 529-49
Sometimes a larger publication, in addition to carrying volume
and number designations, will also
carry a part or section number. If this occurs, another slash
is added, followed by the
abbreviation PT. or SEC. and
the number. The
PT. is used as part of the class but not
V. and
NO.
For example:
AE 2.106/3:26/PT.1(SEC.1.0-1.60)/991
Some earlier classes used the abbreviations for volume and
number as part of the class number.
For example:
LC 3.6/5:V.31/PT.14/NO.2
Catalog of copyright entries, Third series, volume
31, part 14, Sound recordings, number
2, July-Dec. 1977
If V. and NO. were used as
part of the class when the class
was established, discontinue this practice when new issues are
received.
. 3. Revised Editions
Add a slash and the date to revised editions of publications
in numbered series that are assigned
the same series number as the original edition.
For example:
A 13.52:162
The gypsy moth, Forest insect
& disease leaflet 162 (1980)
A 13.52:162/989
Gypsy moth, Forest insect
& disease leaflet 162 (1989)
Formerly, revisions of numbered publications were classified
by using the slash and additional
figures beginning with /2. This practice has been
discontinued.
...
[ Back to the Table of Contents
]
Chapter
4
Book
Numbers
Section 1. Cutter Table and Its Use
A. 2-Figure Cutter Table
B. 3-Figure Cutter Table
C. Filing Order for Cutter Numbers
Section 2. Selecting Cutter Words
A. Basic Rule
1. Related Publications
a) Sets With a Collective Title
b) Sets Without a Collective Title
c) Related Publications in Different
Classes
d) Foreign Language Editions
e) Revised Editions
f) Serials
B. Stop Words
1. Words Common to the Federal Government
2. Words Common to the Name of the Agency
3. Catch Phrases
C. Cuttering Related Documents Covering
the Same Geographic Area
1. Similar Subjects
2. General Subjects
3. National Parks, Forests, etc.
4. Personal Names
5. Maps
. D. Special Geographic Numbers
1. State Cutter Numbers
2. Regional Numbers for FBIS and JPRS
E. Cuttering Multi-Part Geographic Names
F. Cuttering Acronyms and Initialisms
Section 3. Additions to Book Numbers
A. Slash Numbers
B. Dates for Revised Editions
1. Corrected Copies of Numbered Volumes
C. Additions to Dates
.
1. Explanations of Numbers
2. Punctuation
D. Part Numbers, Chapter Numbers, Section
Numbers, etc.
E. Volume Number and Date: Which Comes
First?
1. Volume Number Followed by Date
2. Date Followed by Volume Number
F. Language
.Chapter 4
Book Numbers
The book number is the part of the classification number
following the colon, used to uniquely
identify an individual publication.
The complete Superintendent of Documents classification number is
made up of the class stem,
which is a general designation used to bring related publications
together, and the book number,
used to differentiate one publication from all others classed
under the same class stem.
The Superintendent of Documents classification system is
organized to prefer use of those numbers
and other designations actually printed on the documents. These
designations may be of several
kinds:
The series number printed on the publication should be used in
the class whenever possible. For
more information on how to assign a book number for series or
serials, see Chapter 3.
The publication may carry no number and require a Cutter number
from the Cutter table to complete
the class. The use of the Cutter table in the Superintendent of
Documents classification system is
explained below..Section 1
Cutter Table and Its Use
C.A. Cutter's Two-Figure Author Table,
familiarly known as the Cutter table,
was developed by Charles A. Cutter in the 1800's as a library
tool for organizing library materials
alphabetically. There is also a three-figure table. Both the
two- and three-figure tables are used in
the Superintendent of Documents classification system. The
tables are available from commercial
library supply houses.
Cutter numbers are used when there is no series number to
identify the publications and dates are
not appropriate for identification. Cutter numbers are used to
distinguish publications in the
category classes, as well as in unnumbered series classes.
A. 2-figure Cutter Table
When Cuttering, the 2-figure Cutter table is
used in nearly all cases. The table
contains a list of letters, with the first one (or two) in bold
letter. The letters are followed by
numbers.
To find a Cutter number for a publication, a significant word
from the publication's title is first
selected. The first letters of the word are then matched against
the letters listed in the Cutter table.
The Cutter number for a word consists of the bolded letter (or
letters) in the group of letters most
closely matching the word being Cuttered, plus the numbers
following those letters. When a word
falls between two numbers, always choose the
preceding number.
.
For example:
Cutter table:
Chem:
42
Chi:
43
Chim:
44
Chl:
45
Words being Cuttered:
Chemistry: C 42
Cherries: C 42
Children: C 43
Chimes: C 44
China: C 44
B. 3-figure Cutter Table
Cuttering from the 3-figure table follows the same process as in
the 2-figure table. The 2-figure and
3-figure tables are compatible, and may both be used in the same
class when necessary for better
organization of the publications within the class.
The 3-figure table is used for separates and in
some classes where a finer
breakdown is necessary to keep publications on separate subjects
separate, under different numbers.
For example, in some Agriculture Department classes there are
Cuttered publications for
peaches and pears.
Publications on both subjects would be
interfiled under P 31 using the 2-figure Cutter
table. By using the 3-figure table,
each subject would be kept separate, peaches
under P 313;
and pears under P 316.
However, new use of the 3-figure table should be a last
resort measure. If
possible, use a different Cutter word.
.C. Filing Order for Cutter Numbers
Cutter numbers are filed alphabetically by letter, then digit
by digit, not necessarily in numerical
order. This is true whether using the 2- or 3-figure Cutter
tables, or both together.
By filing digit by digit, the publications will remain in
alphabetical order by subject.
.Section 2
Selecting Cutter Words
A. Basic Rule
Cutter from the first significant word in the title which denotes
the subject of the publication. In
cases of doubt between terms, choose the term which comes first
in the title.
In the examples below, the words in bold letters
have been chosen as the best
Cutter words:
Increasing the nutritive value of wood and
forest products....
Report and recommendations on range
conditions....
Pine reforestation task force report....
How the rural community fire protection
program can help you....
Progress report on the cartographic
activities of the U.S. ...
Present and recommended U.S. Government research in
sea-floor
engineering....
Behavior and neurology of lizards
Victims of rape
The Cutter number is, perhaps, the most difficult part of the
class to keep consistent, because its
choice is a matter of individual judgement. In most cases a
Cutter word selection is neither right nor
wrong, but a matter of deciding which word is best for that
particular publication in that particular
class.
When classifying a new publication that falls into a Cuttered
class, first check the class
under all possible Cutter words for similar
publications. If none is found, use the
following guidelines in selecting Cutter words.
1. Related Publications
When a publication is bibliographically related to another
publication, class using the same Cutter
whenever possible.
a) Sets With a Collective Title
Multiple volumes in a set with a collective title should
all be Cuttered under the same term
from the collective title.
. b) Sets Without a Collective Title
Multiple volumes in a set lacking a collective title may
be kept together only when all titles
are known and all titles share a common word.
If all the titles are not known, do not try to keep the
set together; instead, Cutter under the
most appropriate word in each title.
c) Related Publications in Different
Classes
Related publications in different classes, such as draft
and final environmental impact
statements, should be Cuttered under the same term.
d) Foreign Language Editions
A publication may be issued both in English and in one
or more other languages. In order
to keep these publications together, Cutter under an
appropriate word in the English title.
Keep this same Cutter number for the foreign language
editions, and add a slash and the
name of the language. See Chapter 4, Section 3F, below,
for further details.
e) Revised Editions
If the publication being classified is a revised edition
of an earlier publication, it should be
Cuttered using the same word or letter as the original
with the addition of
/(date).
.
f) Serials
Serials should be removed from general classes when it
is discovered that the title is being
issued annually or more frequently, and separate classes
should be assigned. (See Chapter
3.)
When separate classes are established, Cutter numbers
are not needed in the class. There
are a few exceptions made in the boards, commissions,
committees, and congressional
classes, which do have Cutters in the class stems for
serials. (See Chapter 5.)
B. Stop Words
1. Words Common to the Federal
Government
Avoid Cuttering under terms common to the Federal Government,
such as
National, Federal,
United States,
Government, etc., unless absolutely
necessary.
Also avoid using terms such as symposium,
workshop,
report, etc.
All of these words should be considered stop words.. For example, in the following titles, Cutter under the words
in bold letters:
National climate program
National estuarine sanctuary program
Present and recommended U.S. Government research in
sea-floor....
4th international symposium on free
radical stabilization....
2. Words Common to the Name of the
Agency
Avoid Cuttering under words which are common to the agency,
particularly words in the name
of the agency.
For example:
forest Forest Service
health Public Health
Service
labor Bureau of Labor
Statistics
wood Forest Service
Cutter under the name of an agency only when it is the sole
subject of the publication.
3. Catch Phrases
When a title begins with a catch phrase, ignore the catch
phrase. Cutter from the substantive part
of the title which denotes the subject of the publication.
.
For example:
Fishing for compliments? Try sea fare
from NOAA
Paradise regained? Surface mining
control and reclamation....
Of cats and rats: Studies of the
neural basis of aggression.
If the title consists entirely of a catch phrase, Cutter a word
from the phrase.
C. Cuttering Related Documents Covering the
Same Geographic Area
1. Similar Subjects
In classes where the subject matter is similar (i.e., draft
environmental impact statements) Cutter
from the first word of the geographic location.
For example:
Adam's Rib Ski area: draft
environmental impact statement
Draft environmental statement: Alsea
Planning Unit
Oil and gas lease applications of the Los
Padres National Forest: draft
environmental assessment
. 2. General Subjects
In more general classes the geographic location should be
weighed against the first subject term.
Check the class for past practice.
In case of doubt between a subject term and a geographic name,
prefer the geographic term to
Cutter, especially when the subject term is common to the
class.
For example:
Gravity survey of Amargosa Desert area
of Nevada
Water-resources inventory, Antelope
Valley
The effects of decreased nutrient loading
on the limnology of Diamond Lake,
Oregon
But:
Formation and transport of oxidants
along
Gulf Coast...
.
3. National Parks, Forests, etc.
Areas within national parks, forests, wilderness areas, etc.,
should be Cuttered under the name
of the park, forest, etc.
In cases of doubt concerning geographic terms, examine the
class for past practice and try to
follow the pattern if one has been established.
4. Personal Names
When Cuttering a geographic term c
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