F e d e r a l    D e p o s i t o r y    L i b r a r y    P r o g r a m

 

[ Click Here For Information About the FDLP Desktop ] Home
About the FDLP
Depository Management
Electronic Collection
Locator Tools & Services
Processing Tools
Publications
Q & A
askLPS  ·  Calendar  ·  Contacts  ·  Library Directory  ·  Site Index  ·  Site Search
....................>

Classification Manual
(Revised July 1993)

Chapter 1 - Class Stem

[  Classification Manual Home    |    Table of Contents  ]

Section 1. Author Symbols

    C. Joint Publications

    D. Name Changes, Reorganizations, etc.

     1. Name Changes

    2. Reorganizations

    Chapter 1
    Class Stem

     The class stem is the classification number up to the colon. It consists of letter author symbols for the parent issuing body, numbers indicating subordinate offices, followed by a period, and numbers designating category classes, series, or serial title, followed by a colon.

    Section 1      [ Top ]

    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     [ Top ]

    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     [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    a) Serial      [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    Subordinate Offices

    A. First and Second Levels      [ Top ]

    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     [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    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      [ Top ]

    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.      [ Top ]

    1. Name Changes      [ Top ]

    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      [ Top ]

    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.

A service of the Superintendent of Documents, U.S. Government Printing Office.
Questions or comments: asklps@gpo.gov.
Last updated: March 1, 2001 
Page Name:  http://www.access.gpo.gov/su_docs/fdlp/pubs/classman/cl_ch1.html
[ GPO Home ][ GPO Access Home ] [ FDLP Desktop Home ] [ Top ]