New Rules for Cataloging Internet Resources: The 2002 AACR2 and MARC21 Revisions and How They Have Affected Electronic Resource Cataloging Association of Caribbean University, Research and Institutional Libraries May 27, 2004 Steve Shadle University of Washington Libraries

2 Acknowledgements Funds in support of this presentation were made possible, in part, by the American Library Association International Relations Committee and the North American Serials Interest Group (NASIG)

3 Status: Rules/Documentation LC/PCC implemented the 2002 Revision on December 1, Revision has been published 2004 Revision will be published in August, included in August Cataloger ’ s Desktop update and implemented by LC/PCC on 1 September

Overview of Main AACR2 Changes Chapter 1 Revision of general rules to accommodate continuing resources; deletion of 1.4D4 Chapter 3 Revised to bring rules into alignment with existing practices; additional and changed rules for cartographic electronic resources Chapter 12 Major revision and new title: Continuing Resources; much of Hallam’s Cataloging Rules for the Description of Looseleaf Publications incorporated into the rules; rules for change in each area of description Chapter 21 Revision of title change rules (now major/minor changes) and rules for added entries Glossary New and changed definitions

5 Concepts and Definitions

6 Bibliographic Resource An expression or manifestation of a work or an item that forms the basis for bibliographic description. A bibliographic resource may be tangible or intangible. New!

7 Continuing and Finite Continuing Resource “ A bibliographic resource issued over time with no predetermined conclusion. Continuing resources include serials and ongoing integrating resources. ” Finite Resource No formal definition A bibliographic resource issued once or over time with a predetermined conclusion (completed within a finite number of parts or iterations). Includes monographs and finite integrating resources New!

8 Monograph A bibliographic resource that is complete in one part or intended to be completed in a finite number of parts. Was: A nonserial item (i.e., an item either complete in one part or complete, or intended to be completed, in a finite number of separate parts) Revised

9 Serial A continuing resource issued in a succession of discrete parts, usually bearing numbering, that has no predetermined conclusion. Examples of serials include journals, magazines, electronic journals, continuing directories, annual reports, newspapers, and monographic series. Was: A publication in any medium issued in successive parts bearing numeric or chronological designations and intended to be continued indefinitely. Serials include periodicals; newspapers; annuals (reports, yearbooks, etc.); the journals, memoirs, proceedings, transactions, etc. of societies; and numbered monographic series. Revised

10 Integrating Resource A bibliographic resource that is added to or changed by means of updates that do not remain discrete and are integrated into the whole. Integrating resources can be either finite or continuing. Examples include updating loose-leafs and updating Web sites. New!

11 Updating Loose-Leaf An integrating resource that consists of one or more base volumes updated by separate pages that are inserted, removed, and/or substituted. New!

12 Iteration An instance of an integrating resource, either as first published or after it has been updated. New!

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Electronic Resources Electronic Documents, etc. (non-updating, static / unchanging, discrete resources) Updating Web Sites & Databases (dynamic / changing resources; new “iterations” do not retain discrete parts) Monographs Electronic Serials (retain discrete parts, usually numbered) Serials Cataloging Before 2002 Amendments:

Electronic Resources Electronic Documents, etc. (static, unchanging, non-updating, discrete resources) Updating Web Sites & Databases (dynamic / changing resources; new “iterations” do not retain discrete parts) Electronic Serials (retain discrete parts, usually numbered) Finite (updated for limited time) Ongoing (updated indefinitely) Cataloging After 2002 Amendments: FiniteContinuing MonographsIntegratingSerials

18 Scope of Chapter 12 (12.0A) Chapter 12 covers rules for all continuing resources, whether successive or integrating Rules also cover the following categories of finite resources: –Publications of limited-duration events –Reprints of serials –Finite integrating resources Chapter 12 does not cover multipart items

19 Highlights: Chapter 12 Called Continuing Resources –Covers rules for serials and integrating resources Rules include provisions for and examples of electronic resources Rules are more complete –Include former RIs/CONSER/Hallam practice Each area ends with a rule for changes in that area

Rule Example 12.1D3. Change in parallel title a)Serials. If a parallel title is added, deleted, or changed on a subsequent issue or part, make a note if the change is considered to be important (see 12.7B5.2). b)Integrating resources. If a parallel title is added, deleted, or changed on a subsequent iteration, change the title and statement of responsibility area to reflect the current iteration and give any earlier parallel title in a note if considered to be important (see 12.7.B5.2).

21 Entry Conventions Successive entry –Used when cataloging serials –New record created when entry changes Integrated entry –Used when cataloging integrating resources –Same record is used (new record is rarely made) –Changes shown in appropriate fields

When to create a new record: Monograph 1 st ed. 2 nd ed. Each edition is complete in one discrete part and content does not change 3 rd ed. Record for second edition Record for first edition Record for third edition A new bibliographic record is created for each new edition

When to create a new record: Serial First Issue: v. 1, no. 1 Continuing indefinitely –no predetermined conclusion Second Issue: v. 1, no. 2 Third Issue: v. 2, no. 1, with major title change Each successively-issued part remains discrete Successive Entry Record for preceding title Record for succeeding title A new bibliographic record is created only if a major change in title or main entry, etc.

When to create a new record: Integrating Resource The Early Music Web Site First Iteration Updates are integrated into the whole resource and do not remain discrete The existing bibliographic record is updated to reflect the latest iteration of the resource Later Iteration Early Music on the Web Latest (Current) Iteration Web Guide to Early Music Continuing indefinitely –no predetermined conclusion Integrating Entry

25 Cataloging Treatment and LCRI 1.0

26 Scope: LCRI 1.0 Gives criteria for treating as monograph, serial or integrating resource (includes former LCRI 12.0A) What is being cataloged? What does the bibliographic record represent? What is the type of issuance for the aspect being cataloged? [Note: Some of this material will be moved into Chapter 1 with the 2004 AACR2 Revision]

Granular Updating Web Site lcweb.loc.gov /catdir /pcc / Level 1 = domain level Level 2 Level 3 = level selected for description Additional sub-levels nested within Maintain consistency of description for this level

In Case of Doubt… About whether a resource is a serial or integrating resource and there’s no information about type of issuance, if it has numbering (or a numbered edition statement), catalog as a serial. Otherwise catalog as an integrating resource

In Case of Doubt… About whether a resource is a monograph or integrating resource and there’s no information about type of issuance, catalog it as a monograph

Monograph vs. Serial Considerations include: Frequency Presence and type of numbering Likelihood of no predetermined conclusion Note: resources related to limited-duration activities are cataloged as serials provided they have serial characteristics

Electronic Resources Consider the form of issuance of the electronic resource itself and not that of an original version Catalog as serial Remote access resource with material added as discrete, usually numbered issues or articles An "issue" can consist of a single article The resource might contain a listing of back volumes, back issues, images of journal covers for sequential issues with only the current issue available as a separate issue Note: for resources locally mounted on networks, the record should reflect the carrier and type of issuance as published

Electronic Resources Catalog as an integrating resource: Remote access resource with material added, changed or deleted via updates that do not remain discrete Catalog as a monograph: Remote or direct access resource complete in one part or intended to be complete in a finite number of parts (including “errata”)

Change in Type of Issuance Publisher may decide to change the type of issuance Monograph stored in a binder gets replacement pages (monograph  integrating) Expanding a multipart so it no longer has a conclusion (monograph  serial) E-serial becomes an updating web site (serial  integrating) Refer to LCRI 1.0 for instructions

Changes to AACR2 Chapter 9

Chapter Name and General Material Designation Old name: Computer files New name: Electronic resources New GMD from chapter 1: [electronic resource] [Note: Applies to all resources that are encoded for manipulation by a computerized device]

Scope of Chapter 9 Electronic resources: –Often include components with characteristics found in multiple classes of materials Cataloging description is therefore often based on multiple AACR chapters –Example: Serially-issued cartographic electronic resource Requires use of chapters 3, 9, and 12

Chief Source of Information [1] Old: the title screen New: the resource itself –Any formally-presented evidence –Prefer the source that provides the most complete information

Chief source of Information [2] title screen main menus program statements initial display of information home page the file header including “Subject:” lines encoded metadata: –TEI headers –HTML/XML meta tags the physical carrier or its labels* Examples of formally presented evidence include: * “Label” = any information embossed into or permanently affixed to a physical carrier by the publisher, as opposed to the container or a locally-added label

Title: Source and Variants Notes Source of title proper note (500) –Required for all electronic resources –New example added: Title from Web page (viewed May 29, 1999) –Illustrates source of title note combined with item described note Variations in title note and added entries (246) –New example added [with MARC coding supplied here]: $i Title in HTML header: $a American Birding Association home page

Type and extent of resource (256) Area 3 for electronic resources –Old name: “File Characteristics” Two parts, each with new name: –Type of resource --3 possible terms: Electronic data Electronic program(s) Electronic data and program(s) –Extent of resource --examples: Electronic data (1 file : 400 records, 1.5 megabytes) Electronic programs (1 file : 125 statements) Electronic data (2 files : 150, 200 bytes) and programs (1 file : 5250 bytes) [Note: This area will be eliminated with the 2004 revision]

Type and extent of resource (256) LCRI 9.3B1: –Do not use Area 3 for LC original cataloging of electronic resources –But accept it on copy Before 2001: –256 Computer data After 2001: –256 Electronic data –Or: No 256 in record

Publication (260) Consider all remote access electronic resources to be published All online resources will have place of publication and publisher. If unknown: 260 $a [s.l. : $b s.n.]

Physical description (300) Currently not used as there is no physical carrier to describe With 2004 Revision, catalogers can optionally provide a physical description 300 $a 1 photograph : $b digital, TIFF file. 300 $a 69 p. : $b digital, PDF file. 300 $a 3 sound files : $b digital, mp3 file. 300 $a 1 electronic text : $b HTML file.

Nature and scope, system requirements, and mode of access note (538) [1] First note for electronic resources –New: “mode of access” added to name of note Mode of access: –Mandatory for all remote access resources –New: must begin with “Mode of access:” –Two new examples added: 538 Mode of access: World Wide Web. 538 Mode of access: Internet via ftp.

Chapter 12 for Electronic Resources Catalogers of Updating Web sites Updating online databases Electronic serials need to use both chapter 9 and chapter 12 to describe the electronic and continuing aspects

Basis of the description for Integrating Resources (IR) Areas based on current iteration: 1. Title and statement of responsibility 2. Edition 4. Publication, distribution, etc. [except dates] 6. Series Area based on first and/or last iterations: 4F. Dates of publication, distribution, etc Areas based on all iterations and any other source: 7. Note 8. Standard number and terms of availability

Basis of the description for Serials Areas based on first/earliest issue: 1. Title and statement of responsibility 2. Edition 4. Publication, distribution, etc. [except dates] Area based on first and/or last issues for each sequence: 3. Numbering Area based on first and/or last issues: 4. Dates of publication, distribution, etc Areas based on all issues: 5. Physical description 6. Series Areas based on all issues and any other source: 7. Note 8. Standard number and terms of availability

Title proper (245 $a) New rules for transcribing title proper Do not transcribe introductory words not intended to be part of the title, such as “ Welcome to ” ; instead give the title with these words in a note [1.1B1] Correct obvious typographic errors and give title as it appears in a note When title appears in full and in the form of an acronym or initialism, choose the full form –e.g., Equal Employment Opportunity Commission instead of EEOC If resource is a part of another resource and bears both the common title and its own section title, give both in that order, separated by a period. –e.g., Program for Cooperative Cataloging. BIBCO home page

Other title information (245 $b) Transcribe only if considered to be important –Cataloger can use judgment if other title information appears dubious or likely to change frequently Do not transcribe if it consists only of words relating to the currency of the contents, e.g., – Database of current nonfiction book publishers instead of: – Database of current nonfiction book publishers, through 2002

Edition statement (250) Give statements indicating regular revision or frequent updating as frequency note, not as edition statement –Examples: Rev. ed. issued every 6 months Frequently updated

Dates of publication (260 $c) Chapter 12 directs us to rules in revised 1.4F: Main rule focuses on whether or not first and/or last iteration or issue is available to cataloger –If so, record dates in 260 $c; if not, give in a note instead (MARC 362) Optional rule allows for recording in 260 $c if date can be readily ascertained --even if not from first/last iteration –LCRI1.4F8: apply this option to integrating resources and multipart monographs on a case-by-case basis when the resource includes an explicit statement

Common Date Scenarios for Integrating Web Resources 1.Single copyright date: © 2004  Usually indicates current year, not beginning date of resource! 2.Range of copyright dates: ©  2nd date usually = current year, is updated annually, is rarely ending date of resource!  1st date usually = beginning date of resource  Can be taken as an “ explicit statement ”. 3.Explicit statement of when resource was first on the Web  E.g., “ About ” page has statement “… the Institute first mounted this Web site in 1998 …” 4.No date information present anywhere in resource

Applying LCRI 1.4F8 for dates Beginning date is explicitly stated in resource: –Record in 260 $c: 260 New York : $b Corona, $c Beginning date is not explicitly stated: –Omit from 260 $c and give in a note if ascertainable: 260 New York : $b Corona Began in  date certain Began ca  probable Began between 1992 and  approximate

Notes for continuing resources Consistent use of MARC tags for all continuing resources, whether serial or integrating –310 Current frequency –321 Former frequency –362 1 Dates of publication when not given in 260 $c –247 Former title proper –550 Issuing body –547 Former title complexity

Publication note Use 362 with first indicator 1 –Unformatted note –For publication dates when not recorded in Area 4 (260 $c) Not same as –Formatted numbering area for serials

Frequency of updates note Always note the frequency of issues or updates Serials: 310 Quarterly 310 Monthly 310 Irregular Integrating resources 310 Updated quarterly 310 Continually updated 310 Updated monthly Note: Use the word ‘updated’ to distinguish between integrating resource updates and serial issues

MARC leader and control fields Bibliographic Level: Code “m” = monograph Code “s” = serial New code “i” = integrating –Not yet implemented by utilities –Until implementation, continue to code integrating resources as monographs

Control fields 006/008 for continuing resources Add Serials 006 to all records for integrating resources –Until implementation of bibliographic level code “i” –To code for the continuing aspects of the resource After implementation of bibliographic level “i”: –textual integrating resources (type of record “a”) will have serials/continuing resources 008 instead of books/language monographs 008

006/008 OCLC Example (Text Web Site) Current OCLC practice: Type: a ELvl: I Srce: d Audn: Ctrl: Lang: eng BLvl: m Form: s Conf: 0 Biog: MRec: Ctry: cau Cont: GPub: LitF: 0 Indx: 0 Desc: a Ills: Fest: 0 DtSt: m Dates: 2000,9999 T006: m Audn: File: d GPub: T006: s Freq: u Regl: u ISSN: SrTp: w Orig: Form: s EntW: Cont: GPub: Future OCLC practice: Type: a ELvl: I Srce: d GPub: Ctrl: Lang: eng BLvl: i Form: s Conf: 0 Freq: u MRec: Ctry: cau S/L: 2 Orig: Entw: Regl: u ISSN: Alph: Desc: a SrTp: w Cont: DtSt: c Dates: 2000,9999 T006: m Audn: File: d GPub:

Continuing Resource 006 elements New in 2002: –Frequency code k (continuously updated) –Type of continuing resource (formerly Type of serial) codes: d (database) l (looseleaf) w (website) –Entry convention (formerly Successive/latest entry) code 2 (integrated entry)

Updating existing records to reflect the current iteration of an integrating resource

Integrated entry cataloging Existing bibliographic record is changed to describe current iteration of resource Data elements of previous iterations recorded in notes –if required or if considered important New bibliographic record created only for: –Certain changes in edition –Mergers and splits –When there is a new work

Identification of iterations in notes LCRI 12.7A2 (LC/PCC Practice): When a data element changes –Give exact information about the timing of the change if that information is readily available –If not, use information already in the record to locate in time the presence of the earlier data element. Give that information in angle brackets For electronic IR: use the date from the “ viewed on ” information

Change in title proper [1] If any change in title proper occurs on a subsequent iteration: –1. Change title/responsibility area (245) to reflect current iteration –2. Give earlier title in a note (247 or 547) “in general”, meaning in most cases Include dates applicable to earlier title

Change in title proper [2] MARC tags for notes on earlier titles proper: 247: Former title proper –Use to generate title added entry in addition to note –Use for title proper only 547: Former title proper complexity note –Use for more complex situations or when a title added entry is not needed.

Change in title proper example 1 Existing record: $a Early music resources on the Web $h [electronic resource]. 500 ## $a Title from HTML header (viewed Jan. 5, 1999) Same record updated: $a Resources for early music $h [electronic resource] $a Early music resources on the Web $f 500 ## $a Title from HTML header (viewed Apr. 15, 2001)

Change in title proper example 2 Same record updated again: $a Resources for early music scholars $h [electronic resource] $a Early music resources on the Web $f $a Resources for early music $f 500 ## $a Title from HTML header (viewed July 7, 2002)

Change in remainder of title statement Parallel title, other title information, statement of responsibility Always change title/responsibility area (245) to reflect current iteration Make a note on earlier data elements only if considered important –500: parallel and other title information; personal names –550: corporate body names –246: added entry for former parallel or other title information –700 & 710: added entries for former names

Change in publisher or place Existing record: 260 New York : $b CoronaWeb, $c Title from home page (viewed Oct. 23, 2000) Same record updated: 260 Los Angeles : $b AXDC Online, $c Title from home page (viewed Jan. 30, 2002) 500 Formerly published by CoronaWeb –[note former publication info. only if considered to be important]

Changes that affect access points Existing Record: Reyes, Carlos, $d CatWeb $h [electronic resource] / $c by Carlos Reyes. 500 Title from HTML header (viewed on Feb. 8, 1998). Same record updated: Reyes, Mary, $d CatWeb $h [electronic resource] / $c by Mary and Carlos Reyes. 500 Title from HTML header (viewed on Aug. 15, 2002) Reyes, Carlos, $d 1976-

Questions about Electronic Resource Cataloging??

The Aggregator-Neutral Record

What is the Aggregator Neutral Record? One record that can be used to represent all online manifestations of an electronic serial –This is a separate record from the print –CONSER will retain the option of using the “single-record approach” to note and provide access to the online version using the print record

Why was it defined? Some aggregations have bought up others, negating the need for separate records and causing confusion about what to do with existing records ScienceDirect Now Offers IDEAL Journals Bringing you the best of both worlds With the acquisition of Harcourt by Elsevier Science, IDEAL articles back to 1993 from 205 prestigious Academic Press journals, as well as titles from Mosby, Churchill Livingstone and W.B. Saunders, are now available on ScienceDirect.

More Why was it defined? The creation of separate records reflects the licensing arrangements of the electronic versions As titles are transferred between providers, the OCLC database will become populated with records reflecting a licensing history, but not providing current description or access

And still more Why was it defined? Few libraries want separate records Half of libraries use “single-record approach” (online access on print record) Customer preference for single record based on perceived user needs Are there bibliographic differences that justify the creation and maintenance of separate serial records??

Implementation CONSER implemented July 1, 2003 CONSER documentation reflects aggregator-neutral policy More info at:

What’s different? One record instead of many No notes or other data specific to a particular aggregation, except URLs and title added entries Moves closer to describing the “platonic ideal” of an e-serial, rather than a particular manifestation (identification vs. description)

Implementation CONSER implemented 1 July 2003 Goal is to both collapse duplicate records and “neutralize” existing records OCLC will collapse and clean up existing records Revised records and deletes will be distributed via the CONSER database Significant clean-up has happened and will be finished by end of 2005.

What will CONSER libraries do? If no record for a title exists, create a record based on the publisher’s website if readily available (or on the version available to cataloger) If a record already exists, use that record (even though it may not represent your provider), neutralize the record and add your URL If multiple records exist, select one (prefer the CONSER record) and add your URL; report the duplicates for deletion and neutralize record

Scope of CONSER Database CONSER libraries will concentrate their efforts on titles in serial packages with a goal of having a record in the database for every serial title in a “package” CONSER libraries will not add or maintain records for titles that are only available as part of a full-text (aggregator) database

Defining the Aggregator-Neutral Record: General Principles Guidelines should be applicable to all e-serials Records will be created according to the same principles as other serials Record identifies the serial and its online nature With the exception of 856, record represents serial as available from all providers (data is applicable to all manifestations) Records are clean and easy to find and use

Source of description Preferred order Publisher’s site (ScienceDirect), when: –It contains the full serial, and –The earlier issues aren’t available elsewhere Host or archiving site (JSTOR, Ingenta) –Prefer over publisher site when 1 st issue is included Record for the print Any other type of aggregation

Uniform Title (130/240) Do not use the name of an aggregator or provider as a uniform title qualifier Use the same qualifier as in print version record Focus (Port of Spain, Trinidad and Tobago) Focus (Port of Spain, Trinidad and Tobago : Online) OCLC Clean-Up: The aggregator/provider name following the word Online has been removed from all serial uniform titles in 130, 240, 6XX, 7XX and linking fields.

Title Proper (245) Transcribe as title proper the title that appears on the first or earliest issue available from the publisher (or provider used as the basis for description). Only consider as possible major title changes those that appear in the manifestation used as the basis for description If there are multiple title presentations appearing with the first/earliest issue, prefer the one corresponding to the print version (if known)

Title Added Entries (246) When the title proper of an e-serial differs between providers, record the title not chosen as title proper in title added entries: $i Issues from some providers have title: $a …

Place of publication and publisher (260 $a/$b) Transcribe the first named place and publisher in the first or earliest issue which would be applicable to all versions of the e-serial For a subsequently digitized serial, this will result in the print version publisher being transcribed

Dates of Publication (260 $c) Transcribe publication dates as found in the serial, even when this is clearly the publication date of the print version. Regard dates of digitization or online availability as “dates of manufacture” and do not transcribe. Continue to follow the AACR practice of only transcribing publications dates when first and/or last issue is available.

Numbering (362) If describing from first issue, use the standard If the first issue has not been digitized or not known whether it has been, use Print began with … Note: Electronic coverage notes will not longer be used

Title Source Note (500) Record an explicit indication of the provider in title source and description based on notes. Also record the file format if available in multiple formats. 500 Title from title screen (publisher’s website, viewed Mar. 22, 2003). 500 Title from caption (IDEAL PDF, viewed May 20, 2003). 500 Description based on: Vol. 5, no. 1 (Jan. 1995); title from contents (OCLC FirstSearch, viewed Jan. 10, 1998).

Provider Notes (500/550) Cease recording notes on agencies involved in digitizing and/or making e- serials available OCLC Clean-Up: Deleted all occurrences of 500/550 beginning with Digitized by, Digitized and made available by, Digitized and made available through, Made available by, Made available through, etc.

Access restrictions note (506) Cease recording 506 notes OCLC Clean-Up: Deleted all occurrences of field 506 in e-serial records Note: This note may still appear on government publications to indicate that all versions of a serial are classified, etc.

Type of computer file or data (516) Cease recording field 516 OCLC Clean-Up: Deleted 516 field from all e-serial records Note: This note may be given for resources where the file format or data type may be specific, unusual and will not likely change over time or between manifestations. Watch for further developments.

System details note (538) Cease recording System requirements notes Continue to create Mode of access: World Wide Web notes Note: System requirements note may still be appropriate for those resources which by their nature have “special” requirements

General comment on deleted notes The Task Group was keeping several criteria in mind in making recommendations: What information is typically different from provider to provider, or conversely What information is common too all manifestations of an e-serial What information changes over time (thus requiring record maintenance) Field 856 $z is the alternative place to record much of the provider-specific information

Provider Added Entries (710/730) Cease using 710/730 to trace the name of providers and the titles of provider packages 710/730 in OCLC e-serial records have already been deleted using identified aggregator lists

Electronic location & access (856) Decision: CONSER will add and maintain URLs for titles on publisher’s web sites, host sites, etc. Decision: CONSER will not add or maintain URLs for title in article-based databases unless that database was used as the basis of description Decision: If contents are split among multiple providers, give coverage data in $3 CONSER will not add or maintain URLs which are institution or consortia specific unless the record would contain no URL. In this case, record access information in 856 $x/$z (specific practice to be determined)

Cataloging Resources PCC Integrating Resource Cataloging Manual: CONSER E-Serials Cataloging Manual: Serials Cataloging Cooperative Training Program (SCCTP)

Questions About… The Aggregator-Neutral Approach?? Electronic Serials Cataloging?? Online Resource Cataloging?? Thank you for your kind patience!!