1. PCC Provider Neutral Record Guidelines for Electronic Monographs, Serials, and Integrating Resources
NOTE:
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Steve Shadle – University of Washington Libraries
CEAL 2017 Cataloging Workshop

2. Outline
Overview and Rationale
Specific Guidelines
Examples

3. Definition
Provider-Neutral Record A bibliographic record representing all online manifestations of a resource made available by multiple online providers. Note: This is not the same as the single-record approach of adding elements describing the online version to a print version record

4. Rationale
Prior to 2003 CONSER catalogers created separate bibliographic records for serial titles from different providers, using a qualified uniform title to distinguish the different manifestations:
130 0 American journal of sociology (Online : JSTOR)
130 0 American journal of sociology (Online : Elsevier)
At that time, uniform titles were not changed as they were intended to be the citation form of the journal title.
In early 2002, David Van Hoy (CONSER liaison, MIT) reported that a number of journal titles were transferred from Wiley to Elsevier (ScienceDirect). Wiley was no longer providing access but the bibliographic record was still identified as Wiley.

5. What was David to do??
Treat as a title change as there was a change in a corporate body in the uniform title qualifier?
American journal of sociology (Online : Wiley)  American journal of sociology (Online : Elsevier)
Separate records linked with 780/785 fields
Use one record but then does the cataloger:
Change the uniform title qualifier??
Redescribe based on the current online provider or keep the existing description (for a resource which no longer exists)
And more importantly, what would happen if another cataloger created a record for the Elsevier version, not knowing about the history with Wiley?
Should the bibliographic catalog record be describing the history of online licensing arrangements for an e-journal or actually describe the resource itself?

6. The Provider-Neutral Approach
In Spring 2002, CONSER proposed the Aggregator-Neutral (later renamed Provider- Neutral) approach for cataloging e-journals:
One bibliographic record for all online manifestations of the same e-journal
Discontinue use of the provider name in a uniform title qualifier
Limit provider-specific information to a small number of MARC fields
PCC adopted this approach for serials in 2003, for textual monographs in 2009 and for all formats in 2011.

7. Why Use The Provider-Neutral Record?

8. PCC Documentation
Provider-Neutral E-Resource MARC Record Guide: P-N/RDA Version (January 2013)
A metadata application profile listing all MARC fields for continuing resources and monographs
“Libraries may make local policy decisions whether to use single or multiple records for their e- resources. Whatever decisions PCC member libraries make for their local catalogs, they still need to follow the provider-neutral guidelines when coding master records in OCLC as PCC records. Any records added to OCLC are subject to having package-specific information removed.”

9. PCC Documentation – Format Specific
Provider-Neutral E-Monograph MARC Record Guide (September 2011)
Provides rationale, FAQ, and numerous examples (including non-textual resources)
“All e-monographic resources cataloged on OCLC should follow the provider-neutral (P-N) model from Day One, even if the resource is available from only one provider at the time of cataloging.
E-monograph records created by either the eContent Synchronization Program (040OCLCE), the DLF Registry of Digital Masters, HathiTrust Digital Library, and other digital preservation projects should be combined with records from other providers onto one provider-neutral E-monograph record.
Separate records may be created in OCLC whenever the cataloger determines that the content of a new online manifestation is significantly different from any existing record.”

10. PCC Documentation – Format Specific
Integrating Resources: A Cataloging Manual (2011)
Appendix A to the BIBCO Participants Manual and Module 35 of the CONSER Cataloging Manual
Provides general guidelines and examples of integrating resources cataloged using Provider-Neutral approach
CONSER Cataloging Manual: Module 31 (2013)
This module covers e-serials cataloging and provides serials specific guidelines and examples of the Provider-Neutral approach

11. Additional Considerations
Online providers (ie, China Academic Journals, Korea Information Science Society, J-Stage) are not considered publishers. Information about online providers appears in very few places in the provider-neutral record.
Preferred transcription source is the resource itself, not the website. This can be challenging for the cataloger if the entire resource is not digitized.
In cases where there is both a physical and online version, transcription will be based on the physical version, either by transcribing those elements from the online version (PDF) or using the physical version record as the transcription source.
Reproductions, simultaneously issued publishers and born digital publications all follow the provider-neutral approach.

12. Additional Considerations
If an online resource is available from more than one provider, prefer the publisher’s version. If the publisher’s version isn’t available, prefer the most complete version.
If versions from different providers have significantly different content (ie, they are different resources/editions), then create separate records.
There are often many records for the same work/expression in OCLC due to machine loads, digitization/preservation projects, etc. Report these to OCLC as duplicates but confirm the records are for the same work/expression. If in doubt, don’t report.
There are no clear instructions on whether digitized reprint editions should be consolidated following the provider-neutral approach. LC-PCC PS 1.11 states that reprints should be cataloged separate so extend that practice to cataloging the digitized versions

13. MARC Fields 020 (ISBN) 022 (ISSN) 040 (Description conventions)
Record each e-version ISBN in a separate 020 $a
Record other ISBN (not for e-version) in separate 020 $z
If it’s not clear which format an ISBN represents, record in $z
022 (ISSN)
There will only be one ISSN assigned for all e-versions
Record e-ISSN in 022 $a
Record p-ISSN in 022 $y
If it’s not clear which format an ISBN represents, record in $y
040 (Description conventions)
In addition to $e rda add $e pn to any record for an online resource. Placement of $e is directly after $b
$a WAU $b eng $e rda $e pn $c WAU

14. MARC Fields 246 (Variant Title) 264 (Publication)
Retain variant titles if using physical version record as source
Record provider-specific title variants if important (with or without an explanatory note)
FIAF international index to film periodicals plus.
$i Available from some providers under the title: $a FIAF databases online
264 (Publication)
Do not record online provider as the publisher
서울특별시 : $b 한국미술연구소
NOT
서울특별시 : $b 누리미디어

15. MARC Fields 347 (Digital File Characteristics)
Do not record file size as it may different substantially from one provider to another
362 (Dates of Publication and/or Sequential Designation: Serials)
If the provider does not make first/last issue available, record the beginning/ending numbering/date of the physical version
Print began with: 第1卷第1号 (2003年3月 [Mar. 2003]).
500/550 (General note/Issuing body note)
Do not use for online package/provider names
588 (Source of Description/Latest issue consulted)
Always include provider name, bibliographic source, date viewed
Description based on online resource; title from title screen (Apabi, viewed November 3, 2015).
Description based on: 第22期 (中華民國 99年 2月 [Feb. 2010]); title from PDF title page (publisher’s website, viewed May 16, 2012).
Description based on print version record.
Latest issue consulted: 第87號 (2014, 6) (KISS, viewed August 1, 2014).

16. MARC Fields
506/533/538/583 (Access restrictions, Reproduction, System Details, Action notes)
Use only for DLF Registry of Digital Masters, HathiTrust Digital Library, or preservation project records
當代中國硏究.
506 $3 Use copy $f Restrictions unspecified $2 star $5 MiAaHDL
Electronic reproduction. $b [S.l.] : $c HathiTrust Digital Library, $d $5 MiAaHDL
Master and use copy. Digital master created according to Benchmark for Faithful Digital Reproductions of Monographs and Serials, Version 1. Digital Library Federation, December $u $5 MiAaHDL
digitized $c 2010 $h HathiTrust Digital Library $l committed to preserve $2 pda $5 MiAaHDL
NOT
Access restricted to subscribers.
538 Mode of access: World Wide Web.

17. MARC Fields 490/830 (Series statement)
Transcribe/record the series only if it applies to all known versions of the online resource
Do not record package/provider series
Contemporary Chinese studies
NOT
ProQuest ebrary
Project Muse eBooks
Canadian electronic library

18. MARC Fields 700-751 (Added Entry)
Use if the information is applicable to all known versions of the online resource
Do not use for package/provider names
周瘦鵑, $e editor.
Zhou, Shoujuan, $e editor.
中國文化硏究所, $e issuing body.
Zhongguo wen hua yan jiu suo, $e issuing body.
NOT
Chinamaxx Digital Library.
China academic journals. $n Series F, $p Literature, history, philosophy.
Japan knowledge library.

19. MARC Fields 856 (Uniform Resource Locator)
Use $u for URLs that are general (not institution specific proxied URLs)
If the domain name is not sufficient to identify the package/provider, use $3 $u
$3 ProQuest: $u &rft_val_fmt=info:ofi/fmt:kev:mtx:dissertation&res_dat=xri:pqm&rft_dat=xri:pqdiss:
NOT $u

20. Chinese-language
serial

22. Japanese-language e-Book

23. Korean-language database

24. Chinese-language e-Book
HathiTrust reproduction

26. ???