1. Electronic Resources Cataloging: Taming of the Shrewd Presented by Louisa Kwok HKUST Library International Seminar on Bibliographic Services August 28 th, 2006. Hong Kong

2. Outline 1. About HKUST Library 2. Electronic resources we catalog 3. Workflow & procedure 4. Cataloging rules & MARC tagging 5. Single record approach vs. separate record approach 6. Challenges 7. ISSN issue 8. Meeting the challenges

3. About HKUST Library Books - 630,000 volumes Journals - 4,500 titles in print and 16,500 online (Web access). E-books & other e-resources - 63,500 titles Microform - 70,000 titles Audio-Visual materials - 24,000 titles

4. Cooperative Cataloging Participation OCLC Full Member. OCLC Enhance Member for Book Format. NACO (Name Authority Cooperative Program of PCC) member since 2000. CONSER (Cooperative Online Serials Cataloging Program of PCC) member since 2002.

5. History 1992 - OCLC Internet Resources Cataloging Experiment Project. 1993 - Started cataloging journals in UMI databases. CD-ROM format. 1995 – Participated in the OCLC “Building a Catalog of Internet Resources” project. Records provided direct links to the Internet resources.

6. History (cont’d) 1999 - Cataloged titles in Web version of UMI databases, ProQuest. 1999/2000 – Participated in OCLC CORC project, cataloging Internet Resources using metadata and Dublin Core. 2001/02 – Large cataloging projects, e.g. IEEE Xplore, ACM Portal, SpringerLink, etc. 2003 – Cataloged large open access collections, e.g. DOAJ, NAP, CDL eScholarship, etc.

7. Direct Access vs. Remote Access Direct access - The use of electronic resources via carriers (e.g., discs/disks, cassettes, cartridges) designed to be inserted into a computerized device or its auxiliary equipment. Remote access - The use of electronic resources via computer networks. --AACR2 Glossary

8. E-Resources That We Catalog Purchased (All) Consortium Purchased (Selected) Open access (Selected)

9. What Do We Select to Catalog? Resources that Offer full-text information. Offer substantial coverage. Fit our collection development policies. Support the curriculum, research and general educational interests at HKUST. Are of scholarly and academic nature. Have relevant geographical coverage.

10. Types of E-Resources We Have Cataloged TypesNo. of Titles Electronic journals Databases Standards Conferences E-Books & misc. HKUST theses 16,508 189 1,744 7,783 50,076 3,766 Total80,066

11. Cataloging of Open Access Resources Have cataloged about 5,000 open access titles. Evaluated by Internet Resources Group based on a set of selection guidelines. Include databases, academic journals, books, Websites, reference tools, etc. Display “Open access” in the OPAC record.(856$z).

13. Some Open Access Examples Database: Europe's Network of Patent Databases Academic Journal: Directory of Open Access Journals - c. 700 titles BioMed Central & PubMed Central - c. 240 titles E-Book: Univ. of Calif. eScholarship e-books – c. 400 NAP e-books – c. 720 titles Website: 中華人民共和國國家統計局 = National Bureau of Statistics of China Reference Tool: 林語堂當代漢英詞典 = Lin Yutang's Chinese-English Dictionary of Modern Usage

14. Establish Inter-Department Workflow Started developing “ Electronic Resources Procedure ” in late 90 ’ s. A document detailing the inter-departmental actions and procedures. Several revisions over the years. Covering the entire process from selection, ordering, receiving, setting up access, cataloging, preparing guide/description, etc.

15. Electronic Resources Procedure Helps us to achieve better coordination among different depts. involved to better communicate between departments. to provide electronic access efficiently. to streamline and simplify the workflow.

16. Electronic Resources Procedure Provides different sets of procedures for Direct-accessed resources Remote-accessed databases E-journals E-publications other than journals Each set has detailed workflow on Adding new resources Updating, e.g. change in title, access, etc. Withdrawal and cancellation.

17. A Linear Communication Model Collection Development Acquisitions ALL librarians Cataloging, Reference, etc. Systems New resource Maintenance

18. Cataloging Rules & Guidelines LC Draft Interim Guidelines for Cataloging Electronic Resources (1997): Descriptive Cataloging Manual (DCM B19) Clarifies some concepts. Provides guidelines on: Single/multiple record approach. Use of 856. Collocating records using 7xx. Indicating other formats in 530. http://www.loc.gov/catdir/cpso/elec_res.html

19. Cataloging Rules & Guidelines (cont’d) AACR2 2002 Revision: Chapter 9 “ Computer Files ” revised and renamed “ Electronic resources ”. GMD [computer file] changed to [electronic resource]. Chapter 12 “ Serials ” renamed to “ Continuing Resources ”. “ Chief source ” changed to be the entire item.

20. What is an Electronic Resource? Computer file (Prior to 2001): “A file (data and/or programs) encoded for manipulation by computers.” Electronic resource (AACR2 2002 Rev.): “Material (data and/or program(s)) encoded for manipulation by a computerized device. This material may require the use of a peripheral directly connected to a computerized device (e.g., CD-ROM drive) or a connection to a computer network (e.g., the Internet).”

21. New Concepts Continuing resource: A bib. resource issued over time with no predetermined conclusion. Includes serials and ongoing integrating resources. Integrating resource: A bib. resource that is added to or changed by means of updates that do not remain discrete and are integrated into the whole.

22. Representation of bibliographic resources in AACR2 Finite resources Monographs Multi-parts Continuing resources Serials Parts remain discrete Integrating resources Updates do not remain discrete

23. References AACR2 2002 Revision LCRI 1.0 BIBCO Manual: Integrating Resources: A Cataloging Manual http://www.loc.gov/catdir/pcc/bibco/irman.pdf

24. OCLC-MARC Coding Guidelines Cataloging Electronic Resources: OCLC-MARC Coding Guidelines (2006 July) A detailed guide to assist catalogers in creating records for electronic resources in WorldCat. Implements AACR2 2002 revision. Members can create records with bib level “i”. http://www.oclc.org/support/documentation/worldcat/cata loging/electronicresources/

26. Leader/06 Type of Record To differentiate MARC records created for various types of content rather than their physical form. Code “m” is now only used for: Computer software; numeric data; multimedia; online systems or services Textual material in electronic form, use the same code as the print version: Former practice – Type: m Current practice – Type: a

27. Leader/07 Bibliographic Level a – Monographic component part b – Serial component part c - Collection d - Subunit i – Integrating resource m – Monograph/item s – Serial …

28. 008/21 Type of Continuing Resource d - Updating database l - Updating loose-leaf m - Monographic series n - Newspaper p - Periodical w - Updating Web site …

29. 008/22 Form of Original Item a Microfilm b Microfiche c Micro opaque d Large print e Newspaper format f Braille s Electronic …

30. 008/23 Form of Item a - Microfilm b - Microfiche c - Micro opaque d - Large print f - Braille r - Regular print reproduction s – Electronic …

31. 008/34 Entry Convention A code that indicates whether an item was cataloged according to successive entry, latest entry or integrated entry cataloging conventions. 0 - Successive entry 1 - Latest entry 2 - Integrated entry Used for integrating resources and electronic serials that do not retain their earlier titles.

32. MARC Tagging Monograph s Continuing Resources Integrating Resources Serials Electronic Resources Leader/06 (Type of Record) = a (Language material)… 008/23 Form of Item = s (Electronic) 008/21 = d, l, w, m, p, n, or w 008/22 = s 008/34 = o, 1, or 2 Leader/07 BibLvl= i (Integrating Res.)

35. Single Record OR Separate Record Approach?

36. Single Record Approach Print and remote electronic access in one record. Other formats, such as, CD-ROM, Microform, have their own records. Pros: Reduces clutter in catalog. Patron views one record for both print and online access. Less cataloging workload.

37. Single Record Approach (cont’d) Cons: Print and online version may differ in content with time. Frequent updating of records is needed with changes in bibliographic info. or subscription. Separate records are still needed for other formats or when content differs. Batch record loading more complicated.

38. Separate Record Approach Before 2003: Each online version is cataloged in a record separate from the print. After 2003: CONSER implemented the aggregator- neutral standard. All online versions of a title are cataloged on a record separate from the print.

39. What is an Aggregator-Neutral Record? Create one record for an electronic serial issued in multiple aggregations. Apply to all online serials distributed by one or more provider. No information specific to any one particular provider, e.g. notes, added entries. To find out more: http://www.loc.gov/acq/conser/agg-neutral-recs.html

40. Separate Record Approach Pros User friendly interface, better browse display. Easier to maintain bib. record for changes. In line with the FRBR concepts. In line with CONSER standard. Facilitate loading vendor records. Cons Splits holdings across multiple records. More records in the catalog.

41. History of Our Practice (Periodicals) YearRecord #1Record #2 Before 1998:PrintCD-ROM 1998-2001:Print + Publisher CD-ROM + Aggregator 2001-2004:Print + (Publisher) CD-ROM + Publisher + Aggregator 2004-nowPrintCD-ROM + Publisher + Aggregator

42. Our Current Policy We use a mixture of treatments: Separate (2) record approach (periodicals): One record for the print and one for the e- version. All e-versions grouped into a single electronic record. Single record approach (non-periodical collections, e.g. books).

46. Other Challenges!

47. Meeting Needs of Various User Groups HKUST Library users. International cooperative cataloging program, CONSER, OCLC. Library staff: Acquisition, Systems, Collection Development, Cataloging, Reference, etc.

48. Loading of Vendor Records To load or not to load, that is the question. Fit our collection scope and level. Quality of the records. Subject headings & classification. For collection assessment & statistics. Access by subject or classification no. Enhance records if resources/technology permitting.

50. Battle Against Fluidity & Volume Keeping track of updates, esp. in aggregators. Incomplete source of information. Missing front matters. Maintaining validity of links. Need to frequently re-catalog existing records. Change of interface.

51. Added Functions of Catalog/Cataloging Past – Provides bibliographic info. only. Now – Also involves access & other info. Metadata for manipulation into other lists or services, e.g. E-journal list, New acquisition list, HKALL, Database list, etc. Linking between catalog records with other e- resources, e.g. via WebBridge.

52. ISSN Issue A different ISSN can be assigned to an electronic format of a serial by publisher. Most systems do not index 022$y - affecting ISSN searching on OPAC. Affecting cross linking of resources, e.g. via WebBridge. Lack of work-level identifier to bring different manifestations of the same work together.

53. Journal of Biomedical Material Research Print record$a Print ISSN $y E-ISSN $a E-ISSN $a 0021-9304 $y 1097-4636 $a 1097-4636 E-record$a E-ISSN $y Print ISSN $a Print ISSN $a 1097-4636 $y 0021-9304 $a 0021-9304 Microform record$a Print ISSN $a E-ISSN $a 0021-9304 $a 1097-4636 Local practice in red.

55. ISSN Issue (cont’d) Enhance ISSN fields of all journal records with local practice. Problems not solved yet! How to link the serial type of publication cataloged separately as monographs. Some e-resources just do not have ISSN, e.g. databases, conference proceedings, news type of publications.

56. Meet the Challenges! Constant weighing of cost vs. effectiveness. Thoughtful and flexible deployment of human resources. A good understanding of user needs and search behavior. Awareness of the pros and cons of various rules and practices. Choose a strategic option after considering all factors Information access vs. subject analysis

57. Five New Laws of Librarianship Libraries serve humanity. Respect all forms by which knowledge is communicated. Use technology intelligently to enhance service. Protect free access to knowledge; and Honor the past and create the future ( Gorman, M. (1995). Five new laws of librarianship. American Libraries, 26 (8), 784-785.

58. Thank you! Questions?