VIVA User Services Committee
Subcommittee on Cataloging and Intellectual Access
Guidelines for Cataloging VIVA Electronic Collections
Prepared by Karen Cary, Elaine Day, Jackie Shieh
Revised -- July 1, 1998
1.
Background:
1.1 This document is designed to guide member libraries of VIVA, the
Virtual Library of Virginia in providing Web access to VIVA electronic
resources. The mission of the VIVA consortium is "to provide, in an
equitable, cooperative and cost effective manner, enhanced access to library
and information resources for the Commonwealth of Virginia's academic
libraries ..." (About VIVA from VIVA Homepage,
http://www.gmu.edu/library/fen/viva/about.html). VIVA cataloging
guidelines offer statewide standards and local options. Examples illustrate
MARC-based cataloging from Web OPACs at VIVA institutions having a
wide range of online systems software. The Guidelines are also intended to:
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facilitate sharing of bibliographic records for VIVA resources
provide consistent form and indexing for access points (names, titles,
subjects)
inform library users that these resources are sponsored by VIVA
provide flexibility and local autonomy needed by institutions with a
variety of cataloging and access policies and a variety of local
systems software
1.2 The Subcommittee explored cataloging treatment appropriate to the
stability and content of each resource, the relationship of catalog records to
Web pages for the same resources, and methods for acquiring and sharing
catalog records. The Subcommittee recommends that VIVA libraries adopt
the following strategies for access to electronic resources:
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Catalog as a collection or database a title that is an aggregate of
articles and titles, or abstracts, for which coverage fluctuates or is
incomplete in the online version, e.g. Information Access Company
databases, Cambridge Scientific Abstracts.
Provide multiple pathways from local online catalogs and library
Web pages.
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2.
Share catalog records and cataloging information through
participating libraries.
Evaluate and adapt vendor-supplied USMARC records for full-text
databases such as Chadwyck-Healey's The English poetry full-text
database and its accompanying USMARC records.
Evaluate vendor-supplied batch load records similar to those
supplied by OCLC for Major Microforms Sets.
Criteria for Cataloging:
2.1 The Subcommittee recommends that all resources, whether full-text
journals (individual titles in Project Muse and IDEAL from Academic Press)
or databases (e.g., Expanded Academic Index and General Science Index),
purchased or subscribed to by the VIVA consortium, be cataloged by
VIVA libraries having Web OPACs capable of linking to remote sites.
These guidelines provide a uniform approach to cataloging VIVA resources
with the understanding that local customization may be required for a
library's online catalog. The guidelines contain standards for VIVA
institutions and offer local options to meet the needs of participating
libraries. Serials, monographs, and ongoing publications are treated
separately.
2.2 The standard for definition of a title in print formats is extended to
electronic resources. Priority for cataloging VIVA acquisitions is given to
full-text electronic resources published as discrete titles (e.g., journals from
Project Muse and Academic Press IDEAL). Indexes and databases with
incomplete full text holdings and a focus on subject searching (e.g., IAC's
Expanded Academic Index) are cataloged at the collection level. This
approach maintains the public services distinction between index and source.
An index is cataloged as a database of citations. Each full-text source
(journal, book, etc.) is cataloged as a discrete title.
2.3 Some libraries have cataloged databases from Chadwyck-Healey as
collections of titles. Chadwyck-Healey has provided USMARC tapes to the
University of Virginia for individual titles in their full-text poetry databases.
Six sample records on flat ASCII format are currently available to VIVA
libraries for adaptation to local systems. The University of Virginia was
successful in manipulating Chadwyck-Healey's minimum-level MARC
records (adding URLs, local call no. and replacing obsolete MARC tags).
The College of William & Mary made local adjustments to the flat ASCII
records loaded from UVA's ftp site and succeeded in adapting them for their
SIRSI WebCat. William & Mary is willing to convert Chadwyck-Healey
records to USMARC or OCLC MARC format and make them available for
other VIVA libraries. These analytic records for the Chadwyck-Healey
databases are: English poetry: 4477 bib records, English verse drama:
2283, American poetry: 1288 and African-American poetry: 99. Each record
includes the correct URL for VIVA access. Other VIVA Libraries will be
able to adapt these records to their local systems and provide author and title
access for analytics in the Chadwyck-Healey databases.
3.
Standards and Options:
3.1 One record or two for print and electronic holdings of the same title?
Most VIVA libraries have print holdings for some periodical titles now
available online from Project Muse and Academic Press IDEAL. Many
institutions and consortia have considered the question of whether to use a
single record or separate records for online and print versions. Currently, no
one standard has been adopted. There are many advocates for the one-record
approach among both public and technical services staff. As a result, the
current working trend of many consortia is to adopt the single-record
approach for multiple formats. Under this model, information about the
electronic version of a title is added to the print bibliographic record.
Holdings records identify specific physical or online formats held. The
Subcommittee recommends that each institution make the decision of which
approach to adopt based on local needs, including access policies, cataloging
practices, staffing, finances, and user preferences.
Print and Electronic versions on one record (Innopac at James
Madison University): Canned sample [1multi.htm] .
Print and Electronic on separate records (VTLS Virtua at Mary
Washington College): Canned samples (print [mwc/worldpop.htm]
and electronic [mwc/worldpo.htm] ).
3.2 Collections or Individual titles? The decision to catalog an electronic
resource as a collection, a collection with analytics, or as individual titles is
also a local choice. Ease of access to the individual titles, full online content,
and stability of the titles represented will influence this decision. Project
Muse and Academic Press IDEAL journals should be accessed and cataloged
as individual titles. Access to individual titles will enable users who have
retrieved citations from an index to locate source titles and specific issues
for those citations. Collection level records for Muse and IDEAL search
engines will benefit users who wish to search for topical information in one
or more Muse and IDEAL journals. If the library does not provide title level
access to FirstSearch databases, it is appropriate to catalog FirstSearch as a
collection of databases under one record. Depending on whether the library
decides to catalog at the collection level or the title level, the URL from the
bibliographic record will point to a database of collected titles, an individual
journal, a single database, or a monographic title.
Collection level records:
African-American Poetry, 1760-1900 (SIRSI at the University of
Virginia): Canned sample [aap.htm#Summ] .
Cambridge Scientific Abstracts Internet Database Service (Innopac
at James Madison University): Canned sample [2hrc.htm#summ] .
Cambridge Scientific Abstracts Internet Database Service (SIRSI at
the University of Virginia): Canned sample [csa.htm#summ] .
Project Muse (Innopac at James Madison University): Canned
sample [2muse.htm] .
3.3 Mirror sites and multiple URL's. When a mirror site is available at the
time of cataloging, the cataloger should add its URL for alternative
electronic access. Related URLs that point to an organization's home page,
related resources, or other resources hosted by the primary site (analytics)
can be added to MARC records. If this information is readily available from
other sources, it may be preferable to omit related or analytic URL's from
bibliographic records to reduce the need for database maintenance.
Mirror site:
Annals of Botany (SIRSI at the University of Virginia): Canned
sample [3mirror.htm#URL] .
3.4 Serial or monograph? Resources of a serial nature (e.g., journals,
annuals, newsletters, proceedings), consisting of articles and consecutive,
non-cumulative issues, are cataloged as serials. Continuously updated online
databases, even if their print or CD-ROM versions have been cataloged as
serials, may be considered "ongoing publications," and cataloged under
current standards for loose-leaf monographs or serials. These Guidelines
favor use of the monographic format and loose-leaf rules for ongoing
publications, as recommended by Draft Interim Guidelines from the Library
of Congress. (See Section VI below for a discussion of ongoing
publications.)
English verse drama full-text database (complete, monograph
record--SIRSI at the University of Virginia): Canned sample
[4engver.htm].
Postmodern culture (computer file format, serial record--Innopac at
Radford University): Canned sample. [rfd/4postmod.htm]
Arts & Humanities Search (ongoing, monograph record--Innopac at
James Madison University): Canned sample. [ Arts&Hu.htm]
3.5 Serials records: print or electronic versions? When cataloging
electronic journals, the decision to select a record that describes the
electronic or the print version of a journal title rests with each library.
Libraries who contribute to union catalogs may prefer to choose a record
describing the print version--even though they have no local print holdings-so that all libraries in the union catalog can use the same record for a title
held in multiple formats:
Appetite (Serial record, electronic version--Innopac at Radford
University): Canned sample. [rfd/5appCom.htm]
Appetite (Serials record, print version--SIRSI at the University of
Virginia): Canned sample. [ 5appetit.htm]
3.6 Uniform titles. Electronic versions of print resources are assigned a
uniform title, for example World Politics (Online), to distinguish the online
version from the print version. The uniform title makes it easier for users to
identify and retrieve electronic versions of a title.
Uniform titles in a browse list (VTLS Virtua at Mary
Washington College): Canned sample. [mwc/6browse.htm]
3.7 Added entry for publisher or vendor of electronic collections.
Catalogers will add a note and a corporate name entry for "Project Muse"
and "IDEAL (Project)." A corporate name added entry is commonly used for
names of projects. These name headings have been established by
NACO libraries and are preferred to series treatment.
Corporate author entry for IDEAL (Project) (Innopac at James
Madison University): Canned sample. [leo/7corpAut.htm#IDEAL]
Corporate author entry for Project Muse (NOTIS at Virginia
Commonwealth University): Canned sample. [vcu/7muse.htm]
3.8 VIVA Sponsorship. The Subcommittee recommends that all VIVA
institutions add a local note, such as "Electronic access sponsored by VIVA,
the Virtual Library of Virginia" to bibliographic records for resources
acquired by the consortium:
Note crediting VIVA for sponsorship (Innopac at James
Madison University): Canned sample. [leo/8viva.htm]
3.9 Restrictions on access. Restrictions on user access that are governed
by agreements negotiated by VIVA can be displayed to users in a local note
(590) or URL linking note (856 $z). Access restrictions specific to the VIVA
consortium or to any one institution should not be added to the general
restriction on access note field (506) in OCLC master records.
Access restrictions in URL linking note (SIRSI--UVa): Canned
sample. [5appetit.htm#access]
Access restrictions in local note (Innopac--JMU): Canned sample.
[leo/theo.htm]
3.10 Local holdings. Libraries will develop a variety of strategies for
displaying local holdings, depending on past practice, holdings format
(MARC or non-MARC), and capabilities of systems software. Some
libraries have chosen not to code specific holdings; they rely on the remote
source for holdings information, such as Project Muse.
MARC holdings and locations (SIRSI--UVa): Canned sample.
[10imago.htm#MARC]
Check-in records (Innopac--JMU): Canned sample.
[leo/10prev.htm#local]
Holdings in URL linking note (Innopac--Radford): Canned sample.
[rfd/10semina.htm]
3.11 Web pages and OPACs. A Web OPAC is necessary to provide
hypertext links to cataloged electronic resources. Many VIVA libraries also
provide access to electronic resources through library Web pages. Library
Web pages point to electronic collections, database search engines,
individual periodical titles, and a variety of Web sites. Separate maintenance
of Web pages and MARC bibliographic records for electronic resources has
become a burden for some libraries. The Subcommittee is reviewing options
for generating Web pages from catalog records.
Web page generation projects:
Iowa State University. "Maintaining Lists of Web Resources," in Leveraging the
Online Catalog: Exhibits and Demonstrations [www page]. Ames, IA : Iowa
State University Library [cited 2 February 1998].
Available from http://www.lib.iastate.edu/demo/cat/maintain.html. [Link not
working, 4/21/2009]
James Madison University. Electronic Journals [www page]. Harrisonburg, VA :
James Madison University [ciated 13 January 1998].
Available from http://library.jmu.edu/libliaison/dayel/ejournals.html#browse. [Errant link removed 10/2011]
Knudson, Frances, et. al. Los Alamos National Laboratory. "Creating Electronic
Journal Web Pages from OPAC Records," in Issues in Science & Technology
Librarianship [electronic journal], no. 15 (Summer 1997). [Chicago, Ill.] : the
Science and Technology Section, Association of College and Research Libraries
[cited 16 February 1998].
Available from http://www.library.ucsb.edu/istl/97-summer/article2.html [Errant
link removed 10/2011]
4. Serials examples
4.1 Print and electronic versions on one print serial record:
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Electronic ISSN
Title of print version
Title variants
VIVA sponsorship note for online access only
Other formats available
Local restrictions on access
Subjects
Corporate name of electronic project
Other name added entries
Uniform title for electronic version
Other title added entries
Local holdings
URL
*Linking note
*Primary URL
*URL for mirror site
*URL for contact information
MARC tags for one print serial record [marc.htm]
4.2 Separate record for electronic version:
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Uniform title for online version
Title on home page or opening screen
Title variants
General material designation
VIVA sponsorship note
General restrictions on access
Local access restrictions
File characteristics
Summary, abstract, annotation, etc.
Other available format
System requirements (optional)
Mode of access
Source of title (or with the "Description based on: <date>" note)
Other local notes
Subjects
Name added entries
Title added entries
Local holdings
URL
*Linking note
*Primary URL
*URL for mirror site
*URL for contact information
MARC tags for separate record
[marc.htm#cfserial]
4.3
Examples from various institutions:
Title: Brain and cognition
Innovative
WebPac
Canned
VTLS
Virtua
Web
Innovative
WebPac
Canned
SIRSI
WebCat
Canned
NOTIS
Canned Sample
DRA Endeavor
Web
Canned
Canned Sample
Sample
Canned
Sample
Sample
Sample
Innovative
WebPac
Canned
Sample
SIRSI
WebCat
Canned
Sample
Sample
Title: World politics
VTLS
Innovative
Virtua
WebPac
Web
Canned
Canned
Sample
Sample
DRA
Endeavor
NOTIS
Web
Canned
Canned Sample Canned
Sample
Sample
5. Examples for title of finite nature:
5.1
Print and electronic versions on one print record:
MARC tags for one print record (finite nature) [marc.htm#mono1]
We have no examples in VIVA collections of monographs with identical print
and online content.
5.2 Separate record for electronic version (e.g., encyclopedia, dictionary, home
page, article, novel, image, anthology, statistical database):
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Uniform title for online version
Title on home page or opening screen
Title variants; including HTML header title
General material designation
File characteristics
System requirements (optional)
Mode of access
Source of title (or with the "Description based on: <date>" note)
VIVA sponsorship note
Other available format
Summary, abstract, annotation, etc.
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Contents (optional)
General restrictions on access
Local access restrictions
Other local notes
Subjects
Name added entries
Title added entries
Local holdings
URL
*Linking note
*Primary URL
*URL for mirror site
*URL for analytic
*URL for related site
*URL for contact information
MARC tags for separate record [marc.htm#mono]
5.3
Examples from various institutions:
Title: Britannica Online
VTLS
Innovative
Virtua
WebPac
Web
Canned
Canned
Sample
Sample
Innovative
WebPac
Canned
Sample
SIRSI
WebCat
Canned
Sample
DRA
Endeavor
NOTIS
Web
Canned
Canned Sample Canned
Sample
Sample
6. Ongoing Publications
6.1 Concerns over the seriality of electronic publications relate to the expectation in AACR2
and MARC that the cataloger will identify each new title as either a monograph or a serial.
Many online publications (e.g., home pages, listservs, continually updated databases) do not
seem to behave like monographs, but also do not fit the current AACR2 definition of a serial:
Serial. 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 (AACR2 2nd ed. 1988 rev.,
p. 622).
6.2 "Ongoing publications," a concept suggested by Hirons and Graham [http://www.nlcbnc.ca/jsc/r-serial.pdf], can be issued in multiple parts (e.g., Project Muse titles or monographic
series), or, they can appear in one source that is subject to updating (e.g., Britannica Online, or
a loose-leaf publication). The duration of publication is either "determinate" or
"indeterminate." Ongoing publications contrast with "static" publications, which may also be
issued in multiple parts or a single part, but are complete at the time of cataloging.
6.3 Hirons and Graham have offered three models illustrating possible future treatment of
ongoing publications. Model "A" adds publications issued in successive, unnumbered parts to
the definition of serial. Model "B" which is under consideration by the Joint Steering
Committee for Revision of AACR, goes further by including single part ongoing publications
of indeterminate duration (e.g. databases) under the serial definition. Model "C" dispenses
with the terms "serial" and "monograph," referring instead to all publications as "Static" (single
part or multipart) or "Ongoing" (determinate and indeterminate duration in single or multiple
parts). Some ongoing titles would still require the controls (check-in, etc.) traditionally
associated with serials. Changes in cataloging rules will be required to realize any of the these
models.
6.4 Interim Guidelines from the Library of Congress treat single part ongoing publications
(databases, home pages, listservs) as monographs under existing rules for loose-leaf
publications. OCLC coding guidelines also specify this method, even when the print version of
a database service was cataloged as a serial. Since most VIVA libraries choose to follow LC
and OCLC practice, the VIVA Guidelines recommend cataloging VIVA electronic databases as
monographs.
6.5 Loose-leaf monograph or serial record for electronic database, discussion list,
online services, bulletin board, etc.)
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Electronic ISSN (if available)
Uniform title for online version
Title on home page or opening screen
Title variants; including HTML header title
General material designation
File characteristics
System requirements (optional)
Mode of access
Source of title (or with the "Description based on: <date>" note)
VIVA sponsorship note
Other available format
Summary, abstract, annotation, etc.
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Contents (optional)
General restrictions on access
Local access restrictions
Other local notes
Subjects
Name added entries
Title added entries
Local holdings
URL
*Linking note
*Primary URL
*URL for mirror site
*URL for analytic
*URL for related site
*URL for contact information
MARC tags for Ongoing publications [marc.htm#mono]
7. Collection Management Issues
7.1 The dynamic nature of Internet resources offers challenges for
electronic resource management. All online resources, monographic or
serial, are subject to change in scope and content, growth, or degradation.
Free, voluntary publications can move or disappear without warning. The
stability of electronic collections is dependent on a number of factors,
including:
(1) license and subscription agreements,
(2) relationships of trust with authors, publishers, and Internet hosts,
(3) cooperative efforts among (a) selectors, acquisitions librarians, and
catalogers at the individual library, and (b) consortia, professional
organizations, publishers, vendors, and the computer network industry on a
national and international level.
7.2 Post-cataloging maintenance focuses on changes in URLs and changes
in the content of remote resources. Technology offers solutions for
managing URLs (e.g., PURLs) and sharing catalog records (e.g., union
catalogs, bibliographic utilities). Libraries can adapt cataloging principles
created for static, print publications to the description and indexing of
dynamic, online resources. However, current workflow and budgeting for
acquisition and cataloging assume that bibliographic records will require
little or no post-cataloging maintenance, apart from adding holdings or
withdrawing volumes and titles. Management of dynamic resources with
dynamic catalog description and access points will require creative solutions
and more cooperation.
7.3 To facilitate resource sharing, VIVA libraries should strive for
consistency in description and access points, with little local variation
(except for holdings and local access restrictions) and minimal duplication
of effort. Local and shared information should be carefully delineated.
Future infrastructure may lead to division of shared and local elements on
separate systems. Library systems vendors also have a role in developing
Web OPAC displays and indexing capabilities in ways that support URL
verification, changes in AACR and MARC standards, and consistent display
of elements across systems. Local variation in cataloging is often driven by
differences in OPAC display capabilities among library systems.
7.4 Publishers should notify VIVA when altering their online products and
services, for example addition or deletion of titles, changes in scope or
coverage, or changes in URLs. VIVA should continue to inform
participating institutions of changes via the listserv or other means. The
Subcommittee recommends that this process of tracking and notification for
changes in URLs be automated by utilizing existing software, such as
PURLs and robots. Maintenance of electronic resources is a collection
management issue; VIVA cannot rely solely on vendors to inform it of all
the changes in content. Libraries should develop policies for periodic review
of electronic resources.
8. Bibliography
Hirons, Jean and Crystal Graham. "Issues Related to Seriality" in Papers,
International Conference on the Principles and Future Development
of AACR (Toronto: October 23-25, 1997) [www page; requires
Adobe Acrobat Reader]. Toronto: Joint Steering Committee for
Revision of AACR [cited 6 January 1998].
Available from http://www.nlc-bnc.ca/jsc/r-serial.pdf [link not
working, 4/21/2009]
Howarth, Lynne C. "Content versus Carrier" in Papers, International
Conference
on the Principles and Future Development of AACR (Toronto:
October 23-25, 1997) [www page; requires Adobe Acrobat
Reader]. Toronto: Joint Steering Committee for Revision of AACR
[cited 6 January 1998]. Available from http://www.nlcbnc.ca/jsc/rcarrier.pdf [ link not working, 4/21/2009]
IDEAL. Creating Links to IDEAL [www page]. [San Diego] : Academic
Press,
[cited 16 June 1998].
Available from
http://www.apnet.com/www/ideal/linkgide/links.htm or
http://www.apnet.com/www/ideal/linkgide/urls.htm
International Conference on the Principles and Future Development of
AACR
(Toronto: October 23-25, 1997). "Papers" [www page]. Toronto:
Joint Steering Committee for Revison of AACR [cited 6 January
1998].
Available from http://www.nlc-bnc.ca/jsc/confpap.htm [link not
working, 4/21/2009]
International Federation of Library Associations and Institutions. Section
on
Cataloging. "Functional Requirements for Bibliographic Records:
Draft Report for World-Wide Review" [www page]. Frankfurt am
Main, Germany: IFLA Universal Bibliographic Control and
International MARC Programme. Deutsche Bibliothek, May 1996
[cited 6 January 1998].
Available from http://www.nlc-bnc.ca/ifla/VII/s13/frbr/frbr-toc.htm
[link not working, 4/21/2009]
Library of Congress. Cataloging Policy and Support Office. "Draft Interim
Guidelines for Cataloging Electronic Resources" [www page].
Washington, DC: The Library of Congress [cited 6 January 1998].
Available from http://lcweb.loc.gov/catdir/cpso/dcmb19_4.html
OCLC Online Computer Library Center, Inc. "Cataloging Electronic
Resources :
OCLC-MARC Coding Guidelines." 1998. In InterCat [Online
newsgroup]. [Posted by] Richard Greene, 17 February 1998.
Dublin, Ohio : OCLC [cited 17 February 1998].
Available from InterCat@oclc.org. [Link removed 10/2011]
Contact list owner, Erik Jul, email: jul@oclc.org for retrieval
instructions.
Olson, Nancy B., editor. "Cataloging Internet Resources: a Manual and
Practical
Guide" [www page]. 2nd ed. Dublin, OH: OCLC [cited 6 January 1998].
Available from http://www.purl.org/oclc/cataloging-internet
Shieh, Jackie. A Bibliography of Resources for Cataloging Electronic
Collections
(1997- ) [www page]. Charlottesville, VA.: The University of Virginia
[cited 17 February 1998].
Available from http://viva.lib.virginia.edu/~ejs7y/vivacat/resources.htm
VIVA Cataloging and Intellectual Access Task Force. "Background and
Goals"
[www page]. Richmond, VA : The Task Force, June, 1997 [cited
17 February 1998]. Available from
http://viva.lib.virginia.edu/~ejs7y/vivacat/vivacat.htm
The VIVA User Services Committee Subcommittee on Cataloging and
Intellectual Access thanks the Subcommittee members, Karen Cary,
Elaine Day and Jackie Shieh for their work on these Guidelines. Please
direct questions and comments to any of the authors listed below.
Karen Cary
Catalog Librarian
Virginia
Commonwealth
University
(804) 828-2287
E-mail:
kcary@hsc.vcu.edu
Elaine Day
Electronic Resources
Manager
James Madison University
(540) 568-6582
E-mail: dayel@jmu.edu
Jackie Shieh
Original Cataloger
for Electronic
Resources
University of
Virginia
(804) 924-3206
E-mail:
shieh@virginia.edu
created on 22-May-97 (js); last modified 28-January-98 (ELD), (js)