Cataloging Electronic Resources: OCLC-MARC Coding Guidelines

Cataloging Electronic Resources: OCLC-MARC Coding Guidelines

By Jay Weitz, Senior Consulting Database Specialist, OCLC WorldCat Quality Management Division, Revised 2006 July 11.

Introduction

This document originally combined and superseded two older sets of OCLC guidelines for dealing with electronic resources: "Cataloging Electronic Resources: OCLC-MARC Coding Guidelines," by Rich Greene, first published in February 1998; and "OCLC Guidelines on the Choice of Type and BLvl for Electronic Resources," by Jay Weitz, first published in March 1998. This consolidated document was originally prompted by the issuance in June 1999 of "Guidelines for Coding Electronic Resources in Leader/06" by the Library of Congress Network Development and MARC Standards Office. Since that time, it has also incorporated changes prompted by the 2001 revision of AACR2 Chapter 9, “Electronic Resources;” the 2002 revision of AACR2 to take into account integrating resources; the MARC 21 changes implemented on 2002 December 1 in preparation for the full implementation of coding for integrating resources; and the MARC 21 changes implemented in June 2006 that fully implement Bibliographic Level "i" for integrating resources.

Like the two superseded OCLC documents, this revised set of guidelines is intended to assist catalogers in creating records for electronic resources in WorldCat, the OCLC Online Union Catalog. These guidelines pertain to OCLC-MARC tagging (that is, content designation). Cataloging rules and manuals (such as AACR2) govern the content of records. You should implement these guidelines immediately.

In addition to LC's valuable June 1999 "Guidelines for Coding Electronic Resources in Leader/06", which should be consulted for helpful details, sources for further information include the following documents:

• CONSER Cataloging Manual: Module 31--Remote Access Electronic Serials (Online Serials) / CONSER.

• Integrating Resources: A Cataloging Manual / Program for Cooperative Cataloging.

• Draft Interim Guidelines for Cataloging Electronic Resources / Library of Congress.

• Guidelines for Distinguishing Cartographic Materials on Computer File Carriers from Other Materials on Computer File Carriers / Library of Congress.

• Guidelines for the Use of Field 856 / Prepared by the Library of Congress, Network Development and MARC Standards Office.

• ISBD(ER) : International Standard Bibliographic Description for Electronic Resources / recommended by the ISBD(CF) Review Group. (Munchen : K.G. Saur, 1997).

• Use of fixed fields 006/007/008 and Leader codes in CONSER records / Library of Congress.

All of these documents remain primary sources for guidance in the cataloging of electronic resources. The recommendations made here are meant to be extensions of these documents, not replacements for them. Note that Nancy Olson's "Cataloging Internet Resources: A Manual and Practical Guide, 2nd edition," formerly listed here, has been withdrawn because it is out of date.

Remember that these guidelines affect mainly (although not exclusively) the choice of certain fixed field elements, particularly the Type of Record, Bibliographic Level, and Type of File codes. The descriptive rules in AACR2 (especially Chapters 9 and 12, but including other chapters, as appropriate) for cataloging electronic resources continue to apply, as do most other MARC coding decisions.

Definition of Electronic Resource

According to AACR2, 2005 Update, an electronic resource is: "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)." This definition does not include electronic resources that do not require the use of a computer, for example, music compact discs and videodiscs.

"Type of Record" Coding (Fixed Field "Type")

The definition of Leader/06 ("Type of Record") code "m" (Computer file) was revised and greatly narrowed in June 1997 (LC Update No. 3 to USMARC Format for Bibliographic Data) to allow for the coding of electronic resources for the significant aspect of the content, rather than their physical form. Code "m" is now used only for the following general classes of electronic resources:

• Computer software (including programs, games, fonts)
• Numeric data
• Computer-oriented multimedia
• Online systems or services

For these classes of materials, if there is a significant aspect that causes it to fall into another Leader/06 ("Type of Record") category, code for that significant aspect (for instance, vector data that is cartographic is not coded as numeric but as cartographic). Other classes of electronic resources are coded for their most significant aspect (for instance, language material, graphic, cartographic material, sound, music, moving image). In case of doubt or if the most significant aspect cannot be determined, consider the item a computer file. If the resource is essentially the equivalent of a print item but in electronic form, use the same Type code you would use for the print version.

Field 006

In records for electronic resources where the Type Code is not "m," OCLC mandates including the field 006 for the electronic aspects so that the "COM" search qualifier will continue to retrieve these materials. Remember to code the "File" value correctly, usually "d" for textual materials.

"Type" and "File" Coding

In keeping with the current definition of Type code "m," OCLC is recommending the following choices of "Type" code and CF 006/09 and CF 008/26 "File" ("Type of Computer File") values for the following categories of electronic resources. This hierarchical list is based on the list of file designations that Nancy Olson, in the now-obsolete Cataloging Internet Resources manual, had adapted from Section 3.1 of ISBD(ER). Included below are resources accessible directly, such as on CD-ROMs or computer disks, and remotely, such as from Web sites and online files.

In its definitions of certain values for the Computer File 008/26 ("File"), MARC 21 Format for Bibliographic Data clarifies coding for electronic resources that include search software. The presence of search software does not alter the basic intent of the resource and does not mean that the resource should be coded as software. If its primary purpose is, for instance, textual or bibliographic, it remains textual or bibliographic and is coded as such.

In the area of online systems and services, consider whether the system itself (for example, a library system providing an interface to several databases), or the content of the several constituent databases, is being cataloged. When cataloging the system itself, use "Type" code "m" and "File" code "j".

Please note that these categories of electronic resources are listed for purposes of identifying the appropriate codes for "Type" and "File" only. Since the 2004 Update to AACR2 Chapter 9, the Type and Extent of Resource Area (MARC field 256) is no longer used for electronic resources.

"Form of Item" Coding

As part of the MARC 21 format changes implemented by OCLC in April 2000, a new code "s" was validated for the "Form of Item" fixed field, 008/23 and 006/06 in the Books, Serials, Mixed Materials, and Scores formats, and 008/29 and 006/12 in the Maps and Visual Materials formats. On 2002 December 1, the code "s" was also implemented in the "Form of Item" fixed field, 008/23 and 006/06 for the Sound Recordings format. When cataloging an electronic resource that includes a significant aspect in any of these bibliographic formats according to current definitions, use "Form of Item" code "s" in the fixed field "Form" and/or in the "Form element of any 006 fields for that aspect, as appropriate.

Field 007

According to LC's Draft Interim Guidelines for Cataloging Electronic Resources, the computer file 007 is mandatory in any record representing an item whose carrier is a computer file. OCLC endorses this recommendation.

Field 856

For details about the inclusion of field 856, please refer to the section on separate records versus single record. Guidance on the coding of the 856 can be found in LC's Guidelines for the Use of Field 856.

Please be careful about the correct coding of the field 856 second indicator.

• "blank" is used when no information is provided about the relationship of the electronic resource to the bibliographic item described in the record (for instance, use "blank" when the subfield $u contains a URI that is no longer accessible but there is another 856 with a currently accessible URI). Display constant: None.

• "0" is used when the electronic location in the field is for the same electronic resource described by the record as a whole. Display constant "Electronic resource:" may be generated.

• "1" is used when the electronic location in the field is for an electronic version of the resource described by the record (for instance, an electronic version when the record is for a nonelectronic version). Note that the Library of Congress uses code "1" in conjunction with subfield $3 to indicate the electronic location of tables of contents. Display constant "Electronic version:" may be generated.

• "2" is used when the electronic location in the field is for an electronic resource that is related to the bibliographic item described by the record. In this case, the item represented by the bibliographic record is not the electronic resource itself. Use subfield $3 to further characterize the relationship between the electronic item identified in field 856 and the item represented by the bibliographic record as a whole. The display constant Related electronic resource: may be provided. Limit this use to electronic resources that have a specific bibliographic relationship to the resource described in the body of the record. This would include links to such resources as a finding aid for an archival collection or the Web site of a musical group on a bibliographic record for a sound recording. This would not, however, include Web sites that have merely a general subject relationship to the resource.

LCRI 9.7B, marked "LC Practice," deals with "Remote access electronic resources that are no longer available." Because of OCLC's indexing needs and its electronic address checking software, however, we suggest leaving URIs in field 856 subfield $u and adding an appropriate subfield $z note under the following circumstances:

• URI no longer works at all, does not redirect to a more current URI.
  856 4 $u [Dead URI] $z This electronic address not available when searched on [Date]

• URI redirects (either automatically or with a forwarding link) to a new URI.
  856 4 $u [Redirected URI] $z This former electronic address redirects to current address when searched on [Date]

In both of these cases, change the 856 Second Indicator to blank.

In cases where multiple URIs may be appropriate, record them as follows:

• Record a PURL and its corresponding original URL (both of which resolve to the same resource) in separate subfields $u in the same 856 field.

• For most other instances of multiple URIs, record them in separate 856 fields.

When the following characters appear in URIs, you may now use the proper character or substitute the appropriate hex value. Note: Do not confuse these spacing characters with their long-valid non-spacing counterparts.

General Material Designation

The General Material Designation (GMD) "[electronic resource]" will now be used for items that are coded as Type "m." Also use the GMD "[electronic resource]" for all records that would include the computer file 006 according to the OCLC guidelines, regardless of the Type Code.

Integrating Resources

According to AACR2, 2005 Update, an integrating resource is: "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 finite or continuing. Examples of integrating resources include updating loose-leafs and updating Web sites."

Beginning immediately, follow these guidelines for integrating resources:

• Use the Continuing Resources (formerly Serials) workform when creating records for textual integrating resources. Continue to use the 006 field for Continuing Resources (formerly Serials) to create 006 fields for non-textual integrating resources.

• Use Bibliographic Level code "i" (Integrating Resource) when coding a record for an integrating resource. DO NOT use Bibliographic Level code "s" (Serial) or "m" (Monograph) for an integrating resource.

• For an electronic textual integrating resource, the typical Continuing Resource fixed field will be coded as follows:

  Type: a	ELvl: |	Srce: d	GPub: _	Ctrl: _	Lang: |||
  BLvl: i	Form: s1	Conf: 0	Freq: _2	MRec: _	Ctry: |||
  S/L: 23	Orig: s	EntW: _	Regl: _2	Alph: a
  Desc: |	SrTp: _4	Cont: ____	DtSt: c5	Dates: ||||,9999

   

  ¹ Form: For electronic integrating resources, continue to use code "s" in Form.

  ² Freq and Regl: If the integrating resource is truly "continuously updated" (for instance, a constantly updating database, a newspaper's Web site that gets updated as news occurs, etc.), use the Frequency Code "k," which means "the item is updated more frequently than daily;" in that case, the correct Regularity code is likely to be "r" for Regular. More commonly, when the resource is updated less frequently than daily and none of the other Frequency codes apply, use "blank" for Frequency and "x" for Regularity.

  ³ S/L: In the continuing resources fixed field, use code "2" in Entry Convention (S/L, formerly Successive/Latest Entry) to indicate that the record was formulated using the revised rules for integrated entry.

  ⁴ SrTp: In the element SrTp (Type of Continuing Resource, formerly Type of Serial), use code "d" for updating databases, code "l" for updating loose-leafs, or code "w" for updating Web sites, as appropriate.

  ⁵ DtSt: For integrating resources that are currently published, use code "c" (rather than the former practice of code "m"). For integrating resources that have ceased publication, use code "d" (rather than the former practice of code "m").

• Continue to include a computer file 006 and a computer file 007 field in records for electronic integrating resources. For a textual electronic integrating resource, the typical computer file 006 and 007 fields will be coded as follows:

  COM 006:	Type: m	Audn:	File: d	GPub:
  COM 007:	c $b r $d c $e n

   

• For former titles proper of integrating resources, use field 247 in the form:

  247 10 [Title] $f <Dates>

  For changes in titles other than titles proper, use field 246. See LCRIs 12.7A2, 12.7B4.1, 12.7B4.2, 12.7B5.2, 12.7B6.2 for details. Fields 246 and 247 should NOT end with a period unless the final word is an abbreviation.

• Date of Publication: Search site for date of first mounting, earliest copyright date, etc. (check places such as bottom of first screen, "About" link, etc.). See AACR2 rule 1.4F8 and its LCRI for details on the way dates are recorded for integrating resources:

  • When there is no date information present anywhere in the resource, omit 260 subfield $c and give approximate date in 362/1.

    362 1  Began in 1990s.

  • When there is only a single copyright date, omit 260 subfield $c and give approximate beginning date in 362/1.

  • When there is a range of copyright dates, suggesting that the first date may be beginning date, omit 260 subfield $c and give probable beginning date in 362/1, based on first copyright date.

    362 1  Began in 1998?

  • When there is an explicit statement of when resource first came online, give it as the beginning date in 260 subfield $c.

  In short, when a beginning date is explicitly stated in the resource, record it in 260 subfield $c; when the beginning date is not explicitly stated in the resource, omit 260 subfield $c and give the beginning date in 362/1 if ascertainable. If the publication date of the first iteration is stated explicitly on the later iteration, the publication date of the first iteration should be supplied in square brackets in the publication, etc., area. Be sure the fixed field DtSt is coded "c" for integrating resources, and that the Dates 1 and 2 are correctly coded (Date 2 will be 9999).

• Use "Frequently updated" or other appropriate frequency note for integrating resources, according to AACR2 rule 12.7B1, using field 310, current publication frequency. Field 310 should NOT end with a period unless the final word is an abbreviation.

  310    Frequently updated

• "Mode of access" note must be present, according to AACR2 rule 9.7B1, using field 538.

  538    Mode of access: World Wide Web

• "Source of title" note must be present, according to AACR2 rules 9.7B3 and 12.7B3.

  500    Title from title screen Valuable guidance on formulating such notes can be found in the Online Audiovisual Catalogers document Source of Title Note for Internet Resources.

"Description based on" note must be present, according to AACR2 rules 9.7B22 and 12.7B23.

500    Description based on contents viewed [Date]

"Source of title" note and "description based on" note may be combined into a single note, as follows:

500    Title from title screen (viewed on [Date])

For non-transcribed dates that appear in 5XX fields and 856 note subfields, use the form "Month Day, Year" (that is: Jan. 24, 2002). Abbreviate the English language month as appropriate according to AACR2 Appendix B.15.

URIs and LCRIs 9.7B and 21.3B for Remote Access Electronic Resources

Two Library of Congress Rule Interpretations, 9.7B and 21.3B, offer some guidance about how to deal with remote access electronic integrating resources and the disposition of the resource's Uniform Resource Identifier (URI). When the original URI is no longer accessible, but the resource (or a new iteration thereof) is now accessible at another URI, you may edit the existing record to reflect this. When the original URI is still active but now represents an entirely different resource, rather than a new iteration of the original resource, you may create a new record for the new electronic resource. In cases where you are unable to edit, or prefer not to edit the existing record, you are encouraged to report the necessary changes to OCLC.

Separate Records Versus Single Record

Creating separate records for an item is preferable when both remote access electronic versions and tangible or direct access (including, but not limited to, print and other nonelectronic) versions exist. You may, however, find a single record approach is better for your local environment. OCLC recommends that you verify the impact of these options with your local system vendor and other partners prior to implementation. Use of the term "nonelectronic" in the options that follow is meant as shorthand for any tangible resource (including print, videocassette, videodisc, CD-ROM, etc.) and is not meant to exclude, for instance, tangible resources that may have electronic aspects. In that light, elements of the recommendations may need to be adjusted to accommodate such aspects (for example, inclusion of fields 006 and/or 007).

Option 1: Separate records

Nonelectronic item

1. Select the workform based on the current definition of "Type" and the primary aspect of the item.
2. Do not input fields 006 and 007 and do not code "Form of Item" (008/23, 008/29, 006/06, or 006/12, depending on bibliographic format) for the electronic versio
3. Note the availability of the electronic version in field 530.
   Example: Available also on the Internet.
4. Add a 700-730 added entry field for the electronic version when the main entry differs.
5. Optionally, link to the electronic record with field 776.
6. Optionally, provide the location of any remotely accessible version(s) in field(s) 856. Use second indicator "1" when the address is for a version of the resource other than the one described in the body of the entry, or "2" when the address is for an otherwise related resource.

Electronic item

1. Select the workform based on the current definition of "Type" and the primary aspect of the item.
2. Include field 006 for computer file, if Type is not "m."
3. Include field 007 for computer file.
4. Code "Form of Item" (008/23, 008/29, 006/06, or 006/12, as appropriate, depending on bibliographic format) for "electronic" (code "s").
5. Note the availability of the nonelectronic version in field 530.
   Example: Also available in printed form.
6. Add a 700-730 added entry field when main entry for the nonelectronic version differs.
7. Optionally, link to the nonelectronic version using field 776.
8. Provide the location of any remotely accessible version(s) in field(s) 856. Use second indicator "0" when the address is for the resource itself, "1" when the address is for a version of the resource other than the one described in the body of the entry, or "2" when the address is for an otherwise related resource.

Option 2: Single record with a reference to the electronic item

You may create a record for the nonelectronic version and add an annotation about the existence of and access to the electronic version. The nonelectronic version is the primary version and the electronic copy is secondary.

1. Select the workform based on the current definition of "Type" and the primary aspect of the item.
2. Do not input field 006 for the electronic version.
3. Do not code "Form of Item"(008/23, 008/29, 006/06, or 006/12, depending on bibliographic format) for the electronic version.
4. Optionally, include field 007.
5. Note the availability of the electronic version in field 530.
6. Add a 740 added entry when the title for the electronic version differs.
7. Provide the location of any remotely accessible version in field 856. Use second indicator "1" when the address is for a version of the resource other than the one described in the body of the entry or "2" when the address is for an otherwise related resource.

Additional Separate Versus Single Record Considerations

If you are cataloging an electronic item, you need not verify the physical existence of the nonelectronic version or whether it has been cataloged. Similarly, when you catalog a nonelectronic item, you need not verify whether an electronic version exists. In both cases, you need not apply these guidelines, and you may catalog the item as if no other version exists. Apply the input convention in this document if you have verification that electronic and nonelectronic versions exist, and you want to record the existence of both.

In all cases, you may add references to electronic resources that are related to the item described in the body of the record when those references are thought to add value.

The CONSER Cataloging Manual: Module 31--Remote Access Electronic Serials (Online Serials) permits a single record for a nonelectronic item to include information for the electronic version. OCLC's guidelines are currently compatible with CONSER's.

Integrating Resource or Monograph Versus Serial

The decision to code an electronic resource as a monograph or as a serial is a decision made separately from the Type Code decision. Note that for electronic serials where Type is not "a" or "m", two 006 fields will be necessary, one for the electronic aspects and one for the serial aspects.

Apply the current AACR2 definitions of monograph and serial to electronic resources. Treat as serials (Bibliographic Level: s (or b)) only those continuing resources issued in a succession of discrete parts with no predetermined conclusion. The parts may constitute an issue, or in some cases, an individual article.

Applying the current AACR2R definitions may result in different manifestations receiving different cataloging treatment. For example, a manifestation in print form, such as an annual directory, is cataloged as a serial whereas it is cataloged as an integrating resource when the directory takes on the form of an electronic file that is continuously updated. LC and CONSER adhere to current definitions, and OCLC recommends its users do the same. Remotely accessed electronic resources of a dynamic nature that are currently excluded from serial treatment are:

• Databases (including directories, A&I services, etc.)
• Electronic discussion groups (e.g., SERIALST)
• Electronic discussion group digests (e.g., AUTOCAT digest)
• Gopher servers (e.g., LC-MARVEL)
• Online public access catalogs (e.g., OCLC, RLIN)
• Online services (e.g., America Online)
• Web sites (e.g., the CONSER home page)

These electronic resources should be cataloged as integrating resources or monographs, as appropriate.

For further guidance on coding serials see: Use of fixed fields 006/007/008 and Leader codes in CONSER records / Library of Congress.

Electronic Reproductions of Items Previously Published in Print Form

In May 2000, the Library of Congress issued a revised version of LC Rule Interpretation 1.11A. The revision expands LC's "microform exception" to AACR2, outlined in the related LCRI for Chapter 11, to include remotely accessed electronic reproductions of works previously published in printed form (including electronic books). This practice applies only when the reproduction manifestation is represented by its own bibliographic record, separate from any record for the original.

In essence, LCRI 1.11A calls for users to:

• Transcribe the bibliographic data appropriate to the original work being reproduced in the following areas: title and statement of responsibility; edition; material (or type of publication) specific details; publication, distribution, etc.; physical description; series.

• If appropriate, give in the title and statement of responsibility area the General Material Designation that is applicable to the format of the reproduction (in the case of electronic reproductions, the GMD "[electronic resource]").

• Give in a single note (533 field) all other details relating to the reproduction and its publication/availability, including format of the reproduction, dates of publication and/or sequential designation of issues reproduced (for serials), place and name of the agency responsible for the reproduction, date of the reproduction, physical description of the reproduction if different from the original, series statement of the reproduction (if applicable), notes relating to the reproduction (if applicable).

• Use a physical description fixed field (007) applicable to the reproduction, and for electronic reproductions, also supply information about the electronic location and access (856 field).

In addition, OCLC users should include the appropriate field 006 and code "Form of Item" for "electronic" (code "s") as outlined earlier in these guidelines. Optionally, OCLC users may also include a field 539, following field 533, containing data about the reproduction in coded form. See OCLC's Bibliographic Formats and Standards for details on field 539.

Dealing with Existing Records

These guidelines, of course, do not resolve all problems. OCLC's Duplicate Detection and Resolution software, for example, cannot always distinguish one version from another. Indexing and identifying a record as a computer file may not be possible if the local system does not index field 006 or field 007. The cataloging of these electronic resources remains very much in flux, as do the resources themselves. The rules for dealing with them remain a work in progress.

OCLC users are encouraged to submit to the Library of Congress Network Development and MARC Standards Office (ndmso@loc.gov) examples of any electronic resources about which there is ambiguity concerning the coding of Leader/06, CF 008/26, and/or CF 006/09, and any instances not covered by LC's "Guidelines."

Please report to OCLC any needed Type and/or BLvl code changes, as well as any other changes to existing WorldCat records, either by phone, paper, or electronically, as appropriate (see Bibliographic Formats and Standards, section 5.10, for the forms used to report errors and changes to records). OCLC would prefer that you not add duplicate records in these instances. Minimal-Level Upgrade continues to allow changes of BLvl only within the same bibliographic format, except:

• In records with Type Codes "a" or "t," BLvl "a," "c," "d," or "m" can be changed to BLvl "i"
• In records with Type Code "a" and BLvl "b" or "s," the BLvl can be changed to BLvl "i"

WorldCat Database Enrichment currently allows Full Mode users and above to add field 006 and/or 007 to most records through lock and replace (see OCLC Technical Bulletin 246: Database Enrichment).

OCLC recognizes that the conversion of existing records for electronic resources is a significant issue for many groups within the OCLC membership. Through Minimal Level Upgrade, Database Enrichment, CONSER, and Enhance, many OCLC members have the ability to fix many of the records in question. OCLC encourages users to report other records that need to be converted, via any of the usual means.