3  Special Cataloging Guidelines

The provider-neutral cataloging model results in a single bibliographic record to describe all instances of the same manifestation of an online resource, a photocopy, or a print-on-demand reproduction regardless of which content publisher, aggregator, or provider has made the manifestation available.

Provider-neutral cataloging is a practical solution to cataloging the growing number of online resources, photocopies, and print-on-demand reproductions for identical resources. Provider-neutral cataloging guidelines often conflict with other established cataloging instructions with which they are used.

Provider-neutral cataloging guidelines were first developed for cataloging online resources and later expanded to include photocopies and print-on-demand reproductions. Provider-neutral cataloging of online serials began in 2003 and was expanded to include online textual monographs in 2009 and all other online resources in 2011.

Provider-neutral records function as "base" records in the shared cataloging environment by omitting provider-specific details. If you want to include provider-specific information, create or edit the record in accord with these provider-neutral guidelines, then follow the guidelines outlined in section 3.4.1, Copy- or Institution-Specific Information.

Online resources are any form of digital material accessed by means of hardware and software connections to a communications network. They may contain text, notated music, still images, moving images, etc.

Use the following provider-neutral instructions when cataloging online resources in all formats in WorldCat regardless of the cataloging rules used or the language of cataloging. This will result in a single bibliographic record that represents multiple instances of the same online resource for any one language of cataloging. The resulting single bibliographic record will omit details about the provider of the online resource as well as omitting details about technical specifications and system requirements.

Use this technique only when the contents of two online resources are identical. Different manifestations of an online resource still need to be cataloged on separate bibliographic records (e.g., 2nd edition vs. 3rd edition).

Provider-neutral guidelines are applicable when cataloging the first instance of an online resource rather than applicable only when the resource is known to be available online at different locations.

If there is an existing record for an online resource that is cataloged in accord with these provider-neutral instructions, use that existing record for a new instance of the same online resource.

If there is an existing record for an online resource that is not cataloged in accord with these provider-neutral instructions, you may revise the existing record to conform to this policy.

If there is no record for an online resource, but there is a record for related tangible resource, you may derive a new record from the existing record and edit the new record to conform to this policy and revise the description of the original resource in the new record to conform to current cataloging instructions.

Use one record for all instances of the same online resource regardless of:

• Differences in providers
• Differences in provider-specific edition statements
• Differences in provider-specific places of publication, distribution, etc.
• Differences in provider-specific dates of publication, distribution, etc.
• Differences in provider-specific series statements
• Differences in provider-specific accessibility
• Differences in provider-specific encoding formats, file sizes, technical requirements, etc.

Provider-neutral guidelines include online resources issued simultaneously online and in a physical format, online reproductions of resources originally issued in a physical format as well as born-digital resources. The guidelines make no distinctions between these situations related to describing the online resource. Online resources are not cataloged as reproductions even when digitized from existing print resources. The same online resource digitized independently by different providers and placed online at different points in time are represented by one provider-neutral record.

If you want to include provider-specific information, create or edit the record in accord with these provider-neutral guidelines, then follow the guidelines outlined in section 3.4.1, Copy- or Institution-Specific Information.

When creating or upgrading records for online resources, do not include:

• Providers as name access points
• Providers as publishers, distributors, or manufacturers
• Provider-specific edition statements
• Provider-specific places of publication, distribution, etc.
• Provider-specific dates of publication, distribution, etc.
• Provider-specific series statements and access points
• Provider-specific notes (except for source of description notes)
• Information about access restrictions or subscription information
• Information about devices or system requirements
• Information about encoding formats
• Information about file sizes

Exceptions are made to the provider-neutral cataloging guidelines for digital preservation information included in fields 506, 533, 538, and 583 to which subfield ǂ5 is added.

Example:

For more information about provider-neutral cataloging of online resources, see Program for Cooperative Cataloging (PCC) Provider-Neutral E-Resource MARC Record Guidelines.

Example of record for an online resource available from seven different providers:

Photocopies are print reproductions that are produced using xerography or similar processes where the original source is a physical document. Print-on-demand (POD) reproductions are print reproductions that are not printed until an order is received. They are most often printed using digital techniques where the source is a digital document such as a PDF file, although the source may also have been issued as a physical document.

A photocopy or POD reproduction may be made in-house, or it may be ordered from a photocopy or POD service provider. The source of a photocopy or POD reproduction may itself be a reproduction.

Use the following provider-neutral instructions when cataloging photocopies and POD reproductions of textual materials, scores, and cartographic materials in WorldCat regardless of the cataloging rules used or the language of cataloging. This will result in a single bibliographic record that represents multiple photocopies and/or POD reproductions of the same original resource for any one language of cataloging. The resulting single bibliographic record will omit details about the photocopy or POD service provider as well as omitting details about its manufacture, extent, and size.

Do not apply this technique to regular print publications, republications, reprints, formal facsimile reproductions, etc., or to microform reproductions. Use this technique only when the contents of both the original resource and the photocopy or POD reproduction are identical.

Contrary to LC-PCC PS 1.11, also use this technique when cataloging a photocopy or POD reproduction of a book chapter or journal article. In case of doubt as to whether an item meets the criteria outlined above, do not apply this policy.

If there is an existing record for a photocopy or POD reproduction that is cataloged in accord with these provider-neutral instructions, use that existing record for a new photocopy or POD reproduction of the same resource.

If there is an existing record for a photcopy or POD reproduction that is not cataloged in accord with these provider-neutral instructions, you may revise the existing record to conform to this policy.

If there is no record for a photocopy or POD reproduction, but there is a record for the original resource, you may derive a new record from the existing record and edit the new record to conform to this policy without re-describing the original resource to conform to current cataloging instructions. Optionally, you may revise the description of the original resource in the new record to conform to current cataloging instructions.

Use one record for all photocopies and POD reproductions of the same original resource regardless of:

• Differences in places of reproduction
• Differences in reproduction providers or publishers
  
• Differences in dates of reproduction
• Differences in extent resulting from the reproduction (e.g., leaves vs. pages, 2 volumes in 1 vs. 2 volumes, etc.)
• Differences in size resulting from the reproduction (e.g., 22 cm vs. 28 cm)

If you want to include provider-specific information, create or edit the record in accord with these provider-neutral guidelines, then follow the guidelines outlined in section 3.4.1, Copy- or Institution-Specific Information.

For more information about cataloging photocopies and POD reproductions, see LC-PCC PS 1.11.

Example of photocopy and/or POD reproduction record:

This section contains instructions for cataloging resources that are related to other publications, including the cataloging of "in" analytics, offprints and detached copies, supplementary and accompanying material, and parts of a multipart monograph or serial.

If a separate bibliographic record is needed for a component part, you may prepare an "in" analytic entry. A component part is a bibliographic unit that is physically contained in another bibliographic unit, referred to as the host item, in such a way that the host item must be identified to locate the component part (e.g., an article in a serial, a chapter or paper in a book, or a track on a sound recording).

Do not use "in" analytic cataloging conventions for:

• detached copies
• offprints
• single issues of a serial
• single volumes of a multi-volume set
• a collection within a collection (e.g., a collection of correspondence that is contained within a larger archival collection of the papers of an individual or corporate body)

Field 773 can be used for a single issue of a serial, a single volume of a multi-volume set, and a collection within a collection; however, these are not cataloged as "in" analytics.

Use field 773 for information about the host item. Use the following guidelines:

Element	Guidelines for "in" analytics
BLvl	Code for the mode of issuance of the component (e.g., a for monograph, b for serial)
Ctry	If place of publication information is available in field 773 subfield ǂd, code accordingly. Otherwise, code Ctry as xx for unknown.
Dates	Use date in field 773 subfields ǂd or ǂg as appropriate
018	Use for copyright article-fee code
260/264	Do not use field 260 or field 264
300	For records coded RDA or AACR2, record the extent in field 300 subfield ǂa and not in field 773
773	Use subfield ǂd when the host item is a monograph. Use subfield ǂg to record the location of the component part within a serial or multipart item

In the case of host items that are serial or multi-volume in nature, information in subfield ǂg is necessary to point to the exact location of the component part within a bibliographic item.

Example when host item is a serial:

Example when host item is a monograph:

Example of a serial issued within a serial:

An offprint is a copy of an article, chapter, or portion of a publication reprinted from the same plates, file, or image, usually at the same time as the original but issued separately, with or without a cover. Traditionally, offprints have usually been intended for the author's personal use or limited distribution.

A detached copy is a copy of an article, chapter, or portion of a publication that has been removed from the original work.

Both offprints and detached copies may not have a title page but retain pagination from the original publication.

Separate bibliographic records may be created for offprints or detached copies.

Do not use "in" analytic cataloging conventions for offprints or detached copies.

Use the following guidelines for cataloging offprints and detached copies:

• Use RDA 3.4.5.7 or AACR2 2.5B6 to record pagination
• Indicate the relationship to the larger work in a field 580 note. Begin the note with the caption Offprint or Detached from as appropriate.
• Use the authorized access point of the source item in field 580. If the item is a serial, include the numeric and/or alphabetic designation preceded by a period. If appropriate, use the chronological designation enclosed in parentheses.
• If the item is detached from another monograph, consult RDA 27.1.1.3 or AACR2 1.7A3 in citing the source. Access points may be made for the larger work (RDA 25.1.1.3 or AACR2 21.30G).
• In addition to field 580, consider also including field 787

You may catalog supplementary items or accompanying material independently or dependently. When separate records are created for supplements, they are not considered duplicates to records for the entire work.

Do not use these guidelines for kits containing two or more categories of material, no one of which is predominant. Kits may also be single-medium packages of textual materials (e.g., lab kits).

Cataloging supplementary items and accompanying material independently

Cataloging independently refers to cataloging separate records for the supplementary or accompanying material.

• Relate any separate bibliographic record for supplements to the record for the main work via the appropriate authorized access point or linking field or both. When creating a 772 linking field on the record for the supplement, include the OCLC number and LCCN when available.
• If cataloging separately, do not record the accompanying material in field 300 subfield ǂe
• When applicable, add a general note indicating an item was issued both with and without the accompanying material
• Determine the mode of issuance to decide whether to catalog the supplementary item as a monograph, integrating resource, or serial as appropriate
• Do not create records for the individual updates to loose-leaf publications

Cataloging supplementary items and accompanying material dependently

Cataloging dependently refers to cataloging the supplementary or accompanying material on the same record as the main item. If the supplement is in a different format, consider adding 006 field(s) to reflect fixed field coding of the supplementary item(s). It is not necessary to catalog a dependent supplement as a serial just because it has a stated frequency (e.g., an annual supplement to a monograph).

You may catalog a volume or part of a multipart monograph or serial individually using a separate record or you may catalog the set on one record. When separate records are created for individual volumes or parts, they are not considered duplicate records for the entire multipart monograph or serial.

If a record for an item as a whole exists, you may create a record for a part and vice versa. For RDA cataloging, see instructions 1.5.2 and 1.5.3 and related LC-PCC PSs.

Example of a multipart resource cataloged as a set:

Example of volume one cataloged on a separate record:

Example of volume two cataloged on a separate record:

This section contains instructions for cataloging special types of resources, including electronic resources, integrating resources, local recordings, microforms, technical reports, and theses and dissertations.

3.3.1  Electronic Resources

RDA defines a digital resource as: "A resource, consisting of data and/or one or more programs, encoded for manipulation by a computerized device. The resource may require the use of a peripheral device directly connected to a computerized device, an application program, and/or a connection to a computer network." This definition excludes digital resources that do not require the use of a computer, for example, music compact discs and videodiscs. The terms digital resource and electronic resource can be used interchangeably. 

Electronic resources fall into two categories:

• Tangible electronic resources, which include DVD-ROMs, CD-ROMs, etc.
• Online resources
  

Option for separate records

Prefer creation of separate records when both online and tangible versions of the resource exist. If you are cataloging an online resource, however, you do not need to verify the physical existence of a tangible version or whether it has been cataloged. Similarly, when you catalog a tangible resource, you do not need to verify whether an online version exists. In both cases, you may catalog the resource as if no other version exists.

Example of a CD-ROM version record noting the existence of print and online versions:

Example of a print version record noting the existence of CD-ROM and online versions:

Type			a
Form
245	0	0	Child abduction response plan : ǂb an investigative guide
250			2nd ed.
264		1	Quantico, Virginia : ǂb Federal Bureau of Investigation, National Center for the Analysis of Violent Crime, ǂc 2008
300			vi, 64 pages ; ǂc 28 cm
336			text ǂb txt ǂ2 rdacontent
337			unmediated ǂb n ǂ2 rdamedia
338			volume ǂb nc ǂ2 rdacarrier
776	0	8	ǂi Reproduced as (manifestation): ǂt Child abduction response plan. ǂb 2nd ed. ǂd Quantico, Virginia : Federal Bureau of Investigation, National Center for the Analysis of Violent Crime, 2008. ǂh 1 CD-ROM ; 4 3/4 in. ǂw (OCoLC)759590491
776	0	8	ǂi Online version: ǂt Child abduction response plan. ǂb 2nd ed. ǂd Quantico, Virginia : Federal Bureau of Investigation, National Center for the Analysis of Violent Crime, [2008] ǂw (OCoLC)855440238

Example of an online version record noting the existence of print and CD-ROM versions:

Option for a single record for the tangible resource with a reference to the online resource

Separate records are preferred for the tangible resource and the online resource. If, after consultation with your local system vendor and other partners, you decide that a single record approach works better for your local environment, follow the instructions for tangible resources in the table above. Include fields 006 and/or 007 only when applicable to the tangible resource described in the body of the record itself or to other tangible aspects of that resource, such as accompanying material. Always provide the location of any online manifestation in field 856. Use 2nd 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.

Example of a single record for the tangible non-electronic resource with a reference to the online resource:

Type			a
Form
245	0	0	Child abduction response plan : ǂb an investigative guide
250			2nd ed.
264		1	Quantico, Virginia : ǂb Federal Bureau of Investigation, National Center for the Analysis of Violent Crime, ǂc 2008
300			vi, 64 pages ; ǂc 28 cm
336			text ǂb txt ǂ2 rdacontent
337			unmediated ǂb n ǂ2 rdamedia
338			volume ǂb nc ǂ2 rdacarrier
776	0	8	ǂi Reproduced as (manifestation): ǂt Child abduction response plan. ǂb 2nd ed. ǂd Quantico, Virginia : Federal Bureau of Investigation, National Center for the Analysis of Violent Crime, 2008. ǂh 1 CD-ROM ; 4 3/4 in. ǂw (OCoLC)759590491
776	0	8	ǂi Online version: ǂt Child abduction response plan. ǂb 2nd ed. ǂd Quantico, Virginia : Federal Bureau of Investigation, National Center for the Analysis of Violent Crime, [2008] ǂw (OCoLC)855440238
856	4	1	ǂ3 HathiTrust Digital Library, Full view ǂu http://catalog.hathitrust.org/api/volumes/oclc/759583905.html

Example of a single record for the tangible electronic resource with a reference to the online resource:

When cataloging the digital version of a print resource, generally create a separate record for the digital version.

The Digital Library Federation, which drew up the Registry of Digital Masters Record Creation Guidelines with the OCLC Registry of Digital Masters Working Group, no longer maintains the document. An online manifestation of the May 2007 Version 2 document remains available at https://old.diglib.org/collections/reg/DigRegGuide200705.pdf.

An integrating resource is a bibliographic resource that is added to or changed by means of updates that do not remain discrete but are instead incorporated into the whole. Integrating resources can be finite or continuing. These characteristics distinguish them from serials, which are issued in a succession of discrete parts and are intended to continue indefinitely.

Some serials in print format exist as integrating resources when issued online because they are continually or frequently updated and previous iterations no longer exist as discrete issues. The addition of advanced search and browse functionality does not change an electronic serial into an integrating resource. Such functionality allows one to locate information from the discrete issues with the content of the issues remaining intact.

Remotely accessed electronic resources that change frequently are currently excluded from serial treatment (they should be cataloged as integrating resources or monographs, as appropriate):

• 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)
• Online services (e.g., America Online)
• Web sites (e.g., the CONSER home page)

For further guidance on coding serials, see the Library of Congress document Use of Fixed Fields 006/007/008 and Leader codes in CONSER records.

Use the following guidelines when coding integrating resources:

If an integrating resource is continuously updated (e.g., a constantly updating database, a newspaper's website that gets updated as news occurs, etc.), use the Freq code k, which means that the item is updated more frequently than daily. In that case, the correct Regl code is likely to be r for regular. When the resource is updated less frequently than daily and none of the other frequency codes apply, use blank for Freq and x for Regl.

For electronic integrating resources, include computer file field 006 and electronic resource field 007. For non-textual resources, include a continuing resources field 006.

Example of a database updated three times a year:

Example of an irregularly updated loose-leaf resource:

Type			a
BLvl			i
DtSt			c
Date1			2011
Date2			9999
Freq
Regl			x
SrTp			l
Form
S/L			2
245	0	3	An up-to-date copy of the United States Bankruptcy Court for the District of Maryland
264		1	Bethesda, MD : ǂb Rules Service, Pike & Fischer, ǂc [2011?]-
300			volumes (loose-leaf) : ǂb forms ; ǂc 25 cm
310			Updated irregularly

Example of an updating website:

Example of an online video streaming database:

The guidelines below apply to all locally produced and reproduced media, including audio discs, audiotapes, electronic audio files, electronic video files, streaming audio files, streaming video files, videodiscs, videotapes, etc.

There are generally three types of locally made recordings.

Locally produced recordings may exist as either unique copies or as a small number of copies for limited distribution. Use the following guidelines when cataloging these types of resources:

Element	Guidelines for locally produced recordings
Ctry	Treat locally produced recordings that are not available online as unpublished materials, use code xx
	Locally produced recordings available online are considered published, code for the place of publication appearing in field 260 or field 264 subfield ǂa
245	Transcribe title and statement of responsibility information from the item. If the recording lacks a title, supply one following RDA 2.3.2.10 or AACR2 1.1B7 and corresponding instructions in subsequent chapters.
260/264	For resources that are not available online, record only the date of the recording in subfield ǂc unless the date already appears in field 245
	Locally produced recordings available online are considered published, add the place of publication, publisher, and date of publication

You may treat locally reproduced recordings as copies by adding information locally to an existing record. Locally edit the record to reflect those differences or add information to local bibliographic data (LBD). Alternatively, you may create a new record to reflect the resource in hand.

When adding information to an existing record, add a local note in field 590 of the original item indicating the existence of a copy.

If a record exists for the reproduced copy in the same physical format (e.g., VHS videocassette or 1/2 in. videoreel), use that record even if the dates of the copies differ. Locally edit the record to reflect those differences or add information to local bibliographic data (LBD).

Use the following guidelines:

Treat all off-air recordings as unpublished materials. Broadcasting does not constitute publication.

If a record exists for a commercially available version of a program, you may edit that record for local use. Or, you may create a new record.

If you create a new record, use the following guidelines:

• Code the fixed field and field 007 for the copy
• Transcribe the title and statement of responsibility information in field 245 from the title and credits of the existing record
• Enter only the year of the recording in field 260 or field 264 subfield
• Enter data in field 300 that reflects the copy
• Enter a note indicating that the copy was made under license and a note for the name of the station that broadcast the program

If a record exists for an off-air copy in the same physical format (e.g., VHS videocassette or 1/2 in. videoreel) as the piece in hand, use that record, even if the date of the copy and the name of the station that broadcast the program differ. Edit the record to reflect those differences.

If the copy is retained by your institution, making an unlicensed copy of a broadcast may be an infringement of copyright law.

See the U.S. Copyright Office Circular 21, Reproductions of Copyrighted Works by Educators and Librarians, section "Guidelines for off-air recording of broadcast programming for educational purposes."

The Library of Congress follows Anglo-American Cataloguing Rules, first edition (AACR1) for descriptions of microform reproductions of previously existing materials. The principles of AACR1, described in LCRIs for AACR2, chapter 11, state that you should base the bibliographic description on the original publication and place data relating to the reproduction in a secondary position.

PCC applies RDA for the form of the description of the original and for choice and form of access points. You should follow PCC policy.

For RDA cataloging cover microform reproductions, see LC-PCC PS 1.11. For RDA cataloging covering original microforms, see instruction 1.11.

Library and Archives Canada (LAC) records follow AACR2 Chapter 11 and RDA 1.11 for microform reproductions. See chapter 4, "When to Input a New Record," for more information.

OCLC follows LC-PCC policy for English language cataloging of microform reproduction records.

Emphasize the original item and describe the reproduction in a note. Follow AACR2 rules and RDA instructions for the form and content of the description of the original and for choice and form of entry.

Do not create a new record if you retrieve a record with fixed fields coded for the reproduction (in Ctry, Dates, etc.). Instead, edit and replace the record to code the fixed field elements for the original item. If you are unable to edit the record, report the errors to OCLC for correction. For more information, see chapter 5.5, Requesting Changes to Records. Differences in publisher, carrier (e.g., microfilm vs. microfiche), or series justify a new record. See chapter 4, "533 Reproduction Note."

For non-English language cataloging of microform reproduction records, follow the appropriate standard for that language of cataloging.

• Code microform reproduction fixed field elements, except Form, for the original item described in the body of the entry, not for the reproduction, which you describe in field 533
• Code the fixed field element Form for the type of reproduction described in field 533. Use a workform/template appropriate for the original resource.

Field 776 should be used to link bibliographic records for microform reproductions to records for the corresponding hardcopy originals.

For RDA records, use the appropriate subfields to construct field 776 per instructions in LC-PCC PS 1.11 and RDA 27.1.1.3 and the related LC-PCC PS.

For pre-RDA records and CONSER records, field 776 may consist of subfield ǂc with "Original" and subfield ǂw with the MARC Organization Code in parentheses followed by the control number of the record for the hardcopy original. To record the LCCN of the original item when cataloging a microform reproduction, include such data in field 776.

United States Newspaper Program (USNP) was a coordinated national effort to locate, catalog, preserve, and make available to researchers newspapers published in the United States from the eighteenth century to the present. The National Endowment for the Humanities (NEH) funded this national program from 1982 to 2011.

USNP participants cataloged the original paper version of a newspaper and attached union list local data records to the WorldCat record for all formats (e.g., microform, paper, paper reprints, reproductions). The Newspaper Cataloging and Union Listing Manual and the earlier Newspaper Cataloging Manual, CONSER/USNP Edition describe USNP cataloging guidelines.

For more information on this program, see the U.S. Newspaper Program on the NEH website and the United States Newspaper Program on the Library of Congress website.

The U.S. Government Publication Office (GPO) sometimes makes available the original, microform, and electronic versions. GPO catalogs the original (paper), sends microform to some depository libraries, and makes electronic versions available on government websites.

The bibliographic record represents cataloging for the original but may contain item numbers for microform, electronic, and the original in separate 074 fields. A note concerning availability in microform and/or electronic versions may appear in field 530.

You may enter a separate record for a government document if it is in a medium different from that in the GPO record. You may use the GPO record, but it would not accurately reflect what your library holds. See field 074 for more information.

Original microform publications, also called micropublications, are first issued in microform, rather than being reproduced from an existing resource. A microform that is published simultaneously with a print (or other format) version is treated as original because the print does not preexist the microform and both are being generated from the same source at the same time. In case of doubt, treat the microform as an original.

Catalog an original microform publication according to RDA or AACR2. Neither rules treat original microform publications as reproductions. Use the appropriate workform/template to describe the item.

Catalog items that are microreproductions of material prepared or assembled specifically for bringing out an original edition in microform as original microform publications. For example, catalog a microform collection that reproduces previously existing material, but has not itself existed previously as a bibliographic entity, according to RDA or AACR2.

According to ANSI/NISO Z39.23-1997 (S2015) a scientific or technical report is defined as:

A document that conveys the results of basic or applied research ... has a unique, issuer-supplied report number and may have a contract or grant number and an accession or acquisition number ... its readership may be limited, its distribution may be limited or restricted, and its contents may include classified, proprietary, or copyrighted information ... may be written for an individual or organization as a contractual requirement to recount a total research story ... is not usually published or made available through the commercial publishing trade.

Use the following optional guidelines for selected fixed field elements and variable fields when cataloging a technical report:

A thesis or dissertation is a resource submitted by a student studying for an academic degree or professional qualification presenting the results of research or creative activity. The terms thesis or dissertation are often used interchangably. However, the terms thesis or theses are used exclusively throughout the rest of this section.

In many English-speaking countries, including Australia, Canada, New Zealand, and the United States, theses submitted in hardcopy form exist as unpublished resources. They carry no indication of place of publication or publisher. They are often made more widely available through copies, usually in the form of microform, online, or photocopy reproductions.

In some non-English-speaking countries, including Germany and the Netherlands, theses submitted in hardcopy form exist as published resources. They often carry an indication of place of publication and commercial publisher. They may also exist as microform, online, or photocopy reproductions.

Theses submitted in electronic form and made available online are published resources per RDA 2.8.1.1 and AACR2 9.4B2. Use codes a, c, and e for language material, notated music, and cartographic material, respectively, instead of their unpublished counterparts t, d, and f.

Theses submitted in hardcopy form as unpublished resources are described like all other unpublished resources, i.e., place of publication and publisher are omitted from the description. Theses submitted in hardcopy form as published resources are described like all other published resources, i.e., place of publication and publisher are included in the description.

Microform theses are usually reproductions of previously published or unpublished theses rather than original microform publications. They are cataloged as microform reproductions with the body of the description based on the original thesis and details of the microform reproduction added as a note in field 533. For more information about cataloging microform reproductions, see section 3.3.4, Microforms.

Online theses submitted in electronic form and reproductions of those originally submitted in hardcopy form are cataloged as original online publications according to provider-neutral cataloging guidelines. For more information about provider-neutral cataloging of online resources, see section 3.1.1, Online Resources.

Photocopies of previously published or unpublished theses are cataloged as reproductions with the body of the description based on the original thesis with a print reproduction note added in field 533 per LC-PCC PS 1.11. For more information about cataloging photocopies, see section 3.1.2, Photocopies and Print on Demand Reproductions.

The following types of resources are not theses and should not be coded as theses:

• Honors papers, research projects, senior papers, student projects, term papers, etc. In such cases, add a note concerning the nature of the resource (e.g., 500  Honors paper presented to Macalester College, Department Mathematics and Computer Science).
  


• Formal republications of published or unpublished theses, whether by the degree-granting institution or a commercial publisher. In such cases, add a note concerning the bibliographic history of the resource (e.g., 500  Originally presented as the author's thesis ...).

In both cases, do not supply code m in Cont, and do not include information in field 502.

Use the following guidelines for theses:

Element	Guidelines for theses
Type	For unpublished theses, microform reproductions of unpublished theses, and photocopies of unpublished theses, code language material, notated music, and cartographic material with: t - Manuscript language material d - Manuscript notated music f - Manuscript cartographic material
	For published theses, online theses, microform reproductions of published theses, and photocopies of published theses, code language material, notated music, and cartographic material with: a - Language material c - Notated music e - Cartographic material
	For theses, published or unpublished, other than language material, notated music, or cartographic material, code this element as defined in Type
Cont	Optionally, code m for theses in the case of textual theses
Ctry	For unpublished theses, microform reproductions of unpublished theses, and photocopies of unpublished theses, code xx
	For published theses, microform reproductions of published theses, online theses, and photocopies of published theses, code for the place of publication appearing in field 260 or field 264 subfield ǂa
DtSt	For all reproduced theses, code for the original thesis
Date1	For all original and reproduced theses, published or unpublished, record the date of production or publication based on the date appearing in field 260 or field 264 subfield ǂc. For republished theses, record the date of publication of the republished version based on the date appearing in field 260 or field 264 subfield ǂc. Do not record the date based on field 502 subfield ǂd.
Date2	For republished theses, record the date production or publication of the original thesis based on data appearing in field 500
GPub	Code blank
100	Optionally, enter a relationship term in subfield ǂe (e.g., author)
260/264	For unpublished theses, microform reproductions of unpublished theses, and photocopies of unpublished theses, omit place of publication and publisher, and record the date of production
	For published theses, microform reproductions of published theses, online theses, and photocopies of published theses, add the place of publication, publisher, and date of publication
490	For unpublished theses, microform reproductions of unpublished theses, and photocopies of unpublished theses, omit series statements since unpublished resources are not issued in series
502	Enter a thesis note giving the degree for which the author was a candidate, the institution or faculty to which the thesis was presented and from which the degree was granted, and the year the degree was granted per RDA 7.9 and AACR2 1.7B13. Use the following guidelines: Prefer the use of separate subfields to record the degree, the institution or faculty, and the year (e.g., 502  ǂb Ph. D. ǂc University of Michigan ǂd 2016) Prefer the form of name of the institution or faculty that would be the basis of an access point rather than an abbreviation, initialism, or shortened form (e.g., University of Southern California or University of South Carolina, not U.S.C.) Do not record Thesis or Dissertation in subfield ǂg Do not include the field of study unless part of the name of the degree. Use field 500 to record that data if needed (e.g., Master's degree in English literature). Do not include the name of academic department that did not grant the degree. Academic degrees are normally granted by parent institutions. Use field 500 to record that data if needed (e.g., Submitted to the Department of Psychology). Do not include the month or month and day when recording the year the degree was granted. Use field 500 to record that data if needed (e.g., Degree granted: June 2012).
533	For microform reproductions of published or unpublished theses, enter a microform reproduction note per LC-PCC PS 1.11 with details of the publication, physical description, series, and notes related to the microform (e.g., 533  Microfilm. ǂb Ann Arbor, Michigan : ǂc University Microfilms, ǂd 1985. ǂe 1 microfilm reel : positive ; 35 mm)
	For photocopies of published or unpublished theses, enter a print reproduction note per LC-PCC PS 1.11 without any details of the publication, physical description, or notes related to the photocopy (e.g., 533  Print reproduction)
600-651	Optionally, add subject access points. When applying Library of Congress Subject Headings, note that no "thesis" form subdivision is available for use. Instead, include genre/form access points in field 655. Note: The subject heading Dissertations, Academic applies only to collections of theses rather than individual theses.
655	Optionally, add genre/form access points (e.g., 655  7 Academic theses ǂ2 lcgft)
700	Optionally, add personal name access points and relationship terms for any degree supervisors, degree committee members, etc. (e.g., 700 1  Thomas, Amber Flora, ǂe degree supervisor; 700 1  Goodson, Kenneth E., ǂd 1967- ǂe degree committee member)
710	Optionally, add a corporate name access point and relationship term for the degree-granting institution. Access points for associated academic departments may be added without the relationship term for the degree-granting institution (e.g., 710 2  Stanford University, ǂe degree granting institution; 710 2  Stanford University. ǂb Department of Aeronautics and Astronautics)
775	Optionally, record the relationship of a photocopy to the citation of the original thesis with a relationship designator in subfield ǂi (e.g., ǂi Reproduction of (manifestation))
776	Optionally, record the relationship of a microform reproduction or online version to the citation of the print original or print version with a relationship designator in subfield ǂi (e.g., ǂi Reproduction of (manifestation) or ǂi Print version)

Do not include made-up name-title or title descriptive or subject access points consisting of the institution with field of study and/or degree and/or year, made-up thesis collections, or made-up series titles in fields 246, 600-655, 700-740, and 800-830. Use local fields 690-691, 696-699, 790-793, 796-799, and 896-899 for these kinds of access points.

Example of online thesis, including genre/form access point as well as access points for the degree supervisor, degree committee member, and degree-granting institution:

Example of microfilmed thesis:

Example of photocopied thesis:

Example of published thesis:

Type			a
DtSt			s
Date1			2016
Ctry			gw
Form
Cont			bm
040			XXX ǂb eng ǂe rda ǂc XXX
020			9783848727216 ǂq (print)
100	1		Fischer, Lea Judith, ǂe author
245	1	2	A shining city upon a hill : ǂb der Supreme Court der Vereinigten Staaten von Amerika und die Einbeziehung fremder Rechtsmaterialien / ǂc Lea Judith Fischer
264		1	Baden-Baden : ǂb Nomos, ǂc 2016
264		4	ǂc ©2016
300			175 pages ; ǂc 23 cm
336			text ǂb txt ǂ2 rdacontent
337			unmediated ǂb n ǂ2 rdamedia
338			volume ǂb nc ǂ2 rdacarrier
490	1		Beiträge zum ausländischen und vergleichenden öffentlichen Recht ; ǂv Band 36
502			ǂb Doctoral ǂc Universität Frankfurt am Main ǂd 2015
504			Includes bibliographical references

Example of subsequently republished thesis:

Type			a
DtSt			r
Date1			2010
Date2			2001
Ctry			ne
Form
Cont			b
040			XXX ǂb eng ǂe rda ǂc XXX
020			9789042031760 ǂq (pbk.)
100	1		Evans, Jane E. ǂq (Jane Elizabeth), ǂe author
245	1	0	Tactical silence in the novels of Malika Mokeddem / ǂc Jane E. Evans
264		1	Amsterdam : ǂb Rodopi, ǂc 2010
300			230 pages ; ǂc 23 cm
336			text ǂb txt ǂ2 rdacontent
337			unmediated ǂb n ǂ2 rdamedia
338			volume ǂb nc ǂ2 rdacarrier
490	1		Francopolyphonies ; ǂv 9
500			Originally presented as the author's thesis (Ph. D.)--University of New Mexico, 2001
504			Includes bibliographical references (pages 193-209) and index

Libraries may provide information on the local characteristics of a resource in their collection. This section provides guidelines on adding local information that is not appropriate in the WorldCat record through the use of local bibliographic data records (LBDs) and local holdings records (LHRs). This section also provides guidelines on fields not retained in WorldCat records as well as the use of subfield ǂ5.

You may include information that is specific to your copy of a resource or specific to your institution in four possible ways:

• Local Bibliographic Data (LBD)
• Local Holdings Record (LHR)
• Fields not retained in WorldCat records
• Fields retained in WorldCat records

When deciding whether to include copy- or institution-specific data, consider the following:

• Usefulness of the information in accessing and identifying the resource
• Likelihood that the record will be used in copy-cataloging
• Discoverability by others who will not need your copy- or institution-specific data
• Applicability of the data to the universal description of the resource

However, do not create new records that duplicate existing records only to reflect copy- or institution-specific information. WorldCat records for published materials represent all copies of a manifestation of a work, i.e., the "universal description" of the manifestation.

When you choose to include local information such as subject headings, uniform titles, or notes to supplement the full bibliographic data in the WorldCat database, OCLC recommends using LBDs. In the following fields LBDs are valid: Leader/05, 001, 004, 005, 240, 500, 501, 590, 591-598, 599, 600, 610, 611, 630, 647, 650, 651, 655, 690, 691, 695, 696, 697, 698, 699, 700, 710, 711, 730, 790, 791, 792, 793, 796, 797, 798, and 799. For more information on LBDs see Working with Local Bibliographic Data.

When you choose to include detailed holdings information to support resource sharing, collection development, circulation, and acquisitions activities of use to library staff, users, and other libraries, OCLC recommends using LHRs. In the following fields LHRs are valid: Leader/05, 001, 004, 005, 007, 010, 014, 017, 020, 022, 024, 035, 337, 338, 347, 506, 538, 541, 561, 562, 563, 583, 841, 843, 844, 845, 852, 853, 854, 855, 856, 863, 864, 865, 866, 867, 868, 876, 877, 878, 883, 884, and 956. For more information on LHRs see Create and Maintain Local Holdings Records.

If LBD or LHR are not appropriate, the data is only of local interest, and you want to include the information for your local processing, OCLC recommends using fields that are not retained in the WorldCat record. These fields include 590, 599, 690, 691, 695, 696, 697, 698, 699, 790, 791, 792, 793, 796, 797, 798, 799, 841-878, 901-907, 910, 945-949, and 956.

For rare and special collections materials, you may supply local data of interest beyond your institution in the WorldCat record. These copy- or institution-specific note and added access point fields must contain subfield ǂ5. Do not create new records to reflect local data if such records would not be justified by Chapter 4, When to Input a New Record. Instead, you may specify such differences in copy- or institution-specific notes. A WorldCat record can have such information for more than one copy or institution.

Subfield ǂ5 contains the code of the institution to which the field applies for local data that do not apply to the universal description or may apply universally to the item but are of limited interest. See subfield ǂ5 for a list of fields in which its use is appropriate. Use subfield ǂ5 with your MARC Organization Code to identify your institution. If you do not have a MARC Organization Code, you may request one from the LC Network Development and MARC Standards Office at http://www.loc.gov/marc/organizations/#requests.

Use the following guidelines for subfield ǂ5:

• Enter subfield ǂ5 as the last subfield. Enter the MARC Organization Code of the institution holding the copy. To find these codes, see MARC Code List for Organizations.
• Do not include terminal punctuation as part of subfield ǂ5
• Use field 501 with subfield ǂ5 for "with" notes for rare and special collections materials bound together after publication
• Use field 710 with subfield ǂ5 for an access point for the name of a special collection of interest beyond a single institution

Examples of subfield ǂ5:

Do not include subfield ǂ5 in WorldCat records for unpublished items and collections. Such notes and access points do apply to the universal description since they are unique items.