Contents   Fixed field   Access points   0xx   1xx   2xx   3xx   4xx   5xx   6xx   7xx   8xx   9xx   Control subfields

3  Special Cataloging Guidelines

Chapter contents

3.1  Provider-Neutral Cataloging
   3.1.1  Online Resources
   3.1.2  Photocopies and Print-on-Demand Reproductions
3.2  Related Parts and Publications
   3.2.1  "In" Analytics
   3.2.2  Offprints and Detached Copies
   3.2.3  Supplementary and Accompanying Material
   3.2.4  Parts of a Multipart Monograph or Serial
3.3  Special Types of Publications
   3.3.1  Electronic Resources
   3.3.2  Integrating Resources
   3.3.3  Local Recordings
   3.3.4  Microforms
   3.3.5  Technical Reports
   3.3.6  Theses and Dissertations
3.4  Local Information in Records
   3.4.1  Copy- or Institution-Specific Information

 

This chapter contains instructions for cataloging practices and special materials that present unique problems to catalogers.

3.1  Provider-Neutral Cataloging

 

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.

3.1.1  Online Resources

Definition

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.

OCLC policy

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.

Guidelines

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 file 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.

Element Guidelines for online resources
Type Code for the form of content of the resource. Use codes a, c, and e for language material, notated music, and cartographic material instead of their manuscript counterparts t, d, and f, since all online resources are considered published. Use code m only for computer software (including fonts, games, and programs), numeric data, computer-oriented multimedia, or online services or systems.
BLvl Code the bibliographic level based on the online resource rather than a corresponding version in a physical format, e.g., use code m rather than code a for a standalone monographic online resource originally issued as an article in a print serial. However, use code s for all serials including serials that have ceased publication where all the issues were digitized at one time.
Dates Code for the original manifestation omitting dates related to publication of the resource online
Form Code o for online resource
006 Enter field 006 coded for an electronic resource unless Type is coded m
007 Enter field 007 coded for a remote access computer file (e.g., 007  c ǂb r)
010 Do not enter any LCCNs that apply to the print version of the resource. Use field 776 instead.
020 Enter each online version ISBN in subfield ǂa in separate 020 fields. Enter each ISBN related to the physical format version in subfield ǂz in separate 020 fields. Include any qualifying information in subfield ǂq as needed. If it is unclear which format the ISBN represents, enter the ISBN in subfield ǂz in a separate 020 field.
022 Enter an online version ISSN in subfield ǂa. Enter an ISSN related to the physical format version found in the resource or the source bibliographic record in subfield ǂy. If available, enter the ISSN-L in subfield ǂl.
024 Enter any numbers related to the physical format version in subfield ǂz
028 Enter any numbers related to the physical format version in subfield ǂz
040 Enter code pn for provider-neutral cataloging in subfield ǂe following any other instances of subfield ǂe (e.g., ǂe rda ǂe pn). Enter your institution symbol in subfield ǂa when deriving an online version record from a record for the physical format.
245 Enter the title and statement of responsibility appropriate to the original resource if readily available and the online version was preceded by a physical format version
250 Enter the edition information appropriate to the original resource if readily available and the online version was preceded by a physical format version
255 Enter the cartographic mathematical information appropriate to the original resource if readily available and the online version was preceded by a physical format version
260/264 Enter the publication information appropriate to the original resource if readily available and the online version was preceded by a physical format version. Transcribe the first named place, publisher, and date even if they pre-date the era of online resources.

All online resources are considered published. Consequently, if no place of publication appears, enter [Place of publication not identified]. If no publisher appears, enter [publisher not identified]. If no date of publication appears, enter [date of publication not identified].
300 Enter the extent as 1 online resource and include subunits and duration, if applicable, in parentheses (e.g., 1 online resource (xv, 259 pages); 1 online resource (1 map); 1 online resource (1 audio file (25 min.))). For serials, see the CONSER Standard Record (CSR) RDA Metadata Application Profile.

Generally, enter other details appropriate to the original resource if the online version was preceded by a physical format version. However, do not include elements applicable only to the physical format version such as dimensions. Do not include digital or an indication of file type.
336 Enter the content type appropriate to the resource (e.g., 336    text ǂb txt ǂ2 rdacontent)
337 Enter the media type for the online version (e.g., 337    computer ǂb c ǂ2 rdamedia)
338 Enter the carrier type for the online version (e.g., 338    online resource ǂb cr ǂ2 rdacarrier)
362 Enter the beginning and/or ending alphabetic, numeric, and/or chronological designations of the issues or parts of a serial appropriate to the original resource if readily available and the online version was preceded by a corresponding physical format version. If the first issue is not available online and the online version was preceded by a corresponding print version, enter 362 1  Print version began with ...
490 Enter the series appropriate to the original resource if readily available and the online version was preceded by a physical format version
506 Do not use except for digital preservation information as noted below
516 Generally, do not use
530 Generally, do not use. Prefer use of field 776 with a relationship designator in subfield ǂi.
533 Do not use except for digital preservation information as noted below
534 Do not use
538 Do not use except for digital preservation information as noted below
540
Do not use
583 Do not use except for digital preservation information as noted below
588 Enter a note combining the source of the description, source of the title, the provider manifestation used, and the date viewed. If considered useful, include the file format of the resource viewed (e.g., 588 0  Online resource; title from PDF title page (EBSCO, viewed May 9, 2016).).
776 Enter data to link to the physical format resource whether the online resource is a reproduction or simultaneously issued. Use a relationship designator in subfield ǂi (e.g., ǂi Print version:).
856 Enter URLs for the various providers in subfield ǂu using multiple 856 fields. Prefer URLs that lead to the resource title page, metadata, etc., rather than URLs that provide only local accessibility. Include subfield ǂ3 with a brief name of the provider or collection followed by any other needed material-specific information such as volume numbers (e.g., 856 40 ǂ3 SpringerLink, v. 1 ǂu http://link.springer.com/book/10.1385/1592592597).

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 file 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:

506     ǂ3 Use copy ǂf Restrictions unspecified ǂ2 star ǂ5 MiAaHDL
533     Electronic reproduction. ǂb [Place of publication not identified] : ǂc HathiTrust Digital Library, ǂd 2011 ǂ5 MiAaHDL
538     Master and use copy. Digital master created according to Benchmark for Faithful Digital Reproductions of Monographs and Serials, Version 1. Digital Library Federation, December 2002. ǂu http://purl.oclc.org/DLF/benchrepro0212 ǂ5 MiAaHDL
583 1   digitized ǂc 2011 ǂh HathiTrust Digital Library ǂl committed to preserve ǂ2 pda ǂ5 MiAaHDL

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

Example

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

DtSt     s
Date1     2017
Ctry     ncu
Form
    o
006     m     o  d       
007     c ǂb r ǂd c ǂe n ǂf u ǂg --- ǂh u ǂi n ǂj u ǂk u ǂl u
040     XXX ǂb eng ǂe rda ǂe pn ǂc XXX
020     9781469631578 ǂq (electronic bk.)
020     1469631571 ǂq (electronic bk.)
020     ǂz 9781469631561 ǂq (hardcover)
020     ǂz 1469631563 ǂq (hardcover)
100 1   Cutrer, Thomas W., ǂe author
245 1 0 Theater of a separate war : ǂb the Civil War west of the Mississippi River, 1861-1865 / ǂc Thomas W. Cutrer
264   1 Chapel Hill : ǂb The University of North Carolina Press, ǂc [2017]
300     1 online resource (xiii, 588 pages) : ǂb map
336     text ǂb txt ǂ2 rdacontent
337     computer ǂb c ǂ2 rdamedia
338     online resource ǂb cr ǂ2 rdacarrier
490 1   The Littlefield history of the Civil War era
504     Includes bibliographical references (pages 521-564) and index
588 0   Online version; title from title page (JSTOR, viewed December 15, 2017).
776 0 8 ǂi Print version: ǂa Cutrer, Thomas W. ǂt Theater of a separate war. ǂd Chapel Hill : The University of North Carolina Press, [2017] ǂz 9781469631561 ǂw (DLC)  2016047324 ǂw (OCoLC)960279373
830   0 Littlefield history of the Civil War era
856 4 0 ǂ3 ebrary ǂu http://site.ebrary.com/id/11363877
856 4 0 ǂ3 EBSCOhost ǂu https://search.ebscohost.com/login.aspx?direct=true&scope=site&db=nlebk&db=nlabk&AN=1487599
856 4 0 ǂ3 JSTOR ǂu http://www.jstor.org/stable/10.5149/9781469631578_Cutrer
856 4 0 ǂ3 MyiLibrary ǂu http://www.myilibrary.com?id=1001865
856 4 0 ǂ3 OverDrive ǂu https://www.overdrive.com/search?q=1A210B1F-ECBB-4DC3-8643-72FEAD51A623
856 4 0 ǂ3 Project MUSE ǂu https://muse.jhu.edu/book/51627/
856 4 0 ǂ3 ProQuest Ebook Central ǂu http://public.ebookcentral.proquest.com/choice/publicfullrecord.aspx?p=4825784

3.1.2  Photocopies and Print-on-Demand Reproductions

Definition

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.

OCLC policy

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.

Guidelines

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.

Element Guidelines for photocopies and POD reproductions
Form Code r for regular print reproduction
Ctry Code for the country of the publisher or producer of the original found in fields 260 and 264 subfield ǂa
DtSt Code for the original resource
Dates Code for the original resource
020 If the photocopy or POD reproduction is made by a commercial provider that assigns ISBNs to its reproductions, enter each ISBN in subfield ǂa in separate 020 fields. If the ISBN of the original resource is available, enter it in subfield ǂz in a separate 020 field. Include any qualifying information in subfield ǂq as needed.
037 Enter the commercial provider of a photocopy or POD reproduction as a source of acquisition in a separate 037 field as needed
040 Enter code pn for provider-neutral cataloging in subfield ǂe following any other instances of subfield ǂe (e.g., ǂe rda ǂe pn)
245 Enter the title and statement of responsibility appropriate to the original resource if readily available
250 Enter the edition information appropriate to the original resource if readily available
255 Enter the cartographic mathematical information appropriate to the original resource if readily available
260/264 Enter the publication information appropriate to the original resource if readily available
300 Enter the physical description appropriate to the original resource if readily available
490 Enter the series appropriate to the original resource if readily available
533 Enter a print reproduction note per LC-PCC PS 1.11 without any details of the publication, physical description, series, or notes related to the photocopy or POD reproduction (e.g., 533  Print reproduction). Omit subfields ǂb, ǂc, ǂd, ǂe, ǂf, ǂm, and ǂn. 
539 Omit the field
588 When deriving a record from the record for the original resource without re-describing the original, enter a note to indicate that the description is based on the original version record (e.g., 588 0  Print version record)
775 Enter data to link to the original resource if the photocopy or POD reproduction is in the same physical format. Use a relationship designator in subfield ǂi (e.g., ǂi Reproduction of (manifestation)).
776 Enter data to link to the original resource if the photocopy or POD reproduction is in a different format, such as a printout of a PDF file published online. Use a relationship designator in subfield ǂi (e.g., ǂi Print version).

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

Example

Example of photocopy and/or POD reproduction record:

DtSt     s
Date1     1995
Ctry     enk
Form
    r
040     XXX ǂb eng ǂe rda ǂe pn ǂc XXX
020     ǂz 0415117003
020     ǂz 9780415117005
100 1   Bird, Graham, ǂd 1947- ǂe author
245 1 0 IMF lending to developing countries : ǂb issues and evidence / ǂc Graham Bird
264   1 London : ǂb Routledge, ǂc 1995
300     x, 190 pages ; ǂc 22 cm
490 1   Development policy studies
504     Includes bibliographical references (pages 179-184) and index
533     Print reproduction
775 0 8 ǂi Reproduction of (manifestation): ǂa Bird, Graham, 1947- ǂt IMF lending to developing countries. ǂd London : Routledge, 1995 ǂz 0415117003 ǂw (DLC)   94047967 ǂw (OCoLC)31737391

3.2  Related Parts and Publications

 

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.

3.2.1  "In" Analytics

Definition

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.

Guidelines

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 xxblank character 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:

Type     a
BLvl     a
018     0027-9358/69/987654-32$0.95
100 1   White, Peter T., ǂe author
245 1 0 Satellites gave warning of Midwest floods / ǂc Peter T. White
300     pages 574-592 : ǂb illustrations ; ǂc 26 cm
773 0 8 ǂi Contained in (manifestation): ǂt National geographic. ǂg Volume 136, number 4 (October 1969) ǂx 0027-9358 ǂw (DLC)   87657516 ǂw (OCoLC)6451257 ǂ7 nnas

Example when host item is a monograph:

Type     a
BLvl     a
100 1   Mark, David, ǂd 1973- ǂe author
245 1 0 Confrontation, bluster, and no compromise : ǂb the campaigns of Jesse Helms / ǂc David Mark
300     pages 91-110 ; ǂc 23 cm
504     Includes bibliographical references (pages 108-110)
773 0 8 ǂi Contained in (manifestation): ǂa Mark, David, 1973- ǂt Going dirty. ǂb Updated edition. ǂd Lanham : Rowman & Littlefield, [2009] ǂz 9780742599864 ǂw (DLC)  2009006175 ǂw (OCoLC)304387911 ǂ7 nnas

Example of a serial issued within a serial:

Type     a
BLvl     b
245 0 4 The Washington monthly's annual college guide
300     parts : ǂb illustrations (some color) ; ǂc 28 cm
310     Annual
362 0   2006-
580     A special report published annually, 2006- in the September issue of: Washington monthly
773 0 8 ǂi Contained in (manifestation): ǂt Washington monthly ǂx 0043-0633 ǂw (DLC)   77004299 ǂw (OCoLC)1604513 ǂ7 nnas

3.2.2  Offprints and Detached Copies

Definition

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.

Guidelines

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 "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

Examples

100 1   Smiraglia, Richard P., ǂd 1952- ǂe author
245 1 0 Music in the OCLC online union catalog : ǂb a review / ǂc by Richard P. Smiraglia and Arsen R. Papakhian
264   1 [Philadelphia] : ǂb Music Library Association, ǂc [1981]
264   4 ǂc ©1981
300     pages 257-274 : ǂb illustrations ; ǂc 23 cm
580     Offprint: Notes (Music Library Association). Volume 38, no. 2 (December 1981)
700 1   Papakhian, A. Ralph ǂq (Arsen Ralph), ǂd 1948-2010
787 1   Music Library Association. ǂt Notes ǂg Volume 38, no. 2 (December 1981) ǂx 0027-4380 ǂw (DLC)   43045299 ǂw (OCoLC)1605994
100 1   Fry, James W. ǂq (James Wilson), ǂd 1952- ǂe author
245 1 0 LSA and LSCA, 1956-1973 : ǂb a legislative history / ǂc James W. Fry
264   1 [Urbana, Illinois] : ǂb [University of Illinois Graduate School of Library Science], ǂc 1975
300     pages 7-26 : ǂb illustrations ; ǂc 23 cm
580     Detached from: Library trends. Volume 24, number 1
787 1   ǂt Library trends ǂg Volume 24, number 1 ǂx 0024-2594 ǂw (DLC)   54062638 ǂw (OCoLC)2313195
100 1   Mowery, Robert L., ǂe author
245 1 4 The Cutter classification : ǂb still at work / ǂc Robert L. Mowery
264   1 [Chicago] : ǂb [American Library Association], ǂc 1976
300     pages 154-156 ; ǂc 25 cm
580     Offprint: Library resources & technical services. Volume 20, no. 2 (spring 1976)
787 1   ǂt Library resources & technical services ǂg Volume 20, no. 2 (spring 1976) ǂx 0024-2527 ǂw (DLC)   59003198 ǂw (OCoLC)1696755

3.2.3  Supplementary and Accompanying Material

Guidelines

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.
  • 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
Type     r
245 0 0 [Corduroy bear]
264   1 [Place of publication not identified] : ǂb [publisher not identified], ǂc [199-?]
300     1 stuffed toy bear : ǂb fabric, color ; ǂc 17 cm high
Type     a
100 1   Freeman, Don, ǂd 1908-1978, ǂe author
245 1 0 Corduroy / ǂc story and pictures by Don Freeman
264   1 New York, New York : ǂb Viking Press, ǂc 2008
300     32, 8 unnumbered pages : ǂb color illustrations ; ǂc 25 x 28 cm

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).

Type     a
100 1   Freeman, Don, ǂd 1908-1978, ǂe author
245 1 0 Corduroy / ǂc story and pictures by Don Freeman
264   1 New York, New York : ǂb Viking Press, ǂc 2008
300     32, 8 unnumbered pages : ǂb color illustrations ; ǂc 25 x 28 cm + ǂe 1 stuffed toy bear (fabric, color ; 17 cm high)

3.2.4  Parts of a Multipart Monograph or Serial

Guidelines

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:

100 1   Vollmann, William T., ǂe author
245 1 0 Carbon ideologies / ǂc William T. Vollmann
264   1 New York, New York : ǂb Viking, ǂc [2018]
264   4 ǂc ©2018
300     2 volumes : ǂb illustrations, maps ; ǂc 25 cm
505 0 0 ǂg v. 1. ǂt No immediate danger -- ǂg v. 2. ǂt No good alternative

Example of volume one cataloged on a separate record:

100 1   Vollmann, William T., ǂe author
245 1 0 No immediate danger / ǂc William T. Vollmann
246 3   Carbon ideologies : ǂb no immediate danger
264   1 New York, New York : ǂb Viking, ǂc [2018]
264   4 ǂc ©2018
300     xx, 601 pages : ǂb illustrations ; ǂc 25 cm
490 1   Carbon ideologies ; ǂv volume 1
800 1   Vollmann, William T. ǂt Carbon ideologies ; ǂv v. 1

Example of volume two cataloged on a separate record:

100 1   Vollmann, William T., ǂe author
245 1 0 No good alternative / ǂc William T. Vollmann
246 3   Carbon ideologies : ǂb no good alternative
264   1 New York, New York : ǂb Viking, ǂc [2018]
264   4 ǂc ©2018
300     xvi, 667 pages : ǂb illustrations, maps ; ǂc 25 cm
490 1   Carbon ideologies ; ǂv volume II
800 1   Vollmann, William T. ǂt Carbon ideologies ; ǂv v. 2

3.3  Special Types of Publications

 

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

Definition

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

Guidelines

Element Guidelines for electronic resources
Type Determine the form of content of the resource and code Type (Leader/06) for that aspect. 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.

For online resources, including digitized manuscript resources, use codes a, c, and e instead of their unpublished counterparts t, d, and f, respectively, because all online resources are considered published. 

Use code m only for the following general classes of digital resources: 

  • Computer-oriented multimedia 
  • Computer software (including programs, games, fonts, etc.) 
  • Numeric data 
  • Online systems or services 
For these classes of digital resources, if there is a significant aspect that causes it to fall into another Type category, code for that significant aspect. For instance, vector data that is cartographic is not coded as numeric but as cartographic. In case of doubt or if the most significant aspect cannot be determined, consider the resource to be a computer file.
Form Code Form for the electronic aspects of the item, using either code o for online resources or code q for tangible electronic resources, such as CD-ROMs. Be sure that the Form value in field 008 and the Form value in any field 006 agree with each other. Use codes o or q to differentiate online and direct electronic resources, rather than code s.
File Code File to reflect the primary purpose and/or content of the file.

If the primary purpose of the resource is, for instance, to convey textual data or bibliographic data, the resource remains textual or bibliographic and is coded as such, d or e, respectively. The presence of search software does not alter the basic intent of a resource and does not mean that the resource should be coded as software.

If the resource consists of numeric data that can be manipulated, for instance a database of numeric data, use File code a for Numeric Data. If the resource consists of numeric data in tabular form equivalent to a print document that cannot be manipulated, use File code d for Document.
006 In records for electronic resources in which the Type is not coded m, use the Computer File 006 field to account for the additional electronic aspects of the resource
007 Include an Electronic Resource 007 field in any record for which the carrier is a computer file, including online resources
300 Enter the physical description appropriate to the resource (e.g., 300    1 online resource (244 pages); 300    1 CD-ROM)
336 Enter the content type appropriate to the resource (e.g., 336    text ǂb txt ǂ2 rdacontent)
337 Enter the media type for the resource (e.g., 337    computer ǂb c ǂ2 rdamedia)
338 For tangible electronic resources, enter the carrier type for the tangible electronic resource (e.g., 338    computer disc ǂb cd ǂ2 rdacarrier).

For online resources, enter the carrier type for the online resource (e.g., 338    online resource ǂb cr ǂ2 rdacarrier).
776 Enter the bibliographic information for the online resource in field 776 with the appropriate subfield ǂi relationship information. When the OCLC number is available for the online resource, enter it in field 776 subfield ǂw.
856 Whenever possible, include field 856 in any record for an online resource. Prefer a generally-accessible URI in subfield ǂu. Correct coding of field 856 2nd Indicator is important for indexing and record matching. Be sure to use code 0 when the record represents the online resource, use 1 when the record represents a tangible electronic version of the resource linked in field 856, or use 2 when field 856 links to a resource related to that represented by the record. For more information, see field 856.
Access points When changes or differences in title or responsibility occur between different manifestations of a resource, provide additional access points as appropriate if considered important for identification, selection, or access

Separate records vs. single record

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:

Type     a
Form     q
006     m     q  d f
007     c ǂb o ǂd m ǂe g
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     1 computer disc ; ǂc 4 3/4 in.
336     text ǂb txt ǂ2 rdacontent
337     computer ǂb c ǂ2 rdamedia
338     computer disc ǂb cd ǂ2 rdacarrier
776 0 8 ǂi Reproduction of (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 ǂw (DLC)  2011506508 ǂw (OCoLC)759583905
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 a print version record noting the existence of CD-ROM and online versions:

Type     a
Form     blank character
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:

Type     a
Form     o
006     m     o  d f  
007     c ǂb r
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     1 online resource (vi, 64 pages)
336     text ǂb txt ǂ2 rdacontent
337     computer ǂb c ǂ2 rdamedia
338     online resource ǂb cr ǂ2 rdacarrier
776 0 9 ǂi Print 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 (DLC)  2011506508 ǂw (OCoLC)759583905
776 0 9 ǂi CD-ROM 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)759590491
856 4 0 ǂ3 HathiTrust Digital Library, Full view ǂu http://catalog.hathitrust.org/api/volumes/oclc/759583905.html

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     blank character
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:

Type     a
Form     q
006     m     q  d f
007     c ǂb o ǂd m ǂe g
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     1 computer disc ; ǂc 4 3/4 in.
336     text ǂb txt ǂ2 rdacontent
337     computer ǂb c ǂ2 rdamedia
338     computer disc ǂb cd ǂ2 rdacarrier
776 0 8 ǂi Reproduction of (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 ǂw (DLC)  2011506508 ǂw (OCoLC)759583905
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

Digital masters

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.

3.3.2  Integrating Resources

Definition

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.

Guidelines

Use the following guidelines when coding integrating resources:

Element Guidelines for all integrating resources
Type Code for the content and type of material (e.g., a for textual material)
BLvl Code i for integrating resource
DtSt Code c for integrating resources that are currently being published, code d for integrating resources that have ceased publication
Form Code for the form of the resource (e.g., o for an online electronic integrating resource)

Element Guidelines for textual integrating resources
Freq Code for the frequency of updates to the resource (e.g., k for a news website that updates more frequently than daily)
Regl Code for the regularity of updates to the resource (e.g., r for a database which is regularly updated weekly, quarterly, annually, etc.)
S/L Code 2 for integrating resource
SrTp Code d for updating databases, code l for updating loose-leaf publications, code w updating websites

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:

Type     a
BLvl     i
DtSt     c
Date1     2006
Date2     9999
Freq     t
Regl     r
SrTp     d
Form     o
S/L     2
006     m    o d
007     c ǂb r
245 0 0 ASM medical materials database
264   1 [Materials Park, Ohio] : ǂb ASM International, ǂc 2006-
300     1 online resource
310     Three times a year

Example of an irregularly updated loose-leaf resource:

Type     a
BLvl     i
DtSt     c
Date1     2011
Date2     9999
Freq     blank character
Regl     x
SrTp     l
Form     blank character
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:

Type     a
BLvl     i
DtSt     c
Date1     2018
Date2     9999
Freq     k
Regl     r
SrTp     w
Form     o
S/L     2
006     m    o d
007     c ǂb r
130 0   Financial accounting (Arlington, Va.)
245 0 3 Financial accounting.
264   1 [Arlington, Virginia] : ǂb Bureau of National Affairs, Inc., ǂc [2018]-
300     1 online resource
310     Continuously updated

Example of an online video streaming database:

Type     g
BLvl     i
DtSt     c
Date1     2013
Date2     9999
Form     o
006     m    o c
006     suu d o  0 2
007     v ǂb z ǂd m ǂe z ǂf a ǂg z ǂh z ǂi u
007     c ǂb r ǂd m ǂe n ǂf a
245 0 0 MEF collection
264   1 Northampton, MA : ǂb Media Education Foundation, ǂc 2013-
300     1 online resource (streaming video files) : ǂb digital, sound, color

3.3.3  Local Recordings

Guidelines

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.

Types of audio and video recordings

There are generally three types of locally made recordings.

Type of recording Examples
Locally produced recordings Class projects, local historical events, theses and dissertations, university lectures in audio or video form
Locally reproduced recordings Copies of motion pictures, other videorecordings, or other audiovisual media made with permission of the producer or distributor
Off-air recordings Licensed copies of broadcasts or satellite transmissions

Locally produced 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 xxblank character
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

Locally reproduced recordings

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.

590     Audiocasette copy 2 imperfect, case missing
590     Motion picture noncirculating, videocassette (VHS) available for loan

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).

Guidelines

Use the following guidelines:

  • Code the country of publication to correspond to the original resource in Ctry
  • For an audio or video copy of another recording in the same medium, use code r (Reprint/reissue date and original date) in DtSt
  • For a copy of a motion picture or other audiovisual medium, use code p (Date of distribution/release/issue and date of production/recording session when different) in DtSt
  • Use the date of the copy in Date 1. Use the date of the original in Date 2 in Dates.
  • Transcribe the title and statement of responsibility information from the original in field 245
  • For tangible audio or video reproductions, including audio discs and videodiscs, enter the physical description in field 300. For remotely accessed audio or video reproductions, including streaming audio and streaming video, follow RDA 3.4. Apply RDA 3.4.1.7.5 to describe the extent and type of carrier as an online resource. When following AACR2, field 300 is optional (see AACR2 9.5A1b, 9.5B3, and 9.5C3).
  • Enter the content type in field 336, media type in field 337, and carrier type in field 338 appropriate to the resource
  • Enter necessary notes related to the intellectual content, cast, and credits
  • Enter a note indicating the original format (e.g., Originally issued as super 8 mm film cartridge)
  • Enter a note that gives the recording date and indicates that the copy was made with permission
  • Use the information from the copy for other fixed-field elements and field 300
  • Off-air recordings

    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.

    Additional information

    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" (http://www.copyright.gov/circs/circ21.pdf).

    3.3.4  Microforms

    LC-PCC policy

    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 policy

    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 policy

    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.

    Guidelines

    • 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.
    Element Guidelines for reproduction microform publications
    Type Code for the original resource
    BLvl Use the BLvl code appropriate to the original resource
    Form Code for the appropriate form of microform reproduction (i.e., microfilm, microfiche, or microopaque)
    Ctry Code for the country of the publisher or producer of the original resource found in fields 260 and 264 subfield ǂa
    Orig Code for the original resource
    Freq Code for the original resource
    Regl Code for the original resource
    Desc Code for the original resource
    Dates Enter date(s) of original resource
    006 Code form in field 006 for the appropriate form of microform reproduction (i.e., microfilm, microfiche, or microopaque)
    007 Code field 007 for aspects of the microform reproduction.

    For microforms created for preservation purposes, code subfield ǂi for bibliographic records that describe preservation masters, such as first generation masters or printing masters.

    Code for preservation masters that describe service copies if the institution creating the bibliographic record was also responsible for the filming. In these cases, you may input multiple 007 fields. The first 007 field should describe the version that is described in the physical description. Use additional 007 fields to describe any first generation masters or printing masters.
    020 If an ISBN is assigned to the microform reproduction, enter the ISBN in field 020 subfield ǂa. Do not enter an ISBN assigned to the original resource in field 020. Enter the original ISBN in field 776 subfield ǂz.
    022 Enter the ISSN assigned to the original resource
    222 Enter the key title assigned to the original resource
    245 Enter the title appropriate to the original resource
    250 Enter the edition information appropriate to the original resource
    255 Enter the cartographic mathematical information appropriate to the original resource
    260/264 Enter the publication information appropriate to the original resource
    300 Enter the physical description appropriate to the original resource. Do not enter the size if it cannot be determined.
    336 Enter the content type appropriate to the original resource
    337 Enter the media type appropriate to the reproduction
    338 Enter the carrier type appropriate to the reproduction
    362 Enter the dates of publication and/or sequential designation appropriate to the original resource
    533 Enter a note describing the reproduction after all notes that pertain to the original. Begin the note with the appropriate term ("Microfilm," "Microfiche," or "Microopaque"). Include the following, as applicable:

    ǂa  Type of reproduction
    ǂb  Place of publication
    ǂc  Agency responsible for reproduction
    ǂd  Date of reproduction
    ǂe  Physical description of reproduction
    ǂf  Series statement for reproduction
    ǂm  Dates and/or sequential designation of issues reproduced
    ǂn  Note about reproduction
    539 Optionally, enter coded information pertaining to the reproduction described in field 533. Enter the field after field 533. Include the following, as applicable:

    ǂa  Type of date/Publication status
    ǂb  Date 1/Beginning date of publication
    ǂc  Date 2/Ending date of publication
    ǂd  Place of publication, production or execution
    ǂe  Frequency
    ǂf   Regularity
    ǂg  Form of item
    776 Enter data to link the reproduction to the original resource

    Linking reproductions using field 776

    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.

    776 1   ǂi Reproduction of (manifestation): ǂt Record (Rockaway Park, N.Y.) ǂw (DLC)sn 84035843 ǂw (OCoLC)11424279

    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.

    776 1   ǂc Original ǂw (DLC)   20000001 ǂw (OCoLC)5593943
    [Pre-RDA monograph]
    776 1   ǂc Original ǂx 0009-5753 ǂw (DLC)   58040620 ǂw (OCoLC)1554505
    [CONSER authenticated serial]

    United States Newspaper Program cataloging practice

    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 master 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.

    Government Publication Office cataloging practice

    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

    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.

    3.3.5  Technical Reports

    Definition

    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.

    Guidelines

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

    Element Guidelines for technical reports
    Cont Code t for technical reports
    DtSt Code e for detailed date
    Dates Enter a detailed date in the form yyyy,mmdd
    027 Use for the International Standard Technical Report Number (ISRN) or Standard Technical Report Number (STRN)
    037 Use subfield ǂf for form of issue and subfield ǂc for terms of availability
    088 Use for nonstandard report numbers
    x00 Use subfield ǂu for the affiliation or address of the personal name
    x10 Use subfield ǂu for the affiliation or address of the corporate name
    x11 Use subfield ǂu for the affiliation or address of the conference name
    504 Use subfield ǂb to record the number of references
    513 Use for the type of report and period covered note
    536 Use for funding information notes
    580 Use for notes explaining complex relationships that cannot be adequately generated for display in the 76x-78x fields
    650 Use 1st indicator for level of the subject entry in schemes where permitted
    653 Use for uncontrolled subject index terms
    76x-78x Use for linking entry fields

    3.3.6  Theses and Dissertations

     

    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 ac, and e for language material, notated music, and cartographic material, respectively, instead of their unpublished counterparts td, and f.

    Guidelines

    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 xxblank character
    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., 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., Reproduction of (manifestation) or 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.

    Examples

    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:

    Type    
    DtSt     s
    Date1     2018
    Ctry     wau
    Form
        o
    Cont     bm
    040     XXX ǂb eng ǂe rda ǂe pn ǂc XXX
    100
    1   Cummins, Elizabeth Jane, ǂe author
    245
    1 0 New reactions of ring strained allyl silanes / ǂc by Elizabeth Jane Cummins
    264   [Bellingham, Washington] : ǂb [Western Washington University], ǂc [2018]
    300      1 online resource (ix, 77 leaves) : ǂb illustrations (some color)
    336      text ǂb txt ǂ2 rdacontent
    337      computer ǂb c ǂ2 rdamedia
    338
        online resource ǂb cr ǂ2 rdacarrier
    502     ǂb M.S. ǂc Western Washington University ǂd 2018
    504
        Includes bibliographical references (leaves 73-76)
    655
      7 Academic theses. ǂ2 lcgft
    700
    1   O'Neil, Gregory ǂq (Gregory W.), ǂe degree supervisor
    700
    1   Vyvyan, James R., ǂe degree committee member
    700
    1   Antos, John M., ǂe degree committee member
    710
    2   Western Washington University, ǂe degree granting institution

    Example of microfilmed thesis:

    Type
        t
    DtSt     s
    Date1     1985
    Ctry     xx
    Form
        a
    Cont     bm
    040     XXX ǂb eng ǂe rda ǂc XXX
    100
    1   Pickle, John D., ǂe author
    245 1 0 Dynamics of clastic sedimentation and watershed evolution within a low-relief karst drainage basin, Mammoth Cave Region, Kentucky / ǂc by John D. Pickle
    264   0 ǂc 1985
    300     xii, 147 leaves : ǂb illustrations, maps ; ǂc 28 cm
    336     text ǂb txt ǂ2 rdacontent
    337
        microform ǂb h ǂ2 rdamedia
    338
        microfilm reel ǂb hd ǂ2 rdacarrier
    502
        ǂb M.S. ǂc University of New Mexico ǂd 1985
    504
        Includes bibliographical references (leaves 114-116)
    533
        Microfilm. ǂb Albuquerque : ǂc University of New Mexico General Library, ǂd [1985]. ǂe 1 microfilm reel : positive ; 35 mm

    Example of photocopied thesis:

    Type
        t
    DtSt     s
    Date1     1990
    Ctry     xx
    Form
        r
    Cont     bm
    040     XXX ǂb eng ǂe rda ǂe pn ǂc XXX
    100
    1   Lewis, Elizabeth Laura, ǂe author
    245
    1 4 The division of nursing labor in the hospital : ǂb the role of scientific management, New York State, 1900-1940 / ǂc Elizabeth Laura Lewis
    264
      0 ǂc 1990
    300
        iv, 244 leaves ; ǂc 28 cm
    336
        text ǂb txt ǂ2 rdacontent
    337
        unmediated ǂb n ǂ2 rdamedia
    338
        volume ǂb nc ǂ2 rdacarrier
    502
        ǂb Ph. D. ǂc Columbia University ǂd 1990
    504
        Includes bibliographical references (leaves 233-244)
    533
        Print reproduction

    Example of published thesis:

    Type
        a
    DtSt
        s
    Date1     2016
    Ctry     gw
    Form
        blank character
    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
        blank character
    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

    3.4  Local Information in Records

     

    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 master bibliographic 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 master bibliographic records as well as the use of subfield ǂ5.

    3.4.1  Copy- or Institution-Specific Information

    Guidelines

    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 master bibliographic records
    • Fields retained in master bibliographic 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. Master bibliographic records for published materials represent all copies of a manifestation of a work, i.e., the "universal description" of the manifestation.

    Local bibliographic data and local holdings records

    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, 842, 843, 844, 845, 852, 853, 854, 855, 856, 863, 864, 865, 866, 867, 868, 876, 877, 878, 883, 884, and 966. For more information on LHRs see Create and Maintain Local Holdings Records.

    Fields not retained in master bibliographic 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 master bibliographic 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.

    Fields retained in master bibliographic records

    For rare and special collections materials, you may supply data of interest beyond your local institution in the master bibliographic 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 master bibliographic 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.

    Guidelines for subfield ǂ5

    Use the following guidelines for subfield ǂ5:

    Examples of subfield ǂ5:

    500     First printed leaf present in Lilly Library copy begins: Breve forma de confessar. signed; misbound; lacking two printed leaves, which have been supplied in manuscript ǂ5 InU
    500     LC copy forms part of the Jefferson Exhibit Collection. Imperfect: lacking plate ǂ5 DLC
    501     With: Descritione de le chiese / Andrea Palladio. in Roma : apresso Vincentio Lucrino, 1554 ǂ5 WU
    561     LC copy is Thomas Jefferson's, with his initials at signatures I and T. With the Library of Congress 1815 bookplate ǂ5 DLC
    700 0   George ǂb I, ǂc King of Great Britain, ǂd 1660-1727, ǂe donor ǂ5 UkCU
    710 2   Joseph Brodsky Collection (Columbia University) ǂ5 NNC

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

    This page last revised: November 19, 2019