1.     Background:

1.1    This document is designed to guide member libraries of VIVA, the Virtual Library of Virginia in providing Web access to VIVA electronic resources. The mission of the VIVA consortium is "to provide, in an equitable, cooperative and cost effective manner, enhanced access to library and information resources for the Commonwealth of Virginia's academic libraries ..." (About VIVA from VIVA Homepage, http://www.gmu.edu/library/fen/viva/about.html). VIVA cataloging guidelines offer statewide standards and local options. Examples illustrate MARC-based cataloging from Web OPACs at VIVA institutions having a wide range of online systems software. The Guidelines are also intended to:

• facilitate sharing of bibliographic records for VIVA resources
• provide consistent form and indexing for access points (names, titles, subjects)
• inform library users that these resources are sponsored by VIVA
• provide flexibility and local autonomy needed by institutions with a variety of cataloging and access policies and a variety of local systems software

1.2    The Subcommittee explored cataloging treatment appropriate to the stability and content of each resource, the relationship of catalog records to Web pages for the same resources, and methods for acquiring and sharing catalog records. The Subcommittee recommends that VIVA libraries adopt the following strategies for access to electronic resources:

• Catalog as a collection or database a title that is an aggregate of articles and titles, or abstracts, for which coverage fluctuates or is incomplete in the online version, e.g. Information Access Company databases, Cambridge Scientific Abstracts.
• Provide multiple pathways from local online catalogs and library Web pages.
• Share catalog records and cataloging information through participating libraries.
• Evaluate and adapt vendor-supplied USMARC records for full-text databases such as Chadwyck-Healey's The English poetry full-text database and its accompanying USMARC records.
• Evaluate vendor-supplied batch load records similar to those supplied by OCLC for Major Microforms Sets.

2.     Criteria for Cataloging:

2.1    The Subcommittee recommends that all resources, whether full-text journals (individual titles in Project Muse and IDEAL from Academic Press) or databases (e.g., Expanded Academic Index and General Science Index), purchased or subscribed to by the VIVA consortium, be cataloged by VIVA libraries having Web OPACs capable of linking to remote sites. These guidelines provide a uniform approach to cataloging VIVA resources with the understanding that local customization may be required for a library's online catalog. The guidelines contain standards for VIVA institutions and offer local options to meet the needs of participating libraries. Serials, monographs, and ongoing publications are treated separately.

3.     Standards and Options:

3.1    One record or two for print and electronic holdings of the same title? Most VIVA libraries have print holdings for some periodical titles now available online from Project Muse and Academic Press IDEAL. Many institutions and consortia have considered the question of whether to use a single record or separate records for online and print versions. Currently, no one standard has been adopted. There are many advocates for the one-record approach among both public and technical services staff. As a result, the current working trend of many consortia is to adopt the single-record approach for multiple formats. Under this model, information about the electronic version of a title is added to the print bibliographic record. Holdings records identify specific physical or online formats held. The Subcommittee recommends that each institution make the decision of which approach to adopt based on local needs, including access policies, cataloging practices, staffing, finances, and user preferences.

Print and Electronic versions on one record (Innopac at James Madison University):  Canned sample <formerly 1multi.htm>.
Print and Electronic on separate records (VTLS Virtua at Mary Washington College): Canned samples (print <formerly mwc/worldpop.htm> and electronic <formerly mwc/worldpop.htm>).

3.2    Collections or Individual titles? The decision to catalog an electronic resource as a collection, a collection with analytics, or as individual titles is also a local choice. Ease of access to the individual titles, full online content, and stability of the titles represented will influence this decision. Project Muse and Academic Press IDEAL journals should be accessed and cataloged as individual titles. Access to individual titles will enable users who have retrieved citations from an index to locate source titles and specific issues for those citations. Collection level records for Muse and IDEAL search engines will benefit users who wish to search for topical information in one or more Muse and IDEAL journals. If the library does not provide title level access to FirstSearch databases, it is appropriate to catalog FirstSearch as a collection of databases under one record. Depending on whether the library decides to catalog at the collection level or the title level, the URL from the bibliographic record will point to a database of collected titles, an individual journal, a single database, or a monographic title.

African-American Poetry, 1760-1900 (SIRSI at the University of Virginia): Canned sample <formerly aap.htm#Summ>.
Cambridge Scientific Abstracts Internet Database Service (Innopac at James Madison University): Canned sample <formerly 2hrc.htm#summ>.
Cambridge Scientific Abstracts Internet Database Service (SIRSI at the University of Virginia): Canned sample <formerly csa.htm#summ>.
Project Muse (Innopac at James Madison University): Canned sample <formerly 2muse.htm>.

3.3    Mirror sites and multiple URL's. When a mirror site is available at the time of cataloging, the cataloger should add its URL for alternative electronic access. Related URLs that point to an organization's home page, related resources, or other resources hosted by the primary site (analytics) can be added to MARC records. If this information is readily available from other sources, it may be preferable to omit related or analytic URL's from bibliographic records to reduce the need for database maintenance.

Mirror site:

Annals of Botany (SIRSI at the University of Virginia): Canned sample <formerly 3mirror.htm#URL>.

3.4    Serial or monograph? Resources of a serial nature (e.g., journals, annuals, newsletters, proceedings), consisting of articles and consecutive, non-cumulative issues, are cataloged as serials. Continuously updated online databases, even if their print or CD-ROM versions have been cataloged as serials, may be considered "ongoing publications," and cataloged under current standards for loose-leaf monographs or serials. These Guidelines favor use of the monographic format and loose-leaf rules for ongoing publications, as recommended by Draft Interim Guidelines from the Library of Congress. (See Section VI below for a discussion of ongoing publications.)

English verse drama full-text database (complete, monograph record--SIRSI at the University of Virginia): Canned sample <formerly 4engver.htm>.
Postmodern culture (computer file format, serial record--Innopac at Radford University): Canned sample <formerly rfd/4postmod.htm>.
Arts & Humanities Search (ongoing, monograph record--Innopac at James Madison University): Canned sample <formerly Arts&Hu.htm>.

3.5    Serials records: print or electronic versions? When cataloging electronic journals, the decision to select a record that describes the electronic or the print version of a journal title rests with each library. Libraries who contribute to union catalogs may prefer to choose a record describing the print version--even though they have no local print holdings--so that all libraries in the union catalog can use the same record for a title held in multiple formats:

Appetite (Serial record, electronic version--Innopac at Radford University): Canned sample <formerly rfd/5appCom.htm>.
Appetite (Serials record, print version--SIRSI at the University of Virginia): Canned sample <formerly 5appetit.htm>.

3.6    Uniform titles. Electronic versions of print resources are assigned a uniform title, for example World Politics (Online), to distinguish the online version from the print version. The uniform title makes it easier for users to identify and retrieve electronic versions of a title.

Uniform titles in a browse list (VTLS Virtua at Mary Washington College): Canned sample <formerly mwc/6browse.htm>.

3.7    Added entry for publisher or vendor of electronic collections. Catalogers will add a note and a corporate name entry for "Project Muse" and "IDEAL (Project)." A corporate name added entry is commonly used for names of projects. These name headings have been established by NACO libraries and are preferred to series treatment.

Corporate author entry for IDEAL (Project) (Innopac at James Madison University): Canned sample <formerly leo/7corpAut.htm#IDEAL>.
Corporate author entry for Project Muse (NOTIS at Virginia Commonwealth University): Canned sample <formerly vcu/7muse.htm>.

3.8    VIVA Sponsorship. The Subcommittee recommends that all VIVA institutions add a local note, such as "Electronic access sponsored by VIVA, the Virtual Library of Virginia" to bibliographic records for resources acquired by the consortium:

Note crediting VIVA for sponsorship (Innopac at James Madison University): Canned sample <formerly leo/8viva.htm>.

3.9    Restrictions on access. Restrictions on user access that are governed by agreements negotiated by VIVA can be displayed to users in a local note (590) or URL linking note (856 $z). Access restrictions specific to the VIVA consortium or to any one institution should not be added to the general restriction on access note field (506) in OCLC master records.

Access restrictions in URL linking note (SIRSI--UVa): Canned sample <formerly 5appetit.htm#access>.
Access restrictions in local note (Innopac--JMU):Canned sample <formerly leo/theo.htm>.

3.10    Local holdings. Libraries will develop a variety of strategies for displaying local holdings, depending on past practice, holdings format (MARC or non-MARC), and capabilities of systems software. Some libraries have chosen not to code specific holdings; they rely on the remote source for holdings information, such as Project Muse.

MARC holdings and locations (SIRSI--UVa): Canned sample <formerly 10imago.htm#MARC>.
Check-in records (Innopac--JMU): Canned sample <formerly leo/10prev.htm#local>.
Holdings in URL linking note (Innopac--Radford): Canned sample <formerly rfd/10semina.htm>.

3.11    Web pages and OPACs. A Web OPAC is necessary to provide hypertext links to cataloged electronic resources. Many VIVA libraries also provide access to electronic resources through library Web pages. Library Web pages point to electronic collections, database search engines, individual periodical titles, and a variety of Web sites. Separate maintenance of Web pages and MARC bibliographic records for electronic resources has become a burden for some libraries. The Subcommittee is reviewing options for generating Web pages from catalog records.

4. Serials examples

4.1    Print and electronic versions on one print serial record:

• Electronic ISSN
• Title of print version
• Title variants
• VIVA sponsorship note for online access only
• Other formats available
• Local restrictions on access
• Subjects
• Corporate name of electronic project
• Other name added entries
• Uniform title for electronic version
• Other title added entries
• Local holdings
• URL

   *Linking note
   *Primary URL
   *URL for mirror site
   *URL for contact information

MARC tags for one print serial record <formerly marc.htm>

4.2    Separate record for electronic version:

• Uniform title for online version
• Title on home page or opening screen
• Title variants
• General material designation
• VIVA sponsorship note
• General restrictions on access
• Local access restrictions
• File characteristics
• Summary, abstract, annotation, etc.
• Other available format
• System requirements (optional)
• Mode of access
• Source of title (or with the "Description based on: <date>" note)
• Other local notes
• Subjects
• Name added entries
• Title added entries
• Local holdings
• URL

   *Linking note
   *Primary URL
   *URL for mirror site
   *URL for contact information

MARC tags for separate record <formerly marc.htm#cfserial>

4.3     Examples from various institutions:

Title: Brain and cognition

Innovative WebPac Canned Sample	VTLS Virtua Web Canned Sample	Innovative WebPac Canned Sample	SIRSI WebCat Canned Sample	NOTIS Canned Sample	DRA Web Canned Sample	Endeavor Canned Sample

Title: World politics

Innovative WebPac Canned Sample	VTLS Virtua Web Canned Sample	Innovative WebPac Canned Sample	SIRSI WebCat Canned Sample	NOTIS Canned Sample	DRA Web Canned Sample	Endeavor Canned Sample

5. Examples for title of finite nature:

5.1     Print and electronic versions on one print record:

MARC tags for one print record (finite nature) <formerly marc.htm#mono1>

We have no examples in VIVA collections of monographs with identical print and online content.

5.2    Separate record for electronic version (e.g., encyclopedia, dictionary, home page, article, novel, image, anthology, statistical database):




• Uniform title for online version
• Title on home page or opening screen
• Title variants; including HTML header title
• General material designation
• File characteristics
• System requirements (optional)
• Mode of access
• Source of title (or with the "Description based on: <date>" note)
• VIVA sponsorship note
• Other available format
• Summary, abstract, annotation, etc.
• Contents (optional)
• General restrictions on access
• Local access restrictions
• Other local notes
• Subjects
• Name added entries
• Title added entries
• Local holdings
• URL

   *Linking note
   *Primary URL
   *URL for mirror site
   *URL for analytic
   *URL for related site
   *URL for contact information

MARC tags for separate record <formerly marc.htm#mono>

5.3    Examples from various institutions:

Title: Britannica Online

Innovative WebPac Canned Sample	VTLS Virtua Web Canned Sample	Innovative WebPac Canned Sample	SIRSI WebCat Canned Sample	NOTIS Canned Sample	DRA Web Canned Sample	Endeavor Canned Sample

6. Ongoing Publications

6.1   Concerns over the seriality of electronic publications relate to the expectation in AACR2 and MARC that the cataloger will identify each new title as either a monograph or a serial. Many online publications (e.g., home pages, listservs, continually updated databases) do not seem to behave like monographs, but also do not fit the current AACR2 definition of a serial:

Serial. A publication in any medium issued in successive parts bearing numeric or chronological designations and intended to be continued indefinitely. Serials include periodicals; newspapers; annuals (reports, yearbooks, etc.); the journals, memoirs, proceedings, transactions, etc., of societies; and numbered monographic series (AACR2 2nd ed. 1988 rev., p. 622).

6.2   "Ongoing publications," a concept suggested by Hirons and Graham <formerly http://www.nlc-bnc.ca/jsc/r-serial.pdf>, can be issued in multiple parts (e.g., Project Muse titles or monographic series), or, they can appear in one source that is subject to updating (e.g., Britannica Online, or a loose-leaf publication). The duration of publication is either "determinate" or "indeterminate." Ongoing publications contrast with "static" publications, which may also be issued in multiple parts or a single part, but are complete at the time of cataloging.

6.3   Hirons and Graham have offered three models illustrating possible future treatment of ongoing publications. Model "A" adds publications issued in successive, unnumbered parts to the definition of serial. Model "B" which is under consideration by the Joint Steering Committee for Revision of AACR, goes further by including single part ongoing publications of indeterminate duration (e.g. databases) under the serial definition. Model "C" dispenses with the terms "serial" and "monograph," referring instead to all publications as "Static" (single part or multipart) or "Ongoing" (determinate and indeterminate duration in single or multiple parts). Some ongoing titles would still require the controls (check-in, etc.) traditionally associated with serials. Changes in cataloging rules will be required to realize any of the these models.

6.4   Interim Guidelines from the Library of Congress treat single part ongoing publications (databases, home pages, listservs) as monographs under existing rules for loose-leaf publications. OCLC coding guidelines also specify this method, even when the print version of a database service was cataloged as a serial. Since most VIVA libraries choose to follow LC and OCLC practice, the VIVA Guidelines recommend cataloging VIVA electronic databases as monographs.

7. Collection Management Issues

7.1   The dynamic nature of Internet resources offers challenges for electronic resource management. All online resources, monographic or serial, are subject to change in scope and content, growth, or degradation. Free, voluntary publications can move or disappear without warning. The stability of electronic collections is dependent on a number of factors, including:

(1) license and subscription agreements,

(2) relationships of trust with authors, publishers, and Internet hosts,

(3) cooperative efforts among (a) selectors, acquisitions librarians, and catalogers at the individual library, and (b) consortia, professional organizations, publishers, vendors, and the computer network industry on a national and international level.

7.2   Post-cataloging maintenance focuses on changes in URLs and changes in the content of remote resources. Technology offers solutions for managing URLs (e.g., PURLs) and sharing catalog records (e.g., union catalogs, bibliographic utilities). Libraries can adapt cataloging principles created for static, print publications to the description and indexing of dynamic, online resources. However, current workflow and budgeting for acquisition and cataloging assume that bibliographic records will require little or no post-cataloging maintenance, apart from adding holdings or withdrawing volumes and titles. Management of dynamic resources with dynamic catalog description and access points will require creative solutions and more cooperation.

7.3   To facilitate resource sharing, VIVA libraries should strive for consistency in description and access points, with little local variation (except for holdings and local access restrictions) and minimal duplication of effort. Local and shared information should be carefully delineated. Future infrastructure may lead to division of shared and local elements on separate systems. Library systems vendors also have a role in developing Web OPAC displays and indexing capabilities in ways that support URL verification, changes in AACR and MARC standards, and consistent display of elements across systems. Local variation in cataloging is often driven by differences in OPAC display capabilities among library systems.

7.4   Publishers should notify VIVA when altering their online products and services, for example addition or deletion of titles, changes in scope or coverage, or changes in URLs. VIVA should continue to inform participating institutions of changes via the listserv or other means. The Subcommittee recommends that this process of tracking and notification for changes in URLs be automated by utilizing existing software, such as PURLs and robots. Maintenance of electronic resources is a collection management issue; VIVA cannot rely solely on vendors to inform it of all the changes in content. Libraries should develop policies for periodic review of electronic resources.

8. Bibliography

Howarth, Lynne C. "Content versus Carrier" in Papers, International Conference   

on the Principles and Future Development of AACR (Toronto: October 23-25, 1997) [www page; requires Adobe Acrobat Reader]. Toronto: Joint Steering Committee for Revision of AACR [cited 6 January 1998]. Available from http://www.nlc-bnc.ca/jsc/rcarrier.pdf <no longer available, 3/11/2008>

IDEAL. Creating Links to IDEAL [www page]. [San Diego] : Academic Press,    

[cited 16 June 1998]. Available from http://www.apnet.com/www/ideal/linkgide/links.htm or http://www.apnet.com/www/ideal/linkgide/urls.htm <no longer available, 3/11/2008>

International Conference on the Principles and Future Development of AACR    

(Toronto: October 23-25, 1997). "Papers" [www page]. Toronto: Joint Steering Committee for Revison of AACR [cited 6 January 1998]. Available from http://www.nlc-bnc.ca/jsc/confpap.htm <no longer available, 3/11/2008>

International Federation of Library Associations and Institutions. Section on    

Cataloging. "Functional Requirements for Bibliographic Records: Draft Report for World-Wide Review" [www page]. Frankfurt am Main, Germany: IFLA Universal Bibliographic Control and International MARC Programme. Deutsche Bibliothek, May 1996 [cited 6 January 1998]. Available from http://www.nlc-bnc.ca/ifla/VII/s13/frbr/frbr-toc.htm <no longer available, 3/11/2008>

Library of Congress. Cataloging Policy and Support Office. "Draft Interim    

Guidelines for Cataloging Electronic Resources" [www page]. Washington, DC: The Library of Congress [cited 6 January 1998]. Available from http://lcweb.loc.gov/catdir/cpso/dcmb19_4.html

OCLC Online Computer Library Center, Inc. "Cataloging Electronic Resources :    

OCLC-MARC Coding Guidelines." 1998. In InterCat [Online newsgroup]. [Posted by] Richard Greene, 17 February 1998. Dublin, Ohio : OCLC [cited 17 February 1998]. Available from InterCat@oclc.org. Contact list owner, Erik Jul, email: jul@oclc.org for retrieval instructions.

Olson, Nancy B., editor. "Cataloging Internet Resources: a Manual and Practical
     Guide" [www page]. 2nd ed. Dublin, OH: OCLC [cited 6 January 1998].
     Available from http://www.purl.org/oclc/cataloging-internet
Shieh, Jackie. A Bibliography of Resources for Cataloging Electronic Collections
     (1997- ) [www page]. Charlottesville, VA.: The University of Virginia
      [cited 17 February 1998].
      Available from http://viva.lib.virginia.edu/~ejs7y/vivacat/resources.htm

  VIVA Cataloging and Intellectual Access Task Force.  "Background and Goals"

[www page]. Richmond, VA : The Task Force, June, 1997 [cited 17 February 1998]. Available from http://viva.lib.virginia.edu/~ejs7y/vivacat/vivacat.htm

The VIVA User Services Committee Subcommittee on Cataloging and Intellectual Access thanks the Subcommittee members, Karen Cary, Elaine Day and Jackie Shieh for their work on these Guidelines. Please direct questions and comments to any of the authors listed below.

created on 22-May-97 (js); last modified 28-January-98 (ELD), Tuesday, 11-Mar-2008 17:11:13 EDT (js)