E-Book Cataloging Workshop: Hands-On Training using RDA
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1 The Serials Librarian ISSN: X (Print) (Online) Journal homepage: E-Book Cataloging Workshop: Hands-On Training using RDA Marielle Veve & Wanda Rosiński To cite this article: Marielle Veve & Wanda Rosiński (2013) E-Book Cataloging Workshop: Hands- On Training using RDA, The Serials Librarian, 64:1-4, 27-39, DOI: / X To link to this article: Published online: 08 Apr Submit your article to this journal Article views: 460 View related articles Full Terms & Conditions of access and use can be found at
2 The Serials Librarian, 64:27 39, 2013 Copyright The North American Serials Interest Group, Inc. ISSN: X print/ online DOI: / X E-Book Cataloging Workshop: Hands-On Training using RDA MARIELLE VEVE and WANDA ROSIŃSKI Presenters This half-day preconference, led by Marielle Veve and Wanda Rosiński, consisted of a hands-on workshop that introduced the creation of original machine-readable cataloging (MARC) records for e-books using the Resource Description and Access (RDA) standard. Attendees received an introduction to the guidelines and participated in practical exercises. The workshop consisted of two main sections: the first part focused on the descriptive area of a MARC record, while the second part focused on understanding RDA relationships and how they can be reflected and recorded into MARC records through the use of access points, designators, and notes. KEYWORDS Resource Description and Access (RDA), e-books cataloging, MARC21, Resource Description and Access (RDA) training and implementation INTRODUCTION This preconference was led by Marielle Veve and Wanda Rosiński, both seasoned catalogers from the University of Tennessee Libraries, Knoxville, Tennessee. They opened the session by asking attendees to introduce themselves and to share a little bit about their geographic and institutional background, and their departmental roles and responsibilities. Geographically, states from the West, Midwest, Northeast, and South were represented, and one attendee even came from Jamaica. Most of the group consisted of practicing catalogers and technical services professionals from academic and public libraries, and from a few government institutions. The presenters began the preconference by defining e-books and mentioning some of the most common file types for e-books. Then, they made a comparison between two machine-readable cataloging (MARC) e-book 27
3 28 Preconference Programs records, one that followed rules in the Resource Description and Access (RDA) while the other followed the Anglo-American Cataloguing Rules, 2nd Edition (AACR2). General similarities and differences were highlighted and this foundation served as an effective introduction to the rest of the workshop. RDA WORKSHOP FORMAT This workshop was designed with a practical approach in mind. Rather than trying to explain the theories of RDA in abstract terms, workshop leaders explained how RDA rules and concepts apply to and may be represented in MARC fields for an e-book record. The workshop was divided into two main sections: the first part focused on the descriptive area of a MARC record (fields 245 to 5xx, and 020), while the second part focused on RDA relationships (work, expression, manifestation, and item) and how they can be reflected and recorded into MARC records through the use of access points, designators, and notes. After these two sections were thoroughly covered and explained, attendees were given exercises and divided into groups of three. By working together on these exercises, they had the opportunity to put into practice many of the concepts and rules presented throughout the workshop. HOW TO CATALOG E-BOOKS USING RDA: PART I. DESCRIPTIVE AREA The first part of the workshop focused on explaining each of the MARC fields in the descriptive area of e-books and the RDA rules that apply to them. The descriptive areas covered include: the title area; statement of responsibility area; edition area; publication area; physical description area; type of content, media, and carrier area; series area; notes that apply to description; and the identifier for a manifestation. RDA says to transcribe these areas (except for the physical description; type of content, media, and carrier; and notes) as they appear on the source of information. If more information is needed, apply general guidelines on transcription given under RDA rule 1.7. Title Area (MARC 245 $a $b) In RDA, the title area has three elements that may apply to e-books: title proper, parallel title proper, and other title information. From these three elements, only the title proper is a core element under RDA guidelines. The other two elements are core only under the Library of Congress
4 E-Book Cataloging Workshop 29 FIGURE 1 Examples of title proper transcribed as found in source. Policy Statements (LCPS). Title proper for e-books follows RDA rule Resources consisting of one or more pages, leaves, sheets, or cards. It recommends taking the title proper from the following sources of information in this order of preference (Figure 1): 1. Title page, title sheet, or title card (or image thereof). 2. [If the resource lacks any of the above,] use the first of the following sources that bears a title: a. A cover (or an image of a cover) b. A caption (or an image of a caption) c. A masthead (or an image of a masthead) d. A colophon (or an image of a colophon). 3. If none of the sources listed above bears a title, use another source within the resource that bears a title, giving preference to a source in which the information is formally presented. 4. If the resource does not contain any of the sources specified above, use another source forming part of the resource itself as the preferred source of information, giving preference to sources in which the information is formally presented. Parallel title proper, which is the same as the title proper in another language or script, follows RDA rule The source of information is any source within the resource. Other title information, which is the other element in the title area that may apply to e-books, refers to any information that appears in conjunction with, and is subordinate to, the title proper. The source of information for other title information is the same source as the title proper. This means that if the title proper was taken from the cover, instead of the title page, then the other title information should be taken from the cover (the same place the title proper was taken from). Statement of Responsibility Area (MARC 245 $c) According to RDA, a statement of responsibility is a statement relating to the identification and/or function of any persons, families, or corporate bodies
5 30 Preconference Programs TABLE 1 Prescribed Order of Preference 1) The same source as the title proper 2) Another source within the resource itself 3) One of the other sources of information specified under RDA rule responsible for the creation of, or contributing to the realization of, the intellectual or artistic content of a resource. Statements of responsibility may occur in association with a title, edition, or series. However, under RDA guidelines, only the statement of responsibility relating to title proper is a core element; the others are optional. Also, if more than one statement of responsibility relating to title proper appears on the source, only the first recorded is required. The statement of responsibility relating to title proper follows RDA rule and should be taken from the sources of information presented in Table 1 in the prescribed order of preference. Edition Area (MARC 250) Under RDA guidelines, there are two core elements in the edition area: designation of edition and designation of a named revision of an edition. A designation of edition is a word, phrase, or character that identifies the edition to which a resource belongs. In case of doubt, RDA says to consider the presence of words such as edition, issue, release, level, state, or update as a designation of edition. Sources of information for designation of edition are specified in RDA rule and should follow the order of preference stated in Table 1. A designation of a named revision of an edition is a word, phrase, or character that identifies a particular revision of a named edition. Sources of information for a named revision of an edition are specified in RDA rule in the following order of preference (Figure 2): 1. The same source as the designation of edition 2. Another source within the resource itself 3. One of the other sources of information specified under nd edition 250 [Kindle Edition] 250 Segunda edición Bracketed because not taken from same place as title proper nor the resource itself, but from a source outside the resource itself (RDA 2.2.4) FIGURE 2 Examples of designation of edition.
6 E-Book Cataloging Workshop 31 Publication Area (MARC 260 or 264 for PCC Cataloging) The publication area consists of three main sections or elements: place of publication or distribution or manufacture, name of the publisher or distributor or manufacturer, and date of publication or distribution or copyright or manufacture. Under RDA guidelines, a place, name, and date related to publication should be provided for published e-books. As with AACR2, these three elements can be represented in subfields $a, $b, and $c of the 260 field in MARC records. Otherwise, they can go in 264 fields if the latest Program for Cooperative Cataloging (PCC) Guidelines that were released on June 11, 2012, are followed. The new PCC Guidelines for the 264 field state: Use the 264 for all new original or newly authenticated RDA records. 1 However, because of the recent release of this policy, the guidelines assume that 260 and 264 fields may co-exist in pre-rda records and RDA records created before implementation of 264. Examples displayed during the workshop used only field 260, however, an example with field 264 is included below in Figure 3. For the places of publication area, RDA recommends recording only the first one that appears in the source following this order of preference: (1) place of publication, (2) place of distribution, (3) place of manufacture or printing. In other words, if more than one place of publication appears on the source, use only the first one mentioned. If there is no place of publication on the source, then use the second option, which is the place of distribution. If no place of publication or distribution shows on the source, then use the third option, which is place of manufacture or printing. The same order of preference applies to publishers names and dates of publication. The workshop leaders recommended recording both the local place and the larger jurisdiction when they are present in the source (e.g., city and state/country). This is a best practice followed by the presenters at their local institution. The sources of information for places of publication are specified in RDA rules , , and They state the following: 1. For places of publication, take them from the same source as the publisher s name. For places of distribution, take them from the same source *For a source that says: Cambridge New York Paris and Cambridge, [England] : $b Name of publisher, $c or 264 _ 1Cambridge, [England] : $b Name of publisher, $c [2008] 264 _ 4$c 2008 FIGURE 3 Examples of elements in publication area using fields 260 and 264.
7 32 Preconference Programs as the distributor s name. For places of manufacture or printing, take them from the same source as the manufacturer s name. 2. [If not there, take the place from] another source within the resource itself. 3. If none of the above applies, then take the place from one of the other sources of information specified under RDA rule For publisher s name, RDA recommends recording only the first one that appears in the source, following this order of preference: (1) publisher s name, (2) distributor s name, (3) manufacturer s name or printing body. In other words, if more than one publisher s name appears on the source, use only the first one mentioned. If there is no publisher s name on the source, then use the second option, which is the distributor s name, and so on. The sources of information for a publisher s name are specified in RDA rules , , and , which is the same order prescribed in Table 1. For dates of publication, RDA recommends recording only the first one that appears in the source, following this order of preference: (1) date of publication, (2) date of distribution, (3) copyright date, (4) date of manufacture or printing date. Library of Congress (LC) practice brings a complex exception to this rule. If a library locally decides to follow LC practice, thus using the 264 field, then follow these recommendations: A. If an item lacking a publication date contains a copyright date and a date of manufacture and the year is the same for both, supply a date of publication that corresponds to that date, in square brackets, if it seems reasonable to assume that date is a likely publication date. A manufacture date may also be recorded as part of a manufacture statement. B. If an item lacking a publication date contains a copyright date and a date of manufacture and the years differ, supply a date of publication that corresponds to the copyright date, in square brackets, if it seems reasonable to assume that date is a likely publication date. A manufacture date may also be recorded as part of a manufacture statement. C. If an item lacking a publication date contains only a date of manufacture, apply the following in the order listed: 1. Supply a date of publication that corresponds to the manufacture date, in square brackets, if it seems reasonable to assume that date is a likely publication date. 2. If the date of manufacture given implies that it is not likely the same as the date of publication, supply a date of publication in square brackets, using the information provided. A date of manufacture may also be recorded as part of a manufacture statement. The sources of information for both dates of publication and distribution are specified in RDA rules and , which are also displayed in
8 E-Book Cataloging Workshop 33 Table 1. Sources of information for copyright dates and manufacture or printing dates are specified in RDA rules and , which state that these types of dates may be taken from any source. Physical Description Area (MARC 300) The physical description area for e-books consists of four main elements. These are: extent, type of carrier (previously known in AACR2 as the specific material designation), number of subunits, and illustrative content. Use evidence presented in the resource itself as the source of information for all these elements. Figure 4 illustrates how these elements would display in a 300 MARC field. The extent is the number of units that make up a resource and is a core element only if the resource is complete in one unit. This will be the case for most e-books, as most of them are complete in one unit. The carrier type is an element that is also used in MARC field 338, thus explained in more detail in the next section. The number of subunits is the number of subdivisions within a unit. In the context of e-books, if a unit represents the e-book, subunits would represent pagination. RDA rule says to record the number of subunits in parentheses if they are readily ascertainable. This rule recommends subsequently following rule if the e-book material is mainly textual, rule if it is mainly still images, rule for notated music, or rule for mainly cartographic material. The last element in the physical description area that applies to e-books is the illustrative content. Under LCPS guidelines, this element is core for resources intended for children. If a resource contains illustrative content, record it using any of the terms listed in RDA rule in addition to, or in place of, the word illustration(s). LCPS offers an alternative to this RDA rule; it states to only make use of the general term illustration(s) in the physical description area, discouraging the use of any specific terms mentioned in If the resource contains colored illustrations (other than black, white, or shades of gray), record this fact by using the term color in the American spelling form extent # of subunits for a mainly type of carrier textual e-book 1 online resource (ix, 89 pages) : $b color illustrations 1 online resource (5 scores) ill. content # of subunits for e-book with mainly notated music FIGURE 4 Examples of elements in physical description area.
9 34 Preconference Programs Type of Content, Media, Carrier (MARC 336, 337, 338) RDA introduces three new descriptive elements that were not previously seen in AACR2. These are: content type, media type, andcarrier type. Use evidence presented in the resource itself as the source of information for all these elements. Examples of these fields are provided in Figure 5. The content type is a categorization that reflects the form in which the content is expressed. It is a core element and is recorded in MARC field 336. In the case of e-books, RDA rule recommends using any of the terms listed in RDA table 6.1 to reflect content type. Most e-books will use the term text because they are mainly textual. However, there are e-books where the term still image would be more appropriate since their content consists mainly of images (e.g., illustrative children s books or art exhibition catalogs). For audio books, use the term spoken word. The chosen term must be followed by a subfield $2 with the source vocabulary rdacontent. Another element is the media type, which is a categorization that reflects the type of intermediation device required to view a resource s content. It is a core element under LCPS and is recorded in MARC field 337. In the case of e-books, RDA rule recommends using the term computer listed in RDA table 3.1 for media type. It must be followed by a subfield $2 with the source vocabulary rdamedia. The carrier type is a categorization that reflects the storage medium of a resource. It is a core element that is recorded under MARC field 338 and in MARC field 300, subfield $a. In the case of e-books hosted online, RDA rule recommends using the term online resource because it has a computer carrier. This term has to be followed by a subfield $2 with the source vocabulary rdacarrier. There is an optional delimiter $b that can be added to these fields after delimiters $a. These are codes for the type of content, media, and carrier that was put in delimiters $a. Series Area (MARC 490 and 830) RDA states there are four core elements in the series area: title proper of series, title proper of subseries, numbering within series, and numbering within subseries. Sources of information for the title proper of series and subseries are specified in RDA rules and They both recommend following this order of preference: 336 text $2 rdacontent 337 computer $2 rdamedia 338 online resource $2 rdacarrier FIGURE 5 Examples of type of content, media, and carrier for e-books.
10 E-Book Cataloging Workshop The series title page 2. Another source within the resource itself 3. One of the other sources of information specified under For numbering within series and subseries, the sources of information are specified in RDA rules and They both say to take the numbering from any source within the resource. Numbering within series as well as the numbering within the subseries may include a numeral, letter, or any other character with or without the words volume or number. Notes that Apply to Description (MARC 5xx) RDA provides a list of notes that can be used to provide an explanation for information entered in any of the MARC descriptive fields. However, this list is too exhaustive and cannot be covered completely in this workshop. For this reason, the presenters decided to be selective and mention only the most essential notes that apply to e-books. One of these notes is the note on title source, a note used for recording the source from which a title proper is taken. It is mentioned in RDA rule , and LC practice recommends not omitting it regardless of where the title proper is taken from. Another important note is the note on title inaccuracies. It is mentioned in RDA rule and is used when an inaccuracy that appears in the title of a resource has been transcribed as such in the 245 field. This note provides the user with the corrected form of the title. The presenters did not want to leave out the note on edition statement, which is mentioned in RDA rule This note provides information on, or related to, the source of an edition statement. It is required in cases where an edition statement that was entered in field 250 is taken from a source outside the resource itself (as specified in RDA rule 2.2.4). This happens very frequently in e-books where the edition statement is taken from the publisher s Web page outside the e-book (e.g., Amazon Kindle edition). In concluding this section, the presenters mentioned that the source of information for these notes is any source. Identifier for the Manifestation or ISBN (MARC 020) There is one last element in the descriptive area of MARC records worth mentioning for e-books, the identifier for the manifestation. This core element is a character string associated with a manifestation that serves to differentiate that manifestation from other manifestations. It is registered and applies internationally recognized schemes. In the case of e-books, the most common type of identifier for the manifestation is the International Standard Book Number (ISBN). RDA rule says to take identifiers from any
11 36 Preconference Programs source. When recording an ISBN, the presenters recommended preceding it with a delimiter $z if that same ISBN applies to both the electronic and print versions of a book. However, if a cataloger is sure that a particular ISBN applies only to the electronic version of a book, then it is okay to put that ISBN without the preceding delimiter $z and followed by the designation electronic bk. in parentheses. PART II: RELATIONSHIPS During the second part of the workshop, presenters explained the different types of RDA relationships and how they can be applied to MARC records for e-books through the use of access points, designators, and notes. Relationships Under RDA guidelines, an e-book is considered an intangible resource and, thus, is considered all of the following things: a work, an expression, a manifestation, and an item. These four things are called relationships, and they are explained in detail in RDA rule The first type of relationship mentioned in RDA is called work, andit refers to a distinct intellectual or artistic creation, an original creation (e.g., the original intellectual or artistic content). An example might be the original content in the book Alice in Wonderland or the original Mona Lisa painting by da Vinci. The second type of relationship is called expression. It refers to the intellectual or artistic realization of a work in the form of sound, image, object, movement, and so on or any combination of such forms (e.g., translations, adaptations, revisions, selections, Cliff notes, edition, versions, illustrations, supplements). An example of an expression might be a movie of Alice in Wonderland by Scorcese or a drawing of Mona Lisa by someone other than da Vinci. The third type of relationship mentioned in RDA is called manifestation, and it refers to the physical embodiment of an expression of a work (e.g., a print book, e-book, CD, cassette, tape, online, microform, large print, types of DVDs such as blue ray, 3D, high definition.) An example of a manifestation might be Alice in Wonderland in e-book format or a digital image of Mona Lisa. The fourth and last relationship type mentioned in RDA is called item. Item refers to a single exemplar or instance of a manifestation; for example, a copy of the book Alice in Wonderland owned by a student or the original Mona Lisa painting owned by the Louvre Museum. In order to reflect relationships between different works, and between creators and works, it is necessary to add access points, designators, and notes to the MARC records. These elements are explained in more detail below.
12 Access Points (MARC 1xx, 240, 7xx) E-Book Cataloging Workshop 37 Three types of access points can be used to record a relationship between a resource and a person, family, corporate body, or work or expression associated with that resource. These access points are: main entry (MARC field 1xx), added entries (MARC field 7xx), and access points for related work or expression (MARC fields 130, 240, 730). The main entry can be a person, family, or corporate body in the role of principal creator. Principal creator is a person, family, or corporate body having principal responsibility for the creation of a work. The term creator is mentioned in RDA rule 19.2 and is a core element. LCPS for this rule specifies that if there is more than one creator responsible for the work, only the creator having principal responsibility named first is required. If principal responsibility is not indicated, only the first-named creator is required. Additional creators can always be entered under added entries, but this addition is optional and will depend on the cataloging agency. An added entry can be a person, family, or corporate body in any role that the cataloger considers important for access of the resource. So the assignment of added entries in RDA will depend on the cataloger s judgment and on local policies. Examples of added entries might be editors, contributors, compilers, translators, secondary authors, and so on. Chapters 19, 20, 21, and 22 of RDA explain added entries in more detail. An access point for related work or expression (or uniform title) can be a main entry or added entry for a title that is related to the resource. For example, the original title of a translation or compilation. This type of access point is mentioned in RDA rule and is a core element under LC. Figure 6 provides examples of this type of access point. When transcribing access points into bibliographic records, take the form of heading from the following places (in order of preference): 1. Authorized access point that appears in the National Authority File. 2. The preferred sources of information in resources associated with the person/family/corporate body. Follow order specified in RDA rule previously mentioned in section Title area. 3. Other formal statements appearing in resources associated with the person/family/corporate body. 4. If none of the above applies, use other sources (including reference sources). Designators (MARC $e in 1xx and 7xx) A relationship designator is used to indicate the nature of the relationship between a resource and a person, family, or corporate body associated with that resource that is represented in an authorized access point. Relationship designators are not required, but their use is highly recommended when the
13 38 Preconference Programs 1 2 Relationship between a creator and a work (MARC 100 to MARC 245) Relationship between a work and another expression of that work (MARC 240 to MARC 245) 2 1 FIGURE 6 Examples of access points that reflect relationships (color figure available online). relationship between the resource and an access point can be determined by the cataloger. Examples can be seen in Figure 7. RDA rule recommends recording one or more relationship designators from the list in RDA Appendix I. If none of these terms is appropriate or sufficiently specific, [then] use a term designating the nature of the relationship as concisely as possible. Notes to Explain Relationships (MARC 5xx) Three types of notes can be used to reflect relationships between different resources: note on related work, note on related expression, and note on related manifestation. According to RDA rules , , and , these notes can be taken from any source. The first of these notes is the note on related work. This is a note on a work related to the resource being described. An example might be an adaptation, commentary, or supplement of a specific work like Adapted from the novel Crime and Punishment. The second type of note that can Doe, John, $e author. Smith, Jim, $e compiler, $e translator. Carter, Ann, $e second author. Terms taken from RDA Appendix I Terms not taken from RDA Appendix I FIGURE 7 Examples of relationship designators.
14 E-Book Cataloging Workshop 39 be used to reflect relationships between different resources is the note on related expression. This is a note on an expression related to the expression represented by an authorized access point or a description (e.g., a revised version, a translation). LCPS states that both these notes are core elements for compilations. A third type of note that can be used to reflect relationships between different resources is the note on related manifestation. This is a note on a manifestation related to the resource being described. An example might be a note on another available format for example, Also available through print on demand or Issued also in cd-rom. LCPS states that this note is a core element for reproductions. HANDS-ON EXERCISES AND CONCLUSION In the last part of the workshop, Veve and Rosiński briefly demonstrated how to catalog e-books in MARC using an example displayed in the presentation. Next, attendees were divided into groups of three and given five exercises to work on together. Unfortunately, with less than an hour left, only the first three exercises could be finished by the groups and discussed by the presenters, with a brief question-and-answer session afterward. The exercises included different levels of complexities and by working together on them, the attendees had the opportunity to practice many of the RDA concepts and rules presented throughout the workshop. The participants left the preconference with a basic understanding of RDA and its implications for e-book cataloging. RESOURCES CONSULTED RDA Toolkit (Chicago: American Library Association, 2010), rdatoolkit.org/ (accessed July 9, 2012). OCLC Bibliographic Formats and Standards, 4th edition, org/bibformats/en/defaults.htm (accessed July 8, 2012). NOTE 1. Program for Cooperative Cataloging, PCC Guidelines for the 264 Field, aba/pcc/documents/264-guidelines.doc (accessed July 8, 2012). CONTRIBUTOR NOTES Marielle Veve is Metadata and Cataloging Leader and Associate Professor at the University of Tennessee, Knoxville. Wanda Rosiński is a member of the Metadata and Cataloging team at the University of Tennessee, Knoxville.
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