What s New In Cataloguing?

What s New In Cataloguing? Part 1: AACR2R Chapter 12 & Integrating Resources By Chris Todd Definition Cataloguing rules MARC Definition Integrating resources fall into the hazy area between monographs and serials. However the development of cataloguing rules for such resources has sprung out of the need to cataloguing remote electronic resources and has resulted in a new way of carving up the bibliographic world. From the familiar monograph / serials divide we instead consider whether something is finite or continuing. Finite resources have a pre-determined end point they know when to stop. Most monographs, for example, are complete in a single volume. There are also monographs that are published in several volumes, over a period of years, but the result is still intended to be finite. Continuing resources don t start with the end in mind they could go on forever. Serials are the most familiar type of continuing resource. Integrating resources are published over time, and are characterised by the way in which new material is added to the resource. With serials, as well as multi-part monographs, new material is added in distinct chunks; a new issue or a new volume, that is separate from the material published earlier. With integrating resources new material is added by updating and adding material across the resource. The most familiar model is the publication issued in a ringbinder and updated with replacement pages. A library catalogue is an integrating resource and Web sites are usually integrating resources. Most integrating resources are continuing there is no end in sight. However, they can also be finite. Event-based web sites are a good example of finite integrating resources. Cataloguing Rules Chapter 12 Although integrating resources can be finite, the rules for describing them are in the chapter covering continuing resources, chapter 12. The rules from this chapter are used along with the chapter for the form of the material being catalogued. For instance the cataloguing of web sites for the Te Puna Web Directory involves the use of chapter 12 (Continuing resources) and chapter 9 (Electronic resources). Chapter 12 is set out so that distinctions in cataloguing between serials and integrating resources are identified using sub-headings. There are three main aspects to the cataloguing of integrating resources that distinguish them from both monographs and serials. Title changes

Integrating resources are catalogued using what is called latest entry cataloguing. If the title of a resource changes, then the cataloguing record is updated to reflect the latest title and the former title appears as a title added entry. This is quite a different practice from that used when either a monograph or a serial changes its title. Frequency note Because integrating resources are added to over time, a note is added to indicate this. For some resources there is a known frequency of updating, but for many remote electronic resources the frequency note simply reads Updated irregularly. Publication dates For a resource that is still be published the date of publication is left open, as in a serial record. MARC MARC codes to describe integrating resources were published in MARC 21 in October 2001. However most library system vendors have yet to implement the fixed field codes for these resources. The fundamental change is a new code showing bibliographic level in the leader line. This code is used to show whether the record is describing a monograph, serial, collection or a part of something. A code for integrating resource (i) has been added at this point. Use of this code is linked to the 008 fixed fields for serials. New codes have been added to the fixed fields for serials as follows: Frequency codes: New code a = annual b = bimonthly etc. there are many codes available for this field k = continuously updated Type of continuing resource New codes Entry convention New code m = monographic series n = newspaper p = periodical, d = updating database l = updating looseleaf w = updating web site 0 = Successive entry 1 = Latest entry 2 = Integrated entry Part 2. AACR2R Chapter 12 - What s new in Serials Cataloguing? Eileen South Introduction

AACR2 Chapter 12, previously called Serials, has now been revised and has been renamed Continuing Resources. So what effect does this revision have on cataloguing the most familiar types of continuing resources, serials? The revision contains several rule changes and I now would like to explore with you the more significant changes. Whilst the changes have expanded the categories of material to be included as serials, there is emphasis on reducing the number of catalogue records on the database, for what is essentially the same publication. Significant changes Before cataloguing a publication the decision has to be made as to whether the publication is a serial. The revised LCRI 1.0 covers this in detail. The revised AACR2 definition of a serial is: a continuing resource issued in a succession of discrete parts, usually bearing numbering, that has no predetermined conclusion. Examples of serials include journals, magazines, electronic journals, continuing directories, annual reports, newspapers, and monographic series. This is a change from the previous definition where it states that a serial must have numerical or chronological designation, continue indefinitely and include numbered monographic series. In the revised rules the categories of materials to be catalogued as serials have been expanded to include some unnumbered monographic series and, also, some publications of limited duration that have the characteristics of serials (e.g. successive issues, numbering, frequency). For example, these could include a daily bulletin issued during a one-off event, a quarterly activities report of a project or, an annual report of an expedition or commission that will exist for a limited time. (App. D, LCRI 1.0, 12.0A1). We are also instructed that if a serial is being catalogued from the first issue, and the chief source has both an acronym or initialism form of the title as well as its full form, chose the full form as the title proper. Give the acronym/initialism form as other title information and make an added entry for it (12.1B2, LCRI 12.1B2, 12.1E1, LCRI 21.30J). The publication date in the publication, etc., area now reflects the date of the issue published first rather than the issue designated as "first", if there is a difference in dates (1.4F8). Re-numbering There is now more flexibility in the numbering area allowing the cataloguer to alter the punctuation or supply chronological designation for the first issues. Another really welcome rule change is that the cataloguer can supply new wording when the numbering sequence for a long established title restarts with the same numbering system, but lacks a term that would distinguish the later numbering from the earlier numbering. For example we can now add a bracketed term in the language of the title (e.g., "[new ser.]"). (12.3G1, LCRI 12.3G1) e.g. Vol. 1, no. 1 (Date)-v.6, no. 12 (Date) ; [new ser.] v. 1, no.1 (Date)- Major/Minor changes The most significant rule revision is what we call the major/minor title changes rules. Does the inclusion of the word magazine when previously this was not on the publication constitute a title change? Or will the use of acronyms when earlier issues had the title spelt in full, or vice versa, mean that we need a new bibliographic record? Has the main entry changed or is the serial now published in a different physical format?

The new AACR2 Rule 21.2 revisions covering major changes and minor changes will hopefully help to eliminate the confusion. The intention for the revision is to harmonize AACR, ISSN and ISBD as well as reduce the number of new records and new ISSN. Major Changes (AACR2 rev. 21.2A1) A "major change" is one in which a change in title proper, physical format, main entry or uniform title requires the creation of a new catalogue record. One rule for determining what is a major title change is the first five words rule. That is, that a new record is needed when a change occurs within the first five words of the title proper (excluding an article at the beginning of the title). The title proper covers subfields $a, $n, and $p in the 245 field. The other changes that occur and may require a new record are: Changes to the title after the first five words that changes the meaning of the title or indicates different subject matter Major change in edition statement Additional or changes in physical format. This includes online versions, CD- ROMS even if earlier issues are to be discarded Changes in corporate body name used in uniform title qualifier Changes to main entry But always consider, did the publisher really intend this to be a new work? Examples: 1. Our statement of intent Changed to: Statement of intent (First five word rule) 2. Agricultural bulletin (New Zealand. Crop Research Division) Later published by: DSIR Crop Research (N.Z.) Agricultural bulletin (DSIR Crop Research (N.Z.)) (Corporate body changed name) Minor changes. (AACR2 rev. 21.2A2) However, we are now given much clearer guidance as to whether a change in the presentation of a title on a publication does require the creation of a new record. Or, whether indeed the changes are minor title changes that do not require a new record to be created. "Minor changes", detailed in the new rule 21.2A2 include changes in the first 5 words and may override the major changes rule. There may be more than one minor change, and the changes may cover more than one of the 9 categories in 21.A2. However many minor changes there are, they are still minor and a new record is not required. The "minor change" list has been expanded to include: (1) the difference between an acronym or initialism and its full form;

(2) the difference involving the name of the same corporate body and elements of its hierarchy or their grammatical connection anywhere in the title; (3) the addition to, deletion from, or change in the order of words in a list anywhere in the title; (4) the addition, deletion, or rearrangement anywhere in the title of words that indicate the type of resource such as "magazine" or "series." (21.2A; LCRI 21.2A) Examples: 1. Funding : a guide for applicants = Nga Putea Changed to: The Funding guide ; Nga Putea (AACR2 21.2A2 (b. i. ) Ignore deletion of the initial article and the deletion of a word indicating the type of resource providing it has not changed. 2. Air Force news (issued by Royal New Zealand Air Force) Changed to: Royal New Zealand Air Force news (AACR2 21.2A2 (c) So we can easily recognise the positive impact of the minor change rule has in that it reduces the number of multiple records in the catalogue for what is really the same title ; it limits ISSN assignments to the most significant title changes (The ISSN network adopted the basic principle that only major changes require the assignment of a new ISSN and the establishment of a new record ; it certainly helps to keeps all issues of the same publication shelved together ; and it saves time in searching the database by eliminating splitting holdings over several records However, consider the Journal of cost management which changed to Cost management 1 This is a minor change (rule 21.2A2 i) and clearly highlights some of the concerns about the use of the minor changes. Namely : How can collections that are arranged in alphabetical order be managed? 1 Should current issues be shelved under the former title (the title in the 245 field? Will everything have to be relabelled so that they can be reshelved correctly? Notes will need to be added to the record so that the patron knows where to find a title on the shelf Binding under what title? Confusion for publishers and library staff when claims are generated under the old title Retrieving from the database depending how the variant title is displayed.

Searching database and checking in (when the library assistant is faced with the new issue bearing the new title which has been deemed to be a minor change). If you are in doubt as to whether the change is enough to require a new record the advice at the end of rule 21.2A is if in doubt treat as a minor change and I will leave you to ponder whether you agree with that advice or not. Bibliography Jean Hirons, Leslie Hawkins, Transforming AACR2: using the revised rules in Chapters 9 and 12; Parts 1 and 2; Serials Librarian, (Haworth Press), vol. 44, nos. 3/4, 243-253. Jean Hirons and Regina Reynolds, Seriality: it s not just for serials anymore, Library review, vol. 49, no. 4 (1999): 167. June Garner, Maria Collins and Steve Shadle, The very model of a minor/major change: a current look at serials cataloguing title change rules, Serials Review: (Elsevier) vol. 30, no. 2 (2004): 90-100. CONSER cataloguing manual, Module 16. Anglo-American cataloguing rules, 2 nd ed., 2002 rev. (Chicago: American Library Association, 2002). 1 Karen Aufdemberge (University of Toledo), Letter to Serialst, 4/2/2004 Library of Congress implementation of the 2002 ed. Of AACR2. http://www.loc/catdir/cpso/aacr2002.html Part 3: FRBR : a sampler By Chris Todd FRBR has become a 21 st century library buzzword. There is a large and growing literature relating to FRBR (Functional Requirements for Bibliographic Records), some of which is presented here. The selection is based on my investigations of FRBR and includes the original study along with some introductory papers, results of research and experiments and one or two articles looking at the model in more depth. The intention is that this sample can be used as a starting point for anyone wishing to explore this important development in more depth. The original. Functional Requirements for Bibliographic Records: Final Report i, commonly referred to as FRBR and sometimes pronounced furrburr, was the product of an IFLA study group in the late 1990s. This document describes a theoretical model for bibliographic records built around the concept of three groups of entities and the relationships between them. The three groups of entities are: Group 1: the products of intellectual or artistic endeavour - divided into a hierarchy of works, expressions, manifestations and items;

Group 2: those responsible for the content and production of the first group persons and corporate bodies Group 3: subjects of works concepts, objects, events, place, plus the entities from the first two groups. The model is based on four user needs: the needs to find, identify, select and obtain resources using information in catalogues. The whole purpose of the FRBR study was to relate the information in catalogue records to the needs of users. There is an IFLA web site devoted to FRBR and although it does not appear to have been updated this year, it does contain an extensive bibliography. ii Introductions & overviews There are numerous introductions to FRBR available both in print and online. Many of them make use of diagrams originally developed by Barbara Tillett and available in her What is FRBR? iii Maurer s short and readable introduction is linked to an ALA pre-conference workshop on FRBR that was held in June 2004. iv Alan Danskin of the British Library and Ann Chapman of UKOLN have also produced short accounts of FRBR focusing on the Group 1 entities and looking at implications for cataloguers and cataloguing systems of the implementation of the FRBR model. v Another very clearly presented view of FRBR is that from Kate Harcourt of Columbia University. In particular the notes associated with her powerpoint presentation are well worth reading. vi Denton s introduction relates FRBR to other documented objectives of cataloguing as well as looking as existing implementations that are based to some extent on FRBR. vii Fuller discussions The most comprehensive discussion of FRBR is, of course, the original document. There are also two papers by Patrick le Boeuf of the Bibliotheque nationale de France, that extend some of the original ideas into new areas. viii For instance Le Boeuf suggests that FRBR does not deal satisfactorily with digitised resources (as opposed to native digital resources) ix. MARC and FRBR Tom Delsey has completed an exhaustive analysis of MARC 21 bibliographic and holdings formats, relating the MARC data structures to the FRBR model. The full version of this analysis is a substantial document. x Delsey has also summarised his work in a powerpoint presentation. xi Pat Riva s paper xii looks at MARC21, FRBR and Barbara Tillett s work from the late 1980s on bibliographic relationships. This original work of Tillett s was a significant analysis of the many different methods used in catalogue records to show connections between resources and part of it has been presented in a more recent paper xiii. Experiments and investigations Various experiments have been carried out using existing MARC records and analysing them in relation to the FRBR model. An early study from OCLC looked at all the versions of the novel Humphrey Clinker, sorting them into various expressions and manifestations of this work. xiv Further experiments at OCLC using WorldCat, aimed at identifying expressions of works, are described by Hickey, O Neill and Toves. xv Works themselves are the subject of another OCLC analysis, again using samples of records from WorldCat. xvi

The National Library of Australia have done similar analyses of the Kinetica national bibliographic database and this is reported by Bemal Rajapatirana. xvii Bemal highlights cataloguing issues such as consistency in the choice of main entry and application of various codes, particularly language codes, as affecting the ease of clustering existing MARC records into work and expression groups. Implementations At least two implementations are built around taking existing MARC records and converting them to displays based on FRBR. OCLC has developed FictionFinder - a prototype system for searching fiction that groups by works, expressions and manifestations. The identification of the work level is not completely consistent and appears to reflect the fullness and accuracy of the original records. However it is an interesting system to look at as the search results are derived from existing MARC data using an OCLC algorithm to convert to the new method of displaying records. xviii Another development that applies some aspects of FRBR is RLG s RedLightGreen. xix This is similar to FictionFinder, but covers a database of around 120 million records. Again there are often several records for what we would consider a single work because of the variations in the way the data appears in the original MARC records. Austlit is an Australian literature database that was developed using FRBR xx. This database does not use legacy MARC data and is therefore free of the problems that can be seen in FictionFinder and RedLightGreen. Austlit is, however, a subscription database and only a very general idea of it is available without subscribing. An account of the development of Austlit contains an interesting assessment of the scalability of FRBR implementations. xxi Music Australia is another Australian project, this time based on existing bibliographic records. xxii There is currently a prototype system available. xxiii There is only one library system vendor that has incorporated FRBR into their system design and that is VTLS with their Virtua system. Virtua can furburise existing MARC data to create OPAC displays that group resources at the work level and allow users to then select for expressions, manifestations or items. Cataloguers create records for each of the Group 1 entities and the records are linked by an identifier number so that work information is only entered once and then inherited by all expressions, manifestations and items that are linked to that work. An extensive powerpoint presentation shows some of the features of Virtua. xxiv But wait there s more The next development out of FRBR, generated, in part by the need for assessment of uniform titles, is FRANAR, Functional Requirements and Numbering of Authority Records. This is another IFLA working group, from which we can expect some kind of FRBR for authority records. Barbara Tillett is again a key player. The final 2004 issue of Cataloging & Classification Quarterly will contain an article by Glenn Patton on FRANAR. Conclusion The range of topics dealt with in this sample of the FRBR literature gives a clear indication of the importance of this model to the future development of cataloguing standards and cataloguing systems. While full implementations of the model are still very few in number, it seems likely that more library systems will incorporate FRBR into their design. It also seems likely that the original model will be extended and adapted, particularly in relation to serials and other continuing resources. Both RedLightGreen and FictionFinder show the potential for

FRBR implementations to provide more user-friendly catalogue displays. Incorporation of FRBR principles into the cataloguing rules themselves (a possibility with AACR3) should take this process much further. i IFLA Study Group on the Functional Requirements for Bibliographic Records. (1998). Functional Requirements for Bibliographic Records : Final Report. Munchen: K.G. Saur (Also available online: http:///www.ifla.org/vii/s13/frbr/frbr.pdf [2004, August 25].) ii FRBR Review Group [Online] Available: http://www.ifla.org.sg/vii/s13/wgfrbr/wgfrbr.htm [2004, August 26]. iii Tillett, B. (2003). What is FRBR? : A Conceptual Model for the Bibliographic Universe. [Online]. Available: http://www.loc.gov/cds/downloads/frbr.pdf [2004, August 25]. iv Maurer, M.B. (2004). Before You Attend the Workshop: FRBR and the Future. TechKNOW [Online] Available: http://www.olc.org/pdf/techknowmarch2004.pdf [2004, August 26]. v Danskin, A. & Chapman, A. (2003). Bibliographic Records in the Computer Age. [Online] Available: http://www.cilip.org.uk/publications/updatemagazine/archive/archive2003/september/update0309d.htm [2004, August 26] Danskin, A. & Chapman, A. A New Direction for Bibliographic Records? The Development of Functional Requirements for Bibliographic Records. Catalogue & Index, 148, 8-12, & 149, 9-11. vi Harcourt, K. (2004). Knowing a Hawk from a Handsaw: FRBR Basics, AACR & the OPAC. [Online] Available: http://www.columbia.edu/~harcourt/frbrnytsl.ppt [2004, August 26]. vii Denton, W. FRBR and Fundamental Cataloguing Rules. [Online] Available: http://www.miskatonic.org/library/frbr.html [2004, August 26]. viii Le Boeuf, P. (2001). FRBR and Further. Cataloging & Classification Quarterly, 32 (4), 15-52. ix Le Boeuf, P. (2003). Brave New FRBR World. [Online] Available: http://www.ddb.de/news/pdf/papers_leboeuf.pdf [2004, August 26] x Delsey, T. (2003). Functional Analysis of the MARC21 Bibliographic and Holdings Format. 2 nd rev. [Online] Available: http://www.loc.gov/marc/marc-functional-analysis/source/analysis.pdf [2004, August 26]. xi Delsey, T. (2002). Mapping MARC to FRBR: Functional Analysis of the MARC21 Bibliographic and Holdings Format [Online]. Available: http://knjiga.pedos.hr/lida/lida2003/presentations/frbr4.ppt [2004, August 26]. xii Riva, P. (2004). Mapping MARC 21 Linking Entry Fields to FRBR and Tillett s Taxonomy of Bibliographic Relationships. Library Resources & Technical Services, 48, 130-143. xiii Tillett, B. (2001). Bibliographic Relationships. In C.A. Bean & R. Green (Eds.), Relationships in the Organization of Knowledge, 19-35. Dordrecht: Kluwer Academic. xiv O Neill, E. T. (2002). FRBR: Functional Requirements for Bibliographic Records: Application of the Entity- Relationship model to Humphrey Clinker. Library Resources & Technical Services, 46, 150-159. (Also available online: http://www.oclc.org/research/publications/archive/2002/oneill_frbr22.pdf [2004, August 26]). xv Hicky, T.B., O Neill, E.T. & Toves, J. (2002). Experiments with the IFLA Functional Requirements for Bibliographic Records (FRBR). D-Lib Magazine. [Online]. Available: http://www.dlib.org/dlib/september02/hickey/09hickey.html [2004, August 26]. xvi Bennett, R., Lavoie, Brian F. & O Neill, E.T. (2003). The Concept of a Work in WorldCat: An Application of FRBR. Library Collections, Acquisitions, & Technical Services, 27, 45-59. (Also available online: http://www.oclc.org/research/publications/archive/2003/lavoie_frbr.pdf [2004. August 26]. xvii Rajapatirana, B. (2004). Testing FRBR Against the National Bibliographic Database. [Online]. Available: http://www.nla.gov.au/lis/stndrds/grps/acoc/rajapat2004.doc [2004, August 26].

Rajapatirana, B. (2004). The Application of FRBR in a National Bibliographic Database. [Online]. Available: http://www.lianza.org.nz/sigs/catsigfiles/catsig-frbr.ppt [2004, August 26]. xviii FictionFinder: A FRBR-based Prototype for Fiction in WorldCat. [Online]. Available: http://www.oclc.org/research/projects/frbr/fictionfinder.htm [2004, August 26]. xix RedLightGreen. [Online]. Available: http://www.redlightgreen.com [2004, August 26]. xx Austlit: Australian Literature Gateway. [Online]. Available: http://www.austlit.edu.au/ [2004, August 26]. xxi Ayres, M-L, Kilner, K., Fitch, K. & Scarvell, A. (2003). Report on the Successful Austlit: Australian Literature Gateway Implementation of the FRBR and INDECS Event Models, and Implications for Other FRBR Implmentations. International Cataloguing and Bibliographic Control, 31, 8-13. xxii Ayres, M-L. (2004). Case Studies in Implementing FRBR: Austlit and MusicAustralia. [Online]. Available: http://www.nla.gov.au/lis/stndrds/grps/acoc/ayres2004.doc [2004, August 26]. xxiii MusicAustralia. [Online] Available: http://www.musicaustralia.org/ [2004, August 26]. xxiv Chachra, V. & Espley, J. (2003). Navigating FRBR with Virtua. [Online]. Available: http://www.vtls.com/documents/frbr.ppt [2004, August 24].