# Presentation: 224091

## Transforming AACR2:Using the revised rules in Chapters 9 and 12

- NASIG June 22, 2002 Williamsburg, VA
- Les Hawkins and
- Jean Hirons, Library of Congress

## Acknowledgements: Steve Miller (University of Wisconsin --integrating resources andRegina Reynolds (LC) --major/minor changes

## Status: Rules, etc.

- AACR 2002 amendments due August or later
- LC plans to implement Dec. 1
- LCRIs will be published this summer
- CCM will be pub. on Desktop mid-Nov.
- CEG update will be issued by end of year

## Status: MARC 21

- Major MARC changes (leader (Code i) and 260): not before mid-2003
- Fields 022, 222, 310, 321, 362 may be implemented for books (code m) format in 2002 by OCLC (already in RLIN)
- PCC is asking OCLC & RLIN to implement other 008/006 coding for use prior to code i

## Outline of training

- Highlights
- Part 1. Concepts, definitions, and sources
- Part 2. Description of integrating resources
- BREAK
- Part 3. Description of serials
- Part 4. Major/minor changes

## Highlights: Chapter 9

- Called: Electronic Resources
- Sources of information broadened (entire resource)
- Electronic resources in GMD
- Use of conventional terms in SMD (CD-ROM)

## Highlights: Chapter 12 

- Called Continuing Resources
- Covers rules for serials and integrating resources
- Rules include provisions for and examples of electronic resources
- Rules are more complete
- Include former RIs/CONSER practice
- More recognition of cataloging from complete work
- Each area ends with a rule for changes in that area

## Highlights: Other areas

- New and revised definitions in glossary
- Major/minor title change and other rules in Chapter 21
- Some rules added/revised in Chapter 1

## Highlights: Serials

- Some finite resources can be cataloged as serials
- Descriptive rules include more provisions for minor changes over time and allow more flexibility
- Fewer new records due to title changes

## Highlights: Integrating resources

- First time rules have been included for loose-leafs, Web sites, databases
- Entry convention of latest or “integrated entry” will be applied (changes made to one record)
- Cataloging will be more serial-like (e.g., use of < >, v., serial fields)

## Part 1.  Concepts, Definitions, Sources

## Conceptual Categories

- Bibliographic Resources

- Finite Resources

- Continuing Resources

- Finite Integrating Resources

- Monographs

- Continuing Inte-grating Resources

- Serials

**Notes:**
One of several ways to categorize the world of bibliographic resources / information entities.

## Bibliographic Resource

- An expression or manifestation of a work or an item that forms the basis for bibliographic description.
- A bibliographic resource may be tangible or intangible.

**Notes:**
Note use of FRBR terminology.

## Finite and Continuing

- Finite Resource:
*No formal definition; by implication the opposite of “continuing”:*
- A bibliographic resource issued once or over time **with a predetermined conclusion** (completed** **within **a finite number of parts or iterations**).
- Includes monographs and finite integrating resources.
- Continuing Resource:
- A bibliographic resource **issued over time with no predetermined conclusion**.
- Includes serials and ongoing integrating resources.

## Monograph and Serial

- Monograph:
- A bibliographic resource that is complete in one part or intended to be completed in a finite number of parts.
- Serial:
- A continuing resource issued in a succession of discrete parts, usually bearing numbering, that has no predetermined conclusion.
- Examples include journals, magazines, electronic journals, continuing directories, annual reports, newspapers, and monographic series.

**Notes:**
Note the elements that make a resource a serial.

## 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.”

**Notes:**
One of the first decisions the cataloger needs to make is what type of bibliographic resource is being cataloged.
The definition of a serial has changed only slightly: it now says that a serial “usually” bears numbering to include unnumbered monographic series. 
The rules for serials and integrating resources are both given in chapter 12, as continuing resources. 
The basis of description for a serial is still the first or earliest part available.

## Serial definition

- What do we mean by:
**Discrete**?
- Separate parts/issues
**Usually**?
- Unnumbered series or first issue not designated
**No predetermined conclusion**
- No obvious finiteness

**Notes:**
Discrete:
Important distinction between a serial and an integrating resource. Added in part because of the lack of emphasis on separate issues in e-journal publishing– where numbered articles could be considered parts to make up the serial.
 CCM: “... separate issues each of which stands alone ... or separate issues that will later be collected together (e.g. a monthly issues of a periodical ... which will be bound in a single volume.”)
Usually:
Certain types of resources that lack numbering can be treated as serial- not totally a new concept:
Unnumbered series
Publications where the first issue lacks a designation but it is assumed the publisher will provide numbering on subsequent issues. This would be a case where there is clear indications that the resource will be on-going and that numbering will be added at some later time. 

No predetermined... takes the place of “intended to be continued indefinitely”- no obvious finiteness, such as limited scope. 

## Slide 18

## An Integrating Resource is:

- A bibliographic resource that is added to or changed by means of updates that **do not remain discrete** and are integrated into the whole.
- Integrating resources can be either finite or continuing.
- Examples include updating loose-leafs and updating Web sites.
**Iteration**: An instance of an integrating resource, either as first published or after it has been updated.

## Three Major Types of IRs

**Updating Loose-leaf**
- A bibliographic resource that consists of a base volume(s) updated by separate pages, which are inserted, removed, and/or substituted.
**Updating Database**
- A database is a collection of logically interrelated data stored together in one or more computerized files, usually created and managed by a database management system.
**Updating Web Site**
- A Web site that is updated, but does not fit into one of the other Type of Continuing Resource categories.
- Definitions from: *MARC 21 Format for Bibliographic Data*, 008 – Serials p. 8 (character position 21: Type of Continuing Resource).

**Notes:**
Definitions of database and Web site may need to be further clarified in future documentation and training.

## Updating Loose-Leaf

- <date/time>

## Updating Database

- <date/time>

## Updating Web Site

- <date/time>

## Continuing and Finite IRs

**Continuing** integrating resource:
- Issued over time in a series of iterations with         no predetermined conclusion.
- Most integrating resources are continuing.
**Finite** integrating resource:
- Issued over time with a predetermined conclusion; intended to be completed in a finite number of iterations.

## Finite Updating Web Site

- <date/time>

- _http://www.uwlax.edu/murphylibrary/waal2001/postconf.htm_

**Notes:**
2001 Annual Conference Web site: updated with new content until conference is over; then ceases to be updated.

## Finite resources

**Finite resources**

**Notes:**
This slide depicts where resources are covered in AACR2.  Chapter 12 covers both finite and continuing integrating resources.

## Scope of Chapter 12 (12.0A)	

- Chapter 12 covers rules for all continuing resources, whether successive or integrating
- Rules also cover the following categories of finite resources:
- Publications of limited-duration events
- Reprints of serials
- Finite integrating resources

**Notes:**
“The rules in this chapter cover the description of continuing resources, whether successively issued (i.e., serials) or integrating (e.g., updating loose-leafs, updating Web sites).  These rules also cover the description of the following categories of finite resources (i.e., those with a predetermined conclusion):  resources that exhibit characteristics of serials, such as successive issues, numbering, and frequency, but whose duration is limited (e.g., newsletters of events); reprints of serials; and finite integrating resources.  The rules in this chapter do not apply to the description of multipart items.”

Chapter 12 covers continuing resources whether serial or integrating. Also includes some other resources as “exceptions” to the serial definition of a serial:
	serials of short duration
	unnumbered series
Reprints: 
See LCRI 1.0A (Old12.0A) for guidelines for whether to catalog as serial or mono. Mono: reprint of single issue or collection of unrelated serials
Basis of description for reprints of printed serials is the same as with print: first issue
Chapter 12 does not cover Multi-part items! 

## Publications of limited-duration events

- “Resources that exhibit the characteristics of serials, such as successive issues, numbering, and frequency, but whose duration is limited”
- Function similarly to serials, content or scope is not predetermined
- Coverage of events over time
- Unlike multi-part monographs where the scope of the material is fixed
- Multi-parts issued in separate volumes- material can’t be contained in a single volume

## Limited duration examples

- Regular reports of a limited-term project
- Annual report of a commission that will exist only for a limited time
- Newsletters from a non recurring event
- Working papers from a single conference

## What is a Serial/What is an Integrating Resource?LCRI 1.0A

## Scope: LCRI 1.0A

- This RI is still under discussion
- LC is working on various categories of electronic resources to decide which should be serials or integrating resources
- E.g., Cumulative CD-ROMs, E-journals that only have one issue, etc.
- Stay tuned!

**Notes:**
Moved to 1.0 because decision on what is to be cataloged must be made before beginning to catalog. As of June 22, 2002 this RI has not been finalized. Below are some examples that have been suggested for inclusion- but this has not been finalized and may change: 
a)  Catalog as a serial:
(i)  An online resource having material added as discrete, numbered issues or as articles that remain discrete.
(iii)  An online resource with only the current issue available as an issue and content of back issues available as separate articles.
CD-ROMs containing issues of one or more than one serial issued on a regular or irregular basis, even though earlier-issued CD-ROMs may be discarded.

b)  Catalog as an integrating resource:
(i)  An online resource having volumes or issues of more than one journal when cataloging of the overall resource is desired.
(ii)  An online resource consisting of articles from more than one journal.
(iii)  Any online resource that is updated as an integrating resource even if the resource was a serial in print form (e.g., abstracting and indexing services, directories, etc.).

## Sources of information and entry conventions

## Sources of information 12.0B	

- Three separate rules for:
- Basis of description 12.0B1
- Chief source of information 12.0B2
- Prescribed sources of information 12.0B3

**Notes:**
Old chapter 12 contained only chief source and prescribed sources.

Basis broken down by area and the appropriate basis, like prescribed sources

Basis of description is also divided into basis for serials and basis for integrating resources.

Prescribed sources removed from 12.0B1 and given its own separate rule

## Basis of description: Serials  12.0B1a

- Base the description on the first/earliest available issue
- Prefer the first or earliest issue over a source associated with the whole serial or with a range of more than one issue or part
- Includes reprints and reproductions, electronic serials

**Notes:**
The successive entry record will be used for the whole range of issues. 

Note earliest issue published is the basis of description

Information for notes and series may come from any source.  The ending date of publication and the ending designation is recorded from the last issue.

## Basis of description: Serials

- No change for print serials, first or earliest is the basis of description
- For e-serials and other nonprint serials, this is a change
- It clarifies that the preferred source for title is the first or earliest issue
- Before this revision chapter 12 did not address which issue was basis for non-print serials

**Notes:**

Source of title proper of e-serials is often difficult to decide. This gives guidance to prefer source associated with first/earliest issue

For e-serials the “old” rules included info about the first/earliest issue under 12.0B1 Printed serials. Under 12.0B2 non-print serials it simply referred to the appropriate .0B  

## Serials:

| AREA | BASIS OF DESCRIPTION |
| --- | --- |
| Title and statement of responsibility | First or earliest issue or part |
| Edition | First or earliest issue or part |
| Numbering | First and/or last issues or parts for   each system or sequence |
| Publication, distribution, etc. Place and publisher,  distributor, etc. | First or earliest issue or part |
| Place and manufacturer | First or earliest issue or part |
| Dates | First or earliest issue or part |
|   |   |

- AACR2 organization of 12.0B1a

**Notes:**

Basis of description and prescribed sources are formatted by area and source. Basis for physical description and series is: All issues or parts. Basis for notes standard numbers etc. is All issues or parts and any other source.

## Chief source of information: Serials 12.0B2	

- Printed serials:
- Title page or title page substitute
- Analytical title page, cover, caption, masthead, editorial pages, etc.
- CD-ROMs:
- Prefer the physical carrier or its labels
- Online (and other non-print):
- Refer to the subrule .0B in the relevant chapter

**Notes:**
Print serials: Term “title page” as used in chapter 12 includes title page substitutes in order of preference: Analytical title page, Cover, caption, masthead, editorial pages, etc.

## Chief source of informationfor a direct access e-serial 

- For a direct access electronic serial, prefer the physical carrier or its labels for the chief source of information (12.0B2)
- Chapter 9 includes carrier/labels as one possibility; Chapter 12 says to prefer
- Needed for check-in, ability to catch title changes, etc.

## Source of title proper for online serials

- The source of title proper should be the most complete presentation of title (AACR2 9.0B1) in conjunction with the first or earliest available issue (AACR2 12.0B1).

**Notes:**
For online serials its often difficult to determine the source for title because there are many possibilities. Combining 12.0B1 with 9.0B1 focuses on sources associated with the first or earliest issue.  

## Prescribed sources of information 12.0B3	

- Nonprint serials: refer to the appropriate subrule .0B
- LCRI 12.0B3:  prescribed source of numbering for non-print: whole resource

**Notes:**
12.0B3.  GENERAL RULES.  Prescribed sources of information   [New]

Nonprint serials

	Consider that the prescribed source for the Numbering area is the whole resource.  (Chapters 3-10 currently lack information about a prescribed source for this type of Material (or type of publication) specific details area.)

## Basis of Description: IR12.0B1b

- Base the description of the following areas on the _current_ iteration:
- 1. Title and statement of responsibility.
- 2. Edition.
- 4. Publication, distribution, etc.
- [Except Dates]
- 5. Physical description.
- [Not used for remote access e-resources]
- 6. Series.

**Notes:**
Most of these areas will also have rules for both (1) how to record the information in the area and (2) how to deal with changes to that information in later iterations.

## Basis of Description: IR

- Area based on _first and/or last_ iterations:
- 4F. Dates of publication, distribution, etc.
- Areas based on _all_ iterations and any other source:
- 7. Note.
- 8. Standard number and terms of availability.

## Chief Source of Information: IR  12.0B2

- Printed Resource: (loose-leaf)
- Title page or t.p. substitute.
- Nonprint Resource:
- Follow directions of relevant chapter.
- e.g., for electronic resources: Chapter 9.

## Entry Conventions	

- Successive entry cataloging: Serials
- New record created when entry changes
- Integrated entry for integrating resources
- Same record used, changes shown in appropriate fields
- Same as latest entry but used for different resources

**Notes:**

Earliest entry/multiparts:
Multipart items that are not complete as first issued are also successively-issued and changes in title or entry may also occur.  However, because multi-parts are finite, a single record is made, rather than successive entry records and changes to later parts are given in notes.  Multiparts are cataloged according to “earliest entry” conventions.

## E-serials that do not retain earlier titles

- No provision in AACR2 (removed late in the revision)
- LCRI 12.0B1:
- Base the description on the latest title
- Treat earlier title as a note (I.e., use integrated entry convention)
- If title changes subsequently and earlier title is retained, create a new record

## Example

**As first cataloged:**
- 	245 00	Asian age $h [electronic resource].
**After title change:**
- 	245 00	Asian age online $h [electronic resource].	247 10 Asian age $f <Mar. 6, 2001>
- 	547	All issues originally published with title: Asian 		age have been reformatted with the new title: 		Asian age online.

## Example (Cont.)

**Subsequent change to example above: **
- 	245 00	Asian age online $h [electronic resource].	247 10 Asian age $f <Mar. 6, 2001>
- 	547        All issues originally published with title Asian 			age have been reformatted with the title: Asian 			age online.  This serial is now continued by: Asian 		age online journal and discussion list.
- 	785 10	$t Asian age online journal and discussion list

## Summary

- Serials
- Have discrete parts
- Are described from the earliest issue
- Cataloged according to successive entry conventions
- Integrating resources
- Parts do not remain discrete
- Are described from the latest iteration
- Cataloged according to integrated entry conventions