MARC Record Guide
- Lloyd Chittenden
Provider-Neutral E-Resource
MARC Record Guide: P-N/RDA version
September 3, 2019 revision
Program for Cooperative Cataloging
Washington, D.C.
2019
Introduction
The provider-neutral (P-N) model uses a single bibliographic record to describe multiple online manifestations of a resource, regardless of which publisher or aggregator is making the content available. The description should apply only to equivalent manifestations of the same expression; substantial (not just incidental) differences may indicate a different expression, which should be described in a separate record. The model is intended to encompass online resources that are simultaneously issued in physical format and online, online digital reproductions of physical format resources, and online born-digital resources.
The provider-neutral model was initially designed for use with AACR2, the descriptive standard approved for use by the Program for Cooperative Cataloging at the time, and was adopted for serials in 2003, for textual monographs in 2009, and for multiple formats in 2011. The original guidelines have been supplemented below with elements from RDA in order to assist in the creation of original RDA records and for deriving provider-neutral records from RDA-based physical format records. Note that only MARC fields specifically relevant to online resources are included in the guidelines.
RDA Provider-Neutral Metadata Application Profile (MAP) for Serials, Integrating Resources, and Monographs
Use these guidelines in conjunction with the MARC 21 Format for Bibliographic Data, the BIBCO Standard Record (BSR) RDA Metadata Application Profile, the CONSER Standard Record (CSR) RDA Metadata Application Profile, and the appropriate modules of the CONSER Cataloging Manual (CCM), including Module 31 (Remote Access Electronic Serials), Module 33.18 (Electronic Newspapers), and Module 35 (Integrating Resources). The last document also serves as BIBCO Participants’ Manual Appendix A.
RDA Provider-Neutral Metadata Application Profile (MAP) for Streaming Media
This MAP may also be used for streaming media although extra caution should be exercised to ensure that different expressions are not consolidated onto the same record. For example, a streaming video with English captions and one without are considered different expressions and should not be brought together on the same provider-neutral record. Other pitfalls to watch out for include (but are not limited to) subtitling, dubbing, audio descriptions, and deleted or restored scenes. It is recommended that use of this MAP be made in conjunction with the OLAC Best Practices for Cataloging Streaming Media.
Recommendations for Best Use of Provider-Neutral Records in Libraries
Libraries may make policy decisions on whether to use single or multiple records for their e-resources in their own catalogs. They may use a single provider-neutral record that incorporates all specific provider and other local information on one record – or use multiple records, each with one specific provider/URL on it. Whatever decisions PCC member libraries make for their local catalogs, they still need to follow the provider-neutral guidelines when coding master records in OCLC as PCC records. Any records added to OCLC are subject to being merged or having provider-specific information removed.
Characteristics of a Provider-Neutral E-Resource Record
The provider-neutral record is intended to be a base record in the shared bibliographic environment to which libraries can add provider-specific information locally. Only certain categories of provider-specific information are allowed in provider-neutral records. These include:
Additional titles that are specific to the aggregator
Field 588 “description based on” notes for born-digital resources
Publisher and/or aggregator URLs that do not contain institution-specific components such as proxy server data (e.g., https://science.sciencemag.org/content/by/year, not https://science-sciencemag-org.nuls.idm.oclc.org/content/by/year). Multiple 856 fields may be added to each bibliographic record.
For monographs, additional ISBNs or other identifiers.
The following kinds of information should not be included in a provider-neutral record:
Provider names are not given in edition statements, publication statements, distribution statements, manufacture statements, series statements, notes, host item entries, or access points, nor are they added to authorized access points as qualifiers.
Notes about access restrictions, file formats, file sizes, prices, subscription information, or system requirements specific to particular providers are not used.
Such information as individual database names, individual e-package names, or third party aggregators is omitted.
Field 533, which was used for descriptive data about a specific reproduction, is no longer included in the record except in the case of records for DLF Registry of Digital Masters, HathiTrust Digital Library, and other digital preservation projects.
These kinds of information are considered local information.
Some resources may have only a single provider at the time of cataloging, but may become available through other providers afterwards. Thus, it is important to keep the records as “neutral” as possible from the very outset of cataloging. The qualifier (Online) should not be added to any series access point to distinguish it from its original source format.
In exceptional cases, e.g., a reproduction of a rare book, essential local information may be given in the record in 5XX fields, as long as each 5XX field contains a subfield $5, giving the institutional MARC 21 code for the institution adding the local information.
Explanation of Symbols Used in the Guidelines:
M (Mandatory); A (Mandatory if applicable); O (Optional); X (not used); N/A (not applicable)
Note that the “A” category (Mandatory if applicable) is not synonymous with RDA “Core if.” RDA pre-defines some elements as core and requires them for resource description “when applicable and readily ascertainable” (RDA 0.6.4); others are core only under certain conditions, usually when one or more RDA elements cannot be ascertained. Just as in the BIBCO Standard Record (BSR) RDA Metadata Application Profile, the provider-neutral MAP uses a combination of RDA Core, Core if, and PCC Core elements, applicable in different ways to different formats and types of issuance.
MARC Element | MARC Label | RDA Element | Serials & Integrating Resources (IRs) | Monographs | Notes |
Leader/06 | Type of record | [MARC control field equivalent of the predominant Content type (6.9)] | M | M | Code for the most significant material type of the resource being cataloged. Leader/06 should correspond with RDA content type (MARC 336). See Term and Code List for RDA Content Types. |
Leader/07 | Bibliographic level | Mode of issuance (2.13/PCC core) | M | M |
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006/00 | Form of material
| [MARC control field equivalent of additional Content types (6.9)] | A/O
| A/O | Libraries cataloging in OCLC or other shared bibliographic databases must use MARC 21 control field 006/00 with the assigned value “m” when the MARC Leader/06 is set to any code other than “m”. Optionally, add an additional 006 field with the appropriate first byte value when the resource is an online reproduction of a manuscript. The code used will vary according to the type of reproduction (“t” for a reproduction of manuscript language material, “a” for notated music manuscript, and “f” for manuscript cartographic materials). |
007/00 | Category of material | [some 007 positions equate to various RDA elements, such as media type and numerous carrier attributes found in chapter 3, e.g. 3.2] | M | M | Always supply Category of material “c” (Electronic resource) For material other than online books, textual serials, and notated music, use an additional 007 field for other characteristics not specified in the first 007 field (first byte “v” for videorecordings, “a” for maps, etc.). Code at least the first two bytes of each 007. |
007/01 | Specific material designation | [MARC control field equivalent of Carrier type (online resource)] 3.3 | M | M | Use code “r” (this applies to the remote electronic 007 only) |
008/23 008/29 | Form of item | [MARC control field equivalent of Carrier type (online resource)] 3.3 | M | M | Use code “o” in 008/23 for all formats except Cartographic and Visual materials. These two formats use byte 008/29 instead. All other bytes of the 008 should reflect the original manifestation.
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Library of Congress Control Number | N/A | A LC or CONSER partners IRs: CONSER catalogers: assign Field 010 if authenticating record. BIBCO catalogers: May add Field 010 if arrangements have been made with LC for a supply of LCCNs | A LC or LC/CIP partners only
| Do not transfer or use any 010 fields in the online version that apply to the print version of the resource. | |
International Standard Book Number | Identifier for the manifestation (2.15/Core) | N/A (Serials) A (IRs). If resource has an ISBN it is likely that this applies to the print version. If so place the ISBN in Field 776 $z | M Record each e-version ISBN in a separate 020 $a; record other ISBNs in 020 $z (preferably in separate fields); copy the physical format ISBN to Field 776 $z. If it is unclear which format the ISBN represents—as often occurs with simultaneously issued versions—use $z for any ISBN in the e-version record. |
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International Standard Serial Number | Identifier for the manifestation | A Record the e-version ISSN in $a; record ISSN of the physical format in $y if it already exists in the record (and in Field 776 $x). If available, also record the ISSN-L in $l and the source of the ISSN in $2. | N/A | Do not add $l if the online record only has $y. | |
Other Standard Identifier | Identifier for the manifestation | N/A | A | Examples: ISMN (International Standard Music Number) Universal Product Code (UPC) International Article Number EAN ISTC (International Standard Text Code) ISRC (International Standard Recording Code) | |
Publisher number | Identifier for the manifestation | N/A | A | Use if other identifier is appropriate Example: Music publisher/plate number | |
Cataloging source | N/A |
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040 $a | Original | N/A | M | M | Assign the MARC code for the original cataloging agency creating the e-resource record in $a. Do not retain the MARC code from Field 040 $a of the print/physical format source record. |
040 $b | Language of cataloging | N/A | M | M | Always specify that the language of cataloging is English. Use $b eng |
040 $c | Transcribing agency | N/A | M | M | Assign the MARC code for the transcribing cataloging agency creating the e-resource record in $c. Do not retain the MARC code from Field 040 $c of the print/physical format source record. |
040 $e | Description conventions | N/A | M | M | Add two $e codes: $e rda and $e pn. Placement of the $e is directly after $b. |
Authentication code | N/A | A | A | Use “pcc” for records authenticated under PCC auspices (BIBCO/CONSER libraries only) | |
050, etc. | Classification numbers | N/A | O Classification is strongly encouraged (especially for integrating resource (IRs)) If adding Field 050/060 to a PCC record, set first indicator to 1 and second indicator to 4. If adding Field 050/060 to a non-PCC record, set first indicator to blank and second indicator to 4. CONSER libraries are instructed to assume that the resource is not in LC
| M if BIBCO (except Graphic materials, Moving image materials, Sound recordings, and Rare materials) If using Field 050/060 in a PCC record, set first indicator to blank and second indicator to 4 (except LC and NLM). |
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1XX/7XX | Main entries | Creator (19.2/Core) Other agent associated with a work (19.3/Core if) | A
| A | If more than one, only the creator having principal responsibility named first in resources embodying the work or in reference sources is required; if principal responsibility is not indicated, only the first-named creator is required. The appropriate relationship designator ($e) is mandatory for the first named creator and optional for other named access points. See PCC Relationship Designator guidelines After satisfying the RDA core requirement, catalogers may record additional authorized access points for creators and other agents (in 7XX fields) according to cataloger’s judgment |
245 $a | Title | Title proper (2.3.2/Core) | M | M | Reminder: do not use $h “general material designation;” see 336-338 instead |
245 $n | Number of part/section | Title proper (2.3.2/Core) | A | A |
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245 $p | Name of part/ section | Title proper (2.3.2/Core) | A | A |
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245 $b | Remainder of title | Other title information (2.3.4/PCC core for monographs; not core for serials) | O (serials) Record other title information if it provides clarification or support to the title proper that might otherwise appear misleading without the other title information O (IRs) Monographic IR catalogers may wish to transcribe other title information on a consistent basis | A |
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245 $b | Remainder of title (Parallel titles) | Parallel title proper
| A (serials) O (IRs) If cataloging IRs from a monographic perspective, it is optional to transcribe the parallel titles in Field 245 $b | A |
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245 $c | Statement of responsibility, etc. | Statement of responsibility relating to Title proper (2.4.2/Core for monographs; not core for serials) | O/A Transcription is required only if usage is not recorded in the Name Authority Record. Usage of variant names appearing in a statement of responsibility on later issues may be recorded in Field 550 notes or in the 4XX field of authority records. IRs: Same | A Only the first recorded statement is required by RDA, but catalogers are encouraged to transcribe as many statements of responsibility that are possible and appropriate to aid in resource discovery, identification, and selection |
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Varying form of title (Parallel titles) | Parallel title proper | A (Parallel titles) For parallel titles not recorded in Field 245 $b, use indicators: 11 For parallel titles that have been recorded in Field 245 $b, use indicators: 31 | A (Parallel titles) Use indicators: 31 |
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Varying form of title (Variant titles) | Variant title (2.3.6) | O (cataloger’s judgment for most)
| O (cataloger’s judgment for most) | Retain from source record, or record provider-specific title variants if deemed important, with or without an explanatory note, e.g., 246 1_ $i Available from some providers with title: $a <title> 246 1_ $a <title>
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Varying form of title (Later title proper) | Later title proper | A (minor changes) | A (applies to multipart monographs) | Core element for LC/PCC unless applying the alternative when the changes are numerous.
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Former title $a, $n, $p | Earlier title proper (2.3.7.3/PCC Core) | A Use only for integrating resources and for serials for which all evidence of the earlier title is removed | N/A | Core element for LC/PCC unless applying the alternative when the changes are numerous. | |
Edition statement | Designation of edition (2.5.2/Core) Designation of a named revision of an edition (2.5.6/Core) | A | A | Record only edition statements originating from the original publisher/society; ignore statements that pertain to specific provider versions | |
Computer file characteristics | [see Extent, number of subunits at 300 field below] | X | X |
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Production, Publication, Distribution, Manufacture and Copyright Notice |
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| All online resources are considered published. The provider-neutral model (in contrast to RDA) specifies that if the e-resource being cataloged is an online reproduction of a tangible resource, usually the Production, Publication, Distribution, Manufacture and Copyright notice information will come from the original tangible source record. See Field 264 Guidelines for further information. Follow RDA and LC-PCC Policy Statements for providing distribution and manufacturing information. | |
264 $a Ind2=1 | Place of publication | Place of publication (2.8.2/Core) | M | M |
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264 $b Ind2=1 | Name of publisher | Publisher’s name (2.8.4/Core) | M | M |
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264 $c Ind2=1 | Date of publication | Date of publication (2.8.6/Core) | M | M |
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264 $c Ind2=4 | Date of copyright notice | Copyright date | O | O |
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300 $a | Extent | Extent (3.4/Core for monographs and ceased serials) Number of subunits (3.4.1.7) File type (3.19.2) File size (3.19.4) Duration (7.22) | O Use “1 online resource” in $a Subunits (if known) are required for ceased serials, e.g., 300 $a 1 online resource (5 volumes) See RDA 3.4.1.10 and the corresponding LC-PCC Policy Statement for more information. | M Use “1 online resource” in $a (add subunits and duration, if applicable, in parentheses). Example: 300 $a 1 online resource (25 pages) Example: 300 $a 1 online resource (1 audio file (30 min.)) Example: 300 $a 1 online resource (1 score (32 pages) + 1 part (19 pages)) Example : 300 $a 1 online resource (2 video files) | See LC-PCC PS 3.4 for more information. |
300 $b (Also see 347 ) | Other physical details | A variety of carrier attributes (3.6, 3.7, 3.8, 3.9, 3.11, 3.14, 3.15, 3.16, 3.17, 3.19.3) and content attributes (7.15, 7.18) | O | O May be included if applicable to online version; most likely applicable to Illustrative content (7.15) and Sound content (7.18) Example: 300 $a 1 online resource (25 pages) : $b illustrations Example: 300 $a 1 online resource (1 video file (30 min.)) : $b sound, color, with black and white sequences Example: 300 $a 1 online resource (6 maps) : $b color
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300 $c | Dimensions | Dimension (3.5) | X | X
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Content type | Content type (6.9/Core) | M | M | The predominant Content type will correspond to MARC 21 Leader/06 (Record type) and is core. Additional content types may be given | |
Media type | Media type (3.2/PCC core) | M | M |
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Carrier type | Carrier type (3.3/Core) | M | M | Use “online resource” | |
Digital file characteristics | File type (3.19.2/Core) File size (3.19.4/Core) | O
| O
| Core for cartographic resources only. For other formats use RDA 3.19.1-3.19.8 as appropriate to the resource Caution: Catalogers following the Provider-Neutral model should exclude file size, as it may differ substantially from one iteration to another | |
Dates of Publication and/or Sequential Designation | (2.6.2/Core) | A If providers vary in the range of issues they offer online, give the beginning numbering or date of the print or other original format, if available. If using the print version, use 362 1 Print version began with... | N/A |
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490 $a | Series statement | Title proper of series (2.12.2/Core*) Title proper of subseries (2.12.10/Core*) | A *A series statement is only core in a serial record if an authorized access point for the series is not being made | A | Transcribe the form of the series only if it applies to all known iterations of the online resource. Do not use for package/provider series |
490 $x | International Standard Serial Number | ISSN of series (2.12.8/PCC core) ISSN of subseries (2.12.16/PCC core) | A | A | When the e-version is being used as the basis of the description and only one ISSN appears in the resource being described, record that ISSN in the 490 field. If both a print ISSN (p ISSN) and an electronic ISSN (e ISSN) appear in the resource being described, transcribe the e ISSN. When the physical format version record is being used as the basis of the description, use whatever ISSN appears on that record. |
490 $v | Volume/ sequential designation | Numbering within series (2.12.9/Core) Numbering within subseries (2.12.17/Core) | A | A |
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General note/Issuing body note | Other agent associated with a work (19.3/Core if) Related work (25.1) | A | A | After satisfying the RDA core requirement, catalogers may provide additional authorized access points for entities according to cataloger’s judgment. Do not use for online package/provider names. | |
Restrictions on access note | Restrictions on access (4.4) | A | A | Use only for records for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects. Use with $5
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Numbering peculiarities | Complex or irregular numbering (2.17.5.4) | A Record as needed.
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Type of computer file or data note | File type (3.19.2) Nature of content (7.2) | O | O | Generally do not use | |
Summary, etc. | Summarization of content (7.10) | O | O PCC core for archival materials (see also DACS 3.1) | Recommended for other resource titles, when useful to support user tasks | |
Additional physical form available note | Related manifestation (27.1/unstructured description) | O | O | Generally do not use; prefer $i in 776 field | |
Reproduction note | Related manifestation (27.1/structured description) | A | A | Use only for records for DLF Registry of Digital Masters, HathiTrust Digital Library, and other digital preservation projects. Use with $5 | |
Original version note | Related expression (26.1/structured description) Related manifestation (27.1/structured description) | X | X |
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System details note | Equipment or system requirement (3.20) [Note: there is no “mode of access” in RDA, it is covered by Carrier type] | A | A | Use only for records for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects. Use with $5 | |
Terms governing use and reproduction note | Restriction on use (4.5) | X | X |
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Language note | Language of content (7.12/PCC core) | A | A |
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Action note | N/A | A | A | Use only for records for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects. Use with $5 | |
Source of description note Latest issue consulted note
| Note on issue, part, or iteration used as the basis for identification of the resource (2.17.13) Title source (2.17.2.3/PCC core) | M Record “description based on” notes and the source of title proper notes as usual. Include the provider and the date viewed (provider can be omitted from LIC if it is the same as in the DBO). If considered useful, add the file format of the resource viewed. At the present time do not use indicators in the 588 field if authenticating serials. Examples: 588 $a Description based on: Volume 1, Issue 1 (September 2012); title from journal home page (publisher’s Web site, viewed May 16, 2012) 588 $a Description based on: Volume 16, issue 1 (2012); title from PDF article running title (Tandfonline.com Web site, viewed May 19, 2012) Note on IR treatment: For online IRs we recommend using the form: “Description based on contents viewed on [date]” | M If the description is based on a single online resource, combine in one note the source of description, source of title, the provider, and the date viewed. If considered useful, add the file format of the resource viewed Example: 588 $a Description based on online resource; title from PDF title page (ACM, viewed May 26, 2011) If the description is based on part of a multipart resource, combine in one note the part used, the source of description, source of title, the provider, and the date viewed. If considered useful add the file format of the resource viewed. Example: 588 $a Description based on online resource; title from volume 2 PDF title page (ACM, viewed May 26, 2011).
| For both serials and monographs, if the description is based on a record for the physical format, use the following phrase without additional information: Description based on [physical format] version record Indicator values (“0”) meaning “Source of description” and (“1”) meaning “latest issue consulted” can be used to generate a display constant. At the present time do not use this technique in the 588 field if creating (or authenticating) CONSER serials.
Examples: 588 $a Description based on print version record 588 $a Description based on CD-ROM version record 588 0_ Print version record. 588 1_ Vol. 1, issue 4 (May 2016). | |
Added entry fields | Creator (19.2; core requirement covered by 1XX) Other agent associated with a work (19.3; core requirement covered by 1XX) Contributor (20.2/LC core for certain situations) Related work (25.1/authorized access point) Related expression (26.1/authorized access point) | A | A | Core for Creator (see 1XX); PCC core for Contributors in certain situations. Use of appropriate relationship designators is strongly encouraged. See PCC Relationship Designators in Bibliographic Records Use if applicable to all known iterations of the online resource. Do not use for package/provider names (records for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects excepted. (Use with $5) | |
Host item entry | Related manifestation (27.1) Related item (28.1) | X | X |
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Linking entry fields | Related work | A Record as needed (fields other than 776) When making reciprocal links for serials, do not link latest entry cataloging records to successive entry records and vice versa. When linking from a RDA record to a pre-RDA (e.g., AACR2) record, the form in the linking entry should also reflect pre-RDA conventions and how RDA would cite the related resource. Note: when OCLC creates online records for digital preservation projects (e.g. HathiTrust), they use the same entry convention (008/34) as the base print record. | A |
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Additional physical form entry | Related manifestation (27.1/structured description/PCC core for reproductions) | A | A
| Required if the description is based on the record for another format; otherwise provide if readily available. Use Field776 $i rather than Field 530 to describe the type of resource recorded in Field 776. This form applies to resources that are either reproductions or are simultaneously issued in more than one format. Reciprocal 776 fields are recommended but not required. 776 $i Print version: 776 $i Online version: 776 $i <other format> version: | |
Series added entries | Related work (25.1) | A (If institutional policy is to use series) | A (If institutional policy is to use series) | Use the authorized form of the heading for the physical format when providing an added entry for a series that exists in physical format as well as online. For series that exist only online, use the authorized form of the online series. Do not use for package/provider series (records for DLF Registry of Digital Masters, HathiTrust Digital Library and other digital preservation projects excepted) Use the print ISSN rather than the online ISSN for series that exist in print as well as online. Append the $x to the end of the field as the final subfield Example: 830 #0 $a Proceedings of SPIE—the International Society for Optical Engineering; $v v. 7719. $x 0277-786X | |
Electronic location and access | Uniform Resource Locator (4.6/LC core) | A (under certain conditions) | A (under certain conditions) | Use $u for URLs that are general (not institution specific). Do not use $z for information that is institution specific. If the domain name is not specific enough, $3 may be used to record package/provider name. |