The following is the text of a talk given by Jean Hirons at the ALCTS
Serials Cataloging Institute, forwarded by Mitch Turitz with Jean's
permission.--ed.
___________
Date: Thu, 19 Oct 1995 08:20:48 -0400 (EDT)
From: Jean L. Hirons <jhir@loc.gov>
Subject: FI Talk
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FORMAT INTEGRATION AND ITS IMPACT ON SERIALS
a speech given at the ALCTS Institute on Serials in the Age of
Format Integration
San Francisco, Oct. 7, 1995
by Jean Hirons, Acting CONSER Coordinator, Library of Congress
We who are used to serials are used to change and it's a good
thing, when dealing with format integration! It's not the
changes in the way we code records but in the planning for format
integration to which I refer. We've been hearing about, and
talking about, and working on format integration for a long time-
-at least ten years by my calculations. And in that time, much
has changed. As a matter of fact, things have changed since I
last gave this talk in April! So I'm not surprised that some of
us are just a bit confused as to just what we mean by format
integration and what its impact on serials cataloging will be.
Let's begin by dispelling some misconceptions.
No, format integration is not the answer to all our problems.
* It doesn't solve the multiple versions problem, for
one. We still have to create separate records for
microforms.
* It also has nothing to do with the definition of a core
record, although they are both seen as simplifications
of a sort.
* And, perhaps most unfortunate, it doesn't make all aspects
of an item equal; even with the implementation of phase 2,
we will still need to define a "primary" format.
So what is it and what will it do for us?
Very simply, format integration is "the validation of data
elements for all forms of material."
* It means that we can use any variable field, regardless of
the type of material we are cataloging. This opens up new
possibilities to us, such as linking to and from monograph
records. (I realize the LC is currently saying not to do
this but I hope this policy will change.)
* It also means that those of us who catalog more than one
type of material won't have to use different fields for the
same type of data.
* If you talk to Crystal Graham, she'll tell you that the best
part is not having to maintain separate validation tables
for each format.
* And once the final phase is implemented next year, it will
mean that we will be able to express seriality regardless of
the physical medium of the item. We can even express
seriality of part of an item, such as a supplement or loose-
leaf update.
Just a little background:
During the 1980s, in preparation for format integration, MARBI
members and many others looked at the formats to determine
* first, which fields and elements were not very useful and
could be eliminated--such as the indicator values in field
260 (my personal favorite),
* and secondly, where there was more than one field that
carried the same kind of information.
Unuseful fields and elements were eliminated early on as part of
an update to the USMARC Formats for Bibliographic Data.
Fields that were considered duplicative were made obsolete with
the implementation of Phase I.
Full implementation of format integration was originally
scheduled for the beginning of 1994 but some systems, including
LC's, couldn't be ready by then. So implementation was split
into two phases. The first, involving the variable fields, was
implemented this past winter. The second, and far more difficult
phase, involving the fixed fields is scheduled for some time in
1996. It was originally to be early 1996 and we planned and
announced that the 2nd update to the CEG would contain all of the
fixed field data; however, the time table has been pushed back
and we now plan to issue the final format integration data in the
Spring 1996 update.
I want to look at how each of the phases has and will impact on
serials.
Phase 1. Variable fields
A. PRINTED SERIALS
So let's take a look at where we are right now. During the
winter we implemented phase 1 --the variable fields.
1. Changes.
The good news for serials catalogers is that there are relatively
few changes.
We lost several fields -- field 212 was subsumed by 246, and
fields 350 (price) and 265 (subscription address) are now
obsolete and the information is included in field 037.
We gained a field -- 740, which I'll discuss in a minute.
The most dramatic change is in field 246, where we have new
indicator values and a new subfield. The first indicator now has
four values that deal with the printing of a note and an added
entry. This is new to those of us in CONSER who could only use
USMARC-approved codes but is not new to those of you working on
OCLC. The second indicator has a new value which was
introduced primarily for conversion of 740 fields, but which we
will use as well.
But the really major change is the introduction of subfield i.
This subfield allows us to construct our own note, without having
to use field 500. Since the second indicator values were defined
for printed serials, and all formats are now using field 246,
this feature is really valuable. The one thing to remember is
that you have to input subfield a before the title or it won't
index!
Title added entries for titles other than the serial being
cataloged are given in fields 730 and 740. The 740 is new to us,
though an old friend to monograph catalogers. It has been
redefined to include only uncontrolled titles while the 730
includes authoritative titles. "Authoritative" means that the
title is included in the authority file or, more likely, is
represented by a bibliographic record.
Field 730 would be used for the title of a supplement that has
been separately cataloged or another serial that has its own
record and that is responsible for editing or publishing the
serial being cataloged. You would also use field 730 for a yet
uncataloged work if you determined that the title would be
qualified and you constructed a uniform title for it.
Examples of field 740 usage would be for the title of a part or
section of the work, or an accompanying supplement not separately
cataloged.
Other changes include:
7XX fields -- second indicators 0 and 1 are no longer used;
only 2 for analytics
546 -- new subfield b for script (mistakenly marked as not
used in CEG)
533 n -- notes relating to the microform; not related to
format integration but newly defined
2. Existing records. What do all of these changes mean for
existing records? Do you need to change them for your catalogs?
In most cases, NO. At least not at present. Keep in mind that
many of these changes were made as simplifications for new input.
There is no harm in leaving existing fields as they are. You
need not delete the second indicator in the 7XX fields or change
a 500 note to a 246 subfield i. In time, we hope that some
global update will be done by OCLC or our local systems where
possible. The one change I consider useful would be for non-
print serials where we can now give the appropriate tags. This
will most often involved changing a 500 note to 538.
B. NON-PRINT SERIALS
Probably the best part of Phase I is that now we can use fields
that were formerly only available in other formats for non-print
serials, particularly computer files, such as 538, 516, and the
newly defined field 856.
At this point, I'd like to say a few things about the CONSER
Editing Guide and CONSER policy. When we were working on the
1994 edition, we decided that while theoretically all fields
could be used for serials, many of them would not apply and we
wanted to keep the CEG as a useful tool for those cataloging
serials. Members of the CONSER Format Integration Task Force, my
assistant, Bill Anderson, and I looked at every field and those
that we considered to be issue-specific were rejected for
inclusion.
As a result, only 10 new fields were added that relate to non-
print serials.
Of those, 7 are for computer files and 3 are for sound and
videorecordings.
There were already several map fields in the CEG and we
decided not to include any archival fields.
Once we decided to include a field, however, we retained our
old practice of including all of the elements defined for the
field, but we marked those that seemed unlikely to be used as
"[not applicable]".
Does the fact that a field wasn't added to the CEG mean that it
can't be used in a serial record? Not at all and if you have a
good example of its use, please send it to me. But I've seen
some strange examples of fields being used without real
understanding of their purpose. So remember that just because all
of the fields are available doesn't mean they are all applicable
or appropriate for serials.
During the first phase of format integration, serial catalogers
must choose a format to be used. For CONSER catalogers, there is
no choice. All of our records must be created in the serials
format in order for them to be included in the CONSER database
and distributed. Thus, all of our computer file serials will use
the serials format, and will be coded with type code "a". You
who are not in CONSER can use the computer file format if you
wish, and code the type code as "m."
III. Phase II. FIXED FIELDS
Now I want to discuss the fixed fields, which are by far the more
complicated aspect of format integration, both for us and for our
systems. Actually, we don't have true format integration for the
fixed fields. Rather than having one big fixed field, from which
we can pick and choose the appropriate elements, we still have to
decide on a primary format: book, serial, computer file, music,
map, visual material, or mixed media. The code in leader/06--the
type code--will determine which 008 fixed field is generated.
For textual materials, code "a", it will be the combination of
the type and the bibliographic level, leader/07, which will
determine whether a book or serial 008 is to be coded. This is
essentially no different from how things work right now.
So what's different? We have a new fixed field, field 006, which
will be used in conjunction with 008 when an item is multi-
dimensional. So for non-print serials, we can include both the
physical attributes and the seriality in coded form. The 006
field will contain only those elements that are not already coded
in field 008. In other words, you won't have to give the
language or country code twice.
What goes in the 008 and what goes in the 006 has been debated
for some time and is an extension of the "content vs. carrier"
debate that is a point of contention with AACR2. The present
scenario for non-print serials will require that the carrier be
represented in field 008 and the seriality in 006. So a computer
file serial would have its computer file aspects defined in 008
and its seriality in 006. Likewise a serial sound or video
recording. As we see more and more material coming out in
electronic format, however, we are beginning to question the
wisdom of this treatment for computer files. Particularly when
we look at electronic journals or digital reproductions of paper
serials. Are they not just textual material in a different
format. Should digital reproductions be treated differently from
microforms? One thought has been to redefine the Type code "m"
for computer file to limit it to computer programs. This would
take time, however, and a serious discussion by many players, so
I don't expect changes any time real soon. But stay tuned.
In addition to fields 008 and 006, we will also be able to give
field 007 for all types of materials. At present, those of us
using the serial format alone, as CONSER must, can only supply an
007 for microforms.
Why do we need all of these coded fields? I guess because our
materials are becoming ever more complex! What the MARC format
provides is a tiered approach from the general to the specific.
The type code and its corresponding 008 field are at the most
general level. The 006 is a further extension of that field for
additional attributes at the same level. The 007 is a further
breakdown by form of physical item. For instance, the type code
will tell you its a computer file, but field 007 will tell you
that it is a remote access or CD-ROM computer file. Likewise, it
is the 007 that distinguishes microfiche from microfilm, and tape
from CD for sound recordings.
C. Cataloging serials with accompanying material
One of the topics that comes up frequently is what to do about
accompanying material and how this might be handled after format
integration. We have discussed this in CONSER and agreed that
accompanying material could optionally be reflected in an
additional 006 and 007 field but the main item would be reflected
in the leader and 008. So for a printed serial with an
accompanying CD-ROM, the primary fixed field, 008, would be for
serial, and an 006 and 007 could be provided to describe the CD.
As an illustration, let's look at this chart.
D. OCLC and RLIN system displays
Since I last gave this talk, I've learned more about OCLC's plans
for input, display, and conversion, and of course, most of what I
said in April is no longer correct. And I expect that there may
still be changes before the final implementation is complete.
We had originally hoped that a cataloger would be able to call up
a computer file serial screen and get one large fixed field, but
that will not be the case on OCLC or RLIN. The 006 will be input
and displayed as a separate field. For input, OCLC will supply
mnemonics. For display, you will see a string of data but can
call up the mnemonics. So what we input will not display in the
same manner.
One problem that OCLC will face is the duplication of records in
different formats. If a title is covered by both a CONSER record
in the serial format and a non-CONSER record in the computer
files format, the computer file record will be merged into the
CONSER record. OCLC will also convert the fixed fields as best
as they can, leaving some elements blank for further update by
CONSER participants.
RLINs displays will be somewhat similar. While books and serials
will automatically contain an 007 field, regardless of whether
there is data in it, non-print formats will not automatically
contain an 006 or 007 but these fields will have to be requested.
E. Impact on serials cataloging
Aside from displays, how will all of this affect us?
* Catalogers are going to have to understand more about the
fixed fields and how they work together in a record
* Biggest impact will be on our systems and their ability to
truly integrate all materials. We at LC have divided files
and have, after much discussion, decided to keep all serials
in the same file. This is not going to be an easy task,
however. You as serials catalogers may be called upon to
help explain the needs of serials to systems folks and
monograph-oriented staff in your institutions.
* There may also be an impact on who catalogs non-print
serials. Now that seriality can be expressed, should
serials catalogers or format specialists catalog maps, sound
recordings, and so forth
* If non-serial catalogers are going to do at least some of
these, then it is up to us to help with their understanding
of seriality--and this is no easy task!
* Indeed, one of the reasons for this institute was the
recognition that more non-serial catalogers might be dealing
with seriality once format integration is complete.
* So whether you are a serials cataloger or a non-print expert
learning about seriality, it is up to you to ensure that
serials are adequately and appropriately described.
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OVERHEADS
1. FORMAT INTEGRATION FOR SERIALS
I. INTRODUCTION
Some misconceptions
What it is and what it will do for us
Timetables and background
II. PHASE I. VARIABLE FIELDS
Printed serials
Changes
Deleted/obsolete fields -- 212, 265, 350
Title added entries -- 246, 730, 740
Other changes -- 7XX, 546, 533 n
Existing records
Non-print serials
New fields available
CONSER Editing Guide
CONSER policy for cataloging non-print serials
III. PHASE II. FIXED FIELDS
What are they? -- leader, 008, 006, 007
How will they be used
Displays and impact on serials cataloging
WHAT IT IS AND WHAT IT WILL
DO FOR US
Format integration is:
"the validation of data elements for all forms
of material"
What it will do for us:
Can use any variable field
Eliminates duplication of fields for the
same type of information
Eliminates most need for validation tables
Allows for the expression of seriality with
all types of materials (Phase II)
PHASES OF FORMAT INTEGRATION
Elimination of fields and elements not needed --
e.g. 260 indicators, 1XX 2nd indicator, 550
1st indicator
When: Update no. 3 (Oct. 1990) to USMARC
Bibliographic
Phase 1--Variable fields
When: February 1995
Phase 2--Fixed fields
When: 1996 (probably summer???)
CHANGES TO VARIABLE FIELDS FOR SERIALS
Deleted (Obsolete) fields -- 212, 265, 350
Title added entries -- 246, 730, 740,
Other changes -- 7XX, 546 b, 533 n
CHANGES TO FIELD 246
First indicator -- values "2" and "3" added
(formerly defined on OCLC but not in USMARC) =
Second indicator -- value "" added
Subfield i -- Display text
246 1 i Some issues have title: a Journal
of applied mechanics
246 1 i Title on disc label: a Psyclit
FIELDS 730 AND 740
Field 730 Added entry--Uniform title
Related serial that is in the authority file, or has
its own bibliographic record
A separately cataloged serial that is
responsible for issuing the serial being
cataloged
Field 740 Added entry--Uncontrolled
related/analytical title
Related serial or title that is not represented in the
name authority file or by a separate bibliographic record
A title for a part of the serial being
cataloged, a supplement not separately
cataloged, etc.
VARIABLE FIELDS FOR NON-PRINT
SERIALS INCLUDED IN THE CEG
Computer files
036 Original study number for computer files
516 Type of computer file or data note
522 Geographic coverage note
538 System details note
556 Information about documentation note
753 System details access to computer files
856 Electronic location and access
Sound and Videorecordings
044 Country of publiation/producing entity
code
508 Creation/production credits note
511 Participant or performer note
Maps
034 Coded cartographic mathematical data
255 Cartographic mathematical data area
FIXED-LENGTH FIELDS
LEADER (Partial list)
Record status
Type of record
Bibliographic level
Type of control (for archival materials)
Encoding level
Descriptive cataloging form
FIELD 008 -- FIXED-LENGTH DATA ELEMENTS
Books, Serials, Maps, Music, Visual materials,
Computer files, Archival and manuscripts
FIELD 006 -- FIXED-LENGTH DATA ELEMENTS--
ADDITIONAL MATERIAL CHARACTERISTICS
Books, Serials, Maps, Music, Visual materials,
Computer files, Archival and manuscripts
FIELD 007 -- PHYSICAL DESCRIPTION FIXED FIELD
Computer file (new), Map, Globe, Projected
graphic, Microform, Nonprojected graphic,
Motion picture, Sound recording,
Videorecording
HOW FIXED FIELDS CAN BE
USED FOR DIFFERENT TYPES OF
PUBLICATIONS
Printed serials Leader Type =a Bib lvl =s
008 serial
Serial microforms Leader Type =a Bib lvl =s
008 serial
007 microfiche or microfilm
Serial computer files Leader Type =m Bib lvl =s
(and other non- 008 computer file
print serials) 006 serial
007 computer file
Printed serial Leader Type =a Bib lvl =s
with accompanying 008 serial
CD-ROM 006 computer file (optional)
007 computer file (optional)
Printed loose-leaf with Leader Type =a Bib lvl =m
serial updates 008 Books
006 Serial (optional)
