From: glennan@calvin.usc.edu (Kathy Glennan) Subject: Format Integration article for MLA Clearinghouse Format Integration: The Final Phase by Kathy Glennan presented Feb. 10, 1995 When Karen Little and I created the title of this presentation, Format Integration: The Final Phase, we wondered if some of you would assume a veiled reference to Star Trek. Since MARBI's first discussion of the general concept of format integration first took place in 1983, and since the final implementation of format integration has been postponed several times, I think that allusion is appropriate - after all, the most recent Star Trek movie was entitled Generations. Format integration addresses changes in the USMARC bibliographic formats only. Other MARC formats, such as authorities, holdings, classification and community information remain unaffected. It encompasses coordination across forms of material, removing the restriction on data elements that have previously made them valid only for specific forms of material. In spite of the efforts involved in the implementation of format integration, the bulk of the alterations in USMARC will affect just a small percentage of our cataloging records. Throughout its history, format integration has been plagued with delays. The need for compatibility in sharing data among the Library of Congress, the bibliographic utilities and various local systems has been the biggest challenge with format integration and has contributed to the delays in its implementation. As you can see from Chart 1, the first effects of format integration came in 1991, with USMARC Update No. 3. Originally, the later two phases of format integration were combined. However, the changes to the variable fields had a much smaller impact on systems which handle MARC records than the fixed field changes. Due to the difficulty of implementing the latter, MARBI accepted a proposal in 1993 to split format integration into two phases, variable fields and fixed fields. This compromise allowed the variable field portion to be implemented sooner, instead of postponing the entire project until the fixed field portion could be ready. As you know, the variable field phase of format integration was implemented less than two weeks ago. The changes we are adjusting to now essentially validated all variable fields across all formats, while eliminating some obsolete fields. The final phase, to be implemented no earlier than January 1996, will address the leader and 001-008 fixed fields. There are several changes which will impact catalogers and systems in the final phase, which are summarized in Chart 2. ----------------------------------------------------------- CHART 1 Format Integration Phases Phase 1991 (implemented 1991) A few changes that primarily involved the implementation of blank indicator values (USMARC Update No. 3) Phase 1994 (implemented late Jan. 1995) All changes to the 010-888 fields Phase 1995 (planned for Jan. 1996) All changes to the Leader and 001-008 fields ----------------------------------------------------------- CHART 2 Summary of Changes/Additions/Deletions Changes to the Leader/06 (Type of record) Remove: b = archival and manuscripts control add: p = mixed material t = manuscript language material Definition of Leader/08 (Type of control) blank = no specified type of control a = archival control Redefine 006 field (Fixed-Length Data Element - Additional Material Characteristics) Validate values for 007 (Physical Description Fixed Field) across all formats Changes to 008/byte 06 (Date entered on file) Redefine detailed date from "d" to "e" in all formats Remove actual date and copyright date ("c" in most formats) Define publication date and copyright date "t" for all formats Validate other values across all formats, including: "c" - serial item currently published "d" - serial item ceased publication Changes to 008/bytes 07-14 (Date 1/Date 2) "u" - Date element is totally or partially unknown "blank" - Date element is not applicable ----------------------------------------------------------- Now, let's look at these changes in a little more detail. The changes to the Leader/06 (Type of record) and the definition of Leader/08 (Type of control) will have a significant impact on the coding of archival materials. These modifications recognize that archival control is not limited to a particular type of material. With the final phase of format integration, archivists will be able to better distinguish between various material types, such as monograph vs. serial, and also will not be limited to choosing archival control over the scores format when describing a manuscript score, for example. The extension of field 007 to all formats enables specific encoding of all the physical aspects present in the item in hand. The field may be repeated when a particular characteristic changes within the item, such as a positive and a negative polarity microfilm cataloged on the same record, or to represent the secondary nature with mixed material. With the final phase of format integration, the first 17 bytes of field 008, plus the final five, will have consistent definitions across all formats, while bytes 18-34 will remain format specific. The changes inherent in this process will introduce non-serial catalogers to some serial date codes, just as variable field format integration introduced us to the serial way of tracing related titles, using the 246. The biggest change in field 008 is the shift from using "c" to "t" to indicate copyright date. Another change which will arise with some frequency is the ability to code unknown dates with "u" instead of the current practice of using zeros to complete unknown dates. One of the driving factors behind format integration was the difficulty catalogers have had in describing material with characteristics which are representative of more than one MARC bibliographic format. I am sure you have some favorite examples, or nightmarish remembrances, of those decisions: Is this a book with an accompanying sound recording, or a sound recording with an accompanying book? What is more essential in describing this item, the fact that it is serially issued or that it is a score? In our current cataloging environment, once the decision is made about the primary nature of the material, certain aspects of the secondary nature are lost in the description. As you know, the format integration of the variable fields addresses the specific description problems with these mixed materials; however, without the accompanying fixed fields, machine manipulation of all aspects of the cataloging record is limited to the primary material type described in field 008. The redefinition of field 006 will change all that. The 006 parallels the material specific bytes of the 008, allowing us to represent all aspects of an item for subsequent machine manipulation, even that pesky serially- published map on CD-ROM. Field 006 will be used only for those materials which encompass more than one material type. It has a leading character which identifies the secondary nature of the material, that is book, serial, score, recording, etc. For a summary of the 006 field, see Chart 3. The leading character in field 006 will determine what the valid codes are for the secondary nature. The remainder of the 006 bytes match those of the 008 for a particular material type, in the same fashion currently that the 007 leading byte defines the following values. The tables in the Appendix summarize the definitions of the 006 field for books, music, and serials, with the codes used by OCLC, RLIN and WLN in the equivalent 008 fields at this time. ----------------------------------------------------------- CHART 3 006 Fixed-Length Data Elements-Additional Material Characteristics 00 Type of 006 code Related Field 008 a Books Books c Printed music Music d Manuscript music Music e Printed map Maps f Manuscript map Maps g Projected medium Visual Materials i Nonmusical sound recording Music j Musical sound recording Music k Two-dimensional nonprojectable graphic Visual Materials m Computer file Computer Files o Kit Visual Materials p Mixed material Mixed Materials r Three-dimensional artifact or naturally occurring object Visual Materials s Serial control Serials t Manuscript language material Books 01-17 Same as the 008/18-34 codes that are defined for each category of material "Field 006 will have no indicators or subfield codes. The field will have a generic-tree structure, whereby the category of material code given in 006/00 (Type of 006 code) will determine the data elements defined for subsequent character positions. For each category of material, the codes defined for character positions 01-17 will be the same as those defined for that category in field 008 (Fixed-Length Data Elements), character positions 18-34." -USMARC ----------------------------------------------------------- When encountering material which exhibits multiple material type characteristics, a question remains about how to select the primary aspect. USMARC sets forth a model to assist with the decision- making, reproduced as Chart 4. In spite of this model, interpretation about whether or not an item is basically textual will still rest with cataloger judgment. Note that the selection of the primary characteristic determines the appropriate chapter of AACR2r to be used as the basis for the description. Thus, in shared databases, the description may vary somewhat depending on which characteristic is chosen as the primary one. Fortunately, as long as both aspects are recorded in their respective 008 and 006 fields, machine retrieval should not be affected. ----------------------------------------------------------- CHART 4 008: Selecting the primary characteristic If the item is basically textual, use: Type of record = a (Language material) or p (Mixed material) or t (Manuscript language material) Bibliographic level = Any valid code 008 = Book or serial or archival control 006 = Any that apply to main item or accompanying materials If the item is basically nontextual, use: Type of record = c (Printed music) or d (Manuscript music) or e (Printed map) or f (Manuscript map) or g (Projected medium) or i (Nonmusical sound recording) or j (Musical sound recording) or k (Two-dimensional nonprojectable graphic) or m (Computer file) or o (Kit) or r (Three-dimensional artifact or naturally occurring object) Bibliographic level = Any valid code 008 = Music or map or visual materials or computer file 006 = Any that apply to main item or accompanying materials ----------------------------------------------------------- The impact that full format integration will have on our cataloging databases depends on several factors. As with variable field format integration, some changes to existing records will be able to be made by a simple machine substitution; however, other changes will have to be made manually. It seems unlikely that libraries will go back and recatalog items with multiple characteristics, or that the utilities will add field 006 to existing records in their databases. In fact, it is difficult to identify older records which might benefit from the addition of field 006. It is important to remember that these older records are not "incorrect." Instead they will not reflect the full content designation available with the format integrated version of USMARC. Also, remember that field 006 is optional; thus usage of this field will vary among institutions according to their perceived needs, the national libraries' practices, and the nature of the material being cataloged. The Appendix includes five cataloging examples which demonstrate some of the changes with this phase of format integration. It is difficult approximately a year in advance to guess how the various utilities and local systems will handle the upcoming changes with the final phase of format integration. Decision points include: indexing field 006 for retrieval; implementing new MARC screen designs which will not fill the first page of the cataloging record with fixed field options; modifying validation routines which take the new options into account; and identifying cataloging records by material type when more than one type is represented. By the time we meet again in Seattle, format integration should be behind us. However, the future may hold some interesting developments. In November 1994, Sarah E. Thomas of the Library of Congress announced that representatives of the British Library, the Library of Congress, and the National Library of Canada met to discuss the future alignment of CANMARC, UKMARC, and USMARC into a common MARC format. It is envisioned that a unified MARC format would assist: * catalogers - by facilitating timely record sharing; * collection development - by providing earlier and more accurate access to the bibliographic records representing recently published works; * reference librarians - by enabling enhanced international cross- catalog searching; * library systems vendors - by creating one unified format to support instead of three * MARC format developers - by establishing a solid unified foundation on which to propose augmentation Further discussion of the proposed format alignment is expected during ALA this summer. The original group from the three national libraries plan to reconvene in December 1995 to review findings, accept or reject recommendations, and plan an implementation schedule. The implementation of the current round of format integration has been slow and frustrating at times. In fact, since it affects only a small number of cataloging records, some librarians question the value of the implementation. However, the standardization present with USMARC format integration offers many long-range benefits in terms of format unity, system maintenance, training of new catalogers, more precise searching by material type, increased flexibility in description, and more concise documentation. I hope we will all find the wait worthwhile. ----------------------------------------------------------- APPENDIX TABLES Note: For each format, 006/bytes 01-17 correspond to 008/bytes 18-34. The mnemonics listed are those used by OCLC, RLIN and WLN in the equivalent 008 fields at this time. TABLE 1 006 table for books Byte Definition OCLC RLIN WLN 00 Category of material code Type BLT REC TYPE [equivalent definitions to (1st char.) leader/06] 01-04 Illustrations Illus ILC ILLUS 05 Target audience Int lvl INT AUDI 06 Form of item Repr REP FORM 07-10 Nature of contents Cont CON CONTENTS 11 Government publication Govt pub GPC GOV PUB 12 Conference publication Conf pub CPI CONF 13 Festschrift Festschr FSI FEST 14 Index Indx II INDEX 15 Undefined 16 Fiction F/B FIC FIC (1st char.) 17 Biography F/B BIO BIOG (2nd char.) TABLE 2 006 table for scores and recordings Byte Definition OCLC RLIN WLN 00 Category of material code Type BLT REC TYPE [equivalent definitions to (1st char.) leader/06] 01-02 Form of composition Comp FCP COMP 03 Format of music Format SCO SCORE (scores only) 04 Undefined 05 Target audience Int lvl INT AUDI 06 Form of item Repr REP FORM (scores only) 07-12 Accompanying matter Accomp AMC ACC MAT 13-14 Literary text for sound recordings LTxt LIT LIT TEXT (rec.only) 15-17 Undefined TABLE 3 006 table for serials Byte Definition OCLC RLIN WLN 00 Category of material code Type BLT REC TYPE [equivalent definitions to (1st char.) leader/06] 01 Frequency Frequn FRQ FREQ 02 Regularity Regulr REG REGLTY 03 ISDS center ISDS ISDS ISDS 04 Type of serial Ser tp TYP TYP SER 05 Form of original item Phys med PHY ORG FORM 06 Form of item Repr REP FORM 07 Nature of entire work Cont IS NAT WORK (1st char.) 08-10 Nature of contents Cont CNC CONTENTS (2nd-4th char.) 11 Government publication Govt pub GPC GOV PUB 12 Conference publication Conf pub CPI CONF 13-15 Undefined 16 Original alphabet or script of title Alphabt ALPH ORG ALPH 17 Successive/latest entry S/L ent SL SL ENTRY CATALOGING EXAMPLES EXAMPLE 1 - SOUND RECORDING WITH ACCOMPANYING BOOKLET Before the final phase: Selected portions of Leader Type of record: j Bib. level: m Descriptive cat.: a 008 Date entered on file: Date type: p Dates: 1992, 1928 Place: cau Language: eng Mod. rec.: Cat. source: d Form of comp.: mu Format: n Target audience: Form of item: Acc. matter: i Literary text: 007 s d u f u n g n n m m n e u 020 1557232482 024 5008609572 028 02 60957-2 $b Walt Disney Records 047 mp $a sg 245 04 The music of Disney $h [sound recording] : b a legacy $in song / $c compilation produced by Michael Leon. 260 Burbank, CA : $b Walt Disney Records, $c p1992. 300 3 sound discs : $b digital ; $c 4 3/4 in. + $e 1 booklet (57 p. : col. ill. ; 28 cm.) 500 A representative sampling of songs from Disney films, television shows and theme parks. 511 Various performers. 518 Recorded 1928-1991. 500 Compact discs. 500 Booklet, written by David J. Fischer, includes historical perspective on songs and credits. 650 0 Motion picture music $x Excerpts. 650 0 Children's songs. 650 0 Television music. 710 2 Walt Disney Company. After the final phase, 006 may be added for booklet: Type of material: a Illustrations: a Target audience: Form of item: Nature of contents: Govt. publication: Conference publ.: 0 Festschrift: 0 Index: 0 Fiction: 0 Biography: d EXAMPLE 2 - ARTIST'S BOOK, OR SCORE, OR SCULPTURE Primary material characteristic is debatable and a choice must be made. Selected portions of Leader Type of record: c Bib. level: m Descriptive cat.: a 008 Date entered on file: Date type: s Dates: 1979 Place: gau Language: Mod. rec.: Cat. source: d Form of comp.: uu Format: z Target audience: Form of item: Acc. matter: 100 1 Gennero, Lionello. 245 10 Musical book /$ c by Lionello Gennero ; in collaboration with Michael Goodman. 260 Atlanta, Ga. : $b Nexus Press, $c c1979. 300 [15] leaves ; $c 43 cm. 500 Chance composition; consists of sounds made with the leaves of the book. 500 Wooden covers, [3] leaves of text, [12] leaves of different materials. 500 Includes performance instructions. 500 "Limited edition of sixty copies signed by the artist." 650 0 Chance compositions. 650 0 Artists' books. 700 1 Goodman, Michael. 710 2 Nexus Press. After the final phase, all aspects can be represented: 006 added for book nature: Type of material: a Illustrations: Target audience: Form of item: Nature of contents: Govt. publication: Conference publ.: 0 Festschrift: 0 Index: 0 Fiction: 0 Biography: 006 added for artistic nature: Type of material: r Running time: nnn Target audience: Acc. matter: Govt publication: Type of visual material: a Technique: n EXAMPLE 3 - BOOK WITH ACCOMPANYING SOUND RECORDING Before the final phase: Selected portions of Leader Type of record: a Bib. level: m Descriptive cat.: a 008 Date entered on file: Date type: s Dates: 1993 Place: lau Language: eng Mod. rec.: Cat. source: d Illustrations: a Target audience: Form of item: Nature of contents: k Govt. publication: Conference publ.: 0 Festschrift: 0 Index: 0 Fiction: 0 Biography: d 010 9373571 020 0963889001 245 00 Bill Russell's American Music / $c compiled and edited by Mike Hazeldine. 246 30 American Music. 260 New Orleans, LA, U.S.A. : $b Jazzology Press, $c c1993. 300 xv, 184 p. : $b ill. ; $c 26 cm. + $e 1 sound disc (digital ; 4 3/4 in.) 500 Compact disc in pocket. 504 Discography: p. 160-169. 500 Includes indexes. 500 Sound disc includes previously unissued selections. 610 20 American Music (Sound recording label) 600 10 Russell, Bill, $d 1905- 650 0 Jazz $z Louisiana $z New Orleans $x History and criticism. 650 0 Jazz $z Louisiana $z New Orleans $x Discography. 700 1 Hazeldine, Mike. 700 1 Russell, Bill, $d 1905- After the final phase, other fields added: 006 Type of material: j Form of comp.: jz Format: n Target audience: Form of item: Acc. matter: z Literary text: 007 s d u f u n g n n m m n e u 650 0 Jazz $z Louisiana $z New Orleans. EXAMPLE 4A - SERIALLY ISSUED SCORE Before the final phase: Selected portions of Leader Type of record: a Bib. level: s Descriptive cat.: a 008 Date entered on file: Date type: d Dates: 1973, 1986 Place: nyu Language: eng Mod. rec.: Cat. source: d Frequency: Regularity: x ISSN center: 1 Type of serial: p Form of original item: Form of item: Nature of entire work: Nature of contents: Govt publication: Conference publ.: 0 Original alphabet: a Successive/latest entry: 0 010 7420737/M 022 0 0196-1438 042 lc $a nsdp 050 0 M1 $b .A6365 210 0 ASUC j. music scores 222 0 ASUC journal of music scores 245 00 ASUC journal of music scores. 246 10 Journal of music scores 246 10 American Society of University Composers journal of music scores 260 New York, N.Y. : $b American Society of University Composers, $c 1973-1986. 300 15 v. :$ b ill., music ; $c 28 cm. 310 Two or 3 issues a year 362 0 Vol. 1-vol. 15. 650 0 Music $x Periodicals. 650 0 Instrumental music $x Periodicals. 650 0 Vocal music $x Periodicals. 710 2 American Society of University Composers. 785 00 $t SCI journal of music scores EXAMPLE 4B - SERIALLY ISSUED SCORE After the final phase (Note that the as the primary material type changes, the description varies according to the chapters of AACR2r used ) Selected portions of Leader Type of record: c Bib. level: s Descriptive cat.: a 008 Date entered on file: Date type: d Dates: 1973, 1986 Place: nyu Language: eng Mod. rec.: Cat. source: d Form of comp.: mu Format: m Target audience: Form of item: Acc. matter: 010 7420737/M 022 0 0196-1438 042 lc $a nsdp 050 0 M1 $b .A6365 210 0 ASUC j. music scores 222 0 ASUC journal of music scores 245 00 ASUC journal of music scores. 246 10 Journal of music scores 246 10 American Society of University Composers journal of music scores 260 New York, N.Y. : $b American Society of University Composers, $c 1973-1986. 300 15 v. of music ; $c 28 cm. 310 Two or 3 issues a year 362 0 Vol. 1-vol. 15. 650 0 Music $x Periodicals. 650 0 Instrumental music $x Periodicals. 650 0 Vocal music $x Periodicals. 710 2 American Society of University Composers. 785 00 $t SCI journal of music scores 006 now represents seriality: Frequency: Regularity: x ISSN center: 1 Type of serial: p Form of original item: Form of item: Nature of entire work: Nature of contents: Govt publication: Conference publ.: 0 Original alphabet: a Successive/latest entry: 0 EXAMPLE 5 - MANUSCRIPT SCORE Before the final phase, a cataloger must choose between the scores and the archival materials format. Selected portions of Leader Type of record: d Bib. level: m Descriptive cat.: a 008 Date entered on file: Date type: s Dates: 1893 Place: xx Language: ger Mod. rec.: Cat. source: d Form of comp.: sg Format: a Target audience: Form of item: Acc. matter: 045 0 $b d1893 048 $b vh01 $a ka01 100 1 Schoenberg, Arnold, $d 1874-1951. 245 10 [In hellen Tr"aumen hab ich Dich oft geschaut / $c Arnold Sch"onberg]. 260 $c [1893]. 300 1 ms. score ([4] leaves) ; $c 35 cm. 500 Holograph fair copy. 500 For high voice and piano. 500 Title from text. 500 German words by Alfred Gold. 500 Written in black ink on the rectos of two double leaves. The original date of the score has faded from p. [1]. The score is signed on p. [4]. Corrections appear throughout, either in pencil or in black ink. The versos of each leaf are blank. 650 0 Songs (High voice) with piano. 600 10 Schoenberg, Arnold, $d 1874-1951 $x Manuscripts. 600 10 Gold, Alfred, $d 1874- $x Musical settings. 700 1 Gold, Alfred, $d 1874- After the final phase, the Leader has an additional code for archival control: Type of record: d Bib. level: m Type of control: a Descriptive cat.: a ----------------------------------------------------------- SELECTED BIBLIOGRAPHY PRIMARY SOURCES Library of Congress. Network Development and MARC Standards Office. Addendum to "Format Integration and its Effect on the USMARC Bibliographic Format." Washington: Cataloging Distribution Service, September 15, 1993. Library of Congress. Network Development and MARC Standards Office. Format Integration and its Effect on the USMARC Format. Washington: Cataloging Distribution Service, 1992. Library of Congress. Network Development and MARC Standards Office. USMARC Format for Bibliographic Data. Washington: Cataloging Distribution Service, 1994. SECONDARY SOURCES Caplan, Priscilla. "USMARC Format Integration, Part I: What, Why, and When?" The Public-Access Computer Systems Review 3, no. 5 (1992): 33-36. Caplan, Priscilla. "USMARC Format Integration, Part II: Implications for Local Systems." The Public-Access Computer Systems Review 4, no. 1 (1993): 13-17. Coyle, Karen, ed. Format Integration and its Effect on Cataloging, Training, and Systems: Papers Presented at the ALCTS Preconference "Implementing USMARC Format Integration," American Library Association Annual Conference, June 26, 1992, San Francisco, California. (ALCTS Papers on Library Technical Services and Collections, no. 4) Chicago: American Library Association, 1993. Coyle, Karen. "Format Integration in Phases." USMARC@SUN7.LOC.GOV Thu 15 Jul 1993. Earnest, Jeffrey. "Ramifications of Format Integration on Music Libraries." MOUG Newsletter 54 (May 1993): 20-27. Glazier, Ed. "Re: Phased implementation of format integration." USMARC@SUN7.LOC.GOV Thu 8 Jul 1993. Glazier, Ed. "Type of Control and Format Integration." USMARC@SUN7.LOC.GOV Fri 8 Oct 1993. McCallum, Sally H. "Format Integration." USMARC@SUN7.LOC.GOV Mon 5 Dec 1994. Retro Link Associates. MARC Format Integration Explained. Provo: RLA, June 1994. Thomas, Sarah E. "MARC Format Alignment." COOPCAT@IUBVM.UCS.INDIANA.EDU, Wed 30 Nov 1994. Weiss, Paul. "format integration." AUTOCAT@UBVM.CC.BUFFALO.EDU Thu 2 Feb 1995.