Format Integration and Its Impact on Serials (Jean Hirons) Ann Ercelawn 19 Oct 1995 19:47 UTC

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

*******************************************************************
      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.

*****************************************************************
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)