September 1990
As the national preservation efforts gain momentum, as the national funding for preservation microfilming increases, and as plans for large-scale microfilming move forward, an essential requirement is the establishment of a national preservation database through the cooperative efforts of participating libraries via bibliographic utilities and the Library of Congress.
The essential characteristics of such a comprehensive bibliographic system are the availability in each major utility of machine-readable records for preservation microform masters, the adherence to agreed-upon guidelines for bibliographic description, the ability to identify and locate existing preservation microform masters, and the capacity to use bibliographic records online or to hold them in local databases.
Under ideal conditions records for microform masters would be included in a national database, such as the CONSER database for serials, and they would conform to the standards for national full-level bibliographic records. The current reality that research libraries face is inconsistent application of cataloging policies, considerable variation in levels of cataloging, and the existence of several separate bibliographic utilities. Yet there is an urgent need for agreement on guidelines for bibliographic control. The use of agreed-upon bibliographic standards for preservation microform masters will foster and support cooperative preservation efforts, improve access to reformatted scholarly resources, and promote effective sharing of bibliographic information. Given the challenge of building the bibliographic infrastructure to support large-scale, coordinated preservation microfilming, the ARL Committee on Bibliographic Control has developed these guidelines for preservation microform masters. The guidelines are intended for use in cataloging preservation microform masters of books and printed serials. No attempt has been made to include data elements relating to other types of materials such as music, maps, or manuscripts. The guidelines are not intended to be used for newspapers cataloged under the auspices of the United States Newspaper Program, which has its own guidelines.
The guidelines are intended to provide mutually acceptable standards for record fullness and consistency. Recognizing that the long-term needs for effective access to preservation microform masters must be balanced with the need to achieve a high level of record usefulness at a practical cost, the guidelines do not prescribe a full-level cataloging record; rather, they define the base level below which a preservation microform master record should not go. The proposed base level sets of data elements aim to achieve the standardization that is the preeminent requirement for a comprehensive system of bibliographic control for national preservation efforts.
The ARL Committee on Bibliographic Control enthusiastically supports the recommendation of the recent LC-sponsored Multiple Versions Forum to use the USMARC Format for Holdings Data for communication of data describing microform reproductions. Until consolidation of this information into the holdings format is implemented the inclusion of preservation data in the bibliographic format is mandated. This process can be expedited by applying the standards used in retrospective conversion to the creation of new records for microform masters when usable source records are available in network databases or local card catalogs.
The guidelines consist of a general introduction and separate guidelines for books and serials.
Definition
Principles Underlying Bibliographic Control of Preservation Microform Masters
Guidelines for Bibliographic Records for Preservation Microform Masters of Books
A. Description of Data Elements
B. Procedure for Verifying Name and Subject Headings
C. Encoding Requirements
D. Relationship to Network Requirements
A. Description of Data Elements
B. Guidelines for Input of Successive or Latest Entry Records
C. Procedure for Verifying Name and Subject Headings
D. Encoding Requirements
E. Relationship to Network Requirements
Preservation microform masters, or master negatives, are first-generation microreproductions of library materials that meet archival standards for film stock, processing, enclosures, and storage. Adherence to preservation standards for film stock (ANSI IT9.1-1988), production (ANSI AIIM MS23), enclosures (ANSI IT9.2-1989) and storage (ANSI PH1.43- 1983) is implicit.
Preservation microform masters are a primary medium for insuring the availability to posterity of our intellectual heritage. Those who own and control them have a responsibility to treat them as valuable public property. The bibliographic records that provide access to them are no less valuable and warrant processing that assures their quality, usefulness, longevity, and universal availability. Hence the following principles:
a. Adherence to standards for bibliographic records is an essential element in a preservation microfilming program.
b. The bibliographic record for the preservation microform master should contain a standard base level set of data elements.
c. When a bibliographic record for the microform or the original hard copy publication is readily available in either manual or machine readable form, that source record may be used as the basis of the new bibliographic record for the preservation microform master. When the source record includes data elements in addition to those prescribed in the standard for the national base level preservation record, all appropriate data elements should be retained in the record for the preservation microform master.
d. The cataloging institution should consider the nature of the material, that is, its intellectual content and its bibliographic characteristics and consequent access requirements, to determine whether the level of cataloging should exceed the base level set of data elements.
e. The Committee encourages the provision of subject access even though subject access is not a requirement of these guidelines. Online catalog use studies indicate the desirability and usefulness of subject headings in machine-readable records. Libraries should retain subject headings when adapting a record for the hard copy publication. They are encouraged to include subject headings when creating a new record for a preservation microform master. ARL encourages funding agencies to support generation of records that exceed the base level.
f. Bibliographic utilities should exchange all records for preservation microform masters in a timely manner and should not place restrictions on distribution or use of these records.
A. Description of Data Elements
The bibliographic record for the preservation microform master should describe the original hard copy publication, in conformity with the Library of Congress rule interpretation of Chapter 11 of the Anglo-American Cataloguing Rules, Second Edition (AACR2). Information about the microform should be given in the 245 bullet subfield, 533 note field, 007 physical description field and appropriate 008 fixed field data elements. A separate record should be prepared for each preservation microform master, but multiple generations resulting from a single filming operation may be represented on one record. The record must contain all of the national base level preservation record data elements shown in the following chart. Every attempt should be made to supply meaningful data in these fields. When the required information is not available, the field should include the appropriate designation. (For example, when the specific reduction ratio is unknown, code the 007 fixed field bytes 06-08 as "---").
When a bibliographic record for the microform or the original hard copy publication is readily available in either manual or machine-readable form, it may be cloned as the basis for the new bibliographic record for the microform master. (The terminology for cloning a machine-readable record varies from system to system, e.g., "cre*" in RLIN, "new" in OCLC, and "new.nolink" in Utlas). Description and choice of access points may be accepted as found on the source record. Form of access points should be verified as described in Part 3B. It is permissible to add a general material designation (GMD) and a 533 field with ISBD punctuation to records which otherwise contain pre-AACR2 description.
In anticipation of the ability to restructure the display of records for multiple versions, the Library of Congress plans to include a 776 linking entry field containing the record number of the bibliographic record for the original hard copy publication, when one exists. Other libraries have the option of including this field in their records. (See addendum for LC's procedure for using the 776 field).
When no source record is available to form the basis of the microform record, a new cataloging record should be created according to the Anglo-American Cataloguing Rules, Second Edition, 1988 revision (and updates), as interpreted by the Library of Congress.
The following table specifies the minimal data elements that must be present in a national preservation record. Only those fields and their subfields that are mandatory are listed with the exception that system-generated fields are not included. While local needs may require a fuller record than that presented here, this national preservation record meets the requirements for books as given in the USMARC Format for Bibliographic Data. In addition to the elements listed here, the provision of subject headings and the inclusion of at least one name access point, where appropriate, are considered especially desirable.
M = Mandatory
MA = Mandatory if applicable and available
MARC Field
Leader 05 - Record status M
06 - Type of record M
07 - Bibliographic level M
17 - Encoding level M
18 - Descriptive cataloging form M
007 - Physical description fixed field M
00 - Category of material M
01 - Specific material designation M
03 - Positive/negative aspect M
04 - Dimensions M
05 - Reduction ratio range M
06 to 08 -Reduction ratio M
09 - Color M
10 - Emulsion on film M
11 - Generation M
12 - Base of film M
008 - Fixed-length data elements M
06 - Type of date/publication status M
07 to 10 - Date 1 M
11 to 14 - Date 2 M
15 to 17 - Place of publication M
23 - Form of item M
35 to 37 - Language M
39 - Cataloging source M
040 - Cataloging source M
lXX - Main entry MA
245 - Title statement M
bulleta - Title proper M
bulletb - Remainder of title MA
bulletc - Remainder of title page MA
transcription/statement of responsibility
bulleth - Medium M
bulletn - Number of part/section of a work MA
bulletp - Name of part/section of a work MA
250 - Edition statement of the original MA
bulleta - Edition statement M
260 - Imprint statement of the original M
bulleta - Place of publication, distribution, etc. MA
bulletb- Name of publisher, distributor, etc. MA
bulletc - Date of publication, distribution, etc. M
300 - Physical description of the original M
bulleta - Extent M
4XX - Series statement of the original MA
533 - Reproduction note M
bulleta - Type of reproduction M
bulletb - Place of reproduction M
bulletc - Agency responsible for reproduction M
bulletd - Date of reproduction M
bullete - Physical description of reproduction M
bulletf - Series statement of microform MA
B. Procedure for Verifying Name and Subject Headings
Name, series, and uniform title access points on bibliographic records for preservation microform masters must be verified against the Library of Congress Name Authority File (LCNAF). This includes all name, series, and title headings used as main or added entries (MARC tags lxx, 240, 400, 410, 411, 440, 600, 610, 611, 630, 7xx (except 740), and 8xx fields). No verification is required for untraced series.
Where it can be determined that access points in a source record have already been verified against the LCNAF, the headings may be accepted and need not be verified again. All other name and title access points should be verified against the latest version of the LCNAF. The AACR2 forms of headings found in the LCNAF should be used on the final record contributed to the national preservation database. If AACR2 forms of headings are not found in the LCNAF, the headings may be used as found on the source record. Alternatively, headings may be established according to the Anglo-American Cataloguing Rules, Second Edition, 1988 revision (and updates) as interpreted by the Library of Congress.
Libraries are encouraged, but not required, to verify topical and geographic subject headings against the appropriate LC authority file. Modernization of subject subdivisions and spelling out of abbreviations is also considered desirable.
C. Encoding Requirements
These guidelines require full content designation of all fields that are present, including tags, indicators, and subfield codes.
D. Relationship to Network Requirements
All records input must conform to network requirements.
A. Description of Data Elements for Serials
The bibliographic record for the preservation microform master should describe the original hard copy publication, in conformity with the Library of Congress rule interpretation of Chapter 11 of the Anglo-American Cataloguing Rules, Second Edition (AACR2). Information about the microform should be given in the 245 ~h subfield, 533 note field, 007 physical description field and appropriate 008 fixed field data elements. A separate record should be prepared for each preservation microform master, but multiple generations resulting from a single filming operation may be represented on one record. The record must contain all of the national base level preservation record data elements shown in the following chart. Every attempt should be made to supply meaningful data in these fields. When the required information is not available, the field should include the appropriate designation. (For example, when the specific reduction ratio is unknown, code the 007 fixed field bytes 06-08 as "---")
When a bibliographic record for the microform or the original hard copy publication is readily available in either manual or machine-readable form, it may be cloned as the basis for the new bibliographic record for the microform master. (The terminology for cloning a machine- readable record varies from system to system, e.g., "cre*" in RLIN, "new" in OCLC, and "new.nolink" in Utlas). Description and choice of access points may be accepted as found on the source record. When more than one source record is available, the library should select one in conformity with the successive/latest entry guidelines given in Part 4B. Form of access points should be verified as described in Part 4C. It is permissible to add a general material designation (GMD) and a 533 field with ISBD punctuation to records which otherwise contain pre-AACR2 description.
In anticipation of the ability to restructure the display of records for multiple versions, the Library of Congress and other CONSER participants will include a 776 linking entry field containing the record number of the bibliographic record for the original hard copy publication, when one exists. Other libraries have the option of including this field in their records. (See addendum for LC's procedure for using the 776 field).
The intention of these guidelines is to encourage the use of existing cataloging copy as a basis for the new record for the preservation microform master. Nonetheless some recataloging will inevitably be required, such as the adjustment of linking entry fields in order to put serials records in a logical sequence. Current rules for choice of entry and the definition of a title change occasionally make it possible to subsume into a single record a succession of records created under AACR1. The guidelines cannot possibly anticipate all the circumstances under which records created under superseded rules are unsatisfactory, incomplete, or misleading. Catalogers will need to exercise judgment on a case-by-case basis in accordance with the policies of their institutions.
When no source record is available to form the basis of the preservation microform master record, a new cataloging record must be created according to the Anglo-American Cataloguing Rules, Second Edition, 1988 revision (and updates), as interpreted by the Library of Congress.
The following table specifies the minimum data elements that should be present in a national preservation record. Only those fields and their subfields that are mandatory are listed with the exception that system-generated fields are not included. While local needs may require a fuller record than that presented here, this national preservation record meets the national level requirements for serials as given in the USMARC Forum for Bibliographic Data. In addition to the elements listed here, the provision of subject headings and the inclusion of at least one name access point, where appropriate, are considered especially desirable.
M = Mandatory
MA = Mandatory if applicable and available
MARC Field
Leader 05 - Record status M
06 - Type of record M
07 - Bibliographic level M
17 - Encoding level M
18 - Descriptive cataloging form M
007 - Physical description fixed field M
00 - Category of material M
01 - Specific material designation M
03 - Positive/negative aspect M
04 - Dimensions M
05 - Reduction ratio range M
06 to 08 - Reduction ratio M
09 - Color M
10 - Emulsion on film M
11 - Generation M
12 - Base of film M
008 - Fixed length data elements M
07 to 10 - Beginning date M
11 to 14 - Ending date of publication M
15 to 17 - Country of publication M
23 - Form of item M
34 - Successive/Latest entry indicator M
35 to 37 - Language M
39 - Cataloging source M
022 - ISSN MA
040 - Cataloging source M
lXX - Main entry MA
240 - Uniform title MA
245 - Title statement M
bulleta - Title proper M
bulletc - Remainder of title page
transcription/statement of responsibility MA
bulleth - Medium M
bulletn - Number of part/section of a work MA
bulletp - Name of part/section of a work MA
246 - Varying form of title MA
247 - Former title or title variations MA
250 - Edition statement M
260 - Imprint statement M
bulleta - Place of publication, distribution, etc. MA
bulletb - Name of publisher, distributor, etc. MA (M if AACR2)
bulletc - Date of publication, distribution, etc. MA
300 - Physical description M
bulleta - Extent M
362 - Material specific details MA
4XX - Series statement MA
533 - Reproduction note M
bulleta - Type of reproduction M
bulletm - Enumeration/chronology M
bulletb - Place of reproduction M
bulletc - Agency responsible for reproduction M
bulletd - Date of reproduction MA
bullete - Physical description of reproduction M
bulletf - Series statement of microform MA
780 - Preceding entry MA
785 - Succeeding entry MA
B. Guidelines for Input of Successive or Latest Entry Records
Although successive entry cataloging is considered preferable, existing latest entry records may be cloned as the basis for the new records when no successive entry cataloging is available. Catalogers always have the option of creating successive entry records but are not required to do so when latest entry records already exist.
a. When successive entry records for the original publication or the microform are available either online or in the cataloging institution's catalog, the record(s) for the microform must be successive entry.
b. When the only existing cataloging record for the original publication or the microform is latest entry, the cataloging institution is encouraged but not required to create successive entry records.
c. When a latest entry record exists and successive entry records are available for only some of the titles in the serial run, the cataloging institution is encouraged but not required to create successive entry records for the other titles microformed.
d. When no existing cataloging records for the original publication or the microform are available, the cataloging institution must input successive entry records for the microform.
C. Procedure for Verifying Name and Subject Headings
Name and series access points on bibliographic records for preservation microform masters must be verified against the Library of Congress Name Authority File (LCNAF). This includes all name and series headings used as main or added entries (MARC tags lxx, 400, 410, 411, 440, 600, 610, 611, 700, 710, 711, and 8xx). No verification is required for untraced series.
Where it can be determined that access points in a source record have already been verified against the LCNAF, the headings may be accepted and need not be verified again. All other name and series headings should be verified against the latest version of the LCNAF. The AACR2 forms of headings found in the LCNAF should be used on the final record contributed to the national preservation database. If AACR2 forms of headings are not found in the LCNAF, the headings may be used as found on the source record. Alternatively, headings may be established according to the Anglo American Cataloguing Rules, Second Edition, 1988 revision (and updates) as interpreted by the Library of Congress.
Libraries are encouraged, but not required, to verify topical and geographic subject headings against the appropriate LC authority file. Modernization of subject subdivisions and spelling out of abbreviations is also considered desirable.
D. Encoding Requirements
These guidelines require full content designation of all fields that are present, including tags, indicators, and subfield codes.
E. Relationship to Network Requirements
All records input must conform to network requirements.
Library of Congress procedures for using the 776 field to link original and microform records
Field 776
Apply the following conventions to the 776 field that links the record for the microform to the record for the original:
Add the field to the record for the microform according to the order determined appropriate to the input/update system being used.
Use in the first indicator position the value 1 (Do not display note). The second indicator position is not defined for use (b).
Give in the bulletc subfield the designation "Original" ; do not end with a period.
Give in the bulletw subfield the LCCN of the record for the original preceded by LC's NUC symbol (DLC) enclosed within parentheses. Include any prefix with blank fill (b), followed by the two digits of the year series, followed by the six digits of the serial number with zero fill, for example: ppbyy000ddd
where
p = letter of a prefix
b = blank if no letter of a prefix
y = digits for year series
d = digits for serial portion of number
0 = zero fill for serial numbers of less than 6 digits
In the absence of an LCCN, give the system ID of the record for the original, prefixed by the system's NUC code in parentheses.
Examples:
(Record # for Original
776 Field)
LC: sf77-170
776 lb bulletc Original bulletw (DLC)sfb77000170
LC: med47-1541
776 lb bulletc Original bulletw (DLC)med47001541
LC: 24-20326
776 lb bulletc Original bulletw (DLC)bbb24020326
OCLC: 2250071
776 1b bulletc Original bulletw (OCoLC)2250071
RLIN: ILCO86-B2461
776 lb bulletc Original bulletw (CStRLIN)ILCO86-B2461