UCSD Policies for Format Integration Implementation
Approved by: Cataloging Committee, October 13, 1996;
Last updated: October 11, 1999 by Crystal Graham, and approved by Cataloging Committee

The following policies were approved by the Cataloging Committee based on the recommendations of the Format Integration Task Force (Linda Barnhart, Cuca Chavez, Crystal Graham (chair), Shirley Higgins, Maggie Houlihan, Karen Peters, Becky Ringler, Jim Soe Nyun, Ann Studebaker, Brad Westbrook). See attached matrix for a graphical presentation by type of material. At the August 1999 meeting it was decided that current local policies for format integration were needed. A small group of interested people (Shirley Higgins, Crystal Graham, Ryan Finnerty, Karen Peters) met to propose changes to this document and the matrix. Those changes were approved by the Committee on Oct. 11, 1999.

Under format integration, the format coding (and related workforms) were changed for several categories of materials. The following decisions have been made for specific materials:

Archival Collections: Under format integration, archival collections will be cataloged on the format for the predominant material or on the new format for mixed materials. Existing records will remain on the AMC format. All archives and manuscript records, except dissertations, will be coded as being under archival control (Leader/08 = a) and locally with the mat type appropriate to the material being cataloged.

Atlases. Under format integration, geographical atlases are cataloged on the maps format., with 006 fields for books or serials, as appropriate. Projects were carried out to convert atlas records to the proper workform.  Some records include an 006 field for books.  The 006 is optional and, discovering that LC does not use it for monographic atlases, we decided not to include it.  The 006 will be used for serial atlases.  The 007 is used for both book and serial atlases.

Dissertations. Under format integration, dissertations are coded as "manuscripts" rather than books. We will catalog new dissertations according to the new standards, but we will not convert existing records from type "a" to type "t." All dissertations will continue to have the Innopac mat type "m."

Nonprint Serials: Under format integration, serials are cataloged on the format for the physical medium (e.g., maps, scores, sound recordings, visual materials). Records for nonprint serials were converted to the appropriate format. Electronic serials were loaded into the California Periodical Database (nee MELVYL PE), while serial records for other formats were loaded into the MELVYL Catalog.

The 006 field is a newly-defined fixed-length field to be used for materials with characteristics of more than one format or materials with accompanying materials. The field is required by CONSER for use with nonprint serials; otherwise it is left to local policy. OCLC requires that the 006 be used for electronic publications cataloged on separate records. The 006 is not used when using a single record for print and electronic versions.

The 006 field should be included on all records for atlases, mixed materials, and nonprint serials, whether copy or original cataloging. The 006 will also be coded for archival collections when such collections are described on a certain record type but also contain significant (in quantity or importance) materials belonging to a different record type. It will also be used for materials which have multiple format characteristics in a single item, such as disc with both sound recordings and computer data.

Do not add an 006 field for "loose-leaf for updating" print publications.

Accept 006 fields found on copy, i.e., do not delete them even if they fall in a category where UCSD would not add them.

Do not add an 006 when the format of the accompanying material is identical to that of the primary material.

When the format of the accompanying material is different from that of the primary material, the decision to add an 006 for accompanying materials is left to catalogers' judgement and a quick decision should be made. The following guidelines are intended to aid the cataloger, with the understanding that common sense should prevail:

• The 006 should be used when either of the companion materials might reasonably be considered the primary material.

• Generally add an 006 when the accompanying material is substantial enough that it could be considered for a separate record.

• The 006 should not be used for ephemeral or incidental materials, e.g., printed instructions for loading a CD.

• In case of doubt, do not add an 006 when the companion piece is a book, pamphlet, printed sheet, or serial issue.

• In case of doubt, add an 006 when the companion piece is a nonprint item.

 

The 007 field is used for additional physical characteristics of nonprint materials. It is newly defined for computer files. The 007 field is required by OCLC in original cataloging for aspects of the primary material, although many of the data bytes are optional. The 007 is optional for accompanying materials. The Task Force recommends the following as UCSD policy:
 
 

Original or enhance/upgrade: Include the mandatory/required bytes of the 007 field in original full-level or enhance/upgrade cataloging for aspects of the primary material. 007 fields may also be added for secondary characteristics described in 006 fields when appropriate.

Copy cataloging: Do not add 007 fields to cataloging copy except for the following formats:

• Remote-access computer files

 
• Atlases

 
• Preservation microforms (normally original cataloging)

Add 007 fields for accompanying computer files. A project will be undertaken to add 007 fields to existing records that include accompanying computer files. For original and enhance/upgrade, 007 fields may be added for other accompanying materials in accordance with the guidelines for 006 fields, items with accompanying materials. For copy, accept as found.

Rationale

The rationale for this decision is that our database has so many records lacking the 007 field that it cannot be used effectively for retrieval in Boolean searches or by MELVYL form limits. The 007 coding for remote-access computer files and atlases is new with format integration, so we can incorporate it in our records. We believe that form indexes for atlases and remote computer files may be useful and we have suggested that CDL consider creating form indexes for those new categories in the new generation of MELVYL/CPD.

The current release of Innopac allows a "limit" based on "mat type" OR 007, but not a combination. Therefore, we could not retrieve say, visual materials coded in the mat type simultaneously with visual materials coded in the 007.

Another problem is that, when searching the 007, the program looks for the designated byte in any 007 in any coded position. For example, the first byte of an 007 for microform is "h" If an "h" occurs somewhere else in an 007, say, 007 kh (photoprint), those records will also be retrieved. Therefore using the 007 could result in many false drops. (N.B.: Fortunately the only false drop resulting from the computer file limit is one collage).