PROPOSAL NO. 96-8:  CAN/MARC Changes for Format Alignment


In November of 1994 a process to align the USMARC, CAN/MARC, and
UKMARC formats was initiated by representatives from the British
Library (BL), the Library of Congress (LC), and the National
Library of Canada (NLC).  Discussion Paper No. 90, presented in
June 1995, described that initiative, the motivations for seeking
alignment, a complete listing of differences between CAN/MARC and
USMARC and description of differences between UKMARC and USMARC. 
That history is not repeated here.  Some of the possible benefits
to the USMARC community that were brought out were the following:
increased record sharing for cataloging and sharing of human
resources, enhanced system vendor markets, elimination of costly
conversion programs, collaboration on conversions from other
formats, more timely availability of records, increased
bibliographic control coverage, more economical format
documentation and maintenance, and enhanced international cross-
catalog searching.  The general greater availability of records
would also benefit collection development.  A common format would
also help the community capitalize on the efficiencies of the
Internet technologies and new protocols such as Z39.50.

The Canadian Committee on MARC met in June 1995 and October 1995 to
review potential changes to the CAN/MARC format to achieve format
harmonization with USMARC.  The Committee agreed to a substantial
number of changes affecting approximately fifty fixed field
character positions and variable fields defined in the CAN/MARC
bibliographic and authority formats.  Although the cost of
undertaking the necessary retrospective conversion will be high for
the National Library of Canada and other CAN/MARC-compatible
systems, the long-term benefits associated with format alignment
were anticipated to be significant.

Discussion Paper No. 93 (January/February 1996) focussed on the
harmonization of CAN/MARC formats and presented a small number of
differences for which the Canadian Committee on MARC suggested a
change to USMARC to accomplish alignment.  In reviewing DP 93, the
USMARC community was asked to analyze impact and assess costs if
the changes itemized in DP 93 were made to USMARC.  Users were
asked to consider software and retrospective conversion or
non-conversion, and also the advantages of having the CAN/MARC
format aligned with USMARC so that the North American libraries can
have improved interchange of records.

Both DP 90 and DP 93 may be accessed from the USMARC WEB site:  (MARC Advisory Committee Proposals
     and Discussion Papers, ...)

Canadian Multilingual Requirements

Some of the remaining differences relate to the reality of the
Canadian situation.  As CAN/MARC is the national format of a
bilingual country, it has certain specific and unique features that
have been defined to facilitate the communication of data in the
context of bilingual cataloguing.  Specifically, the attached
proposals 96-8/9XX and 96-8/008-08 (Authority) have existed in
CAN/MARC since the inception of the formats in the mid-1970s to
facilitate the provision of bibliographic data in both official

Archival Areas

In recent years, the archival community in Canada has been
developing a standard set of cataloging rules for archival
material, called the Rules for Archival Description (RAD). 
(American archivists have since the early 1980s used Archives,
Persona Papers, and Manuscripts (APPM), an adaptation of AACR2 for
archival needs, as the standard for archival cataloging rules.)  In
the summer and fall of 1995, the Canadian Committee on MARC (CCM)
considered enhancements to the CAN/MARC format to better
accommodate the descriptions formulated under RAD.  A number of
differences, hence possible changes, resulted from these archival
enhancements to CAN/MARC.  These possible changes were further
discussed at a meeting between representatives of the Society of
American Archivists' (SAA) format committee, Commitee on Archival
Information and Exchange (CAIE) and a delegation of Canadian
archivists in November 1996.  Possible archive-related changes that
were outlined in an appendix to the May 1996 version of this
proposal were discussed and final proposals for these changes are
now included in this document.

Organization of the Proposal

This proposal has been kept together as a package, in the same
manner that the Format Integration proposal (88-1) in 1988 was
bundled.  The separate sub-proposals are attached, numbered by the
proposal number plus the tag and/or character position affected. 
The primarily Bibliographic formats proposals are presented before
the primarily Authority ones.

PROPOSAL 96-8/LDR-17:  Define Encoding level for Abbreviated

DATE:     May 24, 1996 
REVISED:  February 28, 1997

SUMMARY:  Define in Leader/17 (Encoding level) a new value 3
          (Abbreviated record) in the Bibliographic and Community
          Information formats.
KEYWORDS: Leader/17; Encoding level; Abbreviated record



At present the following encoding levels are defined in the USMARC
and CAN/MARC formats:

USMARC:                            CAN/MARC:
# Full level                       0  same
1 Full level, mat. not exam.       1  same
2 Less-than-full, mat. not exam.   2  same
                                   3  Abbreviated level
4 Core level                       4  same
5 Partial (preliminary) level      5  Partial level (final)
                                   6  Minimal level
7 Minimal level                    7  Preliminary record
8 Prepublication level             8  CIP record
u Unknown                          u  same
z Not applicable                   z  same

The Canadian library community has agreed to undertake an alignment
of CAN/MARC encoding values with USMARC by converting CAN/MARC
value 0 records to # (full level); converting CAN/MARC value 5
records to 7 (minimal level); converting CAN/MARC value 7 to 5
(partial (preliminary) level); and converting value 6 to 7 (minimal
level).  What remains is the need to identify CAN/MARC value 3
(abbreviated) records.

The National Library of Canada recently developed cataloguing level
guidelines to reduce processing time, keep cataloguing as current
as possible, ensure continuing access to materials, and minimize
backlogs.  Three levels are applied  -- full, minimal, abbreviated. 
Whereas in the past value 3 (abbreviated) was used only for the
cataloguing of pamphlets, the new cataloguing levels treatment has
expanded its application to include mass market paperback fiction,
ephemera, other minor publications, less significant educational
material and older imprint material.  Explicit identification of
the three levels was requested by users of National Library of
Canada (NLC) records to assist copy cataloguing, workflow
engineering and system processing.  Further details on the
cataloguing levels treatment applied by the NLC is contained in
Attachment 1: LDR-17.


Use of Leader/17 (encoding level):

Discussion paper 93 proposed that the harmonized format adopt a new
encoding level to identify abbreviated level records (represented
by CAN/MARC value 3).  Given that abbreviated level records are
less complete than minimal level records, value 3 allows libraries
to predict what additional data elements are required for their
purposes.  (A listing of the contents of NLC minimal level, NLC
abbreviated, and US minimal level is in Attachment 1: LDR-17.)  In
addition, as the National Library of Canada has used this value in
a limited way for many years but now has recently expanded its use,
the adoption of value 3 would not necessitate costly retrospective
conversion for the Canadian library community.

Although the abbreviated level is less complete than NLC's
definition of the minimal level, it is very close to the current
definition of the USMARC minimal level (code 7).  Series data is
not required in NLC's abbreviated level. 

Use of field 042 (authentication code):

One of the major differences to be made between the current
CAN/MARC minimal and abbreviated levels concerns the
authoritativeness of headings.  Whereas minimal level records are
supported by full authority work for all headings, abbreviated
level records contain headings that reflect established forms to
the extent that such forms were available at the time the record
was created.

The purpose of field 042 is to identify attributes associated with
a record (primarily through identification of a program under which
it was created).  In particular, many of the existing codes defined
in field 042 indicate the extent to which headings have been
verified against existing authority files.

A code in field 042 could be defined to flag National Library of
Canada abbreviated level records as an alternative to using value
3 in Leader/17.  (Leader/17 would contain value 7.)  This could be
less disruptive to the USMARC community; however, the abandonment
of value 3 would have a significant impact on the National Library
of Canada. 

Impact comments:

Adding an encoding level would have very significant impact on U.S.
systems, as has been recently illustrated by the difficulty in
implementing a level for core records, code 4.  Several respondants
cited that large and negative impact.  "This change would have
significant impact and extensive reengineering would be required
and significant conversion and filtering." 

Others questioned the definition of the content of the record.  The
abbreviated record  appears to meet the U.S. National Level Minimal
Level standard.  It would therefore be difficult to distinguish it
from minimal (code 7), and would appear to be redundant.

"Implementing new values in LDR/17 in bibliographic records has a
major impact.  New values require changes to any software that
selects records based on encoding level or that places records in
a hierarchy.  This would require changes to cataloging
authorization capabilities, offline products, batch loading of
files, and duplicate detection and resolution software.  We are not
sure we want to receive these records."  

USMARC Advisory Group comments, July 1996:

Postpone decision until February 1997.  Discussion brought out the
following points:
- Some felt the value could be useful for workflow management.
- An exact definition of the content of an abbreviated record not
needed but the essential difference that differentiates it from
other levels is needed (see new appendix 2: LDR-17); others
requested exact definition (see apppendix 1: LDR-17).
- Easier to use the encoding level than the 042.
- Libraries are currently coding less than minimal as minimal.
- Impacts:  OCLC, major as affects authorization capabilities,
offline products, batch loading, duplicate detection, resolution
software; RLIN, little impact; vendors, minimal impact but want
clearly defined; ISM has already implemented.
- Overall discussion was positive.

Archivists comments, November 1996:

The abbreviated record code could be used by Canadian archivists
for the archival accession record, thus making it unnecessary to
establish a special code in another Leader position.


In the Bibliographic and Community Information formats:

Option 1:

Add value 3 (Abbreviated level) to Leader/17 (Encoding level) with
the following definition:

     Code 3 indicates a brief record that does not meet the
     National Level Bibliographic minimal level cataloging
     specifications.  Headings in the records reflect established
     forms to the extent that such forms were available at the time
     the record was created.

Option 2:

Add the following code to those defined for field 042.  No new
encoding level is defined as the records are considered minimal
level (value 7) in Leader/17.

nlcab - National Library of Canada Abbreviated Level

     Code nlcab signifies that the record is a National Library of
     Canada abbreviated level record.  Name and series headings
     have been checked against NLC's authority file and reflect
     established forms to the extent that such forms were available
     at the time the record was created.


In the Bibliographic and Community Information formats:
  Option 1:  Add value 3 (Abbreviated level) to Leader/17 (Encoding
level) with the following definition:

     Code 3 indicates a brief record that does not meet the
     National Level Bibliographic minimal level cataloging
     specifications.  Headings in the records <may> reflect
     established forms to the extent that such forms were available
     at the time the record was created.


                     ATTACHMENT 1:   LDR/17

Revised levels of cataloguing treatment being applied by the
National Library of Canada (full report is available on the
National Library of Canada's Web site at

Effective April 1, 1996 the National Library of Canada has revised
the levels of cataloguing treatment it assigns to publications
catalogued for Canadiana and the NLC collections. This change is a
result of severe budget cuts coupled with a focus on more timely
catalogue record production in response to a review of users'

The previous cataloguing levels system, introduced in 1991,
included five levels of treatment (full, partial, enhanced minimal,
minimal or abbreviated) which were assigned on the basis of the
nature or perceived value of specific categories of material.  The
revised system includes three levels of treatment (full, minimal,
and abbreviated) and introduces the currency of an item as an
additional criterion for determining its level of cataloguing

The revised system allocates full cataloguing treatment to CIP
material, most government documents in the Depository Services
Program (DSP), items for the National Library's special
collections, and current publications in NLC's areas of special
emphasis (Canadian music, literature and history).  All materials
(with the exception of CIP, DSP and material for special
collections) will gradually drop to lower levels of treatment as
their dates of imprint age.  By reducing the level of cataloguing
treatment in this way, the revised system aims to keep these
publications out of backlogs where, otherwise, they would be
inaccessible for research purposes.

The levels of cataloguing treatment apply to all formats of
material (print, audiovisual, electronic, etc.).  
The data elements provided for Canadian minimal and abbreviated
records reflect the level of cataloguing treatment for original
cataloguing.  Derived records, which may include additional access
points and notes, will be used as the basis of the NLC record
wherever possible.  For example, subject headings may be included
in minimal or abbreviated level records if derived from another

Authority work will be undertaken for all headings used in full and
minimal level records with the following exception: for
non-Canadian entities included in Library of Congress Name
Authority File (LCNA), the form of name as established in LCNA will
be used; equivalent headings will be made as required.  No
authority work will be done for items at the abbreviated level.

The following list compares the requirements for the US NLBR
minimal, NLC mininal, and NLC abbreviated records.

                                                NLR NLC NLC
LEADER                                           M   M   M
DIRECTORY                                        M   M   M
001 CONTROL NUMBER                               M   M   M
003 CONTROL NUMBER INDENTIFIER                   M   M   M

    FIXED FIELD (for serially pub. items)
008 FIXED-LENGTH DATA ELEMENTS                   M   M   M

010 LC CONTROL NUMBER                            A   A   A
016 NLC CONTROL NUMBER                           -   M   M
024 OTHER STANDARD NUMBER                        A   A   A
028 PUBLISHER NUMBER                             A   A   A
040 CATALOGING SOURCE                            M   M   M
041 LANGUAGE CODE                                A   A A(1)
042 AUTHENTICATION CODE                          A   A   A
043 GEOGRAPHIC AREA CODE                         -   A   -
047 FORM OR TYPE OF MUSIC                        -   A   -
066 CHARACTER SETS PRESENT                       A   -   -

055 Canada Call Number                           - M(2)  -
082 DDC Call Number                              - M(2)  -

1XX MAIN ENTRY                                   A   A A(3)

210 ABBREVIATED KEY TITLE                        -   A   A
222 KEY TITLE                                    -   A   A
240 UNIFORM TITLE                                A   A A(3)
245 TITLE STATEMENT                              M   M   M
246 VARYING FORM OF TITLE                        A   A A(6)

250 EDITION STATEMENT                            A   A   A
254 MUSICAL PRESENTATION STATEMENT               A   -   -
255 CARTOGRAPHIC MATHEMATICAL DATA               A -(8)-(8)
256 COMPUTER FILE CHARACTERISTICS                A   -   -
300 PHYSICAL DESCRIPTION                         M   M   M


490 SERIES STATEMENT                             A   A   -

500 GENERAL NOTE                                 - A(7)A(7)
502 DISSERTATION NOTE                            -   A   A
505 CONTENTS NOTE                                -   A   -
508 CREATION/PROD. CREDITS NOTE (for videos)     -   A   -
511 PARTICIPANT OR PERFORMER NOTE (for videos)   A   A   A
511 PARTICIPANT OR PERFORMER NOTE                A   A   -
515 NUMBERING PECULIARITIES NOTE                 -   A A(1)
518 DATE/TIME/PLACE OF EVENT                     -   A   -
    (for music, recordings, videos)
533 REPRODUCTION NOTE                            A   -   -
534 ORIGINAL VERSION NOTE                        -   A A(1)
538 SYSTEM DETAILS NOTE                          -   A A(1)
    (for comp. files, videos)
546 LANGUAGE NOTE                                - A(4)A(4)

700-740  Added Entries                           -   A A(5)
    (for newspapers)
780 PRECEDING ENTRY                              A   A   A
785 SUCCEEDING ENTRY                             A   A   A
773 HOST ITEM ENTRY                              A   -   -

8XX Series Added Entries                         -   A   -
856 ELECTRONIC LOCATION AND ACCESS               -   A A(1)

Authority Record                                 -   M   -

(1) Required for Canadian Union Catalog.
(2) For certain categories of materials.
(3) If easily determined.
(4) for tete-beche publications.
(5) Include one if no main entry, or primary relationships.
(6) For parallel title.
(7) Only specific categories of 500 notes are required:
    All - source of title proper. 
    Serials - basis for description.
    Music and Sound Recordings - label name and issue number, form
    of composition and medium of performance, accompanying
    material, notes for Canadian performers, composers, and
    Videorecordings - Publisher number for videorecordings, Notes
    for Canadian perfoemers, composers, and subjects.
(8) NLC does not catalogue cartographic material, therefore
    requirements for this type of material have not been included.


                      ATTACHMENT 2:  LDR/17

Possible general specification of content of levels.

The following data elements would be required if applicable.

     008 fixed field, not all values
     applicable standard numbers (if readily available)
     statement of responsibility (if known)
     *No authority records required to be made nor must heading be
     checked for authorixed forms.
Minimal - Data listed under Abbreviated, PLUS:
     main entry
     applicable material specific areas 
     a few notes
     preceding/succeeding entries (serials)
     *No authority records required to be made but all headings
     looked up and authorized forms used where they exist.
Core - Data listed under Abbreviated and Minimal, PLUS:
     008 fixed field, all values
     other applicable titles
     limited subjects
     limited added entries  
     *Complete authority control.
Full - Data listed under Abbreviated, Minimal, and Core, PLUS:
     all applicable fixed fields (006, 007, 008)
     all applicable notes
     all applicable subjects
     all applicable added entries  
     *Complete authority control.

PROPOSAL 96-8R/007-01 (Globe):  Add Values to Specific Material
Designation for Globes

DATE:     May 24, 1996 
REVISED:  August 2, 1996

SUMMARY:  Add values to 007/01 (Globe, Specific Material
          Designation) in the Bibliographic and Holdings formats
KEYWORDS: 007/001 (Globe); Specific Material Designation


At present the following values are defined in the USMARC format
for 007/01 (Specific Material Designation)
     a    Celestial globe
     b    Planetary or lunar globe
     c    Terrestrial globe
     z    Other
Canada requests that the following values be added
     e    Lunar globe (earth moon)
     u    Unknown


The proposed addition of value e for Lunar globe (earth moon)
should be modified if added to USMARC.  Since lunar can be used to
refer to any moon, no matter which planet it orbits, and since the
idea is to easily identify globes of Earth's moon, the value should
be defined as Earth moon globe rather than Lunar globe, making the
list of values:
     a    Celestial globe
     b    Planetary or lunar globe (other than Earth)
     c    Terrestrial globe
     e    Earth moon globe
     z    Other
Since globes of the Earth (Terrestrial globe) already have their
own value, there should be no problem in having a separate value
for our moon, as long as it is clear that it does not include
globes of moons of other planets.


In the Bibliographic and Holdings formats:

Define for 007/01 (Globes):
     e    Earth moon globe
     u    Unknown
Change the definition of current code b:
     b    Planetary or lunar globe (other than Earth)

PROPOSAL 96-8R/007-02 (All):  Change Field 007/02 

DATE:     May 24, 1996 
REVISED:  August 2, 1996

SUMMARY:  Make 007/02 obsolete or define value # (No information
          given) in the Bibliographic and Holdings formats

KEYWORDS: 007/02; Original vs. Reproduction Aspect



At present the following values are defined in the USMARC format
for 007/02 (Original vs. Reproduction Aspect)
     f    Facsimile
     o    Original
     r    Reproduction
     u    Unknown
This position is the same for all the 007 fields, and contains the
same values.  The usefulness of the information has been questioned
and the values have been difficult to distinguish.  The format
therefore advises use of the fill character instead of one of the
defined values.  

CAN/MARC does not have the position defined, so the position
contains a blank.


Perhaps the time has come to make the position definition obsolete
so that the documentation does not have to continue to carry it. 
There might also be a possibility (in the next century) of making
use of the position.  


In the Bibliographic and Holdings formats:

Option 1:  Define the value "blank"
          #    No information given

Option 2:  Make the definition of the position obsolete

     Option 2 as stated.

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