NAME: Coding Leader/06 and Leader/08 for Archival Material
SOURCE: Society of American Archivists, Committee on Archival Information Exchange
SUMMARY: This paper explores issues remaining from the second phase of Format Integration concerning the use of codes "p" and "t" in Leader/06 (Type of record) and the new Leader/08 code "a" (Type of control--Archival control). It proposes the following changes: a change in definition to Leader/08 code "a" for clarification; making code "t" (Manuscript language materials) obsolete in Leader/06 and using code "a" instead; redefinitions of codes "a" and "p" in Leader/06; renaming the 008 for Books to "Textual (Nonserial); and deleting field 006 for Mixed material. Other questions for further consideration are posed, including broadening the use of code "p" for other than archival mixed materials and reviewing the use of unknown and not applicable values in the 008/006 fields to accommodate collective description of all types of material.
KEYWORDS: Leader/06; Leader/08; Mixed Materials; Type of Record
RELATED: 97-3 February 1997)
12/15/96 - Forwarded to USMARC Advisory Group for discussion at the 1997 Midwinter MARBI meetings.
2/16/97 - Results of USMARC Advisory Group discussion - Approved in part. The redefinition of Leader/08 value a and of Leader/06 value p was approved. Leader/06 code t was not made obsolete and code a was not redefined because of concerns about how to identify material that is manuscript but not controlled archivally (i.e. not described according to archival rules, and thus not value "a" in Leader/08) if code t were to be made obsolete. Codex and single manuscripts are the primary focus of concern. In addition, participants felt that all the manuscript codes should be addressed at once. LC should work with the archival and manuscript communities to bring back a proposal dealing with the remaining issues in the paper: making the three manuscript codes obsolete and finding a place to identify codex manuscripts.
2/25/97 - Results of final LC review - Agreed with the MARBI decision.
PROPOSAL NO. 97-7: Coding Leader/06 and Leader/08 1. INTRODUCTION The implemention of Phase 2 in March and April of 1996 of Format Integration has resulted in unanticipated and unintended consequences for the archival community and those searching online catalogs for materials in archival collections. While the intention behind the separation of type of control from type of record was a sound one, the definitions under L/08 for archival control and for codes t (manuscript language material) and p (mixed material) in L/06 have created confusion for catalogers and utilities alike. The shift in designation of archival materials from the old L/06 code b to the new L/08 code a was not made clear in the USMARC documentation. Moreover, the linking of L/06 code t to the 008 sequence labeled "books" and the resulting workform and displays generated by the utilities were unacceptable to archival catalogers as conceptually inappropriate and potentially misleading to users. There has been much discussion regarding the impact of format integration within the archival community over the last six months. As the body within the Society of American Archivists (SAA) responsible for monitoring descriptive standards, the Committee on Archival Information Exchange (CAIE) has worked toward a resolution of the dilemma on behalf of the U.S. archival community. The need to address format integration problems, along with the desire to come to agreement with the Canadian archival community on issues relating to archival description presented in Discussion Paper 93 and Proposal No. 96-8 (CAN/MARC Changes for MARC Format Alignment), led CAIE to request funding from SAA for a special meeting. This meeting was held in Toronto on November 1-2, 1996, with the following persons in attendance: Canadian representatives: Wendy Duff, chair, Canadian Committee on Archival Description Cynthia Durance, National Archives of Canada Kent Haworth, Standards Committee, Canadian Council on Archives Mireille Miniggio, recorder (CCAD) Margaret Stewart, National Library of Canada Hugo Stibbe, CCA Standards Committee representative to the Canadian Committee on MARC (CCM) US representatives: Michael Fox, SAA liaison to CC:DA Rebecca Guenther, LC Network Development/MARC Standards Office Steve Hensen, CAIE liaison to SAA Council Kris Kiesling, chair, CAIE Rutherford Witthus, SAA liaison to MARBI This proposal has the full support of the above-listed representatives of both the U.S. and Canadian archival communities. 2. LEADER/08 TYPE OF CONTROL The following is the existing definition of archival control in Leader/08 of the USMARC Bibliographic Format: a - Archival control "Code a indicates that the item is under archival control. Archival control usually involves special handling and may include restrictions in access to the item. All forms of material can be controlled archivally." Recommendations: a. That the value of code a in Type of Control be changed from Archival Control to Archival. b. That the definition of code a should read: "Code a indicates that the material is described according to archival descriptive rules, which focus on the contextual relationships between items and on their provenance rather than on bibliographic detail. The specific set of rules for description may be found in 040 $e. All forms of material can be controlled archivally." Rationale: The slight change in the value name simply eliminates redundancy. However, the definition provided in the USMARC documentation does not reflect the intended purpose of the byte. While it may have been the intention of the parties involved in earlier Format Integration discussions to retain the functionality formerly found in L/06 code b, in practice this has not proven to be the case. The proposed new definition provides an unambiguous interpretation of the character byte and should restore the desired functionality. While it may be true that materials under archival control involve special handling or have restricted access, archival control is more appropriately conceived as a method of managing and describing materials wherein the focus is on the contextual relationships between the items and on their provenance, rather than on bibliographic detail. Several sets of archival descriptive rules have been developed that enable repositories to catalog their holdings archivally and to use the MARC format so the records will collocate with those for related library holdings. These rules include Archives, Personal Papers, and Manuscripts (appm), Graphic Materials (gihc), Oral History Cataloging Manual (ohcm), Archival Moving Image Materials (amim), and the Canadian Rules for Archival Description (rad). By designating in the 040 field the descriptive cataloging code followed, institutions can apply archival control to a wide variety of types of materials, whether they manifest themselves as large collections or single items, and whether they are published or unpublished. While there are currently no specific rules for the collective description of books or other materials not traditionally thought of as "archival,"APPM can logically be extended to describe these types of materials, or the Library of Congress Descriptive Cataloging Manual guidelines on Collection-Level Cataloging (DCM C14, February 1996) could be applied. Therefore, by using L/08 code a to designate archival control, institutions will define materials as archival by the manner in which they are described. It follows that systems should use the code to limit online searches for archivally controlled materials. The code has the further benefit of allowing Canadian repositories to separate records for archival materials from those for bibliographic materials, which are placed in separate catalogs in Canadian institutions. 3. LEADER/06 TYPE OF RECORD In the USMARC Bibliographic Format, Leader/06 currently has the following definitions: a - Printed language material Code a indicates that the content of the record is for non-manuscript language material. Code a is also used for microforms that are basically textual in nature, whether reproductions from print or originally produced. Manuscript language material uses code t. p - Mixed materials Code p indicates that the content of the record is for two or more forms of material that are usually related by virtue of its having been accumulated by or about a person or body. No one form of material in this group is emphasized or predominates. The intended primary purpose is other than for instructional purposes (i.e., other than the purpose of those materials coded as o--Kit). This category includes archival and manuscript collections of mixed types of materials, such as textual materials, photographs, and realia. t - Manuscript language material Code t indicates that the content of the record is for manuscript language material or a microform of manuscript language material. This category is applied to items for language material in handwriting, typescript, or computer printout including printed materials completed by hand or by keyboard. At the time it is created this material is usually intended, either implicitly or explicitly, to exist as a single instance. Examples include marked or corrected galley and page proofs, manuscript books, legal papers, and unpublished theses and dissertations. Recommendations: a. That code t, Manuscript language material, be rendered obsolete or deleted. b. That code a, Language material, be renamed Textual material and be defined as follows: Code a indicates that the content of the record is for material that is judged to be primarily textual. Also use for microforms that are basically textual in nature, whether reproductions or originally produced. c. That code p, Mixed materials, be redefined as follows: Code p indicates that there are significant materials in two or more forms that are usually related by virtue of their having been accumulated by or about a person or body. The intended primary purpose is other than for instructional purposes (i.e., other than the purpose of those materials coded as o--Kit). This category includes archival fonds and manuscript collections of mixed forms of material, such as text, photographs, and sound recordings. Rationale: The phrase "Manuscript language material" is ambiguous and misleading. Searchers may not be aware that the format's definition encompasses typescript and computer printed as well as handwritten materials. Catalogers may have difficulty in determining what defines a "manuscript," and may use the code inappropriately. Some videorecordings could be considered "language material," but would not appropriately be coded as such. The format's other defining characteristic, existence as a single instance, is highly problematic in an age of personal desktop publishing and a technological environment where the virtual publication of a single document via the Internet is widespread. Moreover, many archival and manuscript collections contain materials that were not necessarily intended to exist as a single instance but are nevertheless controlled archivally. Additionally, the distinction between manuscript and published materials for this leader byte has been made only for language materials, music, and cartographic materials. If the distinction between published and manuscript is useful, all other types of material in this byte (e.g., projected media, musical and nonmusical sound recordings, two-dimensional non-projectable graphics, computer files, etc.) should receive an additional code to designate manuscript material. It is recommended, rather, to eliminate the separate codes for manuscripts altogether. Therefore, if code t is made obsolete or deleted (and if changes are made to the Books 008, see below), code a can encompass all textual material. It may soon also include electronic textual files, depending on the outcome of Proposal No. 97-3. Archivists could choose to use a redefined code a for collections or fonds that consist entirely of textual materials (e.g., letters, meeting minutes, clippings, legal documents, etc.), for unpublished dissertations or medieval manuscripts, or for groups of materials that are primarily textual, but may contain incidental items in another format. If the deletion of code t and the changes to code a are implemented, search interfaces and OPAC displays ought not to use code a as equivalent to "books" in displays and other search interfaces. The rewording of the definition for code p (Mixed materials) effectively changes the standard that determines when to call a collection "mixed." The words "predominance" and "emphasized" in the current definition imply physical quantity. By using the word "significant," it is left to the repository to determine whether the coding decision should be based on the quantity of the material, the collection focus, or the intellectual importance of the material. Code p could also be used by repositories to describe materials for which they simply do not want to designate a predominant form of material. By extension, these recommendations suggest that codes d (Manuscript music) and f (Manuscript cartographic material) ought to be reconsidered by the music and cartographic communities, with a view toward declaring them obsolete as well. It is already possible to code a manuscript in the Maps 008, positions 33-34 (code e), and perhaps a new code could be created for manuscripts in the Music 008, position 23 (Form of item) or in an unused position. 4. 008 FOR BOOKS Recommendations: a. That the name of Field 008 be changed from Books to Textual (nonserial). b. That a value of "unknown" or "not applicable" be defined for each of positions 18-34 to accommodate the coding of textual materials that are not in a printed monograph format. Rationale: With the changes suggested for L/06 above, this field would encompass more than published monographs (Books). It would be both wrong and misleading, particularly in search displays and indexing, to continue to use the term "books." Systems will have to look elsewhere in the record to determine a more specific form of material to generate the appropriate online displays. The parallel sequence in field 007 is named Text. If passed, Proposal No. 97-3 would result in some computer files also being encoded as Textual material in Leader 06, and subsequently associated with this 008 sequence. It is more accurate to refer to "text" in the Internet environment than "books." In both current implementations and this proposal, this 008 sequence is used to code information for other than published works. However, most of the character positions in this sequence include values that are relevant only to individually issued monographs. Some contain "unknown" or "not applicable" values as well. These need to be added to all other character positions where appropriate so that collections and non-published works may be correctly coded. 5. 008 FOR MIXED MATERIALS It was initially considered that the 008 for Mixed materials be made obsolete. However, the archival community would like to investigate the possibility of making this field more useful. If other communities wish to use the L/06 Code p (Mixed material), additional codes may need to be defined for the 008 Mixed sequence. [Note that Proposal No. 97-3 (Redefinition of Code "m" (Computer file) in Leader/06 in the USMARC Bibliographic Format) suggests broadening this definition to include types of mixed material other than archival, including multimedia. If approved, the definition could be further revised to remove "that are usually related by virtue of their having been accumulated by or about a person or body".] 6. 006 FOR MIXED MATERIALS It was noted that "mixed" as an additional physical characteristic is a logical inconsistency, and therefore should be deleted. It is believed that no one is currently using this sequence. 7. QUESTIONS FOR FURTHER CONSIDERATION: If Proposal No. 97-3 to change L/06 code m (Computer files) is approved, it is suggested that the phrase "regardless of carrier" be added to the first sentence of the definition of L/06 code a ("Code a indicates that the content of the record is for textual material regardless of carrier.") to further clarify the meaning of the code. The suggested redefinition of code p in L/06 indicates that it should be used primarily for archival materials ("...usually related by virtue of its having been accumulated by or about a person or body"). If other communities are interested in using or expanding this code for other-than-archival materials, the archival communities would have no objection to removing the phrase from the definition of the code. See also Proposed Changes in Proposal No. 97-3. As most of the 008/006 sequences are item-oriented, the request to add values of "unknown" or "not applicable" to the proposed Textual (non-serial) 008 sequence (formerly Books 008) could be extended to all the 008 and 006 sequences (where they don't already exist) for all formats, to accommodate the collective description of all types of materials. The term "manuscript language material" is used in several places in the USMARC documentation. For example, the definition of code t (Text) for the 007/00 reads, "Code t indicates that the item is text, defined as printed or manuscript language material that is accessible to the naked eye (e.g., a book, a pamphlet, a broadside)." This term is indiscriminate, and we recommend that it be expunged from the documentation. 8. PROPOSED CHANGES The following is presented for consideration: - In the USMARC Bibliographic Format, redefine Leader/08 code a as follows: a- Archival Code a indicates that the material is described according to archival descriptive rules, which focus on the contextual relationships between items and on their provenance rather than on bibliographic detail. The specific set of rules for description may be found in 040 $e. All forms of material can be controlled archivally. - In the USMARC Bibliographic Format, make Leader/06 code t obsolete. - In the USMARC Bibliographic Format, redefine Leader/06, codes a and p as follows: a - Textual material Code a indicates that the content of the record is for material that is judged to be primarily textual. Also use for microforms that are basically textual in nature, whether reproductions or originally produced. p - Mixed material Code p indicates that there are significant materials in two or more forms that are usually related by virtue of their having been accumulated by or about a person or body. The intended primary purpose is other than for instructional purposes (i.e., other than the purpose of those materials coded as o--Kit). This category includes archival fonds and manuscript collections of mixed forms of material, such as text, photographs, and sound recordings. - In the USMARC Bibliographic Format, redefine the 008 for Books to "Textual (Nonserial)" - In the USMARC Bibliographic Format, delete field 006 for Mixed Materials.