Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 1
rev. May 2009
Mode Being Described: Full Level
SUMMARY DESCRIPTION
The most complete form of general cataloging done.
RESOURCES APPLIED TO
Those resources not otherwise designated for another mode.
CHARACTERISTICS
Exemplifies the conventions and practices stated in the relevant documentation as applicable,
resulting in a record containing a full complement of data elements relevant to the resource being
cataloged, including a full description and an accessing structure reflecting both subject and
descriptive accesses (02X, 050, 1XX, 240, 245, 4XX, 6XX, 7XX, and 8XX). Access through
additional classification (060, 070, 082) and subject heading systems is systematically provided
in selected subsets of records.
These are the traditional conventions of bibliographic control developed over time within the
United States under the aegis of the library community, particularly the American Library
Association, various special library associations, the Library of Congress, the National
Agricultural Library, and the National Library of Medicine.
The bibliographic record serves as a surrogate for a particular resource and the aggregate of
bibliographic records constitutes the catalog. In general, each bibliographic record contains a
description of a resource as a means of identifying it and distinguishing it from other resources.
The record contains the means of providing access through various avenues, including author and
other entities associated with the resource or bearing a relationship to other resources in the
catalog, title (including uniform title to collocate those resources issued under varying titles),
series, and subject. Prior to June 1, 2006 decisions about series were made with respect to
analysis, classification, and a controlled series access point. Beginning June 1, 2006 the policy
has been, with certain exceptions, to analyze in full, classify separately, and not provide a
controlled series access point. Subject access is through subject headings and classification.
Classification groups resources by topic and is combined with a system of numbering individual
resources uniquely for purposes of physical access and inventory control. Headings are under
authority control, which insures that particular iterations for authors, etc., subjects, and series are
distinct for entities/concepts that are separate but are consistent for multiple iterations of the same
entity/concept.
DOCUMENTATION
Descriptive cataloging aspects:
Anglo-American Cataloguing Rules, including the rules for special materials developed
for use in conjunction with AACR2
Library of Congress Rule Interpretations
Descriptive Cataloging Manual
CONSER Editing Guide
CONSER Cataloging Manual
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Mode Being Described: Full Level (continued)
Subject cataloging aspects:
Library of Congress Subject Headings
Subject Headings Manual
Free-Floating Subdivisions: An Alphabetical Index
CPSO Summary of Decisions, Editorial Meeting
Classification/Inventory Control Aspects:
Library of Congress Classification
Classification and Shelflisting Manual
Dewey Decimal Classification
Machine-Readable Cataloging Aspects (MARC):
MARC 21 Format for Bibliographic Data
MARC 21 Format for Authority Data
MARC 21 Format for Holding Data
MARC Code List for Countries
MARC Code List for Geographic Areas
MARC Code List for Languages
MARC Code List for Organizations
MARC Code List for Relators, Sources, Description Conventions
MARC 21 Specifications for Record Structure, Character Sets, Tapes
Page 2
rev. May 2009
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 3
rev. May 2009
Mode Being Described: Copy Cataloging
SUMMARY DESCRIPTION
Cataloging that uses bibliographic records prepared by another agency with limited
changes made by LC that relate to accuracy, substance, or retrievability, not style.
RESOURCES APPLIED TO
Those resources for which cataloging copy is available from OCLC or other
bibliographic databases.
CHARACTERISTICS
Exemplifies the traditional conventions of bibliographic control as stated for full level, with the
exceptions noted below.
Involves the WYSIWYG concept (what you see is what you get) with modifications
made to egregious errors. The record may contain elements that LC does not employ and
may not necessarily reflect LC practice in all aspects. Headings are under authority
control and should fit into the currently existing heading structure of the catalog.
Authority records are created for headings when required. LC does not attempt to ensure
that the records adhere to all conventions of full cataloging. Copy cataloging records
should contain both an LC call number and at least one LC subject heading in those cases
for which LC cataloging policy calls for subject headings.
The value in 008/39 (Cataloging source) is the value appropriate to the library that originally
created the bibliographic record. LC adds the code "lccopycat" in field 042 (Authentication
code).
DOCUMENTATION
In addition to the documentation cited for full level, the following applies:
Descriptive Cataloging Manual B13
VARIATIONS
See the next section on Encoding Level 7 Copy Cataloging (EL 7 lccopycat)
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 4
rev. May 2009
Mode Being Described: Encoding Level 7 Copy Cataloging (EL 7 lccopycat)
SUMMARY DESCRIPTION
A special form of copy cataloging that was implemented beginning on March 1, 2000. It takes its
name from the fact that encoding level 7 (Minimal level) is applied to records imported and done
as LC copy cataloging (042 = lccopycat). This allows a section to take a flexible approach to
copy cataloging without having a less-complete LC-issued record overlay an existing record in
other databases, particularly in OCLC. This allows LC to adjust the complements of name and
subject headings without having a negative impact on existing records in other systems. It also
allows a section to follow minimal level cataloging conventions with respect to authority work
(resulting in the need to create fewer authority records).
RESOURCES APPLIED TO
At the discretion of a section/division.
CHARACTERISTICS
EL 7 lccopycat records may be less complete than standard copy cataloging records with respect
to:
1)
2)
3)
4)
fixed fields;
authority work;
the complement of 7XX added entries;
the complement of 6XX subject headings.
The objective is still to “do no harm,” i.e.:
a)
b)
to ensure that the description of a resource accurately reflects the resource such
that an observer of the record can determine whether it fits another copy of the
resource that is in hand;
to fit the headings on a particular record within the catalog.
Value 7 in the encoding level (instead of “blank”) is the signal that some of the fixed
fields may not have been checked/supplied and that some of the name headings may not be represented
by authority records. While it is possible that an imported record that is a candidate for EL7 lccopycat
treatment may turn out to exemplify full level cataloging, sections choosing this approach may decide, as
a matter of expediency, to apply the procedures to all copy cataloging or to all copy cataloging from a
particular source, since the objective is to streamline procedures in an attempt to realize increased
reductions in arrearages.
DOCUMENTATION
Descriptive Cataloging Manual B13.10 (Appendix 7)
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 5
rev. May 2009
Mode Being Described: PCC Core Level Cataloging
SUMMARY DESCRIPTION
Cataloging that contains a complement of data elements less than that for full level cataloging but
more than that for minimal level cataloging. Details of all the core record standards are provided
at: http://www.loc.gov/catdir/pcc/bibco/coreintro.html. As that site indicates, "The Core Record
Standard for Books was defined in 1994 by a Task Group appointed by the Cooperative
Cataloging Council, now known as the Program for Cooperative Cataloging (PCC)." As the site
further indicates, subsequent core record standards were developed "by task groups of specialists
in the cataloging of non-book format and nonroman alphabet resources. In 2002, the PCC
Standing Committee on Standards completed an extensive project to review the original core
record standards and to harmonize their contents, language, and presentation style. Differences in
requirements among the various cores were retained when deemed appropriate."
RESOURCES APPLIED TO
At the discretion of each PCC member. LC applies core level to records for books (roman and
nonroman scripts), printed and manuscript music, music and non-music sound recordings. This
application is general except for resources destined for reference assignment or some other level
of cataloging such as minimal level.
CHARACTERISTICS
All access points are in authorized forms and supported by authority work. LC applies certain
data elements in addition to those called for in the core standards. These additional data elements
are as follows:
008 all fixed fields are coded as in full cataloging
024 0 (International Standard Recording Code), if present on resource
041 (Language code)
043 (Geographic area code)
050 (Library of Congress call number) alternate number
082 (Dewey Decimal call number) as applicable
240 (Uniform title) in all cases as applicable
504 (Bibliography note)
in 6XX (subject access) fields, multiple headings may be applied
when needed to represent a compound or multi-element topic,
when reciprocal headings are used, or when a standard array is
prescribed
In addition to limiting notes to those that support identification, as called for in the core
standards, LC also includes notes that support completeness (e.g., loose material
inserted). For JACKPHY resources, all data occurring in other title information and
statements of responsibility are included in full romanization. In fields 100-130, 600651, and 700-730, paired nonroman script fields are assigned only in cases of problematic
romanization or in cases in which such fields support ready identification of a person or
entity.
DOCUMENTATION
In addition to the documentation cited for full level, the following applies:
Descriptive Cataloging Manual B16
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 6
rev. May 2009
Mode Being Described: Minimal Level Cataloging (MLC)
SUMMARY DESCRIPTION
Cataloging that exemplifies limitations in the descriptive, subject, and classification aspects and
also in the amount of authority work done.
RESOURCES APPLIED TO
Originally, books assigned a cataloging priority of 4 and books in the processing stream over
three years. Subsequently modified to apply to resources at the discretion of divisions/sections as
needed for arrearage reduction. Applied also to other types of resources designated to receive a
form of minimal level cataloging.
CHARACTERISTICS
Exemplifies the traditional conventions of bibliographic control as stated for full level, with the
exceptions noted below.
MLC was designed as a means of providing access to 1) resources worth retaining in the
collections but not worth the expense of full cataloging and 2) a very large number of resources in
arrearages that were unavailable to users. Though represented by a less than full catalog record, it
was judged that the power of the online retrieval system would, to some extent, be able to
compensate.
The data elements basic to the descriptive aspect (020, 1XX, 245, 250, 260, 300, 490) have
always been included. Although some records for books were input prior to the implementation
of AACR2, records input after December 31, 1980, generally reflect AACR2. As the MLC
program developed, procedures were adopted to insure that headings in MLC records are
consistent with headings used in the current component of the online catalog to the extent that the
former are represented by an existing authority record or are used in another catalog record in the
online catalog. Headings without such representation are formulated according to AACR2. Prior
to June 1, 2006, series follow the practice stated in a series authority record or another catalog
record; otherwise they are untraced. After June 1, 2006, series are untraced. The goal is to
integrate MLC records into the catalog without creating conflicts or discrepancies.
The following is a statement of limitations; see also the section on VARIATIONS for a
description of the evolution of this mode.
Variable fields
050
X30
240
5XX
6XX
653
7XX
8XX
instead of classification, a shelf number designed to facilitate compact shelving;
provision for classification/call number introduced in November 1990 (see
Enhanced MLC under VARIATIONS)
used after September 1986
used after September 1986
originally none; selected use after September 1986
none; provision for limited use introduced in November 1992 (see Enhanced
MLC under VARIATIONS)
provision for uncontrolled subject words introduced in June 1990
originally none; provision for one 7XX when main entry under title introduced in
1984; expanded to include 1 7XX when main entry is 1XX and 2 when entry
under title in September 1986
originally none; 440, 8XX used after September 1986 until June 1, 2006
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 7
rev. May 2009
Mode Being Described: Minimal Level Cataloging (MLC) (continued)
Fixed fields
Initially, very limited. In 1984 it was decided to use the BOOKSM file for creating MLC
records. Default values were assigned by the input/update system; they remained and
may or may not have been correct for a particular resource being cataloged. Values in the
following fixed fields are actively assigned to reflect the resource:
Encoding level (originally 5); 7 after September 1986
Language code
Intellectual level ("j" if intended for children through age 16); used after
September 1986
Type of date code; used after September 1986
Date of publication--date 1
Date of publication--date 2 as applicable; used after September 1986
Country of publication code; used after September 1986
Form of reproduction code--microforms; used after September 1986; later
changed to Form of material; only value used is for microforms
DOCUMENTATION
In addition to the documentation cited for full level, the following applies:
Descriptive Cataloging Manual B11 (books)
http://www.loc.gov/staff/idt/ABAW-P/SER/SER-CAT/CATTYPE-Minimal/pdf (serials)
Production Level Cataloging for Music, rev. September 1992
Subject cataloging aspects:
Production Level Cataloging for Music, rev. September 1992
Guidelines for Enhanced MLC, rev. March 8, 1993
Classification/Inventory Control Aspects:
Descriptive Cataloging Manual B11 (books)
http://www.loc.gov/staff/idt/ABAW-P/SER/SER-CAT/CATTYPE-Minimal/pdf (serials)
Production Level Cataloging for Music, rev. 1992
Guidelines for Enhanced MLC, rev. March 8, 1993
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 8
rev. May 2009
Mode Being Described: Minimal Level Cataloging (MLC) (continued)
VARIATIONS
Books
First phase (1980-1983)
In 1980, staff began inputting MLC records for books into the Automated Process
Information File (APIF I) using the APIF input/update system under the Multiple Use MARC System
(MUMS). Processing Services memorandum, No. 125, September 1982, set forth minimum components
for MLC cataloging based on recommendations agreed to by the Association of Research Libraries at a
meeting on "National Level Bibliographic Record–Books" in January 1979. There was limited content
designation; series classified as a collection and multipart monographs were excluded except for
microforms.
Second phase (1984-1985)
Because the APIF system allowed limited content designation and could not accept added
entries, the Library decided in 1984 to provide enhanced MLC records (called MLC+) that were created
directly in the BOOKSM file. This made it possible to provide full and correct content designation. At
the same time it was decided to include the following additional data elements as applicable:
1)
2)
coding additional fixed fields (juvenile; type of date code; date 2; country of
publication code); providing one 7XX when entry under 245; providing 8XX that
differ in form from 4XX
authority work expanded to include that needed to break conflicts.
Third phase (1986-2005) - called Enhanced MLC or MLC +
In 1986 MLC was incorporated into the other duties of descriptive cataloging staff and at
the same time various expansions were made:
1)
2)
3)
the scope was expanded to include multipart monographs classified separately
the complement of data elements was expanded to include uniform titles (240;
X30) and certain kinds of notes; additional added entries (one when main entry is
under a 1XX heading and two when main entry is under title)
the authority work done for MLC was expanded from
a)
b)
that needed to break conflicts to include tracing a cross reference when
the heading used differs significantly from the form in the resource and
that needed for uniform titles, and provision for some series authority
work.
In 1989 records began to be input into an upgraded APIF called APIF II.
Varying practices (1986-2005)
In the years since 1986, MLC has been "enhanced" at different times and in different
projects. Such enhancements include:
1)
2)
in June 1990, began use of field 653 (uncontrolled subject words)
in November 1992, introduced limited subject/classification aspects, also called
"Enhanced MLC,"; usually based on an external source record
a)
at a minimum an 050 or at least one 6XX; other subject aspects could be
supplied (043; fixed fields (conference publication; juvenile; fiction;
biography; nature of contents))
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 9
rev. May 2009
Mode Being Described: Minimal Level Cataloging (MLC) (continued)
b)
c)
d)
e)
3)
level of subject analysis was at the discretion of a particular section
whatever level, insured that subject headings used exemplified current
subject heading practice
authority work was done for family names (600 field) and those
categories of topical subject headings (650 field) and non-jurisdictional
geographic 651 fields that required it
050 from an external source record was used or was assigned in a
section; when assigned, insured that the class number corresponded to
the primary subject of the resource, as shown in the first 6XX field
retained from source record or assigned in a section; reflected current
practice in all other aspects
the scope of MLC was expanded to include applying 050 call number to analytics
in collected sets, provided the analytic were initially designated for MLC.
In 2000 some divisions began using encoding level 7, which had previously been used
only for MLC cataloging, in copy cataloging records (see the section "Encoding Level 7 Copy Cataloging
(El 7 lccopycat)" above.
Fourth Phase (2006Beginning in July 2006, in a move to lessen the work on hand in anticipation of the ABA
reorganization and to reflect LC's change in series policy implemented June 1, 2006, MLC guidelines
were revised to limit MLC to the "basic" approach, i.e., to discontinue the approach that provides for
giving either an LC call number or a subject heading or both. Providing access through controlled forms
of series was discontinued. In addition, the revision incorporated measures in support of storing and
preserving resources.
Special categories of MLC
CJK
Books in Chinese, Japanese, and Korean; records input into RLIN and contained both vernacular
and roman data; available in LC in JACKPHY read-only file (roman data only); no value set in modified
record fixed field. Loaded into the LC ILS in August 2007 upon the incorporation of the Research
Libraries Group (RLG) into OCLC.
Overseas offices
The records may contain an internal control number in 025 (Overseas Acquisitions Number), a
summary note, and a language note as appropriate; records input prior to 1987 generally contain a full
complement of notes and values assigned in the full complement of fixed fields (except that records for
resources in nonroman scripts input after July 1985 do not contain value "o" in 008/38 (Modified record).
Pamphlets
The Bound Pamphlet Project is an effort to represent approximately 30,000 pamphlets relating to
American history that form various pamphlet collections housed in the Rare Book and Special Collections
Division; it is estimated that about 20,000 of these will be MLC records; they contain a regular call
number (the LC call numbers assigned to the pamphlets in these collections).
Maps
The basis for these records is the National Level Bibliographic Record--Maps as stated in the
MARC 21 Format for Bibliographic Data; the records contain a regular LC call number followed by a
space and the letters "MLC"; limited subject analysis is applied (each record contains at least one 6XX);
added entries (except for series) are rarely made; values in the full complement of fixed fields are
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 10
rev. May 2009
Mode Being Described: Minimal Level Cataloging (MLC) (continued)
assigned; atlases are excluded from MLC.
Microforms
MicRR -
Overseas
offices -
PMO -
Records for microforms housed in the Microfilm Reading Room were
initially prepared and input by staff in the Microform Processing Unit of
the MicRR, later transferred to the then Special Materials Cataloging
Division (SMCD); records input prior to March 1985 reflect the
limitations of APIF I; the records contain a microform shelf number in
050, a physical description fixed field (007), and a reproduction note
(533).
The records may contain an internal control number in 025 (Overseas
Acquisitions Number), a summary note, and a language note as
appropriate; in addition, the records contain a microform shelf number in
050 (prior to 1982 the prefixes "SEI" (Indonesia), "SEM" (Malaysia),
and "SES" (Singapore) were used in addition to the other components of
those numbers), a physical description fixed field (007), and a
reproduction note (533); records input prior to 1987 generally contain a
full complement of notes and values assigned in the full complement of
fixed fields (except that records for resources in nonroman scripts input
after July 1985 do not contain value "o" in 008/38 (Modified record).
Records for microform replacement copies of brittle books were prepared
and input by staff in the then Preservation Microfilming Office; records
input prior to March 1985 reflect the limitations of APIF I; the records
contain a microform shelf number in 050, a physical description fixed
field (007), and a reproduction note (533); in addition, they contain a
note indicating the call number of the macroform that has now been
replaced, and may contain a note indicating that a particular type of
material (e.g., maps. illustrations) is preserved in a specific LC custodial
division. After several years. responsibility for creating these records
was transferred to the then Special Materials Cataloging Division
(SMCD).
Music
Music resources have traditionally comprised books about music, printed music (scores), and
sound recordings. At the request of the Music Division, books about music have never been provided
minimal level cataloging. Scores and sound recordings, in addition to full and core levels, have been
variously cataloged as “Minimal Level” (through 1990), “Production Level” (through 1999), and “Brief
Record” (2000 to date). In general, these workflows have been employed as part of a special project or a
unique arrearage reduction effort. The record content and level of authority record support have varied
greatly within and among these workflows. These variations, established cooperatively with custodial
divisions and the Policy and Standards Division, were the result of independent considerations of the
access needs for particular resources.
In general, these less-than-full-level workflows have followed the principles supporting the
conventions laid down for other formats. MARC 21 formats for printed music and sound recordings,
however, require additional fixed and variable fields not found in other formats. The
minimal/production/brief records all employ the additional fields mandatory for the format – although, on
occasion, default values substitute for individually determined content. Fixed fields, for instance, include
designators for the type of music; variable fields include numeric identifiers not found or employed in
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 11
rev. May 2009
Mode Being Described: Minimal Level Cataloging (MLC) (continued)
other formats – publisher or plate numbers, UPCs, International Standard Music Numbers (ISMNs), and
so on. The LC classification varies, as it does in full level cataloging, from class + cutter, to class only,
to shelf number only (sound recordings). Although the use of note fields varies greatly among the lessthan-full-level workflows, the particular workflow is always noted in the final note field, e.g. “Production
level cataloging.”
Serials
Minimal level serial records were initially created by catalogers in the CONSER Minimal Level
Cataloging (CMLC) Section in the then Serial Record Division. In the late 1990's staff in that Section
were absorbed into other serial cataloging sections. All records are created on OCLC within the context
of the CONSER Program. Existing records are used when available, and if the existing record is a full
level record, the level is retained. All headings are either authoritative or in AACR2 form. Subject
headings are not given in newly created MLC records but may be found in full level records adapted from
OCLC. Numbered series were to have been authoritative until LC series policy changed in 2006.
Classification numbers are not given; shelf numbers are used for both printed and microform serials; for
printed serials the shelf number begins with the letters "WMLC"; for microforms, the shelf number begins
with the word "Microfilm" or "Microfiche."
MLC for serials began with a list of descriptive fields that were to be used in newly created MLC
records. Through the use of already existing full level records, catalogers had to be aware of all
descriptive fields and soon began using many more descriptive fields in newly created MLC records.
Restricting the descriptive fields was not seen as a major time savings.
Subject headings present in existing records used for MLC are retained without verification.
Name headings do not have to be authoritative but must be constructed according to AACR2 and
LCRIs. Numbered series were to have been authoritative until LC series policy changed in 2006. Series
that were collected under a classification number were out of scope for MLC.
The CMLC Section began with the primary goals of cataloging the Adams arrearage and the
reproduction microforms. With the completion of the Adams arrearage in 1993, the section concentrated
on cataloging specific arrearages from a number of divisions (e.g., pulp fiction and comic books--Serial
Division; slavic serials--European Division; folklife resources--American Folklife Center, etc.) before
staff were absorbed into other serial sections.
Modes of Cataloging Employed
in the Acquisitions and Bibliographic Access Directorate (ABA)
Page 12
rev. May 2009
Mode Being Described: Collection Level
SUMMARY DESCRIPTION
Cataloging used to control resources that are unrelated bibliographically but can be represented
by a single bibliographic record because of some other unifying factor, such as personal author,
issuing body, subject, language, or genre.
RESOURCES APPLIED TO
Individual resources that generally do not warrant the expense of a full or minimal level record.
Examples include resources on similar subjects or geographic areas or collections of pamphlets,
ephemera, lesser known languages, etc., which collectively are judged to be of research value.
CHARACTERISTICS
Exemplifies the traditional conventions of bibliographic control as stated for full level, with the
exceptions noted below.
In addition, the bibliographic record for collection level cataloging provides access to material
through subjects and other keywords that best express the unifying feature of the collection or
that list information about certain categories of resources not otherwise represented in the catalog.
An appropriate main entry heading (1XX) is given, although the diversity of the resources or
collections makes title main entry more likely. Titles are constructed by the cataloger in English
and begin with the substantive element describing the collection. Formatted contents notes (505)
provide a structured method of recording item-level information within a collection level record.
This approach is often used for collections of printed resources, e.g., books, pamphlets, etc. For
collections of resources that lack routine bibliographic indicia, the more narrative 520 summary
note may be preferred. Subject headings (6XX) and added entries (7XX) are assigned as
appropriate to the collection. Headings are constructed according to applicable rules; authority
records are created under the same circumstances as for minimal level cataloging. Call numbers
are assigned to those resources that are bound and housed in the general collections. Collection
level shelf numbers are assigned to those resources housed in special areas designated for
collection level cataloging. In some cases, class numbers are used to subarrange resources
housed in those areas. Call numbers for collections in the custody of individual area studies and
special format divisions are constructed according to guidelines provided by the relevant division.
505: Formal contents notes are made usually only in the case of collections of regular
monographic material. For such collections, full contents notes indicating author, title, illustrator
(when appropriate), edition (when appropriate), and date of publication are provided. Each piece
in the collection is assigned a volume number, which is included in the contents note.
DOCUMENTATION
In addition to the documentation cited for full level, the following applies:
Descriptive Cataloging Manual C14
