UNIMARC and Cataloguing Rules (UNICAT)
CERL UNIMARC and Cataloguing Rules 1
Summary of revisions: This document is new. There was no corresponding document in the former UNAD series. The text has been read by the Chair, Vice-Chair and Secretary of the Permanent UNIMARC Committee and incorporates their suggestions.
Table of contents: CERL File Procedures (FILPROC) and Cataloguing Rules (UNICAT)
Intellectual Rights in the Format
The International Federation of Library Associations and Institutions (IFLA) owns the copyright in UNIMARC, and also in related formats already published (UNIMARC/ Authorities) and in preparation (UNIMARC/Classification, UNIMARC/Holdings, etc.)
Maintenance of the Format
Maintenance of the format is the responsibility of the Permanent UNIMARC Committee (PUC), which comes under the umbrella of the IFLA Universal Bibliographic Control and International MARC (UBCIM) core programme. The UBCIM Secretariat also functions as the PUC's Secretariat.
Details of the constitution, membership, work and publications of the PUC and its contact addresses and numbers can be found at its World Wide Web site (seeElectronic Versions), and also from time to time in IFLA UBCIM's quarterly International cataloguing and bibliographic control (ICBC).
Proposals for Changes to the Format
Any interested person or body may submit suggestions for additions, corrections, etc., for consideration by the PUC. The PUC's main annual meeting at which changes are agreed takes place each spring, and proposals should reach the PUC Secretariat by the end of the previous year, in order to give PUC members time to consider them before the meeting.
Members of CERL who have suggestions for the improvement of UNIMARC are requested to communicate them to CERL’s Executive Manager Marian Lefferts.
Updates and Corrections
Updates to the format are published from time to time (not necessarily annually), usually several months after the PUC's spring meeting at which the changes were approved. These take the form of loose-leaf pages with additions or amendments to be inserted into the UNIMARC manual, together with instructions for minor amendments which can be made by hand. (See also the note in Electronic Versions). Some corrections may occasionally be notified in ICBC.
Increasingly, electronic versions of UBCIM, and especially PUC, documents are being made available through the World Wide Web. These include the UNIMARC manual (complete, apart from certain appendices), and concise versions of both the bibliographic and authorities formats.
It should be noted that amendments to the format are NOT included in the electronic versions until they have been issued in print form.
For full details of these and related electronic documents, go to the UBCIM home page: http://ifla.inist.fr/VI/3/ubcim.htm (ifla.inist.fr is the European mirror site of the official IFLA site at http://ifla.inist.fr/III/index.htm, which is the new domain name replacing the former www.nlc-bnc.ca/ifla/)
Editions in Various Languages
The basic language of the UNIMARC format (and the working language of the PUC) is English.
As the use of the format has spread, translations into other languages are being published. These versions can be prepared and published only with the permission of the IFLA UBCIM programme.
All approved translations are authoritative. In the event of a problem in interpretation, the English-language version is regarded as the de facto master version, although no formal statement to this effect appears anywhere. Occasionally, a translation may incorporate a correction not yet published for the English-language version, with the permission of the IFLA UBCIM programme.
National and Local Use
No person or body other than the PUC has the authority to modify the format. However, the PUC has left certain fields ('9' fields), indicators and subfields undefined and free for use in any way. These, and CERL's use of them, are described in UNICAT / 2.
CERL and UNIMARC
The Consortium chose UNIMARC as its preferred exchange format in 1993. Records contributed to the Hand-Press Books database may be supplied in, or converted to, UNIMARC for transmission to OCLC. Although RLG then converts those records to its version of USMARC for the HPB database, it is part of the CERL's agreement with RLG that all records shall be made available for export from the database in UNIMARC, including those contributed by members in USMARC.
The UNIMARC manual has the subtitle bibliographic format. 'UNIMARC' is usually taken to mean the bibliographic format unless another is specifically named.
UNIMARC/Authorities : universal format for authorities was published in 1991; the second edition was published in 2001.
UNIMARC Holdings Format Version 1 was published in 2004. The UNIMARC Classification Format is still in progress. The draft concise version is available here.
UNIMARC: '9' Fields. Use by CERL and member libraries
CERL UNIMARC and Cataloguing Rules 2
Summary of revisions: This document is new. There was no corresponding document in the former UNAD series.
The UNIMARC Manual (2nd ed., 1994; Update1, 1996) states in section 4:
4.9 National and Local Use
All fields with tags containing a 9, i.e. 9–, -9-, –9, are reserved for national and local use; their definitions and indicator and subfield values remain undefined by the Permanent UNI-MARC Committee. This is also true of indicator value 9 and subfield $9.
Use of nationally or locally defined fields by CERL members
Several members who use UNIMARC as their national or export format have defined some fields for their own use, as they are entitled to do.
When contributing files containing '9' fields for the HPB database, members are asked to
(a) submit full descriptions of the structure and content of those fields; and
(b) either state which fields are of more than local interest and should be retained for the database and which fields contain information of purely local, internal (usually administrative) interest and should not be included, or themselves delete the second group of fields from the records before transmission.
Fields defined by CERL
A number of fields were defined by CERL for use in the HPB database. These fell into three broad groups: (a) fields to supplement the provisions of the UNIMARC format for books of the hand-press era; (b) fields to provide for holdings and other administrative details; and © fields to provide for cross-references from alternative forms of personal, family and corporate names (there being no general authority file available to the Consortium and the Research Libraries Group).
The fields in groups (a) and (b) have now been superseded by new fields in extensions to the format promulgated by the Permanent UNIMARC Committee; those CERL fields should no longer be used.
Because most '9' fields defined by members have been given tags in the 9– series, all CERL fields use –9 or -9- tags.
The full list of CERL '9' fields, both current and superseded, is as follows (details of the CERL '9' fields still current may be retrieved by double-clicking on the item) :
009 Record identifier in source file - Superseded by UNIMARC 035
319 General cataloguer's note - Superseded by UNIMARC 830
349 Copy-specific note: Preservation data- Reproductions in microform, etc. - Not used; withdrawn
519 Title in standard modern spelling - Superseded by UNIMARC 518
690Personal name used as a subject - Alternative form
691Corporate body name used as a subject - Alternative form
692Family name used as a subject - Alternative form
790Personal name - Alternative form
791Corporate body name - Alternative form
792Family name - Alternative form
Use of digit '9' in indicators or subfield identifiers
Members may use the value '9' for an indicator or subfield identifier in nationally or locally defined '9' fields.
However, they should not need to use '9' as an additional indicator or subfield identifier in a standard UNIMARC field. Members are requested to consult the CERL Secretariat if considering this course of action for any reason.
Use of digit '9' in coded data
It should be noted that Section 4.9 of the UNIMARC Manual does not include the use of the digit '9' in coded data.
Some fields in the 1– block define values for '9', either alone or in combination, for example in dates, geographical co-ordinates, '9999' for a serial currently being published, etc.
It follows that '9' must not be used as an optional addition in coded data fields. All permissible codes are defined by the Permanent UNIMARC Committee.
Countries and Country Codes
CERL UNIMARC and Cataloguing Rules 3 (revision 1)
This document is a revised version of the former UNAD / 3 (rev. 1) dated 1995-07-17.
References are made to the most recent (1997/99) edition of ISO 3166 and changes to ISO 3166-1; notes on coding former jurisdictions have been revised; some extensions and corrections have been made to the lists of UNIMARC fields and codes for European countries.
Revision 1 : Codes for Slovakia (SK, not SV) and Ukraine (UA, not UK) corrected; new code for Serbia & Montenegro (CS).
UNIMARC calls for the use of country codes in several places (for example, field 102), and CERL has added to these requirements by specifying a country code as the first element in fields which contain the code for a member institution.
The codes to be used are the two-letter codes from ISO 3166-1:1997, Codes for the representation of the names of countries and their subdivisions – Part 1: Country codes, known as the “alpha-2” codes to distinguish them from the three-letter and numeric codes. These codes are conventionally given in capital letters (for example, ES, FR, PT, etc.).
ISO 3166 and MARC21
The ISO codes are sometimes the same as the MARC country codes used in MARC21, UKMARC and some other derived formats (for example, BE = be, DK = dk, GR = gr, IT= it), but are often quite different (for example, Spain = ES, but sp in the MARC code list).
The two lists also differ in that the USMARC codes include specific codes for the countries of the United Kingdom (England, Scotland, Wales and Northern Ireland), for provinces of Canada and states of the United States, while the ISO 3166-1 list does not do so. (The new ISO 3166-2 list does code lower-level jurisdictions. See the note to field 102, below). The USMARC list has no codes for the lower-level jurisdictions of any other countries.
Current and former jurisdictions
Both lists give codes for present-day jurisdictions, and are revised from time to time as old groupings break up and new nations achieve independence. For example, the codes for the former Soviet Union are now obsolete, and new codes have been provided for Russia, Ukraine, Belorus, etc.
The implication of this for the cataloguing of materials of the hand-press period is that there are no codes for those sovereign states which existed at the time of publication, but no longer exist today. Conversely, there are codes for modern states (for example, Italy) which may not have existed at the time of publication, but do today.
Part 3 of the Standard (ISO 3166-3:1999) entitled Code for formerly used names of countries consists of codes for countries, dependencies, etc., removed from ISO 3166 since its first edition in 1974. A proposal to include codes for other jurisdictions of the nineteenth century and the first half of the twentieth was abandoned. ISO 3166-3 is of no use for CERL's purposes and should be ignored.
When field 102, Country of Publication or Production, is included in a record, the rule in the UNIMARC manual is quite clear : use modern boundaries and jurisdictions to determine the code for the country of publication. For publications of the hand-press era, this will often result in anomalies due to changes in boundaries or the creation or dissolution of jurisdictions (for example, place of publication in field 210 $a = Venezia and $d = 1495, but country of publication in 102 $a = IT, or 210 $a = Breslau, but field 102 $a = PL).
When field 102 is used, ensure that help pages and other documentation draw attention to these anomalies and other pitfalls when its codes are used for searching.
Field 660 Geographic Area Code (GAC) contains the hierarchically-structured codes developed by the Library of Congress to denote the region covered by an item. The GAC codes are listed in Appendix D of the UNIMARC manual, which gives full guidance for their use. Field 660 is concerned with subject matter : it does not relate to place of publication of the item. ISO 3166 codes are not used in this field at all.
There follow notes on the specific UNIMARC fields in which country and locality codes are employed (and also on field 620, which is not coded), and a list of the ISO 3166-1 codes for European countries.
UNIMARC fields and subfields requiring ISO 3166-1 alpha-2 codes
$3 AUTHORITY RECORD NUMBERS
These subfields have the alpha-2 code as their first element, followed by a back-slash (\). SeeUNICAT 9.
001 RECORD IDENTIFIER
[009 RECORD IDENTIFIER IN SOURCE FILE (CERL field)]
These fields have the alpha-2 code as their first element, followed by a back-slash (\). SeeUNICAT 4.
[CERL 009 has been superseded by new UNIMARC field 035 published in Update 3 (2000-01-01)]
020 NATIONAL BIBLIOGRAPHY NUMBER
021 LEGAL DEPOSIT NUMBER
022 GOVERNMENT PUBLICATION NUMBER
All three fields have the alpha-2 code in subfield $a.
035 OTHER SYSTEM CONTROL NUMBERS
$a System Control Number
The alpha-2 code should be the first element in the subfield, followed by a back-slash ( \ ). SeeUNICAT 4.
This is a new field added to the format in Update 3 (2000-01-01); it supersedes CERL field 009.
102 COUNTRY OF PUBLICATION OR PRODUCTION
ISO 3166-1 alpha-2 code
The CERL Advisory Task Group recommended (March 1995) that this subfield should not be used, as having little value and lacking well-developed and internationally recognised codes. (This situation is changing: see ISO 3166-2:1998 – Country subdivision code).
620 PLACE ACCESS
$b State or Province, etc.
This field contains a hierarchical, non-coded form of a place of publication, etc. The UNIMARC manual makes it clear that it is not necessary to include all the subfields: subfield $d by itself containing the name of a city is permissible, if it is unlikely to be confused with another place bearing the same name.
The UNIMARC manual gives no guidance concerning the language to be used. The language will usually be that of the cataloguing agency (for example, a British agency would enter 620 ##$aItaly$dVenice, while a French one would enter 620 ##$aItalie$dVenise).
The Advisory Task Group recommended (March 1995) that
(a) this field should be used;
(b) the names of countries and cities should preferably be given in the language of the country concerned, but other forms in the languages of the cataloguing agencies would also be acceptable; and
© subfields $b and $c should not be used.
801 ORIGINATING SOURCE
Both fields have the ISO 3166-1 alpha-2 code in subfield $a. In 899 it is followed by a backslash ( \ ).
ISO 3166-1 alpha-2 codes for European countries
|BA||Bosnia & Herzegovina||LU||Luxembourg|
|BY||Belarus||MD||Moldova, Republic of|
|CH||Switzerland||MK||Macedonia, the former Yugoslav republic of|
|CS||Serbia & Montenegro||MT||Malta|
|DK||Denmark (see also FO)||PT||Portugal|
|FI||Finland (see also AX)||SE||Sweden|
|HU||Hungary||(YU||Yugoslavia [= Serbia & Montenegro] new code is CS)|
Note that UK is a reserved code, to avoid confusion between United Kingdom and Ukraine. (The ICANN use of .uk in Internet addresses is irregular).
For other countries, consult the International Standard.
Record Identifiers, and CERL Institution and File Codes
CERL UNIMARC and Cataloguing Rules 4
Summary of revisions: This document replaces the former UNAD / 4 dated 1995-02-17.
Section 2 (Field 035) replaces the original section 2 (CERL field 009). Section 4 has a second example. Section 5 is new.
Field 001 : Record identifier
The UNIMARC manual states that the Record Identifier can take any form.
For records contributed to the CERL database the following 4-segment format is mandatory:
The segments are separated by backslashes, as shown, without any intervening spaces.
Country codes. These are the ISO 3166 alpha-2 codes (seeUNICAT / 3).
Institution codes. Where there is a nationally-recognised set of codes used to identify libraries for interlibrary loan purposes, etc., these codes shall be used by CERL.
If there is no nationally-recognised set of codes, then the code shall be one proposed by the Member institution and agreed with the CERL Secretariat. \\(It does not matter if there are identical institution codes in other countries – for example, BN or KB).
File codes. These shall (preferably) consist of two characters, alphabetic or numeric or mixed.
The codes may be sequential (01, 02, 03 … or A1, A2, A3 … etc.) or mnemonic (for example, OC for “Old Catalogue”, etc.). The choice is left to the Member institution.
Alphabetic characters are not case sensitive : AA, Aa, aA and aa will be regarded as identical.
Record ID numbers. These may take any form and be of any length.
A record from Kungliga Biblioteket, Stockholm. “S” is the code nationally used for the library. The arbitrary file number 01 has been assigned.
A record from Bayerische Staatsbibliothek, München. There are no library codes commonly used throughout Germany, so the style used by Die Deutsche Bibliothek has been accepted for the time being. The mnemonic code AK (=Alphabetischer Katalog) has been used for the file.
Field 035 : Other System Control Numbers
This field, published in Update 2 to the UNIMARC manual, supersedes CERL field 009, Record Identifier in Source File. (It is believed that 009 has not been used so far).
If 035 is used, then the provisions of the Manual must be followed : $a (non-repeatable) holds the System Control Number and $z (repeatable) holds cancelled or invalid control numbers. The code or name of the institution is given first, in parentheses, followed by the control number.
If the code for the name of the institution is not internationally recognized, use the CERL pattern - Country code\Institution code - inside the parentheses:
If a distinct file identifier is required to make the record ID unique, it should precede the ID, outside the parentheses:035 ##$a(Institution code)File code\Original record's ID
Note that, unlike field 001, field 035 does have indicators (two blanks) and subfield identifiers.
Record IDs in other fields
The CERL Record ID must appear in full not only in field 001, but also in all other fields in which it appears. In particular, this applies to every 4– linking field which contains a Record ID.
This is essential in order to ensure that fields containing otherwise identical record numbers from various source files are not loaded into the CERL database without being differentiated by their Institution and File Codes.
(Some examples in the CERL UNIMARC format and descriptive cataloguing specification are oversimplified and do not show the full format – for example, the multivolume formats illustrated in Section 10).
Institution Codes in other fields
In those fields where the code for the Institution is required (but not the File code or Record ID number), the code for the Institution must still be preceded by the Country code.
801 #0$aSE$bS … etc.
Originating source. The country and institution are in separate subfields.
899 ##$aSE\S$b … etc. CERL field for locations.
Note that this rule also applies to all occurrences of subfield $5, Institution to which the field applies.
The Authority File Record IDs
Fill Characters, Blanks and Standard Characters
CERL UNIMARC and Cataloguing Rules 5
Summary of revisions: This document supersedes the former UNAD / 5 (revision 1) dated 1996-02-06. Minor changes have been made to the presentation throughout, but the information and rules remain unaltered.
The UNIMARC manual (Section 4.5) states the rules for the use of fill characters, and contrasts them with blanks and certain other characters often used as codes with standard meanings. The essential features of these rules are restated here, together with examples showing their use in various contexts.
The fill character is a graphic character in ISO 646, Basic Latin Character Set (the default G0 set for UNIMARC records). It is the vertical line, ( | ), position 7/12 (7C) in the 7-bit code table.
[Note that this is an actual character, unlike the $, @, % and # signs which are only conventional printed representations of the control functions IS1, IS2 and IS3 and the blank (2/0) from ISO 646 : see Section 2.2 in the UNIMARC manual].
The fill character is used
(a) when it is not possible to assign the correct value to a coded data item (for example, when there is no corresponding value in the source format); and
(b) when the agency never assigns values to a particular category of data in a coded field or to the indicators in particular types of fields.
Fill characters may not be used in the Record Label, Directory, or tags, or to indicate missing or uncertain characters, etc., in textual data (variable data fields).
The blank (ISO 646 position 2/0) is conventionally represented by a hash sign ( # ) in the UNIMARC manual, 2nd ed., 1994 (a crossed lower-case letter ' b ' was used formerly).
The blank is mainly used
(a) for indicators when no values have been defined in the format (seeIndicators); and
(b) as “padding” to fill data elements in fixed-length coded subfields in specified circumstances (seeFixed-length coded data subfields).
Five other characters have been used as general codes with standard meanings in many (but not all) coded subfields. These are:
u Unknown. The cataloguer would have assigned a definite code if it had been possible to discover the necessary information.
v Combination. A combination of several individually coded characteristics appears in the item [but only one coded position is available].
For example, in field 140, Coded data for antiquarian materials, $a character position 8 = Illustration techniques. An item which uses two or more techniques is coded v.
x Not applicable. The characteristic being coded does not apply to the type of material being catalogued.
For example, in field 126, Coded data for sound recordings, $a character position 3 = Groove width. If the recording is a CD, which has no grooves, the appropriate code is x.
y Not present. The characteristic being coded is not present in the item. [Note: this must be distinguished from the use of the fill character, which would mean that the cataloguing agency never codes the characteristic in question, even if it is present in the item].
z Other. A “catch-all” code used when the characteristics of the item are known but none of the available codes is appropriate. z is also occasionally used for “Unknown”.
This must contain the specified numeric values, alphabetic codes or blanks. The fill character must never be used in the Record Label.
This contains only numeric values (computed automatically), followed by the field separator IS2 (ISO 646 position 1/14 (1E), conventionally represented by @ ).
Tags must be used as specified. No digit in a tag can be replaced by a blank or fill character.
Blanks are specific indicator values. A blank normally means that no definition has been given to the indicator.
Exceptions occur in fields 321 (External Indexes/Abstracts/References Note) and 606 (Topical Name used as Subject), where several values are defined for Indicator 1, and # = No information given and No information available, respectively.
Fill characters may be used in place of indicators when EITHER the institution never assigns values which would be represented by indicators OR the source format does not hold values which can be converted to indicators.
Blanks or fill characters can NEVER be used to replace subfield identifiers, which consist of IS1 (ISO 646 position 1/15 (1F), conventionally represented by $), followed by one of the designated alphabetic or numeric characters.
Fixed-length coded data subfields
(These are discussed in more detail in UNICAT / 6)
Fill characters may be used as stated above:
(a) when the agency never supplies value for particular data elements; or
(b) when the source format has no values which can be converted to UNIMARC.
Blanks are used to fill the remaining character positions when more than one position is allotted to a particular data element, but not all are needed.
'9' fields and subfields
The digit '9' in tags, indicators and subfield identifiers is reserved for national and local use throughout the format. (SeeSection 4.9 in the UNIMARC Manual).
Use of '9' fields, etc., by CERL and its members is discussed in UNICAT / 2.
CERL UNIMARC and Cataloguing Rules 6
Summary of revisions: This document is a reprint of the former UNAD / 6 (revision 1) dated 1995-11-02, with minor changes which do not affect the instructions.
The majority of these subfields occur in the 1– CODED INFORMATION BLOCK. Some of the fields consist of a single subfield, but several contain two or more subfields.
There are also some fixed length subfields which form part of fields which otherwise contain variable-length data. Examples are subfield $z Language of Parallel Title Proper in field 200 and the 51- fields, the 3-digit relator codes following $4 in the 7– fields, and any subfield consisting of the ISO 3166 alpha-2 country code (described in UNICAT / 3).
In the fixed-length subfields the meanings of the codes are strictly dependent upon their positions in the string. All the character positions must therefore be present and occupied by specified or permissible alphabetic or numeric characters, fill characters or blanks.
This rule applies even if the cataloguing agency only assigns values to the first n character positions. It cannot be assumed that the remaining positions are unused : they must be occupied by fill characters as a default minimum.
For example, to encode a regularly-published weekly newspaper,
Representation of data elements
Data elements may be represented by 1- , 2- , 3- or 4-character alphabetic or numeric codes. A subfield may consist solely of one type, or may contain a mixture. For example, field 101 consists of subfields which hold only 3-letter language codes. By way of contrast, field 100 $a contains single-character alphabetic and numeric codes, 2-figure numeric codes, 4-figure dates, 2-letter script (alphabet) codes and 3-letter language codes.
The fill character ( | ) is used to replace codes
(a) when it is not possible to assign the correct value to a coded data item (for example, when there is no corresponding value in the source format); and
(b) when the agency never assigns values to a particular category of data in a coded field or to the indicators in particular types of fields.
For example, if the Target Audience (coded in field 100 $a, character positions 17-19) is never designated by the cataloguing agency, fill characters are inserted:
If two or more character positions (c/ps) are allocated to a data element, and some but not all of them are needed, blanks, not fill characters are used to fill the remaining unused positions.
For example, field 100 has room for up to four 2-digit codes to denote the character sets used in the record, in c/ps 26-33. If only one, two or three character sets are specified, the remaining positions are filled by blanks:
Presence/absence of data elements
Standard code y
If a data element is not present in the item being catalogued (but would be coded by the agency if it were present), the standard code y is normally used, followed by blanks if necessary.
For example, in field 105 $a, c/ps 0-3 record the types of illustrations present in the item, and c/p 12 indicates the kind of biography, if applicable. A work which has no illustrations and is not biographical is therefore coded:
The equivalents in field 140, Coded Data Field: Antiquarian - General, are in c/ps 0-3 and 19:140 ##$ay###...............y........@
Numeric values 0/1
At other times, especially if the data element is simply defined as present/not present, without any other qualification, the numeric values 1 and 0 respectively are used.
For example, in field 105 $a, c/p 9 is the Festschrift indicator:
= the item is a Festschrift;
= the item is not a Festschrift.
= the item is a Festschrift).
Be aware of special instructions in the UNIMARC manual which may require “irregular” coding, contrary to normal expectation.
For example, in field 126, Coded Data Field: Sound Recordings - Physical Attributes, $a c/ps 7-12 provide for up to six single-character codes for textual material accompanying recordings. If there is no accompanying material, the cataloguer should apparently enter six blanks, not y#####, as code y is not listed. (Compare the example in Standard code y).
Field 105 $a uses c/p 11 for the Type of Literature code. If the item is a combination of types (for example, Humorous (d) poetry (g)), then the code z, 'multiple or other literary forms' is to be used, notv for 'mixed'. Code v is not listed.
Exceptionally, field 106, Textual material - Physical attributes, states that “Where the textual material is regular print,” [that is, not Braille, large print, microprint, etc.] “the field may contain code 'r' or be omitted altogether”.
CERL recommendation: omit field 106 for normal printed materials.
Mandatory coded data fields
The UNIMARC manual, 2nd ed., 1994, specifies that a valid UNIMARC record must contain fields 001 Record Identifier, 100 General Processing Data, 101 Language of the Item (if the work has language), 200 $a Title and Statement of responsibility and 801 Originating Source, plus three other fields which apply solely to cartographic materials.
The Permanent UNIMARC Committee decided at its meeting in March 1999 that if the source file bears no explicit coded or textual information about the language of the items in its records which can be converted directly or by algorithm, then the cataloguing agency need not regard field 101 as mandatory.
CERL RECOMMENDATION (with immediate effect): do not enter the default values
[Indicator 1 = fill character; $a code = 3 fill characters]
but omit the field altogether. (The default values are not incorrect in these circumstances, but serve no useful purpose, other than to draw attention to the fact that the field could not be completed). The fact that the field has been omitted should be noted in the accompanying file documentation. For original (not retroconverted) cataloguing, the field remains mandatory.
Fields 001, 100 and 801 are always mandatory.
These rules apply equally to the fields for cartographic materials, and fields which may be defined in the future as mandatory for other kinds of materials.
No values available for non-mandatory fields and subfields
Similarly, if no values at all can be entered in a non-mandatory coded subfield, omit it: do not fill it with blanks or fill characters. It follows that if the field consists of a single $a subfield, or of two or more subfields, none of which contains data, the entire field is to be omitted.
Dates of Publication, etc.
CERL UNIMARC and Cataloguing Rules 7
This document is a radical revision of the former UNAD / 7 dated 1995-03-04.
Several changes have been made in line with decisions taken by the Permanent UNIMARC Committee at its meetings in 1997-99, and published in Update 3 to the UNIMARC Manual.
CERL members' attention is drawn in particular to the amended provisions in field 100, character position 8, for code f, code h when there is no publication date in the item, and the new code u for retroconverted records when there is no publication date information in the source file.
The sole subfield in field 100 is $a : this has been omitted below, so 100/8-16 = 100 ##$a/8-16.
Type-of-Publication-Date codes, and examples
The dates recorded as part of the bibliographic description of the item (an element in the ISBD Publication, Distribution, etc., Area 4), are transcribed or supplied according to the provisions of the cataloguing rules used by individual organizations.
Dates in the bibliographic description
The standard practice is to record the date(s) in field 210, subfield $d. (It is recognised that, when cataloguing old books, some libraries transcribe the titlepage, including imprint data, in 200 $a). Note that if 210 $d records a date in the Julian calendar, the date to be coded in field 100 is the year in the Gregorian calendar, which may differ.
These topics are not discussed further here, except for consideration of probable, uncertain and multiple dates. The examples are illustrative of most types.
The type of publication date is coded in field 100, General Processing Data, character position (c/p) 8, followed by either one or two dates in c/ps 9-12 and 13-16. The significance of these dates is dependent upon the code entered in c/p 8.
Codes a, b and c apply to records for serials; codes d, f, g, h, and j apply to records for monographs; and codes e and u apply to both monographs and serials. (Code i is used for films and music when there is a difference between the production date and the release/issue date: it will not appear in CERL records and is not listed in section 4 below).
Certain and probable dates
Note that for the purpose of coding field 100, no distinction is made between established years, decades, etc., shown variously in field 210, subfield $d as 1718, , [171-], etc., and probable years, decades, etc., shown as [1718?], [171-?], and so on.
All codes (except code e) distinguish between single years and ranges of years, both established and probable in both instances. However, note in particular that [ca. 1750], for example, is coded as a single year, even though there is an implied range of possible years.
All the ISBDs, together with many cataloguing codes, assume that some date can be given, even if only an uncertain year or a broad range of possible dates. They make no provision for “No date” (n.d., or equivalents in other languages, s.a., u.å., etc.).
Cataloguers using rules which do permit the use of “n.d.”, etc., should enter the appropriate term or abbreviation in 210 $d. The usage, and the abbreviations employed, should be noted in the documentation describing the file. The earliest and latest possible dates should be given in field 100 following code f (for works known to have been published in a single year) or code g (for those published over more than one year).
The new code u will be most used in retroconverted records when there is no data in the source file which can be used to supply a date or dates for 100 c/ps 9-16. It should never appear in new cataloguing.
Type-of-Publication-Date codes, and examples
Examples of dates in 210 $d and the matching codes and dates in 100 c/ps 8-16 are given in the following paragraphs.
Note! Character positions (c/ps ) 0-7 are represented by leading dots in these examples; c/ps 17-35 are not shown at all.
a - c Codes for serials
(see also code e )
The text in the UNIMARC Manual for Publication Date 1 following each of these codes reads “the beginning year of publication or coverage if coverage differs from publication.” This implies that the date of coverage is to be preferred to the actual date of publication. A similar text is not, however, used for Publication Date 2 following codes b and e : it is reasonable to assume that the same criteria are valid. See second example to code b.
Blanks ( # ) may replace digits if the specific years following these codes are uncertain. However, the Manual offers no guidance for the rare (?) occasions when a possible range of dates overlaps the turn of a century. 1###, for example, would be logical but of little value for retrieval!
CERL recommendation : If the range of dates given in 210 $d is approximately evenly spread on either side of the century year (e.g., [between 1796 and 1804]), use the earlier decade for the coded date (179#). Otherwise code the decade with the greater number of possible years (e.g., for [between 1798 and 1805], use 180#).
[decade of beginning date uncertain]
a = currently published serial.
Date 1 = beginning year of publication (or coverage, if different). If the beginning date is uncertain, digits may be replaced by blanks. Date 2 = .100 ##$a........a18359999 210 ##$d1835- 100 ##$a........a181#9999 210 ##$d[between 1811 and 1813]
- [precise year uncertain]100 ##$a........a18##9999 210 ##$d[182-? or 183-?]
- [decade uncertain]
b = serial no longer published.
Date 1 = beginning year of publication (or coverage, if different).
Date 2 = year publication ceased. Either or both dates may contain blanks if uncertain.
[years of publication differ from those of coverage]100 ##$a........b182#1853 210 ##$d[between 1821 and 1823]-1853 100 ##$a........b171#173# 210 ##$d[171-?]-[173-]
c = serial of unknown status; publication may be continuing or have ceased.
Date 1 = beginning year of publication (or coverage, if different). If the beginning date is uncertain, digits may be replaced by blanks.
Date 2 = ####
d, f - h, j Codes for monographs
d = monograph complete when issued, or all volumes/parts issued in one calendar year
Use code d when 210 $d contains a privilege or copyright date, but lacks a date of publication:100 ##$a........d1675#### 210 ##$dpriv. 1675 [See EX 8 in UNIMARC Manual]
Use code d also when 210 $d contains a single uncertain (or probable) year expressed as 4 digits, even though a range of possible years may be implied:100 ##$a........d1687#### 210 ##$d[1687?] [See EX 6 in UNIMARC Manual] 100 ##$a........d1690#### 210 ##$d[ca. 1690]
(If the uncertain date in 210 $d contains less than 4 digits, use code f. If the monograph was published over a number of years, whether the dates are certain or not, use code g).
e = reproduction of a document (reprint, facsimile, reissue, etc., but not a new edition).
This code is used for both monographs and serials.Date 1 = year of publication of the reproduction. Date 2 = date of publication of the original. Either or both dates may contain blanks if uncertain. 100 ##$a........e19771610 210 ##$d1977 324 ##$aFacsimile reprint of: 1610 ed. 100 ##$a........e17701769 210 ##$d1769, reprinted 1770
If either the original or the reproduction (or both) was (or were) issued over a span of years, the beginning years of reproduction and publication are used for Date 1 and Date 2:100 ##$a........e18101976 210 ##$d1976-1978 324 ##$aFacsimile reprint. Serial first published 1810-1843.
f = monograph, date of publication uncertain.
Date 1 = earliest possible year of publication. Date 2 = latest possible year of publication. Blanks are permitted: see final example.100 ##$a........f16981703 210 ##$d[between 1698 and 1703] 100 ##$a........f17001701 210 ##$d[1700 or 1701?] 100 ##$a........f17001709 210 ##$d[170-] 100 ##$a........f17001799 210 ##$d[17--] 100 ##$a........f####1489 210 ##$d[not later than 1489] [See EX 16 in the UNIMARC Manual. It should normally be possible to give an earlier date]
Use code f for monographs published as a single physical item, and also for works in several volumes or parts known to have been issued in the same calendar year, although the precise year is not known. If the uncertain date in 210 $d is expressed as a single year in 4 digits (for example, [ca. 1715]), use code d. Use code g if the monograph consists of several volumes/parts issued over a period of years, whether the dates are certain or not.
g = monograph issued over a number of years
CERL recommendation : Use code 'g' also for made-up collections whose contents were created or issued over a number of years (Record label / 7 = 'c').100 ##$a........g17551770 200 ##$a[Shropshire handbills] 210 ##$a[Various places]$c[Various publishers]d1755-1770 300 ##$aA collection of handbills published in or relating to Shropshire 1755-1770. Not catalogued individually.
h = monograph with both actual and copyright/privilege date.
The date of publication differs from the copyright/privilege date.Date 1 = year of publication. Date 2 = copyright/ privilege date. 100 ##$a........h17221716 210 ##$d1722, priv. 1716
If there is a copyright/privilege date but no date of publication, treat the copyright/ privilege date as if it were the date of publication, and use code d:100 ##$a........d1745#### 210 ##$dpriv. 1745
CERL recommendation : Use code 'g', not 'h', for items with both copyright/privilege dates and publication dates (or copyright/privilege dates but no publication dates), issued over a period of years. For the former, code the publication dates.100 ##$a........g1658-1663 210 ##$ad1658-1663, priv. 1655-1660. 100 ##$a........g1585-1587 210 ##$adpriv. 1585-1587.
j = document with detailed date of publication.
u = date(s) of publication unknown.
This code should be used for converted records when the source file contains “[n.d.]”, “[s.a.]”, etc., (or no data at all) in the equivalent of 210 $d, and no coded or other data anywhere else which can be used to produce meaningful coded date information for 100. CERL recommendation: Code 'u' should only be used as a last resort. Converted records should be edited, whenever possible, so that they contain more precise coding of publication dates. Original cataloguing should not use code 'u' at all.
Coded Data Fields 105: Textual Material, Monographic, and 140: Antiquarian, General
CERL UNIMARC and Cataloguing Rules 8
Coded Data Field (CDF) 105 was (and still is) the standard field for recording in coded form the types of illustrations and the form of contents – arrangement of material, literary and biographical form, etc. – found in printed monographic texts.
Field 140 has been developed as a more specialised CDF for use with antiquarian printed monographic texts, and has a fuller range of codes for types of illustrations, the kinds of literature encountered in older materials, the type of paper or other material used for text and illustrations, and so on. Conversely, it does not contain codes for categories never or exceedingly rarely found in publications of this period, for example, Programmed text books, Project descriptions, and Standards. Early examples of categories which have not been allotted specific codes can be given the code for 'other'.
Field 110 is the CDF for serials which corresponds to 105 and 140. There is no separate CDF for antiquarian serials. These three fields are mutually exclusive : a UNIMARC record can only contain one of them.
|CDF 105.||Indicators : 1 = #||2 = #|
|Subfields : $a||Monograph coded data. |
13 character positions, conventionally numbered 0-12.
|CDF 140.||Indicators : 1 = #||2 = #|
|Subfields : $a||Antiquarian coded data – General. |
28 character positions, conventionally numbered 0-27.
C/p 8 (illustration technique) and 20-25 (type of paper, presence of watermarks, printers' and publishers' devices) have no equivalents in 105. C/p 26-27 are at present unassigned and contain two blanks, ##.
3. Conversion from 105 to 140
The table on the following pages is an attempt to provide a convenient guide for those libraries which may wish to change records previously coded using field 105 to bring them into line with other records using field 140.
It does not reproduce all the detail to be found in either 105 or 140 and must certainly not be regarded as a substitute for the official pages in the UNIMARC manual, which are definitive.
UNIMARC coded data fields for monographs : conversion table from 105 to 140
|105 $a||140 $a|
|c/p||0-3 Illustration codes||0-3 Illustration codes||4-7 Plates|
|(105 and 140 : 4 single-character code positions; unused positions filled by blanks, #)|
|f||plates||[use c/p 4-7]|
|i||coats of arms||n||n|
|…||z other||z other|
|No code for 'other' in 105, c/p 0-3.||140 contains codes for several types of illustrations, for example, ornamental letters, rubrics, miniatures, not listed in 105.|
|#||value position not needed||##|
|c/p||4-7 Form of contents codes||9-16 Form of contents codes|
|(4 one-character code positions; unused positions filled by #)||(4 two-character code positions; unused positions filled by ##)|
|a||bibliography||fc||specifically; or include in fa = Reference work|
|b||catalogue||fb||= library cataloguespecifically; or include in fa|
|c||index||fe||specifically; or include in fa|
|d||abstract or summary||zz|
|e||dictionary||ff||specifically; or include in fa|
|f||encyclopaedia||fg||specifically; or include in fa|
|m||dissertation or thesis||bb|
|n||laws and legislation||da|
|r||literature survey, reviews||zz|
In late 1999, PUC appointed a working group to develop a UNIMARC specification for holdings information pertaining to a bibliographic item. The work was carried out during the period of 2000-2003 and a final draft was posted for world wide review in 2003. The present version is the result of received comments, accepted at the PUC meeting of 2004, with some changes introduced at the PUC meetings that took place in 2005 and 2006. It was first published in December 2006, and was subject to corrections in 2007.
A Working Group was appointed by the Permanent UNIMARC Committee (PUC) in 1999 to prepare the UNIMARC Holdings Format the first version of which is now finished.
The WG was charged to develop a UNIMARC format to hold the holdings information. Thus, it was necessary to develop a format, which would be able to describe information concerning the specific characteristics of a bibliographic unit or a set of bibliographic units existing in a given institution. The format must establish a common reference model that promotes not only consistency on the communication and exchange of holdings but also the possibility to build the structure scheme for the OPAC display. Additionally it should respect the philosophy and the original structure of UNIMARC and provide means for the exchange of the records between the local systems and international one.
The WG based its work on the UNIMARC Holdings Format on two main sources: the UNIMARC Manual–Bibliographic Format and ISO 10324 : 1997–Information and documentation-Holdings statements-Summary level: the first was the basis for the structure of data elements and second one for the main concepts.
As the UNIMARC bibliographic format is the backbone of UNIMARC, any change introduced must be reflected also on UNIMARC holdings format, to maintain the necessary alignement.
Working Group on the UNIMARC Holdings Format:
- Rosa Maria Galvão, National Library, Portugal
- Chair Liuba Buckienè, National Library, Lithuania
- Vladimir Skvortsov, National Library, Russia
- Brian Holt (retired), British Library (1999-2000)
- Sofia Klarin, Croatian Institute for Librarianship (1999-2000)
Mirna Willer and Tony Curwen have cooperated with the WG with comments and suggestions giving a huge amount of help to the development of this format.
Most of the work on the UNIMARC Holdings Format took place by email, with meetings during the IFLA Conference in Jerusalem (2000), Boston (2001) and Glasgow (2002), and during the PUC Meeting in Saint Petersburg (2002). The final draft for the world wide review was accepted for posting on IFLANET at the PUC Ad Hoc meeting during the IFLA conference in Berlin (2003). This version of the format is the result of received comments which were accepted at the PUC meeting in Lisbon (2004), with some changes introduced at the PUC meetings that took place in 2005 and 2006.
See also: UNIMARC Holdings List of Changes 2007 (2007 corrections)
Last update: 17 September 2014