BACLAC - Policy Statements
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Policy on Levels of Cataloguing Treatment
This is a living document, and will be revised and expanded on an ongoing basis. Cataloguers are encouraged to use their judgement as appropriate.
Introduction
The cataloguing records created within the Description Division of Library and Archives Canada (LAC) serve a variety of purposes, including:
- to identify and provide access to published items in the LAC collection;
- to record the existence of Canadian publications within the national bibliography;
- to provide MARC-based metadata that follow internationally recognized standards and that can be re-used by Canadian and international libraries in their local systems and in their contributions to the National Union Catalogue (Voilà), to WorldCat, and to other shared databases;
- to provide cataloguing metadata to support Canada's inter-library loan infrastructure;
- to provide a valuable source of reference and research for Canadian studies; and
- to ensure that related works are brought together (by subject, creators' names, titles, geographic area, etc.) when searching Aurora and other large bibliographic databases.
The policy on levels of cataloguing treatment was first introduced by the former National Library of Canada in 1996 and was revised in 2003 and again in 2009. The present version (2021) was created to reflect the environmental shift brought by LAC’s transition to OCLC WorldShare Management Services (WMS) in 2018 as well as the decreased ratio of cataloguing resources to publications received through various channels of acquisition.
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Context
In 2018, Library and Archives Canada decommissioned its in-house integrated library system AMICUS and replaced it with WMS. As a result, LAC’s bibliographic data were migrated into WorldCat, a shared bibliographic environment where member libraries can use, enhance, enrich and modify other member libraries’ records.
Furthermore, authority work is now done in two separate files:
- Library of Congress/NACO Authority File (LC/NAF) for English-language authority records. This file is shared with other members of the Program for Cooperative Cataloging (PCC) as part of the Name Authority Cooperative Program (NACO) Program.
- Canadiana Name Authorities in French for French-language authority records. This file is shared with Bibliothèque et Archives nationales du Québec (BAnQ) and member libraries of the Bureau de coopération interuniversitaire (BCI) as part of the PFAN - Francophone Name Authority Program.
This shared cataloguing environment allows LAC to leverage the contributions from other libraries to improve the efficiency of its own processes. However, as a consequence, LAC has relinquished some control over the cataloguing metadata it creates.
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Principles
The present version of the policy on levels of cataloguing treatment is a response to LAC’s current bibliographic context. It recognizes the need to address the growing accumulation of publications received through various channels of acquisition and the limited resources available to catalogue them fully, while maintaining the programmes and services that are considered priorities for LAC and its stakeholders.
Concretely, this policy considers:
- resource capacity
- The Description Division has seen a significant reduction in staff since the last revision of the policy. Consequently, the present policy provides for a significant reduction in overall cataloguing work to reflect the change in capacity.
- growth of the backlog
- Each year, LAC acquires more publications than Description Division staff can fully catalogue. Consequently, the present policy provides for a significant reduction of overall cataloguing work to decelerate the growth of the cataloguing backlog.
- LAC’s priority programmes and services
Cataloguing Priorities
Cataloguing priorities are based on the current service standards as well as the assumption that older publications are more likely to have already been described by another institution.
Services to publishers are prioritized over other description work:
- Cataloguing in Publication (CIP) requests
- International Standard Serial Number (ISSN) pre-publication assignments
Publications with service standards are prioritized over other material:
- Federal publications selected from the Depository Services Program (DSP) Weekly Acquisitions Lists
- Public Opinion Research Reports (PORR)
- Reference collection
Current publications are generally processed before older imprints.
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Bibliographic Work
New Records
Overall, this policy provides for a reduction in the number of publications that are subject to cataloguing at the full level as compared with the previous policy.
All bibliographic records will be done at the Minimal level.
Exceptions are as follow:
Full level
- CIP update (regardless of age)
- Reference collection & Canadian Genealogy Centre collection
- Serials selected from DSP Weekly Acquisitions Lists
- Federal publications selected from DSP Weekly Acquisitions Lists considered to be of “heritage value”
- Newspapers
Minimal plus level
(This is an internally-defined level that meets the MARC21 requirements for full level but does not meet LAC’s definition of a full level record.)
- Federal publications selected from DSP Weekly Acquisitions Lists (except serials)
Abbreviated level
- Public Opinion Research Reports (PORR)
- Other government publications
- Foreign publications
- Musical sound and video recordings published outside of Canada
- Maps & Atlases (except serials, which are catalogued at the minimal level)
- Non-music sound and video recordings
- Pamphlets (except DSP pamphlets, which are not catalogued)
- Publications that have been in the backlog for more than four years (i.e., the publication year is earlier than the current year minus three)
Prepublication level
- CIP preliminary
- ISSN prepublication
Existing Records
When working on a bibliographic record created by another library, LAC cataloguers will only revise data elements that are required for the level of cataloguing treatment prescribed by this policy. Cataloguers will revise the other data elements in the existing record only if they find an obvious error.
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Other Workflows
Some categories of publications will not be catalogued by Description Division staff and will be processed by Acquisitions Division and then sent directly to storage.
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Direct-to-Shelf
To decelerate the growth of the backlog and to focus Description Division staff’s efforts on higher priority work, some categories of analogue publications will be sent directly to storage by Acquisitions Division. Factors considered when making this determination include the expected amount of Canadian content, the metadata requirements for identification and access, and how easily items belonging to the category can be identified.
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Metadata Ingest
Digital publications acquired through the Digital Assets Management System (DAMS) will have publisher-supplied metadata attached to them. These metadata elements are then manipulated and validated according to procedures before being loaded into WorldCat. These metadata are deemed sufficient for identification and access and therefore will not be further enhanced by Description Division staff. The ingested metadata are encoded at the abbreviated level.
Exceptions: Federal publications selected from DSP Weekly Acquisitions Lists and publications for which Canadian CIP data was provided.
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Backlog Cataloguing
Some older materials will be processed in an expedited fashion using existing records, if available in WorldCat.
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Authority Work
Authority work will generally be limited to the authority file corresponding to the language of cataloguing: LC/NAF for English-language records and Canadiana for French-language records. Exceptions: Headings used as subject will be created in both authority files.
Furthermore, LAC cataloguers will no longer create or revise authority records for non-Canadian entities (works, expressions, agents) unless a change is required to the access point or to address privacy issues. They will also limit authority work done to other entities as per the Policy on Authority Work (under development).
This policy applies to all levels of cataloguing treatment.
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Monitoring and Review
This policy will be reviewed regularly and may be updated to respond to changing library practices and organizational pressures.
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Appendix A - Definition of Level of Cataloguing Treatment
- Full
- Full level bibliographic records include all applicable bibliographic data elements, including unlimited notes. Subject analysis includes full Dewey classification, Library of Congress classification, and as many subject headings and genre-form terms as appropriate.
- Minimal plus (coded as full)
- Minimal plus level bibliographic records include most applicable bibliographic data elements, with notes limited to those listed in the appendix. Subject analysis includes abridged Dewey classification, Library of Congress classification, and a maximum of two subject headings or genre-form terms (plus their equivalents).
- Minimal
- Minimal level bibliographic records include most applicable bibliographic data elements, with notes limited to those listed in the appendix. Subject analysis includes at least one classification number (Dewey and/or Library of Congress), but no subject headings or genre-form terms.
- Abbreviated
- Abbreviated level bibliographic records include only the core bibliographic data elements, with other data elements added if only needed for identification and access and if easily determined. No subject headings or genre-form terms. Classification is limited to Library of Congress for shelving purposes.
Appendix A.1 - Required Data Elements by Level of Cataloguing Treatment
The purpose of this table is to define the data elements required for each level of cataloguing treatment as used in the Policy on Cataloguing Treatment.
| M | Mandatory | Data element must be present in every bibliographic records. Cataloguers to supply if the bibliographic information is not available. |
| MA | Mandatory if applicable | Data element must be present in the bibliographic record if it applies to the resource being described and if the bibliographic information is readily ascertainable. |
| O | Optional | Data element is not required in the bibliographic record, but may be added if necessary for access. |
| -- | Not required | Data element is not required in the bibliographic record. Do not add, but do not remove if found in existing or derived records. |
| ELEMENT | FULL | MINIMAL plus | MINIMAL | ABBREVIATED |
| Leader | M | M | M | M |
| Encoding level
(original and enhanced cataloguing) |
Blank | Blank | 7 | 3 |
| 006 Additional material characteristics fixed field | MA | O (see A.2 for exceptions) | O (see A.2 for exceptions) | O (see A.2 for exceptions) |
| 007 Physical description fixed field | MA | MA | MA | MA |
| 008 Fixed length data elements | Code fully | Code fully | Code fully | Code fully |
| 010 Library of Congress control number | M for serials (CONSER)
MA for others (derived record) |
M for serials (CONSER)
MA for others (derived record) |
M for serials (CONSER)
MA for others (derived record) |
M for serials (CONSER)
MA for others (derived record) |
| 015 National Bibliography number
(Canadiana number) |
M for all Canadiana | M for all Canadiana | M for all Canadiana | M for all Canadiana |
| 024 Other standard identifier | MA | MA | MA | MA |
| 040 Cataloguing source | M | M | M | M |
| 041 Language code | MA | MA | MA | MA |
| 042 Authentication code | M | M | M | M |
| 043 Geographic area code | MA | MA (see A.2 for exceptions) | MA (see A.2 for exceptions) | -- |
| 045 Time period of content | MA | -- | -- | -- |
| 055 Classification numbers assigned in Canada | M | M except government documents and serials | M except government documents and serials | MA if a LC-based call number has been assigned in the holding record |
| 082 Dewey Decimal classification number | M full
except theses and non-Canadiana |
M abridged
except theses and non-Canadiana see A.2 for other exceptions |
M abridged
except theses and non-Canadiana see A.2 for other exceptions |
-- |
| 084 Other classification number
(Canadian content collection code) |
M | M | M | M |
| 086 Government document classification | MA | MA | MA | MA |
| 1XX Main entry | MA | MA | MA | MA (if easily determined) |
| 240 Uniform title | MA | MA | MA | MA if needed for identification purposes/if easily determined |
| 245 Title statement | M $a
MA all other subfields |
M $a
MA all other subfields |
M $a
MA all other subfields |
M $a
MA all other subfields if needed for identification purposes/if easily determined |
| 246 Varying forms of title | MA | MA | MA | MA for added title page title(s) and/or parallel title(s) in
English, French, and Indigenous languages only MA for other variant titles if needed for identification purposes/if easily determined |
| 250 Edition statement | MA | MA | MA | MA |
| 256 Computer file characteristics | MA | MA | MA | MA |
| 264 Publication statement | M | M | M | M |
| 300 Physical description | M $a
MA other subfields |
M $a
MA $c |
M $a
MA $c |
M $a |
| 336 Content type | M $a $b $2 | M $a $b $2 | M $a $b $2 | M $a $b $2 |
| 337 Media type | M $a $b $2 | M $a $b $2 | M $a $b $2 | M $a $b $2 |
| 338 Carrier type | M $a $b $2 | M $a $b $2 | M $a $b $2 | M $a $b $2 |
| 340 Physical medium | MA | O | O | O |
| 341 Accessibility content | MA | O | O | O |
| 347 Digital file characteristics | MA | MA | MA | O |
| 351 Organization and arrangement of materials | MA | O | O | O |
| 352 Digital graphic representation | MA | O | O | O |
| 377 Associated language | MA | O | O | O |
| 380 Form of work | MA | O | O | O |
| 381 Other distinguishing characteristics | MA | O | O | O |
| 490 Series statement | MA | MA | MA | MA |
| 5XX Notes | MA all notes | MA as specified in A.2 | MA as specified in A.2 | MA as specified in A.2 |
| 506 Restrictions on access note | MA | MA | MA | MA |
| 6XX Subject and genre form headings
CSH, LCSH, RVM, LCGFT, RVMGF |
M (no limit) | M (maximum of 2) | -- | -- |
| 7XX Added entries | MA (no limit) | For significant relationships and important title access | For significant relationships and important title access | Only if main entry is under title
Video recordings: significant relationships Title added entries: only for titles of individual works when the resource doesn't have a collective title |
| 76X-78X Linking entries | MA all | MA 776, 780/785
O other relationship fields |
MA 776, 780/785
O other relationship fields |
MA 776, 780/785 |
| 8XX Series added entries | MA, but only if an appropriate authority record exists | MA, but only if an appropriate authority record exists | MA, but only if an appropriate authority record exists | O, but only if an appropriate authority record exists |
| 856 Electronic location and access | MA | MA | MA | MA |
NOTES:
Data elements for full level records may surpass those specified above. Full level has been included for comparison purposes.
The data elements provided above for minimal, minimal +, and abbreviated records reflect the level of cataloguing treatment for original cataloguing. Existing records in WorldCat used for LAC’s catalogue may include additional access points and notes.
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Appendix A.2 - Additional Required Data Elements by Type of Resource
The purpose of this table is to define additional data elements as well as exceptions for each level of cataloguing treatment as used in the Policy on Cataloguing Treatment by type of resource.