Standards

I. Purpose and Governance of the Database Control Committee

The purpose of the Database Control Committee, herein after referred to as the Committee, is to oversee the management of the Valley Library Consortium (VLC) database in order to further the mission and goals of the VLC and ensure that data entered conforms to mutually agreed upon standards.

Under the authority of the Administrative Council, herein after referred to as the Council, the Committee shall be responsible for developing, recommending, and establishing policies, priorities, and procedures for the building and maintenance of the Valley Library Consortium database. The Committee will have the authority to review, approve, and if necessary, reject the entry or utilization of any format for any member library, which does not conform to the standards established by the Committee.  Further, the Committee shall have the authority, with the approval of the Council, to review, approve, reschedule, modify, and if warranted, reject any member library's project or program.  The Committee will address control of special projects, such as major MARC loading or borrower mailing notification, which threaten to hinder effective response time.

Committee recommendations will be enforced by the Council to ensure the integrity of the database.  Member libraries shall have the right to appeal to the Council any recommendation made by the Committee.

The Committee shall consist of one representative from each VLC member library. The appropriate VLC staff members shall serve as ex officio members.  The officers will consist of the Chair and the Chair-Elect.  The Chair shall be responsible for setting the agenda and conducting the meeting.  The Chair-Elect shall serve as Chair in the Chair’s absence.  All decisions must be reached by majority vote of the Committee members present, with nine members representing a quorum and each member having one vote. The Committee shall have the authority to establish sub-committees and task forces. 

The Council may add or alter representation on the Committee to reflect new membership or other changes within the Consortium.  The Committee may invite staff members from prospective libraries to attend Committee meetings.

II. Authority to Enter Bibliographic Records in the VLC Database

Members are responsible for adding MARC bibliographic records for all items entered into the system.  All members adding records to the VLC database must use OCLC. Alternatively, participating libraries may enter original bibliographic records if the following conditions are met:

A.  Use approved MARC formats.

B.  Use the latest editions of the following cataloging tools, as needed.  (Some of these tools are available on the web.)

1.  Descriptive Cataloging
     a.  Anglo-American Cataloging Rules
     b.  Library of Congress Rule Interpretations

2.  OCLC’s Bibliographic Formats and Standards

3.  Classification scheme (as appropriate to the member library)
     a.  Library of Congress Classification
     b.  Dewey Decimal Classification and Relative Index
     c.  ANSCR (Alpha-numeric System for Classification of Recordings)
     d.  National Library of Medicine Classification
     e.  Superintendent of Documents number
     f.  Locally defined classification system may be used

4. Subject Headings (as appropriate to the member library)
    a.  Library of Congress Subject Headings (LCSH)
    b.  “Annotated Card Program” contained in LCSH (Children’s subject headings)
    c.  Medical Subject Headings (MESH)
    d.  Other Library of Congress-approved thesauri

C.  Participate in a catalog-training course provided by the VLC, the Midwest Collaborative for Library Services, or an accredited university. Other courses may be approved by the Committee.

D. Members wishing to enter original MARC cataloging into the VLC database and to have access to the authority files for the first time are required to follow the procedures as outlined in Procedures, I.A.

III. Authority to Alter Bibliographic Records in the VLC Database

Members are responsible for editing bib records in the database to conform to current Anglo-American Cataloging Rules and Library of Congress Subject Headings.  Participating libraries are responsible for training staff to alter or edit bib records.  Individuals may alter or edit bib records if the following conditions are met:

A.  Use MARC records loaded from an approved utility and/or institution.

B.  Use the latest editions of the following cataloging tools

1.  Anglo-American Cataloging Rules
2.  OCLC’s Bibliographic Formats and Standards
3.  Classification tools from the list above in Section II. B. 3

C.  Participate in a catalog-training course provided by the VLC, the Midwest Collaborative for Library Services, or an accredited university. Other courses may be approved by the Committee.

IV. Bibliographic Record Formats (The following Horizon formats are approved for use)

A. Full MARC Records (Full MARC records are to be input for the majority of the materials in the VLC database.)

1.  The descriptive cataloging of complete records must comply with current Anglo-American Cataloging Rules, the Library of Congress Rule        Interpretations, and Library of Congress Subject Headings.

2.  Records must be encoded in the OCLC-MARC format, which uses the 001 field for the OCLC number.  All fields indicated as mandatory or required in the OCLC level I input standards, including fixed fields, must be filled in completely and accurately.

3.  Cataloging and coding variations for different types of materials must be followed.  The standards to be followed are found in the latest editions of the OCLC manuals.

4.  The 040 field containing the cataloging library’s three (3) letter code in subfield a must be present on all records cataloged originally by VLC member libraries on Horizon.  Libraries must enter their 3 letter code in subfield d of the 040 when editing records that do not already have the 040 tag.

5.  VLC MARC Tag Requirements for all records:

001 control number (OCLC control number or three letter location code, ddmmyyyy, and horizon bib number)
007 all subfields as appropriate
008 (fixed field information) - as appropriate to the format
010 subfield a: (LCCN) – when applicable
020 subfield a: (ISBN) – when applicable
022 subfield a: (ISSN) – when applicable
040 subfield a (when original), subfield d (when editing)
086 subfield a: (government documents classification number) – when applicable
1xx subfield a: (author) – when applicable; other subfields as needed
245 subfield a: (title) – other subfields as needed
260 subfields a,b,c (publisher information) (archival cataloging requirements may differ)
300 subfields a, c (physical description) – except for remote access only records
856 Electronic PURL or URL – required only for remote access records

6.  All new MARC records loaded, from whatever source, must be reviewed and brought up to standards once in Horizon by the VLC member attaching the first circulating item.  All unique information must be retained and placed on the bib record being saved.

7.  Remote-access links.  The library attaching the first item to the bib containing a link to an electronic document or page is responsible for maintaining an existing 856 tag (Electronic Location and Access tag) or removing a non-functioning tag from the bibliographic record.

Bib records for restricted resources need language in the 856 $z which reflects who can access the records.
Examples:  Public Libraries of Saginaw legal service area cardholders click here.
            Caro, Gladwin, Iosco-Arenac cardholders click here.

Local item records must clearly indicate that the item is not available in physical format and the ITYPE must be one that will not allow holds to be placed on the item

B. Horizon Short MARC (Generic) Records

Bibliographic records in less than full-MARC format are acceptable for certain kinds of ephemeral materials.  Complete access is not available for these materials, but some kind of record must be in the database for circulation purposes.  Libraries may create agency specific generic bibliographic records. Libraries wishing to attach items to these bibliographic records must follow the examples provided in the Procedures.  These records will be designated as “staff only” and will not appear in the public catalog.

Records are available for the following items:

Annual report
Artwork
College catalog
Comic book
Equipment
Game
In-house use item  
Interloan item
Leased item
Map
Newspaper
Pamphlet
Paperback
Phono record
Picture
Puppet
Puzzle
Travel
Vertical file

C.  Horizon Fast-add Records 

Fast-add records are to be used only for circulating materials that have not yet been cataloged.  At checkin the Fast-add record will be automatically deleted from the system and a message to that effect will appear on the screen.  The Fast-add title will be entered in ALL CAPITAL LETTERS with –FA at the end of the title.  Fast-add records will not be permitted to remain on the system longer that 120 days and they will be deleted periodically by VLC.   Member libraries are responsible for seeing that Fast-add items are properly cataloged on MARC records.  Items circulated on Fast-add records should not have a loan period longer than 90 days.

D. Pre-publication MARC Records from approved utilities

Institutions may load pre-publication MARC records from approved utilities for titles they expect to receive.  Libraries may attach their anticipated items to these records.

It is the responsibility of the library attaching the first barcode item for an item available for use to upgrade the record once the item has been received.  If the item is NOT received, the bibliographic record must be deleted unless other libraries have attached items. 

Libraries that have attached items to a pre-pub bibliographic record must upgrade the items record if the item is received or delete the items record if the item is not received.

E.  Acquisitions records

MARC vendor order records may be loaded or Horizon ACQ order records may be created for use with acquisitions.  These records must conform to section IX-Acquisistions Records Standards.  Records loaded or created for use with this module must be replaced with records from an approved source.

F. Reserve item records

Libraries using Horizon Reserves may create records for reserve items as needed.    All information added for reserve items must be in all CAPITAL LETTERS.  This includes instructor names, author names, call numbers, course ID’s, and titles and authors of personal items.

IX. Acquisitions Record Standards - Creating the Acquisitions Order Record

A.  Authority to enter or alter information in acquisitions

The authority to enter or alter information in acquisitions will be based on the member library successfully completing acquisitions training.  If a member library fails to comply with these standards it will be brought to the attention of the Database Committee.

B.  Author field (will appear in the catalog)

When entering an author, type in the full name of the author in all capital letters with last name first, followed by a comma, followed by the first name, followed by the middle initial when available (no period), followed by two (2) hyphens and ACQ.  (LAST NAME, FIRST NAME MIDDLE INITIAL--ACQ)  Do not include dates or titles.

Examples: FRANCIS, DICK--ACQ
                 PARKER, ROBERT B--ACQ

When downloading an acquisitions record from a vendor source, the existing author should be followed by two (2) hyphens and ACQ.

C.  Title field (will appear in the catalog)

When entering the title, type it in all capital letters.  Follow it with two (2) hyphens and ACQ to signify that it is an acquisitions title.  Do not put a space between the words and the hyphens. Do not include initial articles (a, an, the) in the title.

Examples:  ADVENTURES AT VLC--ACQ
                 GOING TO THE LIBRARY--ACQ

When downloading an acquisitions record from a vendor source, the existing title should be followed by two (2) hyphens and ACQ.

D.  Editions field (will appear in the catalog)

When entering an order record from an item other than a regular print item, enter one of the following terms (IN ALL CAPS) in the edition field:

CASSETTE
DVD-ROM     
CD/DVD
LARGE PRINT  
CD-ROM
MP3
COMPACT DISC
VIDEOCASSETTE
DVD
PLAYAWAY
BLU-RAY   
 
E.  Other bibliographic information

Fill in as much other bibliographic information as possible.  Not only may this aid in ordering, but it could also prove helpful to the borrowers.
 

V. Authority Control

A. Name, Uniform Title and Series Headings

Personal, corporate, and conference names, uniform titles, and series names must follow current AACR standards, as adopted by LC.  If LC has not established a particular name form, the cataloging library should do so, following current AACR and LC practice.  In the case of name/title headings, the title portion should be formatted to uniform title procedures.

B. Subject Headings

Each library must use the current LC Subject Headings when assigning subjects to items.

All subject headings must be encoded with the proper indicator, in the OCLC-MARC format, in order to keep each system of headings separate.

C. VLC will provide ongoing authority control

VI. Serial vs. Monographic Records

A.  Definitions

1.  AACR2 defines a monograph as "a nonserial item, i.e., an item either complete in one part or complete, or intended to be completed, in a finite number of separate parts." 

2.  A serial is defined as a “publication in any medium issued in successive parts bearing numerical or chronological designations and intended to be continued indefinitely."

3.  A series is defined as a “group of separate items related to one another by the fact that each item bears, in addition to its own title proper, a collective title applying to the group as a whole.  The individual items may or may not be numbered.”

B.  If the various volumes of a serial contain different information, the library may choose instead to use a monographic record for each volume and then add the appropriate series statements to each record.

C.  When adding an item to a serial bib record, a copy record is required for the library.

D.  Do not add copy records to monographic bib records.

VII. Database Maintenance

VLC staff shall have the responsibility of coordinating the database input efforts of the individual institutions.  Members of the VLC will locate, report, and resolve problems following the procedures established by the VLC.

It is the responsibility of all VLC members to maintain the highest quality bibliographic database.  Members must either correct database errors or consult with other affected libraries when in doubt.  Recurring or consistent problems should be reported to the Database Chair.  When a member is unable to make the correction, refer to the “Reporting Forms” (Procedures, I. F.)

A. Merging Records

1. All unique information must be retained and placed on the bib record being saved.

2.  For any distinctive bibliographic work there should be only one record in the database.  VLC libraries are expected to follow the guidelines determining what constitutes a distinctive bibliographic work that are provided in the most recent edition of OCLC's Bibliographic Formats and Standards.

3.  Merging should be performed on a timely and ongoing basis.  Institutions without the ability to merge records should report duplicate title records to the VLC. 

4.  Priority of Bibliographic Records in the Database

a. A record with an OCLC control number in the 001
b. A record with the LCCN in the 001
c. The most complete full MARC record

B. Deletion of Records

1. Any time an institution withdraws an item from its collection, authorized personnel at that institution must delete the appropriate items record in a timely manner.

2. Any time an institution has deleted the last items record attached to a bibliographic record, the authorized personnel of that institution MUST delete the bibliographic record.

3. The Committee may recommend system-wide purges of the bibliographic database.

VIII. Enforcement

The official Database Representative is responsible for monitoring and enforcing these standards at her or his institution.  Recurring or consistent problems should be reported to the Database Chair.  If the institution continues to deviate from the standards, the Committee will discuss the issue and, if necessary, vote whether to submit a formal recommendation to the institution.  If the problem persists, it will then be brought to the attention of the Council for final dispensation.

If members do not complete database projects, the VLC staff is authorized to delete the records that do not meet the standards as described in the project.
 

X. Serials Record Standards

Purpose of serials

The purpose of serials is to allow the VLC member libraries to have online access to their serials holdings and to have the ability to exercise descriptive control over them

B. Authority to enter or alter information in serials

The authority to enter or alter information in serials will be based on the member library successfully completing serials training.  If a member library fails to comply with these standards it will be brought to the attention of the Database Committee.
 
C. Database Maintenance

1. Responsibility

The member library will be responsible for complying with the standards for the serials records.

If a member library chooses not to participate in serials, it is still their responsibility to inform the VLC staff of changes in serials information for those serial titles held by their institutions and included in the VLC database.

2.  Serial Bibliographic Records

Full MARC records are to be input for all serials cataloged on the HORIZON system. The standard Horizon serials displays are adaptations of the ANSI Z39.44 standard.  When adding a copy record to a serials bibliographic record the member library should use the text serials bibliographic record.  When the text record is not available, the bibliographic record in the format for the item in hand should be used.

For those serials received on a daily and weekly basis that migrated, the location information was entered in the title field 245 subfield a.  This required separate bibliographic records. The location information is in the city/branch format.

e.g. SAGINAW/HOYT

Serial bibliographic records require the use of the Serials Format as defined in USMARC Format for Bibliographic Data or OCLC's Bibliographic Formats and Standards, utilizing the standards established in the current edition of the Anglo-American Cataloging Rules.
 
3.  Authority Control

In addition to the standards outlined below, the standards as established by the Database Control Committee for monographs also apply for serials.  Each member library is required to follow those standards.

4. Each member library actively receiving a serial will establish its own publication pattern.
 

XI. Community Resources Record Standards

A.  Authority to Enter and Alter Records in Community Resources (CR)

1.  Community Service Organizations Database

a.  Any member library may enter data in this file if the following conditions are met:

i.   Libraries must conform to the approved data entry procedures as described in the Community Service Organizations Procedures.  Anyone working on data entry must participate in VLC approved training.

ii.  Libraries must use the current edition of the Horizon Community Resources User’s and Administrator’s Guide.

iii. Libraries must use the current edition of the Taxonomy of Human Services and the most recent supplements.

iv. Libraries must use the Library of Congress format for geographical subject headings.

v.  Each member library is responsible for adding, changing and deleting its own  records.  A member library may not edit or delete any record input by another member.  Requests or changes must be sent to the library, which originally input the data.

b.  Database Maintenance of the Community Service Organizations File

i.  Each member institution is responsible for soliciting, inputting and updating information about local clubs and service organizations.  In cases where these overlap service areas, the libraries must check the Horizon database for existing records.

ii. Each member institution must update information at least every year.

iii. If information is not updated within two (2) years, the record for that   organization will be deleted by the VLC.

c.  Enforcement

i.  Each institution is responsible for designating one individual to monitor and enforce the standards at her or his institution.  If an individual notes an error in the CR record that originated at another institution, that individual may not edit or correct it.  Contact the originating institution about the error.

ii. The designated staff member at the originating institution will then edit/correct the error within two weeks of the initial complaint.

iii. If the institution continues to deviate from the standards the CR Committee will discuss the issue and, if necessary, vote whether to submit a formal recommendation to the Database Committee.  If the problem persists, it will then be brought to the attention of the Administrative Council.


2.  Newspaper Indexing Standards

a.  Any member library may enter data in this file if the following conditions are met:

i.  Libraries must conform to the approved data entry procedures as described in the Newspaper Index procedures.  Staff must attend a VLC approved training class.

ii.  Each library is responsible for making its own written policy governing what is and is not indexed from its local paper.  Each library will be responsible for providing a copy to VLC for distribution to the members.

iii. Libraries must use the current edition of the Library of Congress Subject Headings.

iv. Libraries must use the current edition of the Anglo-American Cataloging Rules.

b.  Enforcement

i.  Each institution is responsible for designating one individual to monitor and enforce the standards at her or his institution.  If an individual notes an error in the CR record that originated at another institution, that individual may not edit or correct it.  Contact the originating institution about the error.

ii. The designated staff member at the originating institution will then edit/correct the error within two weeks of the initial complaint.

iii. If the institution continues to deviate from the standards the CR Committee will discuss the issue and, if necessary, vote whether to submit a formal recommendation to the Database Committee.  If the problem persists, it will then be brought to the attention of the Administrative Council.