Indiana Library and Historical Board
Automation Standards
State Standards for Public Libraries
and Public School Libraries [revised 2/97]
BACKGROUND AND EXPLANATION
PURPOSE:
These
AUTOMATION STANDARDS (590 IAC 2) are required for evaluating
library automated systems under consideration for purchase.
The standards
are written to be used in the implementation of new computer
systems
acquired after July 1, 1993.
The Council on Library Automation STANDARDS will: (1) facilitate
the implementation of an automation network that gives maximum
benefit to library patrons in using their own library systems
or finding
information in other libraries across the state and nation;
(2) guide Indiana
libraries in investing human and financial resources prior
to local automation purchase and participation in the network;
(3) be
used by state agencies as a criterion for deciding to support
a particular
automation project; and (4) promote full network participation
by libraries
conforming to these STANDARDS.
STANDARDS VERSUS GUIDELINES:
The Council on Library Automation's recommendations to libraries
have been divided into two parts: STANDARDS (590 IAC 2) and
Guidelines.
The STANDARDS are promulgated in a rule-making process that
state
agencies follow that give the STANDARDS the effect of law and
are to
be considered MINIMUM standards. Libraries are encouraged to
go beyond them
through use of the guidelines. The guidelines cover areas in
which the
Council wishes to give libraries guidance, but where there
is not one recognized
national standard or practice, or in which it would be difficult
to
formulate a legal statement. Some of the areas covered in the
guidelines
may be moved to STANDARDS in the future as national standards
become recognized.
In the following pages the STANDARDS will be printed in bold type.
WHO IS AFFECTED?
All libraries and library services authorities in Indiana should
follow these standards.
STATUS OF CURRENT SYSTEMS:
Libraries which already have contracted for, or have automated
systems in place before the STANDARDS go into effect are not
required
to meet these STANDARDS. Compliance with the STANDARDS will
be required
at such time as a different system is bought to replace the
current one, or
a new version of software is bought to upgrade the current
system. Libraries
and library services authorities are encouraged to upgrade
to the
STANDARDS as soon as possible. The fact that the current system
does not
meet these STANDARDS does not mean that it cannot be upgraded.
590 IAC 2 AUTOMATION STANDARDS
RULE 1. APPLICABILITY
590 IAC 2-1-1 Applicability
Sec. 1. This article applies to all libraries or library services
authorities expending funds for library automated systems installed
after July 1, 1993.
RULE 2. DEFINITIONS
590 IAC 2-2-1 Applicability
Sec. 1. The definitions in this rule apply throughout this article.
590 IAC 2-2-2 "Authority record" defined
Sec. 2. "Authority record" means information which
establishes the standard forms of names and subjects to be
used as access points
on bibliographic records.
590 IAC 2-2-3 "Bibliographic record" defined
Sec. 3. "Bibliographic record" means information
which physically describes items in a library's collection.
590 IAC 2-2-4 "Cross-reference" defined
Sec. 4. "Cross-reference" means a direction from
one (1) heading or entry to another.
590 IAC 2-2-5 "Holdings" defined
Sec. 5. "Holdings" means a statement of items held
by a particular library which is usually part of or linked
to a bibliographic record.
590 IAC 2-2-6 "Library automated system" defined
Sec. 6. "Library automated system" means computerized
library specific functions, such as circulation or patron
access catalog
that stand alone, are shared, or are linked to computers
in other locations.
590 IAC 2-2-7 "Monograph" defined
Sec. 7. "Monograph" means an item that is complete
in one (1) part or a specific number of separate parts.
590 IAC 2-2-8 "Multi-part" defined
Sec. 8. "Multi-part" means a monograph that is
complete in a specific number of separate physical parts,
such as encyclopedia
sets, a kit, or a music score in parts.
590 IAC 2-2-9 "OCLC" defined
Sec. 9. "OCLC" means the Online Computer Library
Center which is an international bibliographic utility used
by libraries for cataloging,
interlibrary loan, acquisitions, and other related activities.
590 IAC 2-2-10 "Online" defined
Sec. 10. "Online" means a system in which end users
are directly linked to a computer running an application.
590 IAC 2-2-11 "Provisional record" defined
Sec. 11. "Provisional records" means temporary
or preliminary information used to describe an item for which
full cataloging
is currently unavailable.
590 IAC 2-2-12 "RLIN" defined
Sec. 12. "RLIN" means the Research Library Information
Network which is an international bibliographic information
utility
used primarily by libraries for cataloging, interlibrary
loan, and other
related functions.
590 IAC 2-2-13 "Serial" defined
Sec. 13. "Serial" means a publication in any medium
issued in successive parts and intended to be continued indefinitely.
Serials include periodicals, newspapers, yearbooks, annuals,
and similar
publications.
590 IAC 2-2-14 "Terminal emulation" defined
Sec. 14. "Terminal emulation" means software and/or
hardware which allows a computer to simulate a terminal type
so a terminal
can communicate with another computer that supports the same
terminal
emulation.
590 IAC 2-2-15 "USMARC" defined
Sec. 15. "USMARC" means the machine readable communication
format standards developed by the Library of Congress to
define the
elements for transmission of a bibliographic record and includes
the MARC
formats used by OCLC and RLIN.
590 IAC 2-2-16 "VT100" defined
Sec. 16. "VT100" means a type of terminal emulation
standard which
is widely used.
RULE 3. INCORPORATION BY REFERENCE
590 IAC 2-3-1 Incorporation by reference
Sec. 1. (a) When used in this article, references to the
publications listed in subsection (b) shall mean the version of that
publication listed in subsection (b) and not any later supplements,
editions, or addendum issued.
(b) The following publications are hereby incorporated by reference:
(1) "AACR2", the Anglo American Cataloguing Rules,
2nd ed., 1988
revision, available from the American Library Association, 50 East Huron
Street, Chicago, Illinois 60611.
(2) "Library of Congress Name Authority File", January
1991 through September 1991 accumulation available from the
Cataloging Distribution
Service, Library of Congress, Washington, D.C. 20541 or the
OCLC online file of that name.
(3) "ANSI/NISO Z39.44, American National Standard for
Information Sciences--Serial Holdings Statements", 1986,
available from Transaction Publishers, Department NISO91,
Rutgers--The
State University, New
Brunswick, New Jersey 08903
(4) "USMARC Format for Authority Data", 1987, including
all updates up to July 1, 1992, available from the Cataloging
Distribution
Service, Library of Congress, Washington, D.C. 20541.
(5) "USMARC Format for Holdings Data", 1989, including
all updates up to July 1, 1992, available from the Cataloging
Distribution Service,
Library of Congress, Washington, D.C. 20541.
(c) The incorporated materials are available for public review
at the offices of the Indiana State Library.
Guideline:
1. The Indiana Rule Promulgation Process requires that specific
editions be named in the Standards. However, it is recommended
that libraries use the most up to date version of the publications
listed above. The following editions were updated as of Jan.
1997:
(4) "USMARC Format for Authority Data", 1993, with
updates No. 1, July, 1995.
(5) "USMARC Format for Holdings Data", 1989, has
a second updated, July, 1994.
RULE 4. BIBLIOGRAPHIC DATA RECORD
590 IAC 2-4-1 Bibliographic database records; minimum standards
Sec. 1. (a) Bibliographic records must include the following:
(1) All bibliographic records, other than provisional records,
must be encoded to the USMARC format appropriate to the type
of material being cataloged.
(2) All materials must be cataloged according to AACR2. The
minimum level of description is AACR2, First Level, plus a
series statement.
(3) Subject headings must be assigned to facilitate retrieval
of materials. Nationally recognized, current authority structures
(thesauri) which are appropriate to the cataloging agency and
the material being cataloged should be used. 690 fields for
local
headings are allowed. Some nationally recognized, acceptable
subject
heading systems are:
(A) Library of Congress Subject Headings.
(B) Library of Congress Subject Headings for Children's Literature.
(C) National Library of Medicine's Medical Subject Headings.
(D) National Agricultural Library Subject Headings.
(E) Sears Subject Headings.
EXPLANATION:
A USMARC record is composed of three elements: the record structure,
the content designation, and the data content of the record.
The
content of certain coded data elements (e.g., the leader, fields
007 and
008) is defined in the USMARC record.
The standard for use of USMARC in cataloging allows short records
or full MARC to be used. AACR2 Rev., First Level, is a shortened
form
of entry which includes author's name, title, edition, number
of pages
or volumes, publisher, place of publication, date, and standard
number
(ISBN, ISSN, and LC card number)
OCLC guidelines allow pre-AACR2 cataloging copy to be transcribed
using pre-AACR2 descriptive cataloging or AACR2 Rev. These
guidelines
would apply to retrospective conversion projects.
NOTE: The Library of Congress now has a MARC Diagnostic Service.
This service will test cataloging records submitted by a vendor
for validity of USMARC fields, tags, and the file's structural
integrity.
It is recommended that libraries ask vendors if they have been
tested,
and if so, to submit a copy of the report.
Guidelines:
2. In cataloging according to the Anglo American Cataloging
Rules, 2nd Edition, 1988 Revision (AACR2 Rev.), the relevant
Library of
Congress Rule Interpretations should be consulted for additional
information
in interpreting AACR2. Second level description is recommended
if possible.
3. Recognizing the impracticality of upgrading retrospective
cataloging to full AACR2 standards, libraries should follow
the retrospective
conversion guidelines in the latest edition of OCLC Bibliographic
Input Standards.
4. Less than full MARC/AACR2 cataloging for provisional records
is acceptable with the understanding that these bibliographic
records standards will be met as soon as possible. Temporary
cataloging
will be tolerated when no full MARC record is available, a
library
wants to list an item as being on-order, or when a brief description
of items
in special collections is created because full cataloging is
impossible
in the near future.
Sec. 1 (b) Authority records must be structured as follows:
(1) Authority records must be encoded according to the USMARC
Format for Authority Data.
(2) Names must be entered in accordance with the Library of
Congress Name Authority File or appropriate cross-references
provided
thereto.
EXPLANATION:
Authority records are the correct forms of names, series or
subjects used in the catalog. The purpose of the authority
file is to facilitate
access to entries. Any automated system which is purchased
should
have the capability to implement authority control. However,
these
STANDARDS do not require that the authority control module
be implemented.
Guideline:
5. All new automated systems should have the capability for
authority control. While libraries do not have to implement
authority control,
they are strongly encouraged to do so. It is expected that
libraries
will buy a system that is MARC based and fully integrated.
Sec. 1 (c) Holdings records must be structured with summary
holdings statements provided for multi-part items and serials
containing
data elements specified in USMARC Format for Holdings Data
and ANSI/NISO
Z39.44 Level Three.
EXPLANATION:
The USMARC Format for Holdings Data is designed to be a carrier
for holdings information for three types of bibliographic items
that are identified by a code in the type of record field:
a single-part
item which is complete in a single physical part; a multi-part
item which
is complete, or intended to be complete, in a finite number
of
separate physical parts; or a serial item which is issued in
successive
parts at regular or irregular intervals and is intended to
be continued
indefinitely. Holdings information may include copy-specific
information for an item, information that is peculiar to the
holdings organization,
information that is needed for local processing, maintenance,
or preservation of the item, and version information.
A summary statement would be a brief statement of the pieces
in a set. Examples would be 20 volumes of World Book, eight
parts to
a music score, or five cassettes for one title.
Guideline:
6. (a) It is not considered feasible to completely implement
the USMARC Format for Holdings Data at the current time, but
it may become
a feasible standard in the next few years.
(b) The standards set a minimum usage of the USMARC Format
for Holdings Data. It is recommended that detailed holdings
statements
be supplied using data elements specified in USMARC Format
for
Holdings Data and ANSI/NISO Z39.44 Level Four.
RULE 5. SYSTEMS HARDWARE AND SOFTWARE
590 IAC 2-5-1 Minimum standards
Sec. 1. (a) Each online library
automated system shall provide at least one (1) dial-in facility
which will support VT100
terminal
emulation. (b) Individual libraries must provide documentation
for dial-in
access parameters, for example, stop bits, parities, baud
rates, or passwords (if used).
(c) All library automated systems must accept USMARC input
and provide USMARC output.
EXPLANATION:
These STANDARDS are written to encourage the linking of local systems to enable easy access for all users. The intent is that the dial-in port would provide for public access.
VT100 terminal emulation is a common type of terminal communication" style" which most systems can recognize. This standard does not limit a system to providing only this type of terminal emulation; other types may also be provided in a menu of choices.
CD-ROM based systems do not have to have a dial-in port on stand-alone stations, but networked systems should have at least one dial-in port.
Guidelines:
7. The system should provide on-line access to the resources of other libraries and display the resources of the library to other libraries through a public telecommunication network such as the Internet provides in 1997.
8. Many of the OSI (Open Systems Interconnection) standards adopted by the International Standards Organization currently have not been implemented fully. As these standards are implemented in a cost-effective and ubiquitous manner, they will be adopted by the Council on Library Automation and the Indiana Library and Historical Board.
9. The Council on Library Automation proposes no interim standard, but suggests that telecommunications decisions be governed by the criterion of practicality (will the proposal work?) TCP/IP (Transmission Control Protocol/Internet Protocol), as well as other existing telecommunications protocols, may be used by the library in their telecommunications.
Additional Guidelines:
RESOURCE SHARING/INTERLIBRARY LOAN
10. Each library participating in the Indiana library and information network is encouraged to provide interlibrary loans to other libraries in the network insofar as its materials circulate. The library should follow the guidelines laid down in the latest version of the Indiana Library Resource Sharing Manual. Vendors should be encouraged to adopt Z39.63, the American National Standard for Interlibrary Loan Data Elements.
11. It is recommended that libraries and library services authorities encourage their vendors to implement the following national standards for searching between systems:
ANSI/NISO Z39.50, American National Standard for Information Retrieval Service Definition and Protocol Specification, and
ANSI/NISO Z 39.58, American National Standard for Common Command Language for Online Interactive Information Retrieval; or equivalent software interface.
PLANNING
12. Each Indiana library will have, or be a partner in, a technology plan that is consistent with state and local overall planning and is integrated with other planning done by the library or parent institution. That plan must be in place by Jan. 1, 1998, or when applying for state or federal grants administered by the Indiana State Library.
Although this is a guideline, it is likely that state and federal grant applications will require a technology plan, if the application is for a project involving technology. Therefore it is recommended that libraries immediately begin this planning.
For guidance in preparing such a plan, one source is the document" Planning for Technology: Implementation Procedures" written by COLA.
