Annals of Library Science and Documentation 1985, 32(1-2), 7-14

THE UNISIST REFERENCE MANUAL FOR MACHINE·READABLE BIBLIOGRAPHIC DESCRIPTIONS "IITffiNTHE CONTE (T OF INTERNATIONAL EXCHAN'GEFORMATS

INTRODUCTION

Reference Manual for machine-readable biblio-graphic descriptions [1] is the official title ofthe Unesco publication which is the subject ofthis article. It is often referred to as the UNl-SIST Reference Manual became the first edition(1974) was one of the products that wereconceived during the 1961 UNISIST Conferenceheld under the joint auspices of Unesco andICSUAB (International Council of ScientificUnions - Abstracting Board)[ 2] .

In this article the history of development,purpC3C and intended users of the ReferenceManual will be sketched. Its main featuresw·:;} be ,·,-,tlined and its future within the frame-work of other international exchange formatswill also be discussed.

HISTORY AND PURPOSE

As already mentioned the original 19"74 editionwas prepared by the Ul'·aSIST/lCSU-AR Work.ing Group on Bibliographic Description, set 'Jpin 1967 as one of the working groups to studymatters in connection with tr,c then proposedestablishment of UNISIST ((2), pp. 9}-94)).Before publication of the first dition, a draftwas tested in 1972 hy the Department ofInformation Studies, University of Sheffield,UK, in consultation with an internationalgroup of libraries and secondary informationservices. The results of this test and of furtherdiscussions in the Working Croup were incor-porated in the 1974 edition, which was compil-ed by David Martin, then at Inl;pec, now atthe British Library. In 1976 the UNISISTInternational Centre for Bibliographic Descrip-tions (UNIBID) was established by the BritishLibrary in collaboration with Unesco , withinthe framework of the UNISIST programme,

* Responsibility for the contents of this articleis strictly that of the author and not of theInstitu te of Social studies.

Vol 32 Nos 1-2 March-june 1985

HAROLD DIERICKXInformation DepartmentInstitute of Social StudiesP.O. Box 907332509LS, The Hague, Netherlands

with the major objective of revising the firstedition and handling its future updating andpromotion. The second edition, published in1981, is the result of this revision, carried outin close consultation with Unesco's Division ofthe General Information Pro~amme (PGI) andan Advisory Committee of actual and potentialusers. Alan Hopkinson and the author of thisarticle, both at UNIBID until 1982 when it wastransferred to PGI, Unesco Headquarters,Paris, were the compilers and editors of the newedition.

Although during the initial UNISIST discus-sions the Reference Manual was conceived toserve the entire library and information comm-unity, it is fair to say that .what actually emergedhad a strong bias towards the requirements ofabstracting and ir.dexing services. Nevertheless,rhe Reference Manual did provide the essentialclements for an adequate description andidentification of bibliographic items, but notnecessarily to the fullest possible formal stan-dards required by-say- some national libraries.

The creation within Unesco of the newGeneral Information Programme in 1977 to dealwith libraries, information services and archivesin an integrated fashion, influenced the generaldirection of the second edition. Data elementswere added to make the Manual more hospitableto a wider circle of users, including libraries, anddie fact th.« it could be used by manual aswell as automated systems was stated moreexplicitly.

MAIN FEATURES

Exchange or Input Format?

Before commenting on this particular point itis necessary to make clear what is to be under-stood respectively by the terms exchange orcommunication format, internal or processingformat, and input format,

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DIERICKX

Any machine-readable bibliographic formatcomprises four basic elements: (i) a carrierformat or record structure] 3 J, (ii) contentdesignators such as field tags, sub field identi-fiers etc., (iii) data element names and defini-tions, and (iv) defined data element sets to beused to describe particular types of bibliographicitems. The distinction between an internal orprocessing format, and a communication orexchange format, is mainly functional and ismost noticeable in the form the carrier formattakes. In an internal format the form of therecord structure must be such as to allow formaximum efficiency and economy in computerprocessing, whereas the record structure of anexchange format must be - so to speak - "logi-cally transparent", that is to allow for the un-ambiguous identification of discrete data ele-ments for automatic conversion from theexchange to a variety of local internal formatsand vice versa. .

Whereas the terms exchange and internalformat defined above relate more specificallyto aspects of machine readability and manipula-tion, the term input format is applicable to bothautomated and manual environments and rela-tes more specifically to the intellectual anddisplay aspects of manual or on-line biblio-graphic description and cataloguing. Morerrecisely, the input format is the prescribedrorrn in which bibliographic items are recordedon an input sheet or via a terminal screen. Inmany cases this format is different from boththe internal and the exchange format and alsofrom a fourth format which may be distinguish-ed, i.e. the display [ormat for printing pnrposes.

One of the interesting things to note aboutthe Reference Manual is that, although con-ceived in principle as an exchange format, inpractice it has also been used as a source forlocal bibliographic description manuals and asan internal format. The latter is perhaps to beexplained through the circumstance that, duringthe first years after publication, magnetic tapewas still more used as exchange and storagemedium than is the case now. The recordstructure of the Reference Manual being essen-tially a tape format, the practice of using thatstructure also as an internal format may havecome fairly natural. Most new users wouldprobably no longer do this. When used as abibliographic description manual, it should berealized that this is to be understood literally,i.e. the Manual, although containing the essen-

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tial elements necessary for cataloguing, stopsshort of any precise rules; it is only concernedwith those for bibliographic description [4] .Although not necessary intended that way atthe beginning, this versatility of the ReferenceManual has proved to be an advantage : indeed,every exchange format to be effectively usedneeds development of a compatible local inputor implerne "ion format. The fact that theReference Mai.ual already contains the elementsnecessary for bibliographic description makesthis task easier and promotes standardization oflocal input formats.

It should be mentioned that exchangeformats that are actually used, if not containingdescription rules from the beginning, show atendency to evolve in that direction. To quoteonly a few examples : the INIS [5] and AGRIS[6] formats, like the Reference Manual, inclu-ded such rules frorn the start. The UNIMARCformat [7] originally contained very little orno explicit guidance for description or cata-loguing, perhaps because it was assumed thatthe intended users would all implement fairlystandard MARC-AACR rules. Given the diver-sity in local MARC and AACR implementa-tions it soon became apparent that standarduse of UNIMARC required drafting of a 50-

called interpretative or implementation man-ual(8). The CCF is taking the same course.As can be read in Alan Hopkinson's article(9] ,an implementation manual is in draft which willnot only give description rules but which willalso contain a specific implementation ofAACR II.

Use of Bibliographic Levels

Another significant feature of the ReferenceManual is its explicit use of bibliographic levels.

The formal distinction of several levels ofbibliographic description facilitates identifica-tion as well as linking of sub-records belongingto a composite record. This makes it possibleto describe parts of bibliographic items whichmay be considered as intellectually distinctalthough physically part of a larger item. Forexample, if it is desirable to draw the attentionseparately to one, several or all the chapters ofa report which is itself a volume in a reportseries, it is necessary to cite all the bibliographicdetails to identify the individual chapter(s)as well as the volume and the series in whichthe \"Olume is published. These three sets of

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INTERNATIONAL EXCHANGE FORMATS

descriptions, in the same record, may be saidto correspond to three different bibliographiclevels : the analytic, monographic and seriallevel respectivel z. A collection level can alsobe distinguished

Furthermore, the distinction of the dif-ferent possible combinations of bibliographiclevel in conjunction with the different types ofbibliographic entity simplifies input procedures.The Reference Manual contains tables whichshow essential and supplementary (optional)data elements for each relevant combination ofbibliographic level(s) and type of document,which can be translated into different corres-ponding input forms. This means that catalo-guers only have to distinguish bibliographiclevelts] and type of document related to theitem in hand to enable them to choose theappropriate input form which then gives themspecific guidance on the bibliographic detailsto be entered, whether manually or on-line.To some extent this "automates" the intel-lectual part of input.

The following definitions are an abbreviatedform of those given in the Reference Manual :

The Analytic level

The analytic level of a biblioraphic recorddescribes an item which is part 0 a larger workand which cannot be described and identifiedadequately without reference to one or moreof the other inclusive parts of the larger work inwhich it is contained. This is the case, forexample, for a chapter in a monograph, anarticle in a journal issue.

The Monographic level

The monographic level of a bibliographic recorddescribes an item which can be considered asa self-contained bibliographic entity, i.e. it canbe identified and described without referenceto another bibliographic item. Typical examplesare : a book (monograph), a report, a thesis.

The Collection level

The collection level of a bibliographic recorddescribes an item which is composed of atleast two but usually of more individuallyentitled works, but which consists of a definitenumber of constituent works. An example of acollection is all the works of one author repub-

Vol 32 Nos 1-2 March-June 1985

lished in one or more volumes. The componentparts of a collection mal be described at themonographic level, possibly in combinationwith a further analytic level.

The Serial level

The serial level of a record describes a biblio-graphic entity which is issued in successive parts,usually but not necessarily having numerical orchronological designations, and intended to becontinued indefinitely. Examples are : journals,monographic series. The component parts of aserial or series may be described ai the analyticand/or monographic level.

The essential difference between a collec-tion and a serial or series is that the former iscomposed of a finite number of items, whereasthe latter is meant to be open-ended. in practicalcataloguing the difference is not important andsome users of the Reference Manual, therefore,use the same fieldr ~or both the serial and thecollection level of records. In the second editionof the Reference Manual the distinction wasmade more explicit for the sake of theoreticaland terminological consistency.

Record StructureThe carrier format or record structure (recordformat) of the Reference Manual is a specificimplementation of the International StandardISO 2709: Documentation - Format for biblio-graphic information interchange on magnetictape [3]. The ISO bibliographic informationexchange record is divided in three sections :a fixed length label (leader) of 24 characters,a variable length directory, and data fields ofvariable length. The directory indicates thephysical position on the tape of the data fieldswhich mayor may not be preceded by indica-tors and WIdell mayor may not be divided intosubfield. The option chosen for the ReferenceManual is fields preceded by two one-characterindicators and divided into sub fields precededby two-character sub-field identifiers. It shouldbe noted that the three-character field tagsare not immediately preceding the fields whichthey' ident~fr but. are located in the directoryentnes which define the. position of the fieldsan the tape. Figure 1 shows the ISO 2709 _1981 record structure. The Reference Manualrecord structure incorporates field alterna-tive[ 4] .

9

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INTERNATIONAL EXCHANGE FORMATS

The main difference between the 1973and 1981 edition of ISO 2709 is the presence inthe later editic: of the (0 ptional) implemen-tation-defined f art in the directory. This ad-ditional element in the directory entries allowsthe inclusion Of information on the individualfields in the directory, which was not possiblein the previous edition. The 1981 editionof ISO 2709 now allows, for example, to indi-cate in the directory the bibliographic level ofeach field. Had this facility existed when theReference Manual was first published, the single-level tagging structure (a different tag for th-esame data element at different bibliographiclevels) would probably not have been adopted.Because of the new facility created in the 1981edition of ISO 2709, the editors of the secondedition of the Reference Manual proposed toreplace the single-level tagging structure by amulti-level tagging structure (the same tag forthe same data element at any bibliographiclevel). The Advisory Committee did not wishto follow them on this point, presumably be-cause this would have looked too much of achange for the existing users and would haveirnplie-' some complication at the level ofexchanges between new and existing users.The change would not have been of an y funda-mental nature but it would have meant, if onlya minor simplification for new users, at leasta means of doing away with the present ano-maly of also having a number of multi-leveltags for no apparent good reason except limit-ing the overall number of tags.

The CCF(10] has taken advantage of thefourth element in the directory for indicatingbibliographic levels and for its linking techni-ques. The CCF no doubt has the most compre-hensive and explicit methodology for linkingseparate records as well as fields or componentparts (bibliographic levels) within records. Onthe other hand, it remains to be seen whetherthis methodology may not prove to be difficultto implement at the cataloguing stage. TheReference Manual method of linking biblio-graphic levels implicitly within records by meansof tag differentiation (single-level tagging struc-ture) , and separate records by means of a crossreference in the A90 field may turn out to beeasier for the cataloguer. Linking of fieldswithin Reference Manual records is at presentconcerned but this method is less flexiblethan the CCF equivalent facility. A more con-venient solution might consist of creating a

Vo132 Nos 1-2 Marchjune 1985

new field for this purpose. It would appear inany case that the linking techniques of bothformats are compatible, although the conver-sion programs involved at the exchange levelwould probably be rather complex. Giventhe fourth element in the ISO 2709 directory,it should be possible to amend the ReferenceManual to incorporate the CCF linking facili-ties but, in the opinion of this author, thisshould not be done before the CCF metho-dology has proven itself as a widely adoptedsolution showing considerable practical ad-vantages over the Reference Manual approach.Perhaps the caution of the Advisory Committeetowards introducing new linking techniqueswas a wise decision at the time.

Summary of Contents and Practical Arrange-ments

The Reference Manual.is distributed as a boundpublication but pages are detachable and areperforated for easy insertion in a loose-leafbinder. This makes it possible to up-date con-tinuously with amendments, additions etc.Since publication in 1981, a first set of amend-ments has been prepared and is available uponrequest, as well as the Manual itself, fromUnesco, Division of the General InformationProgramme, Section for the Promotion ofMethods, Norms and Standards, in Paris. Whenordering the Reference Manual for the firsttime, it is recommended to ask also specifical-ly for the updates since these are not automati-cally added. The Manual is available free ofcharge.

The Introduction is a succinct statement ofthe purpose, intended users and philosophy ofapproach, as well as a brief guide on how to usethe Manual. Part 1 eXflains basic concepts andincludes matrixes of al data elements and theirmandatory or optional status depending onthe type of document they are meant to des-cribe and the applicable bibliographic level.Systems analysts and programmers find thesematrixes a particularly useful feature. Part 2gives names and detailed definitions of all dataelements and, when relevant, how the elementis to be selected and entered. Part 3 describesthe record format (carrier format) which is usedfor the Reference Manual and which is animplementation of ISO 2709. It also definescharacter sets, transliteration rules, magnetic

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tape standards· and deals with other aspect~primarily related to computer processing.Part 4 shows a number of examples of completebibliographic records prepared in accordancewith Reference Manual specifications : repro-ductions of title pages as well as citations ofthe works as they would appear in a biblio-graphy, abstracting journal etc., and a simulationof the way in which these records would bestructured on a magnetic tape, are given. Part5 is a set of comprehensive guidelines for pro-viding documentation on individual implemen-tations of the Reference Manual.

Wherever possible the Manual recommendsthe use of. standards issued by the InternationalOrganization for Standardization( ISO).

THE FUTURE OF THE REFERENCEMANUAL

The present situation

An article by the present author published inApril 1983 [11] anticipated that the ReferenceManual, in conjunction with a portable soft-ware, would be an integral part of a ,compre-hensive bibliographic information processingpackage that would be promoted by Unescofor use by libraries and documentation centresin developing countries (not excluding useelsewhere). The package would be primarilyaimed at users of microcomputers and theportability of the software would allow freedomof choice of hardware. In reality, things havenot developed quite in that 'Nay. The mainreasons for this are the publication in 1984of the CCF and the fact that the UNISIST Inter-national Centre for Bibliographic Descriptions(UNIBID) was only nominally transferred fromthe British Library in London to Unesco inParis, i.e, without its staff. To maintain andpromote effectively both the Reference Manualand the CCF seem to be a task beyond the re-sources of Unesco's Division of the GeneralInformation Programme. The present policy ofUnesco appears to go into the direction ofpromoting and maintaining the CCF in the firstplace, while at the same time giving somelimited support to developing a comprehensivebibliographic application based on the ReferenceManual and the IV+V software[12] by an out-side institution and without any outspokencommitment to maintain the Reference Manual.

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As a note in the ;:largin it may be observedthat the discontinuation of UNIBID, the logicaloutcome of the competition between variousstandards in the field of (international) exchangeof bibliographic information sponsored byvarious leading national and internationalorganizations in this field, has been most un-fortunate. UNIBID, together with the Inter-national Office for UBC, could have workedtowards a gradual harmonization of ISBDs,AACR, Reference Manual, UNIMARC andCCF, possibly resulting in a CCF that wouldbe a real "bridge" between the library worldand the other parts of the information com-munity. The current version of the CCF is abridge with still a few holes in the bottom.For example, the flexibility allowed in thetreatment of title and statement of responsi-bility may mean loss of information for usersof MARC type formats that exchange with - say- users of Reference Manual type formats viathe CCF. There is also some discrepancy in therespective definitions of bibliographic levelswhich may result in some (perhaps not veryessential) loss of information for users of MARCtype local formats. On the whole, whereverthe CCF states "in accordance with the practiceof the agency preparing the record" problemsof lack of compatibility may arise.

The Future of the Reference Manual J

Although the Reference Manual may not beactively maintained by Unesco in the future,there are a number of reasons why its continueduse by actual and potential users remains to bea valid practical proposition.

First, there can be no doubt that the Re-ference Manual is a very adequate source fordeveloping local input formats. One of thereasons for this is that it contains detailed rulesfor bibliographic description. The absence ofcataloguing rules is rather an advantage becauseit provides flexibility without necessarily hinder-ing compatibility at the exchange level. Sinceindividual data elements are clearly delimitedin the format, most automated informationsystems should be able to generate headingsand create access points automatically by pro-gram without difficulty. In short, the ReferenceManual contains precise guidelines for biblio-graphic description and at the same time allowsfreedom of cataloguing, the latter normallywithout hindering exchange compatibility.

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INTERNATIONAL EXCHANGE FORMATS

/The Reference Manual is also a fully ade-quate exchange format, in the first place forexchanges among its own users. Since it iscompatible wid the CCF, Reference Manualusers should als . be able to convert their inter-nal formats int o CCF exchange format. Anylimitations here, especially in terms of limitedcompatibility with e.g. MARC type formatsis due to the existing divergencies betweenthe original formats and cataloguing rules ratherthan to the Reference Manual or CCF as ex-change formats. For as long as ISO 2709 remains REFERENCES AND NOTESthe international standard carrier format forbibliographic exchanges, Reference Manual 1)users will have the possibility of exchanging ineither of the three more universal exchangeformats : Reference Manual, UNIMARC orCCF, although it should be borne in mind thatthe mentioned divergence in cataloguing rules 2)may mean some loss of information for someof the exchange partners.

It may be reiterated that the ReferenceManual could be updated to take more advan-tage of the new fourth element in the ISO2709 directory to bring its tagging structure and 3)linking facilities more in line with those ofthe CCF. Although perfectly possible it remainsto be seen whether this is also desirable. Itseems wise to wait for some feedback on actual 4)implementation of the CCF linking techniquesbefore adopting these. Contrary to the sugges-tion at one time by the editors of the secondedition, a possible change to a multilevel tag-ging structure seems hardly worthwhile unlessthere is a manifest demand for this by a consi-derable number of users. 5)

It may in any case be concluded that adop-tion of the Reference Manual can still be a realis-tic and rational choice on a par with the othermore generally applicable exchange formats, ,-_6)i.e. UNIMARC and CCF. This will remain to bethe case for as long as there are users with localformats geared towards either of these threeexchange formats, and for as long as universaluse of the CCF will be hampered by persistinglocal cataloguing differences.

To end on a practical recommendation,the format that comes closest to support specificlocal needs should be chosen as a source fordeveloping or amending a local format, or as an 8)exchange format, or for both purposes. Providedthe local format is compatible with at least 9)one of the three more general exchange formats,either or all of the three can be generated auto-

Vo132 Nos 1-2 March-June 1985

matically to serve as an exchange format.While format(s) to choose for exchange purposesshould depend on the exchange partners. How-ever, it should be kept in mind that, no matterwhich format is chosen, exchanges betweenMARC oriented and Reference Manual orientedpartners will normally be subject to some lossof (not necessarily essential) bibliographic in-formation due to inherent discrepancies bet-ween the local description and cataloguing rules.

Dierickx H, Hopkinson A, eds: Reference Manualfor Machine-Readable Bibliographic Descriptions.Second rev, ed. Paris: Unesco/General InformationProgramme and UNISIST, 1981. (PGI/81/WS/22),v.p.

UNESCO/UNISIST: Intergovernmental Conferen-ce for the Establishment of a World ScienceInformation System. UNESCO, Paris, 4-8 October1971. Final Report. Paris; Unesco, December1971, 60p. (SC/MD/25).

ISO 2709-1981: Documentation-Format for bib-liographic information interchange on magnetictape. Geneva; International Organization forStandardization, 1981, 4p.

For the purpose of this article, cataloguing rulesare understood as relating to the entire biblio-graphic record, i.e. to the description of the itemas well as to the choice and form of headings(entry points) for the record, while rules forbibliographic description are only concerned withthe description of the item.

The exchange format of the International NuclearInformation System (INIS), sponsored by theInternational Atomic Energy Agency (IAEA),Vienna, Austria.

7)

The exchange format of the International Infor-mation System for Agricultural Science andTechnology (AGRIS), sponsored by the Foodand Agriculture Organization of the UnitedNations (FAO), Rome, Italy.

IFLA. Working group on content designators:UNIMARC: Universal MARC format. Secondrev. ed. London; IFLA International Office forUBC, 1980. 143 p.

IFLA: UNIMARC Handbook. London; IFLAInternational Office for UBC, 1983, v.p.

Hopkinson A: The Unesco Common Communi-cation Format. Annals Lib Sci Docurn 1985,32( 1).

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10) Simmons P, Hopkinson A, eds: CCF: The Com-mon Communication Format. Paris; Unesco/General In formation Programme and UNISIST,1984, (PGI-84/WS/4), 189 p.

11) Dierickx H: The UNISIST reference manual andUNIBID standardization for development.Program 1983, 17(2), 68-85.

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12) "Informationsvermittlung and Verarbeitung" (In-formation Dissemination and Processing) : asoftware package developed by the "Institutfur Maschinelle Dokumentation" (Institute forAutomated Documentation), Graz, Austria incooperation with the "Gesellschaft fur Informa-tion und Dokumentation" (Society for Informa-tion and Documentation), Frankfurt, FederalRepublic of Germany.

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