The Library of Congress >> Especially for Librarians and Archivists >> Standards

MARC Standards

HOME >> MARC Development >> Proposals List


MARC PROPOSAL NO. 2020-07

DATE: May 29, 2020
REVISED:

NAME: Recording the Extension Plan for Bibliographic Works in the MARC 21 Bibliographic and Authority Formats

SOURCE: MARC/RDA Working Group

SUMMARY: This paper proposes that the new RDA element "extension plan" is encoded in the MARC Bibliographic and Authority formats.

KEYWORDS: Field 335 (AD, BD); Extension Plan (AD, BD); Vocabulary Encoding Schemes (AD, BD); Recording Methods (AD, BD); Linked Data (AD, BD); Mode of Issuance (AD, BD); Leader (BD); RDA Toolkit Restructure and Redesign Project; RDA

RELATED: 2020-DP07

STATUS/COMMENTS:
05/29/20 – Made available to the MARC community for discussion.


Proposal No. 2020-07: Recording the Extension Plan for Bibliographic Works

1. BACKGROUND

The RDA Toolkit Restructure and Redesign Project (3R) has introduced a new Work level element "extension plan" to the RDA element set. This development represents one aspect of a broader goal to implement IFLA’s Library Reference Model in RDA. Recording the extension plans for diachronic works including serials, multiparts, monographs in series and integrating resources would enable explicit statements to be made regarding the intended behavior of these works in the future as well as their actual behavior demonstrated in the past and present. This would be beneficial to the library community in terms of rationalizing a catalog record creation process that may be both transitory and dynamic. In addition, the extension plan element can contain a controlled vocabulary; this is associated with its own controlled vocabulary and IRIs in the new RDA Toolkit. These offer the means to enhance the functionality of information recorded in a MARC 21 environment and also to exploit it for linked data purposes.

1.1. Extension Plan Definition and Scope

The new RDA Toolkit defines extension plan as:

"A categorization reflecting an intention to extend the content of a work."
(cf. https://beta.rdatoolkit.org/Content/Index?externalId=en-US_ala-8ba8340e-1266-322c-ac0b-24f2ec260084)

This builds upon the LRM’s scoping of aggregating works and serial works as follows:

"In the case of aggregating works and serial works, the essence of the work is the concept or plan for the selection, assembly and ordering of the expressions of other works to be embodied in the resulting aggregate manifestation."

The introduction of an extension plan element also seeks to address the following challenge identified by LRM:

"The description of serial works is particularly difficult to model, because it does not limit itself to a description of the past, but is also intended to allow end-users to make assumptions about what the behaviour of a serial work will be, at least in the near future. The “thing” described may have changed dramatically in the past, and may do so even more dramatically in the future."
(cf. https://www.ifla.org/files/assets/cataloguing/frbr-lrm/ifla-lrm-august-2017.pdf)

1.2. Types of Extension Plan

The new RDA vocabulary encoding scheme for extension plan reflects the critical role played by timespan in the five different categories which it sets out. The label, definition and scope associated with each type of extension plan is listed as follows:

integrating determinate plan
An extension plan for a work that is intended to be realized in one distinct expression that is embodied during a closed timespan.

Scope Note
Includes project wikis, and conference websites.

integrating indeterminate plan
An extension plan for a work that is intended to be realized in one distinct expression that is embodied during an open timespan.

Scope Note
Includes updated standards, laws, and wikis.

static plan
An extension plan for a work intended to be realized in one or more distinct expressions that are all embodied simultaneously.

Scope Note
Includes poems, photographs, and completed novels.

successive determinate plan
An extension plan for a work that is intended to be realized in multiple distinct expressions that are embodied during a closed timespan.

Scope Note
Includes serialized versions of novels, dictionaries, and reference works.

successive indeterminate plan
An extension plan for a work that is intended to be realized in multiple distinct expressions that are embodied during an open timespan.

Scope Note
Includes periodicals, newspapers, series, newsletters, conference proceedings, annual reports, and archived copies of webpages.

(cf. https://beta.rdatoolkit.org/Content/Index?externalId=en-US_rdaves_RDA_Extension_Plan)

2. DISCUSSION

At present, the MARC Bibliographic format contains a number of elements from which it can be inferred that a diachronic work is being described and that its intended lifespan is finite or indefinite.

In a bibliographic record the following field and character position values are used to distinguish serials, multiparts, and integrating resources from stand-alone monographs:

LDR 07 (Bibliographic level)
LDR 19 (Multipart resource record level)

However, these data elements do not reflect the full range of diachronic behaviors expressed by the RDA element extension plan. Hence, the definition of code "i" (Integrating resource) in LDR 07 conflates time bounded and open ended resources:

i - Integrating resource
Bibliographic resource that is added to or changed by means of updates that do not remain discrete and are integrated into the whole. Examples include updating loose-leafs and updating Web sites.
Integrating resources may be finite or continuing.

By contrast, the RDA element extension plan distinguishes between time-bounded and open ended integrating resources by defining integrating determinate plan and integrating indeterminate plan as separate categories.

In addition, the values defined in LDR 07 sometimes blur the distinction between the number of units which make up a resource and the anticipated timespan of that resource. For example, code "m" (Monograph/Item) is defined as follows:

m - Monograph/Item
Item either complete in one part (e.g., a single monograph, a single map, a single manuscript, etc.) or intended to be completed, in a finite number of separate parts (e.g., a multivolume monograph, a sound recording with multiple tracks, etc.).

By contrast, the categories of extension plan are more tightly defined. They refer to the intended behavior of a work over time, while a separate RDA element "mode of issuance" is used to make statements regarding whether a manifestation is issued as a single or multiple units. In the new RDA Toolkit, mode of issuance is defined as follows:

"A categorization reflecting whether a manifestation is issued in one or more units."

This represents a change from the previous RDA Toolkit definition for mode of issuance which conflated aspects of both carrier data (single / multiple unit) and content data (static / issued over time) as follows:

"A categorization reflecting whether a resource is issued in one or more parts, the way it is updated, and whether its termination is predetermined or not."

The new RDA element extension plan provides a means of accurately reflecting the rationale which lies behind creating catalog records for diachronic works. This is not necessarily based on fixed circumstances, but ones which may develop over time. The change in scope of the element mode of issuance means that it can only reflect whether a resource is made available as a single or multiple units.

The benefit of recording extension plan in a cataloging context would be a more granular and precise means of making statements about the behavior of diachronic works than was previously possible. These statements could be used to inform decision making processes, including selection policy and inventory control.

In MARC 21, the description of diachronic works may involve the recording of information which changes over time. For example, whereas the current frequency of a serial publication is recorded in field 310, a former publication frequency is recorded in field 321. However, it is not anticipated that there would be a need to record a former extension plan in the MARC 21 context. The new RDA guidance on diachronic works specifies that:

"a difference in plan is necessary to determine a distinction between two diachronic works".
(cf. https://beta.rdatoolkit.org/Guidance/Index?externalId=en-US_ala-443c463e-b075-3e6a-9377-eb230c6b8281)

Since a change of extension plan denotes a new work, it therefore follows that a new description would be required to reflect a change of extension plan. Under these circumstances, recording a former extension plan may be regarded as unnecessary. For example, if a project wiki created for a fixed period were to become a wiki updated for an open ended period, then a new description would be required to reflect its change of plan from integrating determinate to integrating indeterminate.

If a diachronic work were to be described following its completion, then this should not affect the value recorded for extension plan. It should still indicate the behavior of a diachronic work as originally conceived, rather than the behavior which it demonstrated over time, even if the two are at variance. For example, if a periodical were intended to run indefinitely, but ultimately ceased  publication, then the plan recorded would be successive indeterminate rather than successive determinate.

It is not anticipated that recording multiple extension plans for a resource which is described collectively as an aggregate would be useful. An aggregate may consist of separate components which reflect different extension plans. However, under these circumstances it would be preferable to describe those parts using separate descriptions and to relate the descriptions together. For example, if a serial were being described as an aggregate (successive indeterminate plan) and one issue of that serial were to be accompanied by a supplementary monograph (static plan), then the latter should be described separately if it is considered sufficiently significant to do so. The two resource descriptions could then be linked using a Supplement/Special Issue Entry and Supplement Parent Entry (fields 770 and 772 in the MARC 21 Bibliographic format) in order to establish a link between them. Recording more than one extension plan in an individual bibliographic description may give a misleading or confusing impression of its primary, work level attributes.

Using the vocabulary for extension plan provided by RDA would be preferable to using the more granular terminology which expresses Extension Mode and Extension Termination in the RDA/ONIX Framework. This is because, although the new RDA Toolkit guidance on resource categorization references these content attributes, unlike extension plan they are not represented as vocabularies in the RDA Registry. It is only the RDA Registry which provides a controlled list of terms for extension plan with the associated URIs necessary for supporting linked data applications.

The new RDA Toolkit allows extension plan to be recorded using any of the four different recording methods: (unstructured description, structured description, identifier and IRI). It is already possible to record the extension plan as an unstructured note in MARC 21, using a 500 field (General Note). Defining new content designation for the extension plan would extend its range of functionality in terms of indexing, faceting and linked data applications. For example, a new field could record the controlled terms defined by RDA, their associated identifiers, and URIs.

Tag 335 is proposed for the new element extension plan. Other fields in the 33X range are already used to express RDA controlled vocabularies. It is also noteworthy that extension plan is linked to the anticipated behavior of bibliographic content and that the element "content type" is already recorded in field 336. Since extension plan is a work level element in the new RDA, it is proposed that any new tag is also defined in the MARC 21 Authority Format. As previously stated, the only present source of terms and URIs for extension plan is the RDA Registry. However, other source vocabularies for extension plan terms and URIs may emerge within the cataloguing community. For example, id.loc.gov. may be used to host a version of this vocabulary which includes MARC code equivalent values as well as full text terms and URIs. If this is the case, then it will be necessary to make any field which is defined for carrying the extension plan element repeatable. This would be consistent with the practice for coding URIs for vocabularies maintained by different agencies set out in MARC Proposal 2015-07.  This notes that :

“using a field which contains both an RDA Registry URI and a MARC21 code as a source [of] linked data may lead to semantic inconsistency over time. The same condition may apply to a field which contains both an RDA Registry and an id.loc.gov URI.”

At the January 2020 MARC Advisory Committee meeting discussion of MARC Discussion Paper 2020-DP07, MAC reached a consensus that field 335 represented a reasonable location for recording extension plan information. It also agreed that subfield $b (Extension plan code) should be added to the list of proposed 335 subfields in order to express an extension plan as a coded value.

3. PROPOSED NEW FIELD 335

Define field 335 in the MARC 21 Authority and Bibliographic Formats as follows:

335 – Extension Plan (R)

Field Definition and Scope
A categorization reflecting an intention to extend the content of a work.

First Indicator
Undefined
# - Undefined
Second Indicator
Undefined
# - Undefined

Subfield Codes

$a - Extension plan term (NR)
Extension plan of the work being described.

$b – Extension plan code (NR)
Code representing the extension plan of the work being described.

$0 - Authority record control number or standard number (R)
See description of this subfield in Appendix A: Control Subfields.

$1 - Real World Object URI (R)
See description of this subfield in Appendix A: Control Subfields.

$2 - Source (NR)
MARC code that identifies the source of the term or code used to record the extension plan information.

$6 - Linkage (NR)
See description of this subfield in Appendix A: Control Subfields.

$8 - Field link and sequence number (R)
See description of this subfield in Appendix A: Control Subfields.

4. EXAMPLES

The examples below model the usage of field 335 to represent extension plan. The first two examples occur in authority records, while the third, fourth and fifth occur in bibliographic records. The subfield $2 code "rdaep" is modeled on the anticipated curie for RDA Registry URIs associated with the vocabulary encoding scheme for extension plan.

For purposes of brevity, the examples do not include see from tracings, source data found  information or subject headings. These would offer no additional value in terms of contextual information.

Example 1

LDR    cz a2200241n 4500
001      001414982
003      Uk
005      20120326135329.0
008      851211n| acannaab |a aaa
010      $a n 85049485
040      $a DLC $b eng $c DLC $d DLC
100 1   $a Gray, Thomas, $d 1716-1771. $t Elegy written in a country churchyard
335      $a static plan $2 rdaep

Example 2

LDR    cz a2200277n 4500
001      004996330
003      Uk
005      20160226073940.0
008      020513n| azannaabn |a ana c
010      $a no2002041097 $z sh 85091489
024 7   $a 186133057 $2 viaf
024 7   $a http://viaf.org/viaf/186133057 $2 uri
024 7   $a http://www.wikidata.org/entity/Q9684 $2 uri
024 7   $a http://d-nb.info/gnd/4171689-9 $2 uri
024 7   $a http://www.idref.fr/027326403 $2 uri
035      $a (OCoLC)oca05761029
040      $a WU $b eng $e rda $c WU $d DLC $d InU $d WaU
046      $k 1857 $2 edtf
130  0  $a New York times
335      $a successive indeterminate plan $2 rdaep
370      $g New York (N.Y.) $c United States $2 naf
380      $a Newspapers $2 lcgft

Example 3

LDR    am a2200241 a 4500
001      010063321
003      Uk
005      20110509144259.0
008      010122m20002002enkabc b 001 0 eng
015      $a GBA0W7701 $2 bnb
020      $a 0563384972 (v. 1 : cased) : $c £25.00
020      $a 0563487143 (v. 1 : pbk.) : $c £12.99
020      $a 0563537477 (v. 2 : cased) : $c £25.00
020      $a 0563487186 (v. 2. : pbk.) : $c £12.99
020      $a 0563534575 (v. 3 : cased) : $c £25.00
020      $a 0563487194 (v. 3. : pbk.) : $c £12.99
039 0   $a 2626
040      $a StDuBDS $d Uk
082 04 $a 941 $2 22
100 1   $a Schama, Simon.
245 12 $a A history of Britain / $c Simon Schama.
260      $a London : $b BBC, $c 2000-2002.
300      $a 3 v., plates : $b ill. (some col.), maps, ports. (some col.) ; $c 25 cm.
335      $a successive determinate plan $2 rdaep
336      $a text $2 rdacontent
337      $a unmediated $2 rdamedia
338      $a volume $2 rdacarrier
500      $a TV tie-in.
504      $a Includes bibliographical references and index.
505 0   $a v. 1. At the edge of the world? - 3000 BC-AD 1603 -- v. 2. The British wars 1603-1776 -- v. 3. The fate of empire 1776-2000.

Example 4

LDR    nai a22 i 4500
001      015349219
003      Uk
005      20131211123347.0
007      td
008      090814c20089999enkuu l p 0 a2eng
015      $a GBB3B2012 $2 bnb
016      $a 015349219
020      $a 9781843085867 (loose-leaf) :
040      $a Uk $b eng $c Uk $e rda
042      $a ukblsr
082 04 $a 570.76 $2 23
245 00 $a AS biology.
264   1 $a Cambridge : $b National Extension College Trust Ltd., $c 2008-
300      $a volumes (loose-leaf) : $b illustrations (black and white) ; $c 31 cm
335      $a integrating indeterminate plan $2 rdaep
336      $a text $2 rdacontent
337      $a unmediated $2 rdamedia
338      $a volume $2 rdacarrier
588      $a Description based on: course guide and unit 1 only.
710 2   $a National Extension College, $e issuing body.

Example 5

LDR    nai a22      i 4500
001      018198227
003      Uk
005      20191231204401.0
007      td
008      170201d20172017enkmr l  f   o0   a2eng 
015      $a GBB714821 $2 bnb
020      $a 9780112605300 (loose-leaf)
0220    $y 0262-0421
040      $a Uk $b eng $c Uk $d Uk $e rda
042      $a ukblsr
082 04 $a 343.41056 $2 23
130 0   $a Integrated tariff of the United Kingdom. $s 2017 edition.
245 10 $a Integrated tariff of the United Kingdom / $c HM Revenue & Customs.
246 30 $i Short title: $a Tariff
246 30 $a Integrated tariff
246 17 $a Customs tariff
250      $a 2017 edition.
264   1 $a London : $b TSO, $c 2017.
300      $a 3 volumes (loose-leaf) ; $c 30 cm
310      $a Updated monthly
335      $a integrating determinate plan $2 rdaep
336      $a text $2 rdacontent
337      $a unmediated $2 rdamedia
338      $a volume $2 rdacarrier
530      $a Also issued online, on CD-ROM and as data feed in ASCII format.
505 0   $a Vol. 1. General information.--v.2. Schedule of duty and trade statistical descriptions, codes and rates.--v.3. Customs freight procedures.
500      $a Size does not include binder.
500      $a Includes index.
588      $a Description based on: Main work, January 2017.
710 1   $a Great Britain. $b HM Revenue & Customs, $e issuing body.
780 00 $t Integrated tariff of the United Kingdom. $b 2016 edition
785 00 $t Integrated tariff of the United Kingdom. $b 2018 edition

5. BIBFRAME DICUSSION

When the proposed addition is further developed, approved, and implemented, the BIBFRAME ontology may be modified to add a new property.

6. SUMMARY OF PROPOSED CHANGES

Define field 335 in the MARC 21 Authority and Bibliographic Formats as follows:


HOME >> MARC Development >> Proposals List

The Library of Congress >> Especially for Librarians and Archivists >> Standards
( 07/01/2020 )
Legal | External Link Disclaimer Contact Us