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MARC DISCUSSION PAPER NO. 2020-DP09

DATE: May 29, 2020
REVISED:

NAME: Chronology-Only Data in Holdings Fields 853-855 and 863-865

SOURCE: OCLC

SUMMARY: For chronology-only publication patterns, the current MARC Holdings standard requires that first-level caption and chronology data be stored in the first-level enumeration fields, requiring the presence of subfield $a in fields 853, 854, 855, 863, 864, and/or 865. This paper recommends that the requirement be changed to require the presence of either subfield $a or subfield $i in Holdings fields 853, 854, 855, 863, 864, and/or 865.

KEYWORDS: Fields 853-855 (HD); Fields 863-865 (HD); Captions and Pattern Fields (HD); Enumeration and Chronology Fields (HD); Subfield $a, in fields 853-855 (HD); Subfield $a, in fields 863-865 (HD); Subfield $i, in fields 853-855 (HD); Subfield $i, in fields 863-865 (HD)

RELATED: 82-20; 87-7; 89-8/3; 89-8/4; 89-8/5; 89-8/6; 89-8/7; 89-10; 92-8; 92-22; 2000-1; 2000-01R; 2006-05; 2006-08; 2007-06; 2001-DP08; 2001-DP09; 2001-DP10; 2001-DP11.

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


Discussion Paper No. 2020-DP09: Chronology-Only Data in Holdings Fields 853-855 and 863-865

1. BACKGROUND

[NOTE: The following background information is adapted from the 853-878 - Holdings Data – General Information page of the MARC 21 Holdings Format.]

Of the four related sets of Holdings data fields defined for recording information about the items actually held by the reporting organization, two sets are the concern of this discussion paper:

These holdings data fields accommodate three basic types of items: single-part items (Leader/06, Type of record, code x), multipart items (Leader/06, code v), and serial items (Leader/06, code y). Within each set of fields, separate fields are defined for three categories:

Basic bibliographic unit is an entity for which a bibliographic description exists, for example, a serial, a one-volume book, a multivolume encyclopedia. This category includes an index or supplementary material for which a separate bibliographic record exists. The supplementary material and indexes categories are used for supplementary materials and indexes for which the cataloging is included in the catalog record for the basic bibliographic unit, that is, no separate cataloging record exists.

Subfield $8 (Field link and sequence number) is defined to link related 853-855 and 863-865 holdings data fields. In these fields, subfield $8 is structured as follows:

<linking number>.<sequence number>

Only the linking number portion is used in 853-855 Caption and Pattern fields. In 863-865 Enumeration and Chronology fields subfield $8 contains both a linking number and a sequence number.

Captions and Pattern (Fields 853-855)

These fields specify the caption appropriate for each level of enumeration and chronology present in the 863-865 Enumeration and Chronology field that is linked to it by subfield $8 (Field link and sequence number). A caption is a word, phrase, or abbreviation that describes the type of parts into which a multipart or serial item has been divided, for example, volume, number, part, side. These fields may also contain codes that define the publication pattern of the bibliographic item, for example, frequency, regularity pattern. These codes allow information in the 863-865 Enumeration and Chronology fields to be compressed or expanded by computer algorithm.

When no captions and/or compression or expansion capability for an 863-865 field is desired, the 853-855 Captions and Pattern fields are not required in a holdings statement.

Enumeration and Chronology (Fields 863-865)

These fields contain the numeric, alphabetic, and/or date designation used on the bibliographic item that identifies its parts and shows the relationship of the parts to the whole.

The 853-855 Captions and Pattern and 863-865 Enumeration and Chronology fields, linked by subfield $8 (Field link and sequence number), are generally used for multipart and serials items when a caption is needed for an intelligible display of the enumeration and chronology data or when publication pattern data is needed to allow the compression or expansion of an 863-865 field by computer algorithm.

1.2. 853-855 - Captions and Pattern-General Information

NOTE: The following background information is taken from the “Subfield Codes” section of the 853-855 - Captions and Pattern-General Information page of the MARC 21 Holdings Format.

Definitions for subfields $a-$h (Enumeration captions) and $i-$m (Chronology captions) are as follows:

1.2.1. Subfields $a-$h: Enumeration Captions

$a-$h: Enumeration captions: Captions for the levels of enumeration applicable to a bibliographic item. These caption subfields are correlated with the enumeration subfields $a-$h in the 863-865 Enumeration and Chronology field linked to the 853-855 field, although the same subfields need not always be present. Full correlation of caption and enumeration level subfields $a-$h in linked 853-855/863-865 fields is not required when captions are not desired for displaying the holdings statement. Full correlation is required when compression or expansion of the enumeration in field 863 or 864 by computer algorithm is desired. If there is no caption on the item for some level, a caption may be invented and enclosed in brackets ([ ]) or an asterisk used in place of data in order to achieve full correlation.

853 03 $81$av.$b[no.]
863 40 $81.1$a1-7$b1-12
[Display example: v.1:[no.]1-v.7:[no.]12]

When alternative numbering schemes are applicable to an item, subfields $g and $h contain the alternative Enumeration captions. If captions for more than two levels of alternative enumeration are required, an 866-868 Textual Holdings field is used.

When only Chronology captions are used on an item (that is, the item carries no enumeration), the Chronology captions are contained in the relevant enumeration caption subfields ($a-$h). If a Chronology caption is not to be used in a display of the 863-865 Enumeration and Chronology field, it is enclosed in parentheses, for example, (year).

853 03 $81$a(year)
863 40 $81.1$a1964-1981
[An annual publication identified only by year.]

When a supplement or index designation is used as a caption (which occurs if its numbering relates to a particular volume or part of the bibliographic unit, e.g. v. 9, suppl. 1-3) the designation is contained in the relevant Enumeration caption subfield ($a-$f).

854 00 $81$av.$bsuppl.$i(year)$j(month)$k(day)
864 41 $81.1$a16$b1$i1977$j06$k01
[Display example: v.16:suppl.1 (1977: June 1)]

When the enumeration consists of the number of units held followed by a term describing the units, the entire phrase is contained in the appropriate 863-865 field, and the 853-855 field contains the term unit (in parentheses if display is not desired).

853 03 $81$a(unit)
863 #1 $81.1$a50 playing cards

1.2.2. Subfields $i-$m: Chronology Captions

$i-$m: Chronology captions: Captions for the levels of chronology applicable to a bibliographic item. These caption subfields are correlated with the chronology subfields $i-$m in the 863-865 Enumeration and Chronology field linked to the 853-855 field, although the same subfields need not always be present. Full correlation of caption and chronology level subfields $i-$m in the 853-855/863-865 fields is not required when captions are not desired for displaying the holdings statement. Full correlation is required when compression or expansion of the chronology in field 863 or 864 by computer algorithm is desired. Because bibliographic items generally do not carry Chronology captions, a caption may be invented and enclosed in brackets ([ ]) in order to achieve full correlation.

When an alternative chronology scheme is applicable to an item, subfield $m contains the alternative Chronology caption. If captions for more than one level of alternative chronology are required, an 866-868 Textual Holdings field is used.

When only Chronology captions are used on an item (that is, the item carries no enumeration), the Chronology captions are carried in the relevant enumeration caption subfields ($a-$h) and no captions are recorded in subfields $i-$m. If a Chronology caption is not to be used in a display of the 863-865 Enumeration and Chronology field, it is enclosed in parentheses, e.g., (year).

1.3. 863-865 – Enumeration and Chronology-General Information

NOTE: The following background information is taken from the “Subfield Codes” section of the 863-865 – Enumeration and Chronology-General Information page of the MARC 21 Holdings Format.

Definitions for subfields $a-$h (Enumeration) and $i-$m (Chronology) are as follows:

1.3.1. Subfields $a-$h: Enumeration

$a-$h: Enumeration: Levels of enumeration that either appear on an item or that are used by the reporting organization to record the receipt of an item. These enumeration subfields are correlated with the enumeration caption subfields $a-$h in the 853-855 Captions and Pattern field linked to the 863-865 field, although the same subfields need not always be present. Full correlation of the enumeration level and the caption subfields $a-$h in linked 853-855/863-865 fields is not required when captions are not desired for displaying the holdings statement. Full correlation is required when compression or expansion of the field 863 or 864 enumeration by computer algorithm is desired. If there is no enumeration on the item for some level, enumeration may be invented and enclosed in brackets ([ ]).

When alternative numbering schemes are applicable to an item, subfields $g and $h contain the alternative enumeration. If more than two levels of alternative enumeration are required, an 866-868 Textual Holdings field is used.

When only chronology is used on an item (that is, the item carries no enumeration), the chronology is contained in the relevant enumeration subfield ($a-$h) instead of the chronology subfields ($i-$m).

853 03 $81$a(year)
863 30 $81.1$a1964-1981
[An annual publication identified only by year.]

1.3.2. Subfields $i-$m: Chronology

$i-$m: Chronology: Hierarchical levels of chronology that either appear on an item or that are used by the reporting organization to record the receipt of an item. These chronology subfields are correlated with subfields $i-$m in the 853-855 Captions and Pattern field linked to the 863-865 field, although the same subfields need not always be present. Full correlation of the chronology level and the caption subfields $i-$m in linked 853-855/863-865 fields is not required when captions are not desired for displaying the holdings statement. Full correlation is required when compression or expansion of the field 863 or 864 chronology by computer algorithm is desired. If an applicable chronology level is lacking on the item, chronology may be invented and enclosed in brackets ([ ]).

Months and seasons may be expressed either in natural language or by the following codes:

Month Season
01-12 - Month 21 - Spring
22 - Summer
23 - Autumn
24 - Winter

Month codes of less than two digits is right justified and the unused position contains a zero.

When an alternative chronology scheme is applicable to an item, subfield $m contains the alternative chronology. If more than one level of alternative chronology is required, an 866-868 Textual Holdings field is used.

When only chronology is used on an item (that is, the item carries no enumeration), the chronology is contained in the relevant enumeration subfield ($a-$h) instead of the chronology subfields ($i-$m).

1.4. ANSI/NISO Z39.71-2006 (R2011), Section 5.5.5 on Chronology

It is also interesting to note that the current sibling standard ANSI/NISO Z39.71-2006 (R2011) Holdings Statements for Bibliographic Items (https://www.niso.org/publications/z3971-2006-r2011) harmonizes well with the changes that are being suggested in this paper. The first two paragraphs of Section 5.5.5 on Chronology are especially apt:

Chronology is recorded in parallel with enumeration, except when a bibliographic item carries only chronology. When only a chronological sequential designation is present, the chronology specifies the holdings. When only chronology specifies the holdings, it is not enclosed in parentheses.

If both enumeration and chronology are present, both may be recorded. If only enumeration is present, enumeration is recorded; chronology is not supplied. If only chronology is present, chronology is recorded; enumeration is not supplied.

2. DISCUSSION

Using Either Enumeration or Chronology Subfields for Chronology-Only Data
For chronology-only publication patterns, the current standard requires that first-level caption and chronology data be stored in the first-level enumeration fields. This requires the presence of subfield $a in Holdings fields 853, 854, 855, 863, 864, and/or 865.

This practice adds unnecessary complexity to applications and services that assist libraries and patrons to identify, count, etc. holdings for a particular time period. Instead of allowing chronology data to be recorded and therefore indexed consistently in the subfields defined for chronology data, this practice requires that chronology data be recorded in the subfields defined for enumeration data, contrary to both MARC definitions and logic.

Our recommendation, to reflect modern practice, MARC definitions, and logic, is that the requirement be changed to the presence of either subfield $a or subfield $i in Holdings fields 853, 854, 855, 863, 864, and/or 865.

3. PROPOSED CHANGES

The following changes to the subfield guidelines are proposed::

3.1. 853-855 - Captions and Pattern-General Information

$a-$h: Enumeration captions

Current text: "When only Chronology captions are used on an item (that is, the item carries no enumeration), the Chronology captions are contained in the relevant enumeration caption subfields ($a-$h). If a Chronology caption is not to be used in a display of the 863-865 Enumeration and Chronology field, it is enclosed in parentheses, for example, (year)."

Change to: "When only Chronology captions are used on an item (that is, the item carries no enumeration), the Chronology captions may be contained in either the relevant enumeration subfields ($a-$h) or chronology subfields ($i-$m). If a Chronology caption is not to be used in a display of the 863-865 Enumeration and Chronology field, it is enclosed in parentheses, for example, (year)."

$i-$m: Chronology captions

Current text: "When only Chronology captions are used on an item (that is, the item carries no enumeration), the Chronology captions are carried in the relevant enumeration caption subfields ($a-$h) and no captions are recorded in subfields $i-$m. If a Chronology caption is not to be used in a display of the 863-865 Enumeration and Chronology field, it is enclosed in parentheses, e.g., (year)."

Change to:  "When only Chronology captions are used on an item (that is, the item carries no enumeration), the Chronology captions may be contained in either the relevant enumeration subfields ($a-$h) or chronology subfields ($i-$m). If a Chronology caption is not to be used in a display of the 863-865 Enumeration and Chronology field, it is enclosed in parentheses, e.g., (year)."

3.2. 863-865 – Enumeration and Chronology-General Information

$a-$h: Enumeration

Current text: “When only chronology is used on an item (that is, the item carries no enumeration), the chronology is contained in the relevant enumeration subfield ($a-$h) instead of the chronology subfields ($i-$m).”

Change to: “When only chronology is used on an item (that is, the item carries no enumeration), the chronology may be contained in either the relevant enumeration subfields ($a-$h) or chronology subfields ($i-$m)."

$i-$m: Chronology

Current text: "When only chronology is used on an item (that is, the item carries no enumeration), the chronology is contained in the relevant enumeration subfield ($a-$h) instead of the chronology subfields ($i-$m)."

Change to: "When only chronology is used on an item (that is, the item carries no enumeration), the chronology may be contained in either the relevant enumeration subfields ($a-$h) or chronology subfields ($i-$m)."

4. EXAMPLES

Under these proposed changes, the following example 85X/86X pairs would be valid:

853 30 $81$av.$bn.$i(year)$j(month)
863 ## $81.1$a10$b3$i2021$jSeptember

854 30 $81$a(year)
864 ## $81.1$a2021

855 30 $81$i(year)$j(month)
865 ## $81.1$i2021$jSeptember

Under these proposed changes, the following example 85X/86X pairs would continue to be invalid:

853 30 $81$bn.$i(year)$j(month)
863 ## $81.1$b12$i2021$jSeptember

854 30 $81$j(month)
864 ## $81.1$jFebruary

855 30 $81$av.$j(month)
865 ## $81.1$a3$jSeptember

5. BIBFRAME DISCUSSION

At present, the BIBFRAME ontology and data conversion programs do not address holdings-level data. Usage of the current BIBFRAME property for enumerationAndChronology and the subclasses for Enumeration and Chronology would not be impacted by this proposed change.

6. QUESTIONS FOR DISCUSSION

6.1. Has the case been sufficiently made that, for chronology-only publication patterns, requiring the presence of either subfield $a or subfield $i in Holdings fields 853, 854, 855, 863, 864, and/or 865 is a desirable and justified change?

6.2. Are there additional passages of "853-878 - Holdings Data-General Information," "853-855 - Captions and Pattern-General Information," "863-865 - Enumeration and Chronology-General Information," or any of the individual fields that need to be reworded to accommodate these changes that may have been overlooked?

6.3. Is there any impact of this change on the automated compressibility or expandability of these data?

6.4 Are there potential consequences to this proposed change that have not been considered?


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