NAME: Definition of fields 541, 561, and 562 in the USMARC Holdings Format and link code h in the USMARC Bibliographic Format
SOURCE: Harvard University
SUMMARY: This paper proposes defining additional note fields in the USMARC Holdings Format that now exist only in the bibliographic format. Fields 541 (Immediate Source of Acquisition), 561 (Ownership and Custodial History; formerly Provenance), and 562 (Copy and Version Identification Note) are copy specific by nature. The information contained in these fields could be applicable only for a holdings record for a particular copy. It also proposes the addition of link code "h" in subfield $8 (Link and sequence no.) in the Bibliographic Format to link holdings fields with a particular copy.
KEYWORDS: Field 541 (BD,HD); Field 561 (BD,HD); Field 562 (BD/HD); Subfield $8; Immediate Source of Acquisition; Ownership and Custodial History; Copy and Version Identification Note; Link Code
RELATED: DP101 (June 1997)
11/15/97 - Forwarded to USMARC Advisory Group for discussion at the January 1998 MARBI meetings.
1/10/98 - Results of USMARC Advisory Group discussion - Approved in part. The definition of fields 541, 561, and 562 in the USMARC Holdings format was approved. The definition of link code "h" to be used in subfield $8 was rejected. Questions were raised concerning the relationship of the fields to holdings when these fields appear in the bibliographic record. Other solutions than the linking $8 could also be investigated. A discussion paper may be prepared on the issues.
2/11/98 - Results of final LC review - Approved.
PROPOSAL NO.98-2: Definition of Fields 541,561,and 562 / Link Code h 1. INTRODUCTION The USMARC Holdings Format has several note fields that are also defined in the USMARC Bibliographic Format. These fields contain information that may be appropriate at the copy level, rather than only at the bibliographic level. Note fields in both formats are: 533 (843 in Holdings) Reproduction Note 540 (845 in Holdings) Terms Governing Use and Reproduction Note 583 (same in Holdings) Action Note There are other fields that exist in both formats, many of them number fields that use the same tags in both formats. Other notes that are by their nature specific to a given holding exist in the USMARC Bibliographic Format, but have not been defined in the USMARC Holdings Format. These are: 541 Immediate Source of Acquisition 561 Ownership and Custodial History (previously Provenance) 562 Copy and Version Identification Note Discussion Paper No. 101 was presented to the USMARC Advisory Group at the ALA annual conference in June 1997. It summarized the note fields in the USMARC Holdings Format and suggested the inclusion of these additional ones. Questions were raised about whether the tags should remain the same as in the bibliographic format or whether they should use different tags in holdings, although there was no clear consensus as to which option is preferred. In addition the issue of whether these copy specific fields should be defined only in holdings and made obsolete in the bibliographic was raised. There was not much support for the latter suggestion, since many bibliographic records exist with those notes, holdings records are not universally available yet, and some communities, especially the Rare Book community, have special needs for such notes in bibliographic records. The USMARC Advisory Group requested that a proposal be presented to define fields 541, 561 and 562 in holdings. 2. DISCUSSION Harvard University has expressed a need to include note fields 541, 561 and 562 in the holdings format so that such information could be communicated at the holdings or copy level. When one of these fields applies only to a particular copy, Harvard stores the fields internally at the holdings level. Harvard can export holdings information either embedded in the bibliographic record or in separate holdings records. When embedding holdings, it exports one copy of the bibliographic record per holdings segment. The holdings format allows for communicating the separate holdings records, linked to the bibliographic record by field 004 (Control Number for Related Bibliographic Record) after the bibliographic record is distributed. When Harvard distributes one copy of the bibliographic record with multiple separate holdings records, information in these copy-specific note fields that cannot be legally communicated in holdings records must be dropped or included in the bibliographic record without indicating to which copy the information applies. This practice results in ambiguity of the copy/holdings information that is communicated. RLG implemented the USMARC Holdings Format in RLIN in 1996. In the system, holdings data (whether for single or multiple copies) are contained in a holdings segment attached to the bibliographic segment of the record. Fields that are copy specific in nature but do not exist in holdings have to be displayed with the bibliographic segment even if there are multiple copies. In RLG's system fields like 583 that exist with the same tag in both formats create special problems for the system, since it is not possible to determine unambiguously whether they are for the general item or for a particular copy (i.e., particular to one holding). In cases like field 533 that carries a different tag in holdings, RLG staff has pointed out that it is clear whether the field is appropriate at the bibliographic or holdings level. Embedding holdings. The USMARC Holdings Format specifies the conditions under which an agency can embed holdings data in bibliographic records and those under which it must communicate separate holdings records. It stipulates that when holdings are reported for a single location the information may be embedded. If holdings are reported for multiple copies and the location or call number data elements vary, multiple 852 fields are used. They can be embedded in a bibliographic record only if there are no other associated fields (e.g., 007, 842, 844, 853-855, 86X, 76X) unless these associated fields are applicable to all copies/locations. In Discussion Paper No. 101, it was noted that RLG felt that it was more consistent to require that holdings data always be in holdings records whether for single or multiple copies, and that this would allow for note fields to be unambiguously attached to the copies to which they relate. To achieve this, these note fields that may apply only to a particular holdings segment need to be available in the holdings format. However, it is not practical to require holdings records, since there are many agencies that are not able to supply them. Choice of tags. Although RLG considers it cleaner to use different field tags for note fields in holdings that are also defined in bibliographic, having different tags makes it more difficult for staff creating the records since they have to remember one tag in bibliographic and a different one in holdings. In addition, it is a basic USMARC principle to use the same tag for the same type of data. There are numerous cases where a field is defined in different formats and that same tag is retained across formats. If the same tags in both formats were defined, the subfield $8 linking technique could be used to link the holdings note field relating only to a particular copy with the appropriate 852 (Location) field if the holdings information were embedded in the bibliographic record. Subfield $8 is also defined in the holdings format in field 852 to link multiple holdings records. The use of the field to link to another holdings field would be distinguished from the latter by the existence of the link code. In this paper the use of subfield $8 with link code "h" is limited to linking note fields to field 852. Otherwise, it could be used with any holdings field that is embedded in the bibliographic record (e.g. 853, 863), and the requirements for creating separate holdings records would need to be reconsidered. In addition it could result in a very complex record with many sets of linked fields. Optionally, it could be considered that different tags be used in the holdings format for these fields. However, the equivalent tags in the 8XX range (841, 861 and 862) are already used. Others would have to be chosen. 3. PROPOSED CHANGES The following is presented for consideration: - In the USMARC Holdings Format define fields 541 (Immediate Source of Acquisition), 561 (Ownership and Custodial History), and 562 (Copy and Version Identification Note) - In the USMARC Bibliographic format define a link code "h" for holdings to be used in subfield $8 to relate the holdings field with the appropriate 852 field with the following definition: h - Holdings Code h is used in a bibliographic record to identify holdings note fields that are linked to a particular holding or copy in that record. The information on the particular holding to which the additional field applies is recorded in field 852 (Location) in that record.