PROPOSAL NO: 2003-03

DATE: May 16, 2003

NAME: Definition of Data Elements for Article Level Description

SOURCE: California Digital Library

SUMMARY: This paper proposes additional data elements in the MARC 21 bibliographic format that contain parsed citation information for the description of journal articles. This will facilitate translation of non-MARC citation data into the MARC format and linking to citation-related services. Options are: 1) Definition of a subfield in field 773; and 2) Definition of a new field 363.

KEYWORDS: Field 773 (BD); Field 363 (BD); Article Level Designation (BD); Host Item Entry (BD); Citation Information (BD); Enumeration and First Page (BD)

RELATED: 2003-DP01 (January 2003)


05/16/03 - Made available to the MARC 21 community for discussion.

06/21/03 - Results of the MARC Advisory Committee discussion - Approved Option 1. In a straw vote the majority of participants preferred Option 1, definition of subfield $q in field 773, because it was felt that defining field 363 for citation information did not add any additional functionality and required linking between fields 363 and 773. NDMSO verified that only the initial site (page) of the contribution is indicated in the SICI string.

07/23/03 - Results of LC/NLC/BL review - Approved.

PROPOSAL No. 2003-03: Data Elements for Article Level Description


Although few libraries create cataloging records for journal articles, an increasing number of articles are being rendered in the MARC 21 format through interaction with library system portal functions, interlibrary loan, and linking to full text. The original cataloging of the articles is often done outside of the library cataloging environment and is neither based on AACR2 rules or MARC encoding.

Translation of these records into MARC 21 generally makes use of the field 773 (Host item entry) to store the data elements relating to the host journal, issue, date and pagination. These are usually translated into subfield $g (Relationship information) as a free-text string, removing the parsing:

773 0# $gVol. 2, no. 2 (Feb. 1976), p. 195-230

Services making use of records for articles are likely to need this information separated into individual data elements. Currently, many systems use algorithms to parse the individual data elements from subfield $g. Unfortunately, this method is subject to error because of the free-text nature of the subfield. In some cases, the original source of the bibliographic record contains citation information parsed into separate data elements. That precision is lost, however, when the record is translated into MARC 21, using field 773 subfield $g.

In January 2003, the MARC Advisory Committee considered Discussion Paper 2003-DP01 (Data elements for article level description). It discussed ways to facilitate automated linking from MARC 21 records, such as what is intended in the CrossRef project or the developing OpenURL standard. Participants generally agreed that more detailed coding was needed to facilitate automated linking to journal article citation information. Of the many alternatives presented, two solutions were favored: 1) Define subfield $q to carry the enumeration and first page data elements in field 773; or 2) Define a new field (field 363 was suggested since the field would resemble field 863 in the holdings format) to record levels of article enumeration in the MARC 21 bibliographic format.


2.1 Option 1: Definition of subfield $q for Enumeration and first page in field 773

Under this option, a new subfield (Enumeration and first page) may be defined in field 773 to contain the enumeration and first page data elements. The elements would be formatted according to the Enumeration (in the Item segment) and Location (in the Contribution segment) data elements of the SICI standard (Serial Item and Contribution Identifier; Z39.56). Using the SICI standard for these data elements provides flexibility because it can be expanded to as many enumeration levels as needed without requiring the use of additional subfields.

This option proposes applying the SICI rules for formulating the data. The SICI may not have actually been assigned. For instance, all levels of enumeration are recorded separated by a colon with alphabetic designations in uppercase. Location elements are added following an angle bracket. Further details on construction of the SICI may be found in Appendix A.

This paper proposes defining subfield $q in field 773 only because it is unlikely that the data is applicable to any other linking entry field (76X-78X). The enumeration and pagination information included in this proposal is specific to citations within a host entry and therefore to the 773 field. If it is desirable, however, to define a subfield that is available in all of the 76X-78X fields, subfield $l should be used since subfield $q has been previously used in many fields in this range. Subfield $l is the last subfield not yet defined in all of the 76X-78X fields.

Subfield $q could be defined as:

$q - Enumeration and first page (NR)
Subfield $q contains an enumeration and pagination designation that are formed using the rules for the creation of the Enumeration and Location segments of the SICI (Serial Item and Contribution Identifier). These provide reference to the enumeration and first page data elements for the constituent unit of the host item described in the 773 field.

2.1.2. Examples

773 0#$7nnas$tCalifornia journal.$gVol. 24, pt. B no. 9 (Sept. 1993), p. 235-48 $q24:B:9<235

773 0#$7nnas$tMetro.$gVol. 96, no. 4 (May 2000), p. 23-24, 27$q96:4<23

773 0#$tPacific rail news.$q279<GM5
[This example contains subfield $q with no corresponding subfield $g]

2.2 Option 2: Definition of Field 363

Alternatively, field 363 could be defined as Article level designation. Its structure would be modeled after field 863 in the MARC 21 Format for Holdings Data and would thus hold un-captioned enumeration data. Note that chronology would be placed in the enumeration subfields when it is the only recorded enumeration. Alternatively, subfields for chronology could be defined.

Although a subfield could be added for date of the component item in field 363, it may not be necessary since date is also included in fields 008/07-10 (Date 1) and 008/11-14 (Date 2) of the bibliographic record.

Field 363 could be linked to its corresponding 773 field using subfield $8 (Field link and sequence number). A new link code must be defined for this purpose. Both fields are repeatable and thus, linking multiple article citations to multiple hosts in a record should be possible. Linking fields 363 and 773 will not, however, be required, unless there is more than one 363/773 pair in a record.

The following subfields may be defined in field 363 (Article level designation):

$a - First level of enumeration
Subfield $a contains the first level of enumeration applicable to a bibliographic item.

$b - Second level of enumeration
Subfield $b contains the second level of enumeration applicable to a bibliographic item.

$c - Third level of enumeration
Subfield $c contains the third level of enumeration applicable to a bibliographic item.

$d - Fourth level of enumeration
Subfield $d contains the fourth level of enumeration applicable to a bibliographic item.

$e - Fifth level of enumeration
Subfield $e contains the fifth level of enumeration applicable to a bibliographic item.

$f - Sixth level of enumeration
Subfield $f contains the sixth level of enumeration applicable to a bibliographic item.

$p - Page
Subfield $p contains either a single page number or page range of an article.

2.2.1. Examples

363 ##$a24$b9$p235-248
773 0#$7nnas$tCalifornia journal.$gVol.24, no. 9 (Sept. 1993), p. 235-48

363 ##$a2$b2$p195-230
773 0#$gVol. 2, no. 2 (Feb. 1976), p. 195-230

363 ##$81\?$a24$bB$c9$p235-48
363 ##$82\?$a1$bA$c1$p135-58
773 0#$81\?$tCalifornia journal.$gVol. 24, pt. B no. 9 (Sept. 1993), p. 235-48
773 0#$82\?$tVirginia journal.$gVol. 1, pt. A no. 1 (Aug. 1998), p. 135-58
[Subfield $8 (Field link and sequence number) is used to link repeating 363 fields with corresponding 773 fields. Please note that a new field link type code must be defined to link parsed citation data to its un-parsed counterpart.]

2.3. The Use of Field 773, Subfield $g

Subfield $g (Relationship information) may still be encoded in field 773 if the solutions in sections 2.1 or 2.2 are approved. One important reason why subfield $g should continue to be used is to allow for an AACR2 "in" analytic which may coexist with the citation information provided by indexing vendors. Likewise, the large amount of data encoded in subfield $g must still be valid and usable to provide access to information contained in host items. Subfield $g may also provide a user-friendly display string that includes enumeration and pagination with full caption information since there is no caption information associated with the enumeration and pagination entered in subfield $q or field 363. However, coding both subfield $g and the solutions described in sections 2.1 and 2.2 may increase catalogers' work load by forcing them to input the same information into two different fields (Although in many cases, the parsed citation data may come from another source, e.g., an A & I service). The actual usage of particular content designators, however, must be decided by individual cataloging agencies.


Option 1 - Definition of subfield $q in field 773

In field 773 (Host item entry) of the MARC 21 bibliographic format:

Option 2 - Definition of field 363

Appendix A: Enumeration and Location Data Elements of the SICI Standard

The following information was taken directly from the SICI standard (Z39.56 1996 (R2002): Serial Item and Contribution Identifier (SICI)). Please directly consult the standard (online from NISO at: for more detailed information on how to formulate the SICI-like string used in subfield $q.

Enumeration Data Element

The first two data elements of the item segment are the ISSN and date used (usually chronology). These two data elements are presented in the below examples, however, are not required in subfield $q.

The enumeration data element of the item segment identifies a specific issue of a serial title. The designation found on the item should be used to construct it.

The enumeration data element should be sequenced according to the publisher's usage on the piece, with the highest, most inclusive level of the enumeration scheme recorded first. All available levels should be recorded. Each level of enumeration is separated from the next lower level of enumeration by a colon (:). For example:

Item: Report of the National Research Institute for Earth Science and Disaster Prevention no. 55 March 1995.
SICI: 0916-6564(199503)55< >1.0.TX;2-G

Item: The Public-Access Computer Systems Review Volume 7, Number 4 (1996).
SICI: 1048-6542(1996)7:4< >1.0.CO;2-W

Item: Journal of Cellular Biochemistry 1995 Dec; 131 (6 Pt 2).
SICI: 0730-2312(199512)131:6:2< >1.0.TX;2-K

All numeric information should be converted to arabic numbers. For example:

Item: The Library (Sixth Series) XVI:4 (Dec. 1994).
SICI: 0024-2160(199412)6:16:4< >1.0.TX;2-T

Alphabetic data used as enumeration designations should be transcribed as it appears on the piece, and converted to uppercase. For example:

Item: IFIP Transactions A (Computer Science and Technology) A:7 (1992).
SICI: 0926-5473(1992)A:7< >1.0.TX;2-7

Omit any punctuation that occurs in enumeration. For example:

Item: Institute of Electronics, Information and Communication Engineers. Transactions A, March 1994, vol. J77-A, (no.3).
SICI: 0913-5707(199403)J77A:3< >1.0.TX;2-6

Location Data Element

Location is the first data element in the contribution segment. It indicates the initial site (page number, frame number, etc.) of the contribution as it appears in the item. The location may contain both numeric and alphabetic characters. It follows a left angle bracket (<).

If no location is given, the location data element may be interpolated from other location designations, such as page numbers. For example:

Item: Needleman, Mark. "Computing Resources for an Online Catalog - 10 Years Later." Information Technology and Libraries, 1992 Jun, v11n2:168-172.
SICI: 0730-9295(199206)11:2<168:CRFAOC>2.0.TX;2-#

The location numbers are recorded as they appear on the item. Roman numerals should not be converted to arabic numbers. They should be recorded in uppercase. For example:

Item: "Revelation from Fruit Flies" Chronicle of Higher Education. Vol. XLI no. 37 (May 26, 1995) p. A8.
SICI: 0009-5982(19950526)41:37<A8:RFFF>2.0.TX;2-3

Item: "National Archives Fax-on-Demand Service" IRLIST, Vol. XII, No. 13 Issue 250 (April 3, 1995) p. III.C.1.
SICI: 1064-6965(19950403)12:13<III.C.1:NAFS>2.0.CO;2-7

Locations may be in the sequence of issue or volume. If the volume number appears with the location, only the location is recorded. For example:

Item: Trentmann, S.M.; et al. "Alternative to 35S as a label for the Differential Display of Eukaryotic Messenger RNA" Science vol. 267, 24 February 1995, p. 1186.
SICI: 0036-8075(19950224)267<1186:AT3AAL>2.0.TX;2-W

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