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MARC PROPOSAL NO. 2007-02

DATE: Dec. 15, 2006
REVISED:

NAME: Incorporating invalid former headings in 4XX fields of the MARC 21 Authority Format

SOURCE: Program for Cooperative Cataloging, Task Group on the Function of the Authority File

SUMMARY: This paper discusses the incorporation of invalid former heading information into MARC 21 authority records, in cases where the former heading might not be considered a valid or useful reference. This would facilitate the locating of instances of the former headings in bibliographic records that may need to be corrected. It proposes using the 4XX fields (See From Tracing fields) with a new code defined in subfield $w/2 (Control subfield/Earlier form of heading) to indicate that the earlier heading recorded in the field is invalid.

KEYWORDS: Former headings (AD); Field 4XX (AD); See From Tracing fields (AD)

RELATED: 2006-DP03; 2006-DP08

STATUS/COMMENTS:
12/15/06 – Made available to the MARC 21 community for discussion

01/20/2007 - Results of the MARC Advisory Committee discussion - Approved as amended. Value 'h' (Do not display) will be defined for subfield $w/1. Subfield $w/2 will use one of the existing values as appropriate: 'e' for earlier established form of heading (national authority file) or 'o' for earlier established form of heading (other authority file). Subfield $i may contain the date that the heading became invalid.

05/04/07 - Results of LC/LAC/BL review - Approved


Proposal No.: 2007-02: Incorporating invalid former headings in 4XX fields

1. BACKGROUND

In 2003, the Final Report of the Task Group on the Function of the Authority File was presented to the Standing Committee on Standards of the Program for Cooperative Cataloging. In it, the Task Group cited several instances where it is not valid to make a reference from an invalid former form of a heading because of possible conflicts with other references, possible misleading of users, and duplication of references upon normalization. The cataloger was instructed to delete the former form from the record. The recommendation in the report was that these former headings should be recorded in the record (specifically in a note field) to facilitate the ability of correcting these former headings in bibliographic records.

Invalid former headings described in the Task Group report

The Report from the Task Group on the Function of the Authority File summarized the situations in which an invalid former heading should be recorded in the record:

2. DISCUSSION

2.1. Preference for use of 4XX fields.

The MARC community has discussed these issues in two different discussion papers. Discussion Paper No. 2006-DP03 (Incorporation of Former Headings into MARC 21 Authority Records), discussed during the MARC Advisory Committee meetings in Jan. 2006, introduced the problem, but there was not consensus as to whether to use a note field (683 was suggested) or the 4XX See From Tracing fields for the information. Because the latter fields may more readily support machine processing, this option was considered in addition to the Task Force recommendation to supply a note. In June 2006 the MARC Advisory Committee discussed Discussion Paper No. 2006-DP08, which detailed possible techniques for including former invalid heading information in authority records. Options included use of a new 683 note field, use of fields 4XX with a new code to indicate that it is an invalid former heading in one of the $w character positions, or definition of a new 885 field for invalid headings. The discussion revealed consensus on using the 4XX fields, because the content designation would better support manipulation of records using machine processing. Participants favored use of subfield $w/2 (Control subfield/Earlier form of heading) with a new code to indicate that it is an invalid former heading.

2.2. Additional data to accompany the invalid previous form of heading.

Some institutions may want to record the date that the heading became invalid. There are no available new subfields in 4XX to define for date, and participants felt that it was not necessary to provide a special subfield for date, but that it can be recorded in subfield $i for explanatory text. The subfield could contain instructions to use a structured form of date, and then if it is necessary to retrieve this data, a system could look for a structured eight-digit date. Controlled text about the nature of the change could also be included in subfield $i.

2.3. Definition of subfield $w/2.

Field 4XX subfield $w/2 is defined as follows:

$w/2 - Earlier form of heading
A one-character code that indicates whether the heading in the 4XX field is an earlier form in which the name or subject was established either in the relevant national authority file or in an authority file other than the national authority file.

A new code "i" could be defined to indicate that the heading was previously established but is now invalid as a reference:

3. EXAMPLES

Note that in the following examples, the first and second $w character positions are coded as "n" because they are not applicable to an invalid tracing. In the first position, no display is needed to indicate the relationship, since the data is not used for display. In the second position, the tracing use restriction is irrelevant, since no cross reference is generated. The code "i" in $w/2 could be used to tell a system not to index and/or display the field or not to use in heading comparison tests.

Cancelled headings:

010 ## $a[LCCN]$z[cancelled LCCN]
100 1# $aPhilips, Gina,$d1958-
400 1# $aPhilips, G. E.$q(Gina Evelyn), $d1958-
400 1# $wnni$iFormer heading (cancelled), 20060101$aPhilips, Gina E.

010 ## $a[LCCN]$z[cancelled LCCN]
110 2# $aAuschwitz (Concentration camp)
451 ## $wnni$iFormer subject heading (cancelled), 20060101$aAuschwitz (Poland : Concentration camp)

Former name headings:

100 1# $aHaase, Felix,$db. 1742
400 1# $wnni$iFormer heading (date added to resolve conflict), 20060101$aHaase, Felix

110 2# $aBrown and Sons (London, England)
410 2# $wnni$iFormer heading (qualifier added to resolve conflict), 20060101$aBrown and Sons

130 #0 $aArchives of toxicology.$pSupplement
430 #0 $wnni$iFormer heading (normalized to same string as new), 20060101$aArchives of toxicology : Supplement
[The old form normalizes to the same string as the new form as they differ only by punctuation.]

100 1# $aWarhol, Andy,$d1928-1987
100 1# $w
nni $iFormer heading (had open date), 20060101$aWarhol, Andy$d1928-

Former subject headings:

151 ## $aVenezuela$xPolitics and government$y1974-1999
451 ## $wnni$iFormer heading (open date in period subdivision), 20060101 $aVenezuela$xPolitics and government$y1974-

150 ## $aAfrican American women domestics
450 ## $wnni$iFormer heading (offensive), 20060101$aMammies

4. PROPOSED CHANGES

In all 4XX fields, add the following code in subfield $w/2 (Earlier form of heading):

 


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