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MARC DISCUSSION PAPER NO. 2010-DP04

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DATE: May 17, 2010
REVISED:

NAME: Encoding the International Standard Text Code (ISTC) in the MARC 21 Bibliographic and Authority Formats

SOURCE: British Library

SUMMARY: This paper explores options to encode the International Standard Text Code (ISTC) in the MARC 21 Bibliographic and Authority formats.

KEYWORDS: Field 024 (BD, AD); Other standard identifier (BD, AD)

RELATED: 2003-04; 2010-DP03

STATUS/COMMENTS:
5/17/10 – Made available to the MARC community for discussion.

6/27/10 – Results of MARC Advisory Committee discussion: Consensus was that Option 2 would be the best approach and this requires no change to the format. It was suggested that the text (istc) precede the number in parentheses when used in 787$o. An example of its use will be included in the format documentation.


Discussion Paper No. 2010-DP04: Encoding the ISTC in the MARC 21 Bibliographic and Authority Formats

1. BACKGROUND

1.1 The International Standard Text Code (ISTC)

The International Standard Text Code (ISO 21047) is a global identification system for textual works, defined as the outputs of creative or intellectual effort expressed as text, intended for publication.  These include: prose; poetry; lyrics (for sung musical works); screen, audio and stage scripts and other scripts (e.g. sermons, speeches, etc.).

The standard was formally published in March 2009 and the International ISTC Agency has started implementing the standard.  This includes the publication of a guide to the application of the standard, the International Standard Text Code (ISTC) User manual (version 1.2) (PDF, 191 KB).

The ISTC is primarily intended for use by publishers, bibliographic services, retailers, libraries and rights management agencies to collocate different manifestations of the same title under a work-level record.  Various potential benefits have been identified and need testing.  For libraries, they include collocation and differentiation for resource discovery; collocation and differentiation for library loans reporting and analysis and improved library collection management.

For a useful overview of the ISTC and its potential benefits, please see Book Industry Study Group (BISG)’s discussion paper (PDF, 624 KB) “The International Standard Text Code (ISTC) : A Work in Progress – A Supply Chain Perspective” by Michael Holdsworth.

1.2 The ISTC and MARC

Encoding the ISTC in the MARC 21 formats was previously discussed as part of Proposal no.: 2003-04: Definition of Field 024 (Other Standard Identifier) to the MARC 21 Authority format.  It was also intended to be discussed as part of Discussion paper 2010-DP03: Encoding the International Standard Name Identifier (ISNI) and the International Standard Text Code (ISTC) in the MARC 21 Bibliographic and Authority formats during the Midwinter 2010 MARBI meeting.  However, this section of the paper was removed from discussion to allow for further investigation.

There currently is considerable interest in the library community in making use of publishers’ metadata. For example, the British Library has been using ONIX feeds as part of its CIP programme for some time; similarly Library and Archives Canada and the Library of Congress have been piloting the use of ONIX feeds to enrich records.  OCLC has recently published a mapping from ONIX for Books, Release 2.1 to MARC 21 as part of a Metadata Services programme under which publishers’ ONIX files are used to enrich MARC records in the OCLC database with added content, and at the same time MARC elements can be fed back to enhance the usefulness of the publisher’s metadata feed.

In this context, there is a need to agree on a consistent way to record the ISTC in the MARC format. This paper is therefore seeking guidance on the best way to record the ISTC in the MARC 21 bibliographic and authority records so that the potential benefits of the ISTC can be tested and fully exploited.

This may or may not require changes to the format.

The ISTCs used in the examples below are fictitious and for illustrative purposes only.

The ISTC is one of a number of identifiers which been developed to identify the intellectual/artistic content of resources rather than physical carriers.  These include the International Standard Audiovisual Number (ISAN), the International Standard Recording Code (ISRC) and the International Standard Work Code (ISWC).  Whilst this paper focuses on the ISTC, the standards above could potentially be handled in the same way in MARC.

2. DISCUSSION

2.1 Encoding the ISTC in the MARC 21 Bibliographic format

2.1.1. Original work and derivations

ISTC makes distinctions between the concepts of “original work” and “derivations” or “derived works”.  A “derivation” or “derived work” is a work that is “made predominantly out of material from another textual work”.  Eleven types of derivation are defined: abridged, annotated, compilation, critical, excerpt, expurgated, non-text material added or revised, revised (including numbered editions), translated, adaptation and unspecified. An “original work” is a work that cannot be adequately described using one or more of the types of derivation listed above.  The derivation type is recorded in the ISTC registration system.

For example, “Animal farm” by George Orwell is an original work; an “abridgement of Animal farm” and “an adaptation of Animal farm” are derived works.

The International Standard Text Code (ISTC) User Manual (version 1.2) (PDF, 191 KB) provides guidance on how to record these in relation to bibliographic records (Section 3.1, p.8):

“The International ISTC Agency recommends that publishers providing bibliographic metadata to other parties should include one or more ISTCs as attributes of each product record.

ONIX for Books version 3.0 includes a structure facilitating this in section P.22 “Related Works” as follows:

Where some other bibliographic message schema is being used, it is recommended that it should be modified (if possible) to accommodate ISTCs as described above.”

An example may be helpful to illustrate the above.  The bibliographic record for a manifestation of “Animal farm” by George Orwell will include one ISTC, the ISTC for the work “Animal farm”.  In Onix for Books, Release 3.0 this will be coded 01 as it is the work contained in the manifestation described.

The bibliographic record for a manifestation of “An adaptation of Animal farm” will include two ISTCs.  In Onix for Books 3.0 the ISTC for the work “An adaptation of Animal farm” will be coded 01 because it is the work contained in the manifestation described.  The record will also include the ISTC for the work “Animal farm”; this time, it will be coded 02 because this is the original work from which the work described in the manifestation is derived.  This work is not contained in the manifestation described.

This coding is intended to enable different functions. ISTCs coded 01 will enable collocation of different manifestations of the same work, for example, all of the following: hardback; paperback; film tie-in paperback; the large print; library binding; downloadable PDF e-book; Kindle e-book; Sony e-book; unabridged downloadable audiobook; unabridged CD audiobook, etc.

ISTCs coded 02 in principle enables search tools to group together manifestations derived from the same source work, for example, all adaptations of “Animal farm”.

Note on terminology:
An original work is only also a source work if it has had derivations.

2.1.2. Encoding the ISTC in MARC 21

At present, it is anticipated that the ISTC will populate MARC records via the conversion of ONIX for Books product descriptions to MARC; this is why it is important to be able to record the ISTC in the MARC 21 bibliographic format.  Due to their different functionalities, it is also important to be able to distinguish between those ISTCs which represent the family of manifestations described (ISTCs coded 01 in ONIX for Books 3.0) and those other ISTCs which express relationships to other families of manifestations (ISTCs coded 02 in ONIX for Books 3.0).

As suggested in Proposal 2003-04: Definition of Field 024 (Other Standard Identifier) in the MARC 21 Authority format, field 024 in the bibliographic format is an appropriate field in which to record the ISTC, with the source of the identifier recorded in subfield $2. However, this solution only works up to a point. The ISTC or ISTCs in case of multiple works can be recorded in repeated 024s but there is currently no explicit mechanism to distinguish between those ISTCs identifying works contained in the manifestation (coded 01 in ONIX for Books 3.0) and those for source works not contained in the manifestation (coded 02 in ONIX for Books 3.0).

This paper reviews a range of options:

Option 1: Only record ISTCs for those works contained in the manifestation in bibliographic field 024 – Other standard identifier and lose those ISTCs for source works not contained in the manifestation.

This would mean a lossy conversion from ONIX for Books 3.0 to MARC 21. As stated earlier in this paper, various claims have been made about the potential benefits of the ISTC.  Losing those ISTCs for source works not contained in the manifestation could potentially diminish the anticipated usefulness of this identifier in the bibliographic environment and would prevent this being tested in the MARC format.

Option 2: Record ISTCs for works contained in the manifestation in bibliographic field 024 – Other standard identifier and record ISTCs for source works not contained in the manifestation in bibliographic field 787 subfield $o Other item identifier. 787 subfield $i Relationship information could be used to record introductory text.

There may be a preference not to display the 787 because the ISTC may not be resolvable and there will be no additional descriptive metadata.

This option would require no change to the format.  This option would be extensible, through the use of $i Relationship information and/or $4 Relationship code, should the type of relationship become explicit in future.

Examples

Animal farm by George Orwell:

024 7# $a0A3200912B4A1057$2istc [ISTC for the work “Animal farm”]
100 1# $aOrwell, George,$d1903-1950.
245 10 $aAnimal farm /$cGeorge Orwell.

An adaptation of Animal farm:

024 7# $a0A42010111177788$2istc [ISTC for the work “George Orwell’s Animal farm”]
100 1# $aWooldridge, Ian.
245 10 $aGeorge Orwell’s Animal farm /$cadapted by Ian Wooldridge.
700 1# $aOrwell, George,$d1903-1950.$tAnimal farm.
787 18 $iRelated source work$oISTC 0A3200912B4A1057 [ISTC for the work “Animal farm”]

An abridgement of The Second World War:

024 7# $a0A3200912355D67A$2istc [ISTC for the work “The Second World War” abridged]
100 1# $aChurchill, Winston,$d1874-1965.
245 14 $aThe Second World War /$cWinston Churchill ; [abridgement by Denis Kelly]
250 ## $aIllustrated and abridged ed.
260 ## $aHoo :$bGrange,$cc2003.
700 1# $aKelly, Denis.
787 18 $iRelated source work$oISTC 0A420075436B9846 [ISTC for the work “The Second World War”]

Option 3: Record ISTCs in bibliographic field 024 – Other standard identifier with a parenthetical qualifier in subfield $a Standard number or code. 

The parenthetical qualifiers for the ISTC could be formalised as:

(contained in) to qualify ISTCs for works contained in the manifestation described; (related work) to qualify ISTCs for source works not contained in the manifestation described.

There is a precedent for this in the format, for example in the 020 where publisher/distributor; binding/format and volume number information can be included in parentheses. However, recording this information in the same subfield as the identifier itself is not good metadata practice and may make data manipulation more difficult for some systems. Text in English is also not an ideal solution in a multilingual record exchange environment.

This option would require no change to the format.

Examples

Animal farm by George Orwell:

024 7# $a0A3200912B4A1057 (contained in)$2istc [ISTC for the work “Animal farm”]
100 1# $aOrwell, George,$d1903-1950.
245 10 $aAnimal farm /$cGeorge Orwell.

An adaptation of Animal farm:

024 7# $a0A42010111177788 (contained)$2istc [ISTC for the work “George Orwell’s Animal farm”]
024 7# $a0A3200912B4A1057 (related work)$2istc [ISTC for the work “Animal farm”]
100 1# $aWooldridge, Ian.
245 10 $aGeorge Orwell’s Animal farm /$cadapted by Ian Wooldridge.
700 1# $aOrwell, George,$d1903-1950.$tAnimal farm.

An abridgement of The Second World War:

024 7# $a0A3200912355D67A (contained in)$2istc [ISTC for the work “The Second World War” abridged]
024 7# $a0A420075436B9846 (related work)$2istc [ISTC for the work “The Second World War”]
100 1# $aChurchill, Winston,$d1874-1965.
245 14 $aThe Second World War /$cWinston Churchill ; [abridgement by Denis Kelly]
250 ## $aIllustrated and abridged ed.
260 ## $aHoo :$bGrange,$cc2003.
700 1# $aKelly, Denis.

Option 4: Record ISTC relationship in a newly-created subfield in field 024 – Other standard identifier. This newly-created subfield, subfield $f, would contain the relationship of the ISTC to the entity described in the record.

$f   Relationship to description (NR)

Records the relationship between the identifier and the entity described in the record. The following values are used:

1 - Primary
The standard number or code recorded in subfield $a identifies an entity described in the record.

2 - Secondary
The standard number or code recorded in subfield $a identifies an entity related to an entity described in the record.

Recording the information in a separate subfield would support effective machine manipulation of the ISTC and the code list is extensible, should the type of relationship become explicit in future.

This new subfield may be of use to other identifier systems by enabling the recording of standard identifiers for the entity described in the record together with the standard identifiers of related entities.

Examples

Animal farm by George Orwell:

024 7# $a0A3200912B4A1057$f1$2istc [ISTC for the work “Animal farm”]
100 1# $aOrwell, George,$d1903-1950.
245 10 $aAnimal farm /$cGeorge Orwell.

An adaptation of Animal farm:

024 7# $a0A42010111177788$f1$2istc [ISTC for the work “George Orwell’s Animal farm”]
024 7# $a0A3200912B4A1057$f2$2istc [ISTC for the work “Animal farm”]
100 1# $aWooldridge, Ian.
245 10 $aGeorge Orwell’s Animal farm /$cadapted by Ian Wooldridge.
700 1# $aOrwell, George,$d1903-1950.$tAnimal farm.

An abridgement of The Second World War:

024 7# $a0A3200912355D67A$f1$2istc [ISTC for the work “The Second World War” abridged]
024 7# $a0A420075436B9846$f2$2istc [ISTC for the work “The Second World War”]
100 1# $aChurchill, Winston,$d1874-1965.
245 14 $aThe Second World War /$cWinston Churchill ; [abridgement by Denis Kelly]
250 ## $aIllustrated and abridged ed.
260 ## $aHoo :$bGrange,$cc2003.
700 1# $aKelly, Denis.

Some more complex examples:

Preliminary advice from the UK ISTC Registration Agency indicates that a physical publication of several distinct works would not qualify for its own ISTC unless it included additional material or the selection and arrangement of the works was considered to involve some level of intellectual or creative input that warranted crediting whoever was responsible.

Collection of two works by Shakespeare – no ISTC for the collective work because it does not contain additional material to warrant crediting responsible party:

024 7# $a0A32009012555D8C$f1$2istc [ISTC for the work “King John”]
024 7# $a0A32009012523G3E$f1$2istc [ISTC code for the work “Richard III”]
100 1# $aShakespeare, William,$d1564-1616.
245 10 $aKing John ;$bThe tragedy of King Richard the Third.
700 12 $aShakespeare, William,$d1564-1616.$tRichard III.

Collection of works by the Brontë sisters which qualifies for its own ISTC as it is more than the sum of its parts, i.e., contains additional material credited to John Brown. Also each component work is coded twice, as an original contained in the manifestation described and as a derived work from which the collective work is compiled:

024 7# $a0A920091357C985D$f1$2istc [ISTC for the work “Brontë sisters”]
024 7# $a0A920091256E457C$f1$2istc [ISTC for the work “Jane Eyre”]
024 7# $a0A920091325A4157$f1$2istc [ISTC for the work “Wuthering Heights”]
024 7# $a0A920091834D523A$f1$2istc [ISTC for the work “Agnes Grey”]
024 7# $a0A920091256E457C$f2$2istc [ISTC for the work “Jane Eyre”]
024 7# $a0A920091325A4157$f2$2istc [ISTC for the work “Wuthering Heights”]
024 7# $a0A920091834D523A$f2$2istc [ISTC for the work “Agnes Grey”]
245 00 $aBrontë sisters /$ccompiled and edited by John Brown.
505 0# $aJane Eyre / Charlotte Brontë -- Wuthering Heights / Emily Brontë -- Agnes Grey / Anne Brontë.
700 1# $aBrown, John.
700 12 $aBrontë, Charlotte,$d1816-1855.$tJane Eyre.
700 12 $aBrontë, Emily,$d1818-1848.$tWuthering Heights.
700 12 $aBrontë, Anne,$d1820-1849.$tAgnes Grey.

2.2 Encoding the ISTC in the MARC 21 Authority format

Recording the ISTC in the Authority format cannot be framed in exactly the same terms as when recording it in the Bibliographic format as the definitions apply only to the bibliographic format.

However, as stated in Proposal 2003-04, the ISTC can be recorded in field 024 in the authority format to identify the entity recorded in the 1XX.

There does not seem to be an immediate need to record the ISTCs of related works in the authority format so this paper is not proposing any change to the authority format with respect to the ISTC.

3. QUESTIONS FOR DISCUSSION

3.1 Should the MARC Bibliographic format carry ISTCs for source works not contained in the manifestation?

3.2 If yes, which of the options outlined above is best?


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