PROPOSAL NO.: 89-8/5

DATE: March 20, 1989
REVISED: August 8, 1990

NAME: Recording Name of Unit Information in the Holdings Format

SOURCE: Library of Congress

SUMMARY: This proposal gives three options for accommodating "name of unit" information: define subfield $o in field 853 as Type of unit; define subfield $o in field 853 as Type of unit and subfield $n in fields 853-855 as Title of unit, supplement, or index; define a new field 844 for Name of unit.

KEYWORDS: Field 844 (Holdings); Name of Unit (Holdings); Fields 853-855 (Holdings)

RELATED:

STATUS/COMMENTS:

5/5/89 - Forwarded to USMARC advisory group for discussion at the June 1989 MARBI meeting.

6/27/89 - Results of USMARC advisory group discussion - Deferred. There was a request for modeling of examples of the various alternatives.

7/26/89 - Results of LC review - Agreed with the MARBI decision.

4/18/90 - Forwarded to the USMARC advisory group for discussion at the June 1990 MARBI meeting.

6/26/90 - Results of USMARC advisory group discussion - Approved Option C (Define a new field 844 for Name of unit).

8/8/90 - Results of final LC review - Approved.


PROPOSAL NO.: 89-8/5 Recording Name of Unit Information in the Holdings Format

1. INTRODUCTION

NISO Z39.57 calls for the name of unit to be available for use with the basic bibliographic unit, specifically for those "separate-but-equal" units where no component is predominant (e.g., a kit). (See Z39.57 section 4.4.1. Type-of-Holdings Designator.) The name of the unit also needs to be available with supplements, indexes, and accompanying material. (See Z39.57 section 4.5.1. Name of Unit.)

When this proposal was first presented to MARBI in June 1989, there was a request for modeling of examples. A set of non-serial holdings models was prepared by NetDev/MSO and distributed in late January 1990. Although most recipients had not expressed their preferences by the time this proposal was revised, the few that did preferred the option of a subfield rather than separate field approach for the name of unit.

There are three options to consider for name of unit information.

Option A. Define a subfield $o in field 853 (Captions and Pattern--Basic Bibliographic Unit) as Type of unit and modify the definition of subfield $o in fields 854 and 855 to use the subfield for name of unit information.

One advantage to using a subfield for name of unit is that if the basic bibliographic unit and the supplementary material each have a different name of unit, each could be recorded in subfield $o in the appropriate field, rather than in separate records, which would be necessary if a separate field is used for name of unit. A disadvantage to using a subfield of 853-855 is that the name of unit may need to be recorded/displayed in a NISO level 1 or 2 record, in which fields 853/854/855 would not normally be present. In such instances, the appropriate 85X field would be included, despite the holdings level, and would include only the subfield $o. (The format does not forbid the inclusion of the field for levels 1 or 2.) In addition, it could be redundant if the publication pattern changed and subfield $o would have to be repeated in an 85X field for any iteration of the field. However, including the name of unit data in a subfield may make it easier for systems to construct a display, since the data would be in a field with related information. See Attachment A for a description of the subfield.

Examples:

Display: "Cumulative annual pocket part" 1986 : v. 1-14

 
854 01 $61$oCumulative annual pocket part$a(year)$bv.
864 30 $61.1$a1986$b1-14

Display: "Current development" v. 1-18\v.19 : no.1-5

 
853 00 $61$oCurrent development$av.$bno.
863 30 $61.1$a1-18
863 30 $61.2$a19$b1-5

Display: "Updates" 1985 : no.1 (Jan.)\1985 : no.2 (Feb.)

 
854 01 $61$oUpdates$a(year)$bno.$i(month)
864 41 $61.1$a1985$b1$i01
864 41 $61.2$a1985$b2$i02

Display: 1 v. + "Teacher's guide" pt.A-B

854 00 $61$apt.$oTeacher's guide
864 40 $61.1$aA-B
866 41 $60$a1 v.

Option B. Define subfield $o for Type of unit in field 853 and subfield $n for Title of unit in fields 853-855.

It is desirable to have both Type of unit and Title of unit so that an institution may distinguish between the name of the unit assigned by the cataloger and the title given it by the publisher. In the present format, Type of supplement or index is in subfield $o of 854/855 and Title of supplement or index is in subfield $o of 864/865, which can presently serve this purpose. Alternatively, it may be more appropriate to record both types of information in separate subfields of the Caption and Pattern fields (853-855), since they serve a similar function. Thus, subfield $o in fields 864/865 could be made obsolete, since the information would be included in subfield $n of 853-855. See Attachment B for a description of the subfields.

854 01 $61$opocket part$ncumulative supplement$a(year)$BV
864 30 $61.1$a1983-1986$b1-24

If this option is approved, subfield $o in field 864 (Title of supplementary material) and 865 (Title of index) could be made obsolete.

Option C. Define a new field 844 for Name of unit. Because of the lack of a mechanism for grouping fields together based on a common "name of unit," holdings for units having different names will have to be recorded in separate holdings records. It would be possible to define a new field in the holdings format for the name of unit. The field would not be repeatable as only one name would appear in a separate holdings record. The addition of this field would preclude the recording of holdings for a bibliographic unit and a secondary bibliographic unit in the same record if either had a name of unit that needed to be recorded. No subfield $6 (Sequence control number) would need to be defined for a new field 844, since the field would apply to the entire bibliographic unit described in the holdings record. See Attachment C for a description of the field.

Examples:

Display: "Cumulative annual pocket part" 1986 : v. 1-14

844 ## $aCumulative annual pocket part
854 01 $61$a(year)$BV
864 30 $61.1$a1986$b1-14

Display: "Current development" v. 1-18\v.19 : no.1-5

844 ## $aCurrent development
853 00 $61$av.$bno.
863 30 $61.1$a1-18
863 30 $61.2$a19$b1-5

Display: "Updates" 1985 : no.1 (Jan.)\1985:no.2 (Feb.)

844 ## $aUpdates
854 01 $61$a(year)$bno.$i(month)
864 41 $61.1$a1985$b1$i01
864 41 $61.2$a1985$b2$i02

Display: 1 v. + "Teacher's guide" pt.A-B

844 ## $aTeacher's guide
854 00 $61$apt.
864 40 $61.1$aA-B
866 41 $60$a1 v.
    Note: In this example, a display may be more difficult to construct when a separate field is used, since the system would have to place "Teacher's guide" with the appropriate caption and enumeration.

Textual holdings fields: Use of the 866/867/868 fields (Textual Holdings Fields) is, of course, always an option even if a new field or subfield for name of unit is defined. Using these fields would provide the advantage of allowing holdings for multiple bibliographic units, with different names of units, to be carried in the same holdings records, so long as they did not need to be itemized.

Example:

866 #1 $60$a"Current developments" v.1-16,v.18
866 #1 $60$a"Cases" v.1-22
866 #1 $60$a"Decisions" v.23-24

Supplement or index designation used as caption: Whenever the supplement or index designation is used as a caption, it should be recorded in the Caption and Pattern field in subfield $a-$f. These instances occur when the numbering relates to a particular part of a bibliographic unit (e.g., a multipart or serial item). The caption and enumeration for the supplement or index are treated as a subsequent order designator.

Examples of supplement or index designation used as caption:

Display: v.16 : suppl.1 (1977 : June 1)

854 00 $61$av.$bsuppl.$i(year)$j(month)$k(day)
864 40 $61.1$a16$b1$i1977$j06$k01

Display: v.31 : suppl.

854 00 $61$av.$bsuppl.
864 40 $61.1$a31

Display: v.3 : suppl. : pt.1/v.3 : suppl. : pt.2

854 00 $61$av.$bsuppl.$cpt.
864 41 $61.1$a3$c1
864 41 $61.2$a3$c2
    Note: Display logic should output the 85X caption alone if there is no corresponding enumeration or chronology in the corresponding 86X field. Alternately, a convention for "null enumeration" could be developed, e.g., using empty brackets in 864 subfield $b for "null enumeration".

NOTE: This proposal covers the topic discussed in Proposal 89-8/7, which called for making subfield $o obsolete in Fields 854-855, which was deferred so that it could be further studied.

2. PROPOSED CHANGE

The following is presented for consideration:

Option A.

Option B.

Option C.

In addition:


ATTACHMENT A

$l -Fourth level of chronology
Subfield $l contains the caption for the fourth level of chronology.

853 00 $61$av.$bsect.$u12$vr$cno.$u7$vr$dpt.$uvar.$vr$i(year)$j(month)$k(day) $l(week)$wd$x01
863 40 $61.1$a1$b4$c4-7$d15$i1988$j04$k13-16$l15

$m -Alternative numbering scheme, chronology
Subfield $m contains the caption for an alternative chronology scheme.

$o -Type of unit, supplementary material, or index [854]
$o - Type of index [855]
Subfield $o contains a caption that describes the type of unit in field 853, supplementary material (for example, annual buyer's guide) in field 854 or the type of index (for example, subject index) in field 855 when the type is specified on the item. When used, subfield $o immediately follows the caption to which it refers.

855 ## $61$o(alphabetical index)$a(year)
865 4# $61.1$a1969-1978

853 00 $61$oCurrent developments$av.
863 40 $61.1$a1-16
863 40 $61.2$a18
853 00 $62$oCases$av.
863 40 $62.1$a1-22

If the title of the supplementary material or an index is different from the indication of the type, the title is recorded in subfield $o (Title of supplementary material/Title of index) of the 864 or 865 Enumeration and Chronology field.

$t -Copy
Subfield $t contains the caption for the copy number when the 863-865 Enumeration and Chronology field linked to the 853-855 field contains a subfield $t (Copy number).

853 22

$61$av.$bno.$u04$vr$i(year)$j(month)$wq$x12$tc

863 40 $61.1$a1-4$b1-6$t3

$u -Bibliographic units per next higher level
Subfield $u contains either a number that specifies the total number of parts that comprise the next higher level of enumeration or the code var or und. Subfield $u may be used with each level of enumeration except the first level (subfield $a or $g). When it is used, subfield $u follows the caption subfield for the enumeration level to which it applies.

<n>- Number of parts

$l -Fourth level of chronology
Subfield $l contains the caption for the fourth level of chronology.

853 00 $61$av.$bsect.$u12$vr$cno.$u7$vr$dpt.$uvar.$vr$i(year)$j(month)$k(day)$l(week)$WD$x01
863 40 $61.1$a1$b4$c4-7$d15$i1988$j04$k13-16$l15

$m -Alternative numbering scheme, chronology
Subfield $m contains the caption for an alternative chronology scheme.


ATTACHMENT B

$n -Title of unit, supplementary material, or index
Subfield $n contains the title of unit (for example Cumulative supplement) in field 853, supplementary material (for example, Annual buyer's guide) in field 854 or the title of an index (for example, Subject index) in field 855.

If the title of the unit, supplementary material or an index is the same as the caption contained in the 853-855 Captions and Pattern field in subfield $o (Type of unit, supplementary material, or index), the title is not also contained in the 853-855 subfield $n. Subfield $n may be used to record a title assigned by the publisher when it is different from that assigned by the cataloger.

855 ## $61$nTen year cumulative index$o(alphabetical index)$a(year)
865 4# $61.1$a1969-1978

$o -Type of unit, supplementary material, or index [854]
$o -Type of index [855]
Subfield $o contains a caption that describes the type of unit in field 853, type of supplementary material (for example, annual buyer's guide) in field 854 or the type of index (for example, subject index) in field 855 when the type is specified on the item. When used, subfield $o immediately follows the caption to which it refers.

855 ## $61$o(alphabetical index)$a(year)
865 4# $61.1$a1969-1978

If the title of the unit, supplementary material or an index is different from the indication of the type, the title is recorded in subfield on (Title of supplementary material/Title of index) of the 864 or 865 Enumeration and Chronology field. 853-855 field.

$t -Copy
Subfield $t contains the caption for the copy number when the 863-865 Enumeration and Chronology field linked to the 853-855 field contains a subfield $t (Copy number).

853 22 $61$av.$bno.$u04$vr$i(year)$j(month)$wq$x12$tc
863 40 $61.1$a1-4$b1-6$t3
    [The bibliographic unit consists of 12 numbers per volume and 3 parts per number.]


ATTACHMENT C

844 - Name of Unit (NR)

Indicators

First - Undefined

# - Undefined

Second - Undefined

# - Undefined

Subfield code

$a - Name of unit (NR)

FIELD DEFINITION AND SCOPE

This field contains the name or title appearing on an item. The item may be a basic bibliographic unit, supplementary material, or an index. The name of the unit consists of its bibliographic title or a supplied designation describing it. Since the name of unit field is not repeatable, additional names applying to other units require that separate holdings records be used.


GUIDELINES FOR APPLYING CONTENT DESIGNATORS

INDICATORS

Both indicators are undefined; each contains a blank ().

SUBFIELD CODE

$a - Name of unit

Subfield $a contains the bibliographic title of the unit or a supplied designation describing it.

EXAMPLES

Display: "Current developments" v.1-16,v.18 + "Cases" v.1-22 + "Decisions" v.23-24

844 ## $aCurrent developments
853 00 $61$av.
863 40 $61.1$a1-16
863 40 $61.2$a18

844 ## $aCases
853 00 $61$av.
863 40 $61.1$a1-22

844 ## $aDecisions
853 00 $61$av.
863 40 $61.1$a23-24
    [Because each unit has a different title, three holdings records are necessary. All the records are linked to the appropriate bibliographic record by a number in one of the linking number fields.]


INPUT CONVENTIONS

Display constants

The name of unit is surrounded by quotation marks, as specified by the standard, ANSI/NISO Z39.57. The quotation marks are not input as data, but may be generated as a display constant.


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