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DATE: May 25, 2018
REVISED:
NAME: Versions of Resources in the MARC 21 Bibliographic Format
SOURCE: German National Library, for the Committee on Data Formats
SUMMARY: This paper proposes two ways to designate in a MARC record that a resource is available in a specific version, e.g. as preprint, postprint, publisher’s version, etc., including, but not limited to values from NISO-RP-8-2008 "Journal Article Versions (JAV): Recommendations of the NISO/ALPSP JAV Technical Working Group".
KEYWORDS: Versions of resources (BD); Field 250 (BD); Edition Statement (BD); Field 251 (BD); Version Information (BD)
STATUS/COMMENTS:
05/25/18 – Made available to the MARC community for discussion.
06/24/18 – Results of MARC Advisory Committee discussion: Approved, using Option 2: defining a new field 251, with the amendment to add subfields $3, $6, and $8.
08/17/18 - Results of MARC Steering Group review - Agreed with the MAC decision.
The German National Library collects electronic resources, including journal articles in electronic form, on a large scale. Most of the processes are automated, given the fact that the number of electronic resources is constantly growing, and that no time can be invested in intellectual cataloging. By legal deposit, publishers are obliged to provide both the resources and metadata that can be converted and imported into the central database. Among the metadata formats in use and recommended to the publishers is the MARC 21 Bibliographic Format.
Electronic journal articles can be provided in different versions. During the different steps up to the final publication and beyond there may be preprint, postprint, publisher’s version, and others. Sometimes the content of the versions does differ significantly from step to step, but often this is more a matter of layout. Keeping the different publication and access models in mind, it is important not to match different versions erroneously, but instead to be able to distinguish them from each other, so that users can identify them in a clearly visible way in order to obtain the version that they have searched for, or a version that is "good enough" and easily accessible.
Analyzing the need for the designation of versions of resources, a helpful paper is the 2008 publication by NISO, NISO-RP-8-2008, entitled “Journal Article Versions (JAV): Recommendations of the NISO/ALPSP JAV Technical Working Group: A Recommended Practice of the National Information Standards Organization in partnership with the Association of Learned and Professional Society Publishers”, prepared by the NISO/ALPSP Journal Article Versions (JAV) Technical Working Group. It is available online at:
http://www.niso.org/publications/rp/RP-8-2008.pdf (PDF, 37 pages, 216 KB in size).
Quoting from the introduction, these “recommendations provide a simple, practical way of describing the versions of scholarly journal articles that typically appear online before, during, and after formal journal publication.” A list of codes and terms is given, with descriptions, including definitions and notes:
"AO = Author’s Original
SMUR = Submitted Manuscript Under Review
AM = Accepted Manuscript
P = Proof
VoR = Version of Record
CvoR = Corrected Version of Record
EvoR = Enhanced Version of Record"
A variety of use cases is provided as well.
In comparison, the guidelines of DRIVER (Digital Repository Infrastructure Vision for European Research) at https://wiki.surfnet.nl/display/DRIVERguidelines/Home offer a list of controlled terms, functioning as version vocabulary:
"draft Early version circulated as work in progress
submittedVersion The version that has been submitted to a journal for peer review
acceptedVersion The author-created version that incorporates referee comments
and is the accepted for publication version
publishedVersion The publisher created published version
updatedVersion A version updated since publication"
Some other initiatives are reusing this vocabulary, e.g. the "OpenAIRE Guidelines for Literature Repositories" at https://guidelines.openaire.eu/en/latest/literature/field_publicationversion.html and the German Initiative for Network Information (DINI) in its "Gemeinsames Vokabular für Publikations- und Dokumenttypen" ("Common Vocabulary Types and Document Types", available (in German language) at http://dx.doi.org/10.18452/1492.
A mapping between JAV and DRIVER is available at https://wiki.surfnet.nl/display/DRIVERguidelines/DRIVER-VERSION+Mappings.
Additional controlled vocabularies may be found online.
During the meeting of the MARC Advisory Committee in February 2018 the preceding Discussion Paper 2018-DP06 was discussed.
The following options were presented:
1. coded designation in field 008, positions 24-27 "Nature of contents"
2. designation as genre / form term in field 655 "Index Term - Genre/Form"
3. a note in field 562 "Copy and Version Identification Note"
4. designation by a new subfield in field 250 "Edition Statement"
Option 4 was preferred, i.e. a new subfield in field 250.
Other options were discussed, among them a new field (with available field numbers 251 and 266).
Instead of subfield code $v subfield code $s was suggested, because a subfield $s "Version" is already defined in fields 130, 240, 243 and 245.
It should be noted that in field 245 subfield $s "Version" could theoretically be used for information regarding versions of resources in the sense of this proposal. This option is not further explored here, because there was consensus that one of the fields in the 25X - 28X block is the appropriate format solution. To clarify the difference, a reference to 245 $s can be provided in the documentation.
It was noted that both electronic and print resources should be in scope. A proposal should confine itself to providing examples of terms which are known to exist in controlled vocabularies. If a controlled term were to be used, then a means should be made available to record a URI associated with that term.
Field 250 is currently defined in the Bibliographic format as follows:
250 - Edition Statement (R)
Both indicator positions are undefined; each contains a blank (#).
Subfield codes:
$a - Edition statement (NR)
Edition statement that usually consists of numeric and alphabetic characters and accompanying words and/or abbreviations. If an edition statement appears in more than one language, only the first edition statement is recorded in subfield $a. [...]$b - Remainder of edition statement (NR)
Usually, a statement of personal or corporate responsibility and/or a parallel edition statement. [...]$3 - Materials specified (NR)
Information to differentiate the multiple statements of the described materials to which the field applies.$6 - Linkage (NR)
$8 - Field link and sequence number (R)
Field Definition and Scope
Information relating to the edition of a work as determined by applicable cataloging rules.
For mixed materials, field 250 is used to record statements relating to collections that contain versions of works existing in two or more versions (or states) in single or multiple copies (e.g., different drafts of a film script).For continuing resources, this field is not used for sequential edition statements such as 1st- ed. This type of information is contained in field 362 (Dates of Publication and/or Volume Designation).
In field 250, subfields $a and $b are usually transcribed from the resource, and may consist of a variety of terms, different in length, language, and formulated according to different rules and policies.
A new subfield $s for a "Version" could be defined in field 250. The name of field 250 doesn't cover "versions" yet, so the field could be renamed to "Edition Statement and Version Information" or something similar. Version information should be expressed in terms which are known to exist in controlled vocabularies, so that a subfield $2 "Source" should be defined, to provide the context (by a coded value) of the term in $s. And as a controlled term is used, a format element should be defined to record a URI associated with that term, which would be the $0/$1 pair of subfields.
Since 2013, field 250 is repeatable, so that when a combination of an edition statement and version information is to be expressed, the first occurrence of field 250 may contain the edition statement, and the second occurrence the version information.
When exploring an alternative way of designating version information, a new field number has to be found. In the range of 25X-28X "Edition, Imprint, Etc. Fields" the following fields are defined:
250 - Edition Statement (R)
254 - Musical Presentation Statement (NR)
255 - Cartographic Mathematical Data (R)
256 - Computer File Characteristics (NR)
257 - Country of Producing Entity (R)
258 - Philatelic Issue Data (R)
260 - Publication, Distribution, etc. (Imprint) (R)
263 - Projected Publication Date (NR)
264 - Production, Publication, Distribution, Manufacture, and Copyright Notice (R)
270 - Address (R)
The content designator history lists the following additional fields:
Field 261 - Imprint Statement for Films (Pre-AACR 1 Revised) [USMARC only]
Field 262 - Imprint Statement for Sound Recordings (Pre-AACR 2) [USMARC only]
Field 265 - Source for Acquisition/Subscription Address (AM, MC) [OBSOLETE, 1983]
Field 265 - Source for Acquisition/Subscription Address (BK, CF, MP, MU, VM, SE) [OBSOLETE, 1993]
So field number 251 may be chosen here.
We propose the following definition for new field 251:
251 - Version Information (R)
Field Definition and Scope: Information relating to the version of a resource, preferably taken from a controlled vocabulary.
Both indicator positions are undefined; each contains a blank (#).
Subfield codes:
$a -Version
Information relating to the version of a resource, preferably taken from a controlled vocabulary.$0 - Authority record control number or standard number
$1 - Real World Object URI
$2 - Source
MARC code that identifies the source of the term used to record the version information.
Code from: Version Term Source Codes
3.1. MARC record for an article, based on http://d-nb.info/110915559X, with new subfields $s and $2 in field 250
LDR 00915naa a2200445uc 4500
001 11XXXXXXXX
003 DE-101
007 cr||||||||||||
008 150730s2015\\\\\\\|||||o||||\00||||eng\\
041 ## $aeng
100 1# $0(DE-588)1022734555$0http://d-nb.info/gnd/1022734555$0(DE-101)1022734555$aAltmann, Philipp$4aut
245 00 $a"The Right to Self-determination": Right and Laws Between Means of Oppression and Means of Liberation in the Discourse of the Indigenous Movement of Ecuador$helectronic resource$cby Philipp Altmann
250 ## $sAuthor's original$2jav
856 40 $u[URL]$xAuthor’s homepage
856 #0 $uhttp://d-nb.info/11XXXXXXXX/34$xLangzeitarchivierung Nationalbibliothek
3.2. The same record as in example 3.1., with new field 251
LDR 00922naa a2200445uc 4500
001 11XXXXXXXX
003 DE-101
007 cr||||||||||||
008 150730s2015\\\\\\\|||||o||||\00||||eng\\
041 ## $aeng
100 1# $0(DE-588)1022734555$0http://d-nb.info/gnd/1022734555$0(DE-101)1022734555$aAltmann, Philipp$4aut
245 00 $a"The Right to Self-determination": Right and Laws Between Means of Oppression and Means of Liberation in the Discourse of the Indigenous Movement of Ecuador$helectronic resource$cby Philipp Altmann
251 ## $aAuthor's original$2jav
856 40 $u[URL]$xAuthor’s homepage
856 #0 $uhttp://d-nb.info/11XXXXXXXX/34$xLangzeitarchivierung Nationalbibliothek
Note: Code "jav" in 250 $2 and 251 $2 represents "Journal Article Versions"
3.3. MARC record for a printed resource, based on http://d-nb.info/880413034 ,with new subfields $s and $2 in field 250
LDR 01256nam a2200325 c 4500
001 880413034
003 DE-101
007 tu
008 880405s1987 xx ||||| |||| 00||||ger
035 ## $a(OCoLC)722228726
041 ## $ager
044 ## $cXA-DDDE
088 ## $aPreprint ZfI 56
100 1# $0(DE-588)104554398$0http://d-nb.info/gnd/104554398$0(DE-101)104554398$aFaust, Hans$eVerfasser$4aut
245 00 $aLaboratory training manual on routine methods for preparation and analysis of 15N labelled biological material$ccompiled by H. Faust. FAO IAEA Interregional Training Course on the Use of 15N in Soil Science, Plant Nutrition and Agricultural Biotechnology. [Hrsg.: Akad. d. Wiss. d. DDR, Zentralinst. für Isotopen- u. Strahlenforschung]
250 ## $a2. ed.$sDraft$2driver
264 #1 $aLeipzig$bZfI$c1987
300 ## $a95 S.$bgraph. Darst.$c21 cm
3.4. The same record as in example 3.3., with new field 251
LDR 01256nam a2200325 c 4500
001 880413034
003 DE-101
007 tu
008 880405s1987 xx ||||| |||| 00||||ger
035 ## $a(OCoLC)722228726
041 ## $ager
044 ## $cXA-DDDE
088 ## $aPreprint ZfI 56
100 1# $0(DE-588)104554398$0http://d-nb.info/gnd/104554398$0(DE-101)104554398$aFaust, Hans$eVerfasser$4aut
245 00 $aLaboratory training manual on routine methods for preparation and analysis of 15N labelled biological material$ccompiled by H. Faust. FAO IAEA Interregional Training Course on the Use of 15N in Soil Science, Plant Nutrition and Agricultural Biotechnology. [Hrsg.: Akad. d. Wiss. d. DDR, Zentralinst. für Isotopen- u. Strahlenforschung]
250 ## $a2. ed.
251 ## $aDraft$2driver
264 #1 $aLeipzig$bZfI$c1987
300 ## $a95 S.$bgraph. Darst.$c21 cm
Code "driver" in 250 $2 and 251 $2 represents "Digital Repository Infrastructure Vision for European Research".
Decision would be needed on whether the content is bf:version (literal) or bf:editionStatement (literal) or whether an object property might need to be used.
In the MARC 21 Bibliographic Format, define the following subfields in field 250 (Edition Statement):
$s - Version (R)
Information relating to the version of a resource, preferably taken from a controlled vocabulary.$0 - Authority record control number or standard number (R)
$1 - Real World Object URI (R)
$2 - Source (NR)
MARC code that identifies the source of the term used to record the version information in subfield $s.
Code from: Version Term Source Codes
Adjust the field name and field definition accordingly.
OR
Define new field 251 in the MARC 21 Bibliographic Format, as described in Section 2.2.:
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