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MARC PROPOSAL NO. 2021-06

DATE: December 22, 2020
REVISED:

NAME: Accommodating Work and Expression Dates, and Related Elements, in Bibliographic and Authority Field 046

SOURCE: Core SAC Subcommittee on Faceted Vocabularies

SUMMARY: This paper proposes a method for distinguishing work and expression dates recorded in MARC Bibliographic field 046 (Special Coded Dates), along with new subfields for materials specified and explanatory notes. It also proposes new subfields for materials specified and explanatory notes in the MARC Authority field 046. 

KEYWORDS: Field 046 (AD, BD); Special Coded Dates (AD, BD); Expression Dates (AD, BD); Work Dates (AD, BD); Type of Entity (AD, BD); Materials Specified (AD, BD); Nonpublic Note (AD, BD); Public Note (AD, BD)

RELATED: 2020-DP13

STATUS/COMMENTS:
12/22/20 – Made available to the MARC community for discussion.

01/26/21 – Results of MARC Advisory Committee discussion: Approved, applying Option 1, along with subfields $3, $x, and $z.

04/28/21 - Results of MARC Steering Group review - Agreed with the MAC decision.


Proposal No. 2021-06: Accommodating Work and Expression Dates, and Related Elements, in Field 046

1. BACKGROUND

Field 046 is currently defined in the Bibliographic format as follows:

Field Definition and Scope
Date of item information that either cannot be recorded in 008/06-14 (Type of date/Publication status, Date 1, Date 2) because such information involves one or more Before Common Era (B.C.E.) dates, incorrect dates, dates when resources have been modified or created, and date spans when resources are valid, or is recorded here in addition to appearing in 008/06-14. When field 046 is used for B.C.E. dates, 008/06 is set to code b (No date given; B.C.E. date involved) and field 008/07-10 and 008/11-14 contain blanks (####). When field 046 is used for incorrect dates, field 008/06 is coded for the type of corrected data and field 008/07-10 and 008/11-14 contain correct dates.

The Core SAC Subcommittee on Faceted Vocabularies has developed best practices for recording faceted chronological data in bibliographic records.  In the course of this work, several issues arose about how best to record both work and expression dates, and how to deal with situations where multiple work dates are applicable.

Although the 046 was originally intended to accommodate dates of publication or creation that could not be recorded in 008 for some reason, the use of 046 $k/$l and $o/$p has expanded in practice to be used to record the RDA elements for date of work and date of expression, making its use similar to that of many of the 3XX fields added for RDA. It is the only place in the MARC Bibliographic format to consistently record this information in a machine-actionable form.  Facets and limits based on these coded dates and attribute fields are in use in many commonly used discovery systems.

Bibliographic records are an amalgamation of work, expression, manifestation, and item elements.  Date information is increasingly being used in faceted discovery systems to allow users to search and limit.  Users may search or limit by publication date (manifestation data), but the inclusion of date data in field 046 now provides the ability to search or limit by date of creation, which is often very different from the publication date.  For expressions of works such as translations and musical arrangements, multiple dates apply: the date the work was first created and the date the expression was realized.  They may be the same or they may be different.  Currently in MARC, both types of dates must be recorded in 046 subfields $k/$l:

$k - Beginning or single date created (NR)
$l - Ending date created (NR)

In developing best practices, the Subcommittee on Faceted Vocabularies realized that recording both expression and work dates in multiple 046 fields in subfields $k/$l is problematic because there is no current way to identify which date means what.  For facets developed for work dates, an expression date coded in 046 $k would be treated as a work date.  For example, the 1922 orchestral arrangement by Maurice Ravel of Modest Mussorgsky’s piano work from 1874, Kartinki s vystavki, would currently have to be coded as:

046 ## $k 1874 $2 edtf
046 ## $k 1922 $2 edtf
100 1# $a Mussorgsky, Modest Petrovich, $d 1839-1881, $e composer.
240 10 $a Kartinki s vystavki; $o arranged $s (Ravel)
245 10 $a Pictures at an exhibition / $c Moussorgsky-Ravel.
500 ## $a Arranged by Maurice Ravel in 1922.

There is no way for an ILS or discovery system to distinguish between the two dates in the record.  However, a user searching for piano music written in the 1920s probably does not want this piece. If the dates could be distinguished by coding, a separate facet for dates of the original work would exclude dates of arrangements or translations.

When a resource contains multiple works and/or expressions, there is currently no practical way to specify which date recorded in field 046 applies to which work or expression.  For example:

046 ## $o 1947 $2 edtf
046 ## $o 1949 $2 edtf
046 ## $o 1953 $2 edtf
245 00 $a Film noir triple DVD feature.
505 0# $a Fear in the night (1947, 71 min.) -- D.O.A. (1949, 84 min.) -- The hitch-hiker (1953, 71 min.).

Note regarding $o and $p: The SAC Subcommittee on Faceted Vocabularies recommends the use of 046 $o and $p for date of creation of the individual works in compilations whether the dates are given as a range (1947-1953) or as individual dates (1947, 1949, 1953) and recommends that for aggregates only dates of aggregating works themselves be given in 046 $k/$l and only when these are of interest (e.g., an anthology of classical Latin poetry in Gale’s Eighteenth Century Collections Online may have a date for the aggregating work in the 1700s, but the individual aggregated works may have been created in the 1st century AD). This is intended to prevent conflation of these two kinds of dates.

Although 046 contains subfield $8 (Field link and sequence number), which could be used to link an 046 field to a work added entry, this method has not been implemented widely.  Few systems support the input of $8 and the subcommittee knows of no systems that make the input of $8 easy or use it in discovery interfaces.  The addition of subfield $3 for materials specified would provide a partial alternative solution to this problem.  Although $3 is challenging to use for machine manipulation, it is easier to implement in most cataloging systems and would enable clearer public displays.  For example, for the above compilation, one might see a display like this:

Title                                         Film noir triple DVD feature

Publisher                                New York : GoodTimes DVD

Publication Date                    2004

Country of Production          United States

Creation Date                        Fear in the night: 1947

                                                D.O.A.: 1949

                                                The hitch-hiker: 1953

Finally, in the course of developing best practices, the Subcommittee identified a potential need for subfields to record notes about the dates recorded.  There are resources for which it is sometimes appropriate to record multiple work or expression dates.  An example is the case of a film created in one year and released in another.  Both dates may be useful to record.  Explanatory notes could be accommodated in subfields $x and $z, for non-public and public notes respectively.  From a retrieval perspective, explanatory notes are not ideal.  They function best in display.  However, if a controlled vocabulary were developed for such notes, it could have the potential to be implemented in search and retrieval as well as in display. Such notes are not intended, however, to substitute for system programming that correctly parses the date information itself for display purposes. For example, the following is not an intended use of the public note subfield:

046 ## $k -07 $z Created in 8th century B.C.

2. DISCUSSION

In MARC Discussion Paper 2020-DP13 a number of options were considered for distinguishing between work and expression dates in field 046.  For the Bibliographic format, the MARC Advisory Committee preferred not to create new subfields for expression dates and instead suggested two alternative approaches. The first is an indicator value to record the type of entity and the second is a new subfield to record the type of entity. Those present at the MAC meeting indicated a slight preference for the first of these approaches. Both approaches are described below, however, in order to fully illustrate the alternative coding.  For the Authority format, MAC suggested that the use of field 075 (Type of Entity) would be sufficient to indicate what entity was being described by the authority record. The same terminology and codes that would be used in 075 of the Authority format could be used in the 046 of the Bibliographic format if the subfield option is chosen.  The Program for Cooperative Cataloging will be developing a controlled vocabulary for entity types.  This proposal also includes a provision to accommodate authority control numbers and URIs for entity type if the option to use new subfields for entity type in the Bibliographic format is selected.

MAC agreed in its discussion of 2020-DP13 that subfield $3 would be a useful addition to the 046 in both the Bibliographic and Authority formats.  It also agreed that subfields $x and $z would be appropriate to add for non-public and public notes. 

3. PROPOSED CHANGES


3.1. Changes to Field 046 in the Bibliographic Format


3.1.1.  Options for Recording Type of Entity

OPTION 1: Indicator Value for Type of Entity
Redefine first indicator (currently undefined) as follows::

OPTION 2: New Subfield(s) for Type of Entity

Option 2.1. Add multiple subfields for terms, codes, and authority control numbers/standard numbers or URIs:

$h - Type of entity term (R)
Term from a controlled list of entity types which describes the type of entity for which a date is recorded.

$i - Type of entity code (R)
Code from a controlled list of entity types which describes the type of entity for which a date is recorded.

$0 - Authority record control number or standard number (R)
Authority record control number or standard number for the type of entity for which a date is recorded

$1 - Real World Object URI (R)
Real World Object URI for the type of entity for which a date is recorded (R)

Option 2.2: Add single subfield for term, code, authority control number or standard number, or URI:

$i - Type of entity term, type of entity code, authority record control number or standard number for type of entity, or URI for the type of entity for which a date is recorded (R)
Term or code from a controlled list of entity types which describes the type of entity for which a date is recorded, or authority record control number or standard number for the type of entity, or Real World Object URI for the type of entity

3.1.2. New Subfield for Materials Specified
Add subfield $3 as follows:

$3 - Materials specified (NR)
Part of the described materials to which the field applies.

3.1.3. New Subfields for Explanatory Notes
Add subfields $x and $y as follows:

$x - Nonpublic note (R)
Note relating to the date(s) recorded in the field. The note is written in a form that is not adequate or intended for public display.

$z - Public note (R)
Note relating to the date(s) recorded in the field. The note is written in a form that is adequate or intended for public display. It is not intended to substitute for system programming that correctly parses the date information itself for display purposes.

3.2. Changes to Field 046 in the Authority Format


3.2.1. New Subfield for Materials Specified
Add subfield $3 as follows:

$3 - Materials specified (NR)
Part of the described materials to which the field applies.

3.2.2. New Subfields for Explanatory Notes
Add subfields $x and $y as follows:

$x - Nonpublic note (R)
Note relating to the date(s) recorded in the field. The note is written in a form that is not adequate or intended for public display.

$z - Public note (R)
Note relating to the date(s) recorded in the field. The note is written in a form that is adequate or intended for public display. It is not intended to substitute for system programming that correctly parses the date information itself for display purposes.

4. EXAMPLES

4.1. Bibliographic Format Examples


4.1.1. Type of Entity
Examples using the options described in 3.1.1.

Example 1: Work created in 1874 and this arrangement from 1922

Option 1:

008/07-10: 1997
008/11-14: 1929
046 1# $k 1874 $2 edtf
046 2# $k 1922 $2 edtf
100 1# $a Mussorgsky, Modest Petrovich, $d 1839-1881, $e composer.
240 10 $a Kartinki s vystavki; $o arranged $s (Ravel)
245 10 $a Pictures at an exhibition / $c Moussorgsky-Ravel.
264 #1 $a London ; $a New York : $b Boosey & Hawkes, $c [1997]
264 #4 $c ©1929
500 ## $a Arranged by Maurice Ravel in 1922.

Option 2.1.

008/07-10: 1997
008/11-14: 1929
046 ## $h [Term for work entity] $k 1874 $2 edtf
046 ## $h [Term for expression entity] $k 1922 $2 edtf
100 1# $a Mussorgsky, Modest Petrovich, $d 1839-1881, $e composer.
240 10 $a Kartinki s vystavki; $o arranged $s (Ravel)
245 10 $a Pictures at an exhibition / $c Moussorgsky-Ravel.
264 #1 $a London ; $a New York : $b Boosey & Hawkes, $c [1997]
264 #4 $c ©1929
500 ## $a Arranged by Maurice Ravel in 1922.

Option 2.2.

008/07-10: 1997
008/11-14: 1929
046 ## $i [Term for work entity] $k 1874 $2 edtf
046 ## $i [Term for expression entity] $k 1922 $2 edtf
100 1# $a Mussorgsky, Modest Petrovich, $d 1839-1881, $e composer.
240 10 $a Kartinki s vystavki; $o arranged $s (Ravel)
245 10 $a Pictures at an exhibition / $c Moussorgsky-Ravel.
264 #1 $a London ; $a New York : $b Boosey & Hawkes, $c [1997]
264 #4 $c ©1929
500 ## $a Arranged by Maurice Ravel in 1922.

Example 2: Work created in the 8th century B.C. and this translation from 1951

Option 1

008/07-10: 2011
008/11-14: 2011
046 1# $k -07
046 2# $k 1951 $2 edtf
100 0# $a Homer, $e author.
240 10 $a Iliad. $l English $s (Lattimore)
245 14 $a The Iliad of Homer / $c translated by Richmond Lattimore.
264 #1 $a Chicago : $b University of Chicago Press, $c [2011]
264 #4 $c ©2011

Option 2.1.

008/07-10: 2011
008/11-14: 2011
046 ## $i [Code for work entity] $k -07
046 ## $i [Code for expression entity] $k 1951 $2 edtf
100 0# $a Homer, $e author.
240 10 $a Iliad. $l English $s (Lattimore)
245 14 $a The Iliad of Homer / $c translated by Richmond Lattimore.
264 #1 $a Chicago : $b University of Chicago Press, $c [2011]
264 #4 $c ©2011

Option 2.2.

008/07-10: 2011
008/11-14: 2011
046 ## $i [Code for work entity] $k -07
046 ## $i [Code for expression entity] $k 1951 $2 edtf
100 0# $a Homer, $e author.
240 10 $a Iliad. $l English $s (Lattimore)
245 14 $a The Iliad of Homer / $c translated by Richmond Lattimore.
264 #1 $a Chicago : $b University of Chicago Press, $c [2011]
264 #4 $c ©2011

Example 3: Only the date of expression is known

Option 1

008/07-10: 2019
008/11-14: 2019
046 2# $k 2019 $2 edtf
130 0# $a Bible. $p Old Testament. $l English. $s Alter. $f 2019.
245 14 $a The Hebrew Bible : $b a translation with commentary / $c Robert Alter.
250 ## $a First edition.
264 #1 $a New York, NY : $b W.W. Norton & Company, $c [2019]
264 #4 $c ©2019

Option 2.1.

008/07-10: 2019
008/11-14: 2019
046 ## $h [Term for expression entity] $i [Code for expression entity] $k 2019 $2 edtf $0 [URI of authority record for expression entity]
130 0# $a Bible. $p Old Testament. $l English. $s Alter. $f 2019.
245 14 $a The Hebrew Bible : $b a translation with commentary / $c Robert Alter.
250 ## $a First edition.
264 #1 $a New York, NY : $b W.W. Norton & Company, $c [2019]
264 #4 $c ©2019

Option 2.2.

008/07-10: 2019
008/11-14: 2019
046 ## $i [Term for expression entity] $i [Code for expression entity] $i [URI of authority record for expression entity] $k 2019 $2 edtf
130 0# $a Bible. $p Old Testament. $l English. $s Alter. $f 2019.
245 14 $a The Hebrew Bible : $b a translation with commentary / $c Robert Alter.
250 ## $a First edition.
264 #1 $a New York, NY : $b W.W. Norton & Company, $c [2019]
264 #4 $c ©2019

Example 4: Compilation of works created from 1975 to 2006 and translated in 2014

Option 1

008/07-10: 2014
008/11-14: 2014
046 1# $o 1975 $p 2006 $2 edtf
046 2# $o 2014 $2 edtf
100 1# $a Shivaprakash, H. S., $e author.
240 10 $a Poems. $k Selections. $l English
245 10 $a In other words : $b selected poems 1975-2006 / $c HS Shiva Prakash ; translated from the Kannada by the poet.
264 #1 $a Mumbai : $b Poetrywala, an imprint of Paperwall Media & Publishing Pvt. Ltd., $c [2014]
264 #4 $c ©2014

Option 2.1.

008/07-10: 2014
008/11-14: 2014
046 ## $o 1975 $p 2006 $2 edtf $1 [RWO URI for work entity]
046 ## $o 2014 $2 edtf $1 [RWO URI for expression entity]
100 1# $a Shivaprakash, H. S., $e author.
240 10 $a Poems. $k Selections. $l English
245 10 $a In other words : $b selected poems 1975-2006 / $c HS Shiva Prakash ; translated from the Kannada by the poet.
264 #1 $a Mumbai : $b Poetrywala, an imprint of Paperwall Media & Publishing Pvt. Ltd., $c [2014]
264 #4 $c ©2014

Option 2.2.

008/07-10: 2014
008/11-14: 2014
046 ## $i [RWO URI for work entity] $o 1975 $p 2006 $2 edtf
046 ## $i [RWO URI for expression entity] $o 2014 $2 edtf
100 1# $a Shivaprakash, H. S., $e author.
240 10 $a Poems. $k Selections. $l English
245 10 $a In other words : $b selected poems 1975-2006 / $c HS Shiva Prakash ; translated from the Kannada by the poet.
264 #1 $a Mumbai : $b Poetrywala, an imprint of Paperwall Media & Publishing Pvt. Ltd., $c [2014]
264 #4 $c ©2014

Example 5: Compilation of works created in 1972 and revised in 2003

Option 1

008/07-10: 2008
046 1# $k 1972 $2 edtf
046 2# $k 2003 $2 edtf
100 1# $a Ihimaera, Witi, $d 1944- $e author.
240 10 $a Pounamu pounamu. $f 2003
245 10 $a Pounamu pounamu / $c Witi Ihimaera.
250 ## $a New edition.
264 #1 $a Rosedale, Auckland, New Zealand : $b Raupo, $c 2008.
264 #4 $c ©2003
500 ## $a Stories originally published as a collection in 1972 and rewritten for the new edition of 2003.

Option 2.1.

008/07-10: 2008
046 ## $h [Term for work entity] $k 1972 $2 edtf $0 [URI of authority record for work entity]
046 ## $h [Term for expression entity] $k 2003 $2 edtf $0 [URI for authority record of expression entity]
100 1# $a Ihimaera, Witi, $d 1944- $e author.
240 10 $a Pounamu pounamu. $f 2003
245 10 $a Pounamu pounamu / $c Witi Ihimaera.
250 ## $a New edition.
264 #1 $a Rosedale, Auckland, New Zealand : $b Raupo, $c 2008.
264 #4 $c ©2003
500 ## $a Stories originally published as a collection in 1972 and rewritten for the new edition of 2003.

Option 2.2.

008/07-10: 2008
046 ## $i [Term for work entity] $i [URI of authority record for work entity] $k 1972 $2 edtf
046 ## $i [Term for expression entity] $i [URI of authority record for expression entity] $k 2003 $2 edtf
100 1# $a Ihimaera, Witi, $d 1944- $e author.
240 10 $a Pounamu pounamu. $f 2003
245 10 $a Pounamu pounamu / $c Witi Ihimaera.
250 ## $a New edition.
264 #1 $a Rosedale, Auckland, New Zealand : $b Raupo, $c 2008.
264 #4 $c ©2003
500 ## $a Stories originally published as a collection in 1972 and rewritten for the new edition of 2003.

Example 6: Motion picture created in 1982 and this revision from 2007

Option 1

046 1# $k 1982 $2 edtf
046 2# $k 2007 $2 edtf
130 0# $a Blade runner (Motion picture : $s Final cut)
245 10 $a Blade runner : $b the final cut / ...
500 ## $a Originally released as a motion picture in 1982. "The final cut" released in 2007.

Option 2.1.

046 ## $i [Code for work entity] $k 1982 $2 edtf $1 [RWO URI for work entity]
046 ## $i [Code for expression entity] $k 2007 $2 edtf $1 [RWO URI for expression entity]
130 0# $a Blade runner (Motion picture : $s Final cut)
245 10 $a Blade runner : $b the final cut / ...
500 ## $a Originally released as a motion picture in 1982. "The final cut" released in 2007.

Option 2.2.

046 ## $i [Code for work entity] $i [RWO URI for work entity] $k 1982 $2 edtf
046 ## $i [Code for expression entity] $i [RWO URI for expression entity] $k 2007 $2 edtf
130 0# $a Blade runner (Motion picture : $s Final cut)
245 10 $a Blade runner : $b the final cut / ...
500 ## $a Originally released as a motion picture in 1982. "The final cut" released in 2007.

4.1.2. Materials Specified
Note: only the indicator option (Option 1) from 3.1.1 is shown here

Example 1

046 1# $3 Fear in the night $o 1947 $2 edtf
046 1# $3 D.O.A. $o 1949 $2 edtf
046 1# $3 The hitch-hiker $o 1953 $2 edtf
245 00 $a Film noir triple DVD feature.
505 0# $a Fear in the night (1947, 71 min.) -- D.O.A. (1949, 84 min.) -- The hitch-hiker (1953, 71 min.).

Example 2

046 1# $3 Compilation $k 1978 $2 edtf
046 1# $3 The heroes $o 1950 $2 edtf
046 1# $3 The compromise $o 1955 $2 edtf
046 1# $3 The philosopher $o 1959 $2 edtf
100 1# $a Ashbery, John, $d 1927-2017, $e author.
240 10 $a Plays. $k Selections
245 10 $a Three plays / $c by John Ashbery.
260 ## $a Calais, Vt. : $b Z Press, $c 1978.
505 0# $a The heroes -- The compromise -- The philosopher.
500 ## $a "The Heroes, was written in 1950, and was staged first by The Living Theatre in 1952 ... The Compromise was written in 1955, and was performed the following year by the Poets Theatre in Cambridge, Massachusetts. The Philosopher was written in 1959"--Jacket.

4.1.3. Explanatory Notes
Note: only the indicator option (Option 1) from 3.1.1 is shown here

Example 1

046 1# $k 2008 $2 edtf $z Creation date
046 1# $k 2015 $2 edtf $z Release date
130 0# $a Accidental love (Motion picture : 2015)
245 10 $a Accidental love / $c KJam Media presents ; a Kia Jam/Persistent Entertainment production ; with Lost Fifties Films ; screenstory and screenplay by Kristin Gore and Kristin Gore & Matt Silverstein & David Jeser ; directed by Stephen Greene.
500 ## $a Filmed in 2008 but not released as a motion picture until 2015.

Example 2

008/07-10: 2011
008/11-14: 2011
046 1# $k -07
046 2# $k 1951 $2 edtf $z Translation date
100 0# $a Homer, $e author.
240 10 $a Iliad. $l English $s (Lattimore)
245 14 $a The Iliad of Homer / $c translated by Richmond Lattimore.
264 #1 $a Chicago : $b University of Chicago Press, $c [2011]
264 #4 $c ©2011

4.2. Authority Format Examples


4.2.1. Materials Specified

046 ## $3 Compilation $k 1978 $2 edtf
046 ## $3 The heroes $o 1950 $2 edtf
046 ## $3 The compromise $o 1955 $2 edtf
046 ## $3 The philosopher $o 1959 $2 edtf
075 ## $a [Term for work entity]
100 1# $a Ashbery, John, $d 1927-2017. $t Plays. $k Selections
400 1# $a Ashbery, John, $d 1927-2017. $t Three plays
670 ## $a Ashbery, John. Three plays, 1978: $b jacket ("The Heroes, was written in 1950, and was staged first by The Living Theatre in 1952 ... The Compromise was written in 1955, and was performed the following year by the Poets Theatre in Cambridge, Massachusetts. The Philosopher was written in 1959")

4.2.2. Explanatory Notes

046 # # $k 2008 $2 edtf $z Creation date
046 # # $k 2015 $2 edtf $z Release date
130 #0 $a Accidental love (Motion picture : 2015)

5. BIBFRAME DISCUSSION

When the proposed additions are approved and implemented, BIBFRAME will handle them in the same manner as it treats dates, notes, materials specified, and URIs for other MARC fields now.

6. SUMMARY OF PROPOSED CHANGES

6.1. In field 046 (Special Coded Dates) of the MARC 21 Bibliographic Format:

6.1.1. Choose one of the following options for recording type of entity:

Option 1: Redefine first indicator as Type of entity, with the following values:

Or

Option 2: Add new subfield(s):

Option 2.1. Add multiple new subfields

$h - Type of entity term (R)
$i - Type of entity code (R)
$0 - Authority record control number or standard number (R)
$1 - Real World Object URI (R)

Or

Option 2.2: Add a single new subfield:

$i - Type of entity term, type of entity code, authority record control number or standard number for type of entity, or URI for the type of entity for which a date is recorded (R)

6.1.2. Add the following new subfields:

$3 - Materials specified (NR)
$x - Nonpublic note (R)
$z - Public note (R)

6.2. In field 046 (Special Coded Dates) of the MARC Authority format, add the following new subfields:

$3 - Materials specified (NR)
$x - Nonpublic note (R)
$z - Public note (R)


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