DATE: November 15, 1997

NAME: Definition of fields 541, 561, and 562 in the USMARC Holdings Format and link code h in the USMARC Bibliographic Format

SOURCE: Harvard University

SUMMARY: This paper proposes defining additional note fields in the USMARC Holdings Format that now exist only in the bibliographic format. Fields 541 (Immediate Source of Acquisition), 561 (Ownership and Custodial History; formerly Provenance), and 562 (Copy and Version Identification Note) are copy specific by nature. The information contained in these fields could be applicable only for a holdings record for a particular copy. It also proposes the addition of link code "h" in subfield $8 (Link and sequence no.) in the Bibliographic Format to link holdings fields with a particular copy.

KEYWORDS: Field 541 (BD,HD); Field 561 (BD,HD); Field 562 (BD/HD); Subfield $8; Immediate Source of Acquisition; Ownership and Custodial History; Copy and Version Identification Note; Link Code

RELATED: DP101 (June 1997)


11/15/97 - Forwarded to USMARC Advisory Group for discussion at the January 1998 MARBI meetings.

1/10/98 - Results of USMARC Advisory Group discussion - Approved in part. The definition of fields 541, 561, and 562 in the USMARC Holdings format was approved. The definition of link code "h" to be used in subfield $8 was rejected. Questions were raised concerning the relationship of the fields to holdings when these fields appear in the bibliographic record. Other solutions than the linking $8 could also be investigated. A discussion paper may be prepared on the issues.

2/11/98 - Results of final LC review - Approved.

PROPOSAL NO.98-2: Definition of Fields 541,561,and 562 / Link Code h


The USMARC Holdings Format has several note fields that are also
defined in the USMARC Bibliographic Format.  These fields contain
information that may be appropriate at the copy level, rather than
only at the bibliographic level.  Note fields in both formats are:
   533 (843 in Holdings)             Reproduction Note
   540 (845 in Holdings)             Terms Governing Use and
                                     Reproduction Note
   583 (same in Holdings)            Action Note

There are other fields that exist in both formats, many of them
number fields that use the same tags in both formats.

Other notes that are by their nature specific to a given holding
exist in the USMARC Bibliographic Format, but have not been defined
in the USMARC Holdings Format.  These are:

   541   Immediate Source of Acquisition
   561   Ownership and Custodial History (previously
   562   Copy and Version Identification Note

Discussion Paper No. 101 was presented to the USMARC Advisory Group
at the ALA annual conference in June 1997.  It summarized the note
fields in the USMARC Holdings Format and suggested the inclusion of
these additional ones.  Questions were raised about whether the
tags should remain the same as in the bibliographic format or
whether they should use different tags in holdings, although there
was no clear consensus as to which option is preferred.  In
addition the issue of whether these copy specific fields should be
defined only in holdings and made obsolete in the bibliographic was
raised.  There was not much support for the latter suggestion,
since many bibliographic records exist with those notes, holdings
records are not universally available yet, and some communities,
especially the Rare Book community, have special needs for such
notes in bibliographic records.  The USMARC Advisory Group
requested that a proposal be presented to define fields 541, 561
and 562 in holdings.   


Harvard University has expressed a need to include note fields 541,
561 and 562 in the holdings format so that such information could
be communicated at the holdings or copy level.  When one of these
fields applies only to a particular copy, Harvard stores the fields
internally at the holdings level. Harvard can export holdings
information either embedded in the bibliographic record or in
separate holdings records.  When embedding holdings, it exports one
copy of the bibliographic record per holdings segment.  The
holdings format allows for communicating the separate holdings
records, linked to the bibliographic record by field 004 (Control
Number for Related Bibliographic Record) after the bibliographic
record is distributed. When Harvard distributes one copy of the
bibliographic record with multiple separate holdings records,
information in these copy-specific note fields that cannot be
legally communicated in holdings records must be dropped or
included in the bibliographic record without indicating to which
copy the information applies.  This practice results in ambiguity
of the copy/holdings information that is communicated.  

RLG implemented the USMARC Holdings Format in RLIN in 1996.  In the
system, holdings data (whether for single or multiple copies) are
contained in a holdings segment attached to the bibliographic
segment of the record.  Fields that are copy specific in nature but
do not exist in holdings have to be displayed with the
bibliographic segment even if there are multiple copies.  In RLG's
system fields like 583 that exist with the same tag in both formats
create special problems for the system, since it is not possible to
determine unambiguously whether they are for the general item or
for a particular copy (i.e., particular to one holding).  In cases
like field 533 that carries a different tag in holdings, RLG staff
has pointed out that it is clear whether the field is appropriate
at the bibliographic or holdings level.    

Embedding holdings.  The USMARC Holdings Format specifies the
conditions under which an agency can embed holdings data in
bibliographic records and those under which it must communicate
separate holdings records.  It stipulates that when holdings are
reported for a single location the information may be embedded.  If
holdings are reported for multiple copies and the location or call
number data elements vary, multiple 852 fields are used.  They can
be embedded in a bibliographic record only if there are no other
associated fields (e.g., 007, 842, 844, 853-855, 86X, 76X) unless
these associated fields are applicable to all copies/locations.  In
Discussion Paper No. 101, it was noted that RLG felt that it was
more consistent to require that holdings data always be in holdings
records whether for single or multiple copies, and that this would
allow for note fields to be unambiguously attached to the copies to
which they relate.  To achieve this, these note fields that may
apply only to a particular holdings segment need to be available in
the holdings format.  However, it is not practical to require
holdings records, since there are many agencies that are not able
to supply them. 

Choice of tags.  Although RLG considers it cleaner to use different
field tags for note fields in holdings that are also defined in
bibliographic, having different tags makes it more difficult for
staff creating the records since they have to remember one tag in
bibliographic and a different one in holdings.  In addition, it is
a basic USMARC principle to use the same tag for the same type of
data.  There are numerous cases where a field is defined in
different formats and that same tag is retained across formats. 

If the same tags in both formats were defined, the subfield $8
linking technique could be used to link the holdings note field
relating only to a particular copy with the appropriate 852
(Location) field if the holdings information were embedded in the
bibliographic record.  Subfield $8 is also defined in the holdings
format in field 852 to link multiple holdings records. The use of
the field to link to another holdings field would be distinguished
from the latter by the existence of the link code.  In this paper
the use of subfield $8 with link code "h" is limited to linking
note fields to field 852.  Otherwise, it could be used with any
holdings field that is embedded in the bibliographic record (e.g.
853, 863), and the requirements for creating separate holdings
records would need to be reconsidered.  In addition it could result
in a very complex record with many sets of linked fields.

Optionally, it could be considered that different tags be used in
the holdings format for these fields.  However, the equivalent tags
in the 8XX range (841, 861 and 862) are already used.  Others would
have to be chosen.


The following is presented for consideration:

- In the USMARC Holdings Format define fields 541 (Immediate
  Source of Acquisition), 561 (Ownership and Custodial History),
  and 562 (Copy and Version Identification Note)

- In the USMARC Bibliographic format define a link code "h"
  for holdings to be used in subfield $8 to relate the holdings
  field with the appropriate 852 field with the following

   h - Holdings
       Code h is used in a bibliographic record to identify
       holdings note fields that are linked to a particular
       holding or copy in that record.  The information on the
       particular holding to which the additional field applies
       is recorded in field 852 (Location) in that record.

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