Discussion Paper 2001-DP08

DATE: May 21, 2001
REVISED:

NAME: Coding for Publication Pattern at the First Level of Enumeration in MARC 21 Holdings Records

SOURCE: CONSER Task Force on Publication Patterns and Holdings

SUMMARY: This paper considers the need to code publication pattern subfields $v (Numbering continuity), $u (Bibliographic units per next higher level), and $x (Calendar change) in fields 853-855 when only one level of enumeration is present. This is necessary for accurate predictive check-in and to eliminate inconsistencies in coding. The format currently specifies that these subfields are not used at the first level of enumeration and that they only apply to secondary levels. It would result in a coding practice change and revision of description of these subfields, but not a change to the content designators.

KEYWORDS: Bibliographic units per next higher level (HD); Calendar change (HD); Numbering continuity (HD); Subfield $u, in fields 853-855 (HD); Subfield $v, in fields 853-855 (HD); Subfield $x, in fields 853-855 (HD)

RELATED:

STATUS/COMMENTS

05/21/01 - Made available to the MARC 21 community for discussion.

6/16/01 - Results of the MARC Advisory Committee discussion - Participants felt that there was a need to code the publication pattern subfields when only one level of enumeration exists. A paper presenting solutions and exploring possible legacy data problems may be written for the midwinter meeting. This paper should include some examples where coding is needed at the first level when there are multiple levels.

Discussion Paper No. 2001-DP08: Coding for Publication Pattern at the First Level of Enumeration

1 BACKGROUND

Users of the MARC 21 Holdings format have encountered difficulties in producing 85X/86X publication pattern information for titles containing only one level of enumeration and whose first level of enumeration restarts. For example, a title numbers from 1 to 4 every year of its quarterly life cycle and uses the change of the calendar year as the impetus to restart its numbering pattern. However, the instructions for subfield $v (Numbering continuity) in fields 853-855 state that it cannot be used with the first level of enumeration. This instruction has resulted in a practice of putting the chronological unit (year) in the first level of enumeration while the first level of enumeration on the serial issue is forced down into the second level of enumeration so that the restart value (in subfield $v) can be associated with it. Reevaluation of the application of subfields $u, $v, and $x should be made, since the practice of restarting the numbering on an issue with the turn of a calendar year is fairly commonplace, especially for titles with quarterly frequencies. No acceptable solution is currently available to aid prediction in these cases.

2 DISCUSSION

2.1 Restart of first level enumeration (Fields 853-855, subfields $u and $v)

The current practice of forcing chronology data into first level enumeration fields to enable restart capabilities at the second level is not consistent with the guidance currently provided in the format. The format now states, "When only chronology captions are used on an item (that is, the item carries NO enumeration), the chronology captions are contained in the relevant enumeration caption subfields..." A similar instruction follows regarding chronology values in the 86X fields. Libraries are now using chronology in subfield $a to force a restart because of the prohibition in the format of using $u and $v at the first level of enumeration. While some continue to question the advisability of transferring chronology data into enumeration fields, the inability to provide for titles that restart at the first level of enumeration encourages further variation of mixing both enumeration and chronology in the same series of subfields. From a data processing point of view, this is a highly undesirable practice since we may need to evaluate coded chronology values in a different way than we evaluate enumeration values in generating our OPAC displays.

Consideration should be given to:

1. Enabling subfield $v (Numbering continuity) at the highest level of enumeration so that we can restart the enumeration at that level.
   
   
2. Allowing subfield $u (Bibliographic units per next higher level) to contain a limit for that level that would only be used in the event that there were no lower levels of enumeration. In other words, subfield $u could only be used at the first level of enumeration when there were only a single level of enumeration that restarts. In such instances, the value in subfield $u would tell the maximum number of issues that could be reached before the data in the first level of enumeration was reinitialized.

2.2. Allow fields 853-855, subfield $x (Calendar change) at the first level of enumeration

Another situation occurs when a serial with a single, higher level of enumeration is held static and only changes with the turn of the calendar year. In the case of ABA Journal, the volume number increases yearly while the monthly issues are distinguished by both year and month chronology. Using the format currently, a prediction system cannot hold the volume to its current value (volume 86) and forces the volume number to increment every month; it can only increment it to a higher level when the calendar year changes because of the limitation on the use of subfield $x at the first level of enumeration. If the title was described as 853 $a v. $i (year) $j (month) $w m $x 01, the system should know that it can only increment the first level of enumeration every January. If we can say that calendar change is the chronological point at which a level of enumeration increments, we can apply it to a situation exactly like this. Again, this new interpretation of applying subfield $x would only occur in situations where the serial contained a single level of enumeration.

The following example illustrates where a single level of enumeration increments with reference to a chronological point defined in subfield $x.

Here subfield $u indicates that there are 12 issues per calendar change and subfield $x shows that there is a single calendar change every year in January. The volume numbering is continuous in that it increments once per year. It covers ABA Journal which provides:

Note that allowing subfields $u, $v, and $x at the highest level does not require a format change, only a change to the description in the subfields.

See Appendix A for suggested revisions to the format definitions.

3 QUESTIONS FOR FURTHER DISCUSSION

Appendix A: Changes in format descriptions

Subfield $u - Bibliographic units per next highest level

The current definition of subfield $u (Bibliographic units per next highest level) in fields 853-855 defines it as a value describing the number of lower level units needed before the value in the next higher level increments. It now reads,

Subfield $u may be used with each level of enumeration except the first level (subfield $a or $g) because there is no higher level.

Based on the discussion offered here, this definition of subfield $u could be rewritten as follows:

When subfield $u is used in enumeration levels after the first (either subfields $b-$f or $h), it is defined as the number of low level units at that level needed before the value at the next higher level increments. If there is only one level of enumeration in combination with chronological units (subfields $i-$l), subfield $u may be associated with subfield $a. In this context, subfield $u describes the maximum number of enumeration units per calendar change before the values in subfield $u restart. The interval of calendar change with reference to subfield $u applied at the highest level of enumeration is defined in subfield $x.

Subfield $v - Numbering continuity

The current definition of subfield $v (Numbering continuity) in fields 853-855 limits its application to lower levels of enumeration (subfields $b-$f and subfield $h). It now reads,

Subfield $v may be used with each level of enumeration except the first level (subfield $a or $g).

Based on the discussion offered here, this definition of subfield $v could be rewritten as follows:

When subfield $v is used with enumeration levels after the first, it defines the numbering behavior as either "c," number increments continuously or "r," numbers restart at the completion of a specific unit. When it is used in conjunction with subfield $u to characterize the incrementing pattern of the first, and only, level of enumeration, it triggers its restart of the numbering with reference to the values defined in subfield $x (Calendar change).

Subfield $x - Calendar Change

The current definition of subfield $x (Calendar change) in fields 853-855 limits its application to lower levels of enumeration (subfields $b-$f and subfield $h). It now reads,

Subfield $x contains one or more two-or-four-character codes that indicate the chronological point at which the next higher level increments or changes.

Based on the discussion offered here, this definition of subfield $x could be rewritten as follows:

Subfield $x contains one or more two-or-four-character numeric codes that indicate the chronological point at which enumeration increments or changes. In cases where a single level of enumeration describes a serial's sequential issues, subfield $x describes the chronological point at which the value in the first level enumeration (subfield $a) increments. In cases where multiple levels of enumeration exist, subfield $x describes the chronological point at which the next higher level of enumeration increments. It may only be used with the first level of enumeration ($a) when there are no other levels present.

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