NAME: Obsolete fields in the MARC Bibliographic Format
SOURCE: Library of Congress
SUMMARY: The paper proposes making obsolete several fields and elements that have not been needed for current records for a number of years, to complete harmonization with CAN/MARC.
KEYWORDS: Field 261 (BD); Field 262 (BD); Field 400 (BD); Field 410 (BD); Field 411 (BD); X11 subfield $q (BD, CD, CI, AD), Field 260 subfield $d (BD)
RELATED: 98-15 (June 1998)
STATUS/COMMENTS
5/6/98 - Forwarded to the MARC Advisory Committee for discussion at the June 1998 MARBI meetings.
6/27/98 - Results of MARC Advisory Committee discussion - Proposal was rejected by MARBI as some participants felt that it was difficult to teach technicians doing retrospective input to place data in other fields and others felt that if a record indicated in Leader/18 (Descriptive cataloging form) that it was not AACR2, then all elements of the record should reflect earlier practices. It was noted that as the numbers of AACR2 records increase, records are more mixed internally as headings are updated and ISBD is applied, and also that some elements of non-AACR2 records will be confusing to users. The Online AV Catalogers liaison reported that the group had discussed the proposal, particularly fields 260, 261 and 262 and felt the changes were okay. OCLC staff were split with systems people being for the proposals and cataloging quality control staff less supportive. Robin Wendler reported that Harvard routinely changes the 4XX fields to 490/8XX combinations, using the 1XX heading in place of the pronoun in the 8XX field. The question was asked about what LC plans to do about these in its new system.
7/28/98 - Results of LC/NLC review - Further consideration needs to be given to the issues and a new paper will be presented at the next meeting.
12/11/98 - Forwarded to the MARC Advisory Committee for discussion at the January 1999 MARBI meetings.
1/30/99 - Results of MARC Advisory Committee discussion - Proposal was rejected by MARBI because of concerns about retrospective conversion projects that do not want to require that the data be reformulated if these elements are made obsolete. It was pointed out that obsolete means different things to different systems, e.g. affect on validation, import, etc. Decisions about conversion of the data varies from one institution to the next. The conclusion reached was that LC and NLC will explore another solution to this harmonization problem, perhaps making the fields/subfields U.S. local fields, similar to the way the Canadian 9XX fields were handled in an earlier stage of harmonization.
4/15/99 - Results of LC/NLC review - LC and NLC will handle these as with the Canadian 9XX field in the MARC 21 documentation.
PROPOSAL NO. 98-15 R: Obsolete fields
1 BACKGROUND
When format harmonization with CAN/MARC was processed, one area was overlooked. Fields 261 (Imprint Statement for Films (Pre- AACR 1 Revised)), 400, 410, 411 (series statement added entries) and subfields 260 $d (Plate or publisher's number for music (Pre- AACR 2)) and X11 $q (Name of meeting name following jurisdiction name entry element) are all obsolete in CAN/MARC. In addition, field 262 (Imprint Statement for Sound Recordings (Pre-AACR 2)) was never defined in CAN/MARC. If no action is taken, these obsolete elements will be (re)introduced into the format used by Canadians with the publication of the harmonized USMARC and CAN/MARC, MARC 21.
This proposal was discussed at the June 1998 MARBI meeting and met with negative response, but the National Library of Canada and its advisory committee, the Canadian Committee on MARC (CCM), are not in agreement with reintroducing these obsolete fields into the format used by the Canadian community. Thus it is presented below for reconsideration and with additional information regarding the extent of use and convertibility of the data elements.
The National Library of Canada has converted all of the following data elements to their currently valid locations in a MARC record. This includes both the National Bibliography segment of their files and the Canadian Union Catalog that they maintain. On an ongoing basis, NLC applies conversions to any records being loaded that contain these obsolete elements, thus the elements do not occur in their files, and they are able to give enhanced service to users of the union catalog.
2 DISCUSSION
In the following discussion the fields and subfields are described, examples of conversion to current data element placement are given and Library of Congress statistics on occurrence are given.
2.1 Series Transcription and Access Fields - 4XX Fields
2.1.1 About the 4XX fields
Because of certain printing practices, the format has had from the beginning duplicate fields (two fields that accommodate the same data) for the access form of the series statement, fields 400, 410, 411 440 which are duplicated by fields 800, 810, 811, 830. The 4XX fields were used if the access form of title for the series was the same as the transcribed form. If it were different, the transcribed form was entered in field 490 and the access form in an 8XX field. Fields 400, 410, and 411 could carry a pronoun for the author name, if it was the same name as the 1XX. The second indicator showed that a pronoun was present so that indexing programs could pick up the full author part from the 1XX field. In the early 1980s, with the adoption of AACR2 by many libraries, the pronoun convention was abandoned and the reasons for the duplication of the fields was reconsidered. In Canada, the 400, 410, and 411 were made obsolete, since the 800, 810, and 811 could perform the same function of providing author/title access to the series statement. In the US they were not made obsolete with the expectation that they would continue to be used for retrospective conversion.
In an effort to eliminate the unnecessary duplication of fields from their systems and make indexing of the series statements with pronouns less complex, some US institutions have specially processed their files, converting the title in fields 400-411 to field 490 and the full author/title data to fields 800-811. When field 400-411 subfield $a contains only a pronoun, the 1XX subfields are copied for the author part in fields 800-811. Canadian and some American institutions apply this same algorithm to retrospective conversion, converting series statements to field 440, 490, 800-811 as needed and eliminating the pronouns when retrospective records are input.
The issue of whether the records that are formulated under earlier rules must reflect all older rule practices was raised in the June 1998 MARBI discussion. CCM has discussed this point and noted that unless absolutely no authority work has been done on a record, it is very unlikely that all headings will still be in old rule form, and subjects may have been updated as well. Now many records are mixed. In addition, CCM noted that newer staff and technicians do not understand the older 4XX/8XX structure, which was complex. The focus is on access -- normalization of the data to one technique to form a simpler foundation for building indexes.
2.1.2 Data elements in the 4XX fields
See Appendix A.
2.1.3 Examples of converted fields
Early style field:
411 10$aInternational Labor conference.$tBulletin
Converted 4XX field:
490 1#$aBulletin 811 2#$aInternational Labor conference.$tBulletin
Early style field with pronoun in the 4XX field:
110 2#$aWatt Committee on energy. 410 21$aIts$tReport ;$vno. 1$x0141-9676
Converted 4XX field:
490 1#$aReport ;$vno. 1$x0141-9676 810 2#$aWatt Committee on energy.$tReport ;$vno. 1
2.1.4 Statistics
In October 1998, the Library of Congress and OCLC files contained the following 400, 410, 411 fields:
LC Books file LC PreMARC file OCLC file
(5 mil. rec.) (5 mil. rec.) (35 mil.+ rec.)
(Estimates)
Field 400 1,426 258 5,000
(1,361 with pronoun)
Field 410 11,694 13,106 129,500
(3,763 with pronoun)
Field 411 90 96 2,100
(55 with pronoun)
OCLC is unable to provide good estimates of the number of 4XX fields with pronouns in place of author. OCLC reports that the number of 400-411 in WorldCat is decreasing rapidly, e.g., the 400's have decreased 50% in the last 6 years. This would imply that while some new ones are perhaps added through retrospective conversion, many 400-411 are being converted to the 490/440 and 8XX model. The Library of Congress plans to convert these fields to 490/8XX fields using the algorithm described in 2.1.2 on an as encountered basis.
2.2 Meetings Entered under Jurisdiction - Fields X11, Subfield $q
Under earlier rules a meeting could be entered under a jurisdiction, thus all of the X11 fields for meeting names contain a subfield $a for meeting name or jurisdiction name, and a $q for meeting name if the heading is entered under a jurisdiction (in subfield $a). With AACR2, entry under jurisdiction is no longer allowed. CCM made $q obsolete after they began to use AACR2 in order to have more consistency in their files. Some carried out conversion of old names since there were very few meeting names entered under jurisdiction.
The name would need to be reestablished to eliminate the jurisdiction entry elements. It could be machine assisted, but the resulting heading would need to be checked against the current authority file.
Example:
Earlier style heading:
111 1#$aParis.$qPeace Conference,$d1919
Current formulation:
111 2#$aParis Peace Conference$d(1919)
Statistics:
In October 1998, the Library of Congress files contained the following occurrences of X11 subfield $q:
Authority file Books file PreMARC file
(5 mil. rec.)
Field 111 8 49 481
Field 711 - 38 152
OCLC estimates that their database contains 2,500-3,000 111 and 711 tags with subfield $q in bibliographic records. The Library of Congress will convert these headings on an as encountered basis.
2.3 Music Identification Data Elements and Imprint Fields - 260 $d and Field 262
In 1980, a special imprint field for sound recordings and a special subfield for printed music were made redundant when under AACR2 (and ISBD) the regular 260 imprint field became sufficient for all imprint data. (Field 260 (Publication, Distribution, etc. (Imprint)) has exactly the same subfields $a, $b, and $c as field 262, but field 262 has two additional subfields for Serial identification and Matrix number.) A new field, 028 (Publisher Number), was established for the critical identification numbers related to music (formerly in 260 $d) and sound recordings (formerly in 262 $l and $k). Field 028 has subfield $a for the number and an indicator that identifies which type of number (Plate number, Serial identification, or Matrix and/or take number) is contained in subfield $a
CAN/MARC had never defined a special imprint field for sound recordings but had defined special identifier subfields, $k (Serial identification) and l (Matrix and/or take number), in the CAN/MARC 260 field. That approach was consistent with the model used by both USMARC and CAN/MARC for printed music where the additional identifier, $d (Plate or publisher's number for music), was added to the 260 rather than establishing a new imprint field for printed music. When the new field 028 was established CCM made the three subfields obsolete in the field 260 so the data would be consistently placed in 028. For retrieval purposes, the Canadian community wanted to get the data into the new field. Adding field 262 to their format, where it has never been defined, would add more confusion and redundancy to the location of the identification numbers.
2.3.1 Fields and data elements under consideration
USMARC Field 260 (Publication, Distribution, etc. (Imprint)) $d (Plate or publisher's number for music (Pre-AACR 2)) USMARC Field 262 (Imprint Statement for Sound Recordings (Pre- AACR 2) (NR) Indicators - Both undefined, contain blanks Subfield Codes $a Place of production, release, etc. (NR) $b Publisher or trade name (NR) $c Date of production, release, etc. (NR) $k Serial identification (NR) $l Matrix and/or take number (NR)
Field definition and scope: This field contains imprint information for sound recordings. This field is used only for cataloging of sound recordings created prior to the AACR 2 cataloging rules. It may appear on records created before 1981 or on new retrospective records containing pre-1981 cataloging. For cataloging created since 1980, field 260 (Publication, Distribution, Etc. (Imprint)) and field 028 (Publisher Number) are used for this data. The imprint usually consists of the trade name of the publisher, the serial identification (e.g., the record or album numbers), and the date of release. Place and name of the publisher can be substituted for the trade name of the publisher when the latter is known not to be primarily a record publisher. For archival purposes, the matrix and take number may also be recorded in this field.
2.3.2 Examples of converted fields
Earlier record for printed music:
260 ##$aLeipzig,$bBreitkopf & Hartel$c[1888 or 9]
$dPl.no.18315
Current record for printed music:
260 ##$aLeipzig,$bBreitkopf & Hartel$c[1888 or 9] 028 21$a18315$bBreitkopf & Hartel
Earlier record for sound recording:
262 ##$bTelefunken$kSLT 43091.$c[1966]
Current record for sound recording:
262 ##$bTelefunken$c[1966] 028 01$aSLT 43091$bTelefunken
2.3.3 Statistics
In October 1998, the Library of Congress and OCLC files contained the following 260 $d and 262 fields:
LC Music file LC PreMARC file OCLC file
(20,000 rec.) (Estimates)
Field 260 $d 0 4 28,000
Field 262 1 1 163,000
OCLC has considerably more than LC due to their implemention of USMARC for music in the mid-1970's, but the number of occurrences of field 262 is decreasing slowly. The Library of Congress will convert the instances in the LC files.
2.4 Film Imprint Field - Field 261
When the full ISBD specification for moving images was finalized in 1975 it was incorporated into an amendment to AACR and the earlier special way of recording imprint information was abandoned. The regular 260 imprint field could then be used for the film imprints. Thus CAN/MARC made the old field 261 obsolete, bringing better consistency to the data created from 1975 forward. Under ISBD, the Producing and Releasing companies were not distinguished, the place of production or release was returned to subfield $a, and the Contractual producer was recognized as the Manufacturer.
261 IMPRINT STATEMENT FOR FILMS (PRE-AACR 1 REVISED) (NR) Indicators - Both undefined, contain blanks. Subfield Codes $a Producing company (R) $b Releasing company (primary distributor) (R) $d Date of production, release, etc. (R) $e Contractual producer (R) $f Place of production, release, etc. (R)
Field definition and scope: This field contains imprint information, including the statement of production and release for projected media. This field is used only for cataloging of projected media created prior to AACR revised chapter 12 cataloging rules (which follow ISBD specifications). It may thus appear on records created before 1976 or on new retrospective records containing pre-1976 cataloging. For cataloging created since 1975, field 260 (Publication, Distribution, etc. (Imprint)) is used.
Examples (261s are earlier style fields, 260s are current style fields):
261 ##$aHulton Educational publication,$fLondon,$d1974,
$bReleased in the U.S. by International Film Bureau,$d1971.
260 ##$bHulton Educational publication,$aLondon,$c1974,
$bReleased in the U.S. by International Film
Bureau,$c1971.
261 ##$aBoulton-Hawker Films,$fHadley, Eng.$eMade by
D.C.Chipperfield.$bReleased in the U.S. by
International Film Bureau,$d1971.
260 ##$bBoulton-Hawker Films,$aHadley, Eng.$fMade by
D.C.Chipperfield.$bReleased in the U.S. by
International Film Bureau,$c1971.
261 ##$aAssociation of Classroom Teachers.$bMade and
released by National Education Association Publications
Division,$d1972.
261 ##$bAssociation of Classroom Teachers.$bMade and
released by National Education Association Publications
Division,$c1972.
Statistics:
In October 1998, the Library of Congress and OCLC files contained the following 261 fields:
LC Visual Materials file (300,000 rec.) - 34,682 OCLC file - est. 70,000The Library of Congress may convert the 261 fields when it loads the file into the new system in May/June 1999.
3 PROPOSED CHANGE
In the USMARC Bibliographic, Authority, Classification, and Community Information formats:
- Make the following fields and subfields obsolete:
400 SERIES STATEMENT/ADDED ENTRY PERSONAL NAME (R) Indicators First Type of personal name entry element 0 Forename 1 Surname 3 Family name Second Pronoun represents main entry 0 Main entry not represented by pronoun 1 Main entry represented by pronoun Subfield Codes $a Personal name (NR) $b Numeration (NR) $c Titles and other words associated with a name (R) $d Dates associated with a name (NR) $e Relator term (R) $f Date of a work (NR) $g Miscellaneous information (NR) $k Form subheading (R) $l Language of a work (NR) $n Number of part/section of a work (R) $p Name of part/section of a work (R) $t Title of a work (NR) $u Affiliation (NR) $v Volume number/sequential designation (NR) $x International Standard Serial Number (NR) $4 Relator code (R)
Field definition and scope: This field contains an author/title series statement in which the author portion is a personal name or a pronoun representing it that refers back to a 100 field. Field 400 is both a series statement and a series added entry. When a 400 field is present, a corresponding 800 field is not used since it would duplicate the 400 field. Field 400 is not used for AACR 2 formulated series statements as such statements are in title form.
410 SERIES STATEMENT/ADDED ENTRY CORPORATE NAME (R) Indicators First Type of corporate name entry element 0 Inverted name 1 Jurisdiction name 2 Name in direct order Second Pronoun represents main entry 0 Main entry not represented by pronoun 1 Main entry represented by pronoun Subfield Codes $a Corporate name or jurisdiction name as entry element (NR) $b Subordinate unit (R) $c Location of meeting (NR) $d Date of meeting or treaty signing (R) $e Relator term (R) $f Date of a work (NR) $g Miscellaneous information (NR) $k Form subheading (R) $l Language of a work (NR) $n Number of part/section/meeting (R) $p Name of part/section of a work (R) $t Title of a work (NR) $u Affiliation (NR) $v Volume number/sequential designation (NR) $x International Standard Serial Number (NR) $4 Relator code (R)
Field definition and scope: This field contains an author/title series statement in which the author portion is a corporate name or a pronoun representing it that refers back to a 110 field. Field 410 is both a series statement and a series added entry. When a 410 field is present, a corresponding 810 field is not used since it would duplicate the 410 field. Field 410 is not used for AACR 2 formulated series statements as such statements are in title form.
411 SERIES STATEMENT/ADDED ENTRY MEETING NAME (R) Indicators First Type of meeting name entry element 0 Inverted name 1 Jurisdiction name 2 Name in direct order Second Pronoun represents main entry 0 Main entry not represented by pronoun 1 Main entry represented by pronoun Subfield Codes $a Meeting name or jurisdiction name as entry element (NR) $c Location of meeting (NR) $d Date of meeting (NR) $e Subordinate unit (R) $f Date of a work (NR) $g Miscellaneous information (NR) $k Form subheading (R) $l Language of a work (NR) $n Number of part/section/meeting (R) $p Name of part/section of a work (R) $q Name of meeting fol. jurisdiction name entry element (NR) $t Title of a work (NR) $u Affiliation (NR) $v Volume number/sequential designation (NR) $x International Standard Serial Number (NR) $4 Relator code (R)
Field definition and scope: This field contains an author/title series statement in which the author portion is a conference/meeting name or a pronoun representing it that refers back to a 111 field. Field 411 is both a series statement and a series added entry. When a 411 field is present, a corresponding 811 field is not used since it would duplicate the 411 field. Field 411 is not used for AACR 2 formulated series statements as such statements are in title form.
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