DATE: Dec. 2, 1994
REVISED:
NAME: USMARC Authority Records for Genre/Form Terms
SOURCE: Stockton-San Joaquin County Public Library
SUMMARY: This paper discusses providing authority control for genre/form terms used in field 655 (Index Term-- Genre/Form). It provides two options: the definition of new fields 155, 455, 555, and 755 in the Authority Format to create authority records for genre/form terms; or, the definition of 008/18 in authority records with field 150 to indicate whether a heading is appropriate for use in field 655.
KEYWORDS: Genre/Form; Index Term--Genre/Form; Field X55 (Authority); Field 008/18 (Authority)
RELATED: DP 63 (Jan. 1993); 93-8 (June 1993); 95-2 (Feb. 1995); DP82 (Feb. 1995)
STATUS/COMMENTS:
12/2/94 - Forwarded to USMARC Advisory Group for discussion at the February 1995 MARBI meetings.
2/16/95 - Results of USMARC Advisory Group discussion - LC was requested to come back with a proposal using Option 1 (Create X55 fields for genre/form), since there was a preference for aligning the variable field tags. The proposal should include an option to also add an 008 element to indicate use of heading. How a thesaurus will code a heading that uses the term for both topic and form needs to be considered. In the proposal for the new block of fields, subfield $v in the Authority format's 7XX fields (Established heading linking entry) needs to be changed. It has been defined as Record control number and now will be needed for Form subdivision.
DISCUSSION PAPER NO. 83: USMARC Authority Records for Genre/Form Terms I. BACKGROUND Institutions have been interested in creating authority records for genre/form terms used in bibliographic field 655 (Index Term--Genre/Form) and for physical characteristics terms in field 755 (Added Entry--Physical Characteristics). (Note that Discussion Paper No. 82 (Merging Field 755 with Field 655) suggests making field 755 obsolete in favor of 655.) For instance, the Stockton- San Joaquin County Public Library would like to be able to validate the terms in field 655 (from a thesaurus indicated in subfield $2) against an authority file, provide a cross reference structure for genre/form terms, and give scope notes specifically related to one of these terms. Others, including Amon Carter Museum Library, have expressed such a need in the past. In addition, an institution may want to record an equivalent genre/form term in an authority record and link it to the authority record for another thesaurus using one of the 7XX linking fields. This issue was first discussed by the USMARC Advisory Group with Discussion Paper No. 63 (Possible New Fields Needed in the Authority Format) in January 1993 which was a request from the Amon Carter Museum Library. The paper explored whether new heading fields were needed in the authority format for genre/form/physical characteristics terms (fields 155, 455, 555, 755) or whether existing fields should be used; whether an 008 data element was needed to indicate that the term could be used as a genre/form and/or physical characteristics term in addition to or instead of the possible new heading fields; and, whether new heading fields were also needed for occupation and function terms used in 656 (Index Term--Occupation) and 657 (Index Term--Function). The discussion indicated that the consensus was not to define the new fields, with the recommendation that coded data in a newly defined 008 data element be used to indicate that the 150 heading in the authority record could be used in bibliographic fields 655-657 and 755. The Network Development and MARC Standards Office presented Proposal No. 93-8 (Definition of 008/18-21 in the Authority Format) to the USMARC Advisory Group for consideration at the June 1993 MARBI meetings. This proposal called for defining character positions 008/18-21 in the authority format to indicate whether the heading in field 150 of the record is appropriate as a genre/form (field 655), occupation, (field 656) or function (field 657) index term, or as a physical characteristics added entry (field 755) in bibliographic records. In these situations, the heading would be recorded in field 150, the code in 008/11 (Subject heading system/thesaurus) would be set to one of the supplied values or to "z - other", and the code for the specific thesaurus would be recorded in field 040 (Cataloging Source), subfield $f (Subject heading/thesaurus conventions). The institution could code the character positions that were appropriate for the heading and use a fill character for the others (the proposal also recommended changing the definition of the blank (#) from "undefined" to "no information provided"). The proposal was withdrawn; the participants wanted to know how thesauri would handle topical terms that can be used both as a subject and as a genre/term, etc. At this discussion, there was a slight preference to use new variable data fields rather than fixed field coded data to indicate the use of a heading in bibliographic fields 655-657, 755. II. DISCUSSION The Stockton-San Joaquin Public Library and previous requests have indicated a need to resolve this issue so that the format can be modified to allow for the creation of authority records for genre/form headings. There has been much discussion on the use of genre/form headings because of the request to define a separate subfield for form subdivisions. The issue is related, although this discussion paper deals with genre/form headings rather than subdivisions. The use of field 655, particularly by LCSH has been discussed in the context of defining a new subfield for form. (See Proposal No. 95-2: Definition of Subfield $v for Form Subdivision in the USMARC Formats.) In the discussion of Proposal 93-8, the USMARC Advisory Group requested more information on how thesauri might handle topical terms that can be used as subject and as genre/form; this issue is also being discussed in terms of form subdivisions, particularly in LCSH as part of Proposal 95-2. This discussion paper deals only with genre/form terms used in field 655 (and 755). It does not consider occupation or function terms, since the need for these has not been demonstrated. There are situations where libraries would like to create authority records for genre/form terms in order to create cross references or for validation/global changes. For instance, LCSH recently changed the heading "Livres a clef" (a genre/form term) to "Romans a clef". However, the Guidelines on Subject Access to Individual Works of Fiction, Drama, etc. (code=gsafd) continues to use "Livres a clef". The Stockton-San Joaquin Public Library would want to provide a reference to the gsafd term in their catalog from the unused to the used form and a link to the LCSH heading. If it were possible to create authority records for genre/form terms, separate records could be created for the genre/form term, with the thesaurus indicated in 008/11. Those without a defined value would indicate the thesaurus in 040$f. Links to other thesauri could be created using the 75X fields. Terms used as topical and as genre/form. The question arises as to whether two authority records would need to be created for a genre/form term that might be used either as a topical or a genre/form term. A possible model might be geographic terms, which are coded as 151 in the authority format and used in field 651. They may also be used as X10's in main or added entries. If new heading fields are created for genre/form terms, the decision would have to made as to whether to create separate records. If an 008 data element is used to indicate that the heading can be used in field 655, then separate records may be unnecessary. Same term from different thesauri. Separate records would be created for terms from different thesauri even if the terms are identical, in order to allow for cross references and notes that only apply to one thesaurus. III. OPTIONS The following options need to be considered and a decision made to enable the Network Development and MARC Standards Office to prepare a proposal to change the authority format so that authority records can be created for genre/form headings. Note that the USMARC Advisory Group will consider Discussion Paper No. 82 on merging field 755 with field 655 in the bibliographic format. For simplicity, physical characteristics are not always specifically brought out in the options below. If it is considered undesirable to make field 755 obsolete, any proposal will include physical characteristics with genre/form. Option 1. Create X55 field for genre/form. This would require the creation of the following: 155 Heading--Genre/Form 455 See From Tracing--Genre/Form 555 See Also From Tracing--Genre/Form 755 Established Heading Linking Entry--Genre/Form Using the example above of the headings Romans a clef and Livres a clef, authority records might appear as follows: Record for LCSH heading: 008/11 LCSH 150 ## $aRomans a clef 450 ## $aLivres a clef [LCSH reference from unused form] 755 #7 $aLivres a clef$2gsafd [Linking entry to form used in GSAFD] Record for GSAFD heading: 008/11 z [other] 040 $aDLC$cDLC$fgsafd 155 ## $aLivres a clef 455 ## $aRomans a clef [GSAFD reference from unused form] 755 #0 $aRomans a clef [Second indicator shows LCSH] Following is an example of a GSAFD record for a heading that does not exist in LCSH: 008/11 z [other] 040 $aDLC$cDLC$fgsafd 155 ## $aMedical novels 455 ## $aHospital novels 455 ## $aDoctor novels 680 ## $iUsed for $aDoctor novels An advantage to establishing separate fields is to preserve parallels of content designation by using the same tag structure as the bibliographic field 655. If field 755 in the bibliographic format is not merged with field 655, this option does not allow for the separate identification as to whether the heading can be used in 650, 655 only, 755 only, or both 655 and 755. Questions that arise with this option: 1. Would two authority records be created if the heading may be used both as a topical and a genre form term? If not, is an additional data element needed (008/18 as in Option 2) to indicate in which fields that heading can be used? 2. If the evaluation of Discussion Paper No. 82 indicates that field 755 should not be made obsolete, is it necessary to also include an indication of whether the heading is used in 655 only, 755 only, or both 655 and 755? 3. Is it a problem to define field 755 in the authority format for a linking entry when it is used in the bibliographic format as Added Entry--Physical Characteristics? See Attachment A for a description of the proposed new fields if this option were requested. Option 2. Create a fixed field data element to indicate the use of the heading. This option would require the following new character position: 008/18 Heading use--genre/form index term # No information provided a Heading is appropriate for use as genre/form index term b Heading is not appropriate for use as genre/form index term If field 755 is not merged with field 655, it would also require the following: 008/19 Heading use--physical characteristics added entry # No information provided a Heading is appropriate for use as physical characteristics added entry b Heading is not appropriate for use physical characteristics added entry In the above one or two character positions, code blank (#) would be redefined from "Undefined" to "No information provided". Headings would be recorded in field 150 in authority records. Using the same example above, the authority records would appear as follows: Record for LCSH heading: 008/11 LCSH 008/18 a 150 ## $aRomans a clef 450 ## $aLivres a clef [LCSH reference from unused form] 750 #7 $aLivres a clef$2gsafd [Linking entry to form used in GSAFD] Record for GSAFD heading: 008/11 z [other] 008/18 a 040 $aDLC$cDLC$fgsafd 150 ## $aLivres a clef 450 ## $aRomans a clef [GSAFD reference from unused form] 750 #0 $aRomans a clef [Second indicator shows LCSH] Following is an example of a GSAFD record for a heading that does not exist in LCSH: 008/11 z [other] 008/18 a 040 $aDLC$cDLC$fgsafd 150 ## $aMedical novels 450 ## $aHospital novels 450 ## $aDoctor novels 680 ## $iUsed for $aDoctor novels The advantage to this option is that only one or two new data elements would be created, rather than several new fields. All headings would be coded as 150, so the decision would not have to be made as to whether to code as 150 or 155. For thesauri that allow for a heading to be used in either 650 or 655, it would not be necessary to create separate records for the two uses, which might be considered desirable if Option 1 were selected. This option is analogous to the use of field 008/14-16, which allows for the establishment of a heading once and the identification of where the heading can be used: 008/14 for use as 1XX or 7XX; 008/15 for use as 6XX; 008/16 for use as 490 or 8XX. Question for Option 2: Is there a need to indicate that the term in field 150 is only a genre/form, or that it may be used either as topical or genre/form? See Attachment B for a description of 008/18 if this option is requested. ------------------------------------------------------------------ ATTACHMENT A 155 Heading--Genre/Form (NR) Indicators First Undefined Second Undefined Subfield Codes $a Genre/form (NR) $x General subdivision (R) $y Chronological subdivision (R) $z Geographic subdivision (R) $6 Linkage (NR) $v Form subdivision (IF 95-2 IS APPROVED) ------------------------------------------------------------------- 455 See From Tracing--Genre/Form (R) 555 See Also From Tracing--Genre/Form (R) Indicators First Undefined Second Undefined Subfield Codes $a Genre/form (NR) $i Reference instruction phrase (NR) $w Control subfield (NR) $x General subdivision (R) $y Chronological subdivision (R) $z Geographic subdivision (R) $5 Institution to which field applies (NR) $6 Linkage (NR) $v Form subdivision (IF 95-2 IS APPROVED) ------------------------------------------------------------------ 755 Established Heading Linking Entry--Genre/Form (R) Indicators First Undefined Second Subject heading system/thesaurus 0 Library of Congress Subject Headings/LC authority files 1 LC subject headings for children's literature 2 Medical Subject Headings/NLM authority files 3 National Agricultural Library subject authority file 4 Source not specified 5 Canadian Subject Headings/NLC authority file 6 Repertoire des vedettes-materiŠre/NLC authority file 7 Source specified in subfield $2 Subfield Codes $a Genre/form (NR) $v Record control number (R) $w Control subfield (NR) /0 - Link display a - Link not displayed b - Link not displayed, field 788 used c - Link not displayed, non-7XX field used $x General subdivision (R) $y Chronological subdivision (R) $z Geographic subdivision (R) $2 Source of heading or term (NR) $5 Institution to which field applies (NR) $6 Linkage (NR) $8 Linking number (NR) Note that $v is already being used for record control number in 7XX fields; $v is proposed in Proposal No. 95-2 as Form subdivision. ------------------------------------------------------------------ ATTACHMENT B 008/18 Heading use--genre/form index term Codes # No information provided a Heading is appropriate for use as genre/form index term b Heading is not appropriate for use as genre/form index term CHARACTER POSITION DEFINITION AND SCOPE A one-character alphabetic code indicates whether the 150 heading is appropriate for use as a genre/form index term in field 655 (Index Term -- Genre/Form) in bibliographic records. GUIDELINES FOR APPLYING CONTENT DESIGNATORS CODES # - No information provided Code # indicates that no information is provided as to whether the 1XX heading is appropriate for use as a genre/form index term in bibliographic field 655. a - Heading is appropriate for use as genre/form index term Code a indicates that the 150 field contains an established heading that conforms to certain subject heading system/thesaurus rules (008/11, codes a, r, and z (when subfield $f of field 040 contains a USMARC code that is authorized by USMARC Code List for Relators, Sources, Description Conventions for use in subfield #2 of bibliographic field 655)) which is considered to be appropriate for use as a genre/form index term in bibliographic records. 008/18 a 008/09 a [established heading record] 008/11 a [code indicating LCSH] 150 ##$aFairy tales 008/18 a 008/09 a [established heading record] 008/11 r [code indicating AAT] 150 ##$amanuscripts 008/18 a 008/09 a [established heading record] 008/11 z [code indicating Other] 040 ##$aMt$cDLC$dWyU$fgsafd 150 ##$aScience fiction comic books, strips, etc. [Code "gsafd" in subfield $f of field 040 is authorized by USMARC Code List for Relators, Sources, Description Conventions for use in subfield $2 of bibliographic field 655. The 150 field contains a heading that is appropriate for use as a genre/form index term in bibliographic records.] 008/18 a 008/09 a [established heading record] 008/11 z [code indicating Other] 040 ##$aDLC$cDLC$fgmgpc 150 ##$aCartoons [Code "gmgpc" in subfield $f of field 040 is authorized by USMARC Code List for Relators, Sources, Description Conventions for use in subfield $2 of bibliographic field 655. The 150 field contains a heading that is appropriate for use as a genre/form index term in bibliographic records.] b - Heading is not appropriate for use as genre/form index term Code b indicates that the 1XX field contains 1) an unestablished heading; 2) a 100-130, 151 established heading; 3) a 150 established heading not from a thesaurus or subject heading system authorized by USMARC Code List for Relators, Sources, Description Conventions for use in subfield $2 in bibliographic field 655; or 4) a 150 established heading from a thesaurus or subject heading system authorized by USMARC Code List for Relators, Sources, Description Conventions for use in subfield $2 in bibliographic field 655 but the heading is not considered appropriate for use as a genre/form index term in bibliographic records. 008/18 b 008/09 d [subdivision record] 180 xBibliography 008/18 b 008/09 e [node label record] 150 ##$acommercial catalogs by function 008/18 b 008/09 a [established heading record] 008/11 a [code indicating LCSH] 151 ##$aFrance 008/18 b 008/09 a [established heading record] 008/11 c [code indicating MeSH] 150 ##$aelectroplating 008/18 b 008/09 a [established heading record] 008/11 a [code indicating LCSH] 150 ##$aBeds in literature 008/18 b 008/09 a [established heading record] 008/11 a [code indicating LCSH] 150 ##$aTechnology$xBibliography RELATED USMARC FIELD OR DOCUMENT 008/11 Subject heading system/thesaurus 040 Cataloging Source USMARC Code list for Relators, Sources, Description Conventions CONTENT DESIGNATOR HISTORY # No information provided Heading use--genre/form index term information was not specified prior to the definition of this character position in 1993. Records created prior to that time may contain a blank (#) meaning undefined in this position.