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DATE: December 18, 2014
REVISED:
NAME: Defining Values in Field 037 to Indicate a Sequence of Sources of Acquisition in the MARC 21 Bibliographic Format
SOURCE: British Library
SUMMARY: This paper proposes the definition of values for Indicator 1 in Field 037 to sequence sources of acquisition. It also proposes the definition of subfields $3 and $5 so that the materials and institution or organization to which a source of acquisition applies can be recorded.
KEYWORDS: Source of acquisition (BD); Field 037 (BD); Field 264 (BD)
STATUS/COMMENTS:
12/18/14 – Made available to the MARC community for discussion.
01/31/15 – Results of MARC Advisory Committee discussion: Approved as submitted.
03/23/15 - Results of MARC Steering Group review - Agreed with the MAC decision.
The British Library is required to sequence multiple instances of the 037 field (Source of Acquisition) to manage the exchange of metadata for electronic serials with third parties. This involves the recording of additional information about stock numbers and their sources of acquisition. As a means of doing so, we propose that indicator 1 in the 037 field is defined to carry sequence information relating to the source of acquisition. The codes for and categories of sequence information would correspond to those already defined for indicator 1 in the 264 field (Production, Publication, Distribution, Manufacture, and Copyright Notice), following the approval of Proposal 2011-02. In addition, we propose that subfield $3 (Materials specified) and $5 (Institution to which field applies) are defined in the 037 field.
2.1. Defining values for Indicator 1 in Field 037
When the source of acquisition for an electronic serial changes over time, associated information needs to be recorded as a means of supporting the automated accessioning process. It is important to retain the history of changes, rather than only the latest information, to support the ordering of serial back issues as well as current ones. Source of acquisition information belongs at the bibliographic rather than holdings level of description. This is because it relates to the distribution of a resource, rather than the stock held by an individual institution. Sharing this information with third parties provides them with the means of ordering material from the same source, should they so desire. Furthermore, the information only needs to be captured once, rather than being duplicated in a number of holdings which are linked to the same bibliographic record.
The British Library analysed the MARC Bibliographic format to establish the most appropriate field in which changes relating to the source of acquisition for electronic serials could be recorded. The 035 field (System Control Number) was considered but rejected on the basis that it must incorporate a registered MARC organization code. Not all the sources used by the British Library to acquire electronic serials are registered, nor do they create MARC records. It was determined that the 037 field offered a better means of recording changes associated with the source of acquisition for electronic serials. This is because the definition and scope associated with the 037 field specifies that “order numbers assigned by a distributor for computer files are recorded in this field”.
At present, it is only feasible to record changes associated with the source of acquisition in the MARC format by using 037 subfields $8 and $n. Subfield $8 allows a sequence number and field link type to be recorded. Subfield $n allows a free text note to be recorded which pertains to the item’s acquisition. However, both $8 and $n are manually entered subfields without a fixed range of values. This makes their use undesirable from the perspective of machine actionability and therefore an automated accessioning process. As a result, it would be preferable to record the change of acquisition information by using an indicator in the 037 field. Such an approach would also provide the means of creating a sequentially ordered, labelled display for the user. In addition, this solution has the benefit of requiring less data input.
By defining codes in 037 indicator 1 which correspond to those already specified for 264 field indicator 1, it would be possible to both sequence the source of acquisition information for electronic serials and to carry on recording information which relates to other types of material. This is because indicator 1 code blank covers the three categories “Not applicable/No information provided/Earliest” and could be applied to serial as well as non- serial records. It could also be used in a current and legacy record context. 264 field indicator 1 code 2 covers the category “Intervening”, whilst code 3 covers the category “Current/latest”. If a situation arose in which multiple intervening sources of acquisition were present, then these could be differentiated by recording additional $8 subfields which each contain a sequence number and field link type. Records created according to the provider neutral model would not be effected by sequencing source of acquisition information, since 037 is not included in its prescribed list of fields: Provider-Neutral E-Resource MARC Record Guide: P-N/RDA Combined version.
At present, the British Library is relying on local MARC coding in 037 field indicators 1 and 2 as a means of utilizing the categories covered by 264 indicator 1 as follows:
037 ## $a ISSN_00318094 $b Portico $n Wiley
037 93 $a philoq $b Oxford University Press
As a long term measure, this approach is undesirable from the perspective of sharing information with third parties. Because it represents a non-standard usage of MARC, it also has the potential to make future system upgrades less straightforward.
Field 037 is currently defined in the Bibliographic format as follows:
Government agency assigned numbers that can be used for classification purposes are not carried in this field; they are contained in field 086 (Government Document Classification Number). The ISBN, ISSN, and publisher's numbers for sound recordings, printed music, videorecordings, and other music-related material are not carried in this field; they are contained in fields 020 (International Standard Book Number), 022 (International Standard Serial Number), and 028 (Publisher Number), respectively. In addition, other standard numbers or codes published on an item are not accommodated in this field; they are contained in field 024 (Other Standard Identifier).
Archival identification or order numbers assigned by a distributor for computer files are recorded in this field. The original study number assigned by the producer is recorded in field 036 (Original Study Number for Computer Data Files).
Different and unrelated U.S. Government Printing Office stock numbers assigned by GPO to each issue of a serial are not carried in this field.
Repeated when there are multiple stock numbers and/or sources of stock number/acquisition associated with the item.
The codes for and categories of sequence information defined for 264 indicator 1 are as follows:
First Indicator - Sequence of statements
# - Not applicable/No information provided/Earliest
Used when a resource is first cataloged. Information given in value # is not changed (unless incorrect or earlier issues of a serial are later available with differing publishing information).Defined as “No information provided” for monographic works that are complete as first issued.
2 – Intervening
Used when the place of production, publication, distribution, manufacture or the name of the producer, publisher, distributor, manufacturer changes. Additional production, publication, distribution, manufacture statements between the earliest and latest may also be recorded with first indicator value 2.3 - Current/latest
Used when the name of the producer, publisher, distributor, manufacturer changes, or when the place of production, publication, distribution, manufacture associated with the earliest statement changes. The current statement may be added with first indicator value 3. Data given in a subsequent statement can be changed to reflect the current information when only the earliest and most current data is needed.
This paper proposes the definition of codes for and categories of sequence information in field 037 as follows:
First Indicator – Source of acquisition sequence
# - Not applicable/No information provided/Earliest
Used when a resource is first cataloged. Information given in value # is not changed (unless incorrect or earlier issues of a serial are later available with differing source of acquisition information).Defined as “No information provided” for monographic works that are complete as first issued.
2 – Intervening
Used when source of acquisition information changes. Additional source of acquisition information between the earliest and latest may also be recorded with first indicator value 2.3 - Current/latest
Used when source of acquisition information changes. The current information may be added with first indicator value 3. Data given regarding subsequent source of acquisition information can be changed to reflect the current information when only the earliest and most current data is needed.
2.2. Defining Subfield $3 in Field 037
If source of acquisition information is sequenced, then it may also be desirable to record details of the serial parts to which a source of acquisition applies. This paper proposes the definition of subfield $3 (Materials specified) in field 037 so that the parts relating to a source of acquisition can be recorded.
2.3. Defining Subfield $5 in Field 037
It may be desirable for multiple institutions to record different sources of acquisition using the same bibliographic record. In addition, source of acquisition information may become obsolete over time. This paper proposes the definition of subfield $5 (Institution to which field applies) in field 037 so that source of acquisition information relating to different institutions can be distinguished on the same bibliographic record. By recording the details of an institution to which a source of acquisition applies, this also provides a means of indicating that the information may only be valid at a local level.
The following examples model the use of 037 field indicator 1 as a means of sequencing the source of acquisition for electronic serials, whilst retaining its current meaning in the context of non-serial and un-sequenced serial resources. In several examples the stock number recorded in subfield $a is based on an ISSN number, but this represents a journal content set identifier rather than the ISSN number itself. Each 037 field is based on a real example which is currently present on the British Library catalogue:
Example 1:
Source of acquisition information for the distributor of a monograph:
037 ## $a 1351129 $b QBI
Example 2:
Source of acquisition information for the distributor of a serial used by the British Library:
037 ## $a ISSN_23264624 $b Portico $n Wiley $5 Uk
Example 3:
Source of acquisition information for the earliest and current/latest distributor of a serial used by the British Library:
037 ## $a BL_12860042 $b Portico $n Cambridge University Press $5 Uk
037 3# $a ISSN_12860042 $b Portico $n Cambridge University Press $5 Uk
Example 4:
Source of acquisition information for the earliest and current/latest distributors of a serial used by the British Library; the parts relating to each source of acquisition are represented by a year range:
037 ## $3 – 2013 $a ISSN_13693786_98 $b Portico $n Informa Healthcare $5 Uk
037 3# $3 2014 – $a mmy $b Oxford University Press $5 Uk
Currently BIBFRAME has the property bf:stockNumber, with range of bf:Identifier, to which MARC 037 data is mapped. Ordering triples is not easy at this point in RDF but various ad hoc solutions such as using an order property could be employed. For example, a property could be added to the bf:Identifier called bf:order or some such name.
5.1. Define the following indicator values for field 037 (Source of Acquisition) in the MARC21 Bibliographic Format:
First Indicator – Source of Acquisition Sequence
# - Not applicable/No information provided/Earliest
2 - Intervening
3 - Current/latest
5.2. Define a non-repeatable subfield $3 (Materials specified) in field 037.
5.3. Define a repeatable subfield $5 (Institution to which field applies) in field 037.
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