DATE: December 15, 1996

NAME: Addition of Subfield $5 in field 655 (Index Term-- Genre/Form) in the USMARC Bibliographic Format

SOURCE: Harvard University

SUMMARY: This proposal suggests the addition of $5 (Institution to which field applies) to field 655 (Index Term--Genre/Form), to allow physical characteristics of an individual institution's copy of an item to be marked, so that such local, copy-specific information can be accurately managed when the record is transmitted between systems.

KEYWORDS: Field 655 (Bibliographic); Subfield 5, in field 655 (Bibliographic); Index Term--Genre/Form)



12/15/96 - Forwarded to USMARC Advisory Group for discussion at the 1997 Midwinter MARBI meetings.

2/17/97 - Results of USMARC Advisory Group discussion - Approved.

2/26/97 - Results of final LC review - Approved.

PROPOSAL NO. 97-4: Addition of Subfield $5 in field 655 (Index Term--Genre/Form)

There has long been a perceived need to be able to mark added
entries for physical format characteristics as
institution-specific when applicable.  
Proposal No. 95-10 (Making Field 755 Obsolete in the USMARC
Bibliographic Format) resulted in making field 755 (Added Entry--
Physical Characteristics) obsolete, using field 655 for the
information.  Thus, field 655 (Index term--Genre/Form) is now
used with terms describing the physical characteristics of an
item.  Unlike other subject entries, physical characteristics may
apply to all copies of a work or to only a single copy.  Many
entries for physical characteristics such as CD-ROM or Type
evidence apply to all copies of an edition, and these cases do
not need further coding.   However, other physical
characteristics, such as fore-edge paintings or annotations, may
be specific to the copy in hand, and require notes and access
points which are marked as such.  In order for entries for such
characteristics to be managed accurately when records are
exchanged between systems, there must be a way to distinguish
copy-specific characteristics from universal ones.  
The subfield $5 is used throughout the USMARC bibliographic and
authority formats to indicate that a field is institution-
specific.  Existing systems already process subfield $5
information in the 246 and in a variety of 5XX and 7XX fields.
Robin Wendler sent a message to the USMARC list in October
soliciting comments on the suggestion to add subfield $5 to field
655.  Several contributors expressed support for this proposal. 
The original question was asked as to whether there was a need to
add subfield $5 to other 6XX fields at the same time.  A possible
situation might be a map that on one copy is annotated to show a
particular subject, while not all copies include that annotation. 
In this case a subject heading pertaining only to that particular
copy could be added with a subfield $5.
Attachment A shows examples of the use of subfield $5 in field

The following is presented for consideration:
         -       In the USMARC Bibliographic Format, define subfield $5
                 (Institution to which field applies) in Field 655
                 (Index Term--Genre/Form)
         See Attachment B for a description of this field if this
proposal is approved.
                                                ATTACHMENT A
Example 1:
OCLC: 30569696 Rec stat: n  
Entered: 19940608  Replaced: 19950617  Used: 19940608
Type:  a   ELvl: I   Srce: d  Audn:    Ctrl:    Lang:  swe
BLvl:  m   Form:     Conf: 0  Biog:    MRec:    Ctry:  sw 
    Cont:        GPub:        Fict:  1     Indx:  0
Desc:  a   Ills:     Fest  0  DtSt:  s     Dates: 1762,      
040           $a HHG $e dcrb $c HHG  
100 1         $aPletz, Martin.  
245 15        $aThen engelske flygarens rese-beskrifning : $b under
              hwilken dikt, grundsatzar uti then naturliga lagen och
              folke-rätten, then swenska ungdomen til tjenst
              föreställas / $c f Martin Pletz ...  
260           $aSkara : $b Trykt uti Kgl. privil. boktryckeriet, $c
300           $a[2], 168, [4] p. (p. [170]-[172] blank) ; $c 16 cm.
500           $aSignatures: pi1 A-Ls (- L7, 8) (L6 blank, L7 = pi1?). 
              500$aErrata: p. [169].  
500           $aThe Houghton Library copy is interleaved with
              extensive annotations in Latin and autographed (in an
              earlier hand?) on the front flyleaf: Olof Dahlgren
              Stockholm d 18 Maji ar 1780 egareren till dena Bok. $5
655 7         $aUtopian literature $z Sweden $y 18th century. $2
655           $aAnnotations (Provenance) $z Sweden $y 18th century. $2
              rbprov $5 MH-H
700 1         $aDahlgren, Olof, $d fl. 1780, $e former owner. $5 MH-H 
752      $aSweden $d Skara.  
Example 2:
OCLC:  28201197         Rec stat:  c 
Entered:    19930603    Replaced:  19931015  Used:  19930603
Type:  a     ELvl: I    Srce:  d   Audn:     Ctrl:   Lang:  fre
BLvl:  m     Form:      Conf:  0   Biog:     MRec:   Ctry:  enk
         Cont:      GPub:        Fict:  0     Indx:  0
Desc:  a     Ills:      Fest:  0   DtSt: s   Dates: 1811,       
040      $aHHG $c HHG  
100 1         $aClaudianus, Claudius. 
240 10        $aIn Rufinum. $l French & Latin  
245 13        $aLa chute de Rufin : $b poème en deux chants / $c
              traduit du Latin de Claudien, avec notes historiques,
              géographiques, mythologiques et grammaticales par le
              Marquis de Sy.  
260           $aLondres : $b Chez MM. Dulau et co., Deboffe, Deconchy
              ... etc., $c 1811.  
300           $axviii, 124 p. ; $c 19 cm. 
500           $aAdded t.p. in Latin.  
500           $aText in French and Latin. 
500           $aPresentation inscription from the Marquis A.C.A.F. de
              Sy. $5 MH-H  
500           $aThe Heber-Lowther Castle copy. $5 MH-H
500           $aDouble fore-edge paintings. $5 MH-H                    
              655$aFore-edge paintings (Binding) $z England $y 19th
              century. $2 rbbin $5 MH-H 
752           $aEngland $d London.  
                                                ATTACHMENT B
<  > indicates addition; [  ] indicates deletion
655   Index Term--Genre/Form  (R)
  First         Type of heading
     0            Faceted
  Second        Source of term
     7            Source specified in subfield $2
Subfield Codes
     $a     Genre/form data or focus term  (NR)
     $b     Non-focus term  (R)
     $c     Facet/hierarchy designation  (R)
     $v     Form subdivision  (R)
     $x     General subdivision  (R)
     $y     Chronological subdivision  (R)
     $z     Geographic subdivision  (R)
     $2     Source of term  (NR)
     $3     Materials specified  (NR)
<    $5     Institution to which field applies  (NR)>
     $6     Linkage  (NR)

        This field contains terms indicating the genre, form, and/or
physical characteristics of the materials being described.  Genre
terms for textual materials designate specific kinds of materials
distinguished by the style or technique of their intellectual
contents; for example, biographies, catechisms, essays, hymns, or
reviews.  Form and physical characteristic terms designate
historically and functionally specific kinds of materials as
distinguished by an examination of their physical character,
subject of their intellectual content, or the order of
information within them; for example, daybooks, diaries,
directories, journals, memoranda, questionnaires, syllabi, or
time sheets.   In the context of graphic materials, genre
headings denote categories of material distinguished by vantage
point, intended purpose, characteristics of the creator,
publication status, or method of representation.
        The field may contain terms constructed from a faceted
vocabulary.  For each term found in the field, an identification
is given as to the facet/hierarchy in the thesaurus from which
the term came.  In addition, identification is given as to which
term is the focus term of the expression.
        Standard published lists are used for the genre and form
terms and the list is identified in subfield $2 (Source of term).

First Indicator - Type of heading 
        The first indicator position specifies the type of heading
        in the field.
        # - Basic
            Value # indicates that genre/form data is recorded in a
            single occurrence of subfield $a.
        0 - Faceted
            Value 0 indicates that each genre/form term is recorded
            in a separate subfield $a or $b.  A subfield $c
            (Facet/hierarchy designation) precedes each term in
            subfields $a and $b; it denotes the facet/hierarchy of
            each term in a particular thesaurus.
Second Indicator - Source of term 
        The second indicator position contains value 7 which
        indicates that the source of the genre/form term is
        contained in subfield $2.

$a - Genre/form data or focus term
        Subfield $a contains all genre, form, or physical
        characteristics data when the first indicator is $.  For
        faceted headings (first indicator is value 0), it consists
        of the focus term.  A focus term is the concrete thing
        forming the basis of the expression.
          655     #7$aBird's-eye views$y1874.$2gmgpc
          655     #7$aCartoons$y1952.$gmgpc
          655     #7$aGampi fibers (Paper)$zJapan$y1955$2rbpap
          Heading: Laminated marblewood bust
          655     07$ck$bLaminated$cm$bmarblewood$cv$abust.$2aat

$b-Non-focus term
        Subfield $b contains a term other than that considered the
        focus in a faceted heading (first indicator is value 0).
          Heading: Black Hmong cotton courtship balls
          655     07$cd$aBlack$cf$bHmong$cm$bcotton$ck$bcourtship$ct 

$c - Facet/hierarchy designation
        Subfield $c contains a designation identifying the
        facet/hierarchy for each term found in subfields $a and $b
        in faceted headings (first indicator is value 0).  The
        designations differ, depending on the thesaurus used (as
        specified by the code found in subfield $2).  The
        designations and their associated facets/hierarchies can be
        found in the thesaurus identified by subfield $2.  Subfield
        $c always precedes the data to which it is associated.
        See the examples under the descriptions of subfields $a and
$v - Form subdivision
        Subfield $v contains a form subdivision that designates a
        specific kind or genre of material as defined by the
        thesaurus being used.  Subfield $v is appropriate only when
        a form subject subdivision is added to a genre/form term.

$x - General subdivision
        Subfield $x contains a subject subdivision that is not more
        appropriately contained in subfield $v (Form subdivision),
        subfield $y (Chronological subdivision), or subfield $z
        (Geographic subdivision).  Subfield $x is appropriate only
        when a topical subdivision is added to a term with a first
        indicator of $ (Basic).
          655     #7$aDictionaries$xFrench$y18th century.$2rbgenr
          655     #$$aPhotoprints$xColor$zPanama Canal Zone$y1900-

$y - Chronological subdivision
        Subfield $y contains a subject subdivision that represents a
        period of time.  Subfield $y is appropriate only when a
        chronological subject subdivision is added to a term.
          655     #7$aCompetition drawings$y1984.$2gmgpc

$z - Geographic subdivision
        Subfield $z contains a geographic subject subdivision. 
        Subfield $z is appropriate only when a geographic subject
        subdivision is added to a term.
          655     #7$aHymnals$zMassachusetts$y18th century.$2rbgenr
          655     #$$aSigning patterns (Printing)$zGermany$y18th

$2 - Source of term
        Subfield $2 contains a USMARC code that identifies the
        source list from which the index term was assigned.  It is
        used only when the second indicator position contains value
        7 (Source specified in subfield $2).  The source of the
        USMARC code is USMARC Code List for Relators, Sources,
        Description Conventions that is maintained by the Library of
          655     #7$aEmblem books$zGermany$y17th century.$2rbgenr
          655     #$$aLithographs$zGermany$y1902.$2gmgpc

$3 - Materials specified
        Subfield $3 contains information which indicates the part of
        the described materials to which the field applies.
          655     $7$3Municipal Fire Station records$aFire
                  reports$zAtlanta, Georgia$y1978.$2[thesaurus code]

<$5 - Institution to which field applies
     Subfield $5 contains the USMARC code of the institution or
     organization that holds the copy to which the field applies. 
     It is used in an index term for genre/form or physical
     characteristics that does not apply to the universal
     description of the item.   The source of the USMARC code is
     USMARC Code List for Organizations that is maintained by the
     Library of Congress.
          655     ##$aAnnotations (Provenance) $z Sweden $y 18th
                  century. $2 rbprov $5 MH-H >
$6 - Linkage
        Subfield $6 contains data that link pairs of fields that are
        alternate graphic representations of each other.  It
        contains the tag number of an associated field and an
        occurrence number.  A complete description of subfield $6
        and guidelines for applying it are provided in the 880
        Alternate Graphic Representation section.

The subfield preceding subfield $2 in field 655 ends with a mark
of punctuation or a closing parenthesis.
        655     #7$aDiaries$zBelgium.$2[thesaurus code]
An term followed by a subject subdivision does not end with a
mark of punctuation unless the preceding term ends with an
abbreviation, initial/letter, open date, or other data that and
with in a mark of punctuation.
        655     #7$aPrayer books$zRhode Island$y18th
                century.$2[thesaurus code]
No spaces are used in initialisms, acronyms, or abbreviations.
A data element that contains an open-ended date ends with one
space when it is followed by a subject subdivision.
Subfield $y Imprint Date Data
The imprint date (i.e., the date found in 260$c) may be used in
subfield $y of field 655.  In subfield $y, the date data are
recorded following Library of Congress Rule Interpretations
21.30M.  Brackets are not used even though they may be present in
260$c.  When the dates are preceded by alphabetic data in
subfield $y, the first letter of the alphabetic data is
capitalized, e.g., Not before [imprint date]; Not after [imprint
date]; Ca. [imprint date].
        260     #$$a<place of publication> :$b<publisher>,$c[1885]
        655     #7$aAddresses$zMassachusetts$zBoston$y1885.$2rbgenr
Display Constant
  --       [dash associated with the content of subfield $v, $x, $y,
          and $z]
The dash (--) that precedes a subdivision in an extended subject
heading is not carried in the USMARC record.  It may be system
generated as a display constant associated with the content of
subfields $v, $x, $y, and $z.
        Content designated field:
          655     #7$aAgenda$xWeekly$y1980-1985.$2<thesaurus code>
            Display example:
In headings having a first indicator 0 (Faceted), the dash (--)
that precedes any non-focus term that follows a focus term is not
carried in the USMARC record.  It may be generated as a display
constant associated with subfield $b.

        880       Alternate Graphic Representation
        USMARC Code List for Relators, Sources, Description
        <USMARC Code List for Organizations>

First indicator - Type of heading
In 1993, the first indicator was given its present definition. 
Records created prior to this change may contain a $ meaning
Until field 755 (Added Entry--Physical Characteristics) was made
obsolete in 1995, physical characteristics were recorded in field
755 instead of field 655.

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