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DATE: June 15, 2009

NAME: Accommodating Relationship Designators for RDA Appendix J and K in MARC 21 Bibliographic and Authority Formats

SOURCE: RDA/MARC Working Group

SUMMARY: RDA specifies relationship designators for relationships between names and between resources. The $i subfield is proposed for those designators in the primary linking fields, the 700-730 and the 76X-78X.

KEYWORDS: Relationship designator; Fields 700-730 (BD); Fields 76X-78X (BD); Fields 800-830 (BD); Fields 4XX (AD); Fields 5XX (AD); RDA Appendix J; RDA Appendix K; RDA Appendix I; Resource to resource relationships; Name to name relationships

RELATED: 2009-DP01/2

06/15/2009 - Made available to the MARC 21 community for discussion.

07/12/2009 - Results of the MARC Advisory Committee discussion - Approved as amended. The committee decided to 1) add subfield $4 to the 4XX and 5XX fields in the Authority Format 2) change the name and adjust the definition of subfield $i to indicate its dual function as a reference instruction phrase and as a relationship designator 3) add a code to subfield $w/0 to denote its use as relationship designator. In addition, field 787 needs to be renamed "Other relationship entry." Errors in the examples also need to be fixed.

08/05/2009 - Results of LC/LAC/BL review - Agreed with the MARBI decision.

PROPOSAL NO. 2009-06/1: Accommodating Relationship Designators in RDA Appendix J and K in MARC 21 Bibliographic and Authority Formats


RDA has several appendices that detail types of relationships involving bibliographic and authority record entities:

Appendix I details relationships between a resource and persons, families and corporate bodies (resource to name), e.g., author, artist, cartographer (MARC 21 accommodates the types of relationships detailed in Appendix I using the relator terms or codes in subfields $e and $4 in the controlled access fields (1XX, 6XX, 7XX, 8XX) of the MARC 21 Bibliographic format and 1XX, 4XX, 5XX $e in the Authority format).

Appendix J details relationships between works, expressions, manifestations and items ((FRBR) resource to resource). Appendix J specifies relatively comprehensive lists of the relationships between FRBR Group 1 entities (i.e., work, expression, manifestation, item). It includes a designation of the nature of that relationship either using broad relationship terms or more specific ones. Examples: dramatized as (work), indexed in (work), sequel, digest of (expression), filmed with (manifestation), reproduction of (item).

Appendix K details relationships between persons, families and corporate bodies (name to name). RDA Appendix K suggests that other FRBR entities, such as bibliographic identities representing the same person, corporate bodies that change names, and the like, are also rich with relationships which are listed in that Appendix. Examples: employee, sponsor, descendent family, employer, predecessor.

There are two issues to be considered: methods for referencing the related resource or name, and techniques to record the relationship, and in particular the extensive and detailed RDA relationships.

Discussion Paper No. 2009-DP01/2 (Relationship Designators for RDA Appendix J and K) focused on the various ways relationships are currently shown in MARC 21 and possible changes to more fully accommodate the RDA relationships. Because the final texts of RDA were not available at the time the paper was discussed, decisions about how to handle them were not made. Discussion indicated that proposals may be needed to allow for expressing the relationships in MARC. Some issues are tricky, relating to which subfield to use, to when the data is part of the access point and when it is not, and to when there are existing techniques that need to be harmonized with a new approach.

Discussion Paper No. 2009-DP01/2 suggested that for the authorized access point method existing subfields $e (Relator term) and perhaps $4 (Relator code) could be used for relationships between works, expressions, manifestations and items, even though they have previously been used for the types of relationships defined in Appendix I (i.e. between names and resources). The order in the field could show whether it related a name to a resource or showed a relationship of the whole citation (i.e., name/title combination). Discussion indicated that the community wanted to consider other options, perhaps a separate subfield for these relationships rather than using $e and $4 for a different purpose and relying on order to understand which relationship is detailed.


2.1. Linking Methods in RDA and MARC

RDA has four basic methods for demonstrating relationships, through:

Terms (relationship designators) from the Appendices J and K list may be recorded in conjunction with the identifier, authorized access point, structured, or unstructured description to specify the relationship. (Note that relationship designators may be represented either by text or by a URI, and perhaps also by a code, if defined. The issue of accommodating URIs for controlled values in MARC is discussed in Discussion Paper No. 2009-DP06/1. Relationships addressed in this paper will use whatever mechanisms are chosen.)

2.1.1 Identifier method

RDA specifies that one method of linking between entities is through the use of identifiers. These identifiers could include ISBN, ISSN, URI, record control numbers, etc. The MARC formats accommodate linking identifiers currently in some fields, such as in the Linking Entry fields (76X-78X), where subfields $o (Other item identifier), $w (Record control number), $x (ISSN), and $z (ISBN) may be used. A few other fields contain subfields for the ISSN and a number of fields contain subfields for the record identifier of a name or resource record in $w or $0 subfields. (In the latter case, the expectation is that the data that states the linked name or resource will be explicit in the field along with the linking identifier.) Field 856 (with second indicator value 2 (Related resource)) may also be used to link via a URI to a related electronic resource. A key identifier method link is missing from the 76X-78X linking entry fields -- the URI for the related resources when it is in digital form, although other identifiers are present.

2.1.2 Authorized access point method

Another method for establishing relationships in RDA is via an authorized access point. This is accommodated in MARC in the added entry fields in the Bibliographic format, i.e. 700, 710, or 711 fields with subfield $t or the 730 field (all with indicator 2 = blank); and in the Series added entry fields 800-830. For example, bibliographic records for the film Gone with the wind will have a 700 with subfield $t for the novel by Margaret Mitchell (work) that was adapted in order to create the film. Note that while there is logically a record for the related item, the format does not require that it exist.

In the Authority format this method is accommodated by 5XX and 4XX entry fields.

2.1.3 Structured description method

According to RDA Chapter 24, structured descriptions may be used to show relationships, which is what the format carries in the current linking entry fields in bibliographic records (76X-78X). Structured descriptions are like mini records, and a number of descriptive data elements are accommodated in the Bibliographic format linking entry fields, although not every data element is parsed into subelements as they are in their own fields. Some linking entry fields have been heavily used, particularly in cataloging of continuing resources.

2.1.4 Unstructured description method

RDA also allows recording relationships using unstructured descriptions such as notes. Unstructured descriptions may currently be recorded in MARC using appropriate 5XX notes in the Bibliographic and 6XX notes in the Authority formats.

2.2 Techniques to Record Relationship Designators

For the linking methods described in section 2.1, MARC has various ways to designate the type of relationship -- e.g., via tag, via indicator values, or in text -- but generally not to the specificity level of RDA. Therefore it will be useful to identify a flexible technique for specifying the RDA relationship designators across the key linking fields.

2.2.1 Appendix J relationship designators (resource to resource) Linking entry fields (76X-78X)

In fields 76X-78X the general relationship is indicated by the choice of tag with some more specific relationships indicated by indicators in two of the fields. Subfield $i (Display text) is currently defined as follows: “Text intended to be displayed preceding the other data contained in the field. It is used when the second indicator contains value 8 (No display constant generated), except in fields 780 and 785.”

Thus, subfield $i is used to indicate relationships not expressed in the tag or indicator. Subfield $i could be used for the more specific relationship designators given in RDA Appendix J.

If it is desirable to make the relationship information available in a coded form, MARC relator codes could be defined for the Appendix J relationship designators in a section of the MARC Code List for Relators expressing resource to resource relationships. and recorded in a new subfield in fields 76X-78X. Subfield $4 could be used. Although it is used in 700-711 fields for MARC relator codes that express the relationship between a resource and name (such as are in Appendix I), that type of relationship is not needed in 76X-78X.

Field 787 (Nonspecific Relationship Entry) is available to be used for relationships that do not fit into the general categories of another already defined 76X-78X field. This field could be renamed “Other relationship” and subfield $i used to record the specific relationship designator from the list in Appendix J. Authorized access point fields (Bibliographic 700-711, 730; Authority 4XX and 5XX)

Subfield $i is not currently defined in fields X00-X11, X30 and could be defined for expressing the specific relationship to the name/title using RDA Appendix J relationship designators.

Some Appendix J (resource to resource) relationship designators will be needed in the Authority format 5XX see also from tracing fields and the 4XX see from tracing fields when the entry is for an author/title or title. The $i subfield would be used as described below in 2.2.2. Electronic resource linking field (Bibliographic and Authority format 856)

In field 856, there is a mechanism to specify a relationship designator from RDA Appendix J, in textual form in subfield $y (Link text). Note fields

Notes do not usually identify the precise relationship as a controlled value, although the RDA relationship designators could be expressed in the note text.

2.2.2 Appendix K relationship designators (name to name)

Relationship designators are needed in the MARC 21 Authority format 5XX see also reference tracing and 4XX see from tracing fields. Some of the relationships listed in RDA Appendix K (name to name relationships) are already accommodated in authority records using existing $w/0 codes for relationships such as “immediate parent body“ although in many cases the specific RDA relationship designator is not a defined code value in $w/0. However, subfield $i, which is an “extender” for $w/0 and is thus defined in these fields as “Reference instruction phrase,” could be considered for the RDA specific relationship designator. It is described as follows:

“Special reference instruction phrase that may be used in a cross reference display. When a tracing field contains subfield $i, control subfield $w/0 contains code i (Reference instruction phrase in subfield $i). Code i indicates that the generation of a tag related reference instruction phrase in a cross reference display should be suppressed. The content of subfield $i is the reference instruction phrase that is used in the cross reference display.”

Thus, it currently contains information about the relationship of the name in the reference to the 1XX in the field and could be used for Appendix K relationship designators. Subfield $4 is not defined, but could be, to enable use of a coded form if codes were assigned.

Previous discussion suggested that if wider use of subfield $i were adopted, then the technique of using $w/0 could be made obsolete. In this case, the definition of subfield $i could be generalized to use other relationship designators and the dependence on a certain code in $w/0 might be made optional.


Appendix J examples

Bibliographic records:
245 00 $a Triumph : $b for concert band / $c by Michael Tippett.
500 ## $a “A paraphrase of music from The mask of time.” 
          ISWC T-010.304.108-2.
700 1# $i paraphrase of (work) $a Tippett, Michael, $d 1905-1998. 
       $t Mask of time.

245 00 $a Alice in Wonderland, or, What's a nice kid like you doing in 
          a place like this? / $c Hanna-Barbera Productions ...
260 ## $a United States : $b ABC, $c [1966-03-30]
700 10 $i parody of (work) $a Carroll, Lewis, 
       $d 1832-1898. $t Alice's adventures in Wonderland.

100 1# $a Ravel, Maurice, $d 1875-1937.
240 10 $a Orchestra music. $k Selections
245 10 $a Orchestral works $h [sound recording] / $c Maurice Ravel.
505 0# $a Boléro -- La valse -- Rapsodie espagnole ...
700 12 $i contains (work) $a Ravel, Maurice, $d 1875-1937. $t Boléro, 
       $m orchestra.
700 12 $i contains (work) $a Ravel, Maurice, $d 1875-1937. $t Valse.
700 12 $i contains (work) $a Ravel, Maurice, $d 1875-1937. 
       $t Rapsodie espagnole.

100 1# $a Verdi, Giuseppe, $d 1813-1901.
245 10 $a Otello : $b in full score / $c Giuseppe Verdi
500 ## $a Libretto by Arrigo Boito, based on the play by Shakespeare.
700 1# $i Libretto based on (work) $a Shakespeare, William, $d 1564-1616. 
       $t Othello.
787 0# $i reproduction of (manifestation) $a Verdi, Giuseppe, 
       $d 1813-1901. $t Otello.$d Milan : Ricordi, c1913 $w ###85754295 
       $w (OCoLC)23483267
245 00 $a 136th Street, southeastern section of the Bronx.
300 ## $a 11 slides.
774 0# $i contains $o NYDA.1993.010.00132.$n [DIAPimage] $t View SE from 
          Mill Brook Houses on rooftop on Cypress Ave. Between 136th St. 
          and 137th St.,$d 93/05
Authority record:
100 1# $a Stoppard, Tom. $t Rosencrantz and Guildenstern are dead 
500 1# $i based on (work) $a Shakespeare, William, $d 1564-1616. $t Hamlet 

Appendix K examples

Authority records:
010 $a n 79036327
110 20 $a I.M. Pei & Partners
500 1# $a Pei, I. M $d 1917- $i founder

010 $a n 93099461
100 10 $a Snodgrass, Quintus Curtius, $d 1835-1910
500 10 $a Clemens, Samuel, $d 1835-1910 $i real identity


4.1 (6.1)   Adjust the definition of subfield $i in fields 76X-78X to accommodate Appendix J (resource to resource links) relationship designators in textual form in the MARC 21 Bibliographic format.

4.2 (6.2)   Define subfield $4 in Linking entry fields 76X-78X for Appendix J (resource to resource links) relationship designator codes in the MARC 21 Bibliographic format.

4.3 (6.3)   Define subfield $i in fields X00, X10, X11, X30 for Appendix J (resource to resource links) relationship designator in the MARC 21 Bibliographic format.

4.4 (6.4)   Adjust the definition of subfield $i to accommodate Appendix K (name to name links) and Appendix J (resource to resource links for works and expressions) relationship designators in 5XX of the MARC 21 authority format.

4.5 (6.5)   Rename field 787 (Nonspecific Relationship Entry) to “Other relationship” in the MARC 21 Bibliographic format and revise definition accordingly.

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