DATE: June 16, 1997

NAME: Current uses of the 028 (Publisher Number) and the 037 (Source of Acquisition) in the Bibliographic Format

SOURCE: Music Library Association & Online Audiovisual Catalogers

SUMMARY: This paper explores the current uses of the 028 (Publisher Number) and the 037 (Source of Acquisition) for publisher numbers and considers possible changes to the fields to allow for more consistent recording and less redundancy of the information.

KEYWORDS: Field 028; Field 037; Publisher Number; Source of Acquisition



6/16/97 - Forwarded to USMARC Advisory Group for discussion at the 1997 Annual MARBI meetings.

6/30/97 - Results of USMARC Advisory Group discussions - Advisory Group discussion indicated a need to consider a proposal based on option 1 in the DP. The definition of 028 would be only narrowly extended so that it included publisher numbers for music related material, and a rule formulated for what to do if this is not clear on the item.

DISCUSSION PAPER NO. 103:  Current uses of the 028 
(Publisher Number) and the 037 (Source of Acquisition) 


Music Publisher Numbers on Textual Material

This paper discusses recording of publisher numbers and stock
numbers in fields 028 (Publisher number) and 037 (Source of
Acquisition).  The Music Library Association (MLA) and the Online
Audiovisual Catalogers (OLAC), Inc. have requested that the USMARC
Advisory Group consider several issues.   They are finding
Publisher numbers that once were used only for music and sound
recordings are also used on textual books issued by music
publishers.  This raises the question of where these numbers should
be recorded in the record.  

Field 028, which was established specially for Music publisher
numbers, specifies its use is limited to sound recordings, printed
music, and videorecordings; thus textual book material would be
excluded.  The alternative is the use of field 037, which includes
a stock number and is not limited to any form of material.  While
that appears to be a suitable place for the numbers, the music and
audiovisual material catalogers do not want to use it because it is
often not indexed, and the numbers assigned by music publishers
seem to be important enough bibliographically, to warrant having
them indexed.  Most utilities and local systems index field 028 but
not 037.  It should be noted that the indexing aspect has been an
important issue with the performing arts community and was a factor
in choosing to add videorecordings to 028 in 1992.  Some agencies
are putting these publisher numbers in field 500.

Record created 1995:
     028   30$aED 8152$bSchott
     028   30$aBSS 47 838$bSchott
     037   ##$aED 8152$bSchott
     245   10$aExperimental Pianisrik :$b...
     260   ##$a New York :$bSchott ;$cc1994.
     500   ##Publisher's no.: 23214
           Mostly textual book on criticism and interpretaion.  BSS
           numbers appear on scores as both plate and publisher
           numbers.  The ED numbers are publisher numbers, also
           found on scores.

Record created 1990:
     245   14$aThe jewels of the Madonna :#bopera in ...
     260   ##$a New York :$bG.Schirmer ;$b...
     500   ##Publisher's no.: 23214
     Textual book containing libretto.  Publisher number found on
     verso of the title page.  Field 500 used.

Record created 1994:
     245   10$aMusikalische Koexistenz :#bopera in ...
     260   ##$aMainz :$bSchott Musikwissenschaft ;$c...
     500   ##Publisher's no.: ED 8073
     Textual book of history and criticism.  Field 500 used.

Videorecording Numbers

There is also a difficulty with videorecording numbers that are to
be recorded in field 028.  At the time that field was extended to
include videorecording numbers it was claimed that the
videorecording publisher numbers cound be distinguished from other
numbers that might appear on an item.  But with more experience,
catalogers seem to be having difficulty distinguishing them from
other numbers.  It is often not clear whether a videorecording
number is a publisher number or a stock number. Again, because of
the desire to assure that a number is indexed, catalogers are using
028 for some videorecording numbers that they believe to be stock,
not publisher numbers.

Record created 1995:
     037   ##$a09026-62715-3$bRCA Victor
     245   00$aMozart two serenades.$h[videorecording]
     Field 028 with indicator value 4 should have been used for the

Record created 1995:
     028   42$a09026-62706-6$bRCA Victor Gold Seal
     245   00$aHeifetz$h[videorecording]
     Field 028 used correctly.

Indentification Numbers in the Format

Number identifiers have always been a difficult area in the format,
because of the similarity of so many numbers yet the desire by
special groups to have certain numbers specially identified.  The
format has tended to break out the "broadly" standardized numbers,
including the music publisher number as one of those.  Field 037
contains source of acquisition information for the item in hand or
its reproduction.  Field 037 also tries to clarify other places a
number might go before using 037:

   - Government agency assigned numbers that can be used for
     classification purposes are not carried in field 037 field;
     they are contained in field 086 (Government Document
     Classification Number).

   - The ISBN, ISSN, and publisher's numbers for sound recordings,
     printed music, and videorecordings 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.  

   - Other standard numbers or codes published on an item, such as
           International Standard Recording Number
           Universal Product Code
           Internatinal Standard Music Number
           International Article Number
           Serial Article and Contribution Identifier
           Other standard numbers
     are not accommodated in field 037; they are contained in field
     024 (Other Standard Number or Code).

   - For computer files, archival identification or order numbers
     assigned by a distributor are recorded in field 037, whereas
     the original study number assigned by the producer is recorded
     in field 036 (Original Study Number for Computer Data Files).

   - The different and unrelated Government Printing Office stock
     numbers assigned by GPO to each issue of a serial are carried
     in field 074.

Thus there are some identifying numbers that are recorded in
specific fields, and field 037 is the default if no specific
location applies.

Fields 028 and 037

Fields 028 and 037 are defined as follows:

028   Publisher Number  (R)
     First Indicator       Type of publisher number
           0    Issue number
           1    Matrix number
           2    Plate number
           3    Other publisher number
           4    Videorecording number
     Second Indicator      Note/added entry controller
           0    No note, no added entry
           1    Note, added entry required
           2    Note, no added entry
           3    No note, added entry required
     Subfield Codes
     $a    Publisher number  (NR)
     $b    Source  (NR)
     $6    Linkage  (NR)

037   Source of Acquisition  (R)
     Indicators       Both undefined
     Subfield Codes
     $a    Stock number  (NR)
     $b    Source or stock number/acquisition  (NR)
     $c    Terms of availability  (R)
     $f    Form of issue  (R)
     $g    Additional format characteristics  (R)
     $n    Note  (R)
     $6    Linkage  (NR)


Possible options discussed by the MLA and the OLAC for attaining
consistant placement and indexing of numbers pertaining to music
publisher books and to videorecordings are the following.

Option 1:
     Expand the definition of the 028 to include publisher numbers
     found on any typr of material material.
This option has the advantage of permitting all publisher numbers
in field 028, rather than limiting it to sound recordings, printed
music and videorecordings.  

Option 1a:
     Expand the definition of first indicator value 3 ("Other
     publisher number") to include publisher numbers found on
     material in any format (excluding those covered by other
     indicator values).
Expanding the definition of first indicator value 3 would require
only a scope note change and any related changes to system
validation tables (if they exist; since Format Integration defined
fields across forms of material, this may not be an issue).  

Option 1b:
     Define a new first indicator value 5 for numbers on items that
     are not sound recordings, printed music, and videorecordings. 
Defining a new first indicator value would allow value 3 to
continue to represent only those publisher numbers found on printed

Regardless of which option, 1a or 1b, is selected, consistency in
treatment and/or redundancy may still be a problem as this option
still leaves to the cataloger's judgment the issue of determining
which numbers are publisher numbers and which are stock numbers.

Option 2
     Redefine field 028 to include the information previously in
     field 037 and make field 037 obsolete.

This option has the advantage of removing the need to decide
whether the number is a publisher number or a stock number.  As a
result, all such numbers would be consistently placed in the same
field and there could be less redundancy, since it would no longer
be possible to record the information in both fields.  It is
presumed that the reasons for not indexing field 037 would not
discourage the indexing of 028.  One of the existing indicators
such as the current 3 (Other publisher number) or a new one such as
value 5 (Stock number) might need to be defined to avoid the
indexing problem.  Then the choice of field would, however, become
a choice of subfield.  Subfields $b, $c, $f, $g, and $n of the 037
would need to be defined in the new 028 field.  The major
disadvantage of this option is that data will still exist in both
fields unless older records containing field 028 are changed.

The MLA and OLAC prefer Option 1.  In MLA there was about twice as
much support for Option 1 than Option 2, and in OLAC there was
generally equal support for both options.


1.  What are the implications for removing the restrictions and
allowing other kinds of publisher's numbers in field 028?

2. What are the implications for combining fields 028 and 037 for
all kinds of numbers?

3. Can there be clearer guidelines between what is recorded in the
028 and the "stock numbers" currently recorded in field 037?  What
is the difference between a publisher number and a stock number? 
Is the difference just in the function the number serves?

4. If both fields are retained, should a cataloger determine
whether a number is bibliographically significant in choosing the
field to use? Is the only distinction between using the two fields
whether to index the number or not?

5. If there is a number on a videorecording and a different number
on the videorecording's guide, should they be recorded in the same
field or different ones (field 028, 500, or 037)?

6. Should the "No." preceding a number be used in field 028? What
about "AHA cat. no. 12345?"

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