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DATE: May 27, 2016
NAME: Extending the Encoding Level in the MARC 21 Authority Format
SOURCE: German National Library
SUMMARY: This paper proposes a way of extending Leader position 17 - Encoding level in combination with field 042 (Authentication Code) in the MARC Authority format.
KEYWORDS: Encoding level (AD), Leader/17 (AD), Field 042 (AD); Authentication Code (AD)
05/27/16 – Made available to the MARC community for discussion.
06/26/16 – Results of MARC Advisory Committee discussion: Some concern was raised about mixing different types of data in a single 042 subfield $a, and an additional subfield $b was discussed. However, upon consulting the MARC Authentication Action Code List, MAC realized that the current list contains an assortment of agency, organization, and project names that may imply a level of authentication. Therefore, seven new codes will be assigned by NDMSO which will address the German National Library's requirements. It was agreed that a new code for leader position 17 "Encoding level" is not needed. There is no further MAC action necessary; the Discussion Paper is withdrawn.
When four large authority files used in German speaking countries were merged into one "Integrated Authority File" ("Gemeinsame Normdatei" or "GND") in 2012, MARC 21 was chosen as the format for cataloging, with some additions and modifications, based on cataloging traditions in German speaking countries. On the level of the exchange format, librarians have encountered the use of several local fields and subfields. After three years of consolidation, these elements were evaluated to determine their potential appeal as part of the MARC 21 communication standard. The German National Library presented a series of discussion papers during the meetings of the MARC Advisory Committee in January 2016. Based on the valuable discussion, this follow-up discussion paper has been written and is now presented to the MARC Advisory Committee.
In MARC Authority records of the GND each record has an encoding level, located on a scale between 1 and 7. Each of the different levels expresses both the completeness of a record and the rights and restrictions that apply based on the coordinated editorial concept of the GND.
The encoding level is cataloged in Pica3 field 005 position 3, and stored in Pica+ field [email protected] subfield $0 position 3. Up to now the encoding level is communicated in MARC 21 in a "local" field 079 subfield $c, by appointment of all GND partners.
Information about the meaning of the codes from 1 to 7 is available online at:
https://wiki.dnb.de/download/attachments/50759357/005.pdf (PDF, 5 pages, 48 KB, in German language only).
Paraphrasing the German text, the seven levels carry the following meanings:
Level 1: "Full - editorial center, regional / specialist"
The record has been created or modified by editorial staff in a regional network center or specialist center. It contains all data elements needed to fulfil the standards. Field 1XX is formulated according to valid rules.
Level 2: "Full - editorial center, local"
The record has been created or modified by editorial staff in a local institution. It contains all data elements needed to fulfil the standards. Field 1XX is formulated according to valid rules.
Level 3: "Full - professional"
The record has been created or modified by professional staff outside of an editorial center. It contains all data elements needed to fulfil the standards. Field 1XX is formulated according to valid rules.
Level 4: "Less than full - para-professional"
The record has been created or modified by para-professional staff outside of an editorial center. It contains data elements needed to fulfil the standards as far as feasible. Field 1XX is not always formulated according to valid rules.
Level 5: "Less than full - other"
The record has been created or modified by other staff. It contains some, but not all data elements needed to fulfil the standards. Field 1XX is not always formulated according to valid rules.
Level 6: "Legacy data"
The record has been taken over from a separate data base containing legacy data by a machine process. Some bibliographic information has been included. Field 1XX is not always formulated according to valid rules. Otherwise mandatory fields may be missing. Machine deduplication has partly been performed.
Level 7: "Converted"
The record has been created based on converted metadata. Field 1XX is not always formulated according to valid rules. Otherwise mandatory fields may be missing.
Up to now the encoding level is coded in Leader position 17 of the MARC Authority format:
17 - Encoding level
Whether the authority record is complete.
A record, where complete or incomplete, that is being considered for modification after its initial creation is identified by code b (Record is being updated) in field 008/31 (Record update in process).
n - Complete authority record
Record meets national-level record requirements for content and content designation.
o - Incomplete authority record
Authority record is incomplete because it does not yet contain all the information needed for a complete record. The record may or may not meet the national-level record requirements.
In the first version of this Discussion Paper, seven new codes ("a" through "g") were proposed, to cover each of the seven levels seperately. During the discussion by the MARC Advisory Committee it became clear that this method did not seem to leave much room for further expansion by other communities should the need arise in the future. It was suggested instead that field 042 (Authentication Code) be used to denote encoding levels as an alternative. A combination of a code in Leader position 17 pointing to field 042 will provide a flexible way of expressing encoding levels in field 042.
In addition, it was suggested that subfield $2 be defined in the 042 so that the source and therefore local applicability of encoding levels could be flagged. This suggestion was analyzed, but not further developed, because 042 is generally expressing a segmented level, so no specified source has to be assigned.
Having taken the suggestions into account, we now propose one new value for position 17 of the Leader:
a - Encoding level given in field 042 - Authentication Code
In combination with this code, seven new codes for 042 $a would have to be assigned by the Library of Congress' Network Development and MARC Standards Office and included into the "MARC Authentication Action Code List" online at http://www.loc.gov/standards/valuelist/marcauthen.html.
Example 1: Encoding level 1 - Full - editorial center, regional / specialist:
LDR 00855nz a2200301a 4500
024 7# $ahttp://d-nb.info/gnd/1076599206$2uri
035 ## $a(DE-101)1076599206
035 ## $a(DE-588)1076599206
040 ## $aDE-12$9r:DE-384$bger$d8999$frswk
042 ## $a[Code for GND level 1]
079 ## $ag$bs$c1$qs$vsaz
150 ## $aMaktab
450 ## $aMaktabeh
450 ## $aMaktabkhaneh
450 ## $aMakteb
450 ## $aMekteb
450 ## $aMektep
450 ## $aMeqteb
450 ## $aMaqtab
450 ## $aKuttab
550 ## $0(DE-101)04053474X$0(DE-588)4053474-1$aSchule$94:obge $wr$iOberbegriff generisch
550 ## $0(DE-101)040277437$0(DE-588)4027743-4$aIslam$94:rela $wr$iRelation allgemein
670 ## $aWikipedia (engl.)
679 ## $aislamische Grundschule
Example 2: Encoding level 2 - Full - editorial center, local:
LDR 00750nz a2200229a 4500
024 7# $ahttp://d-nb.info/gnd/107725542X$2uri
035 ## $a(DE-101)107725542X
035 ## $a(DE-588)107725542X
040 ## $aDE-611$9r:DE-611$bger$d0103$erda
042 ## $a[Code for GND level 2]
079 ## $ag$bp$c2$qz$uk$vpiz
100 1# $aKornerup, Else$d1897-1973
375 ## $a2$2iso5218
550 ## $0(DE-101)042586976$0(DE-588)4258697-5$aAutorin$94:beru $wr$iBeruf
551 ## $aLaurbjerg$94:ortg$wr$iGeburtsort
551 ## $0(DE-101)95833949X$0(DE-588)4577892-9$aGentofte$94:orts $wr$iSterbeort
670 ## $aDänisches Wikipedia
Example 3: Encoding level 3 - Full - professional:
LDR 00635nz a2200193a 4500
024 7# $ahttp://d-nb.info/gnd/1077216858$2uri
035 ## $a(DE-101)1077216858
035 ## $a(DE-588)1077216858
040 ## $aDE-Kn3$9r:DE-1$bger$d5000$erda
042 ## $a[Code for GND level 3]
079 ## $ag$bf$c3$qf$vvie
111 2# $aExhibition Mark Boulos$gVancouver B.C.
551 ## $0(DE-101)041193644$0(DE-588)4119364-7$aVancouver $gBritish Columbia$94:ortv$wr$iVeranstaltungsort
670 ## $aVorlage
Example 4: Encoding level 4 - Less than full - para-professional:
LDR 00617nz a2200193a 4500
024 7# $ahttp://d-nb.info/gnd/1076011470$2uri
035 ## $a(DE-101)1076011470
035 ## $a(DE-588)1076011470
040 ## $aDE-105$9r:DE-576$bger$d0105$erda
042 ## $a[Code for GND level 4]
079 ## $ag$bb$c4$qf$vkiz
110 2# $aUK National Ecosystem Assessment
410 2# $aUK NEA$94:abku$wr$iAbkuerzung$eAbkuerzung
551 ## $0(DE-101)040093514$0(DE-588)4009351-7$aCambridge$94:orta $wr$iOrt
670 ## $aHomepage$uhttp://uknea.unep-wcmc.org/
Example 5: Encoding level 5 - Less than full - other:
LDR 00776nz a2200193a 4500
024 7# $ahttp://d-nb.info/gnd/1043940618$2uri
035 ## $a(DE-101)1043940618
035 ## $a(DE-588)1043940618
040 ## $aDE-547$9r:DE-601$bger$d0547
042 ## $a[Code for GND level 5]
079 ## $ag$bu$c5$qf$vwim
100 1# $aAchron, Joseph$d1886-1943$tMusic for "Kiddush Hashem"
400 1# $aAchron, Joseph$d1886-1943$tIncidental music for "Kiddush Hashem"
500 1# $0(DE-101)12857660X$0(DE-588)12857660X$aAchron, Joseph $d1886-1943$94:kom1$wr$iKomponist1$eKomponist1
Example 6: Encoding level 6 - Legacy data:
LDR 00585nz a2200217a 4500
024 7# $ahttp://d-nb.info/gnd/7837181-8$2uri
035 ## $a(DE-101)1016330154
035 ## $a(DE-588)7837181-8
035 ## $z(DE-588c)7837181-8$9v:zg
040 ## $aDE-576$9r:DE-576$bger$d1501
042 ## $a[Code for GND level 6]
079 ## $ag$bg$c6$qs$vgik
151 ## $aVor der Hart
451 ## $aRenningen-Vor der Hart
670 ## $aONDB
679 ## $aWohnplatz
Example 7: Encoding level 7 - Converted:
LDR 00374nz a2200145a 4500
024 7# $ahttp://d-nb.info/gnd/1077205503$2uri
035 ## $a(DE-101)1077205503
035 ## $a(DE-588)1077205503
040 ## $aDE-101$9r:DE-101$bger$d9999
042 ## $a[Code for GND level 7]
079 ## $ag$bn$c7$qf$uv
100 1# $aBode, Mark
Impact would be on MADS RDF, but no impact unless this practice is carried forward. It could necessitate additional properties in the administrative metadata area.
5.1. Is the need of designating the encoding level clearly given?
5.2. Can the issue be solved by a format element already available in the MARC Authority format?
5.3. Can a format solution like the new value in Leader position 17 - Encoding Level in combination with 042 (Authentication Code) solve the issue?
5.4. Are there any potential problems that should be taken into account?
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