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MARC DISCUSSION PAPER NO. 2010-DP03

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DATE: December 14, 2009
REVISED:

NAME: Encoding the International Standard Name Identifier (ISNI) and the International Standard Text Code (ISTC) in the MARC 21 Bibliographic and Authority Format

SOURCE: British Library

SUMMARY: This paper explores options to encode the International Standard Name Identifier (ISNI) and the International Standard Text Code (ISTC) in the MARC 21 Bibliographic and Authority Format.

KEYWORDS: Field 024 (BD, AD); control subfield $0 (BD, AD); Other standard identifier (BD, AD)

RELATED: Proposal 2003-04

STATUS/COMMENTS:
12/14/2009 - Made available to the MARC 21 community for discussion.

1/17/10 - Results of MARC Advisory Committee discussion: The section on encoding the ISTC was removed from discussion to allow
for further investigation and, if appropriate, a discussion paper will be written for the next MARBI meeting. A proposal will be presented on ISNI. It was suggested that the solution be applicable for other identifiers as well. Another suggestion was to define ISNI in the MARC organization code list and use it the same way as we currently use Record control number in subfield $0 with an ISNI code in parentheses. Participants agreed not to use field 024 in the bibliographic format or subfield $1 for ISNI. There was some discussion about the position of subfield $0 and the issue will require further examination.


Discussion Paper No. 2010-DP03: Encoding the ISNI and the ISTC

1. BACKGROUND

1.2 The International Standard Name Identifier (ISNI)

“The International Standard Name Identifier (ISNI) is a draft ISO Standard (ISO 27729) whose scope is the identification of Public Identities of parties: that is, the identities used publicly by parties involved throughout the media content industries in the creation, production, management, and content distribution chains.  The ISNI provides a tool for disambiguating Public Identities that might otherwise be confused”. (http://www.isni.org)

The ISNI system will be administered by the ISNI Registration Authority.  It will be responsible for allocating an ISNI to a public identity; and manage and maintain the ISNI database.

The ISNI has reached Draft International Standard (DIS) stage; it is now out for vote with a deadline of 16 March 2010. The setting up of the Registration Authority is subject to a separate voting procedure by ISO TC46/SC9 member bodies. 

By relying on a unique identifier, the ISNI will provide a mechanism enabling automated processes between libraries, other data providers and different rights management societies. Recording the ISNI in MARC 21 bibliographic and authority records is part of that process.  It will enable more efficient management of rights monitoring and payments in the future.

The ISNIs used in the examples below are fictitious and for illustrative purposes only.

1.2 The International Standard Text Code (ISTC)

The International Standard Text Code (ISO 21047) is a global identification system for textual works that is primarily intended for use by publishers, bibliographic services, retailers, libraries and rights management agencies to collocate different manifestations of the same title under a work-level record.

The standard was formally published in March 2009 and the International ISTC Agency (http://www.istc-international.org) has started implementing the standard.

Encoding the ISTC in the MARC 21 formats was previously discussed as part of Proposal no. 2003-04: Definition of Field 024 (Other Standard Identifier) to the MARC 21 Authority Format.  However, some issues regarding how best to record the ISTC in the bibliographic and authority format remain unresolved.

The ISTCs used in the examples below are fictitious and for illustrative purposes only.

2. DISCUSSION

2.1 Encoding the ISNI in the bibliographic format

“An ISNI can be allocated to any entity that is or was either a natural person, a legal person, a fictional character, or a group of such entities, whether or not incorporated.  Further, ISNIs are assigned to the Public Identities of Parties that participe in the creation, production, management or distribution of cultural goods in the digital environment” (http://www.isni.org).

In the MARC 21 bibliographic format, the entity identified by the ISNI can therefore occur in the following fields:

Main entry fields
100, 110, 111 – Main entry – Personal, Corporate, and Meeting names

Subject Access fields
600, 610, 611 – Subject added entry – Personal, Corporate, and Meeting names
650 – Subject added entry – Topical term (for fictional characters)

Added entry fields
700, 710, 711 – Added entry – Personal, Corporate, and Meeting names

Series added entry fields
800, 810, 811 – Series added entry – Personal, Corporate, and Meeting names

Bibliographic field 024 – Other Standard Identifier could enable the recording of the ISNI.  The identifier can be encoded in 024 first indicator 7 subfield $a with subfield $2 recording the source of the identifier. Code “isni” would need to be added to the MARC Code lists for Relators, Sources, Descriptions (available at: //www.loc.gov/marc/relators/relahome.html)

However, using the 024 would always be ambiguous unless the record contained only one controlled name. This paper therefore does not propose the use of field 024 to record the ISNI in the bibliographic format

Recording the ISNI in all of the above fields in a consistent manner is a challenge as all alphabetical subfields have already been defined for other purposes. There are also few numerical subfields available:

This paper suggests using and augmenting the definition of subfield $0 Authority record control number. Whilst we are aware that re-defining a subfield also conflicts with MARC best practice, it was felt that there was enough commonality of purpose between authority record control numbers and standard identifiers such as the ISNI and the ISTC to justify recording them in the same subfield.

Subfield $0 was defined in Proposal 2007-06/1: Changes for the German and Austrian conversion to MARC 21 to encode the authority record number and thus facilitate the linking of headings in the bibliographic record to the appropriate authority records.  It is defined in Appendix A – Control subfields as follows:

$0 - Authority record control number
System control number of the related authority record preceded by the MARC code, enclosed in parentheses, for the agency to which the control number applies. See Organization Code Sources for a listing of sources used in MARC 21 records.

100 1#$aBach, Johann Sebastian.$4aut$0(DE-101c)310008891

Whilst the ISNI is not an authority record control number, it fulfills a similar purpose.  The ISNI uniquely identifies the entity encoded in the 1XX of the authority record, itself uniquely identified by the authority record control number.

This paper suggests revising the definition of subfield $0 as follows:

$0 – Authority control number
Subfield $0 contains either the system control number of the related authority record preceded by the MARC code, enclosed in parentheses, for the agency to which the control number applies or a standard identifier such as the International Standard Name Identifier (ISNI), International Standard Text Code (ISTC), etc.  See Organization Code Sources for a listing of organization source codes used in MARC 21 records.

(Note that Discussion Paper No.2010-DP02 also proposes a broader definition of $0 to accommodate another type of  linking text, URIs.)

Assigning a MARC organization code to the ISNI Registration Authority was considered, but deemed unnecessary.  The ISNI draft standard stipulates that “when an ISNI is written, printed, or otherwise presented in a human-readable format, it shall be preceded by the letters ISNI separated from the identifier by a space and the 16 digits shall be displayed as four blocks of four digits, with each block separated from the next by a space”.  Whilst authority record control numbers need to be made unique by the addition of the MARC code for the agency to which the control number applies, this is not the case for the ISNI; the prefix fulfills that function.

Examples of the use of the ISNI in subfield $0 in bibliographic records are as follows:

Example no.1
100 1# $aRendell, Ruth,$d1930-$0ISNI 8462 8328 5653 6435
245 14 $aThe monster in the box$cRuth Rendell.
260 ##$aLondon:$bHutchinson,$c2009.

Example no. 2
020 ## $a0140433260 (pbk.)$c£4.99
100 1# $aTrollope, Anthony,$d1815-1882.$0ISNI 1234 5678 9999 9799
245 10 $aDoctor Thorne /$cAnthony Trollope ; with an introduction and notes by Ruth Rendell.
260 ## $aLondon:$bPenguin,$c1991.
700 1# $aRendell, Ruth,$d1930-$0ISNI 8462 8328 5653 6435

Example no. 3
100 1# $aRowling, J. K.$0ISNI 0001 1123 5471 1467
245 10 $aHarry Potter and the deathly hallows /$cJ.K. Rowling
260 ## $aNew York:$bWest Side Inc.,$c2009.
650 #0 $aPotter, Harry (Fictitious character)$vFiction$0ISNI 0001 3256 2234 2229
710 2#$aWest Side Inc.$0ISNI 0000 1000 0000 1264

Example no. 4
110 2# $aBritish Broadcasting Corporation.$0ISNI 0023 0000 1001 1234
245 10 $aBuilding public value :$brenewing the BBC for a digital world.
260 ## $aGlasgow :$bBBC.,$c[2004?]
610 20 $aBritish Broadcasting Corporation.$0ISNI 0023 0000 1001 1234
650 #0 $aDigital television.

Example no. 5
100 1# $aLewis, C. S.$q(Clive Staples),$d1898-1963.$0ISNI 1112 7000 0000 0001
245 14 $aThe silver chair /$cC.S. Lewis.
490 1# Chronicles of Narnia
800 1# $aLewis, C. S.$q(Clive Staples),$d1898-1963.$tChronicles of Narnia.$0ISNI 1112 7000 0000 0001

2.2   Encoding the ISNI in the authority format

The ISNI can be assigned to entities which are recorded in the MARC 21 authority format in the following fields:

Heading fields
100, 110, 111 – Heading – Personal, Corporate, and Meeting names
150 (for fictional characters) – Heading – Topical term
151 (for jurisdictions).- Heading – Geographic term

See also from tracing fields
500, 510, 511 – See also from tracing – Personal, Corporate, and Meeting names
550 – See also from tracing – Topical term
551 – See also from tracing – Geographic term

Heading linking entry fields
700, 710, 711 – Established heading linking entry – Personal, Corporate, and Meeting names
750 – Established heading linking entry – Topical term
751 – Established heading linking entry – Geographic term

Field 024: Other standard identifier is also defined in the MARC 21 Authority format. It was specifically defined to record standard identifiers relevant to the entity described in the authority record (Proposal 2003-04). It can therefore be used to identify the entity recorded in fields 100, 110, 111, 150 and 151. As stated previously, code isni needs to be added to the MARC Code lists for Relators, Sources, Descriptions.

Example no.7:
010     $an  79056533
024 7# $aISNI 8462 8328 5653 6435$2isni
100 1# $aRendell, Ruth,$d1930-
670 ## $aHer From Doon with death, 1964.

Example 8
010 ##$an 79074359
024 7# $aISNI 0023 0000 1001 1234$2isni
110 2# $aBritish Broadcasting Corporation
410 2# $aBBC
670 ##$aIBA evidence to the Com. on Financing the BBC, 1985: $b leaf 24, etc. (operates under a charter; United Kingdom)

However, field 024 cannot be used to record the ISNI in the 5XXs and 7XXs listed above as well as the 1XXs. It would be difficult to associate the correct identifier to the appropriate entity.

This paper therefore suggests re-defining subfield $0 in the authority format in a similar way to the one outlined above for the bibliographic format.

Examples of use of subfield $0 in authority records are as follows:

Example no. 9
010     $an  79056533
024 7# $aISNI 8462 8328 5653 6435$2isni [ISNI for Ruth Rendell]
100 1# $aRendell, Ruth,$d1930-
500 1#$aVine, Barbara,$d1930$0ISNI 1422 4586 3573 0476 [ISNI for Barbara Vine]
670 ## $aHer From Doon with death, 1964.
670 ##$aHer A dark-adapted eye, 1986: $b CIP t.p. (Barbara Vine)
670 ##$aInfo. from pub., 1/28/86 $b (Barbara Vine is pseud. used by Ruth Rendell)

Example no. 10
024 7#$aISNI 6678 2322 0001 7533$2isni
100 0#$aAugustine,$cSaint, Bishop of Hippo [LAC English heading]
700 05$wa$aAugustin,$cSaint, évêque d’Hippone.$0(Ca00NL)0053A1978F#$0ISNI 6678 2322 0001 7533 [Corresponding LAC French heading]

2.3    Encoding the ISTC in the MARC 21 bibliographic format

Section 3.1, p. 9 of the International Standard Text Code (ISTC) User Manual (version 1.0) states:

“The International ISTC Agency recommends that publishers providing bibliographic metadata to other parties should include one or more ISTCs as attributes of each product record.

Proposal 2003-04 Definition of Field 024 (Other Standard Identifier) in the MARC 21 Authority Format suggested that field 024 in the bibliographic format would be an appropriate field in which to record the ISTC if desired, with the source of the identifier recorded in subfield $2. However, this caters for the simplest cases, where the bibliographic record only describes one work/expression, i.e. where the entity identified by the ISTC is recorded in fields 1XX/245, 1XX/240, 130. The ISTC recorded in field 024 can only relate to the main entry.

For example,

024 7# $aISTC 0A3 2009 012445C9 B$2istc [ISTC for the work “Winter in Madrid”]
100 1# $aSamson, C. J.
245 10 $aWinter in Madrid /$cC.J. Samson.
260## $aLondon:$bPan,$c2006.

024 7# $aISTC 0A3 2009 12B4A105 7$2istc [ISTC for the work “Alice in Wonderland”]
100 1# $aCarroll, Lewis,$d1832-1898.
240 10 $aAlice in Wonderland
245 10 $aAlice's adventures in Wonderland.

024 7# $aISTC 0A3 2009 000C299F D$2istc [ISTC for the work “Cinderella” in Greek]
130 0# $aCinderella.$lGreek.
245 10 $aHe pentamorphe kai to teras :$bhena trisdiastato vivlio /$ceikonographese, John Patience.
700 1# $aPatience, John.

Field 024 cannot be used unambiguously when the bibliographic record describes or references more than one work/expression. For example, when describing a collection of works or describing a work and referencing a related work (criticism, adaptation, etc.), i.e. when it is also necessary to identify a work/expression encoded in the following fields:

Subject Access fields
600, 610, 611 – Subject added entry – Personal, Corporate, and Meeting names
630 – Subject added entry – Uniform title

Added entry fields
700, 710, 711 – Added entry – Personal, Corporate, and Meeting names
730 - Added entry – Uniform title

Series added entry fields
800, 810, 811 – Series added entry – Personal, Corporate, and Meeting names
830 – Series added entry – Uniform title

To enable the identification of related resources by ISTC, it would also be necessary to associate the ISTC with the appropriate heading in the bibliographic record.

The ISTC could be recorded in subfield $0 in a way similar to the one suggested for the ISNI above. Again, the display rules for the standard stipulates that the identifier proper should be preceded by the letters ISTC, thus making the assignment of a MARC organization code for the ISTC International Agency redundant.

Examples of the use of the ISTC in subfield $0 in bibliographic records are as follows:

Example no. 11
024 7# $aISTC 0A3 2009 012555D8 C$2istc [ISTC for the work “Dickens’ new stories”]
100 1# $aDickens, Charles,$d1812-1870.
240 10 $aHard times$0ISTC 0A3 2009 012523G3 E [ISTC code for the work “Hard times”]
245 10 $aDickens’ new stories.
505 0# $aHard times -- Pictures from Italy.
700 12 $aDickens, Charles,$d1812-1870.$tPictures from Italy.$0ISTC 0A3 2009 012446F2 B [ISTC code for the work “Pictures from Italy”]

[collection of two works by one author]

Preliminary advice from the UK ISTC Registration Agency indicates that a physical publication of several distinct works would not qualify for its own ISTC unless it included additional material or the selection and arrangement of the works was considered to involve some level of intellectual or creative input that warranted crediting whoever was responsible.

Example no. 12
024 7# $aISTC 0A3 2009 12355D67 A$2istc [ISTC code for the work “Beowulf and the illusion of history”]
100 1# $aVickrey, John F.,$d1924-
245 10 $aBeowulf and the illusion of history /$cJohn F. Vickrey.
630 00 $aBeowulf.$0ISTC 0A4 2007 5436B984 6 [ISTC code for the work “Beowulf”]
650 #0 $aEpic poetry, English (Old)$xHistory and criticism.

[critical work on Beowulf]

Example no. 13
024 7# $aISTC 0A9 2009 56D23A28 7$2istc [ISTC code for the work “Charles Dickens’s David Copperfield”]
100 1# $aCording, Alastair.
245 10 $aCharles Dickens’s David Copperfield /$cadapted by Alastair Cording.
700 1# $aDickens, Charles, $d1812-1870.$tDavid Copperfield.$0ISTC 0A9 2008 214C2357 A [ISTC code for the work “David Copperfield” by Charles Dickens]

[adaptation of David Copperfield by Charles Dickens]

Example no. 14
024 7# $aISTC 0A3 2009 234B7489 9$2istc [ISTC code for the work “The manuscript of …”]
100 1# $aWilson, John Dover,$d1881-1969.
245 14 $aThe manuscript of Shakespeare’s Hamlet and the problems of its transmission :$b an essay in critical bibliography /$cby John Dover Wilson.
600 10 $aShakespeare, William,$d1564-1616.$tHamlet$xBibliography.$0ISTC 0A5 2008 7776C54D 8 [ISTC code for the work “Hamlet”]
600 10 $aShakespeare, William,$d1564-1616.$tHamlet.$0ISTC 0A5 2008 7776C54D 8 [ISTC code for the work “Hamlet”]
600 10 $aShakespeare, William,$d1564-1616.$tHamlet$xCriticism textual. $0ISTC 0A5 2008 7776C54D 8 [ISTC code for the work “Hamlet”]
650 #0 $aHamlet (Legendary character)$xBibliography.

[critical work on Shakespeare’s Hamlet]

Example no. 15
024 7# $aISTC 0A4 2009 124567B3 6$2istc [ISTC for the work “The silver chair”]
100 1# $aLewis, C. S.$q(Clive Staples),$d1898-1963.
245 14 $aThe silver chair /$cC.S. Lewis.
490 1# Chronicles of Narnia
800 1# $aLewis, C. S.$q(Clive Staples),$d1898-1963.$tChronicles of Narnia.$0ISTC 0A3 2009 356633D2 4 [ISTC code for the work “Chronicles of Narnia”]

[ISTC for a Personal author series]

Example no. 16
024 7# $aISTC 0A3 2009 12B4A105 7$2istc [ISTC code for the work “Alice in Wonderland”]
100 1# $aCarroll, Lewis,$d1832-1898.
240 10 $aAlice in Wonderland$0ISTC 0A3 2009 12B4A105 7 [ISTC code for the work “Alice in Wonderland”]
245 10 $aAlice's adventures in Wonderland.

[The ISTC can be recorded in both field 024 and subfield $0 in field 240. See question section]

Further examples of use of subfield $0 for both the ISNI and ISTC are as follows:

Example no. 17
024 7# $aISTC 0A3 2009 234B7489 9$2istc
100 1# $aWilson, John Dover,$d1881-1969.$0ISNI 1002 1234 5643 9765
245 14 $aThe manuscript of Shakespeare’s Hamlet and the problems of its transmission :$b an essay in critical bibliography /$cby John Dover Wilson.
600 10 $aShakespeare, William, $d1564-1616.$tHamlet$xBibliography.$0ISNI 0002 7356 2145 7453$0ISTC 0A5 2008 7776C54D 8
600 10 $aShakespeare, William,$d1564-1616.$tHamlet.$0ISNI 0002 7356 2145 7453$0ISTC 0A5 2008 7776C54D 8
600 10 $aShakespeare, William,$d1564-1616.$tHamlet$xCriticism textual.$0ISNI 0002 7356 2145 7453$0ISTC 0A5 2008 7776C54D 8
650 #0 $aHamlet (Legendary character)$xBibliography.$0ISNI 0003 6521 8567 8531

Example no. 18
024 7# $aISTC 0A9 2009 1357C985 D$2istc
245 00 $aBrontë sisters.
505 0# $aJane Eyre / Charlotte Brontë -- Wuthering Heights / Emily Brontë --
 Agnes Grey / Anne Brontë.
700 12 $aBrontë, Charlotte,$d1816-1855.$tJane Eyre.$0ISNI 0001 9356 1357 9843$0ISTC 0A9 2009 1256E457 C
700 12 $aBrontë, Emily,$d1818-1848.$tWuthering Heights.$0ISNI 0001 4236 8113 8492$0ISTC 0A9 2009 1325A415 7
700 12 $aBrontë, Anne,$d1820-1849.$tAgnes Grey.$0ISNI 0001 3583 9665 8539$0ISTC 0A9 2009 1834D523 A

Issue with current cataloguing practices

The options outlined above enable the recording of the ISTC in most circumstances, but not all.  For example, for collections with a collective title of three or more works but only two or three persons or bodies responsible, AACR2 does not require that all works are provided with a controlled access point. Similarly for some collections without a collective title.  For example, collections of two works by a single author where the title proper matches the form of the uniform title of the first named work, collection of three or more works by a single author; collections by more than one author.

Example no. 19
024 7# $aISTC 0A9 2009 16780076 5$2istc [ISTC for the collection “King John ; The tragedy of King Richard the Third]]
100 1   $aShakespeare, William,$d1564-1616.
245 10 $aKing John ;$bThe tragedy of King Richard the Third.
700 12 $aShakespeare, William,$d1564-1616.$tRichard III. $0 [ISTC for Richard III]

[collection by one author without a collective title]

Field 024 records the ISTC for the collection, subfield $0 records the ISTC for the work “Richard III”. There is nowhere to record the ISTC for the work “King John”, unless an additional added entry is provided.

Example no. 20
024 7# $aISTC 0A8 2008 15679D53 5$2istc
100 1   $aHutson, Shaun,$d1958-
240 10 $aSelections$0ISTC a0A8 2008 15679D53 5
245 10 $aSlugs ;$bSpawn ; Erebus /$cShaun Hutson.
700 12 $aHutson, Shaun,$d1958-$tSpawn.$0ISTC 0A9 2009 7554A321 C
700 12 $aHutson, Shaun,$d1958-$tErebus.$0ISTC 0A9 2009 886C7652 D

[collection of three works by one author without a collective title]

The ISTC for the collection can potentially be recorded in two places, the 024 and the 240. There is nowhere to record the ISTC for the work “Slugs”, unless an additional added entry is provided.

Example no. 21
024 7# $aISTC 0A2 2009 345D3357 8$2istc
100 1   $aVizinczey, Stephen.
245 10 $aIn praise of older women /$cStephen Vizinczey.  Feramontov /
Desmond Cory. The graveyard shift / Harry Patterson.
700 12 $aCory, Desmond.$tFeramontov.$0ISTC 0A3 2008 1324A5D2 7
700 12 $aPatterson, Harry.$tGraveyard shift.$0ISTC 0A9 2009 56B45638 5

[collection by more than one author without a collective title]

The ISTC of the collection is recorded in the 024. There is nowhere to record the ISTC for the work “In praise of older women”, unless an additional added entry is provided.

2.4   Encoding the ISTC in the MARC 21 authority format

As stated in Proposal 2003-04, the ISTC can be recorded in field 024 in the authority format to identify the entity recorded in the 1XX.

However, it is not sufficient to enable the identification of entities encoded in fields 5XX and 7XX. This paper suggests using subfield $0 in the same way as has been suggested previously for the ISNI in the authority format.

Example no. 22:
024 7# $aISTC 0A3 2008 1637888C 4$2istc
130 #0 $aBible.$p.O.T. [LAC English heading]
730 #5 $wa$aBible.$p.A.T.$0(CaOONL)0004E5217F#$0ISTC 0A4 2008 56D23185 8 [Corresponding LAC French heading]

3. QUESTIONS

3.1  Is it appropriate to re-define subfield $0 to record standard identifiers such as the ISNI and the ISTC in the MARC 21 bibliographic and authority format? Subfield $0 is also defined in the Classification format and the Community format.

3.2  Should subfield $1 be used instead?

3.3  Does the committee agree that field 024 should not be used to record the ISNI in the bibliographic format?

3.4  Should the MARC bibliographic format enable only the identification of the work described, using the 024 or the work described and related works as per ISTC International Agency’s guidelines?

3.5  If the same ISTC can be recorded in both the 024 and subfield $0 of the 240/130, should it be recorded in the 024 only, subfield $0 of the 240/130 only or both (example no.16)?

3.6  Would the ISNI/ISTC need to be repeated in every LCSH string? (see example no. 14, 17)

3.7  Is there a need to record the ISTC in Series added entries? (see example no. 15)

3.8  Should the ISTC also be recorded in the linking entry fields 76X-78X? If yes, would this require subfield $0 to be defined in that field range or would subfield $o Other item identifier be sufficient?

3.9  Does the position of subfield $0 within a field matter?


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