Mapping MARC to FRBR

Functional Analysis of the MARC 21 Bibliographic and Holdings Formats Prepared for the Network Development and MARC Standards Office Library of Congress by Tom Delsey February 2002 www.loc.gov/marc/marc-functional-analysis/home.html Presentation based on analysis of MARC 21 formats done for LC in 2002 Full study posted on LC web site

Background Objectives and Approach Clarify the relationship of MARC 21 to the FRBR and AACR models Extend the FRBR model to account for all data elements in MARC 21 Relate individual data elements to user tasks Highlight key issues for future development of the MARC 21 formats Presentation focuses on first two objectives Highlights one issue for future development – multiple versions

FRBR Model IFLA Study Group on the Functional Requirements for Bibliographic Records PERSON CORPORATE BODY WORK EXPRESSION MANIFESTATION ITEM CONCEPT OBJECT EVENT PLACE FRBR entities: Group 1: products of intellectual and artistic endeavour: work, expression, manifestation, item Group 2: those responsible for intellectual and artistic content, physical production and dissemination, or custodianship: person, corporate body Group 3: subjects of works: concept, object, event, place, person, corporate body, work, expression, manifestation, item

Extending the FRBR Model Additional attributes defined for FRBR entities WORK EXPRESSION MANIFESTATION ITEM PERSON CONCEPT CORPORATE BODY Additional attributes for FRBR entities derived from analysis of MARC 21: WORK – nature of work, purpose of work, source of work EXPRESSION – symbology, scale (technical drawings), quality of data set MANIFESTATION – date of production, reformatting quality, hours of availability ITEM – date of acquisition, acquisition price, location of item, reproduction restrictions PERSON – biography CORPORATE BODY – history, address EVENT – type of event, time/date of event, location of event OBJECT EVENT PLACE

Extending the FRBR Model Additional entities related to work TASK WORK UNIT PROJECT PROGRAM CONTRACT Additional entities related to work derived from analysis of MARC 21: TASK/PROJECT/PROGRAM – identifier WORK UNIT – identifier CONTRACT/GRANT – identifier CURRICULUM – curriculum objective STUDY PROGRAM – identifier, name CURRICULUM GRANT STUDY PROGRAM

Extending the FRBR Model Additional entities related to item ACTION Additional entities related to item derived from analysis of MARC 21: ACTION – action identifier, action status, time/date of action, method of action, site of action AUTHORITY – citation for authority POSITION – title of position AUTHORITY POSITION

Extending the FRBR Model Additional processing entities RECORD SEGMENT FIELD Additional entities related to data processing derived from analysis of MARC 21: RECORD – type of record, record status, encoding level SEGMENT – segment identifier, type of segment FIELD – type of field, length of field, function of field, field encoding level DATA ELEMENT – type of data element, source of data element, language of data element DATA ELEMENT

Statistical Summary MARC data elements mapped to entity attributes defined in FRBR 1XX/6XX/7XX/8XX 240-245 5XX, 76X-78X 006/008 034/047/048 WORK 286 1XX/6XX/7XX/8XX 254/255/256, 342/343, 5XX, 76X-78X 006/007/008, 034/041 EXPRESSION 156 0XX 210-247, 250/257/260/270 300/340/362 5XX, 76X-78X 006/007/008 044/046 85X-87X MANIFESTATION WORK 1XX, etc. – title, form, date, other distinguishing characteristic, medium, key 240-245 – title, date 5XX, 76X-78X – issued with , successor , supplement , index  006/008 – form, nature, intended audience 0XX – coordinates, form, medium EXPRESSION 1XX, etc. – language, arrangement 25X – type of score, projection, scale, extent of expression 3XX – geo-spatial data, planar data 5XX – language, critical response, regularity, frequency 76X-78X – translation , other edition  006/007/008 – form, language, projection, type of score, extent of expression 0XX – language, scale MANIFESTATION 0XX – manifestation identifier 2XX – title, statement of responsibility, edition statement, publication/distribution 3XX – physical attributes (extent, dimensions, physical medium), numbering 5XX, 76X-78X – reproduction , alternate format  006/007/008 – date of publication, form of carrier, physical medium, dimensions, playing speed, etc. 04X – place of publication, date of publication 85X-86X – numbering ITEM 0XX – item identifier 5XX – provenance, marks/inscriptions, exhibition history, condition, related item  85X-87X – item identifier, access restrictions 528 0XX, 5XX, 85X-87X 76 ITEM

Statistical Summary MARC data elements mapped to entity attributes defined in FRBR 1XX, 6XX, 7XX, 8XX 25 PERSON 1XX, 6XX, 7XX, 8XX 533/535/544 843 CORPORATE BODY 40 6XX, 754 13 CONCEPT PERSON 1XX, etc. – name, date, title, other distinguishing characteristic CORPORATE BODY 1XX, etc. – name, place, date 5XX – name 843 – name CONCEPT 6XX, 754 – term EVENT 5XX, 6XX, 045 – term PLACE 5XX, 6XX, 752, 0XX – term 513/518, 6XX, 045 17 EVENT 052, 522, 6XX, 752, 043 PLACE 22

Statistical Summary MARC data elements mapped to newly defined attributes for FRBR entities 502/513/562, 006/008 22 WORK 507/514/ 552/565/567 007 EXPRESSION 42 257/260/263/270 300/307/340/351 501/533/538 006/008, 007 85X-87X ‡3 MANIFESTATION WORK 5XX – purpose 006/008 – source, purpose, nature EXPRESSION 5XX – scale, quality of data set, entities & attributes, case file characteristics 007 – sound characteristics, symbology MANIFESTATION 2XX – place of production, place of manufacture, projected date of publication, contact information for source 3XX – type of component unit, hours of availability, systems requirements, organization 5XX – place of production, date of production, issued with  006/007/008 – quality assurance targets, kind of disc 85X-87X – numbering continuity, calendar change, access instructions, hours of availability ‡3 – manifestation designation ITEM 0XX – location 5XX – location, method of acquisition, date of acquisition, extent of item, rate of accumulation, frequency of use 007 – completeness 008(H) – method of acquisition, completeness, reproduction restrictions 85X-87X – location, acquisition price, date of acquisition 111 055/060/070 534/541/584, 007, 008(H) 85X-87X 26 ITEM

Statistical Summary MARC data elements mapped to newly defined attributes for FRBR entities 545 2 PERSON 535/544/545 8 CORPORATE BODY 033 3 EVENT PERSON 545 – biography CORPORATE BODY 5XX – history, address EVENT 033 – time/date, location

Statistical Summary MARC data elements mapped to newly defined work-related entities 658 3 CURRICULUM 526 1 STUDY PROGRAM 536 1 PROGRAM 536 1 PROJECT CURRICULUM 658 – curriculum objective STUDY PROGRAM 526 – study program name, identifier PROGRAM/PROJECT/TASK 536 – identifier WORK UNIT CONTACT/GRANT 536 - identifier 536 1 TASK 536 1 WORK UNIT 536 1 CONTRACT 536 1 GRANT

Statistical Summary MARC data elements mapped to newly defined item-related entities 017, 025, 032 583 OO7(MP), 008(H) ACTION 18 583 1 AUTHORITY ACTION 0XX – action identifier (copyright registration, overseas acquisitions, postal registration) 583 – action identifier, time/date of action, action interval, contingency 007/008 – time/date of action, action status, time/date, action interval AUTHORITY 583 – citation for authority POSITION 583 – position title 583 1 POSITION

Statistical Summary MARC data elements mapped to processing entities Leader 00X 0XX 1XX/2XX/3XX/4XX/5XX/6XX/7XX/8XX 92 RECORD 180 SEGMENT 235 FIELD RECORD Leader – type of record, record status, encoding level 00X – record control number, date/time of last transaction 00X – record identifiers (NBN), source, language of cataloguing SEGMENT Control subfield 8 – field link and sequence FIELD Indicators – type of field, function, display constant, field encoding level Control subfield 6 – linkage to parallel field DATA ELEMENT Indicators – type of data element, source of data element, format, compressibility Control subfield 2 – source of data element Subfields – source of data element 151 DATA ELEMENT

Problematic Mappings (1) Coded data elements containing a mixed set of values Coded values defined for a single fixed-length data element map to different attributes/entities Form of item (006/008) microfilm/microfiche/microopaque = form of carrier large print = type size regular print reproduction = relationship Type of visual material (006/008) game, picture, chart, etc. = form of work graphic, model = form of expression flash card, slide, etc. = form of carrier

Problematic Mappings (2) Coded data elements defined by data type Data elements defined by data type may map to different attributes/entities Date 1 / Date 2 (008) date of publication/distribution (manifestation) date of manufacture (manifestation) date of expression Place of publication (008) place of publication/distribution (manifestation) place of manufacture (manifestation)

Problematic Mappings (3) Variable data elements defined by function/form Subfields defined by function or form may map to different attributes/entities Linking entry fields (760-787) ‡a (main entry) = person/corporate body/work Subject added entry – topical (650) ‡a (topical term) = concept/object/event/place

Problematic Mappings (4) Variable data elements comprising multiple attributes Subfields defined to encompass more than one discrete data element Physical description (300) ‡e (other physical details) = physical medium / capture mode / playing speed / groove width / kind of cutting / tape configuration / kind of sound / special reproduction characteristics / colour / polarity / presentation format / file characteristics Original version note (534) ‡t (title statement) = title of manifestation + statement of responsibility ‡e (physical description) = form of carrier + extent of carrier + dimensions of carrier, etc.

Problematic Mappings (5) Variable data elements defined in non-specific terms Subfields defined as “catch alls” Miscellaneous/qualifying information (1XX/2XX/6XX/7XX/8XX) 1XX/6XX/7XX/8XX ‡g (miscellaneous information) 210/222 ‡b (qualifying information) 760-787 ‡c (qualifying information) Additional information (3XX) 307 ‡b (additional information) Remainder of title (2XX) 242/245/246/247 ‡b (remainder of title) Note/display text (5XX/760-787/85X/86X/87X) 500 ‡a (general note) 760-787 ‡n (note) 852/856/863/866/867/868/876/877/878 ‡z (public note)

Problematic Mappings (6) Data elements requiring clarification Definition of MARC data element needs clarification to confirm mapping Confirm applicability to defined attribute Festschrift (006/008 Books) = purpose of work? Patent number (013 ‡a) = manifestation identifier? Direct reference method (352 ‡a ) = file characteristics? Determine appropriate entity/attribute Production elements (007 MP) = ??? Copy information (051/061/071) = ??? Extent (583) = ??? Level of index term (653/01) = ???

Hierarchical Displays Multiple versions of the same work EXPRESSION 1 EXPRESSION 2 MANIFESTATION 1 MANIFESTATION 2 ITEM 1 ITEM 2 ITEM 3 ITEM 4 Hierarchical displays for multiple versions of the same work: response to recommendation from LC Bicentennial Conference on Bibliographic Control in the New Millennium action plan item: develop functional requirements for systems to manage separate records for related manifestations at the global level and to consolidate them for display at the local level Functional Analysis of MARC 21 outlined schema for extracting data from MARC records to create “top level” hierarchical display MANIFESTATION 3 MANIFESTATION 4

Hierarchical Displays Five-part display Citation for work Identify Work  Guide card for expression Identify Expression  Brief entry for manifestation Title/Edition/Numbering Identify Manifestation  Elements of display designed to support key user tasks defined in FRBR: Identify work: citation for the work (author/title) Identify expression: guide card for expression (form, language, etc.) Identify manifestation: three-part brief entry title/edition/numbering publisher/distributor/date extent/physical details/standard number Link from brief entry to full record Brief entry for manifestation Imprint Brief entry for manifestation Physical description / Standard number

Hierarchical Displays (1) Citation for the work Created by  Person / Corporate Body 100/110/111 (excluding ‡t, ‡n, ‡p, ‡d, ‡f, ‡k, ‡s, ‡m, ‡r, ‡l, ‡o, ‡h) Title of work 130/240/243/245 ‡a, ‡n, ‡p Date of work 130/240/243 ‡d, ‡ f / 245 ‡f, ‡g Form of work 130/240/243/245 ‡k Other distinguishing characteristic 130/240/243 ‡s Citation for work: matching done on heading / uniform title fields name and title subfields extracted to form citation Medium of performance 130/240/243 ‡m Key 130/240/243 ‡r Coordinates 255 ‡c

Hierarchical Displays (2) Guide card for the expression Form of expression Leader c. p. 06 Language of expression 130/240/243 ‡l / 008 c.p. 35-37 Other distinguishing characteristic 130/240/243 ‡o / 245 ‡s Type of score 254 ‡a Guide card for expression: data extracted from leader, additions to uniform titles, and/or material specific area create grouping device for expression Scale 255 ‡a

Hierarchical Displays (3) Brief entry for the manifestation – title/edition/numbering Title of manifestation 245/242 ‡a, ‡n, ‡p Statement of responsibility 245/242 ‡c Edition/issue designation 250 ‡a, ‡b Numbering 362 ‡a Brief entry for manifestation (first segment): matching done on title, statement of responsibility, edition statement, and numbering create first part of brief entry for manifestations in which those elements are identical

Hierarchical Displays (4) Brief entry for the manifestation – imprint Publisher/distributor 260 ‡b Publisher/distributor 260 ‡a Date of publication/distribution 260 ‡c Date of publication/distribution 260 ‡c Brief entry for manifestation (second segment): matching done on publisher and date create second part of brief entry for manifestations in which those elements are identical

Hierarchical Displays (5) Brief entry for the manifestation – physical description / standard number Form of carrier Extent of carrier 300 ‡a Dimensions of carrier 300 ‡c Physical medium Capture mode Playing speed, groove width, kind of cutting, tape configuration, kind of sound, special reproduction characteristics Colour, polarity, presentation format File characteristics 300 ‡b Brief entry for manifestation (third segment): extract data on form of carrier, extent, dimensions, etc. and standard number create third part of brief entry Brief entry linked to full record for manifestation Reduction ratio 340 ‡f Manifestation identifier B: 020/027/074 S:022/030/074 O: 024/028/074

Hierarchical Displays Example: Michael Ondaatje’s The English Patient Ondaatje, Michael, 1943? The English patient Citation for work Text - English Guide card for expression The English patient / by Michael Ondaatje Vintage Books, 1993 305 p. ; 21 cm ISBN 0679745203  Title/Edition/Numbering Imprint Physical description / Standard number 1 The English patient / Michael Ondaatje Thorndike Press ; Chivers Press, 1997 455 p. (large print) : ill. ; 23 cm ISBN 078621152  Title/Edition/Numbering Imprint Physical description / Standard number 2 Example: Work: Ondaatje’s The English Patient Expressions: texts in English (grouped together) sound recordings in English (grouped together) Manifestations: regular print edition issued by Vintage Books in 1993 large print edition issued by Thorndike Press in 1997 talking book version issued on cassette by Macmillan Audio Books in 1997 [not shown] same talking book version also issued by Macmillan in 1997 on compact disc Sound recording - English Guide card for expression The English patient / by Michael Ondaatje Macmillan Audio Books, p1997 2 sound cassettes (ca. 4 hrs.) : analog ISBN 0333675568  Title/Edition/Numbering Imprint Physical description / Standard number 3

Conclusions Compatibility, conversion, correlation High level of compatibility between MARC 21 and the FRBR model Conversion from MARC 21 to an FRBR record structure requires complex processing routines Residue of unmapped data Hierarchical displays reflecting FRBR relationships using subset of MARC 21 data elements COMPATIBILITY 50% of data elements in MARC 21 map to FRBR model as defined by IFLA Study Group 90% of remainder map to extended FRBR model 25% of all mappings are problematic CONVERSION Virtually every field in MARC 21 requires processing at the subfield level Conversion routines for 25% of data elements in MARC 21 require processing of individual code values and text strings Relationship data required to map to fully articulated FRBR record structure not always present in MARC 21 Small number of data elements cannot be mapped automatically (e.g., general notes, subfields for miscellaneous information, etc.) CORRELATION Primary hierarchical relationships between work, expression, and manifestation can be reflected by creating enhanced “index” displays using MARC 21 data mapped to key FRBR attributes