MARC Holding Fields

Summary: This procedure provides guidance on using MARC 21 Format for Holdings Data (MFHD) to record serial holdings information in coded and textual fields at MSU Libraries. Consult current MARC 21 formats documentation and ANSI/NISO Z39.71 Holding Statements for Bibliographic Items for more specifics on coding and formatting. For information on creating and editing Sierra ILS checkin records, see the Checkin records procedure. For information on creating LHRs in OCLC, see the LHRs (Local holding records) procedure. This documentation created using the PCC’s SCCTP Serials Holdings Workshop 2010 rev as reference.

Useful Links

• Holdings structure and coding: MARC 21 formats documentation

• Holdings layout and punctuation: ANSI/NISO Z39.71 Holding Statements for Bibliographic Items.

• PCC CONSER:

  • Common holding patterns (853/863) table. 

  • Appendix A: Abbreviations for captions.

  • Appendix B: Abbreviations for names of months.

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MARC Leader and 008 fields

Every new holdings record (checkin) in Sierra should receive a MARC Leader and an 008 field added by the cataloger. The following bytes of information are recorded:

In the MARC Leader:

• Type of record = y serial item (automatically generated)

• Encoding level - denote the level of holdings used in the 85X/86Xs pairs or the 86X textual holding fields. For most MSU things, this will be a level of 4.

  • 2 for level 2 (latest ed(s) or yr(s) only)

  • 3 for level 3 (summary holdings)

  • 4 for level 4 (detailed holdings) 

  • m for mixed level holdings 

  In the 008 field:

• The R/A Stat (008/06 Method of receipt or acquisitions)

  • 2 = Received and complete or ceased. Used for ceased or title change serials where date status in bib is 'd' and second date in bib is not open.

  • 3 = On order

  • 4 = Currently received. Used when title is on standing order with open holdings.

  • 5 = Not currently received. Used for titles not ceased, but cancelled locally.

• Lending Policy - use u for unknown locally unless otherwise specified by the selector or a manager.

  • a = will lend

  • b = will not lend

  • c = will lend hard copy only

  • l = limited lending policy

  • u = unknown

• Reproduction Policy - use u for unknown locally unless otherwise specified by the selector or a manager.

  • a = will reproduce

  • b = will not reproduce

  • u = unknown

Coded MARC Holdings (85X/86X pairs)

Introduction

In MFHD, holdings are always recorded in two different MARC fields that are paired: 853/863, 854/864, 855/865. The 85X of the pair defines the captions (v., no., year, season, month) and gives information about a title’s publication pattern, such as frequency, how many numbers are in a volume, when the volume increments, etc.

The 86X of the pair carries the actual enumeration and chronology of the title held by the libraries. Coded MARC holdings are primarily used locally for standing orders.

• 853/863 contain information about the basic unit (journal, issue, etc.)

• 854/864 contain information about supplements

• 855/865 contain information about indexes

Indicators for 85X and 86X fields

85X [853 and 854 ONLY]

• 1st indicator tells the system if the data can be compressed or expanded.

  • 0 = cannot compress or expand (no pattern present in the 853, no $u, $v, $r, or $w)

  • 1 = Can compress, but cannot expand (no $w, $x, or $y)

  • 2 = Can compress or expand ($u, $v, $w, and $x are present to tell the system it can compress: v.1:no3(1994:June)-v.2:no.1(1995:Jan.) OR expand and list each issue individually: v.1:no.3(1994:June), v.1:no.4(1994:Oct.), v.2:no.1(1995:Jan.)

  • 3 = Unknown if enumeration and chronology data in the linked 863 or 864 can be compressed or expanded. Often the default for automated creation or conversion of holdings data.

• 2nd indicator - whether the captions have been verified by actually looking at the piece(s). And, secondly, how complete and accurate the captions are for the various levels of enumeration and chronology (volumes, numbers, years, months, etc.)

  • 0 = captions verified and all levels are present

  • 1 = captions verified, but all levels may not be present

  • 2 = captions unverified and all levels are present

  • 3 = captions unverified and all levels may not be present

855 - both indicators are left blank

86X

• 1st indicator is used to denote the level of specificity - detailed? summary? Locally, we most often use 4, unless summarizing based on item records or from another source.

  • [blank] = no information provided

  • 3 = summary holdings (only first level - use this if you know you have some part of a volume, but you do not know which part.)

  • 4 = detailed holdings (all levels and including all gaps - use when you can guarantee that all holdings are described accurately, including all gaps down to the individual piece).

• 2nd indicator denotes the form of holdings (compressed or uncompressed). Is it more than one physical piece or volume and can be compressed? or is one piece and is uncompressed?

  • 0 = compressed; display is generated (use when a range of physical units is represented in the single 86X that follows. EX: 863 $8 1.1 $a 4 $b 1-12 $i 1997 $j 01-06)

  • 1 = uncompressed; display is generated (use when the 86X that follows contains only one single physical unit, such as one unit or volume. EX: 863 $8 1.1 $a 4 $b 1 $i 1997 $j 01)

  • 2 - compressed; textual field (866) is present and to be used

  • 3 - uncompressed; textual field (866) is present and to be used

Subfields for 85X and 86X fields

$8 = Field link - links 85X/86X pairs to each other numerically to tell the computer which pattern to use to interpret the information in the matching 86X field. Example:

853 20 $8 1
853 20 $8 2
863 41 $8 1.2
863 41 $8 2.1

• $a-h = Enumeration captions such as v., no., etc.

• $a = primary enumeration unit (v., ed., Bd.)

• $b-$f = 2nd to 6th levels of enumeration units (no. issue, pt.)

• $g-$h = alternative numbering schemes

• $i-m = Chronology captions such as year, season

• $i = primary chronology unit (year)

• $j-$l = 2nd to 4th levels of enumeration units (months, days, etc.)

• $m = alternative chronology numbering scheme

If a piece as no captioning, an asterisk is used within parentheses: $a (*)

If a piece has an ordinal number (1st edition), Sierra doesn’t recognize $a +ed and it must be added to the 853

If a piece has no enumeration and only chronology, subfields $a-$h are used and NOT $i-$m: Dec. 2020 = 853 20 $a (year) $b (month) – 863 $41 $a 2020 $b 12

Parentheses can be used when one does not want something to display. The parenthesis define the field, but do not display. Example: 853 $a (year) 863 $a 2000 = display: 2000

$u-y = Publication patterns

• $u = number of units per next higher level (# of units before the highest level increments to the next example: volume 1 has 4 numbers before volume 2 starts

• $v = number continuity

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Textual MARC Holdings (866/867/868)

• Substep a

• Substep b

• Substep c

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