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. This documentation was created using the PCC’s SCCTP Serials Holdings Workshop 2010 rev as reference.

Overview

MARC holdings data are recorded for all print serial titles, for physical non-print titles (i.e., CD-ROMS), and locally-mounted e-resources. Holdings communicate to library users the issues owned by the MSU Libraries, making their recording and maintenance of high importance. MSU Libraries adheres to national standards to record holdings information.

Useful Links

The following is a list of standards and resources to consult in the creation, formatting, and editing of MARC Holdings.

• MARC holdings structure and coding: MARC 21 formats documentation.

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

• For information on creating Local Holdings Records (LHRs) in OCLC, see the LHRs (Local holding records) procedure.

• For more information on creating and editing Sierra ILS checkin records, see the Checkin records procedure

• 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. The following bytes of information should be 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 (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 (unknown) locally unless otherwise specified by the selector or a manager.

  • a = will reproduce

  • b = will not reproduce

  • u = unknown

Textual MARC Holdings (866/867/868)

Textual MARC holdings are recorded in a single field that combine captions, enumeration, and chronology in free-text. This is unlike coded holdings which separates them into two, paired fields. At MSU Libraries, we format the free-text using ANSI/NISO Z39.71 Holding Statements for Bibliographic Items. Textual holdings are recorded in three MARC tags: 866, 867, and 868.

866 - Basic Bibliographic Unit
867 - Supplementary Material
868 - Indexes

866-868 Indicators

• 1st Indicator - indicates to what level of specificity the enumeration and chronology are recorded in the field.

  • [blank] = no information provided

  • 3 = Holdings level 3 - specifies summary holdings at the volume (or highest level, so could be no.) level only.

  • 4 = Holdings level 4 - specifies detailed holdings where every level of enumeration/chronology on the piece is recorded in the holdings (can be compressed or uncompressed form). Preferred holding level locally when piece is in hand.

  • 5 = Holdings level 5 - (NOT used locally) field contains detailed enumeration and chronology information and an identifying number for the physical piece.

• 2nd indicator - indicates whether the holdings in the field’s |a has been formulated according to standard or non-standard notation.

  • 0 = Non-standard

  • 1 = ANSI/NISO Z39.71 or ISO 10324 (current standard)

  • 2 = ANSI Z39.42 (previous 1980 standard)

  • 7 = other standard identified in |2

866-868 Field Structure

• |8 - link number - links holding data fields and may propose a sequence when used in combination with 853/863

  • Subfield |8 is always the first subfield in 86X fields.

  • |8 = 0 when ONLY 866 textual holding field(s) are present. And no 85X/86X are present.

    • When an 866 |80 is present in a holdings statement with 85X/86X pair, the 85X/86X will not display.

  • |8 = unique number will display the textual holdings in combination with 85X/86Xs

  • |8 = same linking number as what is in the |8 of 85X/86X means the 86X field will display as a substitute.

  • When multiple 86X fields are used in a record that has no 85X/86X, all |8 must be 0

• |a - Captions and enumeration/chronology

  • Examples

    • 866 41 |80|ano.1(1976)-no.2(1976)

    • 866 41 |80|av.1:no.1(2005:Jan.)-v.1:no.12(2005:Dec.)

    • 866 41|80|av.1:no1(2005:Jan.30)

    • 867 40|80|aSupplement 2010/2011

    • 868 41|80|av.1(1962)-v.3(1964)|z cumulative index

• |x - Non-public note (not used locally)

• |z - Public note (rarely used locally)

Common punctuation used in holdings statements using ANSI/NISO standard

(not an exhaustive list, see linked standard for more examples)

Enumeration and Captions FAQs

• When enumeration is given below the first level, separate using a colon. example: v.1:no.1

• Series designators are recorded as the first level of enumeration. example: ser.3:v.1 new ser.:v.1

• Transcribe captions in vernacular form appearing on piece, transliterate when needed. See link for examples of how to abbreviate captions in vernaculars: Appendix B. Abbreviations for Names of Months

• Record captions in singular (v. not vs.)

• Convert all numeric info to Arabic number. example: VII = 7

• When issue has combined numbering on piece (not after local binding), record with a forward slash: v.5/6

• Some items have alternate enumerations that continuously increment issue numbers or other numbering schemes. example: v.10:no.2=issue110

Chronology FAQs

• When more than one type of date is present on the bibliographic item, select the date from the following preferred dates, in this order: Date of coverage, Date of publication, Date of copyright, Date of printing

• Do not use date of reprint in holdings statement, reprint info is properly a part of the bibliographic record.

• ALWAYS record all four digits of the year. Example: 1993/1994 NOT 1993/94

• Record months, seasons, and days in vernacular as they appear on the publication, transliterating when needed. See link for examples: Appendix B. Abbreviations for Names of Months

• When chronology contains day notation, do not separate using colon. Instead, record as follows: 1988:Feb.3

• Use forward slash if a single issue has a span of years: v.1(1999/2000).

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Coded MARC Holdings (85X/86X pairs)

Introduction

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

The 86X of the pair carries the enumeration and chronology of the title’s issues 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 (ex: detailed? summary?). Locally, we most often use 4, unless summarizing holdings based on item records (pieces at remote) or from another source, when pieces are not examined by the staff member.

  • [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 1.1
863 41 |8 2.1

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

• |a = primary enumeration unit (v., ed., ser.2, Bd.)

  • 853 01 |81|av.

  • 863 40 |81.1|a1-12

  • Displays: v.1-v.12

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

  • 853 00 |81|av.|bno.

  • 863 41 |81.1|a3|b10

  • Displays: v.3:no.10

• |g-|h = alternative numbering scheme

i-m = Chronology captions such as year, season

• |i = primary chronology unit (year)

  • Record with unit in parenthesis

    • 853 00|81|av.|bno.|i(year)

    • 863 41|81.1|a2|b2|i1985

    • Display: v.2:no.1(1985)

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

  • Record type of unit in parenthesis in 85X

    • 853 00|81|av.|b.|i(year)|j(months)

  • Months represented numerically: 01-12

    • 853 00|81|av.|b.|i(year)|j(months)

    • 863 41|81.1|a3|b6|i1953|j05

    • Display: v.3:no.6(May 1953)

  • Seasons represented numerically:

    • 21 = spring

    • 22 = summer

    • 23 = autumn

    • 24 = winter

    • 853 00|81|av.|b.|i(year)|j(season)

    • 863 41|81.1|a3|b6|i2010|j21

    • Display: v.3:no.6(spring 2010)

• |m = alternative chronology numbering scheme

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

Special Problems in 85X/86X holdings

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

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