MARC Holdings Records Full Procedures

HOLDINGS RECORDS – FULL MANUAL OF PROCEDURES
created by Mavis Molto – 9/19/12, revised 8/26/13, 9/9/13, 11/18/16;

Posted to Confluence with minor edits and markup by Melanie: 4/13/2021, minor edits, updated charts, and links: 2023-06-28

Everything in this manual refers to Holdings Records in NISO Level 3, except where noted otherwise.

DELETING HOLDINGS RECORDS

1. If bib record has remaining holdings:

• Trigger a change in the "Date of report" 008 field (so reports can be run) by making a change in a remaining holdings record

• Example: change the 866 subfield |81.1 to |80

2. Online holdings – If not in SerialsSolutions list, ask E- Resources Librarian about including so non-SerSol holdings/URL can be deleted

ADDING OR UPDATING HOLDINGS RECORDS:

Go to Sierra (Cataloging Module) – Bib, Summary View, Holdings
If adding new holdings – see: Holdings template-how to use in Sierra

PART I. FIELDS

1. FIXED FIELDS:
For details - see: Holdings template – leader & 007 & 008 values

2. 852 FIELD:

Example of 852:
852 01 |hPS1 |i.X55 OR |hPS1.A5 |iX55

4. 853/863 FIELDS:

a. Check item records in WebPac (by location) – note vol/no/years
If items are out of order – correct the order
If vol/year errors – check/change in Barn (give Carol C. barcodes)
b. Enter holdings in 853/863 fields (level 3)
c. Transfer 866 x/z notes to 852 x/z - e.g. Bound with…
d. Delete 866 field - also any 866 checkin/bindery fields
e. Check WebPac: location,call# spacing,007,holdings match, notes

Example of 853/863 – all volumes in a range, no breaks
853 03 |81 |av. |i(year)
863 30 |81.1 |a5-10 |i1975-1981
Example of 853/863 – missing volume:
853 03 |81 |av. |i(year)
863 31 |81.1 |a5 |i1975 |wg
863 30 |81.2 |a7-10 |i1977-1981
Example of 853/863 – numerous gaps (25 or more):
853 03 |81 |av. |i(year)
863 30 |81.1 |a1-50 |i1950-2000 AND 852 |zincomplete.

Example of change in enumeration:

853 03 $81 $abd. $i(year)
863 30 $81.1 $a1-25 $i1971/1972-1995/1996
853 03 $82 $av. $i(year)
863 31 $82.1 $a26 $i1996/1997
Displays as: bd.1(1971/1972)-25(1995/1996) v.26(1996/1997)

5. 866 FIELD (INSTEAD OF 853/863 FIELDS):
a. Use this option if:

• Holdings are for current year only- (see example, next page)

• Special Collections needs to retain detail in 866 field

(see NISO 2006p.27-28,35,37;see OCLC primer 2008p.27)
b. Check item records, as in 4.a. above
c. Change 866 field from the old format, e.g.:
866 0 |81.1|aVol.5, no.2 (1975) - vol. 10, no. 12 (1981), incomplete
to the format indicated in the chart and examples below
d. Check WebPac, as in 4.e. above

NISO style 866 fields:
Example of 866 – level 3 (no spaces), incomplete holdings:
866 31 |80 |av.5-10(1975-1981) |zincomplete.
Examples of 866 – level 3 (no spaces), missing volume:
866 31 |80 |av.5,7-10(1975,1977-1981)
Example of 866 – level 4 ( spaces after commas):
866 40 |80 | v.9:no.2(1999:fall/winter), v.11(2001)
Example of 866 – level 4 (spaces after commas & hyphens):
866 40 |80 | v.9:no.2(1999:fall/winter), v.11(2001) – v.12(2002)

HOLDINGS RECORDS – PROCEDURES – 8/26/13 – page 2

Sources, References, & Educational Documents:

OCLC MARC -https://help.oclc.org/Metadata_Services/Local_Holdings_Maintenance/OCLC_MARC_local_holdings_format_and_standards
LC MARC21 format - https://www.loc.gov/marc/holdings/
SCCTP - https://www.loc.gov/aba/pcc/conser/scctp/HoldingsSlides.html
NASIGuide - https://www.nasig.org/NASIGuide-Serials-Holdings
NISO - [ANSI/NISO Z39.71 2006, revised 2011]

• Needs update to [ANSI/NISO Z39.71-2006 R2011] -

PART II. STRUCTURE & TEXT

1. CAPTIONS & PATTERN - fields 853-855 (MARC)

A caption is a word, phrase, or abbreviation that describes the type of parts into which a multipart or serial item has been divided. Captions are linked to 863/865 fields, via subfield 8.
Subfields a-h= Enumeration - numeric/alphabetic (e.g.,volumes)
Subfields i-m= Chronology - date (e.g., years)

2. ENUMERATION & CHRONOLOGY- fields 863-865(MARC)

Subfields a-h= Enumeration - numeric/alphabetic (e.g.,volumes)
Subfields i-m= Chronology - date (e.g., years)

3. CAPTION DETAILS

Abbreviation of caption (OCLC MARC)

The abbreviations used in subfields ‡a-‡h are recorded according to the Anglo-American Cataloguing Rules (App B: Abbreviations)
English: ed. no. pt. ser. suppl. v.
French/German: t. (tome=volume), Bd. (Band=volume)
Orig lang if possible (NISO 5.5.4.2) but we prefer English

No caption available (OCLC MARC)

1) If want caption to display - Invent a caption and add brackets around it, e.g.
853 03 $81 $a[no.] $i(year)
863 31 $81.1 $a1 $i1999
Displays as: [no.]1 (1999)
2) If don't want caption to display – Invent a caption and enclose in parentheses, e.g.
853 03 |81 |a(ed.) |i(year)
863 30 |81.1 |a55th-60th |i1995-2000
Displays as: 55^th-60^th (1995-2000)
3) Full correlation - Full correlation between captions and enumeration ($a-$h) or chronology ($i-$m) subfields in linked 853/863 fields is recommended in OCLC local holdings records. Thus, some type of caption must be entered in 853 holdings subfields.
4) Asterisks – Using an asterisk in parentheses as a caption (see OCLC MARC) may not work in OCLC batch processing.

Caption is "issue"–see examples (NASIG 853u/x, SCCTP305-306)

Captions with no period – e.g., "Ano" 1 (SCCTP)

1) Display - año 1 looks a lot better than año1.
2) Programming - Tell the system to add a space at the end of any caption that lacks a final period.

Change in captions – e.g., "bd." changes to "v." (SCCTP) – 853/863 $8 1 and $8 2

When captions or patterns change, a new 85Xwith a different linking number must be coded.
853 03 $81 $abd. $i(year)
863 30 $81.1 $a1-25 $i1971/1972-1995/1996
853 03 $82 $av. $i(year)
863 31 $82.1 $a26 $i1996/1997
Displays as: bd.1(1971/1972)-25(1995/1996) v.26(1996/1997)

Caption is a number sign [#] (NASIGuide)

Example: Number 10-46 ("10" is a government code).
853 03 $81 $a# $i(year)
863 31 $81.1 $a10.46 $i2000
Displays as: #10.46 (2000)

Caption includes series designation (NASIGuide)

The designation for an unnumbered (e.g., new ser.) or a numbered (e.g., ser.5) series is considered part of the caption. e.g.,
853 03 $81 $aser.5:v. $i(year) [or 5^th ser.:v.]
853 03 $81 $anew ser.:v. $i(year)
see also: Alternative numbering

4. GAPS – 863 subfield w (OCLC MARC)

$w - Break indicator
One-character code that indicates the reason for a break in the enumeration and chronology. Subfield $w is contained in the field immediately preceding the break.
g - Gap break
Part(s) are lacking in the holdings [or] there is doubt as to the cause of the break or the cause is not known.
853 03 $81 $aBd. $i(year)
863 30 $81.1$a1-19 $i1911-1920/1921 $wg
863 31 $81.2 $a22 $i1924/1925
n - Nongap break
Break is due to unpublished part(s) or a lack of continuity in the enumeration and chronology of the parts.
853 03 $81 $a(year)
863 30 $81.1 $a1900-1915 $wn [code precedes break]
863 30 $81.2$a1917-1940

5. YEARS - variations

• Order of preference - Date of coverage, Date of publication, Date of copyright, Date of printing (NISO p.35)

• Year uncertain - Use question mark to fill space, e.g., (NISO36)

863 31 $81.1 $av. $i18??

• Century unknown - Do not record date (NISO p.36)

• Year missing - Invent and enclose in brackets, e.g.(OCLC MARC)

863 31 $81.1 $av. $i[1917]

• Only chronology present (no enumeration) (OCLC MARC)

1) Use enumeration subfield ($a) when year only appears
2) Enclose the caption for year in parentheses
853 03 $81 $a(year)
863 30 $81.1 $a1964-1981

• Current year only – Enter phrase in 866 $a (also use genret = 6):

866 30 $80 $aCurrent year only. [genret=6]
866 30 $80 $aCurrent year in Reference. [genret=8]
Current edition at Reference Desk Ready Reference

• Issues restart each year – Put year in 853/863 $a (NISO p.31)

1990 [no issues entered]

• Slash – Use to separate multiple years in an issue, e.g. (NISO)

1997/1998 [always enter full years, not 1997/98]

• Hyphen - Use when compressing holdings in 863 $a, e.g. (NISO)

1997-2004

6. ORDINAL NUMBERS - ed., [ed.]

• Editions – English: 2nd ed. (Non-English: 2. ed.) (NASIG)

Using the plus sign may not display correctly:
853 03 $81 $a+ed. $i(year)
863 31 $81.1 $a2 $i1998 [Lang=eng]
Should display as: 2^nd ed. (1998)

• Alternate approach (see LC MARC, NASIG) – enter ordinal numbers directly, e.g. - we generally used this one

853 03 |81 |a(ed.) |i(year)
863 30 |81.1 |a55th-60th |i1995-2000
Displays as: 55^th-60^th (1995-2000)

7. OPEN–ENDED STATEMENTS-Continuing receipt (LCMARC)

853 03 $81 $av. $i(year)
863 30 $81.1 $a1- $i1973-

8. UNIT FOLLOWED BY TERM DESCRIBING UNIT (LCMARC)

853 03 $81 $a(unit)
863 ^1 $81.1 $a50 playing cards
Displays as: 50 playing cards

HOLDINGS RECORDS – PROCEDURES – 8/26/13 – page 3

9. SUPPLEMENTS AND INDEXES – LEVEL 3

BACKGROUND (NASIGuide):

• Coded same as main volumes - Supplements and indexes are coded in the same way as the main volumes. They may be more irregular in receipt, or in the case of indexes, be very infrequent.

• Pattern coding - Unless they are regularly received, they need not receive pattern coding….

• Listed singly – [Supplements and indexes] often are not summarized, but listed singly.

• Level 3 – No supplements or indexes are recorded at [level 3], (per NASIGuide, Leader/17). [Note: USU practice may differ.]

CAPTIONS - LEVEL 3: 854 (Suppl) or 855 (Index) – (SCCTP Workshop):

• Standard - If no need to relate sup/ind to a main volume:

854 03 $81 $av. $i(year)
864 31 $81.1 $a5 $i2005
Display: Suppl. hold: v.5 (2005) OR Index hold: v.5 (2005)

• Optional - If sup/ind pertains to a main volume use: suppl. to v.

854 03 $81 $asuppl. to v. $i(year) OR suppl. to [if year only]
864 30 $81.1 $a1-5 $i1985-1988
Display: Suppl. hold: suppl. to v.1-5 (1985-1989)

NAMED SUPPLEMENT OR INDEX – (OCLC MARC & NASIGuide & SCCTP Workshop)

• 844 subfield $a – Use if supplement/index title same for all vol. May need programming to display.

844 ^^ $aAnnual conferences
Display: [possibly at end of Location]

• Subfield $o – Use if there is both a type of unit (85x) and a title of unit (86x). May need programming to display.

854 03 $81 $a(year) $oRegister
864 31 $81.1 $a1995 $oElectoral Districts 3 and 4
Display: Suppl. hold: 1995 --Register: Electoral Districts 3 and 4

• 867z – Can use if sup/ind has single title (no individual titles)

867 40 $80 $asuppl. to v.1-2 (1999-2000) $zMerging trails
DISPLAY OF SUP/IND TO FOLLOW EACH MAIN VOL
(NASIGuide):

• Display at end of record - Some ILS?s default to display at end.

• Display with main volumes - If you want them to appear with the volumes to which they pertain (the supplement with the volume it supplements, the index following the last indexed volume), try using the same link and same/next sequence number.

853 03 $81 $av. $i(year) $wa
855 $81 $av. $i(year)
863 30 $81.1 $a1-50 $i1951-2000
865 31 $81.1 $a1/50 $i1951/2000

10. SUPPLEMENTS AND INDEXES – LEVEL 4 - DON'T USE

CAPTIONS - LEVEL 4: 854/855 – SUBFIELDS A & B
(SCCTP Workshop):

• Coding – ... It is preferable that the system clearly show that the holdings are for indexes or supplements through interpretation of the coding.

Combined Holdings:
853 03 $81 $av. $bno. $u4 $vr $i(year) $j(month) $wq $x01
863 30 $81.1 $a2- $i1986-
854 03 $81 $av. $bsuppl. $oResearch Notes $u2 $vr $i(year) $j(month) $wf $x06
864 40 $81.1 $a1-5 $b1-1 $i1985-1988 $j06-06
855 $81 $av. $i(year)
865 31 $81.1 $a1/10 $i1985/1994
Combined Display (If Cataloged Together):
HOLDINGS: v.2(1986)
SUPPL:"Research Notes"v.1:suppl.1(1985:June)-v.5:suppl.1(1989:June)
INDEX: v.1/10(1985/1994)
(LC MARC):

• Captions if numbering relates to a volume When a supplement or index designation is used as a caption (which occurs if its numbering relates to a particular volume or part of the bibliographic unit, e.g. v. 9, suppl. 1-3) the designation is contained in the relevant Enumeration caption subfield ($a$f).

854 03 $81 $av. $bsuppl. $i(year) $j(month) $k(day)
864 41 $81.1 $a16 $b1 $i1977 $j06 $k01
Displays as: v.16:suppl.1 (1977: June 1)

11. ALTERNATIVE NUMBERING e.g., dual series (NASIGuide) 853/863 |g |h

• If there is more than one numbering system, record in:

853/863 subfields g and h = Enumeration
853/863 subfield m = Chronology
852 indicator 2 = 2 [alternative enumeration]

• New series - One common occurrence is a "new series" which bears the numbering of the old series in addition to its own, e.g.

new ser.:v.1-35 = old ser.:v.41-75

• Monographic series - Another instance is the monographic series, which has a serial within it, and bears the numbering of the serial in addition to the series, e.g.

v.5 = ABC journal:v.1

• Set shelved together - If in either of these situations the whole collected set is shelved together, and both sets of numbering are given equal prominence, it is safest to account for both systems in the record for the benefit of researchers.

• Smaller consecutive set - If the smaller set is published consecutively within the overall set, such as the "new series," the numbering can be summarized if desired, e.g.

853 03 $82 $anew ser.:v. $i(year) $gold ser.:v.
863 30 $82.1 $a1-35 $i1980-2004 $g41-75
Display: new ser.:v.1-35 (old ser.:v.41-75) (1980-2004)

• Scattered internal set - If a scattered internal set comprises non-adjacent volumes of a larger work, volumes may be listed singly, e.g. (verify example):

853 03 $81 $av. $i(year) $gABC journal:v.
863 31 $81.1 $a5 $i1999 $g1
863 31 $81.2 $a6 $i2000
Display: v.5 (ABC journal:v.1) (1999) - v.6(2000)

12. DATES IN ENUMERATION - (NASIGuide)

• Years with internal numbering - One of the most knotty [situations] for vendors and librarians has been the publication with issues that bear no volume numbering, but only a year and internal numbering particularly if the internal numbering also has a month or season.

• Repeat year in enum and chron - These publications may need to have the year repeated on both the enumeration and the chronology side of the record, and the uncompressed holding may look repetitive and "wrong." But any other way of handling it would jeopardize functionality such as automatic summarization.

• Display - The computer must recognize when an enumeration subfield contains what is usually chronological information, such as a month or season, and manipulate the display accordingly.

853 03 $81 $a(year) $bno. $u12 $vr $i(year) $j(month) $wm
863 40 $81.1 $a1990- $b1- $i1990- $j01-
Displays as: 1990:no.1(1990:Jan.)-
Displays as: 1990- [after summarization or if level 3]

PUNCTUATION:

ANSI /NISO Z39.71-2006 - 3.1 Punctuation Used in the Extent of Holdings Area – p. 11-12

PART III. SIERRA HOLDINGS TEMPLATE

HOW TO USE IN SIERRA:

Mavis Molto – 8/22/13

Set up a preferred holdings template in Sierra:

1. Admin

2. Settings

3. Record templates

4. Holdings [drop down]

5. Move one of the following holdings templates from the right to the left, under Preferred Templates:

   • HoldBasic – only prompts for Location

   • SerialHold – prompts for all fields

 Create a holdings record from the HoldBasic template:

1. Open Sierra – Cataloging

2. Display bib record that needs a holdings record

3. Click on Summary – View holdings (drop down)

4. Click on Attach new holdings

5. See a small screen with prompts from the HoldBasic template

6. Do the following:

   1. Enter Location when prompted

   2. Click Next

   3. Click Cancel when you see the screen called Create Card

   4. Click New to see the holdings record

   5. Edit values in the following fixed fields, as needed:  MARC leader, 007, 008

   6. Add information to the following variable fields:  852, 853, 863

   7. Click Save, then Close

FIXED FIELDS

Mavis Molto – 12/11/12,  rev. 8/22/13

Fields at top of screen – some fields came from Symphony Serials Control migration*

MARC Leader: #####ny   22#####3n 4500

007: t a    (serial format)

008: 0000005u    8   0001uaeng0110927      (fixed fields)

SIERRA HOLDINGS - 014 FIELD

 014  Linkage Number (R)

 Control number, assigned by a bibliographic network, of a separate holdings record or its related bibliographic record for which a separate holdings record is made.

In separate holdings records distributed by a network,

        the holdings record control number is carried - In field 001 (Control Number) and

        the control number of the related bib record is carried -   in field 004 (Control Number for Related Bib Record).

An organization receiving the holdings record

        may transfer the control numbers from fields 001 and 004 -    to field 014 and

        place its own holdings record number and related    -        bib record control number - in fields 001 and 004.

The originating network is identified            -           in subfield ‡b (Source of number).

 First Indicator - Type of Linkage Number

 0             Holdings record number

 1             Bibliographic record number

Second Indicator - Undefined

    Undefined

 Subfield Codes

 ‡a Linkage Number  (NR)  

‡b Source of number (NR)  

‡z Canceled or invalid linkage number (R)

 _______________________________

USU Examples - old Symphony holdings (migrated records, or records updated after migration) - could go here:

 014 1^  999999  |b Sirsi

 014 1^  999999 |b OCoLC

014 1^  999999 |b CaEvSKY

 USU Examples - new Sierra holdings - could go here:

 014 1^  99999 |b CaEvSKY

SIERRA - HOLDINGS RECORD – 852 FIELD:

Sierra Documentation – Sierra Reference – How Innovative Systems Store Information – MARC records – MARC format holdings data:

a-b   Not supported, since holdings/checkin record locations are stored in the LOCATIONS variable-length field or LOCATION fixed-length field. If specified by the library, the system supplies values for subfields a and b (NUC symbol and location) when exporting to a MARC file.

c-d   Supported.

Location (852c) – Update 12/14/2012:

We will *not* enter location information in the 852 field, only in the Location field at the top of the screen. 

MARC21 manual (We won’t use in Sierra):

$c - Shelving location

Description of the shelving location of the item within the collection of the holding organization. It may be used to indicate the physical location within a sublocation; for example, reference alcove, oversize shelving. The description of the shelving location is given in full or in a standardized abbreviated or coded form.

$d - Former shelving location

Call numbers/shelf numbers where a resource was previously located, in cases of a relocation or a reordering/reorganization of a collection as a whole.

SIERRA - HOLDINGS TEMPLATE - Background - 7/18/12

Holdings fields in Symphony and Sierra - example:  Journal of deaf studies and deaf education

Bib fields in Symphony and Sierra - example:  Journal of deaf studies and deaf education

Titles with multiple records in Sierra - when search by title

1. Journal of aesthetics and criticism - 1941

   • Barn - 2

   • Online - 1

2. Journal of agronomy and crop science

   • Barn - 2

3.  Journal of applied physics - 1937

   • Barn - 2                                 split items into two displays

   • Online - 2

4.  Journal of applied physiology - 1985

   • Online - 4