^{Created by Melanie, uploaded by Liz, and updated continuously by various.}

This is a brief and simplified workflow for applying the USU’s Full Holdings Procedures. Refer to MARC Holdings Records Full Procedures, for anything not found here (or the national standards here):

• MARC Holdings Records Full Procedures, or

• OCLC-MARC local holdings format and standards

• MARC 21 Format for Holdings Data: Table of Contents (Network Development and MARC Standards Office, Library of Congress) See also fuller list of resources at the end of this WF.

• See also: Creating Holdings Records in Sierra

The Sierra MARC Holdings Record:

Summary; c = Holdings; Record:

The Fields (a selection of the most common/useful fields):

Sierra Specific Fixed Fields (at the top of the Holdings Record)

• Location:

  • gjrnl = BARN journals

  • gbks = BARN books (annuals, etc.)

  • iabb = SCA (formerly ABR) Beat Magazines

  • agov = Government Documents (Gov. Info.)

  • etc.

MARC Leader: #####ny 22#####3n 4500

• To see/work on: Hover over the field, Right-click; choose Expand Field;

• Right-click; choose Collapse field when done.

• RECORD TYPE: y = Serial item holdings or v = for multi-volume monograph holdings

• ENC LEVEL: 3 = Encoding Level (top level of enumeration/chronology only)

Fixed Fields 007/008

• Hover over field, Right-click; Expand Field to check/edit codes; Collapse field after or just Save

• 007 physical description

  • ta (print volumes) – see full procedures for other formats

• 008: 0000005u 8 0001uaeng0110927 (fixed fields) – see full procedures for description.

• Hover over 008 field, Right-click; choose Expand Field

• Some of the most important codes to check:

  • R/A Stat: 4 = currently received, 5 = no longer receiving (cancelled or gift), 2 = ceased by publisher

  • GenRet: 8 = permanently retained (most); 6 = retained for limited period (i.e. current issue only)

  • Language (of captions): eng = English language captions (unless they’re not)

022 ISSN number

• copy/paste from bib record (has been optional at USU CMS, maybe should start doing?)

035 OCLC number

• copy/paste from bib record, if missing: 035 (OCoLC and number),

• (OCoLC)123456789

583 1 Action field: committed to retain (+ related 561 fields)

• At USU only used for consortia-type holdings: “committed to retain” only add if editing a serial with holdings archived by USU Libraries (as part of a consortium/group: GWLA, WEST, etc).; may also have one or more 561, or other related fields - in general we shouldn’t do anything to this field (or any related field(s)). Unless specifically working on a serial for a consortium/group effort to preserve volumes.

852 field: mainly call number (as used in Sierra)- more generally in MARC21: location

• Indicators show the call number scheme (see the Full Holdings Procedures for all possibilities):

• Holdings created during the Sierra migration can be blank, incorrect, or incomplete:

  • 01 = LCC (most common)

  • 11 = Dewey

  • 31 = SuDoc

  • 6_ = Monographic series shelved under separate call numbers

  • 8_ = Other (including SCA local call numbers)

• In new records, the 852 will largely consist of the call numbers in |h and |i (if needed)

  • 852 01 |hQK355|i.F594 1998

• Holding Records generated during migration of Horizon to Sierra may have a lot of odd subfields/codes in the 852 field; we’ve been leaving them in, except reformatting LC call numbers into |h and |i subfields:

  • 852 01 |1g|2gjrnl|aUUS|bNBARN|cBARNJRNL|hQK 1 .B345

  • 852 01 |1g|2gjrnl|aUUS|bNBARN|cBARNJRNL|hOK1|i.B345 ← like so

    • (Green = migration conversion subfields)

  • Not all call number schemes require |h & |i subfields:

    • |h |i are roughly equivalent to the |a and |b of bib’s 050/090

  • Other call number format examples:

    • 852 31 |hC 21.5: ← SuDoc number

    • 852 8 |hBOOK COLL 48 ← 099 local call number

    • 852 11 |1i|2idbks|aUUS|bSPECCOLL|cSPDEWEYBKS|h350.86 |iUt13 ← Dewey Decimal

  • |z public note:

    • For Serials, we sometimes mention missing/extra issues in |z.  For example:

      • 852 01 |1o|2o|aUUS|bWHERBARIUM|cHERBARIUM|hQK1|i.B345|zsome missing issues

      • 852 01 |hQK110|i.F55 1993|zsome volumes have multiple copies

    •  Some holdings records may show a sublocation in |z not covered by location codes in Sierra:

      • 852 01 |hM3|i.B992|zMusic Reference

853/863 field: the Actual Holdings

• This WF will cover only the fields/subfields mostly commonly needed for NISO Level 3 Holdings

• See specific examples: Reading and making edits to Holdings 853/863/866 fields

853 03 |81 |av. |i(year) - Captions & patterns

• Indicators:

  • 03 (most common)

• |8 - is a linking subfield usually: 1

• |a - the caption used for the first enumeration, usually: v.

• |i - chronology usually has no caption, instead it’s usually: (year)

863 30 |81.1 |a1-200 |i1900-2000 - Holdings numbers/dates

• Indicators:

  • Single volumes will have indicators: 31

  • multiple volumes with a dash will have: 30

• |8 - linking field: usually will have 1.1, 1.2, 1.3, and so on (unless the series enumeration changes)

• |a - holds the first level of enumeration

• |i - holds the first level of chronology

866 fields - textual holdings (many of our older holdings)

• 866 fields will use text formatting instead of the more machine-compliant 853/863 field codes, the formatting of which will vary considerably. See also examples: Reading and making edits to Holdings 853/863/866 fields

Other 8xx Fields not covered here

• There are a lot more holdings fields that can be used in Holdings Records, such as special ones for supplements (not generally used in Level 3), or to detail various oddities in a serials history over time; review the Full Holdings Procedures for more information: MARC Holdings Records Full Procedures (which also covers other odd situations & numbering encountered in serials holdings).

Reading and making edits to Holdings 853/863/866 fields

853/863 for multivolume monographs:

• For Serial examples, see further down, or jump directly: Holdings Record Brief Workflow | 853/863 for serials:

For 863 with no gaps, simply update the volume numbers:

• Example: holdings are v. 5-9, with a new v. 10             

For 863 With Gaps: with missing volumes, there will be more than one 863; with a gap subfield |wg

Example: v. 5, 7-11, with new v. 12

• Last 863 should not have the |w gap subfield  

If the new volume fills a gap, one 863 field will need to be deleted & its volume numbers merged – and all the corresponding subfield |8 numbers will need renumbering in order (1.1, 1.2. 1.3, etc.). (Many multivolume monographs will have volumes published out of order.)

Example: v. 4, 6, 8, 10-11, 13, 15-18, 23, 25; new v. 14 

• Single volumes will have indicators: 31

• multiple volumes without gaps will have: 30

• Last 863 won’t have the |w gap subfield

Or a new volume might create a gap, as in the example below:

• Again, you will need to renumber the corresponding numbers in subfield |8:

Example: v.4, 6, 8, 10-11, 13-18, 23, 25, new v.1  

• Single volumes will have indicators: 31

• multiple volumes with a dash will have: 30

• Last 863 won't have |w gap subfield

853/863 for serials:

Most Subscription Serial holdings will be open ended and are generally intended to continue indefinitely.

• For NISO Level 3, we do not show the individual issue numbers of serials (at least in part, because most will be bound into volumes, but also, NISO Level 4 coding is extremely complicated).

• Open-endedness will usually be shown with a single dash “-“ at the end of the volumes & years, OR

• in 866’s, with a dash and/or the phrase “to Date.”

If the last 863 or 866 field is open-ended, there is usually no need to edit the serial holdings record, just do a quick check of the volumes looking for gap creations or closures and if found, correct by adding or subtracting 853/863, and renumber, as needed.

Serial volumes & years –-open ended using 853/863 fields:

Example: a new volume arrives of the current year, and no sign of a gap after v.5 (1975))

• with only one 863 field, no |w gap subfield is needed

Serial volumes & years using several 853/863 – a lot of volume gaps, with last 863 open ended:

Example: a new volume arrives of the current year, and there’s no gaps after v. 52 (1965)

Non-subscription serial (which needs a new holdings record):

We have: Vol. 1 (1900)-v.23 (1923), v.28 (1928)-v.30 (1930), and v.43 (1943)-v.54(1954)

A couple of serials volumes arrive from trading with another library:

Example: v. 31 (1944), v. 49 (1962)

• One of the volumes fills a gap (yay!); but, several 863s will require editing, deletion, &/or renumbering.

More than one type of enumeration in a serial:

Example: the serial descriptors change from “volume” to “issue”; the title also has a gap in holdings right at the caption change, but we do not know whether or not the volume/issue was published or not.

• The different 853/863 fields are linked through their subfield 8 numbers:

Ordinal enumeration (1st, 2nd, 3rd, etc.):

• We usually use (ed.) with parentheses in the 853 to show there is no caption:

866 fields:

You can convert these to 853/863 fields, if you have the time & knowledge, with certain exceptions (see below), but if uncertain how, just update the textual holdings information as needed.

Do not convert 866 fields if:

• Volumes are kept for a limited period: 866 30 |80 |aCurrent year only.

• The library needs to retain detail in the 866 field (especially rare/unique serials in SCA).

  • For 866 fields that are kept: NISO has standards for textual punctuation and abbreviations that most of our 866 holdings texts don’t match; we've not yet decided if/when we need to update them.

  • Some enumeration are so complex, that the old-style textual holdings should just be kept for clarity.

Examples of 866 conversions to 853/863 fields:

Serial volumes & years—text-based & old style full level holdings, open ended

Serial volumes & years—old style full level holdings, with gaps

Example of keeping a 866 field with full level enumeration/chronology for SCA or Beat Mag. serial:

Another example where keeping fuller holdings information is better:

• A government document with two different call numbers and (complicated) enumeration

Quality Checking

Statistics

• Counted separately from other Sierra edits.

• Count as editing a Holdings Record; unless you created one from scratch

Deleting

• (copied directly from full procedures)

• If bib record has remaining holdings (such as in a branch library):

  • 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 a 866 subfield |81 to |80 or similar

• Otherwise, simply delete the holdings

Other holdings record resources:

Our workflows, procedures, & training:

• Creating Holdings Records in Sierra

• MARC Holdings Records Full Procedures

• Multi-volume Monograph Holdings Records

• OCLC LHR (local holdings record) Procedures (using OCLC Browser)

• Now under development: OCLC LHR procedures using WorldShare Record Manager

National and International Standards:

• OCLC’s Holdings Record format & standards:OCLC-MARC local holdings format and standards

• LC’s MARC21:MARC 21 Format for Holdings Data: Table of Contents (Network Development and MARC Standards Office, Library of Congress)

• NISO Holdings Statements Standard-2006 (2011): https://groups.niso.org/apps/group_public/download.php/18121/Z39.71-2006_(R2011).pdf