Bibliographic Cataloging: Continuing Resources: Appendix C

Holdings records for serials

General Information

The holdings record (HOL) contains holding and location information for the items associated with a bibliographic record. Different types of bibliographic items (single-part, multi-part, or serial) require different HOL metadata. Additional metadata may also be added for supplementary material, and for indexes. At GPO, a holdings record typically contains caption and pattern fields (MARC 21: 853-855), enumeration and chronology fields (MARC 21: 863-865), and textual holdings fields (MARC 21: 866-868). Our holdings records are automatically generated and properly formatted via OCLC export codes, some of which require additional editing after export.

Holdings Record Policies:

ONLY ONE (1) HOL record per bib record.

• Additional HOL records may be added as necessary for partnership or other project purposes.
• HOL records can only be deleted by LSCM Systems. Direct all requests for HOL deletion to LSCM Systems.
• Report HOL errors to supervisors for correction.

Coding & Formatting Holdings Records

The chart below indicates what the HOL coding should be for each format.

MARC field	Mono	Multi Part	Serial/IR (tangible)	Serial/IR (online)
LDR (06)	x	v	y	y
LDR (17)	1	1	4	4
008 (06)		4 if incomplete 2 if complete	4 if live 2if discontinuted	4 if live 2 if discontinued
852	852 3_ |a  DGPO     |b  NABIB     |c  GEN     |h  [086 SuDoc]	852 3_ |a  DGPO     |b  NABIB     |c  GEN     |h  [086 SuDoc]	852 3_ |a  DGPO     |b  NABIB     |c  GEN     |h  [086 SuDoc stem]	852 3_ |a  DGPO     |b  NABIB     |c  GEN     |h  [086 SuDoc stem]
852 Rules	Only one 852 set  Full SuDoc – same as 086 |a on bib	Only one 852 set If Single 086 on bib: Same as appears in 086 |a See Classification Guidelines If Multiple 086 on bib (options): Use lowest # 086 086 from vol. 1 of set First 086 to arrive/on bib	STEM ONLY, must match 086 |a As many sets of 852 as need, provided 086 |a on bib. In order from Oldest to most recent.	STEM ONLY, must match 086 |a As many sets of 852 as need, provided 086|a on bib. In order from Oldest to most recent.
853	No	No	Yes, see pattern making document	No
86X	No	No	Yes. Use 86X41	Yes. Use 86X41
86x Rules			See Summary Holdings Statements for Serials & IRs section for details Document start and end of range, non-gap breaks. For missing issues use: |z Some issues not received	See Summary Holdings Statements for Serials & IRs section for details Document start and end of range, non-gap breaks. For missing issues use: |z Some issues not received

 

Summary Holdings Statements for Serials & IRs

What is a Summary Holdings Statement (SHS)?

SHS is a narrative statement of issues held by an institution. It appears on the Holdings Record of Serials and Integrating Resources (IRs). Rules regarding the construction of the SHS at GPO have changed over time. This represents the most current requirements. Existing 86X fields can be edited to conform to this current practice. Please note, all numeric information should be converted to Arabic numbers (Ex. VII becomes 7).

MARC Codes used:

866 – Regular issues, Base/Basic issues
867 – Supplementary issues, Special issues, Updates/Changes
868 – Indexes

86X Field Indicators

Use 86X 41

Symbols used in holdings statements:

– [hyphen]	Placed between first and last issues in a range with (or without) missing issues.          ex: v.1:no.3(2000:Mar.)–v.12:no.12(2012:Dec.)
– [hyphen]	Placed at the end of an open holdings statement indicating GPO is currently receiving issues on an ongoing basis.          ex: v.1:no.3(2000:Mar.)–
, [comma]	Used to indicate a gap between ranges of issues.          ex: v.1:no.3(2000:Mar.),v.10:no.5(2010:May)-v.12:no.12(2012:Dec.)
; [semicolon]	Used to indicate for non-gap break (Non-gap breaks include issues that were never published and changes in numbering schemes or frequency).          ex: v.1:no.3(2000:Mar.)–v.10:no.12(2010:Dec.);v.11:no.1(2011:Jan./Mar.)-
_ [space]	Blank spaces are not used between elements in a Holdings statement except in some situations: between month & date, e.g. (2007:Aug. 05) between elements not otherwise separated by punctuation, e.g.: new ser., update 5; 5th ed., 106th Cong.:1st sess.

 

Formatting summary holdings statements

• Indicate first issue/start of range – cut and paste item description
  866 41 |a 2018
  866 41 |a v.1:no.3(2017:Mar.)
  866 41 |a pt.1-189(1985)
  866 41 |a H.Rept.114-903(114th Cong.:2nd sess.:2016)

• Use a hyphen at the end of 866 for live serials.
  866 41 |a 2018-
  866 41 |a v.1:no.3(2017:Mar.)-
  866 41 |a pt.1-189(1985)-
  866 41 |a H.Rept.114-903(114th Cong.:2nd sess.:2016)-
  866 41 |a FY 2002-

• Indicate changes in numbering scheme or frequency using semicolon between issues.
  866 41 |a v.7:no.4(2005:Summer)-v.9:no.4(2007:Summer);issue36(2007/2008:Fall/Winter)-
  866 41 |a 1st qtr.(1980)-4th qtr.(1997);1998-

• Indicate end of range or “close out” statement for ceased titles by adding last issue to end of 866.
  866 41 |a 1969-1975,2010-2019
  866 41 |a v.1:no.1(1998:Jan.)-v.21:no.7(2018:July)
  866 41 |a FY 2002-FY 2022

• Add a public note (|z) as necessary to indicate missing issues or availability
  Tangible, live serial, missing issues
  866 41 |a v.1:no.1(1998:Jan.)-
         |z Some issues not received
  EL, ceased serial, missing issues
  866 41 |a v.1:no.1(1998:Jan.)-v.21:no.7(2018:July)
         |z Some issues not available
  EL, live, some issues archived. Current issue only available at PURL
  866 41 |a 2014-
         |z Some issues not available

Holdings Record Resources

For detailed description of MARC Codes and indicators, see:

• ANSI/NISO Z39.71-2006 (R2011) Holdings Statements for Bibliographic Items
• MARC 21 Format for Holdings Data
• OCLC-MARC local holdings format and standards
• CONSER Abbreviations for Captions list

Internal GPO Documentation: LTS Holdings Record Documentation

See LSCM DI 13-2023 

• Section 2.1.1 Modifying a Holdings Record (page 6)
• Section 2.1.2 Creating a Holdings Record (page 6)

Internal GPO Documentation: Updating fields in ALEPH:

ALEPH Staff User’s Guide – Cataloging

Internal GPO Documentation: OCLC export code details:

MARC 049 Export Codes for CGP Records

Item records for serials

General Information

The item record represents a copy of a title held in a library. The record’s data indicates where a copy is located, the media type or format, and the date that the copy was added to the library system. An item record has multiple fields that store library-coded and system-generated data. Multiple item records can be attached to a single holdings record.

The item concept is important because it is the level at which libraries do inventory, circulation, interlibrary loan, and report counts of the library's holdings, etc. "Item" is the lowest and most concrete level of the FRBR (Functional Requirements for Bibliographic Records) bibliographic resource description. Unlike a bibliographic record, which may exist in the catalog independently, an item record must be attached to a holdings record.

GPO Policy and Practice

At GPO, all formats of monographs and only tangible serials have an item record. The item record represents a publication that is in scope of one of the Superintendent of Documents programs: Federal Depository Library Program or Cataloging & Indexing.

Serial item records can be created through the use of prediction patterns or manually at the time of check-in. The captions (e.g. enumeration or chronology) and patterns used in the description of item records follow MARC 21 Format for Holdings Data (MFHD) (Tags 853-855) and ANSI/NISO Z39.71-2006 (R2011) Holdings Statements for Bibliographic Items.

GPO retains item specific information in item records and not in the holdings records (Tags 876-878).

Common Data Elements in GPO Item Records

Sublibrary: specifies the location of the item
Collection: GEN (General)
Material Type: specifies the material type of the item; serial items use the ‘issues’ material type
Hol Link: link to the holdings record
Call no. (Required): Superintendent of Documents Classification number for the particular issue being checked-in
Item Status: specifies whether or not the item was distributed to Federal Depository Libraries
Item Process Status: indicates the status of the issue in the acquisitions/cataloging workflow
Description (Required): includes detailed issue level information including chronology and enumeration
Shipping List Information: unique number identifying the shipment number of an item that was distributed to Federal Depository Libraries
Enumeration: numeric information associated with the issue (e.g. v., no., pt.)
Chronology: date associated with the issue (e.g. year, month, day, and seasons)

Item Record Resources

• 853-855 Captions and Patterns
• 63-865 Enumeration and Chronology
• ANSI/NISO Z39.71-2006 (R2011) Holdings Statements for Bibliographic Items

Internal GPO Documentation: LTS Item Record Documentation

See LSCM DI 13-2023
     Section 2. Setting up a serial for check-in (page 6)
     Section 3. Item Records (page 16)
     Appendix B: Example Item Record Descriptions with Serial Levels (page 48)

Subscription records

General information

Serial subscription records allow a library to manage its budgetary spending for serial subscriptions, track renewal periods, etc. It is the best use of library resources if subscription records can be set up with the intent of maintaining them for a lengthy period of time. A new subscription starts with the chronological and/or numeric designation of the item in hand. A subscription record includes a title (from the bibliographic record) with many items connected to that title.

Common Data Elements in Serial Subscription Records

Library: specifies the physical or virtual location
From Date: Beginning date for the serial subscription, i.e., the date of the issue that the serials technician/librarian has in-hand. For GPO, the earliest date that can be entered: 01/01/1901
To Date: Ending date for the serial subscription. The latest date that can be entered: 31/12/2099
Item Status: specifies whether or not the item(s) are circulated and the period of time that an item can be checked out. GPO uses Item Status to indicate whether or not an item is distributed to the Federal Depository Libraries
Collection: GEN (General)
Classification Type: specifies what kind of classification system is being used, e.g., Library of Congress Classification (LCC), Dewey Decimal Classification (DDC), Superintendent of Documents Classification (SuDocs), etc.
Vendor Code: specifies the issuing body/agency or the serial subscription service provider
Hol Link: link to the holdings record

Subscription record resources

Internal GPO Documentation: LTS Subscription Record Documentation

See LSCM DI 13-2023
     Section 2.2 Creating a Subscription Record (pg. 8)

Prediction patterns

General information

A prediction pattern (or just pattern) is used in conjunction with a subscription as a tool to generate item records that may be checked-in. In order to set up a prediction pattern, a subscription record must be created first.

A pattern is not required for item creation or issue check-in. It is an alternative to manually creating item records for each issue of a serial title.

As a general practice, GPO does not utilize the ALEPH “Schedule” option for generating item records.

When to use a pattern

Patterns are normally utilized for regular frequency serials with standard enumerations and chronologies. Some materials, such as Congressional serials, Code of Federal Regulations, titles with multiple volumes per issue, or completely irregular serials cannot be successfully patterned. This does not preclude the use of a pattern for item creation, only that item records generated from a pattern for these publications may require extensive editing to be accurate and useful.

When to run a pattern

A pattern may be “opened” or new item records generated, at any time. However, it is advisable to wait until new issues are received before opening a new cycle of items.

How do pattern generated item records operate?

Items created by a pattern have the same characteristics as items created manually. They may be edited and manipulated in the same ways. Once created, item records exist independently of the pattern. Editing of the pattern will not change existing item records.

What do pattern-generated items look like?

The layout, content, and application of all item records are governed by item record policies regardless of how they are made. Items generated by pattern should conform to these policies and include the same data in the same fields as manually generated items. Additional editing of pattern created items may be required to achieve this result.

Prediction Patterns for Regular Serials

• A single title may have up to 3 prediction patterns
• Prediction pattern data is stored in the Holdings Record in three pairs of 85X fields. Although these pairs may be used for any pattern, the codes are designated for specific types of materials:
  • 853/853X – Basic bibliographic unit (regular issues)
  • 854/854X – Supplements
  • 855/855X – Indexes
• A prediction pattern consists of two parts:
  • Captions and Pattern - the equation or formula that specifies the number, frequency, and lay out of predicted items. This is coded as 853/854/855.
  • Enumeration and Chronology - the values of the numbers and dates. These values are run through the pattern formula and items are created. ALEPH refers to this data as the Level X. It is coded in ALEPH as 853X/854X/855X. It is equivalent to MARC 863/864/865.
• 85X Field Indicators
  • Fields 853 and 854 have indicators 20
  • Field 855 has blank indicators.
• 85X fields may be edited directly from the Holdings Record or through a menu/form process within the Serials Record. Some modifications can only be accomplished by editing data in the Holdings record.

Prediction Pattern Resources

Internal GPO Documentation: Updating Prediction Patterns in ALEPH

ALEPH Staff User’s Guide – Serials – 3 Prediction Patterns

Internal GPO Documentation: LTS Prediction Pattern Documentation

See LSCM DI 13-2023
     Section 2.3.1 Creating a Prediction Pattern (page 11)
     Section 2.3.2 Modifying Prediction Patterns from the Holdings Record (page 13)
     Appendix A: Prediction Pattern Examples (pg. 30)