# Presentation: 310698

## Holdings Session 3Recording Holdings 

- Holdings Session 3Recording Holdings

*What fields are used for recording issue, volume, and summary holdings data?*
*How are they kept in order?*
*What different display needs can be accommodated?*
*How are gaps in holdings, and changes in serial numbering, handled?*

**Notes:**
Holdings Session 3 -- Recording Holdings
Contents

Overview
Definitions and field structure
Linkage and sequencing
Recording captions and enumeration/chronology
Other captions
Special problems
Exercise
Indicator values
Exercise
Summary

Warm Up Exercises
Discuss with the audience:   What are the different places that serials holdings are on view?  What is the viewer usually seeking in each case?  How well is the user satisfied?

## How holdings are recorded

- In the MFHD, holdings are recorded in two different fields that are _*paired*_
- Fields 853, 854, 855 include the captions and the publication pattern*****
- Fields 863, 864, 865 include the actual enumeration and chronology of a volume, issue, etc.
******Publication patterns will be covered in Session 4.  Patterns are omitted from Session 3 examples.*

**Notes:**
The paired field concept is the heart of the holdings format.  On the one hand, it allows great flexibility and savings in staff time for data entry.  On the other hand, it multiplies the pieces of data that have to work together for full functionality.

## Bibliographic units and fields

- Different fields are used for:
- Basic units (853/863)
- The basic work (e.g., the journal, directory, etc.)
- Supplements to the basic units (854/864)
- Supplements to the basic unit that are not cataloged separately
- Indexes to the basic units (855/865).
- But not serials with the title “index” that constitute a basic unit (e.g., Index Medicus)

**Notes:**
A MARC holdings record may accommodate 3 types of publications associated with a title. 

A basic unit is the title’s base publication. 

Supplement and index units are used for supplementary materials and indexes included in the bibliographic record for a base publication; that is, no separate bibliographic record exists for the supplement or index. 
The fact that a title may contain the word “index”-- or is an index-- does not mean that it would be coded in  855 and 865.  The base monthly issues for Index Medicus would be coded in 853 and 863, while an index volume to volumes of the title would be coded in 855 and 865.

The same is true for titles that contain the word “supplement”.  For these, the enumeration and chronology would be coded in the 853 / 863 and not the 854 / 864.  

## Definitions:  caption data (85X)

_*Enumeration caption*_*:* the word, phrase, or abbreviation used by the publisher to designate each level of the parts issued.  Examples:  Vol., no., Bd.

- 853    $8 1  $a v. $b no. $i(year)$j(month)

_*Chronology caption*_*:* the name of a division of the year.  Understood, but not displayed!

**Notes:**
The captions for enumeration are explicitly given while those for chronology are implicit.  This is because we say “volume” 3, and “number” 1, but not “year” 1999! For implicit captions, surround them by parentheses so as not to display in the OPAC or union list.

The captions entered in the 85X field are used by systems for the display of holdings. Each time a new issue is received or expected, only the numbering is entered by the staff, as the caption in the 85X field automatically is used for display.  

## Caption abbreviations

- Captions are abbreviated using AACR2R, Appendix B  _or_  ISO 832.  The inclusive list is on the CONSER website at:
**http://www.loc.gov/acq/conser/conserhold/Captabbr.html**
*Example: On issue: Volume 1, number 2*
*	**Abbreviated as:      v.             no.*

**Notes:**
A caption is a word, phrase, or abbreviation indicating the bibliographic unit into which a serial or multi-part item has been divided by the publisher. 

Captions are abbreviated using Appendix B of AACR2R or the ISO standard. The CONSER Publication Patterns and Holdings Project has an expanded list of captions available.  If a caption is not found in the appendix or the expanded list, it is keyed in in full.

## 85X field structure

**85X field structure**

**	****indicators****	****	****          **_** Pattern**_** ****(refers back to prev. subf.)****   ****	**** ****More **_**pattern**_
**85X****__ __***** ***** $****8**** **** ****[#]****  **** ****a**** **** ****b  **_** u  v**_** **** ****c...**** ****h**** **** ****   ****i **** ****j**** ****...**** **** ****m **_** w,x,y**_
**Tag****	****      ****  ****Linking **** ****Link    ****	****Enumeration****	****	**** ****Chronology****	****           ****	****        ****  subfield ****  ****no.**** ****  ****	****captions ****	**** ****	**** ****	****captions                                           ****	****	****code****	****    ****	****                        ****	****	****(not displayed)**

- $8     =  Field link
- $a-h  =  Enumeration captions such as v.  no.
- $i-m  =	 Chronology captions such as (year) (season)
- $o, $t  = Other captions (not shown)
- $u - $y = Publication Patterns (Session 4)

**Notes:**
Fields 853-855 consist of the following subfields:
 appropriate tag
 indicator values (which will be discussed at the end of this session)
 $8 and a linking number

 Enumeration subfields
six levels, $a through $f, alternative numbering in $g and $h
  Chronology subfields
chronology subfields $i through $k, alternative chronology in $m
In some cases, other descriptive words for types of supplements and indexes ($o)
The publication pattern for the serial (see Session 4).  Note that some of the subfields ($u, $v) follow the part of the enumeration/chronology to which they apply, while others are added at the end of the field.

##  Definitions (86X): enumeration and chronology data

-  Definitions (86X): enumeration and chronology data

*Enumeration:*  “Designation reflecting the alphabetic or numeric scheme ... to identify the individual bibliographic unit or physical parts ...

* **Chronology: * “The date(s) ... used by the publisher to help identify it or indicate when it was issued. ... may reflect the date of coverage, publication, copyright, or printing.”

- The *data* may be considered apart from the *captions*...

**Notes:**

	<Animated slide.  Definitions appear in succession>
Definitions of enumeration and chronology.

We previously defined enumeration and chronology captions.  Here the definition is for the data that goes with them, the actual enumeration and chronology data found on the piece alongside the caption data.  This data is input into a field paired with the caption field, tagged 86X.

## Enumeration and chronology fields (863, 864, 865)

- Contain the numbering and/or date designation used on the bibliographic item, subfielded hierarchically for processing by the computer:

**Enumeration and chronology fields ****(863, 864, 865)**

-  863 41 $8 1.1

- $a 3 $b 1

- $i 1999 $j 06

**Notes:**
Composition of 86X
<Animated slide>
A sample 863 field for Volume 3, Number 1 of the Journal of  Soapbox Oratory is shown.  
Each part of the numbering and date hierarchy is a separate data element within the holdings field.
It is matched with the corresponding 853 element and combined for display.

## 86X field structure

**86X field structure**

*   **Indicators**	**	**	**	**Subfields*
**86X**** _ _   ****8**** 1.****1**** ****   ****a    b    c ...  h****    ****i    j   k ...  m**
**Tag****	****  ****Linking**** ****Link**** ****Seq-****	****Enumeration****	****	****Chronology**
**	****	****  ****subfield****  ****no****.**** ****uence**** ****	****	****data****	****	****	****data**
**	****	****  ****code****	****            ****no.****	****	****	****	****	****	****	****  ****	**

- $8 _._     =  Field link and sequencing
- $a-h        =  Enumeration data
- $i-m        =  Chronology data
- $o, $t      =  Other captions (not shown)

**Notes:**
86X fields include:
 Appropriate tag
 Indicator values 
 Link and sequence number in subfield 8  (853 has link number; 863 adds a sequence number) 
Enumeration subfields
six levels, a through f, alternative numbering in g and h
Chronology subfields
chronology subfields i through k, alternative chronology in m
 Specific title information for supplements and indexes, in some cases.  
Copy numbers, if used.

## Link and sequencing

- Link and sequencing

- How paired fields are connected:
- $8

**Notes:**
We are going to skip over the indicator values for now and come back to them at the end of this session.

We’ll now examine how the pairing of 85X and 86X fields is accomplished by using subfield $8.

## Linking with subfield 8

- NISO display:**   ****	****v.1:pt.1**
**	****	****         ****v.1:pt.2**

- 853     $8 1  $a v. $b pt.     [*Caption field*]			***link number***
- 863    $8  1.1  $a  1 $b 1     [*Enumeration field 1*]
- 863    $8  1.2  $a  1 $b 2     [*Enumeration field 2*] ***    ******sequence number***

**Notes:**
The 853 contains subfield 8 as the first subfield with the link number of 1.

The 863 fields also contain a sequence number after the link number. This number determines the logical order that the field should display to end users. In the example, if the sequence numbers were reversed, the display would appear as:
v.1:pt.2 
v.1:pt.1

## Putting 853 and 863 together...

- 853    $8 1       $a  v. $b no.    $i (year) $j (month)

-       NISO display:     **v.3:no.1(1999:June)**

-    863    $8 1.1     $a 3  $b 1       $i 1999  $j 06

**Notes:**
 Putting the 863 together with 853
<Animated slide>
Here is how the caption field and the enumeration/chronology fields look when they are paired.
<Click to animate 85X and 86X fields in turn>
Enter captions (and publication pattern)  of the item in the 85X fields. Note the linking number which we will discuss later.
Enter corresponding enumeration and chronology in the 86X fields. 
<Click to animate NISO display>
When the group is displayed, the captions from the 85X field will be displayed with the information from the 86X field.
Notice the use of parentheses to suppress chronological captions from display. Their function is not to place the chronological data within parentheses, although that is also done!

## One to many...

- 853    $8 1  $a v. $b no. $i (year) $j (month)
-    863    $8 1.1 $a 3 $b  1   $i  1999  $j  06863    $8 1.2 $a 3 $b  2   $i  1999  $j  08863    $8 1.3 $a 3 $b  3   $i  1999  $j  10863    $8 1.4 $a 3 $b  4   $i  1999  $j  12

**Possible display:****	****	****	****	**
**v.3:no.1(1999:June)****v.3:no.2(1999:Aug.)****v.3:no.3(1999:Oct.)****v.3:no.4(1999:Dec.)**

**Notes:**
Multiple 86X
<Animated slide>
Multiple 86X fields may pair with a single 85X field. Once the captions and pattern have been recorded in the 85X, this field is not repeated for each issue.
When this group is displayed, the captions from the 85X field are displayed along with the information from each of the 86X fields. 
 Note that here the second level of chronology (month) is expressed as a number but displays in natural language to the patron.  Control systems use the number to predict receipt, but both its input and its display may be in natural language if the system permits, with translation governed by the Language code in the MFHD fixed field.

## Recording captions and enumeration/chronology

## Enumeration/chronology subfield codes

*	**	**	*(enumeration)         (chronology)
- 	853  $8 1    $a - $h      ...          $i - $m
- 	863 $8 1.1   $a - $h       	     	$i - $m
*	**	*are* *correlated for display.
- _However:_
*Extremely low levels (values $d-h and $l) are fairly rare.*
*Below first level, enumeration and chronology *_*data *_*subfields are routinely dropped when holdings are compressed (86X). *
*But *_*there is no need to drop the corresponding captions and pattern,*_* particularly if you want to compress and expand your holdings display in the future.*

**Notes:**
 Correlation of captions and enumeration/chronology
a.  Hierarchy
This slide shows overall correlation of the subfields of the 853 and 863 fields. 
Values below the third level, including the alternative enumeration and chronology subfields, will seldom be used.
Not every subfield needs to be present in a holdings statement.  In particular, when compressing holdings, it is routine to drop internal 86X subfields.
Correlation between 85X and 86X fields is not strictly necessary if not needed for display or compression/expansion, BUT...
There is also no reason to drop the lower 85X captions and pattern when you compress and drop the corresponding 86X data.  Retaining it keeps your options open for computer manipulation of your data (e.g., compression, expansion, linking).  Systems must be able to retain captions with no corresponding holdings information.

## Subfield codes ($a-$m) Example 1 

- Subfield codes ($a-$m) Example 1

*On issue:* June 15, 1998  volume 13 number 4 part 5
*Coded as:*
*	*853 __ $8 1 $a v.  $b no.  $c pt. $i  (year) $j 		(month) $k (day)
- 	863 __ $8 1.1 $a 13 $b 4 $c 5 $i 1998 $j 06 $k 15
*3 levels of enumeration coded in subfields a,b,c; **3 levels of chronology coded in subfields i, j and k.*
*Parentheses ( ) suppress the display of chronological captions.*

- Possible display (NISO):
- v.13:no.4:pt.5(1998:June 15)

**Notes:**
This an example of coding captions and chronology in the 853 and 863 fields. This same coding would apply to the 854/864 (supplementary material) fields. 

In this case there are three levels of enumeration and three levels of chronology.  This just coincidental, as the number of levels for enumeration and chronology do not have to correlate.

## Subfield codes ($a-$m) Example 2

- Subfield codes ($a-$m) Example 2

*On issue:* 1998 no. 1
*Coded as:* 853 __ $8 1 $a (year) $b no.
- 		        863 __ $8 1.1 $a 1998 $b 1
- Year serves as the highest level of enumeration and is coded in enumeration subfield a
*	**	**	*

- NISO display*:*
- 1998:no.1

**Notes:**
This is an example of a serial where the year serves as the highest level of enumeration -- in other words, it substitutes for the volume.  Numbering is repeated within each year.  Thus, both are given as enumeration.

## Subfield codes ($a-$m) Example 3

- Subfield codes ($a-$m) Example 3

*On issue:* May 1998 volume 13 number 14 (no. 2911)
*Coded as:*
- 853 __ $8 1 $a v. $b no. $g no. $i (year) $j (month)
- 863 __ $8 1.1 $a 13 $b 14 $g 2911 $i 1998 $j 05
*2 levels of enumeration coded in subfields a and b*
*2 levels of chronology coded in subfields i and j*
*Alternative numbering for specific piece in subfield g*

**NISO display:**
**v.13:no.14(1998:May)=no.2911**

**Notes:**
Occasionally, a title may employ an alternate numbering scheme to identify its issues. One set of numbering may identify the issue in a hierarchical manner. The other number may identify the number for this issue as the next continuous number for all issues published. The example shows both sets of numbering. 

A system may have trouble either in interpreting or displaying alternate numbering schemes.
This example may display as:
		v.13:no.14(1998:May)=no.2911

## Subfield codes ($a-$m) Example 4

- Subfield codes ($a-$m) Example 4

*On issue:* New series B number 12
*Coded as:* 853 __ $8 1 $a new ser.B:no.
- 		       863 __ $8 1.1 $a 12
- The designation for a series is considered part of the caption
- There is only one level of enumeration and one caption in this example

**NISO display:**
**new ser.B:no.12**

**Notes:**
This example illustrates the use of series designation and numbering. In the example, each issue for the title is individually numbered as the “new series B.” The numbers increment continuously. The publisher has not determined that after a certain number of issues a New series C will be created. As issues are received and checked-in, the numbers increment. 

If the publisher should decide to create a New series C sometime in the future, a new 853 with a new linking number would be keyed.

## Other subfields

- Other subfields

- t - Copy caption (*optional in some systems*).
***Corresponding copy number in 86X $t (not shown)***
*Example:** *
- 853 __ $8 1 $a v. $b no. $u 12 $v c $i (year)
- 		       $j (month) $w m $x 06 $t c.
- o - Type/title of supplementary material or index  [854/855/864/865]
***Corresponding suppl./index title in 86X$o if present (not shown)***
*Example:** *
- 854 __ $8 1 $a (year) $o Buyer’s guide $t c.
- Always immediately follows the caption to which it refers.

**Notes:**
t - Copy caption
Your system or your institution may require that everything be identified by a copy number. In fields 854 or 855, subfield t contains the caption for a copy number such as c.  In fields 864 or 865, subfield t contains the actual number of the copy.

o - Type of supplementary material or index
In fields 853, 854, and 855, subfield o indicates in free text the type of unit, supplement, or index that is held. In fields 863, 864 and 865, subfield o indicates the title of the supplementary material or index.

Note:  $o has recently been defined for the 853 and 863 fields.  It is now uniformly defined for all 85X and 86X fields.  However, some systems have not yet implemented it for the 853 and 863.  Check with your vendor to discover its implementation status.

Note that there is no standard that prescribes the use of capitalization, punctuation, etc. for text in this subfield.
A system may display this free text in your OPAC. 
Systems may display this as:  1996 (Buyer’s guide) or
SUPPLEMENTS: Buyer’s guide:
	    1996

## Special problems:Dates as enumeration, gaps, changes in captions(Further complexities: Session 6)

- Special problems:Dates as enumeration, gaps, changes in captions(Further complexities: Session 6)

## Holdings with dates alone

- If a title has issues designated only with                                     			 dates, the date moves 				  into the enumeration 				  subfield(s).

**1998**
**Annual Report**

- 853 __ $8 1  $a (year)
- 863 __ $8 1.1 $a 1998

**Notes:**
<Animated slide>
 Dates as enumeration
When there is no enumeration, the chronology moves into the enumeration subfields.
As in chronology, captions are suppressed from display by placing them within parentheses.  
Some more unusual types of holdings with dates are covered in Session 6 on complex holdings.

## Noting a gap

**1996**
**Annual ****Report**

**1998**
**Annual ****Report**

- 853 __  $8 1  $a (year)
- 863 __   $8 1.1 $a 1996
- 863 __   $8 1.2 $a 1998
- 863 __   $8 1.3 $a 2000

**2000**
**Annual Report**

- Use a subfield **$w**** **in the 863 field before the gap.  Value **g** (gap/piece not held) will display as a comma.

- $w g
- $w n

- May display as:
- 1996,
- 1998;
- 2000

- Value **n** (non-gap break/piece not published) will display as a semicolon.

**Notes:**
<Animated slide>
Gaps
Gaps are noted with the use of a subfield $w in the 863-865 field.
If the missing material was published and is simply not held, the value input is g. The subfield is placed on the line preceding the gap.  You don’t need to enter anything for the gap itself.
If the missing material was not published, the value input is n.
The NISO displays for each of these values are:
a gap displays as a comma, 
a non-gap break as a semicolon.

## Handling changes in holdings

- When captions or pattern changes, a new 85X with a different linking number must be coded.

-  853   $8 1 $a bd. $b nr. $i (year) $j (month)
-  863   $8 1.1 $a 1-25 $i 1971/1972-1995/1996

-  853   $8 2 $a v. $b no.  $i (year) $j (month)
-  863   $8 2.1 $a 26- $i 1996/1997-

- _NISO display:_
-  		bd.1(1971/1972)-25(1995/1996)
- 	      v.26(1996/1997)-

**Notes:**
<Animated slide>
Handling changes in captions and patterns
When either the captions (name of bibliographic unit) or the pattern (numbering scheme, frequency and other codes indicating issuance) change:
Input a new 85X field with a higher link number, and start a new sequence of 86Xs with that link number, followed by a sequence number.  Onscreen, there is an example of a changed caption from Swedish to English.  The new 853 with English captions has link number 2 in subfield 8.  The 863 holdings are compressed so have dropped the lower data (months).
Some systems allow restarting with sequence number 1; others require simply continuing to increment the sequence numbers regardless of the link. Either method should not be a problem, but migration of the data might be!  This is a format harmonization issue.
Systems ordinarily do not require that the very next number be used; gaps can ordinarily be left between numbers so that material may be fitted in. 
But look for a system that allows sequence numbers to be easily reordered! 

Note on chronology caption:  “(year/year)” is now discouraged because it may interfere with vendor functionality. 

## Exercise

- 1.  You have a subscription to the Journal of Soapbox Oratory.  You have received: v. 3, no. 1 (June 1999), v. 3, no.2 (August 1999), v. 3, no.3 (October 1999); v. 3, no. 5 (February 2000) and v. 3, no. 6 (April 2000).  No issue was published for v. 3, no. 4.    Using the Handbook,  give the captions, enumeration, and chronology for the first 5 issues of receipt, corresponding to the 853 enumeration and chronology captions.  Don’t worry about indicators (that will come later).
- 853 _ _ $8 1 $a         $b            $i              $j
- 863 _ _
- 863 _ _
- 863 _ _
- 863 _ _
- 863 _ _

## 
Answer sheet
1.  You have a subscription to the Journal of Soapbox Oratory starting with  Volume 3, no. 1 (June 1999).    Using the Handbook,  give the enumeration and chronology for the first five issues of receipt, corresponding to the 853 enumeration and chronology captions. 

853 _ _ $8 1 $a v. $b no. $i (year)$j (month) 
863 _ _ $8 1.1 $a 3 $b 1 $i 1999 $j 06
863 _ _ $8 1.2 $a 3 $b 2 $i 1999 $j 08
863 _ _ $8 1.3 $a 3 $b 3 $i 1999 $j 10 $w n
863 _ _ $8 1.4 $a 3 $b 5 $i 2000 $j 02
863 _ _ $8 1.5 $a 3 $b 6 $i 2000 $j 04

**Answer sheet**
- 1.  You have a subscription to the Journal of Soapbox Oratory starting with  Volume 3, no. 1 (June 1999).    Using the Handbook,  give the enumeration and chronology for the first five issues of receipt, corresponding to the 853 enumeration and chronology captions.
- 853 _ _ $8 1 $a v. $b no. $i (year)$j (month)
- 863 _ _ $8 1.1 $a 3 $b 1 $i 1999 $j 06
- 863 _ _ $8 1.2 $a 3 $b 2 $i 1999 $j 08
- 863 _ _ $8 1.3 $a 3 $b 3 $i 1999 $j 10 $w n
- 863 _ _ $8 1.4 $a 3 $b 5 $i 2000 $j 02
- 863 _ _ $8 1.5 $a 3 $b 6 $i 2000 $j 04

- Exercise

## Indicators for 85X and 86X

**85X**
- 1st  indicator	 = 	Compressibility and expandability 				[853, 854 only] --  whether data *can **	**	**	*be compressed or expanded
- 2nd indicator = 	Caption evaluation -- did you look at 			the piece?
**86X**
- 1st indicator = 	Level of specificity -- detailed, 				summary, etc.
- 2nd indicator = 	Form of holdings (compressed or 				uncompressed)  -- is it one, or more 			than one, *physical* piece (or volume)?

**Notes:**
Indicator values for 85X and 86X fields

The 85X 1st indicator is based on the presence of a publication pattern, which allows for compression or expansion of the data given in the corresponding 86X fields.

The 85X 2nd indicator shows whether actual pieces were examined and the captions are exactly as they appeared on the pieces.

The 86X 1st indicator shows the levels of the data as we discussed earlier, but this time the level is in the context of the individual volume or issue.

The 86X 2nd indicator shows whether the holdings are already compressed and whether they are used for display.

## Compression/E-x-p-a-n-s-i-o-n85X 1st indicator / 86X 2nd indicator 

*C**ompression*/E-x-p-a-n-s-i-o-n85X 1st indicator / 86X 2nd indicator

_*Compress*_*: *To display a range of holdings in terms of the enumeration and/or chronology of only the first and last parts held
- v.1-13
- Automated compression of holdings in more than one level is only possible by means of the publication _pattern,_ acted upon by a computer algorithm.
_*Expand*_*: *To do the opposite!
- v.1:no.1 v.1:no.2 v.1:no.3
- Expansion of compressed holdings results in an itemized, piece by piece or volume by volume display.  It also employs the publication pattern if two or more levels are present.

**Notes:**
Compression
Compression of holdings means that if a pattern is present, the system uses a computer algorithm to compress all the single issue lines (NISO level 4 or 5 holdings) of the MFHD record and collapse them into a range. A compressed holding makes a good first display, though other displays might be desirable for those seeking more detail.  It is also good for reporting output.  At its most advanced, compression takes account of breaks in the holdings, compressing statements around each break.  If more than one level of holdings is present, e.g., both volumes and numbers, it is necessary to input pattern elements so that the computer can calculate how to compress the statement.

Expansion
The concept of expansion is the exact reverse of compression, that is to take compressed (range) holdings and create issue level or volume level statements. Level 3 holdings can be expanded (but only to the volume level).  Level 4 holdings can be expanded to the issue level if a publication pattern is present and all variations are correctly noted.

## 85X First indicator:  compressibility and expandability [853, 854 only]

- Values are:
-           0 - Cannot compress or expand
-           1 - Can compress but not expand
-           2 - Can compress or expand
-           3 - Unknown

**Notes:**
The 853 and 854 1st indicator is coded according to whether compression or expansion is possible.

Note that this indicator gives permission for a computer to compress or expand the OPAC display; it does not speak to the actual form of the data.  So, if the 85X indicator is set to 1 or 2, and the data is already in compressed form, it would be compressed a second time for the display.

Index units cannot be compressed or expanded, so the first indicator is left blank for an 855.  

## 85X First indicator 0 Cannot compress or expand  [853/854] 

- 85X First indicator 0 _*Cannot compress or expand  [853/854]*_* *

*Example:*
- 	 853 00 $8 1    $a v.   $b no.  $i (year) $j (month)
- 863 40 $8 1.1  $a 1   $b 3-4   $i 1994   $j 07-10
- 863 41 $8 1.2  $a 2   $b 1   $i 1995  $j 01
*May display as:*
- 		v.1:no.3(1994:July)-1:4(1994:Oct)
- 		v.2:no.1(1995:Jan.)
- These holdings have no pattern present.  Despite the detail given, they cannot be  expanded or compressed.

**Notes:**
Because the computer has no data on how many issues per volume, nor does it have a frequency (i.e. it lacks a pattern), it cannot tell whether it can compress these holdings further or expand them to full itemization.  For example, it cannot tell whether or not volume 2, number 1 follows immediately after volume 1, no. 4.  The missing values are some of the pattern elements that will be covered in Session 4.  

First indicator 0 will often be used when manually inputting retrospective holdings without patterns.

## 85X First indicator 1Can compress but not expand 

- 85X First indicator 1_*Can compress but not expand*_

*Example:*
- 853 10 $8 1   $a v.  $b no. *$u 4 $v r* $i (year) $j (month)
- 863 40 $8 1.1  $a 1   $b 3-4   $i 1994   $j 07-10
- 863 41 $8 1.2  $a 2   $b 1   $i 1995   $j 01
*May display additionally as:*
*	**	*v.1:no.3(1994:Jul.)-2:1(1995:Jan.)
- Can compress because the pattern for “no.” will tell the computer that there are four numbers to a volume, so these parts are sequential.  To expand, however, it would need to know frequency and point in the year when the new volume should begin (as on next slide).

**Notes:**
Now we add the data that there are four issues, numbered 1 to 4, within each volume.
(Mini-preview of  the pattern elements)

These holdings may be compressed because the pattern will tell the computer that these issues are sequential.  The computer can use the pattern algorithm to calculate that volume 2, part 1 should follow volume 1, part 4.

If the holding were a compressed holding and the computer were asked to expand it, however, it would need more information:  the frequency of the serial, the calendar point at which the volume changeover takes place (called calendar change), and any variations to be reckoned in the numbering or chronology. 

## 85X First indicator 2 Can compress or expand

- 85X First indicator 2 _*Can compress or expand*_

*Example:*
- 853 **2**0 $8 1 $a v. $b no**.*****$u 4 $v r*** $i (year) $j (month)
*	****$w q  $x 01****** ***
- 863 40 $8 1.1  $a 1   $b 3-4  $i 1994   $j 07-10
- 863 41 $8 1.2  $a 2   $b 1   $i 1995   $j 01
*May display additionally as:*
- 	 Compressed: v.1:no.3(1994:Jul.)-2:1(1995:Jan.)
- 	 Expanded:    v.1:no.3(1994:Jul.) v.1:no.4(1994:Oct.) 		       v.2:no.1(1995:Jan.)

**Notes:**
A system could both compress and expand these holdings because, with the pattern of the parts per volume
plus the overall pattern elements of frequency, calendar change, and variations (if any) in publication schedule, 
there is enough information for the computer to make the necessary calculations. 

Also use this value if there is only one level (the first or highest level ) of caption data; i.e., only combinations of 85X $a, $i, $g, and $m.
(The first two subfields are the used for the first level captions of the main numbering; the latter two subfields are used for the first level captions of the alternative numbering, if any.)

## 85X First indicator 3--Unknown compressibility

- 85X First indicator 3--_*Unknown compressibility*_

- It is unknown whether enumeration and chronology data in the linked 863 or 864 field can be compressed or expanded.
- This value is often the default value for the automated creation or conversion of holdings data.

**Notes:**
Conversion or creation programs used by systems will often ask that a default value be assigned to a particular field. This is asked because those systems use programs that validate indicators against a table of authorized values. When converting data from one system to another or creating holdings automatically from other system records, systems that use a validation table require a valid code. 

Clean-up of these automated converted or created records may require manual resetting of indicator values.

## 85X Second indicator: Caption evaluation [853/854 only]

- 85X Second indicator: _*Caption evaluation*_ [853/854 only]

- Indicates the completeness and accuracy of the captions for the various levels of enumeration and chronology and whether they have been verified from the pieces.
*Values:*
-           0 - Captions verified; all levels present
-           1 - Captions verified; all levels may not be 			present
-           2 -  Captions unverified; all levels present
-           3 - Captions unverified; all levels may not be 		present

**Notes:**
The 85X second indicator communicates whether or not issues have been physically examined to determine captions and the levels of enumeration. This indicator is typically used for reporting or display purposes. 

Note:  If you are substituting English captions for foreign languages, use value 2 or 3.
Because the captions in an index holding refer to the volumes indexed, the second indicator is not used in an 855 field.  In fact, both indicators are blank.

## 86X First indicator: level of specificity

- 86X First indicator: _*level of specificity*_

- blank    No information provided
*may be set during system conversion*
- 3		      Summary holdings
*only at the first (volume) level *
- 4		      Detailed holdings
*accurate to all levels of enumeration & chronology*
- 5		     Detailed with Piece Designation
*usually for barcoded or accessioned parts*

**Notes:**
 Indicators - First indicator
The Z39.71 level of specificity for the data in this repeat (the enumeration and chronology in this range).
Level 3 summary holdings
 if you know you have some part of a volume but you do not know which part
Level 4 detailed holdings
 you guarantee that all holdings are described accurately, including any gaps in holdings.
Level 5 detailed with piece designation
field represents an itemized unit, and links to item information with a designation (barcode or accession).  In updated systems, some item information is carried in  876, 877, or 878 field.
Items are discussed in Appendix 10.

## 86X second indicator: Form of holdings 

- 86X second indicator: _*Form of holdings*_* *

- 0		-	Compressed; display is generated
- 1		-	Uncompressed; display is generated
- 2		-	Compressed; use Textual display
- 3		-	Uncompressed; use Textual display
- 4		-	Item(s) not published
*Note:  The only valid values for ****865 (Index) ****are second indicators ****1 ****and**** 3 (uncompressed).  ***

**Notes:**
Indicators - Second indicator
2 purposes:
      1) Tells whether the holdings statement represents
        -a single physical unit, such as one issue or one volume
        -a range of physical units, such as a group of issues or volumes
      2) Instructs the system whether or not this field should display in the online system. 
<Instructors:  It would be good to mention here that coded holdings can be replaced with Textual Holdings fields for display, for reasons of readability, convenience, or other factors.  This process will be more fully described in Session 5>

Therefore four indicator values are needed (0,1,2,3) for the four possible combinations. 
Whether you use 0 or 2, 1 or 3 depends upon the presence or absence of an 866 field elsewhere in the record (866 is discussed in Session 5). Use 2 or 3 if an 866 is present; use 0 or 1 if 866 is not present.
The additional value 4 is defined for items not published, but its use is unclear.  It would be used in lieu of value ‘n’ in subfield $w.

Special case: Holdings for indexes may not be compressed, nor may they display as “not published.”  Therefore the only values used with 865 are 1 and 3 (uncompressed).

## 86X 2nd indicator 1:

- Uncompressed holding (issue level)

- _New holding at time of check-in (Italian title)_853 00 $8 1 $a t. $b n.  $i (year)  $j (month) $k (day) 863 41  $8 1.1 $a 4 $b 1 $i 1997 $j 01 $k 1

- NISO display:
- 		t.4:n.1(1997:genn.1)

**La Cultura**
**Romana**
**Tomo IV**
**Numero 1**
**1 gennaio**
** ****1997**

*We are discussing 2nd indicator value 1 before 0*
*because that is the logical progression!*

**Notes:**
Fully itemized (uncompressed) holding (Check-in)
<Animated slide. The instructor may fill this holding in interactively with the aid of a flipchart, or display the values on the screen. Explain that it illustrates how one would receive a title at the “issue level” during the check-in process. > 
Value 1 is used in the 2nd indicator when there is no range expressed within the holdings statement.

Note that this example also includes interesting things such as roman numerals and Italian captions, which will be discussed a little later.

## 86X 2nd indicator 0:Partial compression--volume-level holdings

- 86X 2nd indicator 0:Partial compression--volume-level holdings

**LA CULTURA ROMANA**
**      **
** ****4**
**1-12****      **
**      ****1997**
**       ****genn.-**
**     ****giugno**
**937.35**
**.C8**

**LA**
**CULTURA ROMANA**
**      ****4**
**13-24**
**1997**
**luglio-dic****.**
**937.35**
**.C8**

**LA**
**CULTURA**
**ROMANA**
**      ****5**
**1-12**
**1998**
**genn.-giugno**
**937.35**
**.C8**

- La Cultura Romana bound, and on the shelf...

- We are now instructing libraries to use second indicator 0 for any holding that contains a range—even an internal one..

**Notes:**
Partial Compression to Volume Level
When a title is bound, the issue-level holdings may be partially or fully compressed.
Using partial compression, the library may choose to store holdings at the volume level in order to display circulation statuses, special piece level notes, or the like.
 The physical volume may or may not be equivalent to the bibliographic unit.  Here the volume has had to be split for reasons of size.
<The definition of second indicators 0 and 1 has been unclear.  We are now recommending that any internal range be indicated by second indicator 0; this workshop previously recommended using 1 when the range was simply an internal range but the piece was intended to be itemized.  The change is made because theoretically the computer could uncompress this holding further to the individual issue level.> 

## 86X 2nd indicator 0--Partial compression: volume-level holdings with internal ranges(with barcodes)

**86X 2nd indicator 0--Partial compression: volume-level holdings with internal ranges(with barcodes)**

- 853 20 $8 1 $a t. $b n. $u24 $v r $i (year) $j (month)$k (day) $w s $x 0101

- 863 50 $8 1.1 $a 4 $b 1-12 $i 1997 $j01-06 $p10043235678
- 863 50 $8 1.2 $a 4 $b 13-24 $i 1997 $j 07-12 $p11857763493
- 863 50 $8 1.3 $a 5 $b 1-12 $i 1998 $j 01-06 $p13278765835
- 	...[etc.]
***In updated systems, barcode may be moved to item fields 876-878, but the rest of the coding remains the same.***

**Notes:**
 Itemized holding at Volume Level (OPAC, Report, Circulation System).
<Animated slide>
This screen shows volumes coded as bound (at the physical piece level). This is partial compression; it is also itemization! The “day” level is removed from the actual data in subfield $k, and $j becomes a range.
This is a degree of compression that would match the item record, and could be used in a system that could automatically compress such holdings (with a pattern present).
First indicator 5 shows that the fields contain or are linked to a piece designation (a barcode or other item information, subfield $p). Subfield $p in the newest systems is moved to special item fields 876-878.
Though  barcodes are illustrated here, holdings may be itemized without piece designations.
Second level of the holding (“no.”) retained and compressed (expressed as a range) because the twenty-four numbers have to be split between two physical volumes.
<As an exercise, the instructor may ask for guidance in writing out the public holdings display of this information..  It should then be easy to do the same on the next screen.>
Again:  The definition of second indicators 0 and 1 has been unclear.  We are now recommending that any internal range be indicated by second indicator 0. See notes to previous slide. 

## 86X 2nd indicator 0: Full compression (“range” holdings)

- 853 20 $8 1 $a t. $b n. $u12 $v r $i (year) $j (month)$k (day) $w m $x 0101

**LA**
**CULTURA**
**ROMANA**
- 4
- 1-12
- 1997

**LA**
**CULTURA**
**ROMANA**
- 5
- 13-24
- 1998

**LA**
**CULTURA**
**ROMANA**
- 4
- 13-24
- 1997

- L
- C
- R

**LA**
**CULTURA**
**ROMANA**
- 5
- 1-12
- 1998

**LA**
**CULTURA**
**ROMANA**
- 6
- 1-12
-   1999

- L
- C
- R

- 863 40 $8 1.1 $a 4- $i 1997-

- Possible display:
- t.4(1997)-

**Notes:**
D.  Full Compression: Summary Holding
<Animated slide>
Here is the same data fully compressed from the issue or volume level to the level of a range of volumes.  The second indicator is 0.
For  the first time with Z39.71, it is permissible to code open holdings at Level 4.  This coding is a guarantee (on your part) that all gaps will be entered specifically down to the issue level.
Remember: it is not necessary to delete captions and patterns when you compress.  A system should display only those captions accompanied by data.  The captions and patterns are useful in expanding your data to the issue level.

## Commonly-used indicator values

- The examples in these sessions show the indicator values you are most likely to use with **current receipts:**
**853  ****	****1st ind.****	****2  (Can compress or expand)**
**	****2nd ind.****	****0  (Captions verified; all levels ****	****	****	****      present)**
**863****	****1st ind.****	****4 or 5 (Detailed holdings)**
**	****2nd ind.****	****1   (Itemized holdings)**

## Commonly-used indicator values

- These indicators may be more commonly used with **retrospective holdings**:
- 853	1st ind. 	3    (Unknown compression and 					expansion	2nd ind.	3    (Captions unverified; all levels may 				not be present)
- 863	1st ind. 	3    (Summary holdings with some 				missing issues, unspecified)
- 		2nd ind. 	0    (Range of volumes)

## Ranges of incomplete volumes

- It is helpful when a system allows you to state an entire range of holdings beginning or ending in the middle of an incomplete volume:
- 853  $8 1 $a v. $b no. $i (year) $j(month) $k(day)
-   $8 1.1 $a 1-8 $b 1-10 $i 1991-1998
-         $j 01-04 $k 6-18
*Possible display:*
-     v.1:no.1(1991:Jan.6)-v.8:no.10(1998:Apr.18)

**Notes:**
One of the most helpful features of a few systems now in existence is the ability to “parse” a holdings statement around a hyphen, putting the related elements before the hyphen in one sequence, and the related elements following the hyphen in another sequence (All the elements before the hyphen are related to the beginning of the range, and all following the hyphen relate to the end of the range).

Without this functionality, incomplete volumes have to be “broken out” and stated separately.  It would be very desirable for all systems to learn how to enable us to create this kind of statement in a holdings record.

## Summary

*Holdings for issues and volumes, as well as ranges of issues and volumes, are coded in 863-865, and paired with 853-855 captions for display.  Codes distinguish base volumes, indexes, and supplements.*
*One 85X field can be paired with many 86X fields.*
*A link number of 85X is coded with a sequence number to display the proper captions and order the holdings sequentially. This number increments when captions or patterns change.*

## Summary

*Data fields comprise 6 levels of enumeration, 4 of chronology, plus alternative enumeration/chronology.*
*Holdings can be coded at the issue level, the physical volume level, and the “range” or summary level.  All levels have different uses and functions.*
*Indicators show: *
*Ability to compress, Authoritativeness of captions, Level of specificity, and Status of compression.*

- Here is the answer from our last exercise.  Leave the first 853 indicator blank, since there is no pattern.  Using the space beneath the holdings, write in what the compressed data would look like and supply the other appropriate indicator values (considering these issues as unbound).
- 853 __ $8 1 $a v. $b no. $i (year)$j (month)
- 863 _ _ $8 1.1 $a 3 $b 1 $i 1999 $j 06
- 863 _ _ $8 1.2 $a 3 $b 2 $i 1999 $j 08
- 863 _ _ $8 1.3 $a 3 $b 3 $i 1999 $j 10 $w n
- 863 _ _ $8 1.4 $a 3 $b 5 $i 2000 $j 02

**Exercise**

## ANSWER SHEET

853   0 $8 1 $a v. $b no. $i (year)$j (month)
863 40 $8 1.1 $a 3 $b 1-3 $i 1999 $j 06-10 $w n
863 40 $8 1.2 $a 3 $b 5-6 $i 2000 $j 02-04

**ANSWER SHEET**
- 853   0 $8 1 $a v. $b no. $i (year)$j (month)
- 863 40 $8 1.1 $a 3 $b 1-3 $i 1999 $j 06-10 $w n
- 863 40 $8 1.2 $a 3 $b 5-6 $i 2000 $j 02-04

**Exercise**

## Exercise (Take Home)
v.1 1979  (no.1-4)   Jan,Apr,Jun,Sep      
v.2 1980      “              		
v.3 1981  no. 1			 
v.4 1982				
v.5 1983				

**Exercise (Take Home)**
- v.1 1979  (no.1-4)   Jan,Apr,Jun,Sep
- v.2 1980      “
- v.3 1981  no. 1
- v.4 1982
- v.5 1983

- v.6 1984 + Suppl. 1984    [how would you indicate where suppl. is?]
- v.7 1985
- 1986 (no.1-4) Spr,Sum,Fall,Winter
- Index v.1-5 1979-1983

**Fill in holdings as far as you can.  Summarize where possible, assuming regular numbering.**   **Try with and without the “parsing around hyphens” feature (will need one more field for the latter.)**
- 853 00  $8 1 $a v. $b no. $i  (year) $j (month)
- 853 00  $8 2___$a            $b         $i          $j
- 854 00  $8 1___$a		?
- 855       $8 1     $a		?
- 863 _ _ $8 ___  $a            ?
- 863 _ _ $8 ___  $a            ?
- 864 _ _ $8        $a 		?
- 865 _ _ $8        $a            ?

## Take-Home Exercise
v.1 1979  (no.1-4)   Jan,Apr,Jun,Sep      
v.2 1980      “              		
v.3 1981  no. 1			 
v.4 1982				
v.5 1983				
v.6 1984/wSuppl. 1984

**Take-Home Exercise**
- v.1 1979  (no.1-4)   Jan,Apr,Jun,Sep
- v.2 1980      “
- v.3 1981  no. 1
- v.4 1982
- v.5 1983
- v.6 1984/wSuppl. 1984

- v.7 1985
- 1986 (no.1-4) Spr,Sum,Fall,Winter
- Index v.1-5 1979-1983

- Fill in holdings as far as you can.  Summarize where possible, assuming regular nmbering.
- 853 20 $8 1 $a v. $b no. $i  (year) $j (month)
- 853 20 $8 2   $a (year) $b no. $i (year) $j (season)
- 854 20 $8_1_ $a (year)
- 855      $8  1   $a v. $i (year)
- 863 40 $8 1.1 	$a    1-3 $b 1-1 $i 1979-1981 $j 1-1 $w g  [with parsing]
- 863 40 $81.1       $a    1-2 $i1979-1980
- 863 41 $8 1.2      $a    3 $b 1 $i 1981 $j 1 $w g           [without parsing]
- 863 40 $8 1.3 	$a    4-7 $i  1982-1985
- 864 41 $8 1.4 	$a  1984  $z in v.6
- 863 40 $8 2.1 	$a  1986              [some systems would use $8 2.5, etc.]
- 865 41 $8 2.4 	$a 1/5 $i 1979/1983	       **Answer sheet**

**Notes:**
Notes on the exercise:

The first holdings statement is recorded twice, once in a “parsed” form that can give the whole statement, the second in a form that breaks it into two lines for the complete volumes followed by the incomplete volume.

1986 volume:  If a volume whose main designation is chronological (a year) has both internal numbering and internal chronology, both may be expressed in the captions and pattern.  However, complete volumes may be compressed to only the year.

The supplement is given its own holding even though it is physically located within a base volume.  This is a choice.  If it is minor, it could be mentioned in a public note in the holdings statement for the base volume.

## Display of title from Take-Home Exercise

- Parsed:
- v.1:no.1 (1979:Jan.)-3:1(1981:Jan.),
- v.4(1982)-7(1985) 1986
- Suppl. 1984 <in v.6>
- Index v.1/5(1979/1983)
- 2. Unparsed:
- v.1(1979)-v.2(1980)
- v.3:no.1(1981:Jan.),
- v.4(1982)-7(1985) 1986
- Suppl. 1984 <in v.6>
- Index v.1/5(1979/1983)