# Presentation: 781558

## Holdings Session 4 Recording Patterns(853, 854, 855 fields subfields $u - $y)

- Holdings Session 4 Recording Patterns(853, 854, 855 fields subfields $u - $y)

*What are patterns?*
*Where do you record publication patterns? *
*How do systems correctly predict expected issues?*
*What happens when a publication changes frequency or publication pattern?*

**Notes:**
Holdings Session 4 -- Recording Patterns
 Contents
	Overview (Slides 1-7)
	A. Bibliographic units per next higher level: subfield $u (Slides 8-9)
	B. Numbering continuity: subfield $v (Slides 10-11)
	C. Frequency: subfield $w (Slides 12-13)
	D. Calendar change: subfield $x (Slides 14-15)
	E. Regularity pattern: subfield $y (Slides 16-19)
	F. Changes to publication patterns (slide 20-21) 
	Summary
	Exercises

Warm Up Exercises
Ask how many people are using predictive check-in systems
When issues change publishing patterns or numbering what library operations are affected?  
How do  users ask for a particular issue of a title?
Concept for the session
Patterns are recorded in MFHD using a logical structure of subfield codes. 
The values entered in these fields are used by systems to correctly predict expected issues and for the proper display of captions and dates. 

## Publication patterns

- New ILS systems are making much greater use of predictive check-in
- System anticipates the next issues for rapid check-in
- Prediction is based on the pattern data from field 85X subfields u - y
- Many systems do not fully accommodate all pattern provisions of the MFHD.
- Yet, on the other hand, the Format also needs to recognize more patterns.

**Notes:**
Technical Note to instructors:

Many new pattern subfields have been added to the MARC Format for Holdings, including subfields $p, several values in $y, and $z.
Existing systems, so far as we know, have not implemented them yet.
They are stated in Appendix 5.

## Patterns and compression

- Patterns are...
- _Not required_ in 853/854 for compression or expansion when only the highest level of enumeration is present in the 863/864.
- _Required_ in 853/854 for compression or expansion when subsequent levels of enumeration are present in the 863/864.
*This means that a computer should be able to compress v.1, v.2, v.3 into v.1-3, and then re-expand them, without the aid of a pattern!  *

**Notes:**
After the publication pattern is used to predict the arrival of an issue, the values remain in the record.  When the pattern is eventually closed, the pattern values may be used to govern the process of compression or expansion of the enumeration and chronology data.   If there is no need to compress or expand holdings, it may be unnecessary to add pattern elements when holdings are being input retrospectively.

853 and 854 first indicator values are governed by the presence (or absence) of pattern elements, as explained in Session 4.

If holdings consist only of volumes without any lower levels, a pattern should not be necessary to compress them to a range and re-expand them to the volume level.  Note: If lower levels of hierarchy are implied (at Level 4), they would need a pattern, and their captions would need to be present, to be displayed from a compressed statement. 

## Publishing pattern 

- Publishing pattern

*Number of units* for each part below first level, per next higher level
- Whether numbering *restarts* or is* continuous*
*Frequency* (monthly, annual, etc.)
- The *calendar change** *or point in the calendar year when the highest unit increments
*Variations* in intervals of publication
- All values are used for predicting a next expected issue ***IF  ***the publishing pattern is regular in nature.

**Notes:**

Pattern data elements.  Constructing pattern data codes for the pattern of receipt of a title enables it to be predicted in a serials control system.  The elements of the pattern are given on the slide.  Some of them have extensive possibilities for coding.  The slides to follow will elaborate on these concepts.

The pattern information in the MARC format for holdings is used in systems for predicting a next expected issue IF the publishing pattern is regular in nature. Remember, if you don’t know when the next issue of the title is expected, a computer won’t either! 

## 		Finding a pattern:  Case 1

**Journal**

**of**

**Soapb**

** ****Orato**

**Volume 3       June Number 1      1999**

**Journal**

** ****Soapb**

**Volume 3   August**
**Number 2    1999**

**    ****Orato**

**Volume 3   October**
**Number 3    1999**

**Journal**

**  ****of**

**Soapbox**

**Oratory**

**Journal**

**       ****o**

**Soapb**

** ****Orat**

**Volume 3    December Number 4     1999**

**Volume 3    February**
**Number 5     2000**

**Journal**
**of**
**Soapb**
**Orator**

**Volume 3     April**
**Number 6      2000**
**  ****Journal**
**    ****of**
**  ****Soapbox**
**  ****Oratory**

**	****	****Finding a pattern:  Case 1**

_**Enumeration  and chronology **_

- NEW ENGLAND S

**        **NEW ENGLAND SOAPB** **

**NEW ENGLAND S**

- NEW ENGLAND SOAPBOX SOCIETY

- NEW ENGLAND SOAPBOX SOCIETY

- NEW ENGLAND** **

**of**

**Notes:**
Instructors: For this segment, we are imagining putting holdings online for the first time, and doing some preliminary work identifying holdings information.

Ask the audience to tell you what they can about this journal. It is also your chance to illustrate the vocabulary:  designation, enumeration, chronology, pattern, frequency, regularity, captions, restarts, calendar change, pattern change.  Indicate that there is an glossary in Appendix 4.  
They should be able to tell you, with prompting, that:
it has one volume per year with six issues per volume and that the internal numbering restarts with each new volume
it seems to be a regular bimonthly
the new publication year starts in June
that the next issue will probably be Volume 4, no. 1 (June 2000)
that, on the other hand, occasional variations could occur, such as a combined issue.  Variations have to be watched to see if they recur regularly. If they do, the pattern is said to have changed. 
Since the first issue shown is volume 3, no. 1, there are probably previous issues--but we don’t know whether the title was the same at that point.  In holdings, you might want to leave room for them in case they are part of this title, and arrive later.

## Finding a pattern:

**global**

**events**

**spring 1999**

**number**** 1**

**events**

**summer**
**1999**

**number**** 2**

**global**

**global**

**events**

**fall/winter 1999**

**number 3/4**

**global**

**events**

**number**** 1**

**spring 2000**

**Finding a pattern:**
**Case 2**

*What’s different here?*

**Notes:**
Instructors:   Ask the audience to tell you the difference between the designation printed on this serial cover and that on the previous slide.
They should point out:
there are four issues per year--a quarterly frequency
there is no enumeration designation at the “volume” level
the internal issue numbering, “number,”  restarts here also, but this time when the year is completed
the chronological divisions are “year” and “season”.  
it also takes four issues before the internal numbering restarts with number 1.

Now we will look at the pattern subfields individually.

## Publication pattern subfield codes$u - $y

- Publication pattern subfield codes$u - $y

- $u   Bibliographic units per next higher level
- $v   Numbering continuity
- $w  Frequency
- $x   Calendar change
- $y   Regularity pattern

**Notes:**
Here are the subfield codes associated with the pattern concepts we have been discussing.  
    The placement of $u and $v is immediately after the caption to which they refer.  They also repeat.
    The placement of $w, $x, and $y is after the last chronology caption.  They do not repeat.

## Bibliographic units per next higher levelSubfield $u 

- Bibliographic units per next higher levelSubfield $u

- Specifies the total number of parts that comprise the next higher level of enumeration.
- Not used with subfield $a or $g (highest level).
- Follows the caption subfield to which it applies.
- Values:
- [n]  (Number of parts)
- var  (Varies)
- und (Undetermined)

**Notes:**
Number of units per higher-level unit. This element describes how many units will be published before the number of the level above increases by 1. The value is used as a trigger by systems.  For example, if a title consists of “volumes” and “numbers”, and each volume consists of 12 numbers, the number of units for the numbers is 12. After 12 numbers have been received, the system automatically increments the volume number. The value in subfield u may help a system “know”  when to increment the number for the next higher level of the hierarchy.

## Subfield $u  Examples

*On issue**:* May 1998 volume 12 number 4  [Monthly]
*Coded as**:* 853 00 $8 1 $a v. $b no. $u 12 $i (year) $j (month)
*On issue**:* volume 21 number 4  part 5
- [4 numbers in a volume, but a varying number of  parts in each number]
*Coded as**:* 853 00 $8 1 $a v. $b no. $u 4 $c pt. $u var*
*	***No prediction can be made on the basis of values *_*var*_* and *_*und.*_

**Notes:**
Instructors:  Explain to the trainees that for clarity, we show patterns only up to the part being discussed. To avoid confusion, indicators are assigned as if the pattern were as shown onscreen, not as it hypothetically could be completed.

1st example:
A system counts the pieces, then automatically increases the volume number after receiving each 12th issue. 

2nd example:
A system would not know when to increment the value in the 863 subfield b, corresponding to the caption “no.”, because the number of parts that make up each number, coded in  853 subfield c, varies. The incrementing of the value for each number would require manual intervention. However, after 4 numbers had been received, the system could automatically increment the volume number, because 4 numbers comprise a volume.

## Numbering continuity subfield $v

- Numbering continuity subfield $v

- One-character code indicating whether the numbering of the described level continuously increments or restarts.
- Values:
**c**		Numbering increments continuously
**r**  	Numbering of unit restarts at the completion of         	the unit next above it

**Notes:**
Numbering restarts or is continuous. This element describes whether the numbering of internal parts goes back to 1 or continues to increment when the higher-level numbering increments; e.g., is it v.2:no.1 or v.2:no.13? 

The highest level of the holdings hierarchy is, by its nature, continuous.  But each lower level might be either continuous or restarting, depending on its behavior when the level above it increases. A system uses this field to predict the next expected issue number.  

## Subfield $v Examples

*On issues**:* 	Volume 1 part 12
-              	Volume 2 part 13
-              	Volume 2 part 14
*Coded as**:* 853 10 $8 1 $a v. $b pt. $u 12 $v c
*On issue**:* volume 21 number 4 part 2
*Coded as**:* 853 10 $8 1 $a v. $b no. $u 4 $v r $c pt. $u 2 $v r

**Notes:**
1st example:
The highest level of enumeration automatically is considered to increment continuously. In the example, the number of units present for each volume consist of 12. After every 12th issue is received the volume number increments but the numbering for each part increments continuously.

2nd example:
The bibliographic units consist of 4 numbers per volume and 2 parts per number. The issue numbers restart with each volume and the part numbers restart with each issue.

## Frequency subfield $w

- Frequency subfield $w

- One-character code or a number indicating publication frequency
- Codes are used for regular frequencies.  For example:
- 	**a** - Annual     **b** - Bimonthly    **c** - Semiweekly    **d** - Daily
-    **m** - Monthly   **q** - Quarterly     **x** - Completely irregular
- A number is used to specify the issues per year when issues come regularly but there is no code established for their interval (e.g., 5,7,13/yr.)

**Notes:**
Frequency. This element describes how often a title is issued. This value may be plugged in automatically from the MARC bibliographic record frequency element or may have to be input manually. This information is used in systems in predicting expected issues. For example, if a title is coded as a monthly, after the March issue is received, the next expected issue would be the April issue.  The code is not related to a specific caption but to the “fundamental periodicity” of the publication itself--that is, to the number of issues per year.   If there is a fundamental periodicity but some issues vary from it, use the code for the fundamental periodicity and use subfield $y to code the variations.

Subfield $w is input after the last chronology caption. The complete set of codes is contained in Appendix 5.

## Subfield $w Examples

*On issue**:* June 1999 volume 8 no.10 {Monthly}
*	*
*Coded as**:* 853 10 $8 1 $a v. $b no. $u 12 $v r $i (year) $j (month) $w m
*On issue:* volume 21 number 3  May 1996 {5 issues per year}
*Coded as:* 853 10 $8 1 $a v. $b no. $u 5 $v r $i (year) $j (month) $w 5

**Notes:**
Instructors:  Again, please assume the whole pattern is present though only partially shown, for clarity.
1st example:
This publication has a regular publishing frequency of monthly; therefore subfield w contains the value m.

2nd example:
Each volume of the title consists of five numbers.  There is no codable frequency for this issuance pattern; therefore a number value, 5,  is entered in subfield w.

## Calendar change Subfield $x

- Calendar change Subfield $x

- A two-character code identifies the month or season of the calendar change.
- A four-character code (*mmdd)* identifies the month and the day of change. A month or day code of less than two digits is right justified, and the unused position contains a zero.
- _Month:_ 01 - 12 	_Day:_ 01 - 31
- _Season:_  21 (Spring)  22 (Summer)        			 23 (Autumn) 24 (Winter)

**Notes:**
Calendar change.  The calendar point when the highest level increments, which may correspond to a lower level value.  For example,  a quarterly may identify itself by volume and season.  If the calendar change value is 23 (“fall”) the volume changes when the fall issue has been received.  From two to four character positions may be used in this element; two for a month or season, four for an exact month and day.  There may also be a string of values, separated by commas, when multiple volumes occur within a year.

A system uses this date information to predict the date associated with the changeover of the volume. This field could override subfield $u (counting the number of parts which go to make up the volume) when that number varies from the usual.

## Subfield $x Examples

*On issue**:* January 1999   Vol. 6  No. 1 {Monthly}
*Coded as**:* 853 20 $8 1 $a v. $b no. $u 12 $v r $i (year) $j (month) $w m $x 01
*On issue**:* volume 21 number 4 October 1996 {monthly, 2 v. per year}
*Coded as**:* 853 20 $8 1 $a v. $b no. $u 6 $v r $i (year) $j (month) $w m $x 01,07

**Notes:**
1st example:
Each new volume begins in January, so subfield x  was coded with  01.  A system uses this field to automatically increment the volume numbering. In this example, the system would automatically increment the volume number for the January issue.    

2nd example:
This is a monthly publication which has 2 volumes per year.  Each volume consists of 6 numbers. New volumes start in January and July; therefore subfield x is coded with 01 for January and 07 for July.  When a January or July issue is checked-in, the volume number increases.

## Regularity patternSubfield $y

- Regularity patternSubfield $y

- Indicates *regular exceptions* to a specific regular pattern (i.e., normalized irregulars).
- Describes the exceptions to the publishing pattern coded in subfield $w (Frequency).
- Contains coding that specifies which issues are published or omitted.
- Codes are entered in this order:
-    (publication code) (chronology code definition)     (chronology code)

**Notes:**
Subfield y is used for those exceptions to a regular publishing pattern that occur on a predictable basis.  These titles are what catalogers call “normalized irregulars.”  For example, there may be a monthly that never publishes a July issue, or a quarterly that combines fall and winter issues. Subfield y uses a combination of three codes in this order:
 publication code - telling whether the variation will be described in terms of publication or omission of publication
 chronology code definition - specifying whether the term will be a month, month and day, season, etc.
 chronology  code - the exact calendar period when units are omitted or published.

A system uses this coding for predicting the issues that vary from the normal receipt pattern. True irregulars, those titles that you don’t know when to expect the next issue or the title changes volume numbering at whim are always a problem -- for us-- and for a computer. 

Subfield y is used only for exceptions to a regular publishing pattern. For example if a title publishes as a monthly and issues are published every month subfield y would not be created.

##  Regularity patternsubfield $y (Cont.)

-  Regularity patternsubfield $y (Cont.)

- First code indicates whether the subsequent codes refer to issues that are omitted or published.
- _Publication code:_   **o** - Omitted   **p** - Published   **c** - Combined
- Second code indicates the day, numeric month or month-and-day, season, or week that is omitted or published.
- _Chronology code definition:_
**d** - Day  	**m** - Month 	**s** - Season	**w** - Week   **y** - Year

**Notes:**
The first two codes indicate whether and when something is or is not published. In most cases it is easier to identify when issues are published rather than when they are not.

Each system may have constructed the algorithm used for predicting expected issues differently and may have a preference for coding regularity in subfield y. It may be prudent to ask your system vendor how coding should be entered.  

There have been a lot of additions to subfield y lately, but implementation is lagging.  The MFHD Handbook (Appendix 5) has the pertinent codes. 

.

## Regularity patternsubfield $y (cont.) 

- Regularity patternsubfield $y (cont.)

- The third code* *or set of codes *(chronology code(s)) *indicates when the issues are or are not published.
- _Day_: mo,tu,we,th,fr,sa,su	_Days of the month_:* *01 - 31
- _Weeks of the year_: 01 - 53	_Months of the year_: 01 - 12
- _Seasons:_     21 	      22	       23               24
*	**     *(Spring)   (Summer)    (Autumn)     (Winter)

**Notes:**
The third set of coding in subfield y indicates the specific calendar periods when an issue of a title is or is not published. Multiple codes are separated with a comma.

## Subfield $y Example

- The *Scuba Special Review* is published five times a year, in June, August, October, February, and April.
*On issue:* June 1999   volume 3  number 1
*In 853: *	$y pm06,08,10,02,04
- 	p = published
- 	m = following codes are for months
- 	01, etc. = months when the serial is published.
- (This is a nearly bimonthly publication, but since a December issue does not appear, a regularity pattern is needed.)

**Notes:**
The first code in subfield y is p for published and the second code m  for the months of publication. The last coding string, to the end of the subfield, identifies the specific months numerically.  

## Changes to patterns

- Like *changes in captions, changes in pattern* require a new 85X.
- Close the old and open a new field anytime a change occurs that would require different coding in the subfields, for example:
- Frequency changes
- Issues start being combined or omitted
- Numbering becomes continuous rather than restarting
- A subfield $3 may be input to aid staff coders by showing the duration of the pattern, if this is not clear from the 86X fields.

**Notes:**
A change in a pattern will probably require that holdings associated with the old pattern, coded in an 85X with a specific linking number, be closed. 

A new 85X is opened with the new pattern, and the associated holdings all have the new linking number.  

If the duration of the patterns is not clear from the holdings, a subfield 3 may be given to indicate this more clearly.
The next slide illustrates these concepts.

## Pattern change--Example

- 853 20  $8 1 $a v. $b no. $u 4 $v r $i (year) $j (season) $w q $x 21 $3 v.1-11
- 863 40  $8 1.1 $a 1-10 $i 1980-1989 $w g
- 853 20 $8 2 $a v. $b no. $u 3 $v r $i (year) $j (season) $w q $x 21 $y ps21,22/23,24 $3 v.12(1991-)
- 863 40 $8 2.1 $a 13 $b 3- $i 1992 $j 24-

- Possible display:
- v.1(1980)-10 (1989),
- v.13:no.3-(1992:winter-)

- Library has a gap from Vol. 11,no.1 to Vol. 13, no. 2.  They know that the new pattern first occurred during their gap.

**Notes:**
This minor change from a straight quarterly to a quarterly with a combined summer/fall issue has nonetheless required the closing of an old pattern and the opening of a new one.

In this case there was a gap in the library’s holdings right during the period when the pattern was changing.  To show the data on the change, the library has coded a subfield 3.

Open holdings are now completely acceptable at level 4 and can be compressed to the highest level, i.e. just subfields a, i, [$g and $m if present].  This is described in Session 6 in more detail.

## Summary

-  *Pattern information is used for two major purposes:*
* *_*Prediction of expected issues*_* for check-in, and subsequent claiming of issues not received*
* *_*Compression and expansion*_* of existing holdings in the OPAC. *
* **If compression and expansion will not be needed in the OPAC, a library may omit the pattern when inputting holdings retrospectively.*

## Exercises

- Complete an 85X field for each example.
- Use all subfield codes necessary.
- Set the indicators so the holdings could be compressed or expanded and that all captions and levels of enumeration have been verified.
- Create the field using the dollar sign ($) to delimit a new subfield code, e.g $a, $b, etc.

## Exercises

- 1.  Bimonthly: v. 47, no. 1, June 1991
- 2.  Quarterly: v. 43, no. 1 Winter 1989
- 3.  Monthly (does not publish Dec., June, July, and has a combined issue of Aug./Sept.:  v. 12, no. 1, Jan. 1990)
- 4.  Daily with a combined Saturday/Sunday issue:  Friday Jan. 1, 1999

## More exercises

- 5. 9 times a year in 3 volumes, none published July-Sept.: vol. 22, no. 1 Jan. 1993, vol. 23, no. 1, April 1993, vol. 24, no 1, Oct. 1993
- 6.  Irregular with 9 issues per volume: v. 6, no. 1 Sept. 1998
- 7.  “1990 Annual Best of the Literature” which is a supplement to the monthly title, Literature review
- 8.  Monthly, in 2 v.: v. 3, no. 1 Jan. 1989; v. 4, no. 1 July 1989

## Answers to Exercises

- 1. Bimonthly: vol. 47, no. 1, June 1991
- 853  2 0   $8 1   $a v.   $b no.   $u  6   $v r   $ i (year)  $j (month) $w b  $x 06
- 2. Quarterly : vol. 3, no. 1 Winter 1989
- 853  2 0   $8 1  $a v.   $b no.   $u  4   $v r   $ i (year)  $j (season) $w q  $x 24
- 3. Monthly, does not publish December, June, July and has a combined issue of August/September: vol. 12, no. 1 Jan. 1990
- 853  2 0   $8 1  $a v.   $b no.   $u  8   $v r   $ i (year)  $j (month) $w m  $y pm01,02,03,04,05,08/09,10,11
- 4. Daily with a combined Saturday/Sunday issue. Friday January 1, 1999
- 853  2 0  $8 1   $a (year)  $b (month)  $c (day) $w d  $y pdmo,tu,we,th,fr,sa/su

## Answers to exercises, cont’d.

- 5. 9 times a year in 3 volumes,, none published July-Sept.: vol. 22, no. 1 Jan. 1993, vo1. 23, no. 1, April 1993, vol. 24, no 1, Oct. 1993
- 	853  2 0 $8 1 $a v.   $b no.   $u  3   $v r   $ i (year)  $j (month)   $w m $x 01,04,10 $y om07,08,09  [can also use pm coding here: $y pm 01,02,03,04,05,06,10,11,12]
- 6. Irregular with 9 issues per volume,  vol. 6, no. 1 Sept. 1998
- 853  2 0 $8 1  $a v.  $b no. $u 9 $v r $i (year) $j (month) $w x  $x 09
- 7. "1990 Annual Best of the Literature" which is a supplement to the monthly title Literature Review.
-  854 2 0  $8 1 $a (year) $o Annual best of the literature $w a
- 8. Monthly, in 2 volumes a year: vol. 3, no. 1 January 1989; vol. 4, no. 1 July 1989
- 853  2 0   $8 1     $a v.   $b no.   $u  6   $v r   $ i (year) $j (month)  $w m  $x 01,07

## A guide table of patterns

- For a standard guide to pattern input, the following table, provided by VTLS, Inc., is useful:
- _[http://www.loc.gov/acq/conser/patthold-PATTERNSvtls.html](http://www.loc.gov/acq/conser/patthold-PATTERNSvtls.html)_
- Note (Cautionary)
-   Changes to MFHD  have brought additional ways of handling some of these patterns
-   Progress in implementing patterns varies from system to system

**Notes:**
Instructors: Clicking on the link in show mode will take you to the pattern guide table on the Publication Patterns Initiative web site.