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Page TitleOnly those codes that are usually editable are examined here. For a complete
list of captions and pattern fields, see the Concise MFHD on the MARC web site
at http://www.loc.gov/marc/holdings/echdcapt.html.
Each code is discussed from one or more of three possible aspects, as
applicable: conversion/migration, current coding, and/or retrospective coding.
| 853 - CAPTIONS AND PATTERNS FOR BASIC BIBLIOGRAPHIC UNITS
[Repeatable] |
| 854 - CAPTIONS AND PATTERNS FOR SUPPLEMENTS
[Repeatable] |
| 855 - CAPTIONS AND PATTERNS FOR INDEXES
[Repeatable] |
This field carries the captions, which contain the names of the bibliographic
units, such as volumes, numbers, or their equivalents in other languages. In
addition, the chronological captions - years, months, and seasons - are also
located in the 856 field. Lastly, the patterns which detail information about
the frequency, sequence, and numbering system of these parts completes this
field. The patterns are set in the system so that the system, in turn, can
predict the arrival of each part, and trigger certain functions so that check-in
can be done with a single action, and claiming occurs automatically.
The checked-in part appears as an 863, 864, or 865, paired with the
corresponding 85X captions and pattern field, which governs its display. Note
that in the examples below the chronological captions are suppressed from
display, which is done by placing them within parentheses. After check-in is
completed, the 85X field remains, paired with as many 86X fields as are needed
to display the title - or portion of the title appearing with those captions and
pattern. If either element changes, a new caption and patterns field, and
associated 86X fields, are created. The fields are sequenced by means of
subfield $8, as shown below (indicators and patterns are omitted for the
present):
Example
| 310 |
|
Quarterly |
| 362 |
0 |
Vol. 1, no. 1 (Jan. 1993)- |
Encoding of first issue (supposing Language=eng):
| 853 |
|
$8 1 $a v. $b no. $i (year) $j (month) |
| 863 |
|
$8 1.1 $a 1 $b 1 $i 1993 $j 01 |
Holdings display of that issue according to NISO Z39.71:
v.1:no.1(1993:Jan.)
Now let us add the April, July, and October issues:
| 853 |
|
$8 1 $a v. $b no. $i (year) $j (month) |
| 863 |
|
$8 1.1 $a 1 <$b 1 $i 1993 $j 01 |
| 863 |
|
$8 1.2 $a 1 $b 2 $i 1993 $j 04 |
| 863 |
|
$8 1.3 $a 1 $b 3 $i 1993 $j 07 |
| 863 |
|
$8 1.4 $a 1 $b 4 $i 1993 $j 10 |
Until compression took place, a NISO display could show the issues
with line breaks between each, or in a horizontal display with spaces between:
v.1:no.1(1993:Jan.)
v.1:no.2(1993:Apr.)
v.1:no.3(1993:July)
v.1:no.4(1993:Oct.)
OR
v.1:no.1(1993:Jan.) v.1:no.2(1993:Apr.)
v.1:no.3(1993:July)
Some serials control systems would automatically compress these
issues on the basis of pattern elements as soon as check-in was performed. Thus,
issues one through three would look like this:
| 853 |
|
$8 1 $a v. $b no. $i (year) $j (month) |
| 863 |
|
$8 1.1 $a 1 $b 1 $i 1993 $j 01-07 |
| Displays as: |
v.1:no.1-3(1993:Jan.-July) |
When the final issue for the year is checked in, the field undergoes
further compression. Subfields $b and $j remain in the 853, but drop out of the
863 so that the field now displays as simply:
v.1(1993)
This process will be further discussed when we get to the 86X
fields.
Indicator 1 - Compressibility and expandability
| 853 and 854 |
| 0 |
Cannot compress or expand |
| 1 |
Can compress but not expand |
| 2 |
Can compress or expand |
| 3 |
Unknown |
| 855 |
|
Undefined (other values may not be used in
855 field) |
Indicator 2 - Caption evaluation
| 853 and 854 |
| 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 |
| 855 |
|
Undefined (other values may not be used in
855 field) |
Most commonly used subfields and codes
| Enumeration captions [All
non-repeatable] |
| $a |
First level of enumeration |
| $b-f |
Second level through sixth level of
enumeration |
| $g |
Alternative numbering scheme, first level
of enumeration |
| $h |
Alternative numbering scheme, second level
of enumeration |
| Chronology captions [All
non-repeatable] |
| $i |
First level of chronology |
| $j-l |
Second level through fourth level of
chronology |
| $m |
Alternative numbering scheme,
chronology |
| Other captions |
| $o |
Type of supplementary material, type of
index (non-repeatable) |
| $t |
Copy number
(non-repeatable) |
| Publication pattern |
| $n |
Pattern note
(non-repeatable) |
| $u |
Bibliographic units per next higher level
(repeatable) |
| $v |
Numbering continuity
(repeatable) |
| $p |
Number of pieces per issuance
(non-repeatable) |
| $w |
Frequency
(non-repeatable) |
| $x |
Calendar change
(non-repeatable) |
| $y |
Regularity pattern
(repeatable) |
| $z |
Numbering scheme
(repeatable) |
| Control subfields |
| $3 |
Materials specified
(non-repeatable) |
| $6 |
Linkage (non-repeatable; for non-Roman
data display) |
| $8 |
Field link and sequence no.
(non-repeatable) |
Conversion/migration issues
Converting non-MARC based serials control information to MFHD data depends on
how well the vendor is able to map the non-MARC data. Mapping, in turn, depends
on the quality of the previous data, how much (and what kind) of pattern
information is present, and how well delimited are the data elements. The 85X is
the most complex of all the fields. Any conversion from a non-MARC system will
almost certainly need a combination of special programming, human oversight, and
adjustment. Within single systems that upgrade to MFHD, where programmers are
familiar with the old system, this process has worked successfully in many
cases. It will probably be harder when mapping from one system to another.
Mapping from one MFHD implementation to another will also be more or less
difficult depending on the completeness of the two implementations and the
conformance of the data input by the library to the standard. If your data is in
coded fields, and you are told it must be mapped to free text, find out why.
This is important because free text is much less capable of being manipulated by
computer. However, it is perfectly reasonable to have non-MARC data mapped to
the 866-868 Textual Holdings fields.
Current/retrospective coding
Code indicators after completing the rest of the field. Choice of indicators
should depend on the contents of the 85X fields rather than the 86X. For current
titles, try to have all captions present and verified. It does not matter
whether there will be data to match each lower level of caption. A caption
without a matching data element in 86X should not display, but it and its
pattern remain in the record. With captions and patterns present, a compressed
holding at the volume or even the summary level could theoretically be
re-expanded to show the holdings data at the issue level.
Indicator 1 (853 and 854)
| 0 |
Cannot be compressed or expanded. A
holding coded 0 carries lower levels of bibliographic units in the 853
(subfields $b and below) but without pattern elements ($u, v, w, x, y), so that
it cannot be compressed (expressed in terms of the first and last part listed,
joined by a hyphen) or expanded (displayed in terms of each separate part of
which the listing is composed). |
| 1 |
Can be compressed but not expanded.
Consensus uses this coding for a holdings statement with lower levels of
bibliographic units and correct $u and $v for each, but missing elements in $w,
x, or y. |
| 2 |
Can be compressed and expanded. Use
this value for holdings all on one level (subfields $a, i, only or $a, i, g and
m only), which do not need pattern elements, or for holdings statements with
lower levels and complete pattern elements. |
| 3 |
Unknown. May be used for default or
retrospective coding. |
Indicator 2 (853 and 854)
| 0 |
Captions verified; all levels
present. You have consulted the pieces to verify that the bibliographic
units are correct and complete in the holdings record. |
| 1 |
Captions verified; all levels may not
be present. The field contains captions as they appear on the item, but some
levels may not be given. |
| 2 |
Captions unverified; all levels
present. The field includes all captions, but they are not necessarily the
same as they appear on the pieces. You would use this value, for example, where
your library has translated captions in foreign languages to English
equivalents. |
| 3 |
Captions unverified; all levels may not
be present. This value would be used where neither the completeness nor
correctness of the captions is clearly known. |
Both indicators are blank for 855 (captions and pattern for indexes).
An index ordinarily carries the (compressed) volume or year designation of the
volumes it covers. For example, the first index might cover volumes 1-50, the
second volumes 1-100. This sort of statement could not be compressed or
expanded, nor are its captions verified by checking on the pieces.
| SUBFIELD CODES FOR CAPTION ELEMENTS |
$8 - Link and sequence number
Since the 853 is the first member of the "pair," and there can be more than
one 853 in a record, there must be some mechanism to connect the captions from a
single 853 field with the volume and year data that they belong to. This
mechanism described in the Format is subfield $8. 853 $8 contains a "linking
number" which is identified with the captions and pattern in the field. All 863
fields containing the same linking number will be displayed with these captions,
and understood to use this pattern. 854 and 855 have their own, separate,
linking numbers.
When either the captions or the pattern change, a new 85X field is created
with a larger number in subfield $8; i.e., if the first 853 had $8 1, the next
one might have $8 2. There is no rule that says the first link number must be 1
nor that the next number must in every case be used next.
Example
A serial that starts out with whole numbering, then changes to dates only,
plus a dated supplement). More information will be given under the 863-865
field.
| 853 |
00 |
$8 1
$a no. $i (year) $j (month) |
| 863 |
40 |
$8 1.1
$a 1-42 $i 1990-1998 $o 6-12 |
| 853 |
00 |
$8 2
$a (year) $b (month) |
| 863 |
40 |
$8 2.1
$a 1999- $b 01- |
| 854 |
00 |
$8 1
$a (year) $o Annual buyer's
guide |
| 864 |
40 |
$8 1.1
$a 1990- |
| Displays as: |
no.1-42(1990:Jun.-1998:Dec.)
1999:Jan.-
Supplements: Annual
buyer's guide, 1990- |
$a-f - Enumeration captions for primary enumeration
This set of subfields allows accurate check-in and display of up to six
levels of parts (though levels below three or four are rarely used). The basic
order is from the largest or most comprehensive unit to the smallest. Though
display conventions are not mandated by MFHD, the Format coordinates with the
display standard in prescribing a similar order for display of enumeration and
chronology elements. More will be said about this under the 86X fields.
Example
| 853 |
00 |
$8 1 $a v. $b no. $c fasc. $d pt. |
| 863 |
40 |
$8 1.1
$a 1 $b 1 $c 1 $d 1-2 |
| Displays as: |
v.1:no.1:fasc.1:pt.1-2 |
$g-h - Enumeration captions for alternative enumeration
Example
| 853 |
00 |
$8 1 $a new ser.:v. $b no. $g no. |
| 863 |
40 |
$8 1.1 $a 1- $b 1- $g 259- |
| Displays as: |
new
ser.:v.1:no.l=no.259- |
Alternative enumeration may be useful for serials with more than one
numbering scheme (e.g., a new series numbering along with an old series
numbering) and also for serials whose volumes appear from time to time within
larger series. Chronology associated with alternative enumeration is given in
subfield $m.
$i-m - Chronological captions
Chronological captions are "understood," rather than given explicitly; the
display is "1990" rather than "year 1990." All chronological captions, whether
in $i-k, $m (alternative chronology) or $a-c (if only dates appear on the
pieces) are input within parentheses to suppress them from display. The
parentheses are not there to display the actual date within parentheses (though
this is in fact done); the latter effect is achieved through programming.
Chronological captions do not have to correlate with enumeration captions; e.g.,
there can be an $a and $b with only an $i - v. 1, no. 1 (1998) - or an $a alone
with an $i, $j, and $k - no. 1 (Jan. 15, 2001).
Serials will probably use a maximum of three levels of chronological
captions.
Examples
| 853 |
20 |
$8 1 $a v. $b no. $c pt. $i (year) $j (season) |
| 853 |
20 |
$8 1 $a t. $b no. $i (year) $j (month) $k (day) |
Some caption conventions
- If the caption is not abbreviated, i.e., does not end with a period, your
vendor should supply a space between the caption and the enumeration in display,
so you will not have displays like Heft1 or anno10.
- The NISO standard, Z39.71, prescribes that the "series level" is not a
separate level, but is combined with the first level enumeration like the
example in the section immediately above. Between the series designation (for
example, new ser., n.F., or ser.5) and the following enumeration, place a colon
as in this example.
- Another rule that you can glean from the examples above is that when a
serial has only dates, the dates are given in the numbering subfields $a to $f.
They appear hierarchically $a (year) $b (month) $c (day) or $a (year)
$b (season). The display in NISO format is:
1999:Jan. 6 [no colon between month and day $j and $k; a
vendor issue]
1999:spring
- If a year has internal numbering, even if it appears on the piece with the
year in last position (no. 1 1994, no. 2 1994, no. 3 1994) the captions should
be given as $a (year) $b no. Be sure first that the numbering is really internal
(restarts when the next year arrives). The display:
1994:no.1
1994:no.2
1994:no.3
-
If a number appears on a piece without an accompanying caption (for example,
1/1, Jan. 1999), you have two choices. Either supply a caption in brackets
within parentheses (endorsed by the MFHD but not by the NISO standard), or
follow the Harvard and CONSER Patterns and Holdings Project convention by using
an asterisk within parentheses. N.b.: Establish, first, that 1/1 does represent
two separate levels.
| 853 |
00 |
$8 1 $a ([v.]) $b ([no.]) $i (year) $j (month) OR
$a (*) $b (*) |
| 863 |
40 |
$8 1.1
$a 1- $b 1- $i 1999-
$j 01- |
| Displays as: |
1:1(1999:Jan.)- |
- If your enumeration is ordinal, the Format has established the convention of
a plus sign (+), either before the caption or standing alone in the subfield for
a captionless ordinal. The symbol causes the cardinal number to be converted to
ordinal, and in addition transposes it to before the caption.
$t - Copy
If a copy number is needed, its caption also goes in the 853 field,
subfield $t.
Example
| 853 |
00 |
$8 1 $a v. $t c. |
| 863 |
41 |
$8 1.1 $a 5 $t 2 (v.5
c.2) |
$o - Type of supplementary material or index
Another caption is authorized only for the 854 and 855 field:
subfield $o, containing the Type of supplementary material or Type of index.
Example
| 854 |
00 |
$8 1 $a no. $o Teacher?
guide |
| 855 |
|
$8 1 $a v. $i (year) $o Author index |
| SUBFIELD CODES FOR PATTERN ELEMENTS |
The publication pattern is a set of codes assigned to a particular
publication according to a logical scheme based on frequency and numbering
system. A publication pattern enables an ILS to track its currently received
publications, and establish automated check-in and claiming. Some systems have
databases of publication patterns available to their customers or allow their
customers to purchase them from each other. Not every publication is regular
enough to have a pattern set. If a human being cannot predict when it will
arrive, a computer won? do any better.
Current and retrospective coding
Pattern elements that apply to an individual subfield follow
immediately after the subfield. Pattern elements applying to the whole title
follow the last enumeration or chronology subfield in the field. Specifically:
- $z (the newest defined subfield) can follow any level of the
enumeration.
- $u and $v, since they define the relationship of an individual
subfield to the one immediately above it, can by definition only follow the
second through the sixth levels of the enumeration.
- $n, $p, $w and $x, which apply to the
publication as a whole, are input after the last enumeration/ chronology
subfield.
Once the publication has been received, the pattern elements remain in the
record to regulate compression and expansion of the holding. There is no reason
to remove old patterns from holdings records. There may not be sufficient reason
to add past patterns retrospectively, however, since there has been no strong
call for data at the issue level for holdings that have already been checked in
and bound. On the contrary, it is volume-level data that seems most useful.
Volume-level data allows the display of special notes, availability statuses,
etc., that pertain to each volume. Also, compression of holdings to the volume
level makes them expandable and compressible without a pattern. Of course, if
there are gaps within volumes requiring issue-level detail, those portions of
the holdings could not be compressed and expanded without a pattern. The
possibility of connection to article text might also suggest the need for
preservation or regeneration of issue-level detail.
$u - Bibliographic units per higher level
Subfield $u tells the computer the number of internal units (e.g.,
issues) to expect before the number of the larger unit (e.g., volume)
increments. In other words, for a monthly, twelve issues will arrive for volume
1; with the thirteenth, a new volume, 2, begins. $u follows the caption to which
it applies, always the second level or lower (subfield $b-f, or $h). It will
contain either a number, or the terms "var" (varies) or "und" (undetermined).
Examples
| 853 |
10 |
$8 1 $a v. $b no. $u 4 $v r (four numbers
per volume) |
| 853 |
10 |
$8 1 $a (year) $b v. $u 2 $v r $c issue $u 6
$v r (six issues per volume, two volumes per year) |
| 853 |
00 |
$8 1 $a v. $b pt. $u var. (variable number of parts per
volume) |
If $u contains either "var" or "und," the system cannot predict the issue nor
compress and expand the holding. It may work better in your system to choose an
approximate number of issues and adjust the result manually when it varies.
$v - Numbering continuity
Subfield $v tells the computer whether the lower-level unit numbering
continuously increments ("c") or restarts ("r") with the completion of the level
above it. This code follows subfield $u.
Examples
| 853 |
10 |
$8 1 $a v. $b no. $u 4 $v r (numbers
within each volume numbered 1 to 4) |
| 853 |
10 |
$8 1 $a v. $b no. $u 4 $v c (numbers
increment continuously; v.1 no. 1-4; v.2 no. 5-8; v. 3 no. 9-12,
etc.) |
The top level is assumed to be continuously numbered (including the top level
of alternative numbering, $g).
$w - Frequency
Subfield $w contains a code for the frequency of the publication
(like the code that appears in the bibliographic record). If the frequency is
one of the recognizable intervals, it will be represented by a letter from the
following chart. If there is no recognizable frequency, subfield $w may contain
a number indicating the number of issues per year; or, the value x meaning
"completely irregular." $w follows the last enumeration or chronology subfield.
| a |
Annual |
| b |
Bimonthly (every two months) |
| c |
Semiweekly |
| d |
Daily |
| e |
Biweekly (every two weeks) |
| f |
Semiannual |
| g |
Biennial (every two years) |
| h |
Triennial (every three years) |
| i |
Three times a week |
| j |
Three times a month |
| m |
Monthly |
| q |
Quarterly |
| s |
Semimonthly |
| t |
Three times a year |
| w |
Weekly |
| x |
Completely
irregular |
Examples
| 853 |
10 |
$8 1 $a v. $b no. $u 52 $v r $i (year) $j (month) $k (day) $w w (weekly) |
| 853 |
20 |
$8 1 $a v. $b no. $u 7 $v r $i (year) $j (month) $w 7 (7 issues yearly) |
| 853 |
00 |
$8 1 $a t. $b no. $u var $v r $i (year) $j (month) $w x (varying no. of issues
yearly) |
$x - Calendar change
This subfield specifies the calendar point at which the highest
level of enumeration increments. Numeric codes for months (1-12), seasons (21,
spring, to 24, winter) or dates (e.g., 0101 for January 1st) tell the volume
level to increase by 1. If there is more than one volume per year, the
$x subfield contains multiple codes, separated by commas. E.g., if there are
volume changes in January and July, input $x 01,07.
Example - Serial whose volume begins with the fall issue
| 853 |
20 |
$8 1 $a v. $b issue $u 4 $v r $i (year) $j (season) $w q $x 23 |
| 863 |
41 |
$8 1.1 $a 1 $b 1 $i 1998 $j 23 |
| 853 |
00 |
$8 1 $a t. $b no. $u var $v r $i (year) $j (month) $w x (varying no. of issues yearly) |
| Displays as: |
v.1:issue 1
(1998:fall) |
$y - Regularity pattern
This subfield contains strings of codes representing a combination of
calendar points when a title is either published or not published. It is
intended to describe those variations in a regular frequency which occur in a
predictable way.
The first code in $y is a publication code consisting of a single character:
The second code is a chronology definition code. Illustrating the first two
codes in random combinations:
| pm |
Published [in the following]
month(s) |
| ps |
Published [in the following]
season(s) |
| ow |
Omitted [in the following]
week(s) |
| od |
Omitted [in the following] day(s) | The third type of code is a repeatable chronology code. It is variable in
length. It may contain the codes previously described for months, seasons, and
dates, along with some extra ones. Here is the complete chart from http://lcweb.loc.gov/marc/chrono_patterns.html:
| PATTERN VALUES |
Week
(ww) |
Day of week
(dd) |
Week of month
(WW) |
Month
(MM) |
Day of month
(DD) |
Season
(SS) |
| 01-53 |
mo - Monday
tu - Tuesday
we -
Wednesday
th - Thursday
fr - Friday
sa - Saturday
su - Sunday |
99 - Last
98 - Next to last
97 -
Third to last
00 - Every
01 - First
02 - Second
03 - Third
04 -
Fourth
05 - Fifth |
01-12 |
01-31 |
21 - Spring
22 - Summer
23 -
Autumn
24 - Winter |
The combined codes tell the computer to account for variations in the
intervals of receipt as set by the entire 853 field. For example, if the
publication is a regular English-language monthly which omits the July issue,
the 853 field corresponding to the first published issue (in the 863) might look
like this:
| 853 |
20 |
$8 1 $a v. $b no. $u 11 $v r $i (year) $j (month) $w m $x 01 $y om07 |
| 863 |
41 |
$8 1.1 $a 1 $b 1 $i 2002 $j 01 |
| Displays as: |
v.1:no.1(2002:Jan.) |
Alternatively, the month values could be written as
pm01,02,03,04,05,06,08,09,10,11,12.
Example 1
A bimonthly publication with combined months may use the following 853
(accompanied by the 863 corresponding to the 99th year of publication):
| 853 |
20 |
$8 6 $a new ser.:v. $b no. $u 6 $v r $i year) $j (month) $w 6 $x 02 $y pm01/02,03/04,05/06,07/08,09/10,11/12 |
| 863 |
40 |
$8 1.1 $a 1 $b 1 $i 2002 $j 01 |
| Displays as: |
new
ser.:v.99:no.1-6(2002:Jan./Feb.-Nov./Dec.) [Can be further compressed to:
new ser.:v.99(2002)] |
The newer coding, "cm," could also be used here; but since all months must be
given, "pm" works equally well.
Example 2
A French publication which is a regular seasonal quarterly, but uses the less
frequent pattern of winter as the first issue of the year and combines the
summer and fall issues. The numeric values in subfield $j are converted by means
of a table to the French words for winter and fall; the fact that the last issue
is combined could be (but is not necessarily) used in the display. (Display is
prescribed by the Holdings Display Standard.)
| 853 |
20 |
$8 1 $a t. $b no. $u 4 $v r $i (year) $j (season) $w q $x 24 &# 36;y ps24,21,22/23 |
| 863 |
40 |
$8 1.1 $a 22 $b 1-4 $i 001 $j 24-23 |
| Displays as: |
t.22:no
1-4(2001:hiver-automne) [Can be further compressed to:
t.22(2001)] |
In fact, the volume might begin with another season, such as 22 (summer); the
values in $y are written in the order that they appear within the year.
Example 3
A publication from the Southern Hemisphere might have reversed seasons:
| 853 |
20 |
$8 2 $a v. $b no. $u 4 $v r $i (year) $j (season) $w q $x 24 $y ps22,23,24,21 |
| 863 |
40 |
$8 2.1 $a 33 $b 1-4 $i 1999-2000 $j 24-23 |
| Displays as: |
t.33:no.1-4(1999:winter-2000:fall) |
That is, the chronological year may begin with the summer or the fall issue,
e.g., January or April, but number 1 of the volume may be issued in the winter -
June!
Issues above are:
v.33:no.1(1999:winter);v.33:no.2(1999:spring);v.33:no.3(2000:summer);v.33:no.4(2000:fall).
|
