(Aleph Workflow–Information Resources Management)
(Working Draft, 10/8/10)

Serials--Creation and maintenance of Local Holdings Records (LHRs) in OCLC

(for print serial/periodical holdings per local policy)

Getting Started:

  1. The LHR screen can be accessed in two ways:
    1. Through the Connexion Browser
    2. Through pulling up the record wanted on Connexion, hitting Tools/Launch Local Holdings Maintenance
  2. On the Local Holdings screen, go to the “Search for” window, and enter a search for the record for which we want to update/correct/add an LHR. (Easy search: enter the OCLC# after an *(asterisk) or after “no:”) Click the gray Search oval. The next screen will show the LHR if it exists. If not, it will display the bib. Click the drop-down menu on the ACTION window. Different options will appear: Create Local Holdings/Delete Local Holdings/Print Record/Replace Record, etc. NOTE: If accessed through b) above, the record will have already been searched, and will automatically appear on the Local Holdings screen.
  3. If an LHR is already present, edit it as required, and then chose Replace Record. NOTE: If there is a mistake in format, Connexion won’t save the LHR, but instead indicate the problem in red. (Example: forgetting to add a required $8 in an 853/863/866).
  4. If no LHR exists, Click Create Local Holdings in the ACTION window drop-down menu. A template will appear, which can be filled in/edited accordingly, after which the ACTION window will provide the option to Add Record. NOTE: Adding an LHR automatically updates our holdings symbol in OCLC.

Local Holdings Record Format:

  1. Identification of record: Top line: Title. Second line: OCLC, ISSN, Freq, Dates.
  2. Lines for entering local information: NOTE: For all of these fields, Click “+” to open, and “Apply” to save values. For the 852, 853, 863 and 866 fields, however, the information may be typed right into the blank line, if preferred.
    1. Summary. This contains our holdings. For a currently-received title, only the first vol. (vol/yr), (no/yr), will appear with an open dash. For cancellations and cessations, we need to indicate gaps/enumeration changes and close off the holdings statement with a final value. Occasionally we will indicate gaps or enumeration changes in a currently received title.
    2. Leader. Click the “+” to open it. Click “Apply” after entering values.This contains [5] Record status, [6] Type of record, [17] Encoding level, and [18] Item information in record. We only need to worry about [5] Record status (should be y – Serial item for a serial) and [17] encoding level. Until further notice, we are using “Level 3.” Encoding levels indicate the specificity of our holdings statement. Level 1 means only that we hold the item or not. Level 2 provides the holdings statement without breaking it down. Level 3 (which requires an added 853/863 or 866) provides holdings by 1st level enum./chron. only. If we hold less than half of an incomplete volume, we don’t record it; if we hold half or more, we do. Example: a bimonthly has v.3-v.4:no.1-2,5-6, v.5:no.3-4, v.6. We record this as: v.3-4, v.6. NOTE: Our Aleph HOL statements are Level 4.
    3. 007 (Physical Description Fixed Field). When dealing with print titles, we usually don’t need to worry about this. For print, it’s either: zu (Unspecified, Unspecified), or tu (Text, Unspecified).
    4. 008 (Fixed-Length Data Elements). This field contains several values: Data entered on file, Receipt or acquisition, Method of acquisition and so on. The most important one to worry about: Receipt or acquisition [06]. The drop-down menu gives several choices including 4 – Currently received, and 5 – Not currently received. Anything we currently receive should have a “4” entered here. Cancellations require changing the 4 to a 5. Cessations and title changes may be indicated with 2 – Received and complete or ceased, although 5 is also OK.
    5. 852. This is were AUM $b AUMM appears. Any notes in the Aleph HOL useful for clarifying our holdings to other institutions should be entered here after a subfield ($) z. Examples: $z Index: v.4 (1960)-v.13 (1969), bound with v.13; $z Supplements accompany some vols. We wouldn’t need to add notes such as: $z Latest vol./yr. in Ref. NOTE: Specific supplement and index information can be added with 854/864 and 855/865 pairings respectively.
    6. 853-866. These fields break down/clarify the holdings statement. They are used for Level 3 and above.

853/863/866 field information

  1. 853 Field. Provides the labels (captions) for the holdings statement. Explanation:
    1. First subfield = $8. If only one 853 is present, enter $8 1. If the enumeration of the serial/periodical changes, for example form volume to number or year only, two (or more) 853’s might be necessary, one for each change. The second 853 would have an $8 2, and so on.
    2. $a is 1st-level enum. of the publication. It will often appear as (*) (wildcard). But the proper value can also be entered here: v., no., ser.1:v., n.s.:no., etc.
    3. $i is for the year. Enter with parentheses as (year) in order to eliminate the word “year” from the actual holdings statement.
    4. Indicators for 853: We generally use 33 (Compress/expand=unknown; Caption evaluation=unverified; all levels may not be present). The field will look like this: 853_33 $8 1 $a v. $i (year).
  2. 863 Field. Provides the values labeled in the 853. Explanation:
    1. First subfield = $8 followed by a numeral in the form of #.#. If only one 863 is present, enter $8 1.1. If there are gaps or the enumeration pattern changes, more than one 863 field will be required. The first digit will identify the 863 with the 853 it’s referring to, while the second digit will indicate the successive numbering of the 863 field. 1) For gaps in the enumeration pattern defined by an 853_33 $8 1, enter $8 1.1, $8 1.2, $8 1.3, etc. NOTE: For a gap, add $w g to the end of the field (g=gap break or something missing, equivalent to the comma used in our holdings statements). 2) For enumeration changes defined by 853_33 $8 1, 853_33 $8 2, etc., use $8 1.1, $8 2.1, etc. NOTE: For an enumeration change, add $w n to the end of the field (n= non-gap break or nothing missing, but with an enumeration change, equivalent to the semicolon used in our holdings statement).
    2. $a will contain the numerals of our holdings statement (captioned in the 853).
    3. $i will contain the years pertaining to the numerals entered in $a.
    4. Indicators for 863: We generally use 3 (Holdings level 3), and blank (No information provided).
  3. 866 Field. May be used in place of the 853/863’s. Most useful for depicting special situations, i.e., current year only.
    1. First subfield = $8 0.
    2. Indicators for 866: Use 3 (Holdings level 3), and 0 (non-standard). NOTE: If depicting a standard holdings statement in place of 853/863, can use second indicator 1 (ANSI/NISO Z39.71 or ISO 10324).


Simple holdings (currently received): Summary: v.13- 2008-

	853_33	$8 1 $a v. $i (year)
	863_3	$8 1.1 $a 13- $i 2008-

Simple holdings (not currently received): Summary: v.2 (1987)-v.6 (1991)

	853_33	$8 1 $a v. $i (year)
	863_3	$8 1.1 $a 2-6 $i 1987-1991

Holdings with gaps: Summary: no.40 (1978)-no.44 (1982), no.46 (1984), no.48 (1986)-no.58 (1996)

	853_33	$8 1 $a no. $i (year)
	863_3	$8 1.1 $a 40-44 $i 1978-1982 $w g
	863_3	$8 1.2 $a 46 $i 1984 $w g
	863_3	$8 1.3 $a 48-58 $i 1986-1996

Holdings with enumeration changes: Summary: ser.3:v.1 (1982)-v.12 (1993), ser.4:no.1 (1994)-no.14 (2001); n.s.:no.1 (2001)-no.4 (2002)

	853_33	$8 1 $a ser.3:v. $i (year)
	853_33	$8 2 $a ser.4:no. $i (year)
	853_33	$8 3 $a n.s.:no. $i (year)
	863_3	$8 1.1 $a 1-12 $i 1982-1993 $w n
	863_3	$8 2.1 $a 1-14 $i 1994-2001 $w n
	863_3	$8 3.1 $a 1-4 $i 2001-2002	

Holdings with year only: NOTE: In this case, (year) is entered into the $a because it serves as the 1st level enum. Summary: 1956/1957-1988/1989

	853_33 $8 1 $a (year)
	863_3 $8 1.1 $a 1978-1985		
        853_33 $8 1 $a (year/year)
	863_3 $8 1.1 $a 1956/1957-1988/1989

Current vol./year only retained: Summary: Current year only retained.

        866_30 $8 0 $a Current year only retained.

Special situation: Summary: Local holdings available.

        AUM $b AUMM $z Loose leaf:  Kept up-to date by monthly “chapters.”
        866_30 $8 0 $a Latest updates ranging from Apr 1971-Apr 1973.

(Aleph Workflow–Collection Services Division) (Working Draft, 10/08/10)

Local Holdings Information from Other Institutions

The LHR screen can be very useful for checking other institutions’ holdings on a certain title.

  1. Call up the LHR (or bib.) of the record of interest (step A.2. above). The VIEW window (to right of the ACTION window) will read MARC template. Click the drop-down menu of that window, and choose Display Local Holdings.
  2. A new line will appear with a window labeled “Local holdings type” window. Choose All holdings in the drop-down, then click the gray oval just right, labeled Display Local Holdings. The holdings of other institutions will appear. Moving the cursor onto the various OCLC symbols will display the names of the institutions.

Primary contact: Lucy deGozzaldi.

serials_local_holdings_records_lhrs_creation_and_maintenance.txt · Last modified: 2015/05/13 14:36 (external edit)
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