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Serials Workflow: Creation & Maintenance of Local Holdings Records (LHRs) in OCLC

Revised July 2020

Outline of Automated Process

For print serial/periodical holdings per local policy

NOTE: Do not make any modifications of LHRs in OCLC. This is done by the automated process. Only holdings statements in Aleph should be updated and maintained to reflect current library holdings. The automated process happens approximately every quarter.

  1. Connect to FCL60 in Aleph
  2. Go to Search
  3. Click on “Multi-base CCL Search”
  4. Select FCL60 (Holdings)
  5. Search for UMass holdings (wow=um)
  6. You can also add a search for not sta=suppressed (though this doesn't always work)
  7. You can add a date range to this query as in wupd=20180901→20190901
  8. Cross the search results
  9. Save the final set
  10. Go to Services/Retrieve Catalog Records - ret-01. Use name to save final crossed set, provide an output file name, tag=866##, Library=FCL60, Process to create=04
  11. Review batch log and once this process is finished
  12. Go to Services/Retrieve Catalog Records/Download Machine Readable Records. Use name from output file in ret-01, provide an output file name with .mrc extension, field 1: ALL, format=MARC with alphanumeric tags, Fix routine: LHR, Expand routine: LHR
  13. Download .mrc file
  14. Once that file has been downloaded, it is necessary to clean it up. Remove any suppressed records. For this you might need to double check the bib sys numbers against this file as the suppressed status was not always added to the holdings record. Check the encoding of the records.
  15. Rename the final .mrc file so that 7 collection is followed by our OCLC symbol and a unique file name as follows 1023404.AUM.lhrupdates[dateOfUpload].mrc
  16. Upload this into the 1023404 data sync collection in Worldshare Management Services (Collection Manager)
  17. Wait for the review file to return
  18. Download the review file from Worldshare Management Services
  19. Fix any errors

Contact: Jennifer Eustis

Holdings Statements Format in Aleph

  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 LHRs manually created, copy the holding string exactly from the HOL record of the serial.
    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 [6] Type of record, should be “y” (Serial item, for a serial) and [17] encoding level, should be “u” (Unknown). Record status will automatically show “n” (New) or “c” (Corrected or revised). Item information should automatically show “n” (No item information).
    3. 007 (Physical Description Fixed Field). When dealing with print titles, this will generally be “ta” (Text, Regular print).
    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 only one we need 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. 014 (with first indicator 0). This records the HOL number used by the automatic program, set up to update HOLs on an automatic schedule, as our holdings change. Enter the HOL number with front zero's added to make 9 digits, followed by subfield b (NONE). See example below.
    6. 852 (with first indicator 0). This field will be automatically pulled from the HOL. Enter AUM $b AUMM followed by the call number as depicted in the HOL. Example: $h HN30 $i .P27 $m Per. Any notes in the Aleph HOL useful for clarifying our holdings to other institutions should be entered here after a subfield z. Example: $z Supplements accompany some vols. We wouldn’t need to add notes such as: $z Latest vol./yr. in Ref.
    7. 853-863. These fields break down/clarify the holdings statement. We no longer use these.
    8. 866 (with indicators 41)*. Enter $0 $a followed by the holdings statement exactly as entered in the Summary field above.


Holdings: Summary: no.1 (1985)-no.70 (1997), no.72 (1997)-no.134 (2007), no.136 (2008)-no.151 (2011)

        866_41 $8 0 $a no.1 (1985)-no.70 (1997), no.72 (1997)-no.134 (2007), no.136 (2008)-no.151 (2011)

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

        866_41 $8 0 $a Current year only retained.

Special situation: Summary: Local holdings available.

        AUM $b AUMM $h KF135 $i .a22 $z Loose leaf:  Kept up-to date by monthly “chapters.”
        866_41 $8 0 $a Latest updates ranging from Apr 1971-Apr 1973.

Holdings link:

        014_0_ 002429968 $b (NONE)
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