MARC 21 Concise Holdings: Caption and Pattern Fields (853-855)

This is an ARCHIVED VERSION of the 2000 electronic edition of the MARC 21 Concise Formats. Please see www.loc.gov/marc/concise/ for the most up-to-date version of the electronic MARC 21 Concise Formats.

• CAPTION AND PATTERN FIELDS--GENERAL INFORMATION
• 853 - CAPTIONS AND PATTERN--BASIC BIBLIOGRAPHIC UNIT (R)
• 854 - CAPTIONS AND PATTERN--SUPPLEMENTARY MATERIAL (R)
• 855 - CAPTIONS AND PATTERN--INDEXES (R)

CAPTION AND PATTERN FIELDS--GENERAL INFORMATION

A general description of the four types of holdings data fields and their relationship to each other is given in the Holdings Data--General Information section.

Information for Translators and Other Users
Items highlighted in red in the online format indicate changes made after the 1998 edition of the USMARC Concise Formats
was published (This publication included the 1989 base text, along with Updates No. 1 (April 1991) and No. 2 (July 1994) of
the USMARC Format for Holdings Data).

Indicators

• First - Compressibility and expandability [853/854]
  In fields 853 and 854, a value that indicates whether a computer algorithm may be used to convert the content of subfields $a-$m in one or more linked enumeration and chronology fields (863-864) from: an itemized report to one that expresses the same range of holdings in terms of the enumeration and chronology of only the first and last part held; or a compressed first-and-last-part-held listing of a range of holdings to an explicit itemization of each part held.
  • 0 - Cannot compress or expand
  • 1 - Can compress but not expand
  • 2 - Can compress or expand
  • 3 - Unknown
• First - Undefined [855]
  • # - Undefined
• Second - Caption evaluation [853/854]
  In fields 853 and 854, a value that indicates the completeness of the captions for the various levels of enumeration and chronology contained in subfields $a-$m and whether they appear on the bibliographic item.
  • 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
• Second - Undefined [855]
  • # - Undefined

Subfield Codes

• $a-$h - Enumeration captions
  The captions for the levels of enumeration applicable to a bibliographic item. These caption subfields are correlated with the enumeration subfields $a-$h in the 863-865 Enumeration and Chronology field linked to the 853-855 field, although the same subfields need not always be present. Full correlation of caption and enumeration level subfields $a-$h in linked 853-855/863-865 fields is not required when captions are not desired for displaying the holdings statement. Full correlation is required when compression or expansion of the enumeration in field 863 or 864 by computer algorithm is desired. If there is no caption on the item for some level, a caption may be invented and enclosed in brackets ([ ]) in order to achieve full correlation.

  When alternative numbering schemes are applicable to an item, subfields $g and $h contain the alternative enumeration captions. If captions for more than two levels of alternative enumeration are required, an 866-868 Textual Holdings field is used.

  When only chronology captions are used on an item (that is, the item carries no enumeration), the chronology captions are contained in the relevant enumeration caption subfields ($a-$h). If a chronology caption is not to be used in a display of the enumeration and chronology field (863-865), it is enclosed in parentheses, for example, (year).

  When a supplement or index designation is used as a caption (which occurs if its numbering relates to a particular volume or part of the bibliographic unit, e.g. v. 9, suppl. 1-3) the designation is contained in the relevant enumeration caption subfield ($a-$f).

  When the enumeration consists of the number of units held followed by a term describing the units, the entire phrase is contained in the appropriate 863-865 field, and the 853-855 field contains the term unit (in parentheses if display is not desired).

• $a - First level of enumeration (NR)
• $b - Second level of enumeration (NR)
• $c - Third level of enumeration (NR)
• $d - Fourth level of enumeration (NR)
• $e - Fifth level of enumeration (NR)
• $f - Sixth level of enumeration (NR)
• $g - Alternative numbering scheme, first level of enumeration (NR)
• $h - Alternative numbering scheme, second level of enumeration (NR)
• $i-$m - Chronology captions
  The captions for the levels of chronology applicable to a bibliographic item. These caption subfields are correlated with the chronology subfields $i-$m in the Enumeration and Chronology fields (863-865) linked to fields 853-855, although the same subfields need not always be present. Full correlation of caption and chronology level subfields $i-$m in the field 853-855 and 863-865 is not required when captions are not desired for displaying the holdings statement. Full correlation is required when compression or expansion of the chronology in field 863 or 864 by computer algorithm is desired. Because bibliographic items generally do not carry chronology captions, a caption may be invented and enclosed in brackets ([ ]) in order to achieve full correlation.

  When an alternative chronology scheme is applicable to an item, subfield $m contains the alternative chronology caption. If captions for more than one level of alternative chronology are required, a Textual Holdings field (866-868) is used.

  When only chronology captions are used on an item (that is, the item carries no enumeration), the chronology captions are carried in the relevant enumeration caption subfields ($a-$h) and no captions are recorded in subfields $i-$m. If a chronology caption is not to be used in a display of the Enumeration and Chronology (863-865) field, it is enclosed in parentheses, e.g., (year).

• $i - First level of chronology (NR)
• $j - Second level of chronology (NR)
• $k - Third level of chronology (NR)
• $l - Fourth level of chronology (NR)
• $m - Alternative numbering scheme, chronology (NR)
• $o - Type of supplementary material (NR) [854]
  A caption that describes the type of supplementary material (e.g., annual buyer's guide) in field 854. When used, subfield $o immediately follows the caption to which it refers. If the title of the supplementary material is different from the indication of the type, the title is recorded in subfield $o (Title of supplementary material) of the 864 field.
• $o - Type of index (NR) [855]
  A caption that describes the type of index (e.g., subject index) in field 855 when the type is specified on the item. When used, subfield $o immediately follows the caption to which it refers. If the title of an index is different from the indication of the type, the title is recorded in subfield $o (Title of index) of the 865 field.
• $t - Copy (NR)
  A caption for the copy number contained in subfield $t of a linked Enumeration and Chronology field.
• $u - Bibliographic units per next higher level (R)
  A number (or the code var or und) that specifies the total number of parts that comprise the next higher level of enumeration. It follows the caption subfield for the enumeration level to which it applies. Subfield $u is not used with subfield $a or $g.
  • [n] - Number of parts
    The total number of parts that constitute the next higher level of enumeration for example, a quarterly publication requires 4 issues to make 1 volume. Because subfield $u is variable in length, no leading zero is used for a single-character number.
  • var - Varies
    Used when a specific number would be meaningless.
  • und Undetermined
• $v - Numbering continuity (R)
  A one-character code that indicates whether the numbering of the described level consists of continuously incrementing numbers or numbers that restart at the completion of the unit.
  • c - Number increments continuously
  • r - Numbering restarts at the completion of the unit
• $w - Frequency (NR)
  A one-character alphabetic code or a number that indicates the publication frequency of the item. Subfield $w is not related to a specific caption. It is input following the last chronology caption used. Specific publishing pattern information is contained in subfield $y (Regularity).
  • Codes
    Codes used for frequencies that have a fundamental periodicity.
    • a - Annual
    • b - Bimonthly
    • c - Semiweekly
    • d - Daily
    • e - Biweekly
    • f - Semiannual
    • g - Biennial
    • h - Triennial
    • 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
  • Number
    A number is used to specify the issues per year when no codable periodicity exists. Because subfield $w is variable in length, no leading zero is used for a single-character number.
• $x - Calendar change (NR)
  One or more two- or four-character numeric codes that indicate the chronological point at which the next higher level increments or changes.
  • Codes
    A two-character code identifies the month or season of change. A four-character code in the pattern mmdd (2 for the month and 2 for the day) 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 - Month
    • Day:
    • 01-31 - Day
    • Season:
    • 21 - Spring
    • 22 - Summer
    • 23 - Autumn
    • 24 - Winter
• $y - Regularity pattern (R)
  Describes the regularity of the publishing pattern coded in subfield $w (Frequency). The subfield is structured as follows:

  [Publication Code][Chronology Code Definition][Chronology Code],[Chronology Code]...

  The subfield may contain one or more chronology codes that are associated with the publication code and chronology code definition that are in the first and second character position of the subfield. The subfield may be repeated to allow for coding more than one publication code/chronology code definition/chronology code string to indicate regular exceptions to a specified regularity pattern (i.e., normalized irregulars).

  • Publication Code
    The first one-character code indicates whether the subsequent codes refer to the publication or the nonpublication of part(s) of the item.
    • o - Omitted
    • p - Published
  • Chronology Code Definition
    The second one-character code indicates whether the subsequent Chronology Code(s) represent the name of the day, a numeric month or month-and-day code, a code for a season of the year, or a code for a week of the month or year.
    • d - Day
    • m - Month
    • s - Season
    • w - Week
  • Chronology Code
    Indicates the designation of the part of the item for which regularity pattern information is provided. Multiple codes are separated by a comma. A slash (/) is used to designate combined issues. Two-character alphabetic or numeric codes are used for days, weeks, months, and/or seasons. A code of less than two digits is right justified and the unused position contains a zero.

    The Regularity pattern codes are maintained at the Library of Congress. Questions on coding patterns or establishing new ones should be addressed to the Network Development and MARC Standards Office, Library of Congress, Washington, D.C. 20540-4402 (Internet: ndmso@loc.gov).

    See Chronology Type and Code Patterns for a listing of all codes used in subfield $y.

• $z - Numbering scheme (R)
  A six character code string used to designate the numbering scheme used on a publication. The codes allow for recording different numbering schemes at different levels of enumeration.
  • Type of designation
    Indicates whether the numbering is a number, letter or combined (number first or letter first). Combined should only be used when one of the elements is a constant designation (e.g., 1a, 2a, 3a), rather than actually two different levels of enumeration (e.g., 1a, 1b, 1c).
    • a - Number
    • b - Letter
    • c - Combined, number first
    • d - Combined, letter first
    • e - Symbol or special character

  Case

  Indicates if a numbering scheme is conveyed as alphas and applies both to those coded in the previous position as "b" or to Roman numerals.
  • a - No case
  • b - Lower case
  • c - Upper case
  • d - Mixed case

  Script Code/Type Code

  Indicates either the script used in the numbering scheme or, for numerals or symbols that are not in alternate scripts, the type of numeral or symbol used.

  The script code is a four-character from ISO/DIS 15924 Code for the Representation of Names of Scripts found at www.unicode.org/iso15924/. The type code is as follows:

  • an## - Arabic numeral
  • rn## - Roman numeral
  • sy<symbol># - Symbol

• $3 - Materials specified (NR)
  Specifies the range of volumes or dates to which the field applies.
• $6 - Linkage (NR) See Control Subfields
• $8 - Field link and sequence number (NR) See Control Subfields

Compression and expansion requirements

Leader/17 Encoding level

Compression only can be applied to Holdings level 4 detailed holdings statements (Leader/17, code 4) and Holdings level 4 detailed holdings statements with piece designation (Leader/17,code 5).

Expansion can be applied to both types of detailed holdings statements (Leader/17, code 4 or 5) and to Holdings level 3 summary holdings statements (Leader/17, code 3).

Correlation of the 853/863 caption and the 854/864 enumeration level subfields

Compression and expansion require that the caption subfields ($a-$m) for each of the applicable levels of enumeration and chronology subfields ($a-$m) must be present in the caption and pattern field (853/863) that is linked to the enumeration and chronology field (863/864).

Publication pattern subfields $u-$y

No publication pattern subfields in field 853 or 854 are required for either compression or expansion when the enumeration and chronology in field 863 or 864 consist only of the highest level of enumeration (subfields $a, $g, $i, $m). When subsequent levels are present, the compression or expansion capability requires pertinent publication pattern information in the following subfields:

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

Compression of the contents of subfields $a-$m in field 863 or 864 requires information in subfields $u and $v. Subfield $u may not contain the code var (varies) or und (undetermined).

Expansion of the contents of subfield $a-$m in field 863 or 864 requires information in subfields $u, $v, and $w and may also require information in subfields $x and $y.

Ordinal Numbers

To indicate that ordinal numbers should be displayed, a plus sign (+) may be used preceding the caption. If no caption is entered, a plus sign may be recorded alone to indicate display of the corresponding 863 subfield as an ordinal number.

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853 - CAPTIONS AND PATTERN--BASIC BIBLIOGRAPHIC UNIT (R)

The caption that is appropriate for each level of enumeration and chronology that is present in a related 863 Enumeration and Chronology Basic Bibliographic Unit field and codes that define the publication pattern of the item. A display may be generated from the contents of field 853 and the related 863 field(s) to which it is linked by subfield $8 (Field link and sequence number).

Guidelines for applying the content designators defined for field 853 are given in the Caption and Pattern Fields--General Information section.

Examples

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854 - CAPTIONS AND PATTERN--SUPPLEMENTARY MATERIAL (R)

The caption that is appropriate for each level of enumeration and chronology that is present in a related 864 Enumeration and Chronology--Supplementary Material field and codes that define the publication pattern of the item. It is used only when the supplementary material is not separately cataloged. A display may be generated from the contents of field 854 and the related 864 fields(s) to which it is linked by subfield $8 (Field link and sequence number).

Guidelines for applying the content designators defined for field 854 are given in the Caption and Pattern Fields--General Information section.

Examples

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855 - CAPTIONS AND PATTERN--INDEXES (R)

The caption that is appropriate for each level of enumeration and chronology that is present in a related 865 Enumeration and Chronology Indexes field and codes that define the publication pattern for the item. A display may be generated from the contents of field 855 and the related 865 field(s) to which it is linked by subfield $8 (Field link and sequence number).

Guidelines for applying the content designators defined for field 855 are given in the Caption and Pattern Fields--General Information section.

Examples

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