Monograph and Integrating Resource Holdings in the LC ILS
Prepared by
Library of Congress Acquisitions and Bibliographic Access Policy and Standards Division
September 2008
Mono. & Integrating Resource Holdings in LC ILS Table of Contents
Monograph and Integrating Resource Holdings in the LC ILS
Table of Contents
0. Introduction...... 1 1. General Information and Policies ...... 2 1.1. Background...... 2 1.2. General Working Environment...... 2 1.2.1. Record creation ...... 2 1.2.2. Record validation...... 3 1.2.3. Preferences in the LC ILS cataloging module ...... 3 1.3. Where to record location information...... 3 1.4. How many holdings records?...... 4 1.4.1. Custodial or reference copies...... 4 1.4.2. Office copies ...... 4 1.5. Copy numbers ...... 5 1.6. Maintenance...... 6 1.6.1. Holdings record modification and LC ILS authorization profiles...... 6 1.6.2. Call number changes...... 6 1.6.3. Record deletion, re-linking, or suppression ...... 7 2. Holdings Record Element Guidelines...... 8 2.1. Standards...... 8 2.2. Leader and 008...... 8 2.3. 852 Field (Location) ...... 8 2.3.1. General...... 8 2.3.2. Indicators...... 8 2.3.3. 852 $b (Location code) and 852 $m (Sublocation) ...... 8 2.3.4. 852 $h and $i (Call number) ...... 10 2.3.5. 852 $t (Copy information) ...... 10 2.3.6. 852 $x (Non-public (staff) note)...... 10 2.3.7. 852 $z (Public note)...... 11 2.4. 866 Field (Summary holdings statement)...... 11 2.4.1. General...... 11 2.4.2. Parts of same copy at different call numbers...... 12 2.5. 845 Field (terms governing use and reproduction note) ...... 13 2.6. 986 Field (Local holdings verification status) ...... 13 3. Complements of Holdings Records and Item Records in the LC ILS...... 14 3.1. LC does not acquire and never retained a copy ...... 14 3.2. LC currently does not acquire and withdrew copies retained earlier...... 14 3.3. Single part, with one copy/location/call number ...... 15 3.4. Single part, with multiple copies/locations/call numbers ...... 15 3.5. Multipart, not analyzed, classified as a collection, with one copy/location/call number ...16 3.6. Multipart, not analyzed, classified as a collection, with multiple copies/locations/call numbers...... 16 3.7. Multipart, analyzed in full, classified as a collection...... 17
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Mono. & Integrating Resource Holdings in LC ILS Table of Contents
3.8. Multipart, analyzed in part, classified as a collection...... 18 3.9. Multipart, analyzed in full, classified separately ...... 19 4. Special Situations and Formats...... 20 4.1. Resources with updating materials ...... 20 4.1.1. Scope...... 20 4.1.2. Holdings records ...... 20 4.1.3. Item records ...... 20 4.1.4. Law Library: Multipart resources updated by revised or replacement volumes ...... 21 4.2. Monographs with accompanying material...... 22 4.2.1. Scope...... 22 4.2.2. General policies ...... 22 4.2.3. Additional copy retained without accompanying material ...... 27 4.3. Books issued in fascicles ...... 28 4.3.1. New “books issued in fascicles”...... 28 4.3.2. Subsequent fascicles and bound volumes...... 29 4.4. Separate bibliographic resources sharing same carrier...... 30 4.5. 2A cataloging...... 33 4.6. Collection level cataloging for books ...... 34 4.7. Cataloging in Publication (CIP) workflow ...... 35 4.7.1. CIP galley stage ...... 35 4.7.2. CIP verification stage...... 35 4.7.2.1. “Do not acquire” resources ...... 35 4.7.2.2. “Acquire” resources...... 35 4.8. Overflow collection ...... 36 4.9. Prints and photographs...... 37 4.10. Moving image resources...... 39 4.11. Manuscripts...... 40 4.12. Rare books ...... 41
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Mono. & Integrating Resource Holdings in LC ILS 0. Introduction
0. Introduction
Monograph and Integrating Resource Holdings in the LC ILS (MIRH) presents policies for all Library of Congress units concerning LC ILS holdings records for monographs and integrating resources. It also addresses item records to the extent they are used in combination with holdings records in general and special practices, but policies about LC ILS item record data are mainly in LC’s Item Record Data Dictionary (www.loc.gov/staff/catdir/cpso/irdd.html).
Information in MIRH consists of policies for: • monographs and integrating resources in general • specific holdings record elements • complements of holdings records and item records • special situations and formats
MIRH is a record of policies, intended as a resource in planning and problem resolution. For specifics of particular workflows, see procedural documentation for appropriate LC units and categories of material. To learn LC ILS system functionalities, see cataloging module training materials from Instructional Design and Training Division (www.loc.gov/staff/idt/CatFull.pdf).
See MARC 21 Format for Holdings Data (www.loc.gov/marc/holdings/echdhome.html) for complete information about elements used in holdings records.
See Serial Holdings in the LC-ILS (www.loc.gov/staff/srd/manual/SerHold.pdf) concerning LC policies and procedures for serials holding records.
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Mono. & Integrating Resource Holdings in LC ILS 1. General Policies
1. General Information and Policies
1.1. Background
Key functions of LC ILS holdings records for monographs and integrating resources are:
• Identify location and call number (or call number substitute) of a resource • Identify copy number of a resource (if one is used) • Connect bibliographic description of a resource (in the bibliographic record) to the unit(s) comprising a copy of the resource in LC (represented by an item record or item records) • Connect bibliographic description and location information for a copy of a resource to a Purchase Order, with data supporting acquisitions and check-in • Convey copy-specific processing instructions for staff, as appropriate • Convey helpful information for library patrons, as appropriate
Note: LC ILS holdings records for multipart monographs and integrating resources generally do not include detailed or summary holdings data. That is in contrast with LC ILS holdings records for serials. See 2.4.2 for instructions about the exceptional situation in which LC does record summary holdings data for multipart monographs and integrating resources. See Serial Holdings in the LC-ILS for information about recording serials holdings data.
The key function of LC ILS item records for monographs and integrating resources is to enable management of individual physical units for operations such as circulation and inventory control. Essential item record data that support those operations include:
• a unique barcode number to identify the unit, if appropriate • location and copy number of the unit • type of item • status of the unit • as appropriate, data to identify which specific part(s) of a multipart resource the unit constitutes
1.2. General Working Environment
1.2.1. Record creation In routine operations, LC staff create and modify holdings records and item records in the LC ILS system. Sometimes different software applications help in doing this. Exceptionally, special projects and applications may import holdings records from external sources, using procedures and system functionalities developed for them.
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1.2.2. Record validation Acquisitions and Bibliographic Access (ABA) staff run Validator each time after creating or modifying a holdings record. They make necessary changes until Validator indicates no errors needing correction. See DCM M7 for information about using Validator and interpreting its messages.
Staff do not apply Validator after creating or modifying an item record. (Doing so results in a system error message.)
1.2.3. Preferences in the LC ILS cataloging module The following options in the LC ILS cataloging module are significant for work with holdings records and item records. (See DCM M6 for recommended session defaults and preferences and how to set them in the LC ILS cataloging module.)
In the “Session Defaults and Preferences” box:
General tab: “Holdings/Item default location” “Call Number Hierarchies”
Validation tab: “Cataloging formats” “Bypass MARC Validation” “Bypass Authority Control Validation”
Work Flow tab: “Always create a holding when adding holdings to a bib (i.e., do not show existing holdings first)” “Sequence new items at top” “Check for Duplicate Item Barcodes”
Item Defaults tab: “Item Type” “Status” “Copy” “Pieces”
Folders/Files tab: “Templates / Hldg”
1.3. Where to record location information
LC records the location of a copy of a resource in LC in the holdings record in the LC ILS for that copy, in field 852. (See 2.3.)
In the past, LC sometimes recorded location information in 050 $u in bibliographic records, but generally no longer does that. Exception: LC still does so in some records created in Geography & Map Division.
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Note: MARC 21 Format for Bibliographic Data, in addition to the holdings format, includes field 852 (Location). Only staff creating records for manuscript collections and other archival/special collections materials use 852 fields in both bibliographic and holdings records.
1.4. How many holdings records?
1.4.1. Custodial or reference copies There is a separate holdings record for each unique combination of location, call number, and copy number.
• If LC has one copy, there is at least one holdings record for that copy. • If LC has more than one copy, each additional copy has its own holdings record(s). Different copies may be at different locations or at different call numbers. • If not all parts of a copy of a multipart are at the same location, there are separate holdings records for the different locations (except see 4.3.1 concerning unbound fascicles of books). • If not all parts of a copy of a multipart are at the same call number, there are separate holdings records for the different call numbers.
In situations where LC uses a single record approach with one bibliographic record to control multiple format manifestations of a resource, there are generally separate holdings records for the different manifestations (which may have different locations and call numbers). Examples include bibliographic records with:
• separate holdings records for original and Internet digital manifestations of a text resource • separate holdings records for master reels and a videocassette or DVD viewing copy of a movie
Note: In exceptional situations, separate bibliographic resources on the same physical carrier may have only one holdings record and one item record among them, with all the bibliographic records involved linked to the same item record. (See 4.4.)
Holdings records and item records for any copies that become lost or missing should remain in the LC ILS database. Staff do not process replacement copies by “re-using” holdings records and item records for lost or missing copies. Instead, they use separate holdings records and item records for the replacement copies. The holdings and item records for replacement copies have new copy numbers, not those previously used for lost or missing copies.
1.4.2. Office copies There is a single holdings record for an office copy location, no matter how many copies there are for that location. There are separate item records for different copies, linked to that location’s holdings record.
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1.5. Copy numbers
LC does not use copy numbers for some materials or special collections (such as Internet resources, manuscripts, moving image resources, prints and photographs, and sound recordings in the American Folklife Center).
In areas of LC that employ copy numbers for controlling monographs and integrating resources, staff use them in the following places:
• in holdings record 852 $t • in item record data element Copy • in the call number written in the physical item, when processing requires that
Staff make sure that copy numbers in those locations match for each specific item, as appropriate, because the LC ILS system does not automatically require that they do so.
Where LC uses them, the purpose of copy numbers is to identify specific copies of a resource at a given call number or shelf number. They do not necessarily correspond to the number of copies of the resource there are in LC.
“Acquire” copies: A copy number for an “Acquire” copy of a monograph or integrating resource consists of “Copy” followed by a blank space and the number determined for the copy.
There is a single sequence of copy numbers for all holdings records that have the same call number (regardless of whether they have the same location or different locations). If holdings records have different call numbers (regardless of whether they have the same location or different locations), they have copy numbers numbered in different sequences.
The number for a copy is the next number in the sequence for that call number: “Copy 1” for the first holdings record created at the call number, then “Copy 2” and so on after that.
Before adding a new copy (and a holdings record and copy number for it) to an existing record, shelflist compare should be done to ensure that there are the appropriate number of holdings records (with appropriate copy numbers, if applicable) for LC’s holdings. For shelflist compare instructions, see Classification and Shelflisting Manual, ILS Supplement, Appendix A (www.loc.gov/staff/catdir/cpso/SCMSLApA.htm).
A copy number previously assigned to a lost or missing copy is not re-used. Instead, a new copy number (the next one in the sequence) is assigned.
X-copies: An “x-copy” is a copy (a) exceeding the number of shelf copies that LC decided to keep permanently and (b) designated to be held non-permanently somewhere (such as in a reference location).
In the holdings record for an “x-copy” of a monograph or integrating resource, the copy number is “X-copy” without any following number. (Some older “x-copy” holdings records in the LC
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ILS database have three-digit numbers beginning with “9” (such as “902”) instead of “X-Copy.” Exception: “Copy 999” indicates reference assignments temporarily lacking appropriate call numbers, not “x-copies.”)
In the item record for an “x-copy” of a monograph or integrating resource, the copy number is “0.”
Beginning in August 2008, “X-copies” do not affect the determination of copy numbers in a sequence. For example, if a holdings record for a new “Acquire” copy is added and there are two existing holdings records, one for “Copy 1” and the other for “X-Copy” (both at the same call number as the new copy), the new “Acquire” holdings record is “Copy 2.”
Note: Before August 2008, “X-copies” were counted in determining copy numbers. For example, a new “Acquire” copy added alongside existing “Copy 1” and “X-Copy” holdings records would be “Copy 3.” Generally, staff do not re-number copy numbers assigned according to the old policies, but continue using the existing copy numbers as assigned.
1.6. Maintenance
1.6.1. Holdings record modification and LC ILS authorization profiles LC assigns to a staff individual an LC ILS authorization profile that determines the 852 $b locations for which the person can modify existing holdings records. For example, one may have the ability to change any General Collections holdings record, but not those for Rare Book and Special Collections Division. Staff communicate with others who have the necessary authorizations in order to make corrections in holdings records they themselves cannot modify.
1.6.2. Call number changes When it is necessary to change a call number, doing so generally requires modifications in the bibliographic record (field 050 or 051) and in the holdings record(s) (852 $h and $i). If there are items labeled with the incorrect call number, it is also necessary to change those (except items in Ft. Meade). The timing of those changes depends upon the availability of the labeled items, as follows:
All items are retrieved: Change call number in bibliographic record 050/051. Change call numbers in holdings records’ 852 $h and $i.
Some but not all items Change call number in bibliographic record 050/051. are retrieved: Change call numbers in holdings records’ 852 $h and $i for the items retrieved.
Do not change call numbers in holdings records for the items not retrieved. Instead, add a staff note “Still marked” in 852 $x. In each affected item record, add a pop-up note such as “Change Cutter number to XXX” along with staff ID and mailstop. Set Item Status in the item record to “Cataloging review.”
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None of the items is Do not change call number in bibliographic record 050/051. retrieved (locations Do not change call numbers in holdings records’ 852 $h and $i. other than Ft. Meade): In each holdings record, add a staff note “Still marked” in 852 $x. In each item record, add a pop-up note such as “Change Cutter number to XXX” along with staff ID and mailstop. Set Item Status in the item record to “Cataloging review.”
None of the items is Change call number in bibliographic record 050/051. retrieved (all in Ft. Do not change call numbers in holdings records’ 852 $h and $i. Meade) (All copies in Ft. Meade remain labeled under old call number.)
In each Ft. Meade holdings record, a staff note “Still marked” is added in 852 $x (see DCM C8.4). Item Status in the item record(s) is not set to “Cataloging review.”
1.6.3. Record deletion, re-linking, or suppression The LC ILS requires that all item records linked to a holdings record be deleted or re-linked to another holdings record before the holdings record can be deleted. The LC ILS requires that all holdings records linked to a bibliographic record be deleted or re-linked to another bibliographic record before the bibliographic record can be deleted. Workflow plans must incorporate those requirements.
Holdings records or item records cannot be recovered once deleted in the LC ILS. LC specialists can, however, track who deleted specific records. Therefore, record deletion must be done with caution.
A bibliographic record or holdings record cannot be deleted if a Purchase Order is attached to it. See DCM C7.3 concerning bibliographic records suppressed and retained for an audit trail in such circumstances.
In cases where holdings records should be deleted, re-linked, or suppressed, have any Purchase Orders changed, cancelled, or created, as necessary, so that acquisitions data are linked to the correct bibliographic record and holdings record.
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Mono. & Integrating Resource Holdings in LC ILS 2. HRs: Specific Guidelines
2. Holdings Record Element Guidelines
2.1. Standards
Holdings records for monographs and integrating resources in the LC ILS follow MARC 21 Format for Holdings Data, as modified for LC system functionality and extended for local data.
2.2. Leader and 008
Leader and 008 element values in LC ILS holdings records for monographs and integrating resources are left as prompted or found.
2.3. 852 Field (Location)
2.3.1. General Data that belong in field 852 are applicable to all the items linked to the holdings record, not specific to any individual item.
New holdings records for monographs and integrating resources in the LC ILS have the following order of subfields in field 852, as applicable:
852 … $b … $h … $i … $t … $m … $x … $z …
Holdings records generated in the initial LC ILS database load may have 852 subfields in the order: 852 … $b … $h … $i … $m … $t … $x … $z. Staff do not routinely change 852 subfield order in those older holdings records.
2.3.2. Indicators First indicator: Values used are:
0 : 852 $h contains an LC classification number. 8 : 852 $h contains any other shelf or location number. blank : There is no 852 $h.
Using the cataloging module’s "Get call number ..." function inputs the correct 852 first indicator value, provided the call number is of the type set in "Call number hierarchies" in cataloging module Preferences (see DCM M6).
2.3.3. 852 $b (Location code) and 852 $m (Sublocation) Holdings record 852 $b contains the code for the copy’s custodial location, reference location, etc.
Location codes defined for use in the LC ILS are registered in the Integrated Library System Program’s Locations Authorities file (www.loc.gov/staff/ils/multites/index.htm). The code for each location has up to ten characters. Each location also has a name (up to twenty-five
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characters) registered in the Locations Authorities file. Each location code or name begins with one of the following prefixes, indicating the location’s function:
• c- : Custodial • e- : Electronic (currently used only in online serial locations) • r- : Reference • s- : Storage offsite • o- : Office copy • m- : Message • w- : Work site/shipping address • wx- : Acquisition priced exchange • z- : System work around
There are common correspondences between different 852 $b location codes and selection decisions:
Decision Location Explanation
Retain the copy “c-“ or “r-“ The copy is to be retained in LC’s collections. in LC. prefixed location
No longer retain m-Withdraw The copy was once retained in LC’s collections. the copy in LC. Now it is no longer to be retained.
Use of m-Withdraw in 852 $b causes the holdings record to be suppressed from the OPAC.
LC does not need m-Surplus This copy has not been added to LC’s collections this copy. and has been disposed of.
A surplus copy is an “in process” copy for which someone created a holdings record and item record(s) but which is not being retained (because the selection decision is “do not acquire,” or because no more shelf copies, office copies, or reference copies are required, or for some other reason). In any linked item record, Perm. Loc. is set to m-Surplus and Copy is set to “0.”
Use of m-Surplus in 852 $b causes the holdings record to be suppressed from the OPAC.
If the location in 852 $b of a holdings record must be changed (such as from c-GenColl to c-LL), any linked Purchase Order should also be changed as necessary.
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Holdings record field 852 subfield $m holds sublocation terms, as appropriate. Sublocation terms are also registered in the Locations Authorities file. Subfield $m is repeatable to accommodate different kinds of sublocations, such as those for languages, folios, named special collections, etc.
852 0# $b ______$h ______$i _____ $t ____ $m ____ $m fol.
2.3.4. 852 $h and $i (Call number) Using the cataloging module’s "Get call number ..." function copies the call number from the bibliographic record to the holdings record (852 $h or 852 $h and $i, as appropriate), provided the call number is of the type set in "Call number hierarchies" in cataloging module Preferences (see DCM M6).
Call numbers classed with main series: If the call number in field 050 of the bibliographic record ends in a volume number without “etc.,” the holdings record’s call number includes the volume number in 852 $i (because it applies to all of the items covered by the holdings record).
050 00 $a ____ $b ____ no. 33 852 0# $b ____ $h ____ $i ____ no. 33 $t ____ In item record, Enum = blank
If the call number in field 050 of the bibliographic record ends in a volume number followed by “etc.,” the holdings record’s call number does not include the volume number or “etc.” in 852 $i (because the resource is a multipart monograph and different volume numbers apply to different parts). In the item record for each part covered by the holdings record, Enum contains the volume number for that part.
050 00 $a ____ $b ____ vol. 45, etc. 852 0# $b ____ $h ____ $i ____ $t ____ In item record, Enum = v. 45 (In other item records, Enum = different volume numbers.)
The holdings record’s call number in 852 $h and $i does not include an alternative classification number that appears as a second subfield $a in the bibliographic record’s field 050.
050 00 $a ____ $b ____ no. 38 $a ____ 852 0# $b ____ $h ____ $i _____ no. 38 In item record, Enum = blank
2.3.5. 852 $t (Copy information) See 1.5 for policies on using and determining copy numbers.
2.3.6. 852 $x (Non-public (staff) note) In a holdings record with a reference location (“r-” prefixed) in 852 $b, a reference specialist gives a note "Assign to _____ after reference" in 852 $x indicating the non-reference custodial
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location for the copy if that location would be other than General Collections. If the non- reference custodial location would be General Collections, the note is not required.
852 0# $b r-G&MRR $h ____ $i ____ $t ____ $x Assign to Asian after reference [The copy would go to custody of Asian Division.]
852 0# $b r-EurRR $h ____ $i ____ $t ____ [The copy would go to custody of General Collections.]
2.3.7. 852 $z (Public note) Give notes in 852 $z for policies, decisions, and other facts related to the copy that affect a user’s selection of or access to a resource.
852 0# $b r-P&PRef $h E185 $i .H83 1963 $t Copy 1 $z Disbound original available by special request only; consult P&P Reference Desk. Facsimile available under E185.H83 1963a 852 0# $b r-AsianRR $h BQ7549 $i [2006 00201] $t Copy 1 $m Tibet Ref $z Consult reference desk for use instructions. 852 8# $3 1992 $b c-RecSound $h LPA 97894-LPA97903 $z More detailed holdings records are available. Please consult Recorded Sound Reference staff. … 852 0# $b r-MRR $h PE1628 $i .A623 2000 $t Copy 1 $m RefDesk $z Sent for repair 10-22-04 $x pp. 855-858 damaged
If a multipart monograph is analyzed in full and classed as a collection, give an 852 $z note in the holdings record linked to the collected set record: "See separate records for volumes in this publication to identify LC's holdings and to request individual volumes."
852 0# $b ____ $h ____ $i ____ $t ____ $z See separate records for volumes in this publication to identify LC’s holdings and to request individual volumes.
If a multipart monograph is analyzed in part and classed as a collection, give an 852 $z note in the holdings record linked to the collected set record: "Also see separate records for volumes in this publication to identify LC's complete holdings and to request individual volumes represented by these records."
852 0# $b ____ $h ____ $i ____ $t ____ $z Also see separate records for volumes in this publication to identify LC’s complete holdings and to request individual volumes represented by these records.
2.4. 866 Field (Summary holdings statement)
2.4.1. General LC ILS holdings records for monographs and integrating resources generally do not include 866 fields. Instead, item records with enumeration data (see Item Record Data Directory) are linked to the holdings record for the copy and carry that information. (See exceptional policy in 2.4.2
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Mono. & Integrating Resource Holdings in LC ILS 2. HRs: Specific Guidelines for using field 866 in cases where different parts of the same copy of a multipart monograph are at different call numbers.)
2.4.2. Parts of same copy at different call numbers If (a) LC does not analyze a copy of a multipart monograph and classes it as a collection and (b) the same copy has different spans of parts at different call numbers, then:
• There is a separate holdings record for each call number at which parts of the copy are found. (See 1.4.)
• In each of those holdings records, there is an 866 field with the following characteristics:
• First indicator has value “blank;” second indicator has value “1.” • Subfield $a enumerates the span of parts that are at that call number.
Note: If the multipart monograph is still being published, 866 $a of the “active” holdings record has an open number (that is, first affected part number followed by hyphen).
Numbers of parts used in 866 $a correspond to those in fields 300 and 505 of the multipart monograph bibliographic record.
Example: Multipart monograph complete; v. 1-3 at one call number; v. 4-5 at another
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Example: Multipart monograph not complete; v. 1-3 at one call number; v. 4- at another
2.5. 845 Field (terms governing use and reproduction note) Field 845 contains copy-specific access restriction notes for CD-ROM copyright deposit publisher agreements managed by Copyright Acquisitions Division. For example:
845 ## $a Governed by Central File Server agreement ; downloading not permitted ; 5 simultaneous users authorized ; transfer not permitted. 2.6. 986 Field (Local holdings verification status) Information in field 986 documents the physical examination of volumes and creation of holdings/item records as part of inventory, special project, etc., activities. ABA staff do not routinely change, add, or delete a 986 field in a holdings record as part of everyday processing. For example:
986 ## $a physicalinventory $b BIPLite $d 2004-09-09
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Mono. & Integrating Resource Holdings in LC ILS 3. Complements of HRs & IRs
3. Complements of Holdings Records and Item Records in the LC ILS
Generally, each bibliographic record has at least one holdings record linked to it. Exceptions (see corresponding sections) include:
• Resources for which LC has a “do not acquire” decision and never retained a copy (see 3.1) • CIP workflow records at the galley stage (see 4.7.1) • Situations where separate bibliographic resources share the same physical carrier (see 4.4)
3.1. LC does not acquire and never retained a copy
In routine processing, there is no holdings record or item record linked to the bibliographic record that has the “do not acquire” decision. Staff dispose of any number of copies received but do not create either holdings or item record(s).
Exceptionally, staff create a holdings record for a “do not acquire” resource if some activity (for example, tracking material for an exchange) requires it to exist. In that case, the holdings record has “m-Surplus” in 852 $b. One holdings record with 852 $b “m-Surplus” covers discard of any number of copies that come along.
3.2. LC currently does not acquire and withdrew copies retained earlier
All holdings records and item records for copies (one or more) that LC earlier retained remain linked to the bibliographic record (which is suppressed). The complements of holdings and item records for withdrawn resources are generally the same as for resources retained in LC collections (see 3.3-3.8). Each holdings record has “m-Withdraw” in 852 $b. Each item record linked to each holdings record has Item Status set to “Withdrawn.”
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3.3. Single part, with one copy/location/call number
There is a holdings record for the one copy linked to the bibliographic record. There is an item record for the single part, linked to that holdings record.
3.4. Single part, with multiple copies/locations/call numbers
There is a holdings record for each copy. There is an item record for each copy of the single part, linked to that copy’s holdings record.
Complements of holdings and item records as shown below occur when there are multiple copies at the same location, copies at different locations, multiple copies at the same call number, or copies at different call numbers.
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3.5. Multipart, not analyzed, classified as a collection, with one copy/location/call number
There is a holdings record for the one copy, linked to the bibliographic record. There is an item record for each of the parts, linked to that holdings record.
3.6. Multipart, not analyzed, classified as a collection, with multiple copies/locations/call numbers
There is a holdings record for each copy. There is an item record for each of the parts of each copy, linked to the corresponding copy’s holdings record.
Complements of holdings and item records as shown below occur when there are multiple copies at the same location, copies at different locations, multiple copies at the same call number, copies at different call numbers, or different parts of a copy at different locations or call numbers.
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3.7. Multipart, analyzed in full, classified as a collection
There is a bibliographic record for the multipart resource. There is a bibliographic record for each analytic.
Linked to the bibliographic record for the multipart resource, there is a holdings record for each copy of it. (The multipart resource may have a single copy or multiple copies.) There are no item records linked to any of the holdings records linked to the bibliographic record for the multipart resource. (See also 2.3.7 concerning use of an 852 $z note.)
Linked to the bibliographic record for each analytic, there is a holdings record for each copy of that analytic. (The analytic may have a single copy or multiple copies.) There is an item record for each copy (or for each of the parts of each copy), linked to that copy’s holdings record on the record for the analytic. Note: Each analytic may itself be single-part or multipart and have the corresponding complement of holdings and item record(s).
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3.8. Multipart, analyzed in part, classified as a collection
There is a bibliographic record for the multipart resource. There are analytic bibliographic records for some parts of the multipart, but some other parts do not have separate bibliographic records and are controlled by the bibliographic record for the multipart.
Linked to the bibliographic record for the multipart resource, there is a holdings record for each copy of it. (The multipart resource may have a single copy or multiple copies.) There is an item record for each non-analyzed part of each copy, linked to that copy’s holdings record on the record for the multipart resource. (See also 2.3.7 concerning use of an 852 $z note.)
Linked to the bibliographic record for each analyzed part, there is a holdings record for each copy of that analytic. (The analytic may have a single copy or multiple copies.) There is an item record for each copy (or for each of the parts of each copy), linked to that copy’s holdings record on the record for the analytic (not to any of the holdings records on the record for the multipart resource). Note: Each analytic may itself be single-part or multipart and have the corresponding complement of holdings and item record(s).
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3.9. Multipart, analyzed in full, classified separately
There is no bibliographic record for the multipart resource (or, therefore, any holdings records or item records linked to the multipart resource per se). There is a bibliographic record for each analytic.
Linked to the bibliographic record for each analytic, there is a complement of holdings and item record(s) consistent with whether the analytic is single-part or multipart, has a single copy or multiple copies, etc. (See 3.3-3.8.)
Collective record for acquisitions: If the above is accurate for cataloging and public access purposes, but LC handles the multipart resource collectively for acquisitions functions (for example, using one Purchase Order for the multipart resource rather than separate ones for each analytic), then there is a bibliographic record for the multipart resource (suppressed) and a holdings record (required for linking a Purchase Order) for each copy. The complement of holdings and item record(s) is like that for a multipart resource analyzed in full and classified as a collection (see 3.7).
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4. Special Situations and Formats
4.1. Resources with updating materials
4.1.1. Scope These policies apply to resources issued as a base (that is, the resource issued initially) plus subsequent updating materials, issued for the purpose of keeping the base’s contents up to date. Examples include updating loose-leafs with replacement pages, volumes with updating pocket parts, and volumes with updating supplements issued separately.
4.1.2. Holdings records There is one holdings record for each copy of the base. There is no separate holdings record for the updating materials. (Note: In other cases, there may be separate holdings records for non- updating supplements.)
4.1.3. Item records
If the upgrading Examples Item Record Policies materials are kept:
Separate from the Separately issued There is an item record for each unit of base updating supplements the base. for a monographic directory There is an item record for each unit of the updating material (with identifying data according to Item Record Data Dictionary, Appendix C).
Not separate from Updating pocket parts There is an item record for each unit of the base, but for a volume the base. separately visible There is no separate item record for the updating material. Instead, the Pieces count in the item record for a unit of the base is changed for each unit of updating material added. (For example, Pieces has “2” in the item record for a volume with one pocket part added.)
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If the upgrading Examples Item Record Policies materials are kept:
Not separate from Replacement pages for There is an item record for each unit of the base, and not an updating loose-leaf the base. separately visible There is no separate item record for the updating material. The Pieces count in the item record for a unit of the base is not changed when updating material gets added. (For example, Pieces still has “1” in the item record for an updating loose- leaf binder when a package of replacement pages gets integrated into the binder.)
4.1.4. Law Library: Multipart resources updated by revised or replacement volumes Added revised or replacement volume: When the Law Library updates a multipart resource by adding a revised or replacement volume, it records the date of publication in “Chronology” on the item record for the new revised or replacement volume.
Superseded volume: When the Law Library updates a multipart resource by adding a revised or replacement volume, it also keeps one copy of the superseded volume(s) and creates another holdings record for that copy with an 852 $x note indicating “superseded.” For example:
852 0# $b c-LL $h KF880.3 $i .P5 $t Copy 1 $x Superseded 852 0# $b c-LL $h LAW SOUTH AFR 2 1976- $t Copy 1 $x Superseded volumes
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4.2. Monographs with accompanying material
4.2.1. Scope These policies apply to printed text monographs with accompanying material (excluding the exceptions indicated below) when:
• the same bibliographic record covers both the monograph’s main volume(s) and the accompanying material, and • the bibliographic record mentions the accompanying material in the 300 field or in a note, because it is considered important.
The main monograph may be single-part or multipart. The accompanying material may be (a) one piece or multiple pieces, (b) removable from the main volume or not, (c) any of various types of material (such as map, CD, microfiche, pamphlet), and (d) processed at the same time as the main volume(s) or at a different time.
For books with accompanying electronic resources, also see DCM B18.
Exceptions: These policies do not apply to:
• Books about music with accompanying electronic resources (See DCM B18.5.2.) • Books and scores with accompanying sound recordings (See DCM B20.) • Books with accompanying videorecordings (See DCM B21.) • Volumes with updating materials such as pocket parts (See 4.1.) • Books issued over time in fascicles (See 4.3.) • Finite multipart monographs with all parts in a container • Separate monographs published at the same time in a container
4.2.2. General policies
Category 1: As published, accompanying material is housed in main volume as its container. (Or, as published, accompanying material is not housed that way; but cataloger instructs BCCD to make a pocket, tip in, etc., so that it is.)
Examples: Book published with a map in a pocket Book published with an errata sheet already tipped in Book with a pamphlet, for which cataloger orders a pocket in main volume Book with an errata sheet, which cataloger orders tipped in
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Preparation: Main volume and accompanying material go to the same custodial location.
As necessary, cataloger instructs BCCD to make a pocket, tip in material, etc., so that accompanying material is housed in main volume as its container.
Holdings There is one holdings record for each copy. records:
Item There is one item record for main volume (or for each part if main resource is records: multipart).
Pieces: Count starts with “1” for main volume. Count increases for each piece of accompanying material that is removable, but not for any piece that is not removable.
Enum: Blank if main monograph is single-part. Has volume number if main resource is multipart. Has nothing about accompanying material.
Examples
Main volume, as published, has 1 errata sheet tipped in and 2 maps tipped in.
Main multipart resource is in 2 v. and v. 2 has 2 maps, for which cataloger orders a pocket.
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Category 2: As published, accompanying material is not housed in main volume, but main volume and accompanying material are housed together in a container.
Examples: Book and a folder with 5 maps in a box Book and 3 pamphlets in a portfolio
Preparation: Retain the container.
Holdings There is one holdings record for each copy. records:
Item There is one item record for the container. records: Pieces: Start with “1” for the main volume. Increase count for each piece of accompanying material that is removable. Do not count any container as a piece. For example:
Main volume and 1 pamphlet in a case IR for case with main volume and pamphlet: Pieces = 2
Main volume and a folder with 3 maps in a portfolio IR for portfolio with main volume and maps: Pieces = 4
Examples
Main volume and 10 folded pages of plates are in a case.
Main volume and a folder containing 3 folded maps are in a portfolio.
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Category 3: As published, accompanying material is other volume(s) separate from main volume, bound or able to be bound, with no container for both main volume and accompanying material.
Examples: Book and separate statistical supplement volume Book and separate plates volume and separate index volume
Preparation: Main and accompanying material volumes are each bound (as necessary) and labeled.
Holdings There is one holdings record for each copy. records:
Item There is one item record for each bound item. records: Pieces: Count each item as 1 piece, unless it also houses other accompanying materials (in which case, count increases for each piece of accompanying material that is removable, but not for any piece that is not removable).
Enum: In each item record for accompanying material, give the term to appear on the label (distinguishing it from main volume).
Examples
Main volume has accompanying atlas volume.
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Main volume (not about music) has map in pocket and separate index volume.
Category 4: Accompanying material is three-dimensional (usually non-book) object(s) intended to be treated with main volume as an entity.
Examples: Children’s book with a stuffed toy
Preparation: BCCD, on request, makes decision on how to package the volume and object(s).
Holdings There is one holdings record for each copy. records:
Item There is one item record for each container BCCD decides to use. records: Pieces: Count main volume and/or accompanying material pieces in the container. For example,
Main volume with 2 puppets IR for box with main volume and puppets: Pieces = 3
Main volume with 1 doll and 26 wooden blocks IR for box with main volume and doll: Pieces = 2 IR for box with blocks: Pieces = 26
Examples
Main volume has 2 puppets with it in same container.
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Main volume has 1 doll with it in the same container and 26 wooden blocks in a second container.
If a situation is not accommodated well by any of these four categories, consult ABA Policy & Standards Division for guidance.
4.2.3. Additional copy retained without accompanying material If LC keeps one copy of the base with accompanying material and an additional copy only of the base, without the accompanying material, then:
• the selection decision is annotated in 925 $e of the bibliographic record; and • field 852 in the holdings record for the additional copy without accompanying material begins with subfield $3 specifying the limitation.
Example
925 ## $a Acquire $b 2 shelf copies $x Sel. Off. 2005-09-15 $e for Copy 2 acquire book only per Sel. Off. 852 0# $b ______$h ______$i ______$t Copy 1 [Copy 1 includes book and set of 89 tarot cards.] 852 0# $3 Book only $b ______$h ______$i ______$t Copy 2 [Copy 2 includes book only, without tarot cards.]
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4.3. Books issued in fascicles
“Books issued in fascicles” are monographs (often reference works) issued in numerous temporary, small, unbound installments. See DCM C17 for information about them and their processing at LC. Key characteristics are:
• Unbound fascicles are usually incomplete sequences of pages, not permanent divisions of the resource (such as chapters), and typically lose their separate identities when bound in completed volumes. • A title page (and/or binder) is issued when the last fascicle for a volume is completed and the volume is ready to bind. • Books may be issued in fascicles over long spans of years. • A “book in parts” slip accompanies the first fascicle(s) of a resource processed in LC, with decisions about custodial and permanent locations, etc.
4.3.1. New “books issued in fascicles” Holdings records: There is one holdings record for each copy being retained.
The location in field 852 is the permanent location for bound volumes, even if no volumes have been bound yet. The permanent location is “c-GenColl” unless a different assignment is indicated on the “book in parts” slip accompanying the resource.
Item records: There is an item record for each unbound fascicle and each bound volume (if any) being processed, linked to the holdings record for that copy.
Item record Unbound Bound element: fascicle volume
Temp. Loc. Has temporary custodial location Is blank. for unbound fascicles (c-Ser unless a different assignment is indicated on the “book in parts” slip accompanying the resource).
Perm. Loc. Has permanent location for Has permanent location for bound bound volumes (c-GenColl unless volumes (c-GenColl unless a a different assignment is indicated different assignment is indicated on on the “book in parts” slip the “book in parts” slip accompanying the resource). accompanying the resource).
Enum Has number from fascicle (if If applicable, has numbering for fascicles are numbered) or an bound volume. assigned number (if they are not).
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4.3.2. Subsequent fascicles and bound volumes Unbound fascicles: Staff create item records for subsequent unbound fascicles (as instructed above in 4.3.1) and forward them to the temporary custodial location.
Bound volumes: When a volume is complete and its title page (and/or binder) and last fascicle have been received and forwarded to the temporary custodial unit, the custodial unit prepares the volume for binding.
After binding, there should be one item record for each bound volume with the following characteristics:
Barcode Has active: One barcode for the bound volume.
Has inactive: Any additional barcodes from item records previously created for individual fascicles included in the bound volume.
Temp. Loc. Is blank.
Perm. Loc. Has permanent location for bound volumes (matching 852 $b in the holdings record).
Enum If applicable, has numbering for bound volume.
Unneeded item records for individual fascicles are deleted after their barcodes are recorded in the item record for the bound volume as “inactive” (in addition to the active barcode for the bound volume).
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4.4. Separate bibliographic resources sharing same carrier
MIRH 4.4 presents solutions adopted in familiar situations where separate bibliographic resources share the same carrier in LC. Extend any of these models to other materials and other circumstances, according to judgment. It is possible that specific situations and projects may adopt approaches that differ in some ways. Consult ABA Policy and Standards Division if there is a problematic situation not accommodated well by any of the following.
“Bound with”: A “bound with” situation exists when there are separate printed resources (represented by separate bibliographic records) that were first published separately and have subsequently been bound together into one physical volume.
Although there are two or more bibliographic records for the separate resources, there is only one holdings record for the bound-together copies, corresponding to the physical volume, linked to the bibliographic record for the first cataloged resource in the volume.
Field 852 in that one holdings record has a public note, as appropriate, such as:
852 … $z Bound with other titles.
There is only one item record for each physical volume, linked to that one holdings record.
There are no other holdings records or item records for the bound-together copies linked to the bibliographic records for resources other than the first one cataloged in the volume. (Those bibliographic records may have other holdings records and item records for additional copies of those resources, however.)
The one item record for the physical volume is also linked directly to all the other bibliographic records for resources in the volume.
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“In analytics”: An “in analytic” record is a bibliographic record for a part of a printed volume, in addition to the bibliographic record used to control the whole volume. (Examples might include a bibliographic record for one paper in a festschrift or a bibliographic record for one play in an anthology.) LC has made relatively little use of “in analytic” records and has not established firm policies for using them.
One acceptable approach is to follow the model of “bound with” situations, with commonsense adaptations. The item record for the whole volume is linked to the holdings record and bibliographic record controlling it (in any of the complements described in MIRH 3). The “in analytic” bibliographic record has no holdings record, but is linked directly to the item record for the whole volume. (A particular implementation of “in analytic” records may adopt a different approach for some reason.)
Moving image resources sharing same carrier: There are situations where separate moving image resources are represented by separate bibliographic records (in accordance with Archival Moving Image Materials, 2nd ed., 0B2), but are on the same physical carrier (reel, videocassette, etc.) in LC.
Although there are two or more bibliographic records for the separate moving image resources, there is only one holdings record, corresponding to the physical carrier, linked to the bibliographic record for one of the cataloged resources on the carrier. It does not matter which one.
There is only one item record for the physical carrier, linked to that one holdings record.
The one item record for the physical carrier is also linked directly to all the other bibliographic records for resources on the carrier.
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Multiple copies sharing multiple carriers: If LC has multiple copies of the same resource (printed or moving image) and each copy is in the same physical carrier (local bound volume, videocassette, etc.) with other resources, then there is one holdings record and one item record (as instructed in 4.4.1 and 4.4.2) for each physical carrier. For example:
Situation: LC has two copies of moving image Title A. Copy 1 of Title A is on one reel with Title B. Copy 2 of Title A is on one reel with Title C.
There is a bibliographic record for Title A. Linked to that are two holdings records, one for Copy 1 and another for Copy 2. There is an item record for Copy 1, linked to the holdings record for Copy 1; and that item record is also linked directly to the bibliographic record for Title B. There is an item record for Copy 2, linked to the holdings record for Copy 2; and that item record is also linked directly to the bibliographic record for Title C.
There is a bibliographic record for Title B. There is no holdings record linked to that bibliographic record. The bibliographic record for Title B is linked directly to the item record for Copy 1 on the bibliographic record for Title A.
There is a bibliographic record for Title C. There is no holdings record linked to that bibliographic record. The bibliographic record for Title C is linked directly to the item record for Copy 2 on the bibliographic record for Title A.
The same approach as above applies if one of two LC copies of printed monograph A is bound with monograph B in one volume and the second copy is bound with monograph C in another.
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4.5. 2A cataloging
“2A cataloging” is a local LC practice for creating “made up” multipart monographs consisting of unnumbered (or, rarely, partially numbered) items. See DCM C18 for more information. Key characteristics are:
• Materials are judged of significance primarily as a group; individual items are not considered significant enough to catalog separately. The purpose is to reduce cataloging and binding costs. • The cataloger supplies numbering (or other designations) for individual items in field 505 of the bibliographic record. • The cataloger organizes materials for binding and decides if items are bound together.
Holdings records: There is one holdings record for the 2A cataloging record.
Item records: There is one item record for each bound item (depending on the cataloger’s decisions), linked to the one holdings record for the 2A cataloging record.
Element Policies
Barcode There is one active barcode in the item record for the 2A bound item (that is, what the cataloger decides to bind together as one item).
The items being assembled together already have separate barcode labels from earlier processing. Any barcodes from them in addition to the active barcode for the 2A bound item are recorded in the same item record as inactive barcodes. Line through for any labels for inactive barcodes.
Enum Enum has the volume numbers or word designations supplied by the cataloger for the volumes included in the bound item.
Year Year has the publication date(s) of the volume(s) included in the bound item.
Any unneeded item records from earlier processing are deleted after their barcodes are recorded in the item record for the 2A bound item as “inactive” (in addition to the active barcode for the 2A bound item).
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4.6. Collection level cataloging for books
See DCM C14 for guidelines on collection level cataloging at LC. Key characteristics are:
• Collection level records describe material that is unrelated bibliographically but has been gathered together because of some unifying factor, such as personal author, issuing body, subject, language, or genre. • The cataloger supplies identifications (such as volume numbers) of individual volumes of the group, listing them in field 505 of the bibliographic record. • The cataloger organizes materials for binding and decides if items are bound together.
Holdings records: There is one holdings record for the collection level record.
Item records: There are as many item records as there are bound items (depending on the cataloger’s decisions), linked to the one holdings record for the collection level record.
Element Policies
Barcode There is a separate barcode label on each of the multiple volumes the cataloger decides to bind together as one item. Barcode in the one item record for the bound item includes all the barcodes for volumes bound in it. One barcode is active; the others are inactive (but retrievable). It does not matter which barcode is chosen to be active. Line through the labels for inactive barcodes.
Enum Enum has the identifications (such as volume numbers or word designations) supplied by the cataloger for the volumes included in the bound item.
Year Year has the publication date(s) of the volume(s) included in the bound item if the field 505 note does not include those dates.
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4.7. Cataloging in Publication (CIP) workflow
4.7.1. CIP galley stage There are no holdings records and no item records created at the CIP galley stage (for single-part or multipart resources).
4.7.2. CIP verification stage
4.7.2.1. “Do not acquire” resources There are no holdings records and no item records created at the CIP verification stage for:
• resources that had “do not acquire” decisions at the CIP galley stage and continue to have them • resources whose decisions change from “acquire” to “do not acquire” at the CIP verification stage
If the bibliographic record for a “do not acquire” CIP-workflow resource has unwanted holdings records and either no item records or only unbarcoded item records, then delete any unwanted holdings records and item records by usual procedures.
If the bibliographic record for a “do not acquire” CIP-workflow resource has unwanted holdings records and barcoded item records, then:
• In each barcoded item record, change Perm. Loc. to “m-Surplus” and change Copy to “0.” • In each holdings record linked to any barcoded item records or to any purchase orders, change 852 $b to m-Surplus. • Delete any unbarcoded item records by usual procedures. • Delete any holdings records not linked to barcoded item records or to purchase orders by usual procedures.
4.7.2.2. “Acquire” resources There are holdings records and item records created, as instructed elsewhere in MIRH.
If it is necessary to change the call number in field 050 of the bibliographic record after holdings records have been created, the call number in field 852 of each holdings record should change to match.
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4.8. Overflow collection
Background: LC has established a temporary overflow collection to house books in General Collections that are not shelved in the call number sequence but are on the floor due to overcrowding.
Collections management staff assign copies of books to this overflow collection. They identify copies assigned there by the following:
• Field 852 in the holdings record for the copy has “$b c-GenColl” and “$m Overflow.” • Perm. Loc. in each item record for the copy has “s-Overflow/CMD LA1 South.”
When space in the General Collections stacks allows, collections management staff move books from the overflow collection back to shelving in the call number sequence and change the affected holdings record and item record elements back to usual values.
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4.9. Prints and photographs
Originals and reproductions:
Prints and Photographs Division (P&P) makes holdings records and item records for original print/photograph objects and for added copies that P&P holds.
P&P generally does not make holdings records and item records for copy reproductions (negatives, transparencies, digital images) associated with the original print/photograph object. (This change in P&P policy was implemented in 2004.)
Exception: P&P makes holdings records and item records for copy reproductions held in P&P of original objects held in other LC divisions. For example:
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Holdings records:
Element Policies
852 $i Has object item number when used with call number in item-level bibliographic records. Example:
852 8# $b c-P&P $h LOT 13262, $i no. 63
Has “[item]” if object lacks item number. Example:
852 8# $c c-P&P $h LOT 13262, $i [item]
852 $m Has object size when used with call numbers, primarily in:
• Group-level bibliographic records • Item-level bibliographic records describing objects in curatorial filing series
Example:
852 8# $b c-P&P $h PGA – Currier & Ives--Edwin Forrest $m (B size)
Item records:
Element Policies
Perm. Loc. Has c-Prints & Photos Div as default in Preferences.
Has appropriate other location for original object held outside P&P (for example, c-Geography & Map Div for original object in G&M Division).
Item Type Has Photo, Print, Slide, Drwg as default in Preferences.
Has Computer File for original digital print/photograph object.
Enum Has obj. as default in Preferences.
Has blank for reproductions.
Item Status Has blank (not In process) as default in Preferences.
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4.10. Moving image resources
Holdings records:
Element Policies
852 $h Has “shelflist number” followed by generation in parentheses. Example:
852 8# $b c-MP&TV $h VAA 3246 (viewing copy)
852 $i Has none.
Item records:
Element Policies
Perm. Loc. Has c-Motion Pic & TV/MBRS.
Item Type Has Moving Image.
Enum Has reel or cassette number followed by number of units in the complete resource. Example:
Enum: d1 of 1 [for the first and only DVD of a resource complete on one DVD]
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4.11. Manuscripts
Holdings records:
Element Policies
852 $h Has shelving location in Manuscript Division, corresponding to field 090 in bibliographic record. Examples:
852 8# $b c-MSS $h MMC-1881 852 8# $b c-MSS $h MMC at Oversize 2:4 852 8# $b c-MSS $h 0508C (Series 8)
852 $i Has none.
Item records:
Element Policies
Enum Has number for container used to store manuscripts at the shelving location, not for any individual manuscript. Example:
Enum: Container 1
Enum: OV Container 1
Enum: Container VIII : 1 Enum: Container VIII : 2 Enum: Container VIII : 3 Enum: Container VIII : 4
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4.12. Rare books
Holdings records:
Element Policies
852 $m Commonly is present and has one or more of the following:
• collection name • fol. (when item or its folder or container meets oversize category) • midi (when a general rare book is 11-16 cm and is in LC classes AC1-BX6000 or G1854-PQ9211)
852 0 # $a c-RareBook $h Z1242 $i .A3 $t Copy 2 $m Stern Coll 852 0 # $a c-RareBook $h DA400 $i .C6 1702 $t Copy 1 $m fol. 852 0 # $a c-RareBook $h PZ7.K632 $i Bu 1902 $t copy 1 $m Chandler Kipling Coll $m fol. 852 0 # $a c-RareBook $h AC4 $i .I85 1828 $t Copy 1 $m midi
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