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3. GUIDELINES FOR USE

3.1 Mandatory Fields

In addition to Record Label and Directory, the following fields must be present in the machine- readable records.

• 001 Record Identifier
• 004 Related Bibliographic Record Identifier
• 100 General Processing Data (certain data elements only)
• 170 Acquisition Status
• 171 Collection Management
• 252 Location and Call Number or 256 Electronic Location and Access
• 801 Originating Source

The presence of other fields depends on the level of the holdings record that is controlled by the practice of the bibliographic agency responsible for the creation of the record. However, if a data element is present, it must be fully content designated according to the prescriptions defined in this document.

3.2 Levels of Holdings Statements

According to the guidelines for applying ISO 10324 : 1997 Information and documentation – Holdings statements – summary level, the holdings statement can have 3 levels:

Level 1 holdings

Level 1 identifies the item and the holding institution. This level is sufficient for single -part items, but gives no indication of extent of holdings for multipart items and continuing resources items.

Report the institution identifier for each bibliographic item, regardless of retention policy or completeness of holdings. Minimally, it consists of an item identifier for the bibliographic item for which holdings are recorded and a location identifier. The item identifier may be contained in field 004 Related bibliographic record identifier. The location identifier is contained in subfield $a Institution identifier of field 252 Location and call number.

Levels 2 and 3 holdings

Level 2 adds to le vel 1 general guidance as to the extent of an institution's holdings. Minimally, in addition to the requirements for level 1, it could include:

Receipt or acquisition status (170 $a/0)

General retention policy (171 $a/0)

Completeness designator (171 $a/5)

Level 3 includes a statement of summary extent of holdings.

1. Determine the basic bibliographic unit(s) and the secondary bibliographic unit(s) for the bibliographic item.

2. Determine whether each unit is continuing resources, multipart or single -part.

3. Report general holdings (level 2) or extent of holdings (level 3) for each unit as indicated under the description of the data elements.

The summary holdings statement may be either open or closed. Minimally, in addition to the requirements for level 2, it includes summary holdings information, that is, holdings at the first level of enumeration and chronology, in one or more of the following holdings data fields:

• 500 Caption and patterns – basic bibliographic unit
• 501 Caption and patterns – secondary bibliographic unit supplementary materials
• 502 Caption and patterns – secondary bibliographic unit indexes

• 510 Enumeration and chronology - basic bibliographic unit
• 511 Enumeration and chronology - secondary bibliographic unit: supplementary materials
• 512 Enumeration and chronology - secondary bibliographic unit: indexes

• 520 Textual holdings - basic bibliographic unit
• 521 Textual holdings - secondary bibliographic unit: supplementary materials
• 522 Textual holdings - secondary bibliographic unit: indexes

The following are examples of bibliographic items and their corresponding units in the ISO standard:

Item	Unit
Single volume monograph	1 basic
Multipart monograph	1 basic
Multipart monograph with periodically issued revised volumes || 1 basic
Journal with no supplements	1 basic
Set of maps	1 basic
Phonorecord	1 basic
Kit with 5 components	5 basic
Music score and 2 parts	3 basic
Book with pocket fiche	1 basic + 1 secondary
Journal with a journal supplement	1 basic + 1 secondary
Videotape with program notes	1 basic + 1 secondary
Loose-leaf publication with serially issued updates	1 basic + 1 secondary

3.3 Control Functions

Control functions permitted in the UNIMARC Holdings Format are confined to those used for subfield codes, field separators, and record terminator, as specified in ISO 2709; character set escape sequences as specified in ISO 2022; and those for indicating filing information, superscripts, and subscripts as specified in ISO 6630. No control functions are allowed to specify typographical functions such as italics. The use of control functions in UNIMARC Holdings Format records is fully described in the UNIMARC Manual Bibliographic Format, Appendix J.

3.4 Field and Subfield Repetition

If the word "repeatable" is associated with a field, then that field may occur more than once in a record. If “repeatable” is associated with a subfield identifier, then that subfield may occur more than once in an occurrence of the field.

3.5 Subfield Order

There is no specified order implied in the values of the subfield identifiers. Subfield identifiers are assigned values for identification purposes, not for file arrangement.

3.6 Fill Character

A complete record, fully content designated, is naturally the preferred record for international exchange purposes. In some cases, however, it may not be possible to convert a national record into the UNIMARC Holdings Format and provide the full content designation and coded information as prescribed. To minimize the ambiguities that could result if the indication of this lack of information were left to the discretion of each national agency faced with the circumstances described above, a character, hereafter referred to where this occurs as a "fill character," is used in place of the required information. This character will be the "|" (vertical line, code table position 7/12 in ISO 646).

The fill character can be used whenever a content designator or coded information cannot be determined by the encoding agency. It thus occurs in the following situations: i) encoding agency does not use this content designator or code this information, or ii) encoding agency uses this content designator or codes this information but in this particular record does not know the correct value, or iii) encoding agency uses similar values for this content designator or coded information but they cannot be translated to the exact UNIMARC Holdings Format equivalents.

The following rules apply to the use of the fill character: fill characters may only be used for indicators and coded data values that are not mandatory, thus fill characters may not be used in the Record Label or Directory as subfield identifiers or to replace punctuation or other special characters in the data portion of fields.

3.7 Coded Data Values

The following conventions are used in the assignment of coded values in the Record Label and coded data subfields:

1. - Information not available.

u - Unknown. Used when codes are being assigned, but the appropriate specific value cannot be determined.

x - Not applicable. Used when a characteristic is not appropriate for the type of entity being described.

y - Not present. Used when the characteristic being coded is not present for the entity being described.

z - Other. Used when codes are being assigned and the characteristics of the entity are known, but none of the defined codes is appropriate.

| - Fill character. Used when no attempt is being made to assign the codes.

3.8 Numerical

The following numerical subfields have been defined for use in the holdings format:

Subfield	Definition	Note
$2	System Code or source	2-- block
$2	Link Text	256
$3	Authority Record Number	7-- block
$4	Relator Code	7-- block
$6	Interfield Linking Data	5-- block
$7	Script of Field	2-- block; 3-- block; 5-- block
$9	Local Use

$6 Interfield Linking Data

This subfield contains information allowing the field to be linked for processing purposes to other fields in the record. The subfield also contains a code indicating the reason for the link. The first two elements in the subfield (character positions 0-2) must always be present when the subfield is used; the third element (character positions 3-5) is optional. Thus the length of this subfield may be either 3 or 6 characters. Subfield $6 should be the first subfield in the field.

Data entered in subfield $6 is recorded as follows:

Name of Data Element	Number of Characters	Character Positions
Linking explanation code	1	0
Linking number	2	l-2
Tag of linked field	3	3-5

$6/0 Linking explanation code

This code specifies the reason for the interfield linkage. The following value is defined:

a = alternative script

z = other reason for linking

$6/1-2 Linking number

This two-digit number is carried in subfield $6 of each of the fields to be linked together. Its function is to permit matching of linking fields and is not intended in any way to act as a sequence or site number. The linking number may be assigned at random as long as the numbers assigned to each of the fields in the pair or group to be linked together are identical and differ from the number assigned to any other pair or group within the record.

$6/3-5 Tag of linked field

This element consists of the three-character UNIMARC tag of the field being linked to. The element is optional: if the tags of both linked fields are identical, it would usually be omitted.

$7 Script of Field

The script of cataloguing (location, notes, etc.) is identified in field 100 of the record [position 20-21]. Some agencies need to record locations, notes, and holdings statement in more than one script form because of transliteration and alternative script orthographies used for a language (e.g., kana and kanji scripts for Japanese; devanagari, khmer, and lao scripts for Pali). Alternative script representations of the locations, notes, and holdings statement may be co-resident in a holdings record.

The alternative script forms of the 2-- record location are recorded in additional 2-- location fields, with a $7 Script of cataloguing and the base location subfield that indicates the difference from the script defined in field 100. The alternative script forms of notes or holdings statement are carried as repeated tags in their respective blocks.

The various script forms of the same location, note or holdings statement are linked through a $6 linking subfield and the scripts are identified by a $7 Script of cataloguing and the base location subfield. The subfield would usually be omitted in those fields with the same alphabet/script as that coded in 100 character position 20-21.

Example

001 163279

100 ##$aYYYYMMDDenga03######ba0

252 ##$6a01$a[Institution Identifier]$j[Call number]

252 ##$6a01$7ca$a[Institution Identifier in Cyrillic]$j[Call number in Cyrillic]

3.9 Punctuation

ISO 10324 prescribes punctuation and separators only for the “General Holdings Area” and the “Extent of Holdings Area”. Separators between areas are not prescribed, nor punctuation within the Location, Date of Report or Holdings Note Area.

In the interests of consistency between users of UNIMARC, this Manual also makes certain recommendations with regard to punctuation. It recommends that, with a small number of exceptions, punctuation be omitted at subfield boundaries.

All other punctuation is carried in the record according to the practice of the bibliographic agency issuing the record.

3.10 Format Use

Holdings Entry Records

This format is designed to support primarily the communication of holdings entry records. These records may also carry alternative entry holdings related to the location and access, for which the record was created. A 5-- field is used for specifying the pattern, caption, enumeration and chronology of a holding.

Bibliographic item model According ISO 10324 (ISO 10324:1997, Annex A: Taxonomy of a bibliographic item (normative)) a bibliographic item is defined as follows:

Bibliographic item

Basic bibliographic unit (repeatable)

Non-serial

Single-part

Multipart

Serial / Integrating Resource [4]

[4] - In ISO 10324, Annex A, there is no mention of Integrating Resource (this is a new term used by the ISBD), but in 3.1, taken from ISO, there is a method of recording loose leaf publications (an example of integrating resource).

Secondary bibliographic unit (repeatable)

Non-serial

Single-part

Multipart

Serial / Integrating Resource

According to this model, a bibliographic item is made of one or more bibliographic units. Each bibliographic unit may be a basic or a secondary unit, serial, integrating or non-serial units. Non- serial units are made of a finite number of constituent parts (one or more) while serial and integrating units vary from one to infinite. (see also 3.1 Mandatory fields, for examples of bibliographic items and units).

Multiple enumerations

For a continuing resources or multipart unit within a serial or multipart unit, each with its own numbering scheme, the enumeration appropriate to the basic bibliographic unit specified in the Holdings Record Identifier shall be recorded.

For alternative enumerations, if there is a scheme of continuously incrementing issue numbers or other numbering schemes in addition to a regular scheme of enumeration, the alternative numbering scheme or schemes may be recorded, following the regular scheme of enumeration and separated using an equals sign. When alternative numbering exists, there should be correlation between the different enumeration schemes.

Example

v. 1-5 = nr 1-60

3.11 Outline of Content of Records

===3.11.1 UNIMARC Holdings Record===	ISO 10324 Area
Record Label	General Holdings Area, Type of Unit Designator
0-- Identification Block	Item Identification Area
1-- Coded Information Block	General Holdings Area
2-- Location and Access Block	Location Data Area
3-- Notes Block	Holdings Note Area
5-- Extent of Holdings Block	Extent of Holdings Area
7-- Responsibility Block
8-- Source Information Block

3.11.2 Correspondence between ISO 10324 Holdings Statements and UNIMARC Holdings Format

ISO Area/Data element	UNIMARC/Holdings
Item Identification Area	004
Location Data Area	2--
:Institution Identifier	252 $a
:Sublocation Identifier	252 $b
:Copy Identifier	252 $n
:Call Number	252 $j
Date of Report Area [5]	100 $a/0-7 005
General Holdings Area	Record Label & 1--
:Type of Unit Designator	Record Label, ch. pos. 7
:Completeness Designator	171 $a/5
:Acquisition Status Designator	170 $a/0
:Retention Designator	171 $a/0
Приклад	Приклад
Приклад	Приклад
Приклад	Приклад
Приклад	Приклад
Приклад	Приклад
Приклад	Приклад
Приклад	Приклад

Extent of Holdings Area Name of Unit Extent of Unit Enumeration Chronology Specific Extent Note 5-- 50- $j 50- $k 51- 51- 50- $l Holdings Note Area 3--

[5] - This data gives the date on which the holdings statement was created or last updated

3.12 Correspondence between UNIMARC/Holdings and UNIMARC/Bibliographic UNIMARC Holdings Fields UNIMARC Bibliographic Fields 004 Related Bibliographic Record Identifier 035 Other Systems Control Number 252 Location and Call Number 256 Electronic Location and Access 001 Record Identifier 035 Other Systems Control Number 852 Location and Call Number 856 Electronic Location and Access UNIMARC/Bibliographic fields valid in UNIMARC Holdings Format 130 Coded Data Field: Microforms 135 Coded Data Field: Electronic Resources 141 Coded Data Field: Copy Specific Attributes 310 316 317 318 345 Notes Pertaining to Binding and Availability Note Relating to the Copy in the Hand Provenance Note Action Note Acquisition Information Note 702 Personal Name - Secondary Responsibility (Related to Copy) 712 Corporate Body Name - Secondary Responsibility (Related to Copy) 722 Family Name - Secondary Responsibility (Related to Copy)

3.13 Display of Holdings Records

According to ISO 10324 the following formats may be used to arrange the holdings statement areas in a display. Style A: Item Identification Area Location Data Area -- Date of Report Area -- (General Holdings Area) Extent of Holdings Area + ... + (General Holdings Area) Extent of Holdings Area -- Holdings Note Area Style B : Item Identification Area Location Data Area Date of Report Area (General Holdings Area)Extent of Holdings Area (General Holdings Area)Extent of Holdings Area . . . Holdings Note Area 3.14 Explanatory Notes Throughout the text of the format, the following conventions have been used. (1) The dollar sign ($) has been used in place of the character IS1 (of ISO 646) as the first character of a subfield identifier. (2) The character # has been used in the examples to indicate a blank. (3) In the examples the field separator character is assumed and is not shown explicitly. (4) The phrase “not defined” associated with an indicator position means that no values have been given to that indicator position. (5) Externally maintained code lists are needed in some subfields. These code lists are contained in the following Appendixes of the UNIMARC Manual Bibliographic Format: Appendix A: Appendix B: Appendix C: Appendix D: Appendix H: Appendix J: Language Codes Country Codes Relator Codes Geographic Area Code Cataloguing Rules Character Sets 19 - 86UNIMARC Holdings Format FIELD LIST Fields, which are represented in the main sequence, are in bold. 0-- IDENTIFICATION BLOCK 001 004 005 035 070 Holdings Record Identifier Related Bibliographic Record Identifier Version Identifier Other Systems Control Number Inventory Number 1-- CODED INFORMATION BLOCK 100 130 135 141 170 171 172 General Processing Data Coded Data Field: Microforms Coded Data Field: Electronic Resources Coded Data Field: Copy Specific Attributes Coded Data Field : Acquisition Status Coded Data Field : Collection Management Coded Data Field : Information Service Policy 2-- LOCATION AND ACCESS BLOCK 252 Location and Call Number 255 Past Location and Call Number 256 Electronic Location and Access 3-- NOTES BLOCK 300 301 302 371 372 373 375 General Notes Notes Pertaining to Identification Numbers Notes Pertaining to Coded Information Notes on Information Service Policy Notes on Physical Characteristics of an Item Notes Pertaining to Copy History Notes Pertaining to Copy and Version Identification 5-- EXTENT OF HOLDINGS BLOCK 500 501 502 510 511 512 520 521 522 530 531 532 Captions and Pattern – Basic Bibliographic Unit Captions and Pattern – Secondary Bibliographic Unit: Supplementary Materials Captions and Pattern – Secondary Bibliographic Unit : Indexes Enumeration and Chronology – Basic Bibliographic Unit Enumeration and Chronology – Secondary Bibliographic Unit: Supplementary Materials Enumeration and Chronology – Secondary Bibliographic Unit: Indexes Textual Holdings – Basic Bibliographic Unit Textual Holdings – Secondary Bibliographic Unit: Supplementary Materials Textual Holdings – Secondary Bibliographic Unit: Indexes Item Information – Bas ic Bibliographic Unit Item Information – Secondary Bibliographic Unit: Supplementary Materials Item Information – Secondary Bibliographic Unit: Indexes 20 - 86UNIMARC Holdings Format 7-- RESPONSIBILITY BLOCK 8-- SOURCE INFORMATION BLOCK 801 Originating Source 830 General Cataloguer’s Note 9-- NATIONAL USE BLOCK APPENDIX L – Complete examples

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