Fields in the holdings record

[updated 2020]

NOTE on TEMPLATES: When a holdings record has not already been started in Acquisitions OR in the case of creating a new holdings record from scratch, ALWAYS use the templates created in Alma (HOU collection holdings, THE collection holdings, etc...). Most fields and prescribed values are supplied in the templates. However, certain values will need to be changed depending on the nature of the materials. 

LDR   Leader.

For the full specifications of this field see the document ‘MARC 21 Format for Holdings Data’. 

001   Control number.

System supplied.

005   Date and time of latest transaction.

System supplied. 

008   Fixed-length data elements.

For the full specifications of this field see the document ‘MARC 21 Format for Holdings Data’. 

The # is a blank. The usual values are:

506   Restrictions on access note.  (DACS 4.1) 

[updated 4/10/2013]

This note is entered in the holdings record (although it does display publicly in the bibliographic record in HOLLIS). "This field contains information about restrictions imposed on access to the described materials." While field >540 (Target Audience Note) is designated to be used to record "terms governing the use of materials after access has been allowed," it is not allowed in local policy.  We use >845  to record all conditions of use,  after access is granted. 

If there are no restrictions, state that fact (as per DACS). If there are restrictions such as a remote housing location or hardware/equipment needed for access, include a note. Be as specific as possible. Describe the nature of the restriction using the precise language according to the Houghton 2012 Restrictions Policy document. When restrictions are removed, we trace the history of the restriction by recording: “Formerly restricted.” See examples below for possible wording.

All collections in processing and end processing should include a restriction for this reason. If only a portion (a series or smaller group of archival objects) is in end processing following processing, please add a restriction for that series or portion here as well. This has been implemented in summer 2022 to simplify workflows for the reading room. 

Indicators were enabled in ALEPH in February 2009. We use them to distinguish whether the collection has or does not have restrictions.

Indicators:

1^st  (Restriction)

<Blank>      No information provided

0                 No restrictions

1                 Restrictions apply [see examples below for 12 possibilities of restrictions]

2^nd  <blank>      Undefined

Public view has same default header for both indicators:

Restrictions:  Collection is open for research

Restrictions:  Restricted: donor permission required; closed until 2039/1/1.  

Subfields: other codes are possible but we use only $$a, $$3, and $$5:   

$$a   Terms governing access

$$3    Materials specified [This one is used to specify what series/folder/item within a collection is restricted.]

$$5    Institution to which field applies. Code either $$5hou or $$5the

Punctuation: Ends in a period unless another mark of punctuation is present. 

Examples of no restrictions: 

• • 506 0_  $$a Collection is open for research.  [shows indicator for no restrictions]

• • 506 0_ $$a Collection is open for research.  Formerly restricted until 2011. [shows indicator for no restrictions]
    
    

When a collection needs some care in handling but you don’t want to restrict content, use two 506 fields.

• • 506 0_  $$a Collection is open for research.

• • 506 1_  $$a This collection/ a portion of this collection may contain fragile materials that require special care in handling. Please request assistance as needed with fasteners or brittle pages.

Examples of restrictions: See full Restrictions Policy document for additional details

If the collection is housed offsite but is otherwise open, use two 506 fields:

• • 506 0_  $$a Collection is open for research.
    
    
  • 506 1_ $$a This collection [or a portion of this collection] is shelved offsite. Retrieval requires advance notice. Check with Houghton Public Services staff.

Restrictions during processing/end processing:

Implemented summer 2022 to ease the reading room's stress locating materials being processed or end processed. Processing archivists are responsible for adding the processing notes and removing at the end of processing, or adding an end processing notes. The head of the manuscript section will remove the end processing notes once notified by the End Processor that this work is completed. 

If a full or part of a collection is in processing:

• 506 1_ $$a The collection [or a portion of this collection] is closed for processing, YYYY. 

If a full collection is in end processing:

• 506 1_ $$a The collection is closed for end processing, YYYY. 

If part of a collection is in end processing:

• 506 1_ $$a Series I of this collection is closed for end processing, YYYY. The remaining portions are open for research.

RESTRICTIONS POLICY #1

• 506 1_   $$aRestricted: fragile; use surrogate. For access to original consult curatorial staff.   [shows indicator for restrictions]

If a surrogate copy must be used, state the restriction in the >506 and also enter the surrogate information in >845 

RESTRICTIONS POLICY #2.

• • 506 1_    $$aRestricted: fragile; consult curatorial staff.  [shows indicator for restrictions]

Surrogate copy is not available. Do not specify which curator. Public services staff will determine which Houghton curator maintains authority of the materials. 

RESTRICTIONS POLICY #3.

• • 506 1_    $$aRestricted: special handling required; consult curatorial staff for appointment. [shows indicator for restrictions]

RESTRICTIONS POLICY #4.

• • 506 1_    $$aRestricted: unprocessed; consult curatorial staff. [shows indicator for restrictions]

RESTRICTIONS POLICY #5.

• • 506 1_    $$aRestricted: limited access; consult curatorial staff. [shows indicator for restrictions]

RESTRICTIONS POLICY #6.

• • 506 1_    $$aRestricted: limited access; use surrogate. For access to original, consult curatorial staff. [shows indicator for restrictions]

RESTRICTIONS POLICY #7.

• • 506 1_    $$aRestricted: donor/depositor permission required; $$3[collection/series/folder/item] closed until YYY MONTH DD or on deposit]; consult curatorial staff.   [shows indicator for restrictions]

RESTRICTIONS POLICY #8.

• • 506 1_    $$aRestricted: closed for cataloging until [YYYY MONTH].   [shows indicator for restrictions]

RESTRICTIONS POLICY #9.

• • 506 1_    $$aRestricted:closed for conservation.  [shows indicator for restrictions]

RESTRICTIONS POLICY #10.

• • 506 1_    $$aRestricted: for legal or university policy reasons; available [YYYY MONTH]. [shows indicator for restrictions]

541   Immediate source of acquisition.   

As of November 1, 2020 we no longer record purchase price or addresses in this field. Code it as not private so that this field displays in HOLLIS.

Indicators: 

1^st       1      Not private [public note]

 Subfields: 

Use subfields in the following order. Follow each lettered subfield with semicolon except the last with a full point. ‘Acquisition’ here means the acquisition of the collection by the Harvard College Library. So if the collection is a transfer from Widener, then this field refers to Widener’s acquisition (by gift, purchase, etc.), not Houghton’s. See the example below. The fact that it is a transfer can then be recorded in >852 $$x but most often this is not done as it is redundant. If the transfer was from an outside library, e.g. Law School, Schlesinger, HU Archives, etc., then use “Transfer” in subfield $$c here, and the information refers to the transfer. Any information about how that former library acquired the collection will count as ‘Provenance’ (>561). If a collection was acquired from more than one source, this field should be repeated.

$$c   Method of acquisition, which refers to the terms under which a transfer of physical custody occurs, e.g., Purchase, Gift, Bequest, Deposit, Transfer;

$$a   Source of acquisition: Name of the person or organization that is the source of the material;

$$d   Date of acquisition in the form of YYYY month DD. We record full date in form: 1978 March 03; months should always be fully spelled out. Date ranges can be used for multiple gifts by same donor, rather than listing out individual dates; day of date should be two digit.   

$$e    Accession number, and/or former call number, minus all asterisks (the asterisk disturbs searching and is best left out completely). This allows searching on these numbers. If the old call number is within Houghton, then the Houghton accession number follows it, in parentheses, still with no asterisk at the start of the number [NOTE: As of August 2010, Houghton no longer uses an asterisk at the start of any number]. Trailing f, pf, etc…can be deleted in accesssion numbers. An "r" was added for a brief time beginning September 2006 when a RECON collection (one not given or purchased in that year) was accessioned. If the collection includes multiple former call numbers, they should all be included here, one by one, separated by commas. Also a non-public note could be added in >852 $$x (see below) but since this is mostly redundant, it is seldom used. NOTE: as of 2006 January 1, the changed number file was closed and this subfield is used as an electronic searching substitution for a paper card file. 

$$h    Enter the fund name without parentheses. This field is not repeatable so if purchase came from several funds, separate each by a comma. If the item is a gift, do not use this field.

$$3   Materials specified. If possible, use this subfield at the start of the field when using multiple >541s. In collections, many accession numbers are often combined but not tracked with the final item number placement, so use of this subfield will often not be possible. 

$$5  Institution to which field applies.

For Houghton use the form:   $$5hou

For Harvard Theatre Collection use the form:  $$5the

Examples:

541 1_    $$c Purchase;  $$a Thierry Bodin;  $$d 2000;  $$e 2000M-100;   $$h  Amy Lowell fund.  $$5 hou

541 1_    $$c Purchase;  $$a Maggs;  $$d  2002 September 4;  $$e 2002M-1;  $$h Books for Houghton fund, funds presented by David Goldberg AB 1954. $$5 hou

541 1_    $$c Acquisition type unknown; $$d 1955; $$e MS Arabic 71 (55-286). $$5 hou

541 1_    $$c Bequest;  $$a Philip Hofer; $$d 1984;  $$e 84M-1.  $$5 hou

541 1_    $$c Purchase; $$a unknown source; $$d 1923 March 09; $$e 24278.116,  24278.117; $$h Degrand fund. $$5 hou    (for an ex-Widener collection.: note the Widener call numbers in $$e.)

541 1_    $$c Old gift; $$a source unknown. $$5 the

541 1_    $$c Deposit; $$a Semitic Museum; $$d 1959.  $$5 hou

541 1_    $$c Gift;  $$a Lawrence Lader; $$d 2003 April 14; $$e 2003M-35.   $$5 hou

541 1_    $$c Transfer;  $$a Widener Library; $$d 1932 June 1; $$e No accession number (Widener number US 5678.1*) $$5 hou

541 1_    $$c Gift; $$a various sources;  $$d various dates; $$e various accession numbers, see finding aid. $$5 hou

Multiple use of >541 in same holdings record:

541 1_    $$3 Items (1) and (6); $$c Old gift; $$a source unknown. $$5 hou

541 1_   $$3 Series: Correspondence; $$c Deposit; $$a Semitic Museum; $$d 1959.  $$5 hou

561   Ownership and custodial history.   

 [updated 2022 January 16] 

As of November 1, 2020 we will make Immediate Source of Acquisition (541) notes public; the 561 will no longer be used to record immediate source information. Use the 561 instead to record fuller custodial history, if available, including source of information, or to state that we have no knowledge of prior ownership. Field is repeatable.

Displays in HOLLIS OPAC as ‘Provenance'. 

Indicators:

1st       1      not private [public note]

Subfields:

$$a  History

$$5  Institution to which field applies

For Houghton use the form: $$5 hou

For Harvard Theatre Collection use the form: $$5 the

Examples: 

With corresponding >541:

541  1_      $$c Gift; $$a Litchfield Historical Society; $$d 2005 October 15; $$e 2005M-23. $$5 hou

561  1_      $$a Collection was given by members of the Enfield and Weld families tothe Litchfield Historical Society. $$5 hou

561  1_      $$a Several volumes bear armorial plate with motto: Malo mori quam foedari. $$5 hou

561  1_      $$a This collection was given to Jane Freilicher by Nell Blaine in 1960 (see their correspondence, 1957-1960, MS Am 2072). $$5 hou

561  1_      $$a Previously on deposit at the Houghton Library, 1988-2018. $$5 the

561  1_      $$a Ownership prior to this acquisition is unknown. $$5 the

561  1_      $$a Acquired by the Harvard Museum of the Ancient Near East (then the Harvard Semitic Museum) from J. Rendel Harris, 1905 (accession no. 4064).  $$5 hou 

561  1_      $$a Known to have been a part of the recovered papers of the Conners after the Lassen River flood of 1947. $$5 the

Used to collocate parts of a named Houghton collection:

561 1_       $$a Forms part of the Julio Mario Santo Domingo Collection.  $$5 hou

                  Combine this with a >710 in the bib record to indicate the collection:

710 2_ $$a Julio Mario Santo Domingo Collection. 

584   Accumulation and frequency of use note. Optional  

 [updated 03/12/2014]  

“Measurements of and information about the rates of accumulation (for continuing, open-ended accessions) and / or the rate of reference use of the described materials.” We could use this note for the occasional notation of collections that are ongoing. See MARC details when needed. This field only goes in the holdings in HOLLIS. 

845  Terms Governing Use and Reproduction Note.

[updated 05/08/2014]

This field is used in the holdings for entering information concerning other access information after physical access is granted. We use this in lieu of >540  which is not permitted in HOLLIS.  "The field includes, but is not limited to copyrights, film rights, and trade restrictions that restrict the right to reproduce, exhibit, fictionalize, and quote, a bibliographic item."

Indicators:

1^st:       <blank>     undefined

2^nd:      <blank>     undefined

Subfield:

          $$a   Terms governing use and reproduction

Other subfields are possible but we do not use them.

Punctuation:  Ends with a period. 

Examples: 

845__ $$aSpecial equipment or surrogate required; consult Houghton staff.

NOTE:  This is often used with the NET holdings.  See further documentation available in manual for OTC digitization. 

852   Location.

[updated 2/1/2012]

This field displays in HOLLIS OPAC as ‘Location’

Indicators:

1^st:       8                (shelving scheme: ‘other scheme’).  Always use this. 

2^nd:      <blank>      (shelving order: ‘no information provided’).

Subfields:

$$b   Sublocation or collection. Enter HOU or THE.  (This must be in CAPS.)

$$c   Shelving location. A separate holdings record is needed for each type of shelving location. Again, the entries must be typed in CAPS. 

For materials that are stored onsite, specific stack locations are tracked in ArchivesSpace. 

AS (this includes materials stored at all locations in Lamont, Pusey, and Houghton including the vault).

For materials stored at HD, the location should remain "HD".

HD     Harvard Depository [this is determined/entered by the end- processing/accessioning team]

$$h   Call number.  Example: $$h MS Eng 607 

 There is NO punctuation at the end of a call-number

$$m   Shelving sub-location. Use sparingly.

$$x   Non-public note. This note is currently occasionally used  to record former call numbers and locations, temporary locations, info on microfilming or photograph, but it is optional and not always deemed necessary.

Examples:

$$x Recataloged from MS Am 9878.

$$x Recataloged from 23456.23*.

$$x Transferred from Widener (Eng 576.67.3), 2004. 

$$x Hofer Bequest M-50.

$$x Microfilmed as 1987MF. 

$$z   Public note. "This subfield contains a note relating to the location of the item identified in the field. The note is written in a form that is adequate for public display. A note not for public display is contained in subfield $$x (nonpublic note)."

Examples:

$$z Shelved with MS Am 2343-2344. 

$$z On display in the Dickinson Room.

856   Electronic location and access.  

[updated 9/25/2006] 

This is used in the Holdings record when needing to link a finding aid to a printed book record (such as an extra-illustrated volume). In normal collection-level records, we use 555 link for finding aids.

Example: 

 856 42 $$3Electronic finding aid to material inserted in Houghton copy available$$uhttp://nrs.harvard.edu/urn-3:FHCL.Hough:hou01540

H01  Old HULPR record number. System supplied. 

[updated 9/25/2006]

H03  HULPR record number in RLIN form (for converted records). System supplied.

[updated 9/25/2006]

908  Cataloging status (DISCONTINUED)

[updated 2020]

Discontinued use of 908 as of April 2020. It is not necessary to create this field. Houghton now utilizes the 914 in the bibliographic record to indicate that a record should NOT be taped out to OCLC. If you encounter a record with a 908 'p' and the record should be in OCLC, please delete the 908 as well as the 914. 

 Subfields:

      $$a   Enter ‘c’ (cataloged).     

      $$a   Enter 'p' (provisional) for stub records.  Change this to 'c' when finding aid is created.

      $$b   Manually enter date today's date in format yyyymmdd and append with you initials, i.e. 20180905ah

909  Reporting field/subfield (DISCONTINUED)           

[updated 2019]

Discontinued use of 909 as of January 2019. It is not necessary to update or change 909 field. Please use 920 to track statistics. 

This local field that is composed of 8 bites, is used by the Houghton Dept. of Technical Services to assemble statistics at the end of the fiscal year. For the manuscript section, it is being used to count "titles" or "collections" not volumes or items.  It should be added to all records.  This field is not repeatable. 

Subfields:

$$k  [non-repeatable] Department use of the subfield k has varied considerably since its inception in 1996, as has the meaning of each byte.  At present, the 8 bytes are used as follows:

The year digit is changed beginning July 1 (start of each reporting year). The subfield's usefulness does not extend beyond the fiscal year in which it was used for statistical purposes, i.e. following collection of annual statistics in late summer. Be careful not to delete/improperly edit an 909 which records accessions information for the present fiscal year. Use a  # for each blank space.

If there is no 909 for a record you are updating or creating, add three ### before you begin coding for your own information:  i.e.:   ###C07bs

If there already is an 909, created by the accessioner, change the accessioner’s initials to yours : i.e. A15###mw would become A15C16an

920 Reporting field

See detailed instructions.