The 853 / 863 Fields in USMARC and ALEPH

The 853 / 863 Fields in USMARC and ALEPH

I. USMARC

A. Sources

USMARC Format for Holdings Data (print version + Web version at

Questions, problems, comments? The USMARC Mailing List has discussions re: the 853 / 863 fields. For subscription information, go to

B. What are these fields used for in USMARC?

 To display a library's holdings for serial titles. 

C. Where are these fields stored?

Stored in a separate holdings record that is linked to the related USMARC bibliographic record (by field 004); or

Stored in a USMARC bibliographic record as embedded holdings information.

D. What is the function of each field in USMARC?

The USMARC 853 field is used to record captions and codes.

a)Captions (words) that identify the enumeration levels (= numbered parts) of the serial:

Caption such as "Vol." (1st level of enumeration) -- in subfield a
Caption such as "no." (2nd level of enumeration) -- in subfield b
Caption such as "part" (3rd level of enumeration) -- in subfield c
Caption such as … (4th level of enumeration) -- in subfield d

Caption such as "no." used as alternative numbering (1st level of enumeration) -- in subfield g

a)Captions (words) that identify the chronological levels (= calendar parts) of the serial:

Caption such as "Year" (1st level of chronology) -- in subfield i
Caption such as "month" (2nd level of chronology) -- in subfield j
Caption such as "day" (3rd level of chronology) -- in subfield k
Caption such as … (4th level of chronology) -- in subfield l

a)Codes (both alphabetic and numeric) that define the publication pattern:

How many nos. to each vol.? -- in subfield u (numeric)
Numbering continuous or restarts? -- in subfield v (alphabetic)
Frequency -- in subfield w (usually alphabetic; can also be numeric)
Calendar change -- in subfield x (numeric)
Regularity of the pattern -- in subfield y (alphabetic [published or omitted] and numeric)

The USMARC 863 field is used to list the holdings.

a)For a complete run:

Vol. holdings -- in subfield a

Years -- in subfield i

b)For an incomplete run:

Vol. holdings -- in subfield a

No./issue holdings -- in subfield b

Years -- in subfield i

Months -- in subfield j

E. USMARC examples

USMARC example #1: A monthly that begins with Vol. 1, no. 1 (Jan. 1991) and ends with Vol. 5, no. 12 (Dec. 1995) -- i.e., 5 complete vols.

1st level
of enumer-
ation
(Subfield a) / 2nd level
of enumer-
ation
(Subfield b) / How many nos./vol.?
(Subfield u) / Numbering continuous or restarts?
(Subfield v) / 1st level of chronology
(Subfield i) / 2nd level of chronology
(Subfield j) / Frequency
(Subfield w) / Calendar change
(Subfield x)
853 / Vol. / no. / 12 / r / (year) / (month) / m / 01
863 / 1-5 / N/A / N/A / 1991-1995 / N/A / N/A

N.B.: Parallel structure, but no one-to-one correspondence between the enumeration and chronology subfields of the 853 and the 863. (E.g., 853 subfield b indicates the presence of caption "no.," but 863 subfield b does not record any "no." information.)

USMARC example #2: A monthly that begins with Vol. 1, no. 1 (Jan. 1991) and ends with Vol. 1, no. 6 (June 1991) -- i.e., 1 incomplete vol.

II. ALEPH

A. Sources

ALEPH Interactive Guide: Serials chapter, section 10.11

ALEPH on-line help: (throughout)

B. What are these fields used for in ALEPH?

 To create publication schedule issues. 

(N.B.: The ALEPH publication schedule form can also be used to create publication schedule issues.)

C. Where are these fields stored?

They are stored in the ADM record. To enter the 853 / 863 fields, retrieve a bibliographic record in the Serials, Items, OPAC, Acquisitions or ILL modules. In the Navigation Window, click Catalog ADM or Update ADM.

D. What is the function of each field in ALEPH?

The ALEPH 853 field is used to record captions and codes and to specify punctuation.

a)Captions (words) that identify the enumeration levels (= numbered parts) of the serial:

Caption such as "Vol." (1st level of enumeration) -- in subfield a
Caption such as "no." (2nd level of enumeration) -- in subfield b
Caption such as "part" (3rd level of enumeration) -- in subfield c
Caption such as … (4th level of enumeration) -- in subfield d

Caption such as "no." used as alternative numbering -- in subfield g

a)Captions (words) that identify the chronological levels (= calendar parts) of the serial:

Caption such as "Year" (1st level of chronology) -- in subfield i
Caption such as "month" (2nd level of chronology) -- in subfield j
Caption such as "day" (3rd level of chronology) -- in subfield k
Caption such as … (4th level of chronology) -- in subfield l

a)Codes (both alphabetic and numeric) that define the publication pattern:

How many nos. to each vol.? -- in subfield u (numeric)
Numbering continuous or restarts? -- in subfield v (alphabetic)
Frequency -- in subfield w (usually alphabetic; can also be numeric if subfield y also used)
Regularity of the pattern -- in subfield y (alphabetic [published or omitted] and numeric)

a)Punctuation such as commas, semicolons, and spaces (^).

The ALEPH 863 field is used to record:

a)the data for the 1st issue; e.g.:

Vol. no. of 1st issue -- in subfield a

Issue no. of 1st issue -- in subfield b

Year of 1st issue -- in subfield i

Month of 1st issue -- in subfield j

b)the publication date of the 1st issue -- in special ALEPH subfield 3.

E. ALEPH examples

ALEPH example #1: A monthly publication that begins with Vol. 1, no. 1 (Jan. 1998). (See, e.g., Admin. rec. no. 1708.)

1st level
of enumer-
ation
(Subfield a) / 2nd level
of enumer-
ation
(Subfield b) / How many nos./vol.?
(Subfield u) / Numbering continuous or restarts?
(Subfield v) / 1st level of chronology
(Subfield i) / 2nd level of chronology
(Subfield j) / Frequency
(Subfield w) / Pub. date of 1st issue (YYYYMMDD)
(Subfield 3)
853 / Vol. / no. / 12 / r / (year) / (month) / m / N/A
863 / 1 / 1 / N/A / N/A / 1998 / 01 / N/A / 19980101

ALEPH example #2: A quarterly publication that begins with Vol. 1, issue 1 (winter 1997). (See, e.g., Admin. rec. no. 1709.)

1st level
of enumer-
ation
(Subfield a) / 2nd level
of enumer-
ation
(Subfield b) / How many nos./vol.?
(Subfield u) / Numbering continuous or restarts?
(Subfield v) / 1st level of chronology
(Subfield i) / 2nd level of chronology
(Subfield j) / Frequency
(Subfield w) / Pub. date of 1st issue (YYYYMMDD)
(Subfield 3)
853 / Vol. / issue / 4 / r / (year) / (season) / q / N/A
863 / 1 / 1 / N/A / N/A / 1997 / 24 / N/A / 19970101

ALEPH example #3: A monthly publication that begins with Vol. 4, issue 1 (Jan.) and regularly omits publication in the months of July, November, and December. (See, e.g., Admin. rec. no. 1677.)

1st level
of enumer-
ation
(Subfield a) / 2nd level
of enumer-
ation
(Subfield b) / How many nos./vol.?
(Subfield u) / Numbering continuous or restarts?
(Subfield v) / 2nd level of chronology
(Subfield j) / Frequency
(Subfield w) / Regularity of the pattern
(Subfield y) / Pub. date of 1st issue (YYYYMMDD)
(Subfield 3)
853 / Vol. / issue / 9 / r / (month) / m / om07,11,12 / N/A
863 / 4 / 1 / N/A / N/A / 01 / N/A / N/A / 19970101

ALEPH example #4: A quarterly publication that begins with Vol. 30, no. 1 and regularly combines issues 3 and 4. (See, e.g., Admin. rec. no. 1668.)

1st level
of enumer-
ation
(Subfield a) / 2nd level
of enumer-
ation
(Subfield b) / How many nos./vol.?
(Subfield u) / Numbering continuous or restarts?
(Subfield v) / Frequency
(Subfield w) / Regularity of the pattern
(Subfield y) / Pub. date of 1st issue (YYYYMMDD)
(Subfield 3)
853 / Vol. / no. / 4 / r / q / pm01,04,07/10 / N/A
863 / 30 / 1 / N/A / N/A / N/A / N/A / 19980101

ALEPH example #5: A quarterly publication that begins with Vol. 12, issue 1 = no. 100 (i.e., double numbering). (See, e.g., Admin. rec. no. 1674.)

1st level
of enumer-
ation
(Subfield a) / 2nd level
of enumer-
ation
(Subfield b) / How many nos./vol.?
(Subfield u) / Numbering continuous or restarts?
(Subfield v) / Alternative numbering scheme
(Subfield g) / Frequency
(Subfield w) / Pub. date of 1st issue (YYYYMMDD)
(Subfield 3)
853 / Vol. / issue / 4 / r / = ^ no. / q / N/A
863 / 12 / 1 / N/A / N/A / 100 / N/A / 19980101

III. Key differences between the 853 / 863 fields in USMARC and in ALEPH

A. Purpose

USMARC: To display holdings
ALEPH: To create publication schedule issues

B. Where stored

USMARC: Stored in a separate holdings record that is linked to the related USMARC bibliographic record, or in a USMARC bibliographic record as embedded holdings information
ALEPH: Stored in the ADM record

C. Correspondence between the enumeration and chronology subfields of the 853 and the 863 fields

USMARC: No one-to-one correspondence
ALEPH: Strict one-to-one correspondence; e.g., if you specify the caption "no." in the 853 subfield b and you neglect to enter a number in the 863 subfield b, the system will give you the error message "There must be a subfield b in both the 853 and 863 fields" (from /aleph/a54_5/alephe/error_eng/pc_serial_c0324).

D. Historical record of all 853 / 863 fields used

USMARC: You can view (in the holdings record) all 853 / 863 fields used.

Example (from a holdings record in the HOLLIS database [AAM8857-001]):

> 853/2:20: 6 1 $$a v. $$b no. $$u 12 $$v r $$i (year) $$j (month) $$w m $$x 01

> 863/3:40: 6 1 $$a 16-22 $$i 1955-1961

> 853/4:20: 6 2 $$a v. $$b no. $$u 4 $$v r $$i (year) $$j (month/month) $$w q $$x 01

> 863/5:40: 6 2 $$a 23-49 $$i 1962-1988

ALEPH: No record of 853 / 863 fields previously used; only current 853 / 863 fields stored in ADM record. (See, e.g., Admin. rec. no. 1722 in util_f_04.)

Serials Training (12.2 ) for McGill University – 853/863 Fields in MARC21 and ALEPH / Copyright 1999 by
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